Municipal Conceptualframework

UNDP/UNCHS (Habitat)/World Bank/SDC Collaborative Programmeon Municipal Solid Waste management in Low-Income Countries

URBAN MANAGEMENT AND INFRASTRUCTURE

Conceptual Framework forMunicipal Solid Waste Management

in Low-Income Countries

Peter Schbeler

in collaboration with Karl Wehrle and Jrg Christen, SKAT

August 1996

Working Paper No. 9

1996

UNDP/UNCHS/WORLD BANK-UMPP.O. Box 30030NairobiKenya

Swiss Agency for Development and Cooperation (SDC)Eigerstrasse 73CH-3003 BerneSwitzerland

Published by:SKAT (Swiss Centre for Development Cooperationin Technology and Management)Vadianstrasse 42CH-9000 St. GallenSwitzerlandTelephone: +41 71 228 54 54Facsimile: +41 71 228 54 55

First edition 1996

This paper has been prepared under the auspices of the UNDP/UNCHS/World Bank-sponsored Urbanmanagement Programme in the frame of the UMP/SDC collaborative programme in Municipal SolidWaste Management. The findings, interpretations and conclusions expressed here are those of the authorsand do not necessarily represent the views of UNDP, UNCHS, the World Bank, SDC or any of theiraffiliated organisations.

Emiel Wegelin Franoise Lieberherr Sonia HammamCoordinator Head of Urban Team LeaderUrban Management Programme (UMP) Development Services UMPTechnical Cooperation Division SDC TWURDUNCHS (Habitat) The World Bank

Foreword

This working paper has been prepared by the Urban Management Programme (UMP) in the framework ofa collaborative programme with the Swiss Agency for Development and Cooperation (SDC).

The UMP is a ten-year global technical cooperation programme designed to strengthen the contributionthat cities and towns in developing countries make toward human development, including economic growth,social development, and the reduction of poverty.

The Programme is a partnership of the international community: UNCHS (Habitat) is the executingagency; The World Bank is the associated agency and UNDP provides the core funding and overall moni-toring. Bilateral donors, multilateral agencies such as the World Health Organization and Non-Govern-mental Organizations (NGOs) provide various types of support.

The ultimate beneficiaries of the Programme are the citizens who live in and use cities and towns,particularly the urban poor, who will receive better-managed services and more accountable, participa-tory, and transparent management as a result of the Programme.

The Urban Management Programme

Through its regional offices in Africa, the Arab States, Asia and the Pacific, and Latin America and theCaribbean, the UMP seeks to strengthen urban management by harnessing the skills and strategies ofnetworks of regional experts, communities and organizations in the public and private sectors. The goal ofthe Programme is to strengthen this local and regional expertise.

n City and Country Consultations. The UMP brings together national and local authorities, the pri-vate sector, community representatives, and other actors within a country to discuss specific prob-lems within the UMPs subject areas and to propose reasoned solutions. Consultations are held solelyat the request of a developing country and often provide a forum for discussion of a cross-section ofissues generally resulting in a concrete action plan for policy programme change.

n Technical Cooperation. The UMP uses its regional networks of expertise to sustain follow-up to theconsultations by providing technical advice and cooperation to facilitate the implementation of ac-tion plans and to mobilise the resources needed for their implementation.

Through its Core Teams in Nairobi and Washington, D.C., the UMP supports the regional programmes andnetworks by synthesising lessons learned, conducting state-of-the-art research, identifying best practices,and disseminating programme-related materials.

The UMP Dissemination

The UMP produces a number of publications which present the findings of specific research activities,summarize the results of case studies, research, and the insights and broad recommendations developedunder the work of the UMP to date, and illustrate instruments, techniques, or procedures, the UMP hasfound useful in addressing the issues surrounding the five components.

The UMPs Working Papers Series

The working paper series has several objectives. The content of the series seeks to highlight examples ofgood and best practices in the various components of urban management or give an overview of mainissues and options in a particular field of urban management. This will range from case studies andtraining materials on one or more aspects of urban management in a particular city to regional and evenglobal syntheses of experiences. Much of the latter will increasingly be drawn from the UMPs regionalprogrammes. The timeliness of the information in the series is an important objective. Hence, the reviewand production processes for issuing the series have been streamlined to allow for rapid publication anddissemination. The sources of material that will be published in the series are intended to be diverse.Authors will be drawn from the UMPs regional coordinators, Programme consultants, members of theUMPs regional networks, UMP core team members, and others.

The audience for the working papers will also be diverse, varying according to publication. The seriesshould be of use to urban managers, urban policy makers at different levels of government, ExternalSupport Agencies (ESAs) that provide support for urban development, community and non governmentalorganisations, academics, and the media.

In parallel, the UMP also issues a formal publications series that consists of discussion papers, policyframework papers, and management tools. A list of titles that have been prepared in the formal series andworking paper series is attached at the end of this paper.

Many of the formal series publications are available in English, Spanish, and French. The working paperseries is available only in English though translations could be available at a later date.

Acknowledgements

This working paper has been prepared by Peter Schbeler as a consultant to SKAT, Swiss Centre forDevelopment Cooperation in Technology and Management, on behalf of the SDC (Swiss Agency forDevelopment and Cooperation) in the frame of the UMP/SDC Collaborative Programme on MunicipalSolid Waste Management in Low-Income Countries.

An earlier draft of this paper, incorporating preparatory work by Klaus Grimm, was presented at theInternational Interagency Workshop on Municipal Solid Waste Management (MSWM) in Ittingen, Swit-zerland, April 19951 . The present version owes very much to the contributions and comments of theWorkshop participants. The author gratefully acknowledges the overall guidance of Carl Bartone of theWorld Bank, and Walter Meyer of SDC, and the collaboration, assistance and support of Jrg Christen andKarl Wehrle of SKAT, who provided substantive and editorial inputs towards completion of the paper.Valuable inputs and comments were also received from Sandra Cointreau-Levine, Philip Rushbrook andDavid Wilson.

1 See: SKAT / P. Schbeler; SDC/UMP Collaborative Programme on MSWM, Proceedings of the IttingenWorkshop, available at SKAT, St.Gallen, Switzerland

Abbreviations

CBO Community-based Organisation

CCWSS Collaborative Council for Water Supply and Sanitation

ESA External Support Agency

MEIP Municipal Environmental Improvement Programme

MSWM Municipal Solid Waste Management

NGO Non-Governmental Organisation

NIMBY Not in my back yard

O&M Operation and Maintenance

SCP Sustainable Cities Programme

SDC Swiss Agency for Development and Cooperation

SKAT Swiss Centre for Development Cooperation in Technology and Management

UMP Urban Management Programme

UNDP United Nations Development Programme

UNEP United Nations Environmental Programme

UNICEF United Nations Childrens Fund

WSSP Water and Sanitation Programme, UNDP/World Bank

Table of Contents

Executive Summary ................................................................................ 9

1. Introduction ............................................................................................ 151.1 Importance of Municipal Solid Waste Management ................................................... 15

1.2 Origins and Use of the Framework Paper ................................................................. 15

1.3 Structure and Content of the Conceptual Framework ............................................... 16

2. Describing Municipal Solid Waste Management ............................. 182.1 Definitions ...................................................................................................................... 18

2.2 Goals and Principles of MSWM ................................................................................. 18

2.3 Scope of MSWM ........................................................................................................ 19

2.4 Actors and Partners ..................................................................................................... 202.4.1 Households, Communities and other Service Users ............................................................ 20

2.4.2 Non-Governmental Organisations ........................................................................................... 21

2.4.3 Local Government ...................................................................................................................... 21

2.4.4 National Government ................................................................................................................ 22

2.4.5 Private Sector Enterprises ........................................................................................................ 23

2.4.6 Informal Private Sector ............................................................................................................. 23

2.4.7 External Support Agencies ...................................................................................................... 24

2.5 Context .......................................................................................................................... 242.5.1 Political Context ......................................................................................................................... 25

2.5.2 Socio-Cultural Context .............................................................................................................. 25

2.5.3 Economic Context ...................................................................................................................... 25

2.5.4 Environmental Context .............................................................................................................. 26

3. Strategic Aspects .................................................................................. 273.1 Political Aspects ........................................................................................................... 27

3.1.1 Goals and Priorities ................................................................................................................... 27

3.1.2 Role and Jurisdiction ................................................................................................................ 28

3.1.3 Legal and Regulatory Framework ........................................................................................... 28

3.1.4 Summary of Political Objectives ............................................................................................. 29

3.1.5 Outline of Political Issues ........................................................................................................ 29

3.2 Institutional Aspects ...................................................................................................... 303.2.1 Decentralisation and Distribution of Responsibilities ......................................................... 30

3.2.2 Institutional Arrangements and Sectoral Integration........................................................... 31

3.2.3 Planning and Management Methods and Procedures ......................................................... 32

3.2.4 Capacities of Municipal Waste Management Institutions .................................................. 32

3.2.5 Private Sector Involvement and User Participation ............................................................. 32

3.2.6 Summary of Institutional Objectives ...................................................................................... 34

3.2.7 Outline of Institutional Issues ................................................................................................ 34

8Conceptual Framework for Municipal Solid Waste Management

3.3 Social Aspects .............................................................................................................. 353.3.1 Waste Generation and Disposal Patterns .............................................................................. 35

3.3.2 User Participation ...................................................................................................................... 36

3.3.3 Social Conditions of Waste Workers ..................................................................................... 37

3.3.4 Summary of Social Objectives ................................................................................................. 37

3.3.5 Outline of Social Issues ........................................................................................................... 38

3.4 Financial Aspects .......................................................................................................... 383.4.1 Budgeting and Cost Accounting ............................................................................................ 39

3.4.2 Resource Mobilisation for Capital Investments ................................................................... 39

3.4.3 Financing Operating Expenses ................................................................................................ 39

3.4.4 Cost Reduction and Control .................................................................................................... 41

3.4.5 Summary of Financial Objectives............................................................................................ 41

3.4.6 Outline of Financial Issues ...................................................................................................... 42

3.5.1 Economic Productivity and Development .............................................................................. 42

3.5.2 Life-Cycle Costing and Economic Evaluation ....................................................................... 43

3.5.3 Resource Efficiency .................................................................................................................. 43

3.5.4 Employment and Income Generation ...................................................................................... 44

3.5.5 Summary of Economic Objectives .......................................................................................... 44

3.5.6 Outline of Economic Issues ..................................................................................................... 45

3.6 Technical Aspects ......................................................................................................... 45

3.6.1 Technical Planning and Design ............................................................................................... 45

3.6.2 Waste Collection Systems........................................................................................................ 46

3.6.3 Transfer Systems ....................................................................................................................... 46

3.6.4 Resource Recovery and Disposal Waste Recovery ............................................................. 47

3.6.5 Hazardous and Special Waste Management ......................................................................... 49

3.6.6 Summary of Technical Objectives ........................................................................................... 49

3.6.7 Outline of Technical Issues ..................................................................................................... 49

4. Development Assistance Outlook ...................................................... 514.1 Development Support Needs ....................................................................................... 51

4.1.1 Policy, Planning and the Legal Framework ........................................................................... 51

4.1.2 Institutional Development and Management Strengthening ............................................... 51

4.1.3 Private Sector Involvement ...................................................................................................... 52

4.1.4 Community Participation and Peoples Involvement ............................................................ 52

4.1.5 Technical Development ............................................................................................................. 53

4.1.6 Hazardous and Special Waste Management ......................................................................... 53

4.2 Indicative Programme Directions ................................................................................. 53

9Executive Summary

Introduction

1. Municipal Solid Waste Management (MSWM) is major responsibility of local government. It is acomplex task which requires appropriate organisational capacity and cooperation between numerousstakeholders in the private and public sectors. Although it is essential to public health and environ-mental protection, solid waste management in most cities of developing countries is highly unsatis-factory.

2. The Conceptual Framework provides brief definitions of the main concepts of MSWM and identifiesthe goals and principles that normally guide MSWM system development. It discusses key objectivesand issues which should be addressed by MSWM strategies with regard to political, institutional,social, financial, economic and technical aspects.

3. MSWM is an important entry point for integrated urban management support; the Framework paperconcludes by outlining possible directions for development cooperation.

4. The Conceptual Framework is not a finished product: it will be further elaborated by the UMP andits partners.

Describing Municipal Solid Waste Management

5. Municipal solid waste is defined to include refuse from households, non-hazardous solid waste fromindustrial, commercial and institutional establishments (including hospitals), market waste, yard wasteand street sweepings. MSWM encompasses the functions of collection, transfer, treatment, recycling,resource recovery and disposal of municipal solid waste.

6. The first goal of MSWM is to protect the health of the population, particularly that of low-incomegroups. Other goals include promotion of environmental quality and sustainability, support of eco-nomic productivity and employment generation. Achievement of MSWM goals requires sustainablesolid waste management systems, which are adapted to and carried by the municipality and its localcommunities.

7. The scope of MSWM encompasses planning and management systems, waste generation processes,and organisations, procedures and facilities for waste handling. Development strategies comprisespecific objectives and measures in these areas. They need to consider the specific interests, rolesand responsibilities of numerous actors, including:

n households, community-based organisations (CBO) and other service users,

n local and national government authorities,

n non-governmental organisations (NGO)

n formal and informal private sector enterprises, and

n external support agencies (ESAs).

8. The functioning of MSWM systems and the impact of related development activities dependson their adaptation to particular characteristics of the political, social, economic and environmentalcontext of the respective city and country.

Executive Summary

10

Conceptual Framework for Municipal Solid Waste Management

Strategic Aspects of Solid Waste Management

9. To achieve sustainable and effective waste management, development strategies must go beyondpurely technical considerations to formulate specific objectives and implement appropriate measureswith regard to political, institutional, social, financial, economic and technical aspects of MSWM:

10. Political aspects concern the formulation of goals and priorities, determination of roles and juris-diction, and the legal and regulatory framework:

n Societys goals and priorities regarding environmental protection and equitable service accessmust be clearly articulated in order to mobilise popular support and resources required for theirrealisation.

n A clear definition of jurisdiction and roles is essential to the political sustainability of MSWMsystems. The strategic plan for MSWM provides a basis for putting the defined roles of gov-ernment authorities and other actors into effect.

n Bylaws, ordinances and regulations for MSWM should be few in number, transparent, unam-biguous and equitable.

11. Institutional aspects concern the distribution of functions and responsibilities and correspond toorganisational structures, procedures, methods, institutional capacities and private sector involve-ment:

n Effective MSWM depends upon an appropriate distribution of responsibilities, authority andrevenues between national, provincial and local governments. In metropolitan areas, where MSWMtasks extend across several local government units, inter-municipal cooperation is essential.

n Decentralisation of responsibility for MSWM requires a corresponding distribution of powersand capacities. It normally calls for revised organisational structures, staffing plans and jobdescriptions of the local agencies concerned.

n Capacity-building measures for MSWM should give primary attention to strategic planning andfinancial management. Discrepancies often exist between MSWM job requirements and the ac-tual staff qualifications; training and human resource development are thus important compo-nents.

n Private sector involvement in MSWM implies a shift in the role of government institutions fromservice provision to regulation. Essential conditions for successful private sector involvementinclude competitive bidding, technical and organisational capacity, regulatory instruments andmonitoring and control systems.

n The contribution of informal waste collection workers may be significantly improved throughappropriate organisational measures.

12. Social aspects of MSWM include the patterns of waste generation and handling of households andother users, community-based waste management and the social conditions of waste workers:

n Waste generation patterns are determined by peoples attitudes as well as their socio-economiccharacteristics. Attitudes towards waste may be positively influenced by awareness-building cam-paigns and educational measures.

n In many low-income residential areas, community-based solid waste management is the onlyfeasible solution. Functional links between community-based activities and the municipal systemare very important, however.

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n Even where municipal waste collection services are provided, user cooperation is essential toefficient MSWM operations. Cooperation may be promoted through general awareness-buildingprogrammes as well as focused MSWM information campaigns.

n Waste workers especially those in the informal private sector live and work under sociallyprecarious conditions and are subject to serious health risks. Support should aim to improvetheir working conditions, earnings, and access to social services.

13. Financial aspects of MSWM concern budgeting and cost accounting, capital investment, cost recov-ery and cost reduction:

n Although they are essential to effective MSWM, available practical methods of budgeting, costaccounting, financial monitoring and financial evaluation are too seldom employed. Their appli-cation should be actively promoted within institutional development programmes.

n The main options for financing capital investment for MSWM include local budget resources,loans from financial intermediaries and special central government loans or grants. While cen-tral financing is often needed, investment authority should be devolved to local governments.

n The main options for financing recurrent MSWM costs are user charges, local taxes and inter-governmental transfers; clear preference should be given to user charges. To achieve equitableservice access, some degree of cross-subsidisation and/or financing out of general revenues isoften needed, however.

n MSWM fee collection performance is often poor. Improvement can often be achieved by attach-ing solid waste fees to the billing for another service, such as water supply.

n Solid waste service revenues normally flow into a general municipal account, where they tend tobe absorbed by overall expenditures. Clear political decisions and autonomous accounting proce-dures are required to ensure that MSWM revenues are employed for the intended purpose.

n The potential for increasing MSWM revenues is usually limited; cost reduction doing morewith less is almost always the best way to improve financial sustainability.

14. Economic aspects of MSWM are concerned with the impact of services on economic activities,cost-effectiveness of MSWM systems, macro-economic dimensions of resource use and conservation,and income generation:

n Solid waste generation and the demand for waste collection services generally increase witheconomic development.

n A trade-off is normally required between the objectives of low-cost collection service and envi-ronmental protection.

n The economic effectiveness of MSWM systems depends upon the life-cycle costs of facilitiesand equipment and the long-term economic impact of services provided.

n Economic evaluation constitutes an important input to strategic planning and investment pro-gramming for MSWM.

n Measures should be introduced which discourage wasteful use of materials and encourage wasteminimisation. The best way to promote efficient use and conservation of materials is to internal-ise the costs of waste management as far as possible in the production, distribution and con-sumption phases.

Executive Summary

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n Private sector involvement in waste management may actually reduce the number of jobs in thesector. Economic strategies should seek, firstly, to increase effectiveness and labour productivityof MSWM and, secondly, to generate employment by expanding service coverage.

15. Technical aspects of MSWM are concerned with the planning and implementation and maintenanceofcollection and transfer systems, waste recovery, final disposal and hazardous waste management.

n Technical facilities and equipment must be designed and selected with careful regard to theiroperating characteristics, performance, maintenance requirements and expected life-cycle costs.Close attention should be paid to preventive maintenance, repair and spare parts availability.

n Design of transfer facilities and equipment must match the characteristics of local collectionsystems and the capacity of existing disposal facilities. Local collection systems should be de-signed with active participation of the communities concerned.

n Informal waste recovery and scavenging may be rendered more productive through supportmeasures and appropriate technical design of the waste management systems. Public sector in-volvement in waste recovery and/or leasing of waste recovery rights to private sector enterprisesmay be considered..

n The most appropriate method of final disposal in developing countries is nearly always thesanitary landfill. To minimise their environmental impact, landfills must be carefully sited, cor-rectly designed and well operated.

n Sources of hazardous waste materials must be identified, registered and targeted for appropriatemanagement; special attention needs to be paid to infectious healthcare wastes.

Development Assistance Outlook

16. An initial assessment of MSWM needs indicates that development assistance should focus on policysupport, institutional development, private sector involvement, user participation, technical develop-ment and hazardous waste management.

n Policy support applies to the formulation of appropriate bylaws, regulations and standards, andintegration of MSWM into the relevant legal framework.

n Institutional development and strengthening promotes the decentralisation of authority andincludes measures to build the powers and capacities of local governments commensurate withtheir MSWM responsibilities.

n Private sector involvement should be supported through practical guidelines and tools for es-tablishing satisfactory working relationships with private sector actors, and related changes inthe legal and regulatory framework.

n User participation should be supported through documentation, practical guidance and tools toassist governments to improve user cooperation and establish low-cost community-managed col-lection services.

n Technical development includes guidelines, methods and tools for the design and selectionMSWM facilities and equipment; particular attention should be paid to operation and mainte-nance.

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n Hazardous waste management support encompasses documentation, tools and guidelines; it re-fers to small and scattered hazardous waste sources as well large industrial and commercialwaste generators.

17. MSWM related activities of the UMP and its partners would be closely co-ordinated with relevantESAs and programmes. Possible forms include:

n Integrated, city-level MSWM projects and demonstration projects,

n Process-oriented advisory services at central government level,

n Advisory services on specific components of the MSWM system,

n Programmes and materials for human resources development,

n Applied research and elaboration of manuals and guidelines,

n Dissemination of know-how through literature, case studies, project documents and articles, and

n Support to exchange of experience and professional discussions.

Executive Summary

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15

Conceptual Frameworkfor Municipal Solid Waste Managementin Low-Income Countries

1. Introduction1.1 Importance of Municipal Solid Waste

Management

Municipal solid waste management (MSWM) is a major responsibilityof local governments, typically consuming between 20% and 50% ofmunicipal budgets in developing countries. It is a complex task whichdepends as much upon organisation and cooperation between households,communities, private enterprises and municipal authorities as it does uponthe selection and application of appropriate technical solutions for wastecollection, transfer, recycling and disposal. Furthermore, waste manage-ment is an essential task which has important consequences for publichealth and well-being, the quality and sustainability of the urban envi-ronment and the efficiency and productivity of the urban economy. Inmost cities of developing countries, waste management is inadequate: asignificant portion of the population does not have access to a wastecollection service and only a fraction of the generated waste is actuallycollected. Systems for transfer, recycling and/or disposal of solid wasteare unsatisfactory from the environmental, economic and financial pointsof view.

In recent years, MSWM has attracted increasing attention from bilateraland multilateral development agencies, due to the mounting urgency ofurban environmental problems identified, for example, in Agenda 21,Chapters 7 and 21 and increasing concern for capacity building atthe level of municipal management. With its broad organisational impli-cations and close links to other sectors, MSWM constitutes an importantentry point for integrated urban management support.

1.2 Origins and Use of the Framework Paper

An earlier version of this paper was presented at the Ittingen Workshopon Municipal Solid Waste Management in Low-Income Countries (Swit-zerland, 9-12 April, 1995). The workshop was a joint initiative of SwissDevelopment Cooperation (SDC) and the Urban Management Programme(UMP), aimed at defining critical issues of MSWM in developing coun-tries, identifying support needs and outlining possible directions of de-velopment assistance.

Municipal solid wastemanagement (MSWM) is acomplex task whichdepends as much uponorganisation andcooperation betweennumerous public andprivate sector actors andas it does uponappropriate technicalsolutions.

MSWM is an importantentry point for urbanmanagement support.

This paper derives from ajoint initiative to definecritical MSWM issues,identify needs, and outlinepossible assistanceactivities.

Introduction

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The present paper incorporates the conclusions and recommendations ofthe Workshop. It will be used by the UMP and its partner organisationsas a check list to facilitate and co-ordinate the preparation of activi-ties and programmes in the field, and a starting point for the elaborationof a policy framework paper on solid waste management. Besides theWorkshop participants and the UMP itself, this paper is directed towardsmunicipal authorities and concerned government officials in developingcountries, NGO and organisations active in waste management, as wellas other External Support Agencies (ESAs) and development programmes.The conceptual framework is not a finished product; it will be furtherdeveloped and elaborated by the UMP and its partners.

1.3 Structure and Content of the ConceptualFramework

The conceptual framework illustrated in Figure 1 is structuredalong three principle dimensions, corresponding to the questions:

n What is the scope of waste management activities?

n Who are the actors and development partners in the field?

n How should strategic objectives and issues be addressed?

Chapter 2 offers brief definitions of the central concepts of MSWM andidentifies the goals and principles which normally motivate and guidesolid waste management. The scope of waste management activities(what) and the concerned actors and partners in development coopera-tion (who) are then described. The chapter closes with a brief outlineof the context in which solid waste management systems operate at thepolitical, socio-cultural, economic and environmental levels.

Chapter 3 discusses the strategic aspects of MSWM (how). These as-pects may be understood as those portions of the context which are di-rectly influenced and/or mobilised by waste management strategies. Al-though it does not propose specific strategies for waste management, thepaper discusses key objectives and issues that should be addressed byMSWM strategies in the political, institutional, social, financial, eco-nomic and technical domains.

Finally, Chapter 4 discusses the needs for development assistance inMSWM and the outlook for programmes of development assistance.

The ConceptualFramework is not afinished product; it willbe further developed andelaborated by the UMPand its partners.

The paper offersdefinitions of centralconcepts of MSWM andidentifies the main goalsand principles.

The paper discussesobjectives and issues to beaddressed by MSWMdevelopment strategies.

Possible directions ofassistance are identified.

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2. Describing Municipal Solid WasteManagement

2.1 Definitions

Municipal solid waste is defined to include refuse from households,non-hazardous solid waste from industrial, commercial and institutionalestablishments (including hospitals), market waste, yard waste and streetsweepings. Semisolid wastes such as sludge and nightsoil are consideredto be the responsibility of liquid waste management systems. While haz-ardous industrial and medical wastes are, by definition, not componentsof municipal solid waste, they are normally quite difficult to separatefrom municipal solid waste, particularly when their sources are smalland scattered. MSWM systems should therefore include special measuresfor preventing hazardous materials from entering the waste stream and to the extent that this cannot be ensured alleviating the seriousconsequences that arise when they do. Finally, debris from constructionand demolition constitute difficult categories of waste which also re-quire separate management procedures.

Management is a cyclical process of setting objectives, establishing long-term plans, programming, budgeting, implementation, operation andmaintenance, monitoring and evaluation, cost control, revision of objec-tives and plans, and so forth. Management of urban infrastructure serv-ices is a basic responsibility of the municipal government. It is usuallyadvantageous to execute service provision tasks in partnership with pri-vate enterprises (privatisation) and/or with the users of services (partici-pation), but the final responsibility remains that of the government.

Municipal solid waste management (MSWM) refers to the collection,transfer, treatment, recycling, resource recovery and disposal of solidwaste in urban areas.

2.2 Goals and Principles of MSWM

The first goal of MSWM is to protect the health of the urban popula-tion, particularly that of low-income groups who suffer most from poorwaste management. Secondly, MSWM aims to promote environmentalconditions by controlling pollution (including water, air, soil and crossmedia pollution) and ensuring the sustainability of ecosystems in theurban region. Thirdly, MSWM supports urban economic development byproviding demanded waste management services and ensuring the effi-cient use and conservation of valuable materials and resources. Forthly,MSWM aims to generate employment and incomes in the sector itself.The goals of MSWM are:

1. To protect environmental health,

2. To promote the quality of the urban environment,

Municipal solid wastecomprises refuse fromhouseholds, non-hazardoussolid waste fromindustrial, commercial andinstitutionalestablishments, marketwaste, yard waste andstreet sweepings.

Management is a cyclical,goal-oriented process.

MSWM includes all phasesof waste collection,recycling, treatment anddisposal.

A first goal of MSWM isto protect the health ofthe entire urbanpopulation.

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3. To support the efficiency and productivity of the economy

4. To generate employment and income.

To achieve the above goals, it is necessary to establish sustainable sys-tems of solid waste management which meet the needs of the entireurban population, including the poor. The essential condition ofsustainability implies that waste management systems must be absorbedand carried by the society and its local communities. These systems must,in other words, be appropriate to the particular circumstances and prob-lems of the city and locality, employing and developing the capacities ofall stakeholders, including the households and communities requiringservice, private sector enterprises and workers (both formal and infor-mal), and government agencies at the local, regional and national levels.

Waste management should be approached from the perspective of theentire cycle of material use, which includes production, distribution andconsumption as well as waste collection and disposal. Whilst immediatepriority must be given to effective collection and disposal, waste reduc-tion and recycling should be pursued as equally important, longer-termobjectives. The principles of sustainable waste management strategies arethus to:

n minimise waste generation

n maximise waste recycling and reuse, and

n ensure the safe and environmentally sound disposal of waste.

Solid waste management goals cannot be achieved through isolated orsectoral approaches. Sustainable waste management depends on the overalleffectiveness and efficiency of urban management, and the capacity ofresponsible municipal authorities.

2.3 Scope of MSWM

Within the overall framework of urban management, the scope of MSWMencompasses the following functions and concerns:

1. Planning and Management

n Strategic planning

n Legal and regulatory framework

n Public participation

n Financial management (cost recovery, budgeting, accounting, etc.)

n Institutional arrangements (including private sector participation)

n Disposal facility siting

To achieve the goals ofMSWM, sustainablesystems of wastemanagement must beestablished.

Waste management shouldbe approached from theperspective of the entirecycle of material use.

Solid waste managementgoals cannot be achievedthrough isolated, sectoralapproaches.

The scope of MSWMencompasses planning andmanagement, wastegeneration and wastehandling processes.


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2. Waste Generation

n Waste characterisation (source, rates, composition, etc.)

n Waste minimisation and source separation

3. Waste Handling

n Waste collection

n Waste transfer, treatment and disposal

n Special wastes (medical, small industries, etc.)

Practical strategies for improving MSWM will thus comprise specificobjectives and measures in these areas.

2.4 Actors and Partners

A wide range of individuals, groups and organisations are concernedwith MSWM as service users, service providers, intermediaries and/orregulators. The interests, agendas and roles of these actors are brieflydescribed below:

2.4.1 Households, Communities and other Service Users

Residential households are mainly interested in receiving effective anddependable waste collection service at a reasonably low price. Disposalis not normally a priority demand of service users, so long as the qual-ity of their own living environment is not affected by dump sites. Onlyas informed and aware citizens do people become concerned with thebroader objective of environmentally sound waste disposal.

In low-income residential areas where most services are unsatisfactory,residents normally give priority to water supply, electricity, roads, drainsand sanitary services. Solid waste is commonly dumped onto nearbyopen sites, along main roads or railroad tracks, or into drains and water-ways. Pressure to improve solid waste collection arises as other servicesbecome available and awareness mounts regarding the environmental andhealth impacts of poor waste collection service.

Poorly served residents often form community-based organisations (CBO)to upgrade local environmental conditions, improve services and/or peti-tion the government for service improvements. CBOs which may arisein middle and upper income neighbourhoods as well as in low-incomeareas may become valuable partners of the government in local wastemanagement. When sufficiently organised, community groups have con-siderable potential for managing and financing local collection servicesand operating waste recovery and composting activities.

MSWM concerns a widerange of public andprivate sector actors.

Residential householdswant effective anddependable wastecollection service at anaffordable prices.

Community groups haveconsiderable potential formanaging local collectionservices.

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Other service users including small and large scale industrial andcommercial establishments and institutions are similarly interested inreliable and affordable waste collection service. Commercial establish-ments are particularly concerned to avoid waste related pollution, whichwould inconvenience their customers. Industrial enterprises may have astrong interest in reducing waste generation and can play an active rolein managing waste collection, treatment and disposal in collaborationwith government authorities and/or specialised private enterprises.

2.4.2 Non-Governmental Organisations

Non-governmental organisations (NGOs) operate between the private andgovernmental realms. Originating outside of the communities in whichthey work, NGOs are motivated primarily by humanitarian and/or de-velopmental concerns rather than an interest in service improvement fortheir own members. The self-creation of meaningful employment formembers may also be a motivation for NGO formation.

NGOs may help increase the capacity of people or community groups toplay an active role in local solid waste management by contributing to:

n peoples awareness of waste management problems,

n organisational capacity and the formation of community-based or-ganisations (CBO),

n channels of communication between CBO and government authori-ties,

n CBOs voice in municipal planning and implementation processes,

n technical know-how of locally active CBO, and

n access to credit facilities.

NGOs may also provide important support to informal sector waste work-ers and enterprises, assisting them to organise themselves, to improvetheir working conditions and facilities, increase their earnings and ex-tend their access to essential social services such as health care andschooling for children.

2.4.3 Local Government

Local government authorities are generally responsible for the provisionof solid waste collection and disposal services. They become the legalowner of waste once it is collected or put out for collection. Responsi-bility for waste management is usually specified in bylaws and regula-tions and may be derived, more generally, from policy goals regardingenvironmental health and protection. Besides their legal obligations, lo-cal governments are normally motivated by political interests. User sat-isfaction with provided services, approval of higher government authori-

Commercial and industrialestablishments areinterested in effectivewaste collection and, inmany cases, wasteminimisation.

NGOs may help toincrease the communityscapacity to manage wastecollection.

Local governments aremotivated by politicalinterests as well as legalobligations.


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ties and financial viability of the operation are important criteria ofsuccessful solid waste management from the local government perspec-tive.

The authority to enforce bylaws and regulations, and to mobilise theresources required for solid waste management is, in principle, conferredupon local governments by higher government authorities. Problems of-ten arise when local governments authority to raise revenues is not com-mensurate with their responsibility for service provision. Besides solidwaste management, municipal governments are also responsible for theprovision of the entire range of infrastructure and social services. Needsand demands for MSWM must therefore be weighed and addressed inthe context of the needs and relative priorities in all sectors and serv-ices.

To fulfil their solid waste management responsibilities, municipal gov-ernments normally establish special purpose technical agencies, and arealso authorised to contract private enterprises to provide waste manage-ment services. In this case, local authorities remain responsible for regu-lating and controlling the activities and performance of these enterprises.

Effective solid waste management depends upon the cooperation of thepopulation, and local governments should take measures to enhance pub-lic awareness of the importance of MSWM, generate a constituency forenvironmental protection and promote active participation of users andcommunity groups in local waste management.

2.4.4 National Government

National governments are responsible for establishing the institutionaland legal framework for MSWM and ensuring that local governmentshave the necessary authority, powers and capacities for effective solidwaste management. In many countries, responsibility is delegated with-out adequate support to capacity building at the local government level.

To assist local governments to execute their MSWM duties, national gov-ernments need to provide them with guidelines and/or capacity-buildingmeasures in the fields of administration, financial management, techni-cal systems and environmental protection. In addition, national govern-ment intervention is often required to solve cross-jurisdictional issuesbetween local government bodies, and to establish appropriate forms ofassociation when as in most metropolitan areas effective wastemanagement calls for the collaboration of several local bodies.

Problems arise when localgovernments authority isnot commensurate with itsMSWM responsibilities.

Local governments seek toenhance public awarenessof MSWM problems andpriorities.

National governments areresponsible for the MSWMinstitutional and legalframework.

National governmentsshould provide assistancewith cross-jurisdictionalproblems.

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2.4.5 Private Sector Enterprises

The formal private sector includes a wide range of enterprise types, vary-ing from informal micro-enterprises to large business establishments. Aspotential service suppliers, private enterprises are primarily interested inearning a return on their investment by selling waste collection, transfer,treatment, recycling and/or disposal services. Operating in various formsof partnership with the public sector, they may provide capital, manage-ment and organisational capacity, labour and/or technical skills.

Due to their profit orientation, private enterprises can, under appropri-ate conditions, provide MSWM services more effectively and at lowercosts than the public sector. However, private sector involvement doesnot, in itself, guarantee effectiveness and low costs. Problems arise whenprivatisation is poorly conceived and regulated and, in particular, whencompetition between suppliers is lacking.

Private sector waste collectors may be contracted directly by individualhouseholds, neighbourhood associations or business establishments. Moreoften, they operate under contractual agreement with municipal authori-ties. In this case, the authorities commonly retain responsibility for userfee collection. This arrangement ensures more equitable service access;when private enterprises depend on the direct collection of user chargesthey have little incentive to provide services in low-income areas whererevenue potentials are weak.

2.4.6 Informal Private Sector

The informal private sector comprises unregistered, unregulated activi-ties carried out by individuals, families, groups or small enterprises. Thebasic motivation is self-organised revenue generation; informal wasteworkers are often driven to work as waste collectors or scavengers bypoverty and the absence of more attractive employment possibilities. Insome cases, informal waste workers belong to religious, caste or ethnicminorities and social discrimination is a factor which obliges them towork under completely unhygienic conditions as waste collectors orsweepers. Their association with an activity which the public perceivesto be filth-related tends, at the same time, to perpetuate discriminationagainst them.

Informal waste workers usually live and work under extremely precari-ous conditions. Scavenging, in particular, requires very long workinghours and is often associated with homelessness. Besides socialmarginalisation, waste workers and their families are subject to economicinsecurity, health hazards, lack of access to normal social services suchas health care and schooling for children, and the absence of any formof social security.

Private enterprises areprimarily interested inearning a return on theirinvestment.

Private enterprises are canprovide more efficient,lower cost MSWMservices.

Informal sector workersare often driven bypoverty to work as wastecollectors.

Informal waste workerslive and work underextremely precariousconditions.


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The waste collection, transfer, separation, recycling and/or disposal ac-tivities of informal waste workers constitute economically valuable serv-ices. Informal waste workers work, normally, on a self-employed basisor as informally organised groups; in some cases they may be hireddirectly by households and/or neighbourhood groups. In general, how-ever, the marginalised and unstable social and economic circumstancesof informal waste workers make it quite difficult to integrate their con-tribution into the MSWM system. As an initial step, informal workersrequire organisational and technical support to promote their social re-habilitation and alleviate the unacceptable socio-economic conditions inwhich they live and work. Through the formation of co-operative socie-ties or micro-enterprises, it is often possible to considerably increase thejob stability and earnings of informal sector workers, and to enhance theeffectiveness of their contribution to waste management.

2.4.7 External Support Agencies

Numerous bilateral and multilateral external support agencies (ESAs)are engaged in supporting MSWM in low-income countries. While someESAs have acquired considerable expertise in the area of waste manage-ment, MSWM is often a component within a broader development pro-gramme aimed at improving urban management capacities and/or urbanenvironmental protection.

There is a pressing need to improve cooperation between ESAs active inthe field of MSWM. Due to a lack of coherence in the technical anddevelopmental concepts of successive ESA contributions, many cities ofdeveloping countries are encumbered with incompatible and ineffectiveMSWM facilities and equipment. Coordination of approaches and ac-tivities would also enhance the effectiveness of ESA contributions at thenational and regional levels. Besides multi- and bilateral developmentagencies, coordination should encompass external NGO working in areasrelated to waste management.

2.5 Context

The effectiveness and sustainability of MSWM systems depend upon theiradaptation to the prevailing context of the city and/or country in whichthey operate. The most important aspects in this respect are outlinedbelow at the political, socio-cultural, economic and environmental lev-els:

The job stability andearning capacity ofinformal waste workerscan be improved.

It is difficult to integrateinformal waste collectioninto the MSWM system.

For external supportagencies (ESAs), MSWM isoften part of a broaderurban managementprogramme.

There is a pressing needto improve cooperationbetween ESAs.

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2.5.1 Political Context

MSWM is influenced in numerous ways by the political context. Theexisting relationship between local and central governments (the effec-tive degree of decentralisation, for example), the form and extent ofcitizens participation in the public processes of policy making and therole of party politics in local government administration all affect thecharacter of management, governance and the type of MSWM systemwhich is possible and appropriate.

2.5.2 Socio-Cultural Context

The functioning of MSWM systems is influenced by the waste handlingpatterns and underlying attitudes of the urban population, and these fac-tors are, themselves, conditioned by the peoples social and cultural con-text. Programmes to disseminate knowledge and skills, or to improvebehaviour patterns and attitudes regarding waste management, must bebased on sound understanding of the social and cultural characteristics.

Fast growing low-income residential communities may comprise a con-siderable diversity of social and ethnic groups, and this social diversitystrongly influences the capacity of communities to organise local wastemanagement. At the same time, urban communities often preserve ruraltraditions of mutual self-help and cooperation, which significantly en-hance the potential for community-based waste management.

The effectiveness and sustainability of municipal waste management sys-tems depends on the degree to which the served population identifieswith and takes ownership of the systems and facilities. To this end, itis important that the people be involved from the outset in the planningof the local segments of waste management systems. Community in-volvement is particularly important regarding the siting of facilities suchas waste transfer stations and landfill sites.

2.5.3 Economic Context

The character of waste management tasks and the technical and organi-sational nature of appropriate solutions depend a great deal on the eco-nomic context of the country and/or city in question and, in fact, on theeconomic situation in the particular area of a city. The level of economicdevelopment is an important determinant of the volume and composi-tion of wastes generated by residential and other users, for example. Atthe same time, the effective demand for waste management services the willingness and ability to pay for a particular level of service isalso influenced by the economic context of a particular city or area.

Administrativedecentralisation affects thecharacter of localgovernance and MSWMsystems.

The functioning of MSWMis influenced by thepeoples attitudes andpatterns of wastehandling.

The effectiveness of wastemanagement depends onpeoples identificationwith the MSWM system.

The level of economicdevelopment is adeterminant of wastegeneration and thedemand for MSWMservices.


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2.5.4 Environmental Context

Firstly, at the level of the built environment, the size and structure of asettlement has an important influence on the character and urgency ofwaste management needs. In quite low-density semi-urban settlements,for example, some form of local or even on-site solution to the manage-ment of organic solid wastes may be more appropriate than centralisedcollection and disposal. In urban areas, the physical characteristics of asettlement including such factors as density, width and condition ofroads, topography, etc. need to be considered when selecting and/ordesigning waste collection procedures and equipment such as containersand vehicles.

Secondly, at the level of natural systems, the interaction between wastehandling procedures and public health conditions is influenced by cli-matic conditions and characteristics of local natural and ecological sys-tems. The degree to which uncontrolled waste dump sites become breed-ing ground for insects, rodents and other disease vectors - and a gather-ing place for dogs, wild animals and poisonous reptiles - depends largelyon prevailing climatic and natural conditions. In practical terms, climatedetermines the frequency with which waste collection points must beserviced in order to limit negative environmental consequences.

Finally, environment health conditions may also be indirectly affectedthrough the pollution of ground and surface water by leachates fromdisposal sites. Air pollution is often caused by open burning at dumps,and foul odours and wind-blown litter are common. Methane, an impor-tant greenhouse gas, is a by-product of the anaerobic decomposition oforganic wastes in landfill sites. In addition, waste dumps may also be asource of airborne bacterial spores and aerosols. The suitability of adisposal site depends upon many factors, including specific characteris-tics of the subsoil, ground water conditions, topography, prevailing windsand the adjacent patterns of settlement and land-use.

The design of MSWMsystems must be adaptedto the physicalcharacteristics of thearea.

The proliferation ofvermin and disease vectorsdepends, in part, uponclimatic conditions.

The suitability of a wastedisposal site depends upona number of natural anddevelopmental conditions.

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3. Strategic AspectsDevelopment cooperation in the field of MSWM aims at establishingsustainable waste management systems. Supported solutions must, in otherwords, be appropriate to the circumstances, problems and potentials ofthe particular city and locality, so that they are absorbed and carried bythe municipality and its local communities. A sustainable solution willnot necessarily represent the highest standards of service and environ-mental protection, but those which can be afforded; it is important notto raise inappropriate and unachievable expectations in this regard. Atthe strategic level, appropriateness means more than passive adaptationto the prevailing context, however. Sustainable strategies of MSWM re-quire that specific objectives must be formulated and appropriate meas-ures taken with regard to the political, institutional, social, financial,economic, and technical aspects of waste management.

In practice, MSWM support programmes often focus on one or two as-pects as entry points. Although it is possible to begin with any one ofthe above aspects, the sustainability of development strategies will de-pend upon the eventual engagement of the entire range of these aspects.

The implementation of development strategy is a long-term process in-volving cooperation and coordination between various actors and part-ners. Each contribution needs to build upon existing activities and pro-grammes, avoiding duplication and promoting linkages and synergy ef-fects between on-going efforts. Development assistance should enable alearning by doing approach and promote the dissemination of success-ful solutions.

The goals of MSWM, and the objectives and issues characterising eachstrategic aspect, are summarised in Figure 2.

3.1 Political Aspects

The political aspects of MSWM strategies encompass:

n formulation of goals and priorities,

n determination of roles and jurisdiction, and

n establishment of legal and regulatory framework.

3.1.1 Goals and Priorities

Certain goals of MSWM, such as the provision of waste collection serv-ice to the poor and the environmentally sound disposal of solid waste,have the character of public goods, meaning that the total private eco-nomic demand for services is considerably lower than the full value ofthose services to society. In these cases, a public process is required to

Development ofsustainable MSWM systemsimplies that specificobjectives be formulatedand appropriate measurestaken regarding a range ofstrategic aspects.

Development support aimsto facilitate linkages andsynergy effects betweenon-going efforts.

A public articulation ofdemand is required toexpress the full value ofwaste management tosociety.

Strategic Aspects

28


articulate the full public demand for services and mobilise the corre-sponding resources. To be politically sustainable, this process must bebased on clearly formulated goals which enjoy broad popular support.

Under conditions of limited resources and extensive waste managementneeds, trade-offs between alternative goals and objectives are inevitable.Society may have to choose between a more extensive coverage of col-lection services as opposed to higher environmental standards of wastedisposal, for example, or between improved waste management as op-posed to the upgrading of another infrastructure sector. Governmentsshould also assess the potential for waste minimisation and determinewhat priority should be given to minimisation efforts in relation to wastecollection and disposal activities. This kind of policy issue cannot beresolved at the technical level alone; it calls, rather, for a consultative,political process of goal formulation and prioritisation.

3.1.2 Role and Jurisdiction

Effective waste management and environmental protection programmescall for a clear definition of roles, jurisdictions, legal responsibilitiesand rights of the concerned governmental bodies and other organisa-tions. The absence of clear jurisdiction may lead to controversies, inef-fectiveness and/or inaction, undermining the politically sustainability ofMSWM systems.

The potential for establishing effective institutional arrangements forMSWM depends largely on the existing systems of urban planning andadministration. As a basis for performance-oriented management, a com-prehensive strategic plan for the sector is required. This plan shouldprovide relevant quantitative and qualitative information on waste genera-tion and specify targets for waste reduction, reuse, recycling and servicecoverage. It should describe the organisation of waste collection, trans-fer and disposal in the medium- and long-term. Such plans would out-line the major system components and the projected relationships be-tween various bodies and organisations involved in the system. They wouldprovide guidelines regarding the degree of decentralisation of specificwaste management functions and responsibilities, the forms of privateenterprise involvement in waste management processes and the role ofpeoples participation. Objectives concerning cost-effective and locallysustainable MSWM would be specified, along with the associated finan-cial policies.

3.1.3 Legal and Regulatory Framework

The instrumental basis for implementing the strategic plan comprises alegal and regulatory framework which is elaborated in the form of by-laws, ordinances and regulations concerning solid waste management,and includes corresponding inspection and enforcement responsibilities

Trade-offs betweenalternative MSWM goalsand objectives areinevitable.

The strategic planprovides a basis foroperationalising the rolesof authorities concerned.

The absence of clearjurisdiction mayundermine politicallysustainability.

Regulations should be fewin number, transparent,unambiguous andequitable.

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and procedures at national, state, and local levels. These would also in-clude provisions for the management of industrial and hazardous wastes.Regulations should be few in number, transparent, unambiguous, easilyunderstood and equitable. Furthermore, they should be conceived withregard to their contribution to urban physical and economic develop-ment.

Regulation and controls are not the only type of instrument availablefor achieving waste management goals. Other options include economicincentives the internalisation of externalised costs according to thepolluter pays principle and non-economic motivations based onenvironmental awareness and solidarity of the population. Authoritiesshould consider the full range of available instruments within the policyframework.

3.1.4 Summary of Political Objectives

In summary, the main political objectives are:

1. to determine societys goals and priorities for waste managementand mobilise public support for these goals,

2. to achieve a clear definition of jurisdictional arrangements forwaste management tasks among the concerned government bodies andprivate sector actors, as well as the roles, rights and responsibilitiesof service users, and

3. to elaborate an appropriate legal and regulatory framework andbody of instruments which enable responsible authorities to achieveand sustain the defined goals.

3.1.5 Outline of Political Issues

In pursuit of these objectives, policy makers will need to deal with nu-merous issues, for example:

1. Are there significant trade-offs to be made between the expansionof collection service as opposed to improved, environmentally sounddisposal?

2. Is it possible to define a lowest acceptable level of collectionand/or disposal service as a practical basis for determining necessarytrade-offs?

3. What priority should be given to waste minimisation and resourcerecovery in relation to waste treatment and disposal?

4. How should authorities deal with the service needs of irregularlysettled residential areas?

5. What weight should be given to alternative instruments of wastemanagement: i) regulations and controls, ii) economic incentives, and/or iii) non-economic motivations and solidarity?

Besides regulations,economic incentives andnon-economic motivationsare important instrumentsof waste management.

Strategic Aspects

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6. What steps should be taken to incorporate financial and economicanalysis into strategic planning functions?

7. What is the role of ESAs regarding the political aspects of wastemanagement; what emphasis should be placed on awareness building,demonstration effects and/or project-linked policy dialogue?

3.2 Institutional Aspects

Institutional aspects of MSWM concern the institutional structures andarrangements for solid waste management as well as organisational pro-cedures and the capacity of responsible institutions:

n distribution of functions, responsibilities and authority betweenlocal, regional and central government institutions (i.e. decentralisa-tion), and among local governments in a metropolitan area,

n organisational structure of the institutions responsible for MSWM,including the coordination between MSWM and other sectors and/orurban management functions,

n procedures and methods employed for planning and management,

n capacities of institutions responsible for MSWM and the capabili-ties of their staff, and

n private sector involvement and participation of communities anduser groups.

3.2.1 Decentralisation and Distribution ofResponsibilities

Effective solid waste management depends upon an appropriate distri-bution of functions, responsibilities, authority and revenues between na-tional, provincial and local governments, as well as intra-urban entitiessuch as wards or communities. Problems arise when certain functions such as investment programming and revenue collection are central-ised, while responsibility for operation and maintenance remains at thelocal government level.

In the wake of metropolitan growth, waste management tasks often ex-tend across several local government units. These circumstances call forhorizontal cooperation between the municipalities concerned, to achievean effective and equitable division of MSWM responsibilities, costs andrevenues.

Local authorities responsible for solid waste management should begranted the authority to manage all related affairs and, in particular, tocollect and employ user charges and other revenues for the purpose ofMSWM. Decentralisation of authority should be accompanied by a cor-responding distribution of financial and administrative powers and ca-

Effective MSWM calls foran appropriatedistribution ofresponsibilities, authorityand revenues.

In metropolitan areas,inter-municipalcooperation is essential.

Decentralisation ofauthority requires acorresponding distributionof powers and capacities.

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pacities for system planning, implementation and operation. This nor-mally requires improved procedures for preparing local solid waste man-agement budgets based on actual costs, and allocating the required funds.

Effective decentralisation makes solid waste management more flexible,efficient and responsive to local requirements and potentials. At the sametime, the devolution of decision-making, financial management, pro-curement and implementation functions reduces the load on the centralauthorities, allowing them to focus on their main responsibilities in theareas of legislation, definition of standards, environmental monitoringand support to municipalities.

3.2.2 Institutional Arrangements and Sectoral Integration

Decentralisation and improved MSWM capacity normally requires inno-vations in the organisational structures, staffing plans and job descrip-tions of responsible local government bodies. Assistance should aim atidentifying institutional constraints inherent in the system and increas-ing competence and autonomy at the local level. Procedures and formsof cooperation between local and central government authorities nor-mally need improvement. In this regard, central government bodies mayalso require development assistance to enable them to accomplish theshifts in their functions and tasks which are associated with decentrali-sation, and to better support local governments in the acquisition of newcapacities.

The organisational status of the technical agency responsible for solidwaste as a municipal department or authority, for example needsto be determined. The appropriate institutional arrangements will varywith the size and developmental status of the city. It may be advisablefor large and medium-sized cities, either to establish an autonomousregional or metropolitan solid waste authority, or to delegate collectionresponsibility to the individual local governments, with the metropolitanauthority retaining responsibility for transfer and disposal tasks. In thecase of small cities, it may be necessary to provide support for planningand standards development as well as technical and financial assistancefrom national authorities.

The relationships and linkages between MSWM and other municipal serv-ice sectors (sewage and drainage, public works, roads, public health, etc.)need to be clarified within the overall framework of urban management.

Finally, the development of municipal level administrative structuresthemselves calls for institutional development, elaboration of job de-scriptions, operational procedures, definition of competencies, etc.

Devolution of MSWMauthority reduces the workload on centralauthorities.

Decentralisation andimproved MSWM capacitymay require neworganisational structures.

Institutional arrangementsvary with the size anddevelopmental status ofthe city.

Linkages between MSWMand other service sectorsare important.

Strategic Aspects

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3.2.3 Planning and Management Methods and Procedures

The management approaches, methods and techniques employed inMSWM are often inadequate. In comparison with other sectors, agenciesresponsible for solid waste management often pay too little attention tointegrated management approaches based on adequate information sys-tems, decentralised responsibility, interdisciplinary interaction and coop-eration between functional levels.

Based on the defined role of the local government in MSWM, improve-ment efforts would give primary attention to appropriate strategic plan-ning and financial management methods, including cost-oriented account-ing systems, budget planning and control, unit cost calculations, and fi-nancial and economic analysis. With regard to operational planning, ap-propriate management methods and skills include data collection tech-niques, analysis of waste composition, waste generation projection andscenario techniques, formulation of equipment specifications, procure-ment procedures and management information systems for effectivemonitoring, evaluation and planning revision.

3.2.4 Capacities of Municipal Waste ManagementInstitutions

Large discrepancies often exist between the job requirements and theactual qualification of the staff at the managerial and operational levels.As an initial step towards improvement, awareness-building measuresregarding environmental and sanitation issues may be required amongresponsible staff. On the basis of the organisational development plan,job descriptions and training needs analysis, a programme for man-power development may be elaborated and an appropriate training pro-gramme implemented. As appropriate, institutional capability for train-ing and human resources development for MSWM should be establishedat the city, regional or country level. Creation of a national professionalbody for solid waste management may help to raise the profile of theprofession and promote improved operational and professional stand-ards.

3.2.5 Private Sector Involvement and User Participation

Formal Private Sector

Private enterprises can usually provide solid waste collection, transferand disposal services more efficiently and at lower cost than the publicsector. However, as noted earlier (Section 2.4.5), formal private sectorinvolvement in solid waste management does not in itself guarantee ef-ficiency. The preconditions for successful private sector involvement in-clude: i) competitive bidding, ii) existence of enterprises with adequatetechnical and organisational capacity, iii) effective regulation of the part-

MSWM agencies often paytoo little attention tomanagement methods.

Primary attention shouldbe given to strategicplanning and financialmanagement.

Discrepancies often existbetween MSWM jobrequirements and staffqualifications.

There are four essentialpreconditions forsuccessful private sectorinvolvement.

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nership arrangements (see political aspects, Section 3.1) and iv) adequatemanagement of the private partners through clear specifications, moni-toring and control.

Private sector involvement in MSWM implies a shift in the principalrole of government institutions from service provision to regulation. Toeffectively regulate and control the activities and performance of con-tracted private enterprises, appropriate systems of monitoring and con-trol need to be established, and corresponding skills and capacities de-veloped at both local and central government levels. In some cases, it isalso advisable to provide technical assistance to those enterprises thatdemonstrate a potential for engagement in MSWM.

Where municipal waste collection services are insufficient, industrialand commercial establishments occasionally hire private enterprises di-rectly to collect and dispose of their solid wastes; larger companies some-times undertake disposal themselves. Both waste generators and privatewaste management enterprises are interested in reducing costs to a mini-mum, and this often leads to inadequate waste disposal practices. In thiscase, the public sectors main task is regulation to ensure that hazard-ous wastes are separated from ordinary wastes and that both types aredisposed in an environmentally safe manner.

Informal Private Sector

Enhancement of the contribution of informal waste collection workersdepends, above all, on improved organisation among these workers. Sup-port should aim to: i) improve working conditions and facilities, ii)achieve more favourable marketing arrangements for services and scav-enged materials (see economic aspects) and iii) introduce health protec-tion and social security measures (social aspects). It is essential that thecontribution of informal workers to MSWM be officially recognisedand that their activities be integrated into the planning of municipalcollection and resource recovery services (see economic aspects).

Communities and User Groups

Finally, in the interest of effective service delivery and cost efficiency,solid waste management authorities should seek to establish partnershiprelationships with residential communities and user groups. Where mu-nicipal capacities are inadequate and/or low-cost solutions are essential,responsibility for local collection may be decentralised to the communi-ties themselves. Preconditions for effective participation and commu-nity-based waste management include adequate problem awareness andorganisational capacities (see social aspects). The support of NGOs maybe very useful in building the capacity of communities to participate inlocal solid waste management.

Private sector involvementimplies a shift in the rolegovernment institutions.

Interest in costminimisation often leadsto inadequate disposalpractices.

The contribution ofinformal waste collectionworkers should beofficially recognised.

Responsibility formanaging local wastecollection may bedecentralised to the usercommunities themselves.

Strategic Aspects

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3.2.6 Summary of Institutional Objectives

The main objectives at the institutional level are:

1. to devolve responsibility for MSWM to the local government leveland ensure a corresponding decentralisation of power and authority,

2. to establish effective institutional arrangements for waste manage-ment at the municipal and, in the case of large cities, at the metro-politan level,

3. to introduce appropriate methods and procedures that enable effi-cient waste management services which meet the needs of the entirepopulation,

4. to build the capacities of municipal institutions and their staff sothat they are able to provide the demanded waste management serv-ices,

5. to introduce competition and increased efficiency into solid wastemanagement through the involvement of private sector (formal andinformal) enterprises, and

6. to lower costs and improve the effectiveness of waste managementthrough the participation of communities and service users in lo-cal waste management.

3.2.7 Outline of Institutional Issues

Typical issues at the institutional level are:

1. Which MSWM functions, responsibilities and powers should be as-sumed by which level of government?

2. How can the responsibility and authority for planning and develop-ing waste management be devolved to local governments when theseinstitutions lack the necessary experience and capacity?

3. What institutional arrangements and approaches would foster moredemand-oriented solid waste services?

4. How can the commercial attitude of doing more with less be in-troduced into the municipal waste management operations?

5. How can a more holistic, life-cycle approach to waste managementbe introduced among institutions whose mandate is commonly lim-ited to the functions of waste collection and disposal?

6. On what basis should authorities decide which waste managementfunctions should be contracted out to private sector enterprises?

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3.3 Social Aspects

The social aspects of MSWM strategies concern the:

n patterns of materials use, waste generation and waste disposal ofthe population, and the associated MSWM needs and demands,

n user and CBO participation in municipal waste management andcommunity-based waste management activities, and the

n social conditions of solid waste workers, both formal and informal.

3.3.1 Waste Generation and Disposal Patterns

The waste generated by a population is primarily a function of the peo-ples consumption patterns and, thus, of their socio-economic character-istics. At the same time, waste generation is conditioned to an importantdegree by peoples attitudes towards waste: their patterns of material useand waste handling, their interest in waste reduction and minimisation,the degree to which they separate wastes and the extent to which theyrefrain from indiscriminate dumping and littering.

Peoples attitudes influence not only the characteristics of waste genera-tion, but also the effective demand for waste collection services, in otherwords, their interest in and willingness to pay for collection services.Attitudes may be positively influenced through awareness-building cam-paigns and educational measures on the negative impacts of inadequatewaste collection with regard to public health and environmental condi-tions, and the value of effective disposal. Such campaigns should alsoinform people of their responsibilities as waste generators and of theirrights as citizens to waste management services.

Whilst attitudes towards solid waste may be positively influenced bypublic information and educational measures, improved waste handlingpatterns can hardly be maintained in the absence of practical waste dis-posal options. Awareness-building measures should therefore be co-ordinated with improvements in waste collection services, whether pub-lic or community-managed. Similarly, peoples waste generation and dis-posal patterns are influenced by those of their neighbours. A collectivelogic is involved, because improved waste handling practices will onlyyield significant environmental impacts if most households in an areaparticipate in the improvement. Thus, besides general awareness, improvedlocal waste management depends upon the availability of practical op-tions for waste collection and a consensus among neighbours that im-provements are both important and possible.

Finally, industrial establishments present special problems regarding wastedisposal patterns due to the volume and/or the occasionally hazardousnature of the generated wastes. Regulation and control measures shouldbe employed as far as possible. However, these measures are seldom very

Waste generation is alsoconditioned by peoplesattitudes.

Peoples attitudes towardswaste may be positivelyaffected.

Local waste managementalso depends on reliablecollection options andconsensus amongneighbours.

The sources of hazardousindustrial wastes are oftensmall and scattered

Strategic Aspects

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effective when as is often the case large numbers of small indus-trial establishments are scattered throughout residential and semi-resi-dential areas. Problem awareness, reliable service options and consensusare crucial to improving waste generation and disposal patterns of in-dustrial enterprises.

3.3.2 User Participation

Rapidly growing, informally constructed low-income residential areaspresent a particular challenge to MSWM. Besides the physical constraintsof dense, low-income settlement, the inadequacies of other infrastruc-ture services such as roads, drains and sanitary facilities often exacer-bate waste management problems. The access of collection vehicles orpush carts may be difficult where roads and foot-paths are unpaved, forexample. Existing drains are often clogged with waste materials, andsolid waste itself may be contaminated with faecal matter. These condi-tions lead to a proliferation of vermin and disease vectors, and increaseenvironmental health risks.

The interrelated nature of service problems and the active role of resi-dents who are often owner-builders of their house call for adapted,sectorally integrated development approaches which depend, to a con-siderable degree, on the cooperation and participation of residents. House-holds and community-based organisations (CBO) have important rolesto play, not only as consumers or users of waste collection services, butalso as providers and/or managers of local level services. In many low-income residential areas, community-based solid waste management isthe only feasible and affordable solution.

The introduction of community-based solutions calls for awareness build-ing measures as well as organisational and technical support. Local NGOsand community leaders may provide essential inputs towards buildingcommunity capacity for waste management. Particular attention needsto be paid to the role of women, who normally bear principal responsi-bility for household waste management. While management is often lim-ited to local collection, it may also encompass waste treatment, (e.g.community composting), recovery and disposal. It is important that com-munity-based collection systems are carefully linked to the municipalsystem; local collection activities may break down if waste deposited atmunicipal transfer points tends to accumulate, rather than being trans-ferred to final disposal sites by municipal services.

Even where wast

Municipal Conceptualframework

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