Integrated swm training guide


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T he Integrated Solid Waste Management (ISWM) Training Guide is a synthesis of the
training modules and materials used by the Philippine Environmental Governance (EcoGov) Project
in assisting local government units (LGUs) in solid waste management planning and
implementation. The Guide provides a description of the training and mentoring approaches of
EcoGov as the Project aided the LGUs in systematically formulating various plans of action, including a 10-
year ISWM plan mandated by the Ecological Solid Waste Management Act (RA 9003). It puts together
lessons learned from the two-and-a-half years of Project experience in providing ISWM technical assistance
to a number of LGUs in EcoGov regions. In a way, this Guide may be considered a documentation of
EcoGov’s “best practices” in putting into place a governance-enhanced ISWM process.

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Integrated swm training guide

  1. 1. I NTEGRATED SOLID WASTE MANAGEMENT TRAINING GUIDE October 2004This project is implemented by Development Alternatives, Inc. with the support of its subcontractors: Orient Integrated Development Consultants, Inc. n Resources, Environment and Economics Center for Studies, Inc. n Winrock International n Abt Associates, Inc. n Management Systems International n Michigan State University n
  2. 2. Produced by the Department of Environment and Natural Resources-United States Agency for InternationalDevelopment’s (DENR-USAID) Philippine Environmental Governance (EcoGov) Project through the assistanceof the USAID under USAID PCE-1-00-99-00002-00. The views expressed and opinions contained in thispublication are those of the authors and are not intended as statements of policy of USAID or the authors’ parentorganization.
  3. 3. Table of ContentsAbout The ISWM Training Guide .................................................................................. 1Project Background...................................................................................................... 2The ISWM Modules in Summary ................................................................................... 3Module 1. Governance in Integrated Solid Waste Management .................................... 5Module 2. ESWM Board Formation and Orientation ................................................... 11Module 3. Solid Waste Management Assessment ......................................................15Module 4. Study Tour .................................................................................................. 30Module 5. Integrated Solid Waste Management (ISWM) Plan Formulation .................. 32 The ISWM Training Guide i
  4. 4. ii The ISWM Training Guide
  5. 5. About The ISWM Training GuideT he Integrated Solid Waste Management (ISWM) Training Guide is a synthesis of the training modules and materials used by the Philippine Environmental Governance (EcoGov) Project in assisting local government units (LGUs) in solid waste management planning and implementation. The Guide provides a description of the training and mentoring approaches ofEcoGov as the Project aided the LGUs in systematically formulating various plans of action, including a 10-year ISWM plan mandated by the Ecological Solid Waste Management Act (RA 9003). It puts togetherlessons learned from the two-and-a-half years of Project experience in providing ISWM technical assistanceto a number of LGUs in EcoGov regions. In a way, this Guide may be considered a documentation ofEcoGov’s “best practices” in putting into place a governance-enhanced ISWM process.1 This Guide is intended for local service providers (LSPs)2 tasked to assist municipal and city LGUs inpreparing and implementing governance-enhanced ISWM plans. It serves as a reference to enhance theirunderstanding of the EcoGov technical assistance approach, to help them develop SWM training programsfor LGUs and to allow them to use EcoGov-developed analytical and decision-making tools that promotethe practice of transparency, accountability and participatory decision-making (TAP). This Training Guide has five major modules: Module 1: Governance in Solid Waste Management Module 2: ESWM Board Formation and Orientation Module 3: Solid Waste Management Assessment Module 4: Study Tour Module 5: SWM Plan Formulation and Legitimization Modules 3 and 5 are divided into several sub-modules. Each module and sub-module is described interms of coverage, objectives, expected final outputs and duration, as well as approach, tasks and participants.It should be noted that the modules do not refer only to the formal or classroom-type training activity. It alsocovers field activities where participants get to apply or test newly-acquired knowledge or skills. It describesas well the pre- and post-training activities that are necessary to facilitate completion of expected outputswithin the indicated period of training. Highlighted (in boxes) are the governance principles applied in each module to promote transparencyand informed decision-making, increase stakeholder participation and clearly establish accountabilities.Also pointed out are specific experiences of the EcoGov Team and the LGUs, which demonstrate significantimprovements in SWM practices. To ensure that training participants will get an appreciation of the concepts, policies, processes andtools relevant to the modules, the Guide devotes a significant portion to the content of the technical inputsprovided during the training. Recommended topics or inputs are provided in the Lecture Notes and discussionand facilitation guides that are found at the end of each module or sub-module. In addition, the Guide provides a set of annexes (each module has a corresponding annex, e.g., Annex1 for Module 1), which contains the guidelines, sourcebooks, templates and examples that have beendeveloped by the EcoGov ISWM Team for that particular module. The Guide does not include the detailed training programs and presentation materials used in previoustraining. This is to give users some flexibility in the design of their training activities.1 The Training Guide includes recommendations for future training activities, thus, the numbering and scope of the modules, and the approaches described may differ from those used in previous training and technical assistance activities.2 The service providers referred to here include DENR field offices, provincial governments, non-government organizations (NGOs), consulting firms, academic institutions and individual professionals. The ISWM Training Guide 1
  6. 6. Project BackgroundT he country’s rapidly increasing population, resulting in higher demand for the use of our natural resources and generation of more solid wastes, has brought about adverse effects on the environment. The government, with its limited capacity and resources, is thus, challenged to provide innovative mechanisms directed at shifting the people’s attitude and practices towards sustainable use of natural resources and reducing waste generation. It is believed that technical solutions alone may not be enough to overcome these challenges; ensuringthat good governance is part of environmental management options may prove to be the key in effectivelyaddressing these issues. It is in this light that the Philippine Environmental Governance Project (EcoGov) is strengthening LGUcapacity in incorporating good governance principles and practices in Coastal Resource Management(CRM), Forests and Forestlands Management (FFM) and Solid Waste Management (SWM). Specifically,the Project is assisting LGUs address the threats of over fishing and use of destructive fishing practiceswithin their municipal waters; illegal cutting and forest lands conversion; and unmanaged solid wastes. Thisassistance is in the form of training, coaching and mentoring LGUs in the conduct of resource and resourceuse assessments, evaluation of management options, planning, and initial implementation activities usingprocesses and tools that emphasize elements of good governance, such as transparency, accountabilityand participatory decision-making (TAP). At the national and regional level, the EcoGov Project provides policy and advocacy/IEC support toimproving coastal/forest resources and solid waste management, through the review and enhancement ofexisting policies, conduct of policy studies, and production of sourcebooks, primers and information materials.National policy and institutional support specific to the ISWM sector includes: Review of RA 9003 and its Implementing Rules and Regulations (IRR) to identify specific provisions that require more detailed implementing rules and regulations; Development of guidelines and procedures for assessing and measuring waste diversion by LGUs, joint LGU-DENR assessment of sites of SWM facilities, and clustering of LGUs for the use and co-management of disposal facilities; and Production of a full-cost accounting guidebook and source books on incentive systems, available financing facilities, and technical assistance sources. All these interventions are intended to contribute to the long-term economic development of the country. The Development Alternatives, Inc. (DAI) is implementing the EcoGov Project in collaboration with theDepartment of Environment and Natural Resources (DENR). EcoGov national specialists and the Project’sregional teams, along with DENR and provincial government partners and a number of individual LSPs,provide technical assistance to LGUs.2 The ISWM Training Guide
  7. 7. The ISWM Modules in SummaryS WM is one of the functions devolved to Orientation on LGUs, making it their Governance in SWM/TWG Formation responsibility to provideSWM services to its constituents,given the rising SWM problems, ESWM Board Formation,particularly in urban and urbanizing Reconstitution and Orientationareas. Under RA 9003 and its IRR,all LGUs are mandated to formulatea 10-year ISWM plan that will define Solid Waste Assessmentits SWM strategy. To do this, LGUs (Situational Analysis) • Geographic and Physicalmust be equipped with the Characteristics of LGUnecessary skills and decision- • Socio-Economic Features & Trendsmaking tools to be able to come up • SWM Organizations & Resourceswith well thought out plans that • SWM Awareness & Practicescould be implemented successfully. • Waste Generation Disposal StudyThe EcoGov Project saw this need Touras an appropriate entry point forimproving good governance in the Vision and Strategy FormulationSWM sector. Figure 1 shows the logical Formulation of ISWM Componentssequence of the five ISWM training • Engineeringmodules developed by the EcoGov • IECProject. • Policy Support • Economic Enterprises Figure 2 presents summariesof the five modules. Formulation of Management & An LGU will have to go through Financing Arrangementsall the modules, in the suggestedsequence, to complete the ISWMplan. The LGU takes the lead in the Drafting of Planlegitimization process, with somementoring from the EcoGov team.During this process, the plan is Board Review of Draftreviewed by the ESWM Board, then Plan/Endorsement to MDC/SBpresented in a public hearing, before Module 1it is submitted to the Municipal/CityDevelopment Council (M/CDC) and Refinement & Legitimization of Plan Module 2the municipal/city council for • Public Hearingadoption (either through a resolution • MDC Review and Endorsement Module 3or an ordinance). • SB Review and Approval Module 4 It should be noted, however, thatonce the SWM assessment is Implementation of ISWM Actions Module 5completed and the LGU has a betterappreciation of where it is in relation Figure 1 – Module Sequenceto waste generation and disposal, the The ISWM Training Guide 3
  8. 8. LGU is encouraged to start identifying and implementing some immediately doable activities, even if theplan is still being prepared. Examples of activities that could be done immediately are IEC, improvement ofcurrent collection routes, some “housekeeping” practices in current dumpsite, formal creation of SWMoffice and designation of staff who will be responsible for the SWM program, linkages with other sectors(e.g., schools), and composting of market waste. Module 1: Governance in This introduces the concept of environmental governance and how Solid Waste Management it applies to SWM. It likewise includes an orientation on the EcoGov Project. This module is useful in the conduct of orientation/briefings 3 on environmental governance and in interactive assemblies (IAs) with LGUs interested to participate in the Project’s ISWM program. Module 2: ESWM Board This focuses on the creation of the ESWM Board, which is Formation and Orientation mandated by RA 9003. The module ensures that key sectors are represented in the Board, and that the members understand the technical and legal framework of SWM, and their role in SWM planning, implementation and monitoring and evaluation. The Board is given the opportunity to work out their working protocols. Module 3: Solid Waste This covers the whole process of SWM assessment, aimed at Management Assessment providing the bases for formulating strategies, determining targets and defining activities. In this module, bio-physical, socio-economic and other information that are relevant to SWM are analyzed. Also assessed are the practices of various solid waste generators, collectors and processors. Module 4: Study Tour This gives LGUs the opportunity to witness and learn from the experiences of other LGUs on SWM. The study tour allows the participants to directly interact with LGUs, which have initiated SWM programs or have established SWM facilities. This exposure broadens their understanding of the management options available. Module 5: SWM Plan This makes use of the analysis of the SWM information (Module 3) Formulation and and the lessons learned in the study tour (Module 4) in fleshing out Legitimization the SWM plan. The preparation of the SWM plan is done through five sequential sub-modules.Figure 2. Module Summaries3 At the start of EcoGov Phase 1, a series of regional/provincial IAs were held in the EcoGov regions to orient potential LGU partners on the Project.4 The ISWM Training Guide
  9. 9. Module 1 Governance in Integrated Solid Waste Management Module Coverage This module introduces the concept of environmental governance to the participants, emphasizing theincreasing recognition that weak or failure of governance, and not only the lack of technical solutions, is akey cause of environmental degradation. Environmental governance is discussed in relation to the principlesof decentralization, devolution and subsidiarity, and other related concepts, such as inter-generation andinter-spatial equity. Highlighted are three elements of good governance: transparency, accountability andparticipatory decision-making or TAP (See definitions and examples, Lecture Notes, EnvironmentalGovernance Elements, Page 8). The rationale for good governance in ISWM is explained in the context of the LGU mandates as providedfor in RA 9003 and its IRR, and in relation to the major threats poor waste management pose to public healthand environment. LGUs are cautioned not to make unilateral decisions and actions (or with no soundanalysis or firm basis) with respect to SWM as there are many stakeholders in SWM management that willbe affected. Also, ISWM is one LGU initiative that demands transparency as it requires substantial investmentof public funds and the process of procuring goods and services is often suspect. For many, SWM is viewedas a public good or service, thus, its efficient delivery is a manifestation of good governance. Part of this module is an overview of the EcoGov Project and its SWM component. Discussion focuseson the objectives, approaches and performance indicators of the EcoGov Project and the general process inthe selection of LGUs. Also discussed is the ISWM planning process to clarify the scope, nature and modeof delivery of the technical assistance provided by the Project. As the planning process is outlined, theinnovative approaches introduced (e.g., SWM assessment, incentive systems) and governance practicesapplied (e.g., joint analysis and decision-making) to specific planning and implementation activities arepointed out. Also emphasized are the advantages of joint planning by adjoining LGUs to consider sharingthe use of waste disposal facilities. Based on EcoGov experience, this module may be completed in 1-2 days, depending on activities thatwill be incorporated in the design. The ISWM Training Guide 5
  10. 10. Module Approach This introductory module may be used in interactive assemblies (IAs)4 conducted by the Project withLGUs interested in availing of EcoGov technical assistance. This module may also be used in Projectorientation and briefings for the Technical Working Group (TWG) and the ESWM Board of the LGU, andprovincial governments, DENR and LSPs to level off on the environmental governance concept and principlesand the EcoGov technical assistance approach. The module may either be conducted before or after signing a Memorandum of Agreement (MOA)between the LGU, DENR and the EcoGov Project (See sample MOA, Annex 1). The module consists of at least three input sessions(See suggested outline, Lecture Notes, pages 7-10). It MEMBERS OF THE TWGis important that the resource persons in this module havea good grasp of the concepts and can relate good CHAIR Vice Mayor/City or Municipal Planninggovernance with SWM. Development Coordinator/SB Chair on Environment The design of the module may be modified toincorporate group or plenary activities in between the MEMBERStechnical inputs, such as discussions of local SWM Department Heads of:issues and challenges, sharing and assessment of past City/Municipal Engineering OfficeSWM efforts and achievement, and a preliminary analysis City/Municipal Planning Officeof the status of current environmental governance practices City/Municipal Agriculture Officein the LGU. An action planning activity may also be added City/Municipal Health Officeat the end of the module for the identification of and Private Sectorconsensus on the next steps, schedules and Academeresponsibility centers leading to the signing of the MOA Environmental NGOs People’s Organizations(i.e., if module is held before MOA signing) or the conduct Religious Groupsof the succeeding modules. Junkshop Operators Market/Vendors Associations It is possible also to integrate Module 1 with Other civil society groupsModule 2, when the target audience is the same and there National Agencies such as:are no planned intervening activities between the two Department of Environment and Naturalmodules. Resources (DENR) Department of Education (DepEd)Participants Department of Interior and Local Government (DILG) Department of Trade and Industry (DTI) For IAs, participants may include local chief executives Department of Agriculture (DA)(LCEs), Municipal/City Planning and DevelopmentCoordinators, Municipal/City Emvironment and NaturalResources Officers, and Sangguniang Bayan/PanglunsodChair of the Environment Committee. If used to orient TWGs and ESWM Board, participants shall includeall members.4 At the start of EcoGov Phase 1, a series of regional/provincial Interactive Assemblies or IAs were held in the EcoGov regions to orient potential LGU partners on the EcoGov Project. The IAs, which covered either only one or the three sectors, provided the venue for the sharing of experiences and discussion of local SWM issues and possible assistance from the project.6 The ISWM Training Guide
  11. 11. Lecture NotesEnvironmental GovernanceI. What is Environmental Governance? “Role of government in managing the inter-relationships between the various subsystems in nature, such as those within and among different species and ecosystems, including the economic, social and cultural subsystems” (Victor Ramos, 2001) It is about: Making decisions and carrying out supporting actions. First and foremost, the LGU has to define a clear SWM vision and mission, with a sound basis so it can have the support of stakeholders. Supporting actions will include: a. Issuance of sound policies b. Mobilization, realignment and approval of funds c. Law enforcement, penalties d. Monitoring performance after decisions and actions were carried out Upholding and supporting the rule of law, e.g., RA 9003, its IRR and other related laws Leveling the playing field for stakeholder participation, demand for accountability, access, incentives and penalties, investments, competition and enforcement Resolving disputes and conflicts among those affected by SWM Convergence of good governance and technical solutions The convergence of governance and technical solutions could spell the difference between a healthy environment and the Technical Solutions to Resource spread of diseases and disaster Management (TSRM) + Good Governance (GG)II. Environmental Governance Vision + Performance Indicators based on Effectiveness of governance - decisions and actions are all Standards (PIS) in support of a defined “ VISION AND MISSION” = Improved and Enhanced Environmental Efficiency of governance - decisions and actions are achieving Conditions the objectives of “TASKS;” they maximize limited resources in achieving objectives Consequence of governance - decisions and actions impact on “RELATIONSHIPS” between the suppliers and “demanders” of effective and efficient resource managementIII. Environmental Governance Actors Decision-makers and implementers/actors at different levels. Their legitimacy and credibility are important. Those affected by decisions and actions Those providing information, analysis and recommendations to decision-makers and actors Those acting on behalf of “vested interests” to influence decisions and actions Those representing the “conscience industry” – media, civil society organizations, church, schoolsIV. Prerequisites of Effective Environmental Governance Presence of accountable institutions with clear vision and strategy to achieving the vision. System for eliciting participation in decision-making, from planning to implementation; also in monitoring and evaluation System to ensure transparency of decisions and the basis of those decisions Existence of rule of law Presence of persons representing the “conscience industry” – media, civil society organizations, church, schoolsV. Environmental Governance: Key Concepts and Principles Decentralization, de-concentration and devolution. The central government formally cedes powers to actors and institutions at lower levels (devolution or democratic decentralization and administrative decentralization). The ISWM Training Guide 7
  12. 12. Subsidiarity and local organizational capacity. Decisions should be made at the lowest possible level where competence exists. In RA 9003, some responsibilities are vested in the barangay LGUs. Inclusion and participation Accountability Transparency and access to information Social justice, Forms of justice: community, retributive, procedural and distributive justice. Property rights: “Access right to a stream of benefits from a given set of resources,” such as coastal resource assets. Collaboration and partnership Stable and secure property rights Intergenerational and inter-spatial equity Trade-offs, externality, and opportunity costsVI. Environmental Governance Elements Transparency = Extent to which the general public has current, complete and reliable information about decisions and actions taken by a government unit or public agency. Key Result Areas a. Manner of generating, analyzing and disseminating information on LGU actions and decisions to the public b. Access to this information c. Period of information dissemination: before the decision/action; after the decision/action; only when demanded d. Quality of information provided: updated, complete and accurate Examples of Transparency Practices and Mechanisms a. Posting of plans/maps, ordinances and proceedings in public bulletin boards b. Periodic publication of performance audit reports, financial statements, reports on license/permit issuances, results of transactions/bidding c. IEC on local legislations enacted Accountability = Degree to which the officials and staff of a government unit or of an agency are held responsible for their decisions, actions and performance. State officials, public employees and private sector are answerable to their constituents for policies, actions and use of fund. Key Result Areas a Identification of persons/groups responsible for particular actions and decisions in plan documents, ordinances and orders b. Performance monitoring and evaluation procedures c. Recognition of good performance/observance of procedures d. Clear sanctions for violations of standards and procedures Examples of Accountability Practices and Mechanisms a. Clear definition of roles and responsibilities b. Periodic public expenditures review c. Clear sanctions and incentives d. Periodic conduct of performance audit e. Periodic assessment of policies Participatory Decision-Making = Degree that the general public, especially key stakeholders and marginalized groups have access and opportunities to influence the decision or action of government or public agency Key Result Areas a. Manner of identifying stakeholders of a particular activity b. Degree of representation of stakeholders in decision-making at various stages of project planning and implementation c. Incentive provisions for participation of stakeholders Examples of Participatory Decision-Making Practices and Mechanisms a. Consensus-building; establishment of conflict resolution mechanisms b. Public consultations and hearings prior to decision-making/legitimization of plans/issuances of ordinances c. Multi-sector representation in committees, working groups, management councils, enforcement groups d. Participatory M and E; community feedback system8 The ISWM Training Guide
  13. 13. Good Governance In Solid Waste ManagementI. ESWM vs. ISWM ESWM = systematic administration of activities which provide for segregation at source, segregated transport, storage, transfer, processing, treatment and disposal of solid waste and all other waste management activities which do not harm the environment” — RA 9003. ISWM = selection of a combination of techniques, technologies and management objectives; well- coordinated and organized set of actions: source reduction, recycling, waste transformation and land filling.II. Is SWM a Public or Private Service? As public service: must meet environmental acceptability of disposal system and level of customer satisfaction As private service: must minimize cost or maximize profit while meeting environmental standards Constraints in public driven SWM services Combination of public and private services in ISWMIII. Objectives of ISWM: Protection of health and environment Reduce recurrent costs and capital cost of constructing and maintaining disposal facilitiesIV. Why Environmental Governance in ISWM Solid waste impacts public health and environmental safety The impacts of unmanaged solid waste have intergenerational (i.e., future generations will benefit or suffer from current decisions) and inter-spatial effects (e.g., carcinogens, fisheries, water, dioxins) There are many stakeholders (on and off site) thus decisions and actions cannot be unilateral Procurement related to providing SWM services are susceptible to “rent seeking behavior” and monopoly ISWM is perceived as a public good or service to constituents; its efficient delivery is a manifestation of good governance Sound governance of ISWM leads to “buy-ins” of stakeholders who have vested interest to sustain and protect services (i.e., with profit motive or volunteerism) ISWM has immediate impacts on the environment (i.e., smell, aesthetics, diseases)V. Who are involved in governance of ISWM? Decision makers and implementers (primarily LGU, DENR) Those impacted by decisions and actions (communities where waste disposal facilities are located; waste generators, etc) Those providing information, analysis and recommendations to decision-makers and implementers (LGU and DENR technical staff, technical assistance, service providers, consultants, etc) Those with “vested interests” to influence decisions and actions (e.g., suppliers of equipment, contractors, etc) The “conscience industry” – media, civil society organizations, church, schoolsVI. Key ISWM Decisions and Actions Requiring Good Governance Waste Collection: Accountability of collectors, transparency in procuring or sourcing required logistics, participation of stakeholders Transport: transparency in procurement, accountability of those deciding on procurement, participation of technical staff Processing and disposal: transparency in design and procurement, transparency in the issuance of Notices to Proceed (NTPs) and Environmental Compliance Certificate (ECC), accountability of those who prepared design and issued ECC, participation of specialists and stakeholders Financing: accountability of LGU officials, transparency in sourcing and using funds, participation of SB, MDC and barangays Implementation: participation of key sectors, accountability of each decision-maker, transparency in procurement and financial expenditures, transparency in work and financial planning Performance monitoring: participation in developing criteria and conduct and analysis, political will to deal with accountable officials, transparency in discussing results and lessons learned The ISWM Training Guide 9
  14. 14. VII. Summary The processes and outputs in ISWM planning and implementation are all about “POWER” and “CONTROL” over decisions and actions “POWER” to initiate and sustain action; capacity to translate intentions into reality and sustain it There is need to balance, direct, appropriate and equally distribute these powers among different stakeholders Question: What are and where are those powers vested with respect to ISWM planning and implementation?The Philippine Environmental Governance ProjectI. The EcoGovernance Project: Background, Strategic Objectives and Sectoral and Geographic ScopeII. EcoGov Strategies Strengthening of national and regional policies and institutional arrangements Technical assistance to LGUs and communities on coastal resource, forest and forestlands and solid waste management to enhance their capacity and support mechanisms to take on new environmental governance responsibilities Capability-building of DENR and partner government agencies, local institutions and service providers to strengthen local technical support systems (to develop capabilities to support LGU environmental governance initiatives) Establish creative partnerships with organizations/groups and develop supporting coalitions to help promote good governance.III. EcoGov Results Framework and Key Performance Indicators Goal Outcomes 1: Expanded application of sound environmental governance policies and practices Outcome 2: Reduced over-fishing and use destructive fishing practices Outcome 3: Reduced illegal cutting and forest lands conversion Outcome 4: Solid waste management Key Performance Indicators for CRMIV. EcoGovernance Actors: DENR Central Office, DENR Regional Offices, Technical Assistance Team, LGUs, Local Service Providers, Contractors, Other Partners, USAIDV. Process of LGU Selection Interactive Assemblies Letters of Intent MOAs nd LGU commitmentsVI. Overview of EcoGov Technical Assistance in ISWM ISWM Modules Module 1. Governance in Solid Waste Management Module 2. ESWM Board Formation and Orientation Module 3. SWM Assessment 1. Orientation and Sampling 2. SWM Practices Survey and Seven-Day Waste Characterization 3. Data Analysis Module 4. Study Tour/ Exposure Trip Module 5. SWM Plan Formulation and Legitimization 1. Vision and Strategy Formulation 2. Formulation of Engineering Component 3. Formulation of Policy Support Component 4. Formulation of IEC Component 5. Formulation of Management and Financing Arrangements10 The ISWM Training Guide
  15. 15. Module 2 ESWM Board Formation and Orientation Module Coverage This module calls for the formation and the proper orientation of the ESWM Board as a first step incomplying with the provisions of RA 9003. During the Board formation, particular attention is given to theneed for the representation of various groups, especially the private/civil society sector. The orientation is conducted to ensure that the Board members understand the fundamentals of SWMand environmental governance, its legal framework (this includes discussion on the Local GovernmentCode, RA 9003 and its IRR, etc.), and their roles in ISWM planning and implementation. By clarifying allthese, it is expected that the members’ activeparticipation in the ISWM process will beencouraged, thus, enhancing the Board’s TAP principles emphasizedeffectiveness. This module emphasizes TAP principles: The module also allows the Board to define theirworking protocols (such as agreeing on meeting a) Roles, functions and accountabilities are clarifiedschedules and notices, sub-committees, quorum to ensure a more responsive public service.and voting rules, and secretariat support). Also b) Unilateral decisions are strongly discouraged asclarified during the discussions is the source of the there are many stakeholders (on and off site)Board’s operating budget. involved in SWM decisions and actions. c) Representation of critical sectors in the Board is The preparation of an action plan forms part of strongly encouraged as it is a requirement of thethe module. A review is made of the ISWM planning law.process and modules and an overall work plan isprepared with the participants.Expected Module Outputs The expected outputs are: 1) a draft Executive Order creating or reconstituting (whatever is necessary)the ESWM Board; 2) agreed working protocols with ESWM Board Resolution adopting them, and 3) actionplan for subsequent activities. A sample of the working protocol is found in Annex 2. Two days are allotted for this module. The ISWM Training Guide 11
  16. 16. Module Approach Two technical input sessions are suggested for this module. The first orients the Board members on thefundamentals and guiding principles of SWM and review with them important concepts in environmentalgovernance. The second focuses on the important provisions of RA 9003 and its IRR, and other relatedlaws, focusing on the mandatory requirements that apply to LGUs. The suggested outline for both of theselectures are in the Lecture Notes on pages 13-14. Note that it will be helpful if some topics in Module 1 arerepeated in this module, especially if not all participants were able to attend Module 1. There will be guided discussion which will include, among others, reviewing the current compositionand functions of the Board (if existing) to assess if they are in accordance with RA 9003. The membersthemselves will have to determine whether there is a need to reconstitute the Board (again based on RA9003 requirements) and proceed with the identification of the additional sectors that have to be representedin the Board. If no Board formally exists yet, the participants will have to identify those who should be made membersof the Board, based on RA 9003 requirements and recommendations of those present in the orientation.The participants will have to include private sector/civil society representatives in the Board, and agree onhow the representatives shall be selected. This is very important, especially in cases where there areseveral organizations that can sufficiently represent the sectors (e.g., Who should represent the recyclersif the there are several independent junkshop operators in the LGU?) or if none exists (e.g., Who shouldrepresent the business sector if there is no Chamber of Commerce?). It is part of good governance that the proposed criteria and process for selection of representatives areclearly documented so that the method will be consistently followed. The discussions should also clarifythe roles and functions of the Board and clearly establish its accountabilities as spelled out in RA 9003 andits IRR. It will be necessary for the LCE, who is also the Board chair (as per RA 9003), to issue an ExecutiveOrder creating (or reconstituting) the Board and defining its functions and accountabilities. Another guided discussion focuses on how the Board will operate. The members will have to agree ontheir internal rules with respect to regularity of meetings, attendance and quorum, method of voting, internalstructure, secretariat and funding for its operations. Agreements reached will be consolidated to produce adraft of the Board’s working protocols. A Board resolution will formalize the adoption of the working protocols.The final discussion will be on the preparation of an action plan for the conduct of the succeeding modules.The activity calendar will consider scheduling regular Board meetings so that decisions and actions onissues could be addressed in a timely manner.Participants The module is designed primarily for members of the ESWM Board, but should include members of theLGU technical working group (TWG)5. If there is no ESWM Board yet, the module participants will includethose identified in RA 9003 as mandatory members of the Board as well as representatives of other sectors,which the LCE thinks should be included. The resource persons for this module should be knowledgeable of the basics of SWM, environmentalgovernance, and RA 9003 and its IRR. An experienced facilitator is necessary.5 In many cases, the TWG becomes the interim action arm or secretariat of the Board , for the duration of the ISWM planning activity.12 The ISWM Training Guide
  17. 17. Lecture NotesFundamentals of SWMI. Factors that Contribute to the SWM Problem Spiralling population growth rate and rapid urbanization Changing lifestyles and consumption patterns Public indifference Inadequate government policies and lack of enforcementII. General Situation of Solid Waste in the Philippines Daily Waste Generation Per Capita in the Philippines Rural barangays = 0.2 kg to 0.4 kg Urbanizing barangays = about 0.5 kg Urban barangays = 0.6 kg to 0.7 kg Distribution: domestic/households - 70%; industrial - 20%; commercial - 10% Attitude or indifference? People lack of appreciation of SWM; people believe that it is government’s responsibility; inefficient collection of garbage; non-operation of a good disposal facilityIII. Health Impacts of Improper Solid Waste Handling and Disposal Respiratory ailments resulting from odor and emissions Skin diseases Injuries or cuts from broken glass, cans, hard plastics and other sharp objects Proliferation of insects and rodents that may act as passive vectors in transmitting diseases Asphyxiation due to exposure to gases Contamination of drinking water from leachate percolation Food poisoning due to insect colonization and vermin proliferationIV. Environmental Impacts of Improper Solid Waste Handling and Disposal Depletion of ozone layer leading (due to methane gas generation and burning) to global warning Air pollution which produces acid rain Land pollution, which reduce its value Water pollution and flooding due to dumping in rivers and lakes Groundwater contamination due to leachateV. Definitions of Key Terms Waste, solid waste Solid waste management Source Reduction, recycling, treatment and disposalVI. Guiding Principles for SWM Waste is a resource Waste prevention is better than waste regulation and control. There is no single management and technological approach to solid waste. All elements of society are fundamentally responsible for 11% of methane gas generated in SWM. Those who generate waste must bear the cost of its Philippines comes from waste dumps management and disposal. SWM should be approached in the context of resource conservation, environmental protection and health, and sustainable development. SWM programs should take into consideration the physical and socio-economic conditions of the concerned communities and be designed according to their specific needs.VII. Functional Elements of Solid Waste Management and Corresponding Technologies Waste Generation – reduce and resuse, sort and segregate Storage – covered and sanitary receptacles; safe storage area Collection – regular schedule, systematic routing, appropriate type of collection, separate collection of segregated waste The ISWM Training Guide 13
  18. 18. Transfer and Transport – use of compactor trucks, transfer stations Processing and Recovery — Disposal – sanitary landfill, incineration of infectious, toxic and hazardous wasteVIII. Hierarchy of Methods Source reduction Reuse and recycling of non-biodegradable Composting (biodegradable) Treatment (special waste) Disposal (residuals)IX. SWM Planning General Process TAP Practices Components: 7 E’s – education, engineering, enforcement, equity, environmental organization, economic enterprises, and environmental governanceLegal and Policy FrameworkI. Overview of RA 9003 and DENR Administrative Order No. 2001-34 (IRR) Declaration of Policies Role of LGUs in SWMII. Institutional Mechanisms National Level: Roles of National Solid Waste Management Commission National Ecology Center Department of Environment and Natural Resources Local Government Level: Composition and functions of Provincial Solid Waste Management Board City and Municipal Solid Waste Management Board Barangay Solid Waste Management Committee Multi-Purpose Environment Cooperatives or AssociationsIII. National Solid Waste Management Framework and Local Government Solid Waste Management Plans. RA 9003 and IRR provide guidelines for preparation of plan and its key components, particularly: Establishing mandatory solid waste diversion Establishing LGU materials recovery facility Prohibition against use of open dumpsIV. Incentives: Rewards and Incentive Schemes (fiscal and non-fiscal)V. Financing SW management fees National SWM Fund Local SWM FundVI. Penal Provisions Prohibited acts, and fines and penalties Administrative and enforcement procedures14 The ISWM Training Guide
  19. 19. Module 3 Solid Waste Management AssessmentT his module guides the LGU in conducting an assessment of SWM practices and waste generated to provide a sound basis for the formulation of an SWM plan. The outputs of this module will be used in identifying and evaluating alternative management schemes and technologies that are appropriate to improve the LGU’s delivery of ISWM services to its constituents. Participants will be trained on how to generate importantdatabases necessary to develop a doable ISWM plan that Good info, sound analysisintegrates TAP principles in all the steps of the assessmentprocess. SWM decisions and actions have to be based on good information and sound Information on the sources, characteristics and composition analysis.of the waste streams will be gathered to analyze possible The SWM assessment findings willopportunities for source reduction and recycling, techniques help the LGU set its targets (i.e., By how muchemphasized in RA 9003 and its IRR to divert waste from the % can the LGU reduce its waste stream?),disposal sites. develop SWM strategies and interventions (i.e., What area in the municipality will be These and other information are necessary to arrive at sound covered by LGU collection? What IEC strategyISWM decisions (such as the size of the disposal facility required, will be effective? What ordinances will bethe type and capacities of storage receptacles, types and issued?), and design SWM facilities (i.e., Howcapacities of collection trucks, the number and frequency of many collection trucks will be needed? Whatcollection, area requirements for materials recovery facilities or will be the capacity of its composting facility?MRFs and the landfill, etc.). Of its disposal facility? ) The knowledge on the current SWM practices will be veryuseful in deciding the type of IEC to be conducted, organizational set-up, budgetary support, and enforcementinstruments needed to implement a sustainable ISWM program. The module will have three sub-modules: Sub-module 3A - Orientation on Assessment and Sampling Methods. This will prepare the TWG for the data collection task. This is very critical as the success of the succeeding activities will depend on the kind of preparations done, including a good understanding of the process. Sub-module 3B - Survey of Practices and Seven-Day Waste Characterization6. This pertains to the actual collection of the data, requiring seven days of intensive work and making accurate measurements and correct recording. Teamwork is of utmost importance. Sub-module 3C - Data Analysis. This allows for the organization, processing and interpretation of data for decision-making. These sub-modules are sequentially arranged; the outputs of one become the inputs to the succeedingsub-module.6 This covers a payday and market day in order to capture variability in waste generation. The ISWM Training Guide 15
  20. 20. Expected Module Output The final output of this module is an SWM situational analysis. Major elements of the situationalanalysis are a) baseline data on waste generation from identified sources; b) baseline data on wastedisposal at the dumpsite; and c) descriptions of current SWM practices and awareness level. The first twosets of data are to be contained in a database; they may be further analyzed to generate additional informationand serve as basis for future evaluation.Participants The participation of as many sectors as possible is encouraged in this module, particularly in Sub-Module 3B. It will be helpful if the activity involve members of the ESWM Board, all TWG members, LGUoffices, representatives from the concerned national government agencies such as Department of Interiorand Local Government (DILG), Department of Environment and Natural Resources (DENR), Department ofScience and Technology (DOST), and NGO as well as people’s organizations (PO) representatives (suchas vendors’ associations, homeowners associations, business groups, youth, media and other civicorganizations). Sub-Module 3C will, however, be limited to those who are directly involved in processing thegathered data. This module takes about two months to complete. . SUB-MODULE 3A. ORIENTATION ON ASSESSMENT AND SAMPLING METHODS Sub-module Coverage Sub-Module 3A provides an overview of the need for, and the scope of, the solid waste assessment. Theparticipants are expected to have a clear idea of the types of primary and secondary information that will beneeded for the situational analysis, and the range of methods that can be used to generate the neededinformation. The sub-module focuses on two major assessment activities: the SWM awareness and practicessurvey and the seven-day characterization of waste (from major waste sources and at end-of-pipe).7 Thesub-module emphasizes the importance of establishing baseline information and using such data in thedesign and formulation of SWM interventions. Participants are given hands-on training on how these two activitieswill be done in Module 3B, on the data collection and recording Encouraging teamworkinstruments that will be used, and on the determination and selectionof the sample for the SWM practices and awareness survey and the Their experience in the wasteseven-day waste characterization exercise. The one-day practice characterization exercise is expected towaste characterization is done using a “pre-sample.” The sample instill into the participants thesize from households is derived using the standard deviation estimated importance of working as a team andfrom the pre-sample, maximum tolerable error and confidence level. enhances their sense of ownership of the information they generate. It must be This sub-module is designed to develop teamwork among emphasized to them that as owners andmembers of the TWG and the Board for the smooth conduct of the users of the information, they must ensurenext sub-module. Their experience in the waste characterization the integrity and usefulness of theexercise is expected to instill into the participants the importance of information.working as a team and enhances their sense of ownership of the7 End-of-pipe waste refers to the waste the LGU collects and brings to the dumpsite. The analysis of end-of-pipe waste indicates the volume/weight and composition of garbage brought to the dumpsite daily and provides an estimate of the potential biodegradable and recyclable waste that can be diverted from the waste stream. 16 The ISWM Training Guide
  21. 21. information they generate. It must be emphasized to them that as owners and users of the information, theymust ensure the integrity and usefulness of the information. This means they have to be diligent in followingand documenting the sampling, data collection, recording and processing procedures.Expected Sub-module Outputs Outputs of the sub-module include: a) Sampling plan that shows the list/distribution and classification of establishments and households from which the sample is taken, the assumptions made, the procedures undertaken to stratify the population and to determine sample sizes, and the households/establishments in the sample, preferably shown in a map; b) Action plan to complete all preparatory activities for Sub-module 3B and for the actual collection of various data (including secondary data); and c) Final survey and recording instruments. This sub-module may be completed in 3-4 days. A total of 10-12 days will be needed if pre-workshopand post-workshop activities are included. Sub-module Approach The initial technical input explains the objectives and scope of the SWM assessment, leading to adiscussion on the basic data requirements (See Checklist, pages 20-21). The maps and statistics that aredeemed important and their official sources will be identified. It is recommended that samples of maps andactual data taken from previous assessments done in EcoGov LGUs be used during the lecture session toillustrate the value of the information for ISWM planning. The EcoGov Project adopted NSWMC Form8 (SeeAnnex 3A) to document the LGU’s SWM profile. The second technical input will be on the SWM awareness and practices assessment. This has twoparts: a survey and a “look-see” of actual practices with some key informant interviews and focus groupdiscussions to be conducted. Participants will be given a walk-through of a guide listing the important sectors, events and places thatwill be covered by the assessment, the key questions that may be asked and specific practices that will beobserved and documented. The assessment must cover the major waste generators (such as households,commercial establishments, market vendors, etc), those who are involved in recovery or recycling (such asjunkshop owners, itinerant scrap buyers and scavengers) and waste generators who produce significantamount of special wastes (e.g., hospitals, clinics, gasoline stations). It must look at how people behaveand dispose of their waste in major events in the LGU (e.g., “pintakasi,” sports events, fiestas) or in publicplaces (e.g., parks, rivers, beaches, market). The discussion of the guide is followed by a workshop where the participants will identify the sectors/events/places in the LGU that will be relevant to study. The participants can also be assisted in developingthe interview questions for each sector. The next major part of the sub-module is the orientation on waste characterization. The purpose of theactivity, the different types of wastes that will be measured and the step-by-step process of doing theassessment will be presented. The waste characterization will cover both waste generated at source andwaste collected and brought to the disposal site. The former will be measured from a sample of householdsor establishments/institutions, while the latter will be taken from a sample of garbage trucks.8 In the future, this form will be revised to better capture existing resources and programs of the LGU. The ISWM Training Guide 17
  22. 22. The rationale for holding the exercise for seven days and the inclusion of a payday and market day in the study period will be explained. See Lecture Notes, Waste Characterization, pages 22-23 for the outline of the waste characterization procedures. The final technical inputs will be on sampling, covering the definition of terms or concepts used and the different methods to be employed for households (stratified, random) and establishments/institutions (purposive, judgment). These will be outlined and illustrated with the use of an actual case study. The reason for limiting the sample to the collection barangays and taking a pre-sample of households will also be explained. The current solid waste collection system will be discussed so that the appropriate sample for the end-of-pipe waste can be determined (See Lecture Notes on Sampling and Sampling Procedures, pages 24-25 and Annex 3B for sampling guidelines). The participants will then be guided in preparing for the one-day Group decision-making practice waste characterization and survey. In this activity, the participants will establish the total population of each of the key Participants practice good sector category/sub-category and their distribution per barangay orgovernance as they have to agree on per type of barangay (See Annex 3C for the suggested categoriesvarious matters—as a group—before and sub-categories) and select a number that will serve as practiceproceeding to the next activities. sample.Examples of agreements that should bereached at the end of the workshop At the end of the workshop, the participants should agree on theinclude number of sample establishments, number of sample establishments/institutions per category/sub-distribution of sample households, etc. category and the distribution of sample households for differentEach participant’s accountability to the income classes (low, middle, high, urban poor) and barangay typesgroup is also clarified by defining the task (upland, built-up, coastal). A decision should have also been reachedeach group member shall perform. on the distribution of tasks among the participants. All the arrangements should have been done with the prospective cooperator households and establishments/institutions, and with the caretakers of the areas where the characterization will be done. Examples of these preparatory activities include sending out copies of the letter from the LCE regarding the exercise to all those who will be involved, orientation of cooperators on the objectives and mechanics of the exercise, preparing properly labeled plastic bags for distribution to cooperators, procurement of needed tools and equipment, arrangements for pick-up of waste sample from sources and for designation of waste characterization area within dumpsite and/or other wide, open spaces like a basketball court or a barangay center. To facilitate the process, it is suggested that even before the start of this sub-module, the participants prepare: a) A list of business establishments and institutions in the LGU with their respective location, b) Current estimates of households by barangay, c) Map showing settlements/built-up area within the solid waste collection area, and d) Documentation of current waste collection schedule and route. A copy of the LGU’s Comprehensive Land Use Plan (CLUP) should also be made available during the workshop. The practice SWM awareness and practices survey and waste characterization will be held in one day. The identified cooperators are first interviewed about their SWM awareness and practices, while the collection truck collects the waste samples. The participants then converge in the waste characterization area and start the task of measuring, segregating, drying and again measuring the collected waste. Measurements made and other observations are recorded in a standard form (See Annex 3D). The forms are then consolidated and the results entered in a computer program. 18 The ISWM Training Guide
  23. 23. The final day of the workshop is devoted to the analysis of the data generated. This provides an exampleof how the actual data will be analyzed. The waste generation data of the households will be examined andthe standard deviation will be computed to determine the extent of variability across income levels andlocations. After agreeing on the assumption that will be taken regarding the standard of error and confidencelevel, the sample size for the actual seven-day survey and characterization is computed using the formula: Small sample formula: 2 t a/ 2 * s n= ( E ) Large sample formula: 2 z a/2 * s n= ( E ) Before the close of the workshop, a few hours is allocated to assess their initial experience with theSW awareness and practices survey and waste characterization. The participants are made to prepare anaction plan for the finalization of: a) The sampling plan including the list of cooperators, b) Survey and recording instruments, c) Schedule of activities, d) Team composition organization and assignment of individual members, e) Logistic requirements, and f) All pre-activity arrangements for the next activity. The action plan is to include the schedule for the collection of secondary data. A checklist on the pre-activity arrangements for Module 3B is included in the lecture notes on the waste characterization process.An example of a sampling plan is in Annex 3E.Participants The participants in this sub-module are members of the TWG and the Board. The TWG may decide toinvolve representatives of other offices at the LGU and civil society groups. The ISWM Training Guide 19
  24. 24. Checklist of Basic Data RequirementsI. Geographic and Physical Features In which part of the province is the LGU located? What LGUs are Objectives of the SWM around it? How far is the LGU from provincial capital and major Assessment cities in the region/adjoining regions? Get location map of LGU. To identify and analyze What are the dominant topographic features of LGU (elevation and key factors that are slope)? Are there areas with very steep slopes/high elevation? What important to SWM plan- are topographic features of proposed controlled dump/sanitary ning—those which can be landfill (SLF) site and other SWM facilities? Get topographic map. How many are upland/lowland/coastal barangays? Which of current used as inputs and basis for collection barangays are upland/lowland/coastal? Get map showing planning barangay boundaries. To establish baseline data What are major river systems in the LGU? In what sub-watershed is for future evaluation of the proposed controlled dump/SLF site located? Where is the impact program impacts area of this river system? To provide a situational What are types of soils in area of controlled dump/SLF site? Is the analysis that will promote soil type suitable for a disposal facility? informed decision-making What are geologic hazards in the LGU (fault lines, landslide prone/ flood-prone areas)? Are any of these near the proposed controlled dumpsite/SLF? Get hazards map. What is the LGU’s climate type? When are the driest and wettest months? What is the annual average rainfall and temperature? Where are the major built-up areas of the LGU? What are the land use zones within the current collection area? What are the land use zones in areas surrounding the proposed controlled dumpsite/ SLF? Get current and proposed land use map.II. Accessibility Is LGU adequately linked with neighboring LGUs? With other LGUs in the proposed inter-LGU cluster? With known markets of recyclable materials? Get road infra map. Are all barangays accessible year-round from poblacion? Which barangays have accessibility problems? Do all barangays have access to proposed controlled dump/SLF site? What infrastructure projects are programmed in the investment plans of LGU/ province or the Department of Public Works and Highways (DPWH) in the next five years?III. Socio-Demographic Characteristics What is the population and number of households in last two census? What is the distribution by barangay? What is the estimated current population and households? What is the population density per barangay? What is the LGU’s average family size? Get National Statistics Office data. Where are the highly populated barangays? Where are the existing subdivisions, housing projects? Are there slum areas in LGU? Had there been significant population movements within the LGU (e.g., population moving from urban center to suburbs, rural to urban)? Does the LGU have a large transient population? What is the distribution of population according to gender? According to ethno-linguistic grouping? According to religion? Are there available population projections for the next ten years? What are assumed growth rates? What is current literacy rate? How many schools (by level) exist? What is their barangay distribution? Has there been any reported case of diseases/health problem related to water pollution and poor sanitation in the last five years?IV. Economic Features and Trends What are major economic sectors? What sectors have shown significant growth in the last five years? What sectors are expected to develop significantly in the next five years (based on comprehensive land use/development plans)? Are there available projections on the LGU’s economic development? How many business establishments and industries exist in the LGU? What are the major industries (in terms of size and numbers)? What are the biggest commercial establishments? What is the barangay distribution of these establishments and industries? What is the current poverty situation in the LGU? What is average income?20 The ISWM Training Guide
  25. 25. V. Local SWM Institutions and Resources (Refer to What types of SWM services (e.g., garbage collection, clean-up, etc) is the LGU providing? What are ongoing SWM programs (IEC, clean and green, etc)? What barangays are covered by LGU’s garbage collection system? What is the collection schedule and route? Provide map showing barangays covered and route. What LGU offices are involved in SWM? Which is lead office for SWM? How many staff are involved? What are their training needs? Is there an ESWM Board? Is there a plan to create a SWM office in the future? Provide staffing list. What is annual budget allocation for SWM (including staff) in the last five years? What is source of budget? Has the LGU obtained external funding assistance? Is the LGU generating any revenues from garbage fees, penalties? What are available SWM facilities (dumpsite, SLF, MRF, composting) in LGU and when were they established? Where are these located? Do they have permits to operate? What are current uses and capacities? Who are managing these facilities? What are the current plans of the LGU to establish SWM facilities? (if not existing) What are the available SWM equipment? Provide an inventory showing type, age, current use) What are the existing SWM ordinances? Provide an inventory of such ordinances. Are these ordinances being enforced? If not, why not? Who are involved in their enforcement? Are there other agencies (national government agencies and non-government agencies) and multi- sector bodies that are implementing SWM activities? Which groups, organizations (e.g., civic and church organizations, schools, private sector) can be tapped by the LGU to support its SWM program? Are there local newspapers/radio stations/cable TV providers that can be tapped to promote SWM? What SWM IEC materials are available in the LGU?VI. SWM Awareness Levels and Practices (refer to SWM awareness and practices assessment guide for more complete checklist) Do households, establishments and institutions aware of proper SWM? Do they understand important SWM concepts (e.g., recycling, reuse, composting, segregation)? Are they aware of ongoing programs/ services of the LGU? Are they aware of SW laws and local ordinances? How do various sectors assess the LGU’s SWM services? What are suggested improvements? Are they willing to pay/increase amounts they pay for such services? What are common SWM practices in each sector? How do they dispose their special waste? Do users of public facilities (e.g. parks, port) or participants LGU events (e.g., fiesta celebration, sports events) practice SWM? What are waste recovery/recycling practices of junkshop operators, bote’t dyaryo, scavengers? Where are buyers of recyclables? What are “buy” and “sell” prices of recovered waste materials?VII. Waste Generation and Disposal (refer to waste SWM assessment methods will be a characterization guide for more details) combination of the following: Who are major waste generators within the collection Secondary data collection area? Observations (e.g., observe SW How much waste does each household generate per day? disposal in canals) What is daily average per capita waste generation? What Key informant interviews is composition (biodegradable, recyclable, special, residual) of waste produced by households? Focus group discussions How much waste is being generated daily by each sector? Sample survey What is composition of waste produced by each? Direct measurement (for waste What is estimated weight/volume of waste disposed in characterization) dumpsite daily? What is composition of waste disposed? How much waste can potentially be diverted from waste stream? The ISWM Training Guide 21
  26. 26. Lecture NotesWaste Characterization ProcessI. What is waste characterization? The process of generating information on the quantity (tons per day, kg per day) and composition (i.e., biodegradable, recyclable, special, residual) of solid waste generated through the actual measurement and classification of waste samples from various waste generators and from waste brought to the dumpsite for disposal. It provides baseline information that will allow the LGU to evaluate in the future its SWM performance, in terms of reducing waste generation and diverting recyclable/compostable waste from the disposal facility.II. Main features of the process Covers both ends of the waste stream – from waste sources (households, establishments, institutions, public market) to the “end of the pipe” or disposal site Measures potential waste diversion from the waste stream – the % of recyclable and biodegradable component of the end-of-pipe waste Has to be periodically conducted to be able to determine improvement in waste diversion. Spans seven consecutive days, to include a payday and a market day, in order to capture variability in waste generation Uses sample of households and establishments/institutions. Data generated are organized into a databaseIII. Stages in Waste Characterization RA 9003 requires LGUs to divert A. Preparatory Stage 25% of their waste from disposal Identify waste sources (refer to Annex 3E for list of sectors/ sites within five years from the sub-sectors). Determine number of establishments and effectivity of the law. institutions, scale of operations (small, medium, large) and barangay location; determine number of households in collection or urban barangays, classify households as coastal, uplands, lowlands. Secure information on existing collection scheme: number of garbage truck deployed per day, collection route of each truck (e.g., market only, market plus commercial area; residential only, residential plus commercial) Determine sample size for households, establishments and institutions and collection trucks (procedures are discussed in succeeding lecture); identify specific households, establishments/ institutions and garbage trucks. Prepare route for collection of sample from cooperators and discuss with assigned garbage collection crew. Prepare introduction letter from Mayor and instruction sheets for cooperators. At least two days before the start of activity, individually orient the cooperators about the activity and distribute plastic bags (2 bags per day per sample unit). Procure required tools and materials: plastic pails, rake, garden forks and trowel, plastic liners/ sorting mat, garbage bags, weighing scales, gloves and nose masks. Calibrate the volume of plastic pails and get their empty weights. Prepare the tags (“nabubulok” and “di nabubulok”) for garbage bags. Provide for drinking water and food for those involved and first aid kit for emergencies and injuries. Identify who will be in charge of first aid and logistics. Identify suitable waste characterization site – not enclosed, with road access (for garbage truck), with sufficient drying area. Have area secured from children and stray animals. Prepare layout of waste characterization area, designating space for unloading/loading waste, for weighing, sorting and drying waste, for logistics, resting and meals. Prepare and reproduce copies of recording forms and interview questionnaires. Train those who will be involved (including hired labor) on procedure. Form teams and assign tasks to members of each team (e.g., supervisor/leader, weighing, recorder). All participants should experience sorting/characterization.22 The ISWM Training Guide
  27. 27. B. Waste Characterization Stage Waste Characterization Process Waste from Source Collected Market/ (Households and Establishments/ Mixed Waste Institutions) (End-of-Pipe) 1 1 Collect bags from source; bring to Bring market/mixed waste to sorting area dumpsite for characterization 2 2 Weigh both bags (nabubulok at di Estimate total weight and volume of nabubulok) of one respondent unit; waste load of truck (use weighbridge weight in field data entry form if available). Record in data entry form. 3 Open bags and sort waste into 3 biodegradable, recyclable, residual Unload contents into cleared areas; and special waste. Do not mix waste sort waste into biodegradable, of different sources. recyclable, residual & special waste 4 4 Place segregated waste in calibrated Place segregated waste in calibrated pails and weight; record weight and pails and weight; record weight and volume per waste component in data volume per waste component in data entry form entry form 5 5 Spread biodegradable waste on Spread the biodegradable waste on plastic sheet and dry under the sun plastic sheet and dry under the sun for 4-6 hours for 4-6 hours 6 6 Place dried materials in calibrated Place dried materials in calibrated pails and weigh; record dry weight pails and weigh; record dry weight and volume of biodegradables in data and volume of biodegradables in data entry form entry form 7 7 Dispose properly all materials used in Dispose properly all materials used in the characterization the characterization C. Post Characterization Stage Review all data entry forms and check correctness of entries, computations and totals. Clarify erroneous or questionable entries; place relevant explanatory notes on data entry forms when necessary. Enter data into Excel computer program.The ISWM Training Guide 23
  28. 28. Sampling and Sampling ProceduresI. Definitions and Importance of Sampling Definition of sampling: that part of the statistical practice concerned with the selection of individual observations intended to yield some knowledge about a population of concern, especially for the purpose of statistical inference; selection of individuals from a population of interest. Importance of sampling Population; sampling vs. census Sampling frames – a listing of units corresponding as closely as possible with the full population and from which a sample is drawn. Two types of frames: list frame (names and addresses) and area frame (list of geographic areas) Sample size (the number of observations in a sample) Sample units (items in the sampling frame); respondent unit (provider of information); unit of analysis (unit about which information is provided)II. Sampling Process Define objectives of sampling and identify population of concern Specify sampling frame and sampling methods, and develop sampling plan Collect relevant data and do sampling Review the sampling processIII. Sampling Errors Since the sample is only a portion of the population, sampling error is inevitable. Objective is to minimize the sampling error Characteristics of sampling errors: Generally decreases as sample size increases Depends on size and variability of characteristics of the population Can be accounted for and reduced by an appropriate sampling plan Can be measured and controlled in probability sample surveys Sources of sampling error: a) sampling method, b) estimation method, c) sample size, and d) variability of the sample’s characteristics. Sampling is not dependent on size of population Measuring sampling errorIV. Sampling Methods Probability sampling: selection of sample from a population based on principle of randomization or chance. Non-probability sampling: assumes an even distribution of characteristics within the population. Every unit in the population has equal chance of being selected.V. Application of Sampling in SWM Assessment Objectives of sampling; types of information to be generated by the study Process flow of sampling Define the population and key features. Population = waste sources (see box). Where are they located? Is there a distinct pattern of distribution of households, establishments and institutions? Establish the sampling frame (e.g., population distribution by barangay, household list per barangay, list if establishments from Treasurer’s Office, LGU’s schedule of trucks for waste collection) Sample size determination. Use example from EcoGov LGUs. a. Households - Define sampling method to use - Pre-sample of households (stratified geographically and by income level: high, medium, low) - Estimate sample based on identified parameters - Allocate estimated sample, applying stratification and proportional sampling b. Non-residential - Purposive sampling (judgmental /quota sampling). See list of sectors and sub-sectors in Annex 3E.24 The ISWM Training Guide
  29. 29. c. End-of-pipe waste (trucks) - If LGU collects waste separately from each source (i.e., a separate truck assigned to market waste collection, a different truck assigned to household waste, one truck assigned to waste from commercial establishments), characterize one truckload of market waste per day per source, with truck selected at random (if more than one truck per source). If LGU mixes the waste coming from various sources, completely characterize one truckload of mixed wastes with the truck selected at random. If only market waste is collected separately, characterize one truckload of market waste and one truckload of mixed wastes per day.The ISWM Training Guide 25
  30. 30. SUB-MODULE 3B. SWM AWARENESS AND PRACTICES ASSESSMENT, AND SEVEN-DAY WASTE CHARACTERIZATION Sub-module Coverage Module 3B is devoted to generating information on: a) The level of awareness of waste generators on proper SWM; b) Common SWM practices of various sectors in the LGU; c) Perceptions on the LGU’s current SWM services; d) Volume/weight and composition of wastes generated by different sectors; e) Volume/weight and composition of wastes brought to the dumpsite daily; and f) Percent of solid waste that can potentially be diverted from the waste stream through reduction, recycling and processing. The SWM awareness and practices study will have a survey component, mainly to determine awarenesslevels, perceptions and common SWM practices. The data gathered through the survey is supplementedwith observations, interviews with key informants and focus group discussions. The waste characterization has two components: a) Characterization of sample wastes collected from various cooperators; and b) Characterization of the solid wastes load of sample garbage trucks. The waste characterization is done daily for one week.The seven days are to include a payday (i.e., 15th or 30th of the month) and a market day to capture theexpected increases in waste generation during these days. Both the SWM awareness and practices surveyand the characterization of waste from major sources will have the same sample households andestablishments/institutions.Expected Sub-module Outputs Outputs of the sub-module are tabulated survey data, complete waste characterization data recordingforms (See Annex F), encoded waste characterization data, and written findings from ocular observations,key informant interviews and focus group discussions (FGDs). The activity, including data tabulation andencoding, may be completed in 2 weeks. The smooth conduct of these activities will depend largely on the preparations undertaken by the TWG.This means that adequate time has to be allotted for preparatory activities, rather than immediately conductingSub-module 3B after completing Sub-module 3A. Sub-module Approach The TWG and ESWM Board members will be divided into work groups. Each group will be responsiblefor one or more sectors/sub-sectors in the conduct of the SWM awareness and practices assessment andwaste characterization. One group will have to be assigned to the end-of- pipe waste characterization. Thissame group may be tasked to also cover the assessment of SWM activities/practices of junkyard operators,itinerant scrap buyers and scavengers. The survey part of the SWM awareness and practices survey is usually conducted on Day 1 of theseven-day characterization. The survey interviews can best be done in the morning while the solid wastesamples are being collected and transported to the waste characterization area. The participants focus ondoing the actual waste characterization exercise during the rest of the week. After the seventh day, the26 The ISWM Training Guide
  31. 31. team members can continue to complete the occular observations and the key informant interviews andFGD component of the SWM awareness and practices assessment, while the waste characterization andsurvey data are being tabulated and encoded by assigned LGU staff into an Excel-based program developedby the EcoGov Project. The post-workshop requirements in Sub-Module 3Aserves as the pre-workshop activities of Sub-Module 3B.The post-activity of this sub-module is the tabulation andencoding of collected data. It is necessary to organize ashort hands-on training session (one day) on the Excel-based program for those who will be encoding the data.This session will include techniques in spotting the morebasic data errors (e.g., wrong additions, wrong conversionto volume; missing data entries). It is critical that theassigned LGU personnel are familiar with theuse of the Excel software.Participants It is encouraged that all TWG and ESWMBoard members experience doing wastecharacterization. This activity should involve asmany sectors as possible as this is not onlyvery educational; it also promotes teamworkamong those who will be involved in planningand actual implementation of the plan, includingthe conduct of IEC. Some laborers may be hiredto help in this activity; they must go through anorientation before they are deployed. The ISWM Training Guide 27