Integrated swm training guide

III NTEGRATED SOLID WASTE MANAGEMENT TRAINING GUIDE

October 2004

This 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 nAbt Associates, Inc. n

Management Systems International nMichigan State University n

Produced by the Department of Environment and Natural Resources-United States Agency for International Development’s (DENR-USAID) Philippine Environmental Governance (EcoGov) Project through the assistance of the USAID under USAID PCE-1-00-99-00002-00. The views expressed and opinions contained in this publication are those of the authors and are not intended as statements of policy of USAID or the authors’ parent organization.

iThe ISWM Training Guide

Table of Contents

About The ISWM Training Guide ..................................................................................1

Project Background......................................................................................................2

The ISWM Modules in Summary ...................................................................................3

Module 1. Governance in Integrated Solid Waste Management ....................................5

Module 2. ESWM Board Formation and Orientation ................................................... 11

Module 3. Solid Waste Management Assessment ......................................................15

Module 4. Study Tour ..................................................................................................30

Module 5. Integrated Solid Waste Management (ISWM) Plan Formulation ..................32

ii The ISWM Training Guide

1The ISWM Training Guide

About The ISWM Training Guide

T he Integrated Solid Waste Management (ISWM) Training Guide is a synthesis of thetraining modules and materials used by the Philippine Environmental Governance (EcoGov) Project

in assisting local government units (LGUs) in solid waste management planning andimplementation. 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 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 ManagementModule 2: ESWM Board Formation and OrientationModule 3: Solid Waste Management AssessmentModule 4: Study TourModule 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, andthe 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.

2 The ISWM Training Guide

Project Background

T he country’s rapidly increasing population, resulting in higher demand for the use of our naturalresources 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 toprovide 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 specificprovisions that require more detailed implementing rules and regulations;Development of guidelines and procedures for assessing and measuring waste diversionby LGUs, joint LGU-DENR assessment of sites of SWM facilities, and clustering of LGUsfor the use and co-management of disposal facilities; andProduction 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.


The ISWM Modules in Summary

S WM is one of thefunctions devolved to

LGUs, making it theirresponsibility to provide

SWM services to its constituents,given the rising SWM problems,particularly in urban and urbanizingareas. Under RA 9003 and its IRR,all LGUs are mandated to formulatea 10-year ISWM plan that will defineits SWM strategy. To do this, LGUsmust be equipped with thenecessary skills and decision-making tools to be able to come upwith well thought out plans thatcould be implemented successfully.The EcoGov Project saw this needas an appropriate entry point forimproving good governance in theSWM sector.

Figure 1 shows the logicalsequence of the five ISWM trainingmodules developed by the EcoGovProject.

Figure 2 presents summariesof the five modules.

An LGU will have to go throughall the modules, in the suggestedsequence, to complete the ISWMplan. The LGU takes the lead in thelegitimization process, with somementoring from the EcoGov team.During this process, the plan isreviewed by the ESWM Board, thenpresented in a public hearing, beforeit is submitted to the Municipal/CityDevelopment Council (M/CDC) andthe municipal/city council foradoption (either through a resolutionor an ordinance).

It should be noted, however, thatonce the SWM assessment iscompleted and the LGU has a betterappreciation of where it is in relationto waste generation and disposal, the

Orientation onGovernance in SWM/TWG Formation

ESWM Board Formation, Reconstitution and Orientation

Solid Waste Assessment (Situational Analysis)

• Geographic and Physical Characteristics of LGU

• Socio-Economic Features & Trends• SWM Organizations & Resources• SWM Awareness & Practices• Waste Generation Disposal Study

Tour

Vision and Strategy Formulation

Formulation of ISWM Components• Engineering• IEC• Policy Support• Economic Enterprises

Formulation of Management & Financing Arrangements

Drafting of Plan

Board Review of Draft Plan/Endorsement to MDC/SB

Refinement & Legitimization of Plan• Public Hearing• MDC Review and Endorsement• SB Review and Approval

Implementation of ISWM Actions

Module 3

Module 4

Module 5

Module 1

Module 2

Figure 1 – Module Sequence


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.

3 At the start of EcoGov Phase 1, a series of regional/provincial IAs were held in the EcoGov regions to orient potential LGUpartners on the Project.

Module 1: Governance in Solid Waste Management

This introduces the concept of environmental governance and how it applies to SWM. It likewise includes an orientation on the EcoGov Project. This module is useful in the conduct of orientation/briefings on environmental governance and in interactive assemblies (IAs)3 with LGUs interested to participate in the Project’s ISWM program.

Module 2: ESWM Board Formation and Orientation

This focuses on the creation of the ESWM Board, which is 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 Management Assessment

This covers the whole process of SWM assessment, aimed at 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 Formulation and Legitimization

This makes use of the analysis of the SWM information (Module 3) and the lessons learned in the study tour (Module 4) in fleshing out the SWM plan. The preparation of the SWM plan is done through five sequential sub-modules.

Figure 2. Module Summaries


Module 1Governance 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.


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). Itis important that the resource persons in this module havea good grasp of the concepts and can relate goodgovernance with SWM.

The design of the module may be modified toincorporate group or plenary activities in between thetechnical inputs, such as discussions of local SWMissues and challenges, sharing and assessment of pastSWM efforts and achievement, and a preliminary analysisof the status of current environmental governance practicesin the LGU. An action planning activity may also be addedat the end of the module for the identification of andconsensus on the next steps, schedules andresponsibility centers leading to the signing of the MOA(i.e., if module is held before MOA signing) or the conductof the succeeding modules.

It is possible also to integrate Module 1 withModule 2, when the target audience is the same and thereare no planned intervening activities between the twomodules.

Participants

For IAs, participants may include local chief executives(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 regionsto orient potential LGU partners on the EcoGov Project. The IAs, which covered either only one or the three sectors, providedthe venue for the sharing of experiences and discussion of local SWM issues and possible assistance from the project.

MEMBERS OF THE TWG

CHAIR

Vice Mayor/City or Municipal Planning Development Coordinator/SB Chair on Environment

MEMBERS

Department Heads of: City/Municipal Engineering Office City/Municipal Planning Office City/Municipal Agriculture Office City/Municipal Health Office

Private Sector Academe Environmental NGOs People’s Organizations Religious Groups Junkshop Operators Market/Vendors Associations Other civil society groups

National Agencies such as: Department of Environment and Natural Resources (DENR)

Department of Education (DepEd) Department of Interior and Local Government (DILG)

Department of Trade and Industry (DTI) Department of Agriculture (DA)


Lecture Notes

Environmental Governance

I. 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, socialand cultural subsystems” (Victor Ramos, 2001)

It is about:Making decisions and carrying out supporting actions. First and foremost, the LGU has to define aclear SWM vision and mission, with a sound basis so it can have the support of stakeholders.Supporting actions will include:a. Issuance of sound policiesb. Mobilization, realignment and approval of fundsc. Law enforcement, penaltiesd. Monitoring performance after decisions and actions were carried outUpholding and supporting the rule of law, e.g., RA 9003, its IRR and other related lawsLeveling the playing field for stakeholder participation, demand for accountability, access, incentivesand penalties, investments, competition and enforcementResolving disputes and conflicts among those affected by SWMConvergence of good governance and technical solutions

The convergence of governance and technical solutions couldspell the difference between a healthy environment and thespread of diseases and disaster

II. Environmental Governance VisionEffectiveness of governance - decisions and actions are allin support of a defined “ VISION AND MISSION”Efficiency of governance - decisions and actions are achievingthe objectives of “TASKS;” they maximize limited resourcesin achieving objectivesConsequence of governance - decisions and actions impact on “RELATIONSHIPS” between thesuppliers and “demanders” of effective and efficient resource management

III. Environmental Governance ActorsDecision-makers and implementers/actors at different levels. Their legitimacy and credibility areimportant.Those affected by decisions and actionsThose providing information, analysis and recommendations to decision-makers and actorsThose acting on behalf of “vested interests” to influence decisions and actionsThose representing the “conscience industry” – media, civil society organizations, church, schools

IV. Prerequisites of Effective Environmental GovernancePresence 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 monitoringand evaluationSystem to ensure transparency of decisions and the basis of those decisionsExistence of rule of lawPresence of persons representing the “conscience industry” – media, civil society organizations,church, schools

V. Environmental Governance: Key Concepts and PrinciplesDecentralization, de-concentration and devolution. The central government formally cedes powers toactors and institutions at lower levels (devolution or democratic decentralization and administrativedecentralization).

Technical Solutions to ResourceManagement (TSRM)+ Good Governance (GG)+ Performance Indicators based onStandards (PIS)= Improved and Enhanced EnvironmentalConditions


Subsidiarity and local organizational capacity. Decisions should be made at the lowest possible levelwhere competence exists. In RA 9003, some responsibilities are vested in the barangay LGUs.Inclusion and participationAccountabilityTransparency and access to informationSocial justice, Forms of justice: community, retributive, procedural and distributive justice. Propertyrights: “Access right to a stream of benefits from a given set of resources,” such as coastal resourceassets.Collaboration and partnershipStable and secure property rightsIntergenerational and inter-spatial equityTrade-offs, externality, and opportunity costs

VI. Environmental Governance ElementsTransparency = Extent to which the general public has current, complete and reliable informationabout decisions and actions taken by a government unit or public agency.Key Result Areasa. Manner of generating, analyzing and disseminating information on LGU actions and decisions to

the publicb. Access to this informationc. Period of information dissemination: before the decision/action; after the decision/action; only

when demandedd. Quality of information provided: updated, complete and accurateExamples of Transparency Practices and Mechanismsa. Posting of plans/maps, ordinances and proceedings in public bulletin boardsb. Periodic publication of performance audit reports, financial statements, reports on license/permit

issuances, results of transactions/biddingc. IEC on local legislations enacted

Accountability = Degree to which the officials and staff of a government unit or of an agency are heldresponsible for their decisions, actions and performance. State officials, public employees and privatesector are answerable to their constituents for policies, actions and use of fund.Key Result Areasa Identification of persons/groups responsible for particular actions and decisions in plan

documents, ordinances and ordersb. Performance monitoring and evaluation proceduresc. Recognition of good performance/observance of proceduresd. Clear sanctions for violations of standards and proceduresExamples of Accountability Practices and Mechanismsa. Clear definition of roles and responsibilitiesb. Periodic public expenditures reviewc. Clear sanctions and incentivesd. Periodic conduct of performance audite. Periodic assessment of policies

Participatory Decision-Making = Degree that the general public, especially key stakeholders andmarginalized groups have access and opportunities to influence the decision or action of governmentor public agencyKey Result Areasa. Manner of identifying stakeholders of a particular activityb. Degree of representation of stakeholders in decision-making at various stages of project planning

and implementationc. Incentive provisions for participation of stakeholdersExamples of Participatory Decision-Making Practices and Mechanismsa. Consensus-building; establishment of conflict resolution mechanismsb. Public consultations and hearings prior to decision-making/legitimization of plans/issuances of

ordinancesc. Multi-sector representation in committees, working groups, management councils, enforcement

groupsd. Participatory M and E; community feedback system


Good Governance In Solid Waste Management

I. ESWM vs. ISWM

ESWM = systematic administration of activities which provide for segregation at source, segregatedtransport, storage, transfer, processing, treatment and disposal of solid waste and all other wastemanagement 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 landfilling.

II. Is SWM a Public or Private Service?As public service: must meet environmental acceptability of disposal system and level of customersatisfactionAs private service: must minimize cost or maximize profit while meeting environmental standardsConstraints in public driven SWM servicesCombination of public and private services in ISWM

III. Objectives of ISWM:Protection of health and environmentReduce recurrent costs and capital cost of constructing and maintaining disposal facilities

IV. Why Environmental Governance in ISWMSolid waste impacts public health and environmental safetyThe impacts of unmanaged solid waste have intergenerational (i.e., future generations will benefit orsuffer 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 unilateralProcurement related to providing SWM services are susceptible to “rent seeking behavior” and monopolyISWM is perceived as a public good or service to constituents; its efficient delivery is a manifestation ofgood governanceSound governance of ISWM leads to “buy-ins” of stakeholders who have vested interest to sustain andprotect 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, schools

VI. Key ISWM Decisions and Actions Requiring Good GovernanceWaste Collection: Accountability of collectors, transparency in procuring or sourcing required logistics,participation of stakeholdersTransport: transparency in procurement, accountability of those deciding on procurement, participationof technical staffProcessing and disposal: transparency in design and procurement, transparency in the issuance ofNotices to Proceed (NTPs) and Environmental Compliance Certificate (ECC), accountability of thosewho prepared design and issued ECC, participation of specialists and stakeholdersFinancing: accountability of LGU officials, transparency in sourcing and using funds, participation ofSB, MDC and barangaysImplementation: participation of key sectors, accountability of each decision-maker, transparency inprocurement and financial expenditures, transparency in work and financial planningPerformance monitoring: participation in developing criteria and conduct and analysis, political will todeal with accountable officials, transparency in discussing results and lessons learned


VII. SummaryThe 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 itThere is need to balance, direct, appropriate and equally distribute these powers among differentstakeholdersQuestion: What are and where are those powers vested with respect to ISWM planning andimplementation?

The Philippine Environmental Governance Project

I. The EcoGovernance Project: Background, Strategic Objectives and Sectoral and Geographic Scope

II. EcoGov StrategiesStrengthening of national and regional policies and institutional arrangementsTechnical assistance to LGUs and communities on coastal resource, forest and forestlands and solidwaste management to enhance their capacity and support mechanisms to take on new environmentalgovernance responsibilitiesCapability-building of DENR and partner government agencies, local institutions and service providersto strengthen local technical support systems (to develop capabilities to support LGU environmentalgovernance initiatives)Establish creative partnerships with organizations/groups and develop supporting coalitions to helppromote good governance.

III. EcoGov Results Framework and Key Performance IndicatorsGoalOutcomes 1: Expanded application of sound environmental governance policies and practicesOutcome 2: Reduced over-fishing and use destructive fishing practicesOutcome 3: Reduced illegal cutting and forest lands conversionOutcome 4: Solid waste managementKey Performance Indicators for CRM

IV. EcoGovernance Actors: DENR Central Office, DENR Regional Offices, Technical Assistance Team,LGUs, Local Service Providers, Contractors, Other Partners, USAID

V. Process of LGU SelectionInteractive AssembliesLetters of IntentMOAs nd LGU commitments

VI. Overview of EcoGov Technical Assistance in ISWMISWM Modules

Module 1. Governance in Solid Waste ManagementModule 2. ESWM Board Formation and OrientationModule 3. SWM Assessment

1. Orientation and Sampling2. SWM Practices Survey and Seven-Day Waste Characterization3. Data Analysis

Module 4. Study Tour/ Exposure TripModule 5. SWM Plan Formulation and Legitimization

1. Vision and Strategy Formulation2. Formulation of Engineering Component3. Formulation of Policy Support Component4. Formulation of IEC Component5. Formulation of Management and Financing Arrangements


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’seffectiveness.

The module also allows the Board to define theirworking protocols (such as agreeing on meetingschedules and notices, sub-committees, quorumand voting rules, and secretariat support). Alsoclarified during the discussions is the source of theBoard’s operating budget.

The preparation of an action plan forms part ofthe module. A review is made of the ISWM planningprocess 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.

Module 2ESWM Board Formation and

Orientation

TAP principles emphasized

This module emphasizes TAP principles:

a) Roles, functions and accountabilities are clarifiedto ensure a more responsive public service.

b) Unilateral decisions are strongly discouraged asthere are many stakeholders (on and off site)involved in SWM decisions and actions.

c) Representation of critical sectors in the Board isstrongly encouraged as it is a requirement of thelaw.


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 planningactivity.


Lecture NotesFundamentals of SWM

I. Factors that Contribute to the SWM ProblemSpiralling population growth rate and rapid urbanizationChanging lifestyles and consumption patternsPublic indifferenceInadequate government policies and lack of enforcement

II. General Situation of Solid Waste in the PhilippinesDaily Waste Generation Per Capita in the Philippines

Rural barangays = 0.2 kg to 0.4 kgUrbanizing barangays = about 0.5 kgUrban 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’sresponsibility; inefficient collection of garbage; non-operation of a good disposal facility

III. Health Impacts of Improper Solid Waste Handling and DisposalRespiratory ailments resulting from odor and emissionsSkin diseasesInjuries or cuts from broken glass, cans, hard plastics and other sharp objectsProliferation of insects and rodents that may act as passive vectors in transmitting diseasesAsphyxiation due to exposure to gasesContamination of drinking water from leachate percolationFood poisoning due to insect colonization and vermin proliferation

IV. Environmental Impacts of Improper Solid Waste Handling and DisposalDepletion of ozone layer leading (due to methane gas generation and burning) to global warningAir pollution which produces acid rainLand pollution, which reduce its valueWater pollution and flooding due to dumping in rivers and lakesGroundwater contamination due to leachate

V. Definitions of Key TermsWaste, solid wasteSolid waste managementSource Reduction, recycling, treatment and disposal

VI. Guiding Principles for SWMWaste is a resourceWaste prevention is better than waste regulation and control.There is no single management and technologicalapproach to solid waste.All elements of society are fundamentally responsible forSWM.Those who generate waste must bear the cost of itsmanagement and disposal.SWM should be approached in the context of resourceconservation, environmental protection and health, andsustainable development.SWM programs should take into consideration the physical and socio-economic conditions of theconcerned communities and be designed according to their specific needs.

VII. Functional Elements of Solid Waste Management and Corresponding TechnologiesWaste Generation – reduce and resuse, sort and segregateStorage – covered and sanitary receptacles; safe storage areaCollection – regular schedule, systematic routing, appropriate type of collection, separate collection ofsegregated waste

11% of methane gas generated inPhilippines comes from waste dumps


Transfer and Transport – use of compactor trucks, transfer stationsProcessing and Recovery —Disposal – sanitary landfill, incineration of infectious, toxic and hazardous waste

VIII. Hierarchy of MethodsSource reductionReuse and recycling of non-biodegradableComposting (biodegradable)Treatment (special waste)Disposal (residuals)

IX. SWM PlanningGeneral ProcessTAP PracticesComponents: 7 E’s – education, engineering, enforcement, equity, environmental organization,economic enterprises, and environmental governance

Legal and Policy Framework

I. Overview of RA 9003 and DENR Administrative Order No. 2001-34 (IRR)Declaration of PoliciesRole of LGUs in SWM

II. Institutional MechanismsNational Level: Roles of

National Solid Waste Management CommissionNational Ecology CenterDepartment of Environment and Natural Resources

Local Government Level: Composition and functions ofProvincial Solid Waste Management BoardCity and Municipal Solid Waste Management BoardBarangay Solid Waste Management CommitteeMulti-Purpose Environment Cooperatives or Associations

III. National Solid Waste Management Framework and Local Government Solid Waste ManagementPlans. RA 9003 and IRR provide guidelines for preparation of plan and its key components, particularly:

Establishing mandatory solid waste diversionEstablishing LGU materials recovery facilityProhibition against use of open dumps

IV. Incentives: Rewards and Incentive Schemes (fiscal and non-fiscal)

V. FinancingSW management feesNational SWM FundLocal SWM Fund

VI. Penal ProvisionsProhibited acts, and fines and penaltiesAdministrative and enforcement procedures


his module guides the LGU in conducting an assessment of SWM practices and waste generatedto 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 areappropriate 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 thatintegrates TAP principles in all the steps of the assessmentprocess.

Information on the sources, characteristics and compositionof the waste streams will be gathered to analyze possibleopportunities for source reduction and recycling, techniquesemphasized in RA 9003 and its IRR to divert waste from thedisposal sites.

These and other information are necessary to arrive at soundISWM decisions (such as the size of the disposal facility required,the type and capacities of storage receptacles, types andcapacities of collection trucks, the number and frequency ofcollection, area requirements for materials recovery facilities orMRFs and the landfill, etc.).

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 theTWG for the data collection task. This is very critical as the success of the succeeding activities willdepend 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 pertainsto the actual collection of the data, requiring seven days of intensive work and making accuratemeasurements and correct recording. Teamwork is of utmost importance.Sub-module 3C - Data Analysis. This allows for the organization, processing and interpretation ofdata for decision-making.

These sub-modules are sequentially arranged; the outputs of one become the inputs to the succeedingsub-module.

Module 3Solid Waste Management Assessment

Good info, sound analysis

SWM decisions and actions have tobe based on good information and soundanalysis.

The SWM assessment findings willhelp the LGU set its targets (i.e., By how much% can the LGU reduce its waste stream?),develop SWM strategies and interventions(i.e., What area in the municipality will becovered by LGU collection? What IEC strategywill be effective? What ordinances will beissued?), and design SWM facilities (i.e., Howmany collection trucks will be needed? Whatwill be the capacity of its composting facility?Of its disposal facility? )

T

6 This covers a payday and market day in order to capture variability in waste generation.


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 recordinginstruments that will be used, and on the determination and selectionof the sample for the SWM practices and awareness survey and theseven-day waste characterization exercise. The one-day practicewaste characterization is done using a “pre-sample.” The samplesize from households is derived using the standard deviation estimatedfrom the pre-sample, maximum tolerable error and confidence level.

This sub-module is designed to develop teamwork amongmembers of the TWG and the Board for the smooth conduct of thenext sub-module. Their experience in the waste characterizationexercise is expected to instill into the participants the importance ofworking as a team and enhances their sense of ownership of the

7 End-of-pipe waste refers to the waste the LGU collects and brings to the dumpsite. The analysis of end-of-pipe waste indicatesthe volume/weight and composition of garbage brought to the dumpsite daily and provides an estimate of the potentialbiodegradable and recyclable waste that can be diverted from the waste stream.

Encouraging teamwork

Their experience in the wastecharacterization exercise is expected toinstill into the participants theimportance of working as a team andenhances their sense of ownership of theinformation they generate. It must beemphasized to them that as owners andusers of the information, they must ensurethe integrity and usefulness of theinformation.


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 householdsfrom which the sample is taken, the assumptions made, the procedures undertaken to stratify thepopulation 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 ofvarious 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 rationale for holding the exercise for seven days and the inclusion of a payday and market day inthe study period will be explained. See Lecture Notes, Waste Characterization, pages 22-23 for theoutline of the waste characterization procedures.

The final technical inputs will be on sampling, covering the definition of terms or concepts used and thedifferent 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. Thereason for limiting the sample to the collection barangays and taking a pre-sample of households will alsobe explained. The current solid waste collection system will be discussed so that the appropriate samplefor 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-daypractice waste characterization and survey. In this activity, theparticipants will establish the total population of each of the keysector category/sub-category and their distribution per barangay orper type of barangay (See Annex 3C for the suggested categoriesand sub-categories) and select a number that will serve as practicesample.

At the end of the workshop, the participants should agree on thenumber of sample establishments/institutions per category/sub-category and the distribution of sample households for differentincome classes (low, middle, high, urban poor) and barangay types(upland, built-up, coastal). A decision should have also been reachedon the distribution of tasks among the participants. All thearrangements should have been done with the prospective cooperator

households and establishments/institutions, and with the caretakers of the areas where the characterizationwill be done.

Examples of these preparatory activities include sending out copies of the letter from the LCE regardingthe exercise to all those who will be involved, orientation of cooperators on the objectives and mechanics ofthe exercise, preparing properly labeled plastic bags for distribution to cooperators, procurement of neededtools and equipment, arrangements for pick-up of waste sample from sources and for designation of wastecharacterization area within dumpsite and/or other wide, open spaces like a basketball court or a barangaycenter.

To facilitate the process, it is suggested that even before the start of this sub-module, the participantsprepare:

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, andd) 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 collectiontruck collects the waste samples. The participants then converge in the waste characterization area andstart the task of measuring, segregating, drying and again measuring the collected waste. Measurementsmade and other observations are recorded in a standard form (See Annex 3D). The forms are then consolidatedand the results entered in a computer program.

Group decision-making

Participants practice goodgovernance as they have to agree onvarious matters—as a group—beforeproceeding to the next activities.Examples of agreements that should bereached at the end of the workshopinclude number of sample establishments,distribution of sample households, etc.Each participant’s accountability to thegroup is also clarified by defining the taskeach group member shall perform.


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:

n =

Large sample formula:

n =

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, andf) 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.

t a/2 * s

E( )

2

2z a/2 * s

E( )


Checklist of Basic Data Requirements

I. Geographic and Physical FeaturesIn which part of the province is the LGU located? What LGUs arearound it? How far is the LGU from provincial capital and majorcities in the region/adjoining regions? Get location map of LGU.What are the dominant topographic features of LGU (elevation andslope)? Are there areas with very steep slopes/high elevation? Whatare topographic features of proposed controlled dump/sanitarylandfill (SLF) site and other SWM facilities? Get topographic map.How many are upland/lowland/coastal barangays? Which of currentcollection barangays are upland/lowland/coastal? Get map showingbarangay boundaries.What are major river systems in the LGU? In what sub-watershed isthe proposed controlled dump/SLF site located? Where is the impactarea of this river system?What are types of soils in area of controlled dump/SLF site? Is thesoil type suitable for a disposal facility?What are geologic hazards in the LGU (fault lines, landslide prone/flood-prone areas)? Are any of these near the proposed controlleddumpsite/SLF? Get hazards map.What is the LGU’s climate type? When are the driest and wettest months? What is the annual averagerainfall and temperature?Where are the major built-up areas of the LGU? What are the land use zones within the currentcollection area? What are the land use zones in areas surrounding the proposed controlled dumpsite/SLF? Get current and proposed land use map.

II. AccessibilityIs 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 accessibilityproblems? 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 Departmentof Public Works and Highways (DPWH) in the next five years?

III. Socio-Demographic CharacteristicsWhat is the population and number of households in last two census? What is the distribution bybarangay? What is the estimated current population and households? What is the population densityper 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 urbancenter 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 poorsanitation in the last five years?

IV. Economic Features and TrendsWhat 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 landuse/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 thebarangay distribution of these establishments and industries? What is the current poverty situation in the LGU? What is average income?

Objectives of the SWMAssessment

To identify and analyzekey factors that areimportant to SWM plan-ning—those which can beused as inputs and basis forplanningTo establish baseline datafor future evaluation ofprogram impactsTo provide a situationalanalysis that will promoteinformed decision-making


V. Local SWM Institutions and Resources (Refer toWhat types of SWM services (e.g., garbage collection, clean-up, etc) is the LGU providing? What areongoing SWM programs (IEC, clean and green, etc)?What barangays are covered by LGU’s garbage collection system? What is the collection scheduleand 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 thefuture? Provide staffing list.What is annual budget allocation for SWM (including staff) in the last five years? What is source ofbudget? 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 theyestablished? Where are these located? Do they have permits to operate? What are current uses andcapacities? 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 ordinancesbeing 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 betapped 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 formore complete checklist)

Do households, establishments and institutions aware of proper SWM? Do they understand importantSWM 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? Arethey 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 usersof 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? Whereare buyers of recyclables? What are “buy” and “sell” pricesof recovered waste materials?

VII. Waste Generation and Disposal (refer to wastecharacterization guide for more details)

Who are major waste generators within the collectionarea?How much waste does each household generate per day?What is daily average per capita waste generation? Whatis composition (biodegradable, recyclable, special,residual) of waste produced by households?How much waste is being generated daily by each sector?What is composition of waste produced by each?What is estimated weight/volume of waste disposed indumpsite daily? What is composition of waste disposed?How much waste can potentially be diverted from wastestream?

SWM assessment methods will be acombination of the following:

Secondary data collectionObservations (e.g., observe SWdisposal in canals)Key informant interviewsFocus group discussionsSample surveyDirect measurement (for wastecharacterization)


Lecture Notes

Waste Characterization Process

I. 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 measurementand classification of waste samples from various waste generators and from waste brought to thedumpsite 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 disposalfacility.

II. Main features of the processCovers both ends of the waste stream – from waste sources (households, establishments, institutions,public market) to the “end of the pipe” or disposal siteMeasures potential waste diversion from the waste stream – the % of recyclable and biodegradablecomponent of the end-of-pipe wasteHas 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 inwaste generationUses sample of households and establishments/institutions.Data generated are organized into a database

III. Stages in Waste Characterization

A. Preparatory StageIdentify waste sources (refer to Annex 3E for list of sectors/sub-sectors). Determine number of establishments andinstitutions, scale of operations (small, medium, large) andbarangay location; determine number of households incollection 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 anddiscuss with assigned garbage collection crew.Prepare introduction letter from Mayor and instruction sheets for cooperators. At least two daysbefore the start of activity, individually orient the cooperators about the activity and distributeplastic 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 ofplastic pails and get their empty weights. Prepare the tags (“nabubulok” and “di nabubulok”) forgarbage bags.Provide for drinking water and food for those involved and first aid kit for emergencies andinjuries. 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 ofwaste characterization area, designating space for unloading/loading waste, for weighing, sortingand 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 assigntasks to members of each team (e.g., supervisor/leader, weighing, recorder). All participantsshould experience sorting/characterization.

RA 9003 requires LGUs to divert25% of their waste from disposalsites within five years from theeffectivity of the law.


B. Waste Characterization Stage

C. Post Characterization StageReview all data entry forms and check correctness of entries, computations and totals. Clarifyerroneous or questionable entries; place relevant explanatory notes on data entry forms whennecessary.Enter data into Excel computer program.

Collect bags from source; bring to sorting area

Weigh both bags (nabubulok at dinabubulok) of one respondent unit; weight in field data entry form

Open bags and sort waste into biodegradable, recyclable, residual and special waste. Do not mix waste of different sources.

Place segregated waste in calibrated pails and weight; record weight and volume per waste component in data entry form

Spread biodegradable waste on plastic sheet and dry under the sun for 4-6 hours

Place dried materials in calibrated pails and weigh; record dry weight and volume of biodegradables in data entry form

Dispose properly all materials used in the characterization

1

2

3

4

5

6

7

Bring market/mixed waste to dumpsite for characterization

1

Estimate total weight and volume of waste load of truck (use weighbridge if available). Record in data entry form.

Unload contents into cleared areas; sort waste into biodegradable, recyclable, residual & special waste

Place segregated waste in calibrated pails and weight; record weight and volume per waste component in data entry form

Spread the biodegradable waste on plastic sheet and dry under the sun for 4-6 hours

Place dried materials in calibrated pails and weigh; record dry weight and volume of biodegradables in data entry form

Dispose properly all materials used in the characterization

2

3

4

5

6

7

Waste from Source(Households and Establishments/

Institutions)

Collected Market/Mixed Waste(End-of-Pipe)

Waste Characterization Process


Sampling and Sampling Procedures

I. Definitions and Importance of SamplingDefinition of sampling: that part of the statistical practice concerned with the selection of individualobservations intended to yield some knowledge about a population of concern, especially for thepurpose of statistical inference; selection of individuals from a population of interest.Importance of samplingPopulation; sampling vs. censusSampling frames – a listing of units corresponding as closely as possible with the full population andfrom which a sample is drawn. Two types of frames: list frame (names and addresses) and areaframe (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 ProcessDefine objectives of sampling and identify population of concernSpecify sampling frame and sampling methods, and develop sampling planCollect relevant data and do samplingReview the sampling process

III. Sampling ErrorsSince the sample is only a portion of the population, sampling error is inevitable. Objective is tominimize the sampling errorCharacteristics of sampling errors:

Generally decreases as sample size increasesDepends on size and variability of characteristics of the populationCan be accounted for and reduced by an appropriate sampling planCan be measured and controlled in probability sample surveys

Sources of sampling error: a) sampling method, b) estimation method, c) sample size, and d) variabilityof the sample’s characteristics. Sampling is not dependent on size of populationMeasuring sampling error

IV. Sampling MethodsProbability sampling: selection of sample from a population based on principle of randomization orchance.Non-probability sampling: assumes an even distribution of characteristics within the population. Everyunit in the population has equal chance of being selected.

V. Application of Sampling in SWM AssessmentObjectives of sampling; types of information to be generated by the studyProcess flow of samplingDefine 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.


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 assignedto waste from commercial establishments), characterize one truckload of market waste perday per source, with truck selected at random (if more than one truck per source). If LGUmixes the waste coming from various sources, completely characterize one truckload ofmixed 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.


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; andf) 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; andb) 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.


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, the


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.


SUB-MODULE 3C: DATA ANALYSIS

Sub-module Coverage

The objective of this sub-module is to analyze and interpret the data generated from the SWM awarenessand practices survey and waste characterization exercise. Results are then used in planning the ISWMinterventions. The process begins with reviewing the encoded raw data to ensure that no encoding errorshave been made as this will certainly affect the outcome of the analysis. In analyzing data, participants aretaught to use the scatter plot technique9 and trend analysis to check for any data abnormalities. TheEcoGov has a suggested method for dealing with such abnormal values. For the survey, the processingrequired will mainly be frequency counting and computing the percentage distribution of responses tocertain questions.

A large part of the processing and analysis work will be devoted to the waste characterization data, themain focus of this sub-module. The following are expected to be generated from waste characterizationdata:

a) Per capita waste generation (in kg per capita);b) Daily waste generation by source and the corresponding waste composition; andc) Daily waste disposal and composition of disposed waste.

Using these estimates, waste generated by different sources may be projected over a ten-year period.The projected waste disposal over the ten-year period, with its corresponding composition, is likewisedetermined. These estimates allow the participants to ascertain the potential “waste diversion” that can betargeted in the ISWM plan.

The process of preparing these projections entails the use of extrapolation and population projectiontechniques. The step-by-step procedure used in EcoGov LGUs will be demonstrated and participants willbe guided in preparing the extrapolation and projections under varying assumptions of population andeconomic growth, collection coverage and rural waste generation. The projections represent a “no interventioncase,” i.e., it shows what would be the waste generation and disposal trends in the LGU if current behaviorscontinue. The effects of SWM interventions are derived in a subsequent module.

This sub-module culminates in a roundtable discussion where the situational analysis, including theirimplications to SWM, will be presented to the ESWM Board and key stakeholders.


Outputs include a packaged database in Excel plus a set of tables containing current (baseline) andprojected data on waste generation and disposal. Part of the output (in a separate data file) would be theprocessed survey data.

The workshop part may be completed in four days. This time allocation assumes that data entry isproperly done and that the data are reasonably “clean.” The roundtable discussion may be held during aESWM Board meeting.

9 An statistical tool used for determining the range and distribution of the data.


Sub-module Approach

This activity is designed only for a small group as it requires intensive coaching and hands-on tutorialthus it is designed mainly for a small group. At least one member of the TWG should be familiar with theLGU’s population data and development/land use plan. The activity entails computer work, particularly useof Excel, so it is necessary that at least one from the group knows this program. For this session, computerswill be made available to the participants so they can complete the expected output.

The activity can be designed for a group of three to four LGUs. Thiswill maximize the time of the resource person. The data problems differacross LGUs. Letting several LGUs work together will allow them toappreciate the range of problems that will be encountered in developing aSWM database.

The coaching/tutorial will start with data cleaning, using mainly scatterdiagrams and trend analysis. It is important that all inconsistencies anderrors are addressed before the LGU start processing their SWM data.Participants will then be provided with some orientation on the structureof the database and on important spreadsheet operations that will beused. They will be guided in preparing population projections and wastegeneration extrapolations and projections. At this stage, it is critical that the assumptions and methodsused are documented. The assumptions made on population growth, economic development, urbanization,rural waste generation should be based on data from NSO and LGU plans.

The Excel database allows for the automatic generation of the summary tables. Once the data arecleaned and all the agreed assumptions are entered into the database, the computations are done by thecomputer. It is important that the participants understand the computation process and logic and not bedependent solely on the computer. Enough time shall be allotted for the interpretation of the results.

For the SWM awareness and practices survey, the participants will be guided in developing thespreadsheet to tally the responses to specific questions in the key informant interviews and for recordingand compiling qualitative responses during the FGDs.

To complete the expected output of this module (situational analysis), the TWG may organize a shortworkshop before the presentation to the ESWM Board. The whole TWG should discuss the data generatedfrom primary and secondary sources, particularly the waste characterization data, and analyze theimplications of the gathered information for planning. The waste characterization data can be related to theresults of SWM awareness and practices survey. Based on their analysis, they can decide on the highlightsthat will be presented to the Board. The EcoGov team or a service provider shall extend technical assistanceduring this activity.

Participants

Only a sub-group of the TWG may participate in this workshop as this activity requires a small group.At least one LGU staff, familiar with the Excel program, should be involved for data encoding.

Due diligence

The need to practice duediligence in data analysis isemphasized as participants areasked not only to review the datafor errors, but also to addressthese errors and other datainconsistencies.


Module Coverage

This sub-module aims to facilitate the Board and TWG members’ learning process and broaden theirinsights on SWM by exposing them to actual SWM experiences. During the study tour, participants areexpected to interact with LGUs that are more advanced in their SWM practices, and in the process, get toobserve working models, learn their pros and cons, be able to assess their applicability in their own locality.The learning from this activity will be useful inputs to the succeeding module where they will choose theiroptions in the actual formulation of their strategies and interventions.

The study tour serves as a welcome break as the previous and succeeding modules involve intensivework.

The study tour usually covers several sites and is completed within a week. The number of sites visitedand the mix of practices and technologies that will be observed are determined by the LGU based on thepriority concerns that come out from the situational analysis. Availability of LGU resources to support thetravel costs of the participants is a major factor in determining the number of sites to be visited.10


Output of this activity is a documentation of the exposure trip with a synthesis of lessons learned. Partof the design of the activity is the conduct of feedback and evaluation sessions where participants discusstheir observations and learning with local stakeholders. These are documented and synthesized for use inModule 5.

Module Approach

This module requires at least one month of preparatory work. The TWG and the Board holds a jointmeeting to agree on selection criteria and priority areas to be observed (such as practices, technologies,SWM operations) during the study tour. They then pick out possible study tour sites from a list of madeavailable to them by the EcoGov team. The participants, who may not include all members of the Board andTWG, then agree on the sites and arrangements are then made with the host LGUs. Preparations are alsomade to meet the logistic requirements (for air and land travel, board and lodging).

The list of sites visited by EcoGov-assisted LGUs is found in Annex 4A. A sample documentation ofthe study tour is found in Annex B4.

Module 4Study Tour

10 The Project is restricted to use USAID grant to pay for the travel expenses (e.g., fare) of government employees.


Importance of study tours

Study tours can really enhance thelearning process. Tacurong City realizedits value in preparing the LGU’s ISWMplan that it decided to send all itsbarangay captains to visit sites to givethem the opportunity to learn SWMexperiences straight from those who havegone through the whole process.

The EcoGov Project usually hires or provides a studytour coordinator and a documenter tasked to:

a) Undertake all the necessary preparations (i.e.,finalize itinerary, set appointments with host LGUs,arrange flights/land travel, reserve hotels, others);

b) Accompany the participants and ensure smoothconduct and proper documentation (including photo-documentation) of the study tour;

c) Facilitate and document sharing of experiencesbetween participants and host LGUs; and

d) Facilitate and document a daily sharing session orFGDs to process the inputs gathered from sitesvisited and the group’s learning.

Participants

Ideally, all members of the Board and the TWG should participate in the study. However, the number ofparticipants usually depends on the LGU’s ability to finance the travel expenses. Study tours may beorganized in batches, so that more participants will benefit from the exposure. Or to cover more ground, theparticipants may be split and each sub-group will have a separate itinerary. Again, this will depend onavailable resources. After the study tour of its city officials, Tacurong City eventually decided to send alltheir barangay captains on a similar study tour, recognizing the value of it in enhancing learning.


Module 5Integrated Solid Waste Management

(ISWM) Plan Formulation

ith the completion of the dataanalysis and projections as well

as the exposure trip, the TWG andthe ESWM Board are now ready to

start the preparation of the 10-year ISWM plan.The EcoGov Project suggests an ISWM planoutline11 (See Annex 5A), which describes indetail the content of each section. The outlineconsolidates the outputs generated in the othermodules. Proper documentation of previousactivities could facilitate formulation of the ISWMplan.

The module is divided into five sub-modules:

Sub-Module 5A. Visioning, TargetSetting, and Options Analysis. Thismodule focuses on the crafting of visionand mission and the subsequent settingof objectives and targets for the 10 yearperiod based on the situational analysisand learnings from the study tour. TheSWOT analysis and the problem treeanalysis are some of the tools that canbe used to establish the vision, mission,objectives and targets of the ISWM planof the LGU. Once the direction is clear,a simple options analysis will be used to guide the LGU in developing broad strategies for theformulation of the ISWM plan components and to lay down the wastestream flow interventions fromthe waste sources to the disposal.

Sub-Module 5B. Formulation of the Engineering Component. Guided by the wastestreamflow intervention options as well as the mandatory requirements of the Law, specific engineeringoptions are identified and evaluated in each functional element of the ISWM-waste reduction andminimization at source, collection transport/transfer, materials recovery and processing, and disposalmanagement. This will finally result in the identification of specific activities and cost items relevantto the engineering component.

W Good governance practices inplan formulation

Participation - The planning process actively involvesSWM stakeholders to increase their sense of ownership of theplan and encourage them to work with one another. The planincludes clear provisions to ensure stakeholder participationin social marketing/IEC, M&E and enforcement, withappropriate incentives systems also provided.

Transparency - The planning process allows for theprovision of relevant data (including those gathered fromoptions analysis in developing the engineering component andthe cost-revenue analysis) to SWM stakeholders to ensureinformed decision-making. The plan incorporates practicesthat promote transparency and shall feature a design of theM&E system, which allows for broad information disseminationof both physical and financial performance; system forrecruiting SWM staff and selecting members of multi-sectoralcommittees; and system for validating and widely disseminatingSWM ordinances.

Accountability - The ISWM plan shall specify persons/groups that are accountable for specific ISWM activities anddecisions.

11 This outline differs from that used by the ADB Team that prepared the SWM plan for Metro Manila; but contains most, if not all,the recommended elements.


Sub-Module 5C. Formulation of the Policy Component -This will look into the policy and ordinance requirements of theplan, based on RA 9003 and its IRR. With an analysis of existingpolicies and ordinances and the recommended interventionsas bases, the LGU will be able to develop its priority policysupport agenda and work out an effective enforcement strategyfor SWM.

Sub-Module 5D. Formulation of the IEC Component - Thiswill identify the priority IEC activities required to increase SWMawareness and support efforts on waste reduction andsegregation at source. The LGU gets guidance in developing an IEC program that can be initiatedimmediately, even prior to plan legitimization.

Sub-Module 5E. Management and Financing Arrangements - This will define how to managethe SWM program and how to monitor and evaluate the SWM performance of the LGU. There willbe a detailed analysis of annual costs (capital and operating costs) and projected revenues, usedas basis for formulating the financial plan. The financial plan will look at both internal and externalsources of funding.

In the past, the EcoGov Team introduced options analysis as a separate module before starting anyplanning activity. This training guide integrates the options analysis into the design of the engineeringcomponent. It is deemed appropriate that options analysis focus on the engineering component as it hasthe biggest investment requirement and there are a number of alternative management strategies andtechnologies that could be adopted.

The inclusion of Sub-Module 5D as a separate module aims to address the difficulties encountered bythe LGUs in developing sections of the plan dealing with organizational, financing and other implementationarrangements. It increasingly became apparent that LGUs needed inputs on management and financingarrangements and these could be better provided through a formal training session rather than throughinformal coaching and mentoring. This sub-module was developed and first introduced during the SWMCertificate Training conducted by EcoGov held in Davao City and Cebu City (for LSPs like DENR). TheEcoGov SWM Team recommends that this be included in the SWM modules in future training.

Considering that each sub-module will tackle a specialized subject matter (engineering, policy andordinances, communications planning, and organization and financing), the mix of participants to the sub-modules will differ. Each sub-module identifies the preferred participants and will have different timeframesto complete. These timeframes exclude the post-workshop activities that the LGUs shall complete beforeproceeding to the next sub-module.

EcoGov specialists (i.e., SWM Specialist, Resource Economist, Legal Specialist and IEC Specialist)led the conduct of these sub-modules in the EcoGov LGUs. The Project hired local service providers (LSPs)to facilitate the workshops and document the outputs12. The assisting professionals (APs) were tasked tointegrate the module outputs and draft the ISWM plans. The EcoGov national SWM specialist did the finalreview of the draft plans to ensure quality.13

12 To some extent, certain policy component workshops in the Visayas were led by a lawyer who was hired as an LSP.13 In the future, EcoGov regional specialists shall assume more quality control responsibilities.

Integrating options analysis

This guide integrates optionsanalysis into the design of theengineering component as it requiresthe biggest investment and there areso many management alternatives andtechnologies that could be adopted.



The output of this module will be a draft 10-year ISWM plan. The LGU and the EcoGov Team may need2-3 months to consolidate all the plan inputs (such as outputs from the various sub-modules and activities)and complete the draft plan. The TWG may consider holding writeshops for the drafting of the plan document.The identification of priority activities and the budgetary requirements for Year 1 (or Years 1 and 2) can beprepared during these writeshop.

Upon completion of the ISWM draft plan, the TWG will then prepare for the plan’s legitimization, whichincludes the review of the plan by the ESWM Board, conduct of a series of public hearings, review of theplan by the Municipal/City Development Council (M/CDC) and final review and approval of the plan by theSanguniang Bayan/Panlungsod (SB/SP).

Sub-Module 5A. Visioning, Target Setting, and Options Analysis

Sub-Coverage

The objectives of this sub-module are to:

a) Generate consensus on the vision, mission andgoals for SWM;

b) Agree on key targets for the 10-year period; andc) Identify and evaluate options for the four SWM

functional elements, and choose the preferredoptions.

The vision, mission and goals will be based on ananalysis of the LGU’s current SWM situation and mandate.The targets will consider both the mandatory provisions ofRA 9003 and its IRR and the LGU’s ability to comply withthem. The targets should include the target percentreduction in the waste stream resulting from reduction atsource, recycling and composting and the compliance tothe deadlines for disposal facilities.

As mentioned earlier, the SWM process has fourstages: segregation and waste reduction at source,collection and transport, materials recovery andprocessing, and disposal management. Options in eachstage will be identified with the use of guide questions.Options, in terms of technology, scale of operations, IEC,policy and enforcement and/or management arrangementswill be identified and analyzed using multi-criteria analysis(i.e., based on practical considerations and a mix ofeconomic/financial, environmental, political, and socialcriteria). The chosen option for each stage will then be translated into specific activities and cost items ofthe plan components. With these, the LGUs can eventually estimate the total 10-year investment andoperating budget requirements of each component.

Visioning

Visioning is having a mental picture of thedesired future state that one wants to achievewithin a specified period of time (e.g., in 10 years’time). Vision writing requires hindsight (whatlessons have you learned which you can use infacing anticipated challenges?), hindsight (whatpolicies or practices do we expect to happen?) andan appreciation of current realities that areexpected to impact future actions.

A clear vision provides a clear directionwhich, when shared, allows individuals to find theirown roles in the organization and in the largersociety of which they are a part.


Expected Sub-Module Outputs

Final outputs of the sub-module will consist of: a) statements of vision, mission and goals; b) specifictargets (with verifiable results and timeframe) for the 10-year period which will serve as the LGU’s keyperformance milestones; and c) detailed description of the chosen options for the plan components.

A three-day workshop may be required to complete the above-listed outputs. The TWG should be givenmore time after the completion of the workshop to review and finalize the outputs .

Sub-Module Approach

The sub-module will have several parts. The first part is on visioning and target setting. This will startwith the presentation of the highlights of the situational analysis. Short inputs will be provided on visioning(why is it important, how to formulate vision statements, etc.) before the participants are guided in craftingtheir vision and mission for SWM. The SWOT analysis will be used to identify major SWM issues andconcerns of the LGU. The SWM database and the learnings from the study tour are used as inputs andreferences in clarifying the issues and concerns. From these, broad strategies which collectively will makeup the mission leading to the vision will be generated, discussed and agreed upon by the participants toaddress these issues and concerns. These strategies will hopefully bring to reality the vision on SWM inthe LGU.

On the options analysis part of this sub-module, it will start by orienting the participants on the minimumlegal requirements for SWM activities and the possible SWM options which may be considered for SWMstages. Incentives, including user fees, which may be implemented are, also, discussed to the group.Then, the discussion moves on to explaining quantitative and qualitative criteria which will be used in theanalysis. Indicators included are costs, revenues, social acceptability, environmental impacts, politicalimplications and other factors which may be suggested by the group. It is important that the participantsare given the chance to suggest evaluation criteria which are relevant to the LGU’s SWM present status.

The participants are, then, divided into groups to identify options for source reduction, collection andtransport, disposal and program management stages. Activities and pathways for each SWM alternativeare listed by the group. Then, the group moves on to listing the pros, cons, strengths, weaknesses, threatsand opportunities of each option. A blank sheet is given to the groups for easy facilitation of the discussion.Options are, then, compared with evaluative criteria discussed in the early session of the workshop. Rankingof options based on established criteria is the next critical part of the process. The preferred option is, then,selected. A plenary session is suggested after the two stages have been completed to finalize the preferredoptions in each stage of the ISWM. The overall result of the activity is then packaged as input to theformulation of the different plan components.

Participants

Participants will include members of the TWG and ESWM Board. The participation of various stakeholdersis necessary in this sub-module as the vision, mission and targets are set and the options in each stageof the ISWM are chosen by consensus. It is critical that key LGU staff currently involved in solid wastemanagement participate in the process.


Sub-Module 5B. Formulation of the Engineering Component

Sub-Module Coverage

This component is the backbone or hardware of the plan. This requires the largest investment amongthe components of the plan and would have the most significant environmental impact, thus, it is criticalthat this component be backed up by a thorough analysis of the generated SWM data and evaluation ofoptions.

The engineering component of the ISWM program of an LGU is one of the most essential elementscrucial to achieving the objectives of the Plan. It outlines the Plan’s strategies in complying with the keyrequirements of RA 9003 on SWM activities- segregation and reduction-at-source, collection and transport,materials recovery and processing and disposal.

The sub-module on engineering component primarily introduces the participants to the engineeringelements of an ISWM program in line with the provisions of RA 9003 to enable them to draft the engineeringcomponent of the ISWM Plan based on the preferred options identified, evaluated and approved by theESWM Board of the LGU. Specifically, the module provides a venue for discussion of the following variables:1) design of segregators and receptacles, distribution/location of receptacles, temporary storage, compostingat source and common composting facilities for segregation and reduction at source stage; 2) collectionschedule per type of waste material, required collection trucks and crew, routing and maintenance ofcollection fleet for collection and transport stage; 3) location of MRF, functions and design of MRF, includingcapacity and, equipment requirements for material recovery stage; and 4) closure and rehabilitation of opendumpsite, conversion/establishment of controlled dump site, equipment requirements for controlled dumpsite, location of sanitary landfill (SLF) and equipment requirements of SLF for disposal stage.

It is important to mention that the outputs of the module are dependent on the SWM database gatheredduring the waste assessment stage. These information will be the bases for the design of proposed facilities,upgrading of existing ones and procurement of equipment. Also, this module will detail the related-engineeringinvestment and operating costs necessary for the implementation of the Plan. Thus, the following materialsare made available before the conduct of the module workshop: completed SWM data analysis and projections;write-up for the preferred option for each stage of the SWM process; and materials, notes, photos of SWMfacilities visited during the LGU’s study tour.

To help participants develop the engineering component, they will be provided with a guide or checklist,which points out the critical engineering elements in each of the four stages or functional elements of theSWM process: segregation and reduction at source, waste collection and transfer, materials recovery, anddisposal management. With such a guide/checklist and the results of the waste assessment, participantsshould be able to help LGUs sequentially draw up and evaluate alternative strategies (primarily in terms ofcosts, environmental impacts and management requirements), choose the preferred option, and come upwith the proposed activities/interventions and major cost items for the plan period. Examples of SWMtechnologies that have been proposed and/or adopted by various LGUs will be cited to help in the identificationand evaluation of options and cost estimation.

The participants will also be guided in projecting its waste flow over the 10-year plan period given theirselected strategies for segregation and reduction at source, waste collection and transfer, materials recovery,and disposal management. This will be part of an exercise on the estimation of the useful life of a sanitarylandfill.

Expected Sub-Module Output

The output of this module will be the draft engineering component f the 10-year ISWM plan. This willinclude sketches and drawings of facilities, maps for collection and transport and disposal sites and othertechnical specifications.


Participants

The participants to the four-day sub-module should come from the engineering groups of the TWG andESWM Board, including the Chairman of the SB Environment Committee, Planning Officer, ENRO, ENGG,GSO and an encoder.

Sub-Module Approach

Segregation and Reduction-at-Source

Focus group discussions (FGDs) are conducted for the identification of engineering elements at eachstage. The process starts with details of segregation and reduction-at-source techniques. Areas which willbe provided receptacles (prior to collection) for recyclables, residuals and special wastes are listed. Thesemay include households, establishments, institutions, public facilities and barangays outside the corecollection area. Then, based on the data on generation of recyclables by major sources and on wastedisposal practices, the group decides on the design specifications of receptacles which will make segregationof recyclables by households, establishments/institutions and general public easier. To help the group,different types of receptacles are presented. After selecting the design of the receptacles, the number ofreceptacles to be provided by the LGU and their location are discussed using the waste assessment datain identifying major generators of recyclables.

The group, then, focuses on appropriate design of temporary storage of residuals prior to collection. Itis important that the data on volume of residual wastes generated by individual households in betweencollection periods are available for estimating the capacity of the storage containers. It should be noted thatthe storage needs of urban and rural barangays differ. The same variables are discussed for residuals ofestablishments and institutions.

Alternative ways of safely handling/storing special wastes prior to collection by LGU are then listed.The group uses the waste assessment data for the types and volume of special wastes generated byhouseholds and establishments to determine the corresponding type and capacity of receptacles. Theneed to provide common containers for special wastes in core collection area and other barangays is alsoassessed. If the group decides to provide common containers for special wastes in these areas, appropriatedesign and their locations are studied.

The group, then, agrees on whether or not the LGU is going to promote composting at source for thebiodegradable wastes. Data on biodegradable waste generation and their projections are used for discussionand decision making by the group. The group, also, evaluates the practicality of installing compostingfacility per barangay. The pros and cons of backyard composting by individual households are also considered.

Collection and Transport

Collection and Transport Managed by Municipal/City LGU

The group first discusses the present coverage of the LGU core collection area using the a base mapas reference. Collection coverage areas in the next 5 to 10 years are then projected. It is suggested thatchanges in core collection area as well as the assumed increase in households and establishments beshown on the map. The types of waste which will be collected by the LGU are, then, discussed. Wastes tobe collected from households, establishments, public market and other public facilities within the corecollection area are, also, projected.

The group proceeds on discussing the frequency of collecting biodegradables, recyclables, residualwastes and special wastes. Specifically, the group decides on the preferred frequency of collection forhouseholds, establishments, public market and other public facilities within the collection area; and, collection


of residual and special waste from barangays outside the core collection area. The group is guided bystarting with the ideal collection frequency and assisting the participants in making adjustments afterdetermining the cost of collection operations and facilities. After arriving at a consensus on the frequencyof collection, the group tackles the appropriate schedule for collecting garbage from various sources in thecore collection area. It is important that the group consider the need for separate schedules for the collectionof different types of wastes.

After deciding on the scope of the LGU’s collection service, the group evaluates the present collectionand transport capacity of the LGU in terms of vehicles, associated facilities and personnel. Inventory ofavailable trucks, their capacity, year procured, number of crew per truck and their present condition areconducted. After determining these existing resources, the appropriate capacity to be maintained by theLGU for sustainable service is determined. The group, then moves on to identifying the following: type,number and period of additional/replacement of collection trucks; ideal number of collection crew; necessaryadditional capacity for collection of residual and special wastes from other selected barangays; and, practicesto be adopted especially for the facilities and for the regular maintenance of collection fleet of the LGU.

Collection routing is then discussed. The participants will be introduced and trained on heuristicrouting to maximize use of collection resources and to minimize road accidents.The group also evaluatesthe need to do a time and motion study with the aim of extending the collection coverage without necessarilyincreasing the number of vehicles and size of crew.

Lastly, options on institutional arrangements and private participation are considered. The group mayconsider allowing private contractors to collect wastes in excess of the LGU’s capacity or in areas wherethe LGU may find difficulty in providing the service. It will also deliberate on the feasibility of allowingestablishments and private housing associations to contract private collectors for hauling of their respectivewastes. When the group decides that the LGU should engage in such arrangements, adjustments shouldbe done on the target collection capacity of the LGU.

Barangay-Based Collection

The discussion starts with the identification of the types of wastes which will be collected by thebarangays. Barangays which will have or can afford to have their own collection system in the next 2 to 5years are identified and listed and these are based on the projected waste generation and population. Incase of the inability of the LGU to served all barangays, the group decides on priority barangays (normallyadjacent to the collection areas) which will be served by the LGU for collecting the residual and specialwastes.

At this stage, options of barangays for the collection of biodegradable and recyclable wastes, arebased on the volume of the present and projected waste generation. Collection methods are correspondinglydiscussed among the group members. The types of assistance which can be made available by the LGU toenable barangays to establish their own collection scheme and facilities for biodegradables and recyclablesare consequently identified

Finally, the manner of transporting the residual and special wastes from the barangays to the disposalsite is discussed and decided on by the group.

Materials Recovery and Processing

Municipal/City Material Recovery Facility

In case the LGU plans to establish a municipal/city MRF, the group discusses and specifies thefunctions/components of the proposed MRF. The relationship of the barangay MRF with the municipal/cityMRF is defined.


The group then resolves the following concerns: type of recyclables which will be recovered by theMRF; sources of recyclable materials; expected volume of recyclable materials which will be brought to theMRF; start of operations; assumed recovery efficiency through time; volume which will have to be disposedat the disposal facility; and percentage projected diversion through the MRF.

Discussion will also include the type of sorting process which will be used , equipment required, periodof procurement of sorting materials and equipment, and the number and training of workers for the sortingjobs. The procurement of equipment, establishment of facilities and the hiring of personnel should follow thephasing of the MRF operations.

When the preferred option includes composting, the group identifies sources of compostable materials,expected volume of compostable materials which will be brought to the MRF, start of composting operations,assumed production and percentage of projected diversion through composting in MRF.

The group, then, defines the composting technology which will be used, facilities and equipment to beestablished and procured and, number of workers to be hired. Again, the procurement/establishment/hiringwill be guided by the phasing of composting operations.

Possible locations of the MRF are discussed aided by the base map of the LGU. Assessment of thesuitability of the MRF site, access roads and necessary permits are considered. A sketch of the MRFstructure is a helpful tool in the discussion to come up with decisions. Decisions can include assigning ateam to develop the Notice to Proceed document for the MRF and another team to do the feasibility studyof the facility.

On the organizational set-up of the MRF, the management to be provided by the municipal/city to theMRF is discussed. This includes identifying the number of personnel needed and the LGU’s willingness toaccept participation of the private sector in the operations and management of MRF.

Another important consideration in the deliberation is the LGU’s plan on existing junk shops. The groupshould decide whether or not these will be integrated into the MRF network of the LGU. An option that canalso be explored is the organization of these junk shops into a formal group to improve their viability andstability, thereby, complementing the LGU’s efforts on achieving the diversion objectives.

Barangay MRFs

Discussion on establishing barangay MRFs begins with the process of prioritizing barangays and/orcluster of barangays for the establishment of MRFs. On clustering of barangays, consensus on the clusteringmechanism is decided. This should be definite and clear. Other variables which are to be discussed in bythe group include MRF’s size, its location and design. A design of a typical barangay MRF is shown to thegroup to facilitate finalization of the MRF.

The marketing structure which will be implemented in transporting the MRF products to the municipal/city buyers is also defined by the group. Transport and access facilities necessary for marketing the MRFproducts are, also given attention in the discussion and decision making by consensus.

Disposal

An important engineering component of any ISWM Plan is the disposal facility. The limited resourcesand lack of political will of LGU officials have hindered most of the LGUs in complying with the requirementof RA 9003 on disposal - conversion of eligible open dump into controlled dump and the conversion ofcontrolled dump into a sanitary landfill. It is therefore indispensable for the LGUs to plan for the closure ofopen dumps and the conversion of qualified opendumps to controlled dumps as transition disposal facilitytowards sanitary landfill. The significant consideration in deciding for the closure and rehabilitation plan of


an open dump is its sustainability for conversion to a controlled dump.Thus, it is necessary that the groupcarefully go through an assessment phase guided by the hydrogeological findings of the DENR-MGB if thesite is complying with the requirements for conversion to controlled dump. The other considerations will bethe remaining capacity within the two years that the controlled dump will be allowed to operate. If the opendump site fails the criteria for conversion, then it is a must for the LGU to look for alternative sites guided bythe recommendations of the MGB.

Additional studies and activities to be conducted in the preparation for a controlled dump and/or landfilldisposal facilities and the methods which will be used in these studies and activities are also determined,discussed and decided by the group. Key considerations are the volumes and projections of residualwastes to be disposed, useful life of the SLF, leachate management, gas emission management andenvironmental monitoring and evaluation.

Another area for discussion is capacity-building needed by the LGU to effectively and efficiently operateand manage a controlled dump/sanitary landfill facility. The persons and/or group who will be responsible foroperating and managing the controlled dump/landfill facilities are also defined in the discussion. An issuerelating to the institutional arrangement is the LGU’s plan to allow private entities to partner with the LGU inoperating the facility and the possibility of sharing the use of SLF with other LGUs through a clusteringmechanism that is mutually agreed upon by the cluster members.

Equally significant to be discussed is the financing of sanitary landfill-related investment and operatingcosts since analysis of SWM costs reveals that disposal costs, especially on the development of a sanitarylandfill are, usually, the highest. It is important at this stage for the LGU to be able to identify possiblefinancial sources for the project and possible SWM revenues to partially offset the costs.

Important inputs to the discussion are the volume of residual waste generated and its projections in thenext 5 to 10 years.

Lastly, the group considers the incorporation of a toxic and hazardous waste (THW) facility within thecontrolled dump or sanitary landfill. A designated zone is identified in an approved site and the options forTHW facility for storage/disposal of special wastes are provided and discussed by a technical resourceperson for the TWG to decide which would be the preferred option, taking into consideration the additionalcost of developing and establishing a THW facility.

With the engineering plan established, the engineering group moves on to identify activities to beundertaken for the implementation of the plan. Schedule of activities is drawn and shown in a Gantt chart.The group is also assisted in detailing the activities for Year 1 as these will be the inputs for Year 1 actionplan.

Cost items for the engineering component of the plan are identified and estimated by the group. Thecosts are categorized into past and present cost incurrences. For capital investments, the group indicatesthe useful life of each item. Inventory of future costs, e.g., additional truck or replacement truck, buildingextension and estimation of useful life of existing equipment or facility are done by the group. It is importantto note that annual costs should be accounted for recurring costs. On the other hand, investment costs arereflected only on the years that these costs are incurred. These inputs are provided for the overall costanalysis of the 10-year ISWM plan.


Lecture NotesEngineering Components

I. Considerations (schemes and technology) for SWM elements

II. Qualities of a Good Storage Container

III. Types of Trucks

IV. Waste Diversion

V. Waste Stream Flow

VI. Processing and Treatment

VII. Flow of Composting Process

VIII. Disposal SystemA. Illegal dumpingB. Open dumpingC. Controlled dump siteD. Sanitary landfill

IX. Segregation and Reduction-at-Sources

X. Solid Waste Collection and Transport

XI. Solid Waste Processing

XII. CompostingA. Basic conceptsB. Current regulationsC. Basic composting process

1. Backyard composting2. Commercial composting3. Vermi-composting

D. Compost Facility Lay-OutE. Recommended Siting Criteria for Composting Facilities

1. Size2. Slope3. Hydrology4. Buffer zone5. Erosion control6. Access7. Flood plains8. Water table9. Safety and security10. Odor control11. Market and market development

F. Potential Markets for CompostG. Market Issues and Concerns

XIII. Recycling


A. Basic ConceptsB. Products and End MarketsC. Promoting Recycling Programs

XIV. DisposalA. Basic ConceptsB. Current RegulationC. Structure of LandfillD. Types of Landfill

1. Trench Method2. Area Method3. Ramp Method4. Secure Landfill

E. Leachate Generation, Characteristics and ImpactsF. Key Characteristics of Open DumpG. Potential Environmenntal Impacts of Open DumpsH. Pre-Identification/Selection Activities and RequirementsI. Landfill Site Identification and Screening Criteria for Local GovernmentsJ. Site Survey RequirementsK. Key Characteristics of Controlled DumpL. Key Characteristics of Sanitary Landfill 1

M. Key Characteristics of Sanitary Landfill 2


Sub-Module 5C. Formulation of Policy Support Component

Sub-module Coverage

This sub-module emphasizes the necessity to have a strong policy support for the implementation ofthe LGU ISWM plans to ensure their compliance with the requirements of the law (such as RA 9003 and theLocal Government Code). This component identifies the specific actions in the plan needed to be embodiedin an ordinance(s) and define the corresponding enforcement mechanisms that must be put in place.Policies/ordinances should incorporate good governance principles, making sure that TAP practices identifiedand observed during the planning stage are carried through to the implementation phase.

This module consists of three major activities:

1) Brief input lecture on the objectives and scope/content of the policy support component and awalk-through of a policy analysis guide (See Policy Analysis Guide, Annex 5B) developed byEcoGov.

2) Hands-on experience in policy analysis. A sample ISWM Plan will be analyzed to determine theLGU’s policy requirements.

3) Ordinance review. A sample ordinance will be reviewed to determine how such can be made compliantwith TAP principles and the requirements of the relevant laws.

Considering that many LGUs still have ordinances passedbefore the issuance of RA 9003, this activity allows them to reviewthese ordinances and recommend how these may be updatedand made compliant with the law. They will likewise have hands-on experience in enhancing these ordinances by integrating intothem provisions on transparency, accountability and participatorydecision-making or TAP. Thus, it will be insufficient to only identifythe set of ordinances that need to be enacted to support the ISWM10-year plan. It is equally important to establish who will beaccountable for specific decisions and actions, and to provide(among others) procedures for greater stakeholder participation inthe monitoring of implementation activities, revenue generation andexpenditures.

Expected Sub-module Output

The output of the activity is a draft policy support component, which in the ISWM plan outline (SeeAnnex 5A), forms one of the plan’s four major components. Part of the output would be analysis of thecurrent ordinances of the LGU, the list of the priority ordinances that will have to be enacted to supportimplementation of the LGU ISWM plan, the proposed contents of the ordinances, including provisions ontransparency, accountability and participatory decision-making; and the identified enforcement mechanisms.

Upon the completion of this activity, the LGU can initiate the preparation/revision of priority ordinancesor the formulation of a comprehensive SWM ordinance so that these may be issued as soon as the ISWMplan is legitimized.

The workshop for developing the component is programmed for two days. There is a requirement for apre-training activity and post-training activity (further development/refinement of the content of the component),thus, time needed for this activity may be longer.

TAP-enhanced ordinances

Participants will have hands-onexperience in enhancing local ordinancesby integrating into them provisions ontransparency, accountability andparticipatory decision-making or TAP.

This ensures that the TAP principlesintroduced in the various stages of theISWM planning are carried throughout theimplementation stage.


Sub-module Approach

The activity will require a short lecture and a series of workshops. The lecture will define the scope andprovide the conceptual and legal framework for formulating the policy support component. It will provide areview of the concepts of transparency, accountability and participatory decision-making. The workshopswill allow the participants to systematically analyze policies and ordinances, and work out the LGU’s SWMpolicy agenda and enforcement mechanism, using tools and formats developed by the EcoGov Project.Included in the lecture outline is a discussion of the ordinance formulation process, which may lead to theaddition of a workshop for the actual formulation of one or two priority ordinances.

It is understood that prior to the conduct of this activity, the TWG has done, as a pre-workshop activity,a compilation and preliminary review of all SWM related ordinances and policies. This should have thegarbage fee system, usually included in many LGUs’ local revenue code.

During the workshop, the analysis will be done in two stages. The first stage of analysis will look atgaps in existing policies/ordinances based on RA 9003 and its IRR and good governance practices. Inmaking the analysis, the participants will make use of a guide and summary form (See Annex 5B) developedby the EcoGov Project for this purpose.

The second stage of analysis will examine the policy/ordinance support requirements of the ISWM planand match these with what exists. The key strategies and activities for each SWM stage are reviewed andthe ordinances, which will support the establishment and management of these facilities, are identified.Taking into account the requirements of the plan and the applicable laws, the contents or necessaryprovisions of each proposed ordinance are determined and discussed, including the desirable TAP practices.

The formulation of the policy support componentwill take off from the results of the two analyses. Theparticipants will have to agree on the priority policy/ordinance agenda. Then, with the use of guidequestions, they will flesh out their TAP-enhancedenforcement mechanism, which will include staffrequirements and incentives systems for theenforcement organization and performance evaluationsystem. The various policy/ordinance formulation andenforcement activities will then be programmed overthe 10-year period, with the responsible centers(position or office) and timeframe for theirimplementation indicated.

The first-level ordinance analysis will be done in groups.The group outputs are then consolidated into onematrix. The second level of analysis and the formulation

of the overall component are best done in a plenary setting.

The following should be available to the participants during the training as these will be sources ofcritical inputs to the component:

1) Compilation of SWM policies and ordinances,2) Summary of SWM strategies and of the engineering component, and3) Existing and/or proposed staffing plan of the SWM organization of the LGU.

Key Elements of thePolicy Support Component

a. Analysis of the current ordinances of the LGUb. Components of the LGU SWM plan that will

require policy support for implementationc. List of ordinances that will have to be enacted

with description of key contents, to includeprovisions on transparency, accountability andparticipatory decision-making

d. Identification of enforcement mechanisms: whowill be the enforcers, duties and functions,process for deputation, incentives and rewardsfor enforcers, performance evaluation


Participants

This activity need not involve the whole TWG. A TWGsub-group can be formed for policy support. It is importantthat the workshop participants include the LGU officerwho is in charge of the SWM sector, key members ofthe ESWM Board, Chairs of the SB/SP Committees onEnvironment and Health, and representatives fromenforcement bodies, such as Barangay Tanod and localpolice, and representatives of NGOs/civil societyorganizations.

The involvement of SB/SP members in the processis crucial in facilitating the ordinance approval. It isimportant that this activity have a lawyer as a resourceperson, who is familiar with the Local Government Code,RA 9003 and other environmental laws, and with a goodappreciation of good governance principles. Anexperienced facilitator is also necessary for the plenarysessions.

Sample Ordinance Inventoryand Analysis Questions

1) Does the LGU have an ordinance that requiresresidents/local establishments to reduce/segregate waste at source?

2) Are there any local laws that encouragepeople to practice composting?

3) Does the LGU have existing ordinances onpayment of garbage fees?

4) Is there any existing regulation that requireslocal business establishments, such asgroceries, not to use plastic bags or similarmaterials?

5) Is there an existing ordinance that penalizeslittering?

6) Do the ordinances conform to the provisionsof RA 9003, its IRR and other relevantnational laws?

7) Does the ordinance contain provisions thatprescribe transparency?

8) Does the ordinance clearly identify the centersof responsibility?

9) Does the ordinance provide who shall be heldaccountable for actions and decisions?

10) Were the stakeholders involved in thepreparation of the ordinance?

11) Does the ordinance provide mechanisms bywhich the stakeholders can participate in thedecision-making process?


Lecture NotesSWM Plan Policy Support

I. Objectives of the Policy Support ComponentEnsure compliance by LGUs with the requirements and prescriptions of existing national laws andtheir corresponding IRRProvide the necessary policy support for the implementation of LGU Plans

II. Bases of Policy Support ComponentNational laws governing SWM and their IRR (With discussion of salient features)- RA 9003- DENR Administrative Order No. 2001-34: IRR of RA 9003- RA 6969 (Toxic and Hazardous Waste)- Sanitation Act- Clean Water Act- Clean Air Act- RA 7160 (Local Government Code)

III. Review of Principles of Good Governance – Transparency, Accountability and Participatory Decision-Making-in relation to implementation and enforcement of the LGU ISWM Plan

IV. Contents of the Policy Support ComponentAnalysis of the current policy environment of the LGU on SWM - List of SWM ordinances of the LGU (with ordinance number, year enacted, title and major

components) - Analysis of ordinances vis-à-vis provisions of RA 9003 and its IRR, and related laws - Analysis of ordinances vis-à-vis TAP principlesPolicy Support and Enforcement- Policies/ordinances needed based on analysis of ordinances and components and requirements

of the ISWM Plan- Enforcement mechanisms (types of enforcers, duties and functions of enforcers, process for

deputation, incentives and/or rewards, performance evaluation)List of ordinances that need to be enacted and their recommended provisions, based on aboveanalyses

IV. Processes Involved in Formulation Policy Support ComponentData Gathering : Compilation of existing ordinances and entry into matrix formData Analysis to identify gaps in terms of RA 9003 and IRR and TAP; presentation and validation ofresults of analysisPresentation of key components of the LGU ISWM Plan and identification of interventions that willrequire ordinances for implementationIdentification of ordinances needed to comply with applicable laws and to support plan implementation,with their content and TAP provisionsIdentification of enforcement mechanisms including identification of enforcers, duties and functions ofenforcers, process for deputation, incentives and/or rewards and performance evaluationFinalization of policy support component

V. SWM Ordinance Formulation ProcessPresentation of components of ISWM Plan and interventions requiring ordinancesReview and analysis of existing ordinances of LGU on SWMIdentification of components of proposed ordinancePreliminary draftingConduct of information campaign/consultations/public hearings on draft ordinanceRefinement/finalization of proposed ordinanceSubmission of proposed ordinance to the SB/SP for enactment


VI. Priority SWM Ordinances (or Minimum Components of a Comprehensive SWM Ordinance)Implementation of and allocation of budget for the ISWM PlanEstablishment of enforcement mechanismsDetermination and collection of SWM FeesProhibited Acts under RA 9003Fines and Penalties under RA 9003Establishment of local SWM FundEstablishment of SWM organizationAnnual budget/appropriation for SWM


Sub-Module 5D. Formulation of Information, Educationand Communication (IEC) Component

Sub-module Coverage

This two-day activity aims to facilitate the development of Information, Education and Communication(IEC) activities that will support the ISWM strategies and interventions identified in the SWM plan, includingpolicy support.

This activity provides a review of the communicationprocess and concepts. It presents the differentcommunication approaches commonly used in local IEC/advocacy work and explains the role of communication inpromoting behavior change, networking and constituencybuilding. It stresses the need to have a research-basedcommunication plan, one that is based on an analysis ofthe information needs of particular audience segments (withdata derived from studies, focus groups discussions orFGDs, surveys, observations, and secondary information),and use field-tested audience-specific messages. Itemphasizes the need to assess the IEC situation (suchas possible allies as well as opponents, resources availableversus required) so that necessary adjustments in IECstrategies could be made to come up with a realistic anddoable communication plan.

In addition, it shares some knowledge and skills withparticipants on the development of creative IEC materials to help them start their IEC program. Like policysupport, IEC is an “immediate doable” activity that can be implemented while the plan is undergoing refinementand legitimization.

Expected Sub-module Output

The expected output of the module is a draft communication plan, which will be one of the majorcomponents of the ISWM plan. It will have the following elements: Objectives (which will be based on theassessment of issues) by target audience; key messages; channel/media; responsibility centers; andestimated costs.

Another output would be a one-year action plan that spells out the immediate next steps that the TWGcan pursue as part of initial IEC implementation activities. The action plan will provide details on the Year 1priorities of the overall communications plan.

Sub-module Approach

The module uses a combination of lectures and group exercises and workshops. The lectures willfamiliarize the participants on the conceptual framework, technical consideration and analytical tools forplanning IEC activities. Learning exercises (e.g., message relay, non-verbal communication, etc.) will beintegrated into some topics in the lecture.

Participants are provided the venue to apply knowledge gained from the lectures through the workshops.Four major workshops may be held: the situational analysis and evaluation of recent/current IEC activities;development of the communication matrix; development of IEC materials; and action planning.

Promoting TAP

IEC plays a crucial role in promotingtransparency, accountability and participatorydecision-making. Information disseminationallows the public to know what SWM programsare being or will be implemented, who are thepeople implementing it and how the communitycan help in ensuring the success of the program.By knowing these, people—as stakeholders anddirect beneficiaries—are better able toparticipate in decision-making andimplementation. Also, they become moremotivated in making plan implementersaccountable for their actions.


The first can be organized as a series of exercises, where the participants will be first be guided inputting together information gathered from various sources to come up with a situational analysis. This,however, need not be done in detail or discussed very thoroughly if participants have already been involvedin the assessment stage (Module3). All they need is a list of issues and concerns (on SWM awareness,knowledge, practices, etc.) identified earlier. These are important as the participants will have to developtheir communication objectives using these issues as bases. Thus, it is imperative that participants bringthese data with them to the training.

If they have this issues already identified, what can be done is to go ahead with the evaluation of recent/current IEC initiatives. What were the objectives of the activities? Who were the specific target audience?What were the specific messages? Who endorsed the messages? What channels were used? Did itwork? If it did not work, why? These are some of the questions that have to be asked during the evaluation.

Then, they can progressively complete the communication matrix found in Annex 5C. The third workshopcan be devoted to the development of a simple print material, such as a poster, leaflet or flyer. This activitymay use local materials or computer software (e.g., PowerPoint, PageMaker), depending on the availableresources of the LGU. The last workshop will produce the IEC action plan, for implementation within the firstyear of the project. The output of the third workshop (development of IEC materials) can be used as input tothe work plan (e.g., pretesting/production of IEC materials developed during the communication training).

To reiterate, it is important that participants be armed with relevant data gathered prior to the IECactivity. These will be on the baseline waste generation and disposal data (which can be derived from theseven-day waste characterization), current SWM programs (including IEC programs) and practices/behavior(which can be taken from the FGDs, surveys, observations, consultations), and planned SWM activities(derived from the engineering and policy workshops). Specifically, the following data should be made availableor gathered before the training:

1) Analysis of major waste generators and potential groups, which can be tapped to do communicationwork;

2) Assessment of current SWM knowledge, awareness and practices at least within the collection/urban center of the LGU;

3) Inventory of currently available IEC materials and important information sources/channels;4) Summary of SWM strategies and activities for each SWM stage (results of Sub-Module 5A); and5) Proposed policy agenda (results of Sub-Module 5B).

Using the available data, the participants are tasked to identify key communication issues per stage ofthe SWM process (i.e., reduction and segregation at source, collection and transport, materials recoveryand disposal management). Based on these issues, strategic communication objectives are developed forthe identified target audience per SWM stage. Activities per objective are identified and specific messagesare formulated to suit the needs of the target audience. Impacts of the proposed implementation schemeare also, discussed.

The module may be conducted in 2 ½ days, but more time may be needed for pre-workshop requirementsand possible post-training activity to finalize the outputs.

Participants

The participants in this activity are selected members of the TWG, other LGU and DENR staff responsiblefor IEC support activities, and members of local organizations (POs and NGOs), which can be tapped forIEC. If the LGU has organized a Speakers’ Bureau, then its members should be asked to participate in thisactivity. The resource person must have had sufficient experience in formulating communication plans, andin developing and implementing community IEC activities.


Lecture Notes

Planning Communication Activities

I. Objectives of the ActivityEnhance participants’ knowledge on important communication concepts and approaches and equipthem with necessary analytical tools for planning and designing communication activitiesGuide TWGs in the systematic development of a communication plan

II. OutputsDraft communications plan to support ISWM strategies/interventionsAction plan for Year 1 implementation

III. Information Users and Information Uses. SWM messages are communicated to:Waste generators (such as households, establishments, institutions) to promote certain behaviors“friendly” to SWM efforts and build a constituency for effective SWMDecision- and policy-makers (such as LGU leaders and the ESWM Board) to get their support (incoming up with favorable policies, budget allocation for SWM implementation)Influencers (such as the media, schools, religious/civic groups) to put pressure on the LGU leaders todo their job, and to waste generators to change SWM practices

IV. The ‘e’ Process – The process one has to gothrough when planning/doing IEC activities:

Analysis - provides for the analysis andprioritization of issues/problems that IECshould address, identifies and analyzes thetarget audience as well as determineavailable and needed IEC resources.Plan Preparation - calls for the developmentof communication objectives based onprioritized issues identified; specific messageformulation, medium selection, identificationof persons responsible and noting down oftime frame.Implementation - includes pre-testing (ifdeveloping an IEC material) or a run-through(if doing an IEC activity such as an orientation)and monitoring of IEC activities.Evaluation – allows for finding out whether anIEC activity worked or didn’t work, why itworked, and why it did not work.

V. Different Communication Approaches –Commonly used communication approaches atthe local level: IEC, Social Marketing,Development Support Communication, SocialMobilization and Advocacy. Emphasis given on the commonalities of features, stressing that at thelocal level, it is not really important to remember the right terminology to use; what is important is thatyou know who you are talking to, you know exactly what to tell them and know the best way to tell itto them.

V. Review of Communication Process and ConceptsElements of communication: sender, message, channel, receiver, feedback and feed forward. Feedforward is knowing your audience (which is actually audience analysis) first before communicatingwith him/her.Suggested Exercise: Message relay or relevant exercise that helps in demonstrating the communicationprocess.

ImplementPl

an

Analyze

Evaluate

(Pretest, monitor, etc.)

(Audience analysis, problem analysis,resource analysis)

(Did it work?Why? Why not?)

(Mes

sage

form

ulat

ion,

targ

et au

dien

ce, s

elect

ion

of m

ediu

m)


VIII. Questions to Ask When Promoting a Product. This, in brief, discusses how to prepare a simplecommunication plan.

What’s the situation? – Emphasizes importance of doing an analysis of the IEC situation (problems,issues, etc.)What is the product? - Identifies the specific idea, tangible object or friendly/ideal behavior that needsto be promoted.Who are the target audience or adopters? - Identifies the target audience, both primary and secondary,of the “product”What’s the profile of your target audience? Reiterates the importance of knowing exactly who yourtarget audience is to be able to formulate a message that fits his/her needsHow will the product be positioned? - Discusses the need to immediately grab the attention of thetarget audience. Reminder: focus on product benefits.What’s the message? – Identifies the specific message or messages. Reminder: make the messagesimple, specific and clearWhat channel to use? - Stresses the importance of selecting the right medium to reach the targetaudienceWhat are your available resources? - Determines available IEC resources (such as manpower, IECmaterials, IEC equipment, budget), what else are needed and how to get these. Part of this discussionis knowing your key allies.Who are the “contrabidas?” - Identifies the current or potential “opponents” (in SWM, there may not betoo many opponents; the challenge is how to make waste generators change their ways for the better).

Suggested Workshop: Situational Analysis and Communication Matrix Preparation (can actually bedivided into several exercises such as discussing key findings of the assessment that could be addressedby IEC (for situational analysis), identifying key issues per SWM stage, writing the objectives pertarget audience per stage, identifying activities and formulating the messages).

IX. Ways People CommunicateVerbal and Non-Verbal and Inter-Personal Communication (such as group communication likeassemblies and one-on-one communication such as meetings with mayors)Commonly Used Media/Materials (such as posters, brochures, billboards, radio/TV plugs, communitytheater), including tips on use.

XI. Designing ‘Sales Kits.’ Briefly discusses how to make an IEC material. Topics include: “Making amap” (planning what to say, who to say it to and how to say it); “Writing the headline” (formulating thecentral message); Writing the body (writing the text that includes the sub-messages); Other Tricks ofthe Trade (other tips).

Suggested Exercise: Actual development of IEC print material (poster, leaflet, flyer) using local materialsor PowerPoint or PageMaker software.


Sub-Module 5E. Management and Financing Arrangements

Sub-module Coverage

This sub-module focuses on two major implementation concerns:

1) Establishment of an SWM organization that will implement the plan and monitor its implementation;and

2) Identifying potential sources of financing for plan implementation.

The objective of the sub-module with respect to the first is to define the structure, staffing and activitiesof the organization that will oversee the implementation plan; the various institutional arrangements to elicitgreater stakeholder participation; and the system for monitoring the LGU’s SWM activities. With respect tothe second, the objective is to assess the LGU’s capability to finance plan implementation and to identifythe extent of external financing required over the plan period. It will also look into the development ofincentive systems to encourage private sector participation in SWM.

The participants will be guided in formulating the institutional, management and financing arrangementsfor implementing the ISWM plan, taking into account relevant provisions of the Local Government Code andRA 9003. Alternative organizational arrangements currently used by LGUs will be reviewed and assessed.The role of the barangays will be defined as well as those of multi-stakeholder groups that will be involved inIEC, enforcement, M&E, and other SWM activities. The LGU will have to prepare its organizational andstaffing plan, define the accountabilities of the various units, and identify the activities that such organizationwill undertake within the plan period.

This sub-module will also emphasize the critical role of M&E in SWM program management and howthis can support the promotion of transparency, accountability and participatory decision-making (TAP).The participants will be guided in developing its results framework and the key indicators for the variousfunctional elements and components of SWM. Discussion on how data will be gathered, tracked, analyzedand disseminated will complete the development of the M&E system.

Incentive systems are not usually well understood at the local government level; thus, they are not oftenused as a management tool in development projects. In this sub-module, appreciation of incentives systemswill be enhanced. Participants will learn concepts, definitions, types of incentives, and process of identifyingincentives and incentive mechanisms for SWM. These should allow them to develop the appropriate incentivesystems that will encourage the private sector to participate in SWM.

The plan financing aspect will demonstrate the rudiments of cost-revenue analysis, another tool deemeduseful in making decisions regarding the various arrangements for SWM. A cost-revenue analysis (on theconsolidated annual cost and revenue estimates) is used to determine the extent to which SWM operationscan be financed by SWM revenues and the Internal Revenue Allotment (IRA) of the LGU. This analysis willalso provide indications as to the potential financial viability of planned LGU-managed SWM enterprises,such as recycling, composting and sanitary landfill facilities. This analysis will lead the LGU to decide up towhat extent to which it would want to subsidize the program and how much the private sector involvementwould be (i.e., private investments).

This part of the sub-module will emphasize the need in ISWM for sustained financing. Variousmechanisms for financing ISWM, both traditional and innovative financing schemes, will be covered in thediscussions.



The specific outputs of the sub-module are: a) proposed organizational and staffing plan; b) SWMresults framework and an M&E plan; c) consolidated summary of annual costs and projected revenues; d)cost-revenue analysis of key SWM operations; e) brief write-up on the economic enterprise component ofthe plan; f) proposed incentive systems; and g) financing plan. These outputs compose the various sectionsof Chapters 6 and 7 of the plan outline. That on the economic enterprise component constitutes the lastsection of Chapter 5. The workshop may be completed in three days. The TWG, however, may need at leastone week more, with assistance from EcoGov AP or LSP to complete all the outputs listed above.

Sub-module Approach

There will be four technical input sessions in this sub-module and each will be followed by guidedgroup/plenary workshops or exercises. The organizational aspects will first be tackled. Following brieftechnical inputs (See Lecture Notes on page 55), the participants will be guided in developing theorganizational and staffing plan by asking them to answer a sequence of guide questions. The participantsmay be organized into smaller groups when addressing some of the questions (e.g., functions of organizationalunits, qualifications of staff).

At the end of the session, the participants would have agreed on:

1) Structure of the SWM organization (and its phased development over the plan period);2) Functions and accountabilities of the various units of the SWM organization;3) Proposed staffing and qualifications for key positions, plan for staff recruitment and critical training

needs;4) Composition of various multi-sectoral bodies that are proposed to be formed, the criteria for the

selection of their members and incentives for their participation;5) Other LGU units and agencies involved in SWM, with their roles clearly defined;6) Major activities of the SWM organization over the 10-year period and the corresponding cost

requirements;7) Procurement and contracting arrangements.

The second session will focus on M&E arrangements. The lecture (See Lecture Notes, Page 56) willexplain the key M&E concepts that are important for the development of the SWM results framework. Theconcept of indicators will be emphasized and examples of both output and outcome indicators will beprovided. A group exercise may be organized for the discussion of key performance indicators. This will befollowed by a plenary session to generate consensus on the indicators and outline the arrangements forM&E, to include reporting flows, incentives/and sanctions for good/poor performance, and the role of thecivil society and the private sector in M&E. A major subject for discussion would be the conduct of theannual performance assessment with respect to waste diversion, as the reduction of the waste streamserves as a key performance indicator.

The succeeding session on incentives will have a theoretical part, which will basically be an orientationon incentives, the different types of incentives that are applicable to ISWM and the steps in developingincentive mechanisms (See Lecture Notes, pages 57-58). The practical part will involve group analysis ofcase study/studies of applications of incentives by LGUs. The analysis will include the evaluation of theeconomic and management impacts of the incentives systems. From the analysis, the participants will beguided in developing the procedures for establishing and institutionalizing SWM incentives and incentivemechanisms.

The fourth part will be devoted to the processes involved in cost-revenue analysis: identification andestimation of capital outlay and operating expenses for each ISWM stage, scheduling of investments andoperating costs over the ISWM planning horizon, identification and evaluation of the potentials for revenue


generation of implementation activities, estimation of revenues, and comparison of the cost and revenuestreams over time. Participants will be grouped to work on specific ISWM components. Each group willundertake the whole process of cost and revenue estimation, scheduling and analysis. Computers will beprovided to each group.

Towards the end of the session, the group outputs will be consolidated to provide the overall cost-revenue picture of the ISWM plan. Part of the exercise at this stage would be the projection of the LGU’sIRA and 20% Development Fund over the plan period and an analysis of the cost requirements vis-à-vis theIRA. From this analysis, the TWG is expected to come up with their conclusions about the potential of theSWM revenues to cover cost of operations and investments, and the financial viability of planned economicenterprises. Based on the analysis of its IRA and the cost-revenue analysis, the LGU will have to makerecommendations with respect to financing plan implementation.

The last session will introduce the concept of local development financing. This will include a discussionof traditional and innovative financing schemes, with focus on municipal bonds (See Lecture Notes, pages58-60). Based on the presentation, the participants are encouraged to broaden their options and considersome of the non-traditional financing schemes.

Participants

Since this sub-module integrates and takes off from the results of previous sub-modules, the participantsshould include key members of those sub-groups involved in other sub-modules – engineering, policy andIEC. It is also important that participants include representatives of civil society groups and private sector;key officers of the LGU units currently involved in SWM; and representatives of the LGU’s finance andadministration, personnel, and planning divisions.

It may not be possible for one resource person to cover the topics listed on this sub-module. A team ofresource persons/specialists will have to be tapped. It is important that discussions are focused on theapplication of concepts, analytical tools and frameworks to SWM. A good documentation of the discussionsand agreements is necessary for purposes of writing the draft plan.

Critical to the successful conduct of this module is the completion of the outputs of previous sub-modules: drafts of the components, cost items per component and stage, and cost estimates. It will behelpful to also have a copy of the current LGU structure and staffing list to ensure that whatever SWMorganization is proposed will fit well into the current structure.


Lecture NotesDeveloping the SWM Organization

I. Objective of the ActivityDefine the SWM implementation and coordination structureEstablish accountabilitiesDetermine resource requirements (staffing, budget)

II. Review of current SWM implementation arrangements in the LGU and in other LGUsWhich LGU unit is responsible for what SWM operation?What other LGU units are involved?How many staff are involved?How much budget is allocated annually for SWM?What are arrangements in other LGUs? (SWM under Gen Services, Engineering, MPDC, MarketAdministrator; private sector contracts; other examples)What are advantages and disadvantages of other alternative arrangements?

III. Relevant Provisions in Local Government Code and RA 9003 and their IRRsLocal Government Code and IRR- Creation of Municipal/City ENRO optional- Limitations to LGU staffing (For 1st to 3rd class municipalities and cities; personal services shall

not exceed 45% of total annual income; for 4th to lower class municipalities: personal servicesshall not exceed 55% of total annual income)

- Uses/limitations of the 20% Development FundRA 9003 and IRR- Composition and functions of ESWM Board- Scope of responsibilities of municipal/city LGU- Composition and functions of Barangay SWM Committees- Mandatory requirements (with due dates)- Roles of other national agencies and other sectors

IV. Emerging Organizational Arrangements for SWMMulti-level structure: ESWM for policy formulation, barangay committees for collection of specific typesof wastePhased expansion of LGU SWM organization – additional functions taken on as LGU shifts from opendump to controlled dump to sanitary landfill; expansion of SWM concerns from collection to includematerials recovery and disposal management; expansion of geographic coverage from poblacion toalso cover urbanizing barangays and other rural barangays; from ad hic SWM organization to permanentorganization. Phasing must be consistent with plan targets.Linkages within LGU organization – there are other units involved such as fee collection, enforcement,IEC, etcLinkages with external organizations (national government agencies, non-government organizations,private sector, civil society groups, academe, etc) – SWM being a shared responsibility

V. Good Governance PracticesSWM organization must be sufficiently staffed, with adequate operating budgetClear functions and accountabilities, clear lines of authorityClear qualification requirements and transparent selection process (for staff and members of multi-sectoral bodies)Clear performance standards, incentives and sanctionsEqual employment opportunities for men and women

VI. Guide for Development of Organizational and Management ArrangementsWhat are current organization, staffing and institutional arrangements?What targets and proposals in the ISWM Plan have implications on SWM organization? (Example:when are MRFs to be established? What type of MRF is this? When will controlled dumpsite beestablished? When will SLF be operational?)


What will be the SWM organization in year 1? What are the expected organization changes during the10-year period? When should these occur? Can the changes in organization be organized into phases?Example: Phase 1 (interim organization) – Year 1; Phase 2 – Years 2-3; etc.What would be the responsibilities/accountabilities of the various organizational units at various phases?How will the proposed organizational units be staffed? Minimum and maximum? What would be thekey qualifications of important positions?What would be the major activities of the SWM organization (continuing, periodic, one-time activities)?What kinds of training will be provided to them?How will the LGU SWM organization be linked with other LGU units? With other national agencies?How will these linkages be formalized?How are other stakeholders to be involved? What will be composition of multi-stakeholder bodies?How will representatives of stakeholders to be selected? What will be their periodic activities that willneed budget support from the LGU?What necessary measures will have to be taken to put into place the proposed organization? Examples:MOAs with other organizations, manual of procedures, SB approval of staffing list, etc. What areconstraints to its operationalization?

M&E Arrangements

I. Key M&E ConceptsObjectives HierarchyResults Hierarchy‘

II. The SWM Results FrameworkGoal: Protect environment and conserve resources Protect health of populationOutcomes: Reduction of waste stream through recycling, reuse and reduction at sources Reduce leachate seepage

Outputs: a) Improved practices: waste segregation by waste generators, recycling/waste recovery,composting, disposal management

b) SWM facilities (MRF, controlled dumpsite, SLF, etc)c) Linkages with other sectors, buyers/consolidators, processors, investors

Inputs

III. Critical M&E ActivitiesTracking implementation of plan activities and set milestones (e.g., track progress in establishment,operation and closure of controlled dumpsite)Periodic assessment of efficiency and effectiveness of SWM operations/servicesa) Collection:

actual collection coverage vs. planned coverage% population servicedcollection truck downtimecrew-truck ratiocompliance with mandatory segregation

b) Materials Recovery:waste materials recovered vs. waste materials receivedwaste materials sold vs. waste materials recoveredcompost materials producedexcess processing/storage capacitiesequipment downtime

c) Disposal Management:volume disposed per day vs. projected daily disposaltotal volume managed per dayactual vs. expected life of SLF cellequipment downtimeincidents in disposal site (accidents, landslides, flooding)


Financial Monitoringa) Budget releases (capital and operating budgets)b) Expenditures (capital and operating expenses)c) SWM revenues generated by typed) Grants and other technical assistance receivede) Status of SWM Fund

Periodic evaluation of outcomes and impactsa) Annual measurement/assessment of waste stream reductionb) Regular monitoring of leachate seepagec) Periodic water quality monitoringd) Documentation of occurrences of diseases related to improper waste disposal (e.g., surface

and groundwater contamination, skin diseases)e) Compliance monitoring (of waste segregation at source, of violation of local ordinances)

IV. M&E MethodsMaintain complete and updated records on SWM operationsMonthly/Quarterly review of operationsSmall studies (e.g., spot checks on wastes brought out for collection, perception surveys, time andmotion studies)Annual waste characterization of end-of-pipe wastePeriodic monitoring of leachate seepagePeriodic monitoring of surface and groundwater quality

V. The M&E OrganizationWho will be responsible?What type of staff will be required?How will other sectors be involved?What are incentives/sanctions?What will be information flow within LGU SWM organization? What will be information flow to public?

VI. M& E and Good GovernanceTransparency (performance indicators and monitoring plan must be understood by stakeholders;information should support informed and performance-based decision-making; performanceassessment should lead to management actions; information should be made accessible tostakeholders; information must be made more understandable to users)Accountability (system should establish the RESULTS for which LGU, barangays, DENR and otherstakeholders are responsible; shift from accountability of inputs to accountability for results; establishedperformance standards; recognition of good performance, sanctions on sub-standard performance)Participatory decision-making (information availability enhances ability of stakeholders to participate;feedback from stakeholders is encouraged; mechanism established for multi-stakeholder participationin M and E activities)

Incentive Mechanisms for SWM

I. Definition of Incentives: tool or inducement used or intended to incite or motivate people and organizationsto act or improve performance

II. Rationale for Incentive-Based InstrumentsSWM is multi-faceted brought about complex interactions of socio-econ and political concerns; a mixof instruments is necessary to solve complex issuesGovernment resources to implement all programs and to enforce regulations are limitedSWM entails changes in behavior and adoption of certain practices – inducements are necessary tobring this aboutEquitable distribution if costs and benefits of the resource


III. Providers and Recipients of Incentives: The Principal-Agent Model

IV. General Considerations in Implementing SW IncentivesEffectiveness and dependabilityEfficiencyAdministrative feasibility: incentives options continuumEquity (distribution of benefits)Political, societal or community stabilityCosts

V. Types on IncentivesEconomic, information, social/cultural or ecologicalNegative or positiveDirect (financial or in kind) or indirect (tax incentives, insurance, community projects, education andtraining, land tenure, community organization, information)Use or non-use incentivesFinancial (fees, cash rewards, fines, compensation, grants, subsidies, loans or credit) or non-financial(food, goods or services, access to resources)Macro or microLocal or nationalLegal, economic, social, institutionalIncentives for prevention or mitigationIncentives, disincentives, perverse incentivesPassive or activeVariable incentives and user enabling incentives

VI. Incentives Under RA 9003Assistance of NSWMC to LGUsAssistance of NSWMC to small recyclers, local communities, manufacturers of recycled products andother sectorsAssistance of Provincial SWM Board to component cities and municipalitiesAssistance of City/Municipal SWM Board to barangaysLicenses and permits for operation of SWM facilitiesAvailment of national fund Sharing scheme between national fund and LGU for fines collected under RA 9003RewardsFiscal and non-fiscal incentivesFinancial assistance programsServices provided by GFIsGrant coverIncentives for LGUs hosting common waste management facilitiesIncentives to private sector proponent who will be financing, constructing, operating and maintainingSWM facilityFines and penalties

VII. Examples of SWM Incentives (refer to incentives sourcebook in Annex ???)LocalInternational

SWM Cost-Revenue and Financing Analysis

I. Major Fiscal Problems of LGUsHigh dependency on IRAOutdated local tax codesUnder-utilization of real property tax bases; under-assessment of local business taxesPoor operation and management of economic enterprisesInsufficient utilization of available financial resourcesPoor planning and budgeting


II. Recommendations for Local Government Financing Mechanisms (ADB, 2002)Examine and recognize macroeconomic trends; analyze records of recent revenue collection efforts;improve statistical information underlying revenue estimationDevelop mechanisms to enhance accuracy of revenue projections and assessment of revenue impactof tax policy changesLGUs must avoid subsidizing costs that beneficiaries are clearly and specifically identified; subsidiesdeplete meager resources. However, “public goods” such as environment will require some subsidyReview tax burden of different sectors to improve equityImplement clear, concise and regularly updated tax ordinanceMatch penalties with implications of tax delinquency to encourage and promote tax compliancePromote good governance through value formation of personnel concernedExplore areas of collaboration and partnership with the private sector and NGOs in service delivery

III. Who Pays for SWM?Generators, through fees. “Polluter pays” principle.Manufacturers, stores, producers spends for waste reduction, recovery and recyclingMarket-based: waste generators are penalized through produce charges, deposit-refund system andby-volume waste collection chargesGovernment, as it uses tax revenues at the expense of other functions

IV. Sources of LGU FinancingTraditional (internally-generated revenues, IRA from national government and financial aid anddonations)Non-Traditional (direct loans, private sector tie-up, LGU bonds)

V. How to Conduct Cost-Revenue Analysis of SWM ProgramStep 1: Consolidate the annual cost estimates for each stage of the SWM process (segregation andreduction at source, collection, materials recovery and disposal management). For each stage, derivesub-totals for capital investments and maintenance and operating costs. Document cost estimationassumptions used. Note the years when capital investments are highest for each SWM stage and fortotal SWM program.Step 2: Identify potential revenues sources per stage (collection fees, tipping fees, income fro sale ofcompost and recyclable materials, etc) and estimate annual revenues per source. Document estimationassumptions used. Take note of significant SWM revenue centers. Determine the results of analysisfor MRF (recycling and composting) and SLF operations and derive implications for proposed LGUeconomic enterprises.Step 3: Estimate total annual net revenues (total revenues less total capital outlay + total operatingcosts). Determine if net cash flow is negative or positive. Identify revenue deficit and revenue surplusyears.Step 4. Estimate annual net revenues per stage (revenues less capital outlay + total operating cost).Determine if net cash flow for each is negative or positive. Identify revenue deficit and revenue surplusyears.Step 5. For stages where annual net revenues (derived in Step 4) are mostly negative, compare annualrevenues with operating costs (revenues less operating cost). Determine if costs of operations can becovered by projected revenues.Summarize conclusions from above analysis.Conduct sensitivity analysis by changing assumptions re costs and revenues (increasing/reducing).Determine effects of such changes on net revenues.

VI. How to Determine ISWM Financing (External) RequirementsStep 1: Project IRA of LGU for the plan period. Document estimation assumptions used. Based onprojected IRA, estimate the 20% Development Fund for each year.Step 2: Get the results of Step 3 in Section V above and assume that negative cash flows will be fundedfrom the IRA. Determine the adequacy of internal sources by computing % of such costs requirementsto the IRA. Evaluate if such share from the IRA will be possible and acceptable.Step 3: Determine how SWM programs can be scaled down or how investments can be rescheduledto reduce deficiencies in resources. Identify specific activities that may not be sufficiently funded internally.Step 4: Assume an acceptable level of annual IRA allocation to SWM. Add to revenue estimates andthen estimate external financing requirements.


Step 5: Identify other sources of financing that may be tapped: loans, grants, private investments,bonds. Determine most applicable form of financing for LGU.Step 6. If LGU plans to secure loan, estimate amount of loan needed and calculate annual amortizationwith assumed interest rate and payback period. Include loan repayment cost in computation of totalcost and repeat analysis in Section V.Summarize conclusions from above analysis.Conduct sensitivity analysis by changing interest rate and payback period. Determine effects of suchchanges on LGU equity requirements.

VII. Governance Questions:Was the analysis adequately undertakenWas the analysis properly supported by data and documents?Were the results adequately explained to users?

Financing LGU’s Solid Waste Management Facilities through Bonds

I. Concept of Financial Markets : where funds are transferred from people who have an excess of availablefunds to people who have a shortage. Bonds and stock markets are the usual channels of such funds.

II. LGU Financing Options (see ESG’s powerpoint)Revenues/IRABuild-Operate-Transfer (BOT): contractor undertakes the construction, including financing, of a giveninfra facility, and the operation thereof. BOT arrangements include: BT (build and transfer), BLT (build-lease-transfer), BOT, BOO (build-own-operate), BTO (build-transfer-operate), CAO (contract-add-operate), DOT (develop-operate-transfer), ROO (rehab-own-operate).Joint ventures: contract between LGU and private proponent for undertaking a business activity andsharing in expenses, resources, management, control, risks and profits of the venture.Bonds: interest bearing or discounted government security that obligates the LGU to pay bondholdera specified sum of money, usually at specific intervals, and to repay the principal amount of the loan atmaturity.

III. Municipal BondsLGU’s power to create indebtedness (Section 296 of Local Government Code)Actually borrowing money from “buyers;” bond represents a written promise by LGU to repay a specificamount at fixed time in the future, with periodic interest payments during its lifeWhy LGUs issue bonds:a) to finance large capital expenditures that could not be financed from LGU’s IRA fundsb) to ease pressure on IRA and internally generated fundsc) to allow LGU residents to invest in future of their localityd) to enhance transparencye) to finance revenue-generating enterprises or joint ventures and eventually increase local incomes Who buys bonds: institutions and individualsMunicipal Bond Issuance Process (11 steps)Use of Bonds in SWM: only if linked with a self-liquidating enterprise or proven to generate adequaterevenues. Requires creative approach to financing and may have to use combination of financingstrategies.

Annexes

ISWM Training Guide

Annex 1

Sample Memorandum of Agreement (MOA) with City of Koronadal, South Cotabato and Municipality of Lamitan, Basilan

Annex 1

Annex 1

Annex 1

Annex 1

Annex 1

Annex 1

Annex 1

Annex 1

Annex 1

Annex 1

Annex 1

Annex 1

Annex 1

Annex 1

Annex 1

Annex 1

Annex 2

Sample Protocols with Board Resolution, Office of the Mayor, Municipality of Cabarroguis

Annex 2

Annex 3

3A - Solid Waste Management Profile Survey Form

3B - Selecting a Sample Size3C - Suggested Categories/Sub-

categories3D - Waste Characterization

Procedure and Field Data Entry Form

3E - SWM Assessment Sampling

NSCB Approval No. EMB-9904-01

NameProvi

Secre

GEOGRAPHIC (hectares or sq.

• Urban Area __________• Rural Area __________• Total Area __________

POPULATION

(actu• Urban ______• Rural ______• Total ______

WASTE COLLECTION

WASTE CATEGORY

• Number of barangays c

What percent is this of t • Frequency of collection

Comm’l/Ins by LGU: ___ daily; _ by Private Contractors:

PRESENT WASTE DISPOSAL

Disposal System Loca

Open dump1

Controlled dump2

Sanitary Landfill3

Others (incineration**, etc.)

* Please indicate if there issite(s).

** For incineration, please in

1 No measures implemented to protec2 Minimum measures like waste comp3 Engineered method of waste dispos

application of daily cover, and othe

Department of Environment and Natural Resources ENVIRONMENTAL MANAGEMENT BUREAU

taria issiont - National Solid Waste Management Comm2nd/F HRD Bldg. DENR , ve., Q.C. 1102 Compound Visayas A

SOLID WASTE MANAGEMENT PROFILE SURVEY FORM

of nce

kms____________

al) __ __ __

overhe to

(plet __ o

___

SY

tion

mo

dic

t theactio

al thar pra

LGU ___________________________ Classification _________________ _______________________ Total no. of barangays __________________

.) _______ _______ _______

(est.) (projected) __________ _______________ __________ _______________ __________ _______________

VOLUME COLLECTED PER DAY (in kg) Local Gov't. Unit (LGU) Private Contractors

ed by solid waste collection: _____ Urban ; ______ Rural tal population ? _______ %

ase check) : Residential nce a week; ___ 2x or 3x a week; __ irregular ___ daily; ___ once a week; ___ 2x or 3x a week; ___ irregular

STEM

* Area,

(hectares)

Year Started

Estimated Life

(until what year)

Land Ownership

(gov't./private)

Existing Land Use

re than one site. Also, please attach colored photos and location maps of the

ate the type of waste incinerated (domestic, biomedical, industrial, etc.)

environment and public health. n, daily waste covering, and control of working area size, are implemented. t incorporates a liner at its base, leachate collection and treatment systems, gas collection systems,

ctices for the proper disposal of waste.

• Are there scavengers/squatters living within the disposal area ? ____ Yes; ___ No If yes, please estimate the number of families. _________

• What are the post-closure/future plans for the existing site(s) ? Please elaborate. ___________________________________________

• Are there candidate waste disposal sites in your area for future use? __Yes; ____ No What is the estimated life of this candidate site ? ________ years.

GENERATION RATE and PHYSICAL COMPOSITION OF SOLID WASTE

• Has there been any study made on the following :

(a) waste generation rate __Yes ; ___ No

If yes, please indicate the results and the entity who made the study. Otherwise, please give an estimate of the city's/municipality's waste generation rate.

waste generation rate = ___kg. per capita per day

entity/group who made the study ______________________________________

(b) waste composition (i.e., percentage of food wastes, plastics, metals, etc.)

___Yes; ____ No; If yes, please indicate the results and the entity who made the study .

Waste component Percentage, %

Waste component Percentage, %

BIODEGRADABLE Plastics NONBIODEGRADABLE Textiles SPECIAL WASTES Metals RESIDUAL Glass Paper and cardboard Rubber and leather

DEP'T./DIVISION RESPONSIBLE FOR SWM IN THE LGU

• Name of Dep't./Div. _____________________________________________

(pls. provide organizational structure/chart if available) • Department functions/mandates (please specify):

______________________________________________________________________________________________ • Name of person in charge and designation _______________________________________________________

LGU REVENUE & EXPENDITURE FOR SWM SERVICES

• How much of the total LGU budget is allotted for SWM services this year? P _____________________ What percent is this of the total budget for this year? _____%. How much goes to waste collection? P ______________

How much of the total LGU budget was allotted for SWM services last year? P ____________________ • Does the LGU charge fees to households and industries for garbage collection? ____Yes; ____ No

If yes, how much is this fee (per month, per kilo, etc.)? Households = P ___________________________ Industries = P ____________________________ Commercial Estab. __________________________ How much revenue was raised from the garbage collection fees ? P ________________

Is this fee charged separately or connected to other basic services (water, electricity, etc.) ? ________________________________________________________________________________

• If the disposal area is a private property, how much does the LGU pay for disposal (per truck, per ton,

per day, etc.) ? P ___________________________________

• Is the LGU a recipient of any local/foreign grants concerning SWM? ___Yes; ____ No If yes, please elaborate. _______________________________________________________________

PERSONNEL FOR SWM

• How many personnel are involved in SWM services?

Sufficiently Trained ? Personnel Number Yes No

admin. staff collection and transport final disposal street sweeping Others

Total ________ EQUIPMENT FOR WASTE COLLECTION AND DISPOSAL

Owned by LGU Owned by private contractors Type of vehicle

no. of units

condition* ave. capacity (m3 or tons)

no. of units

condition* ave. capacity (m3 or tons)

Compactor truck

Open dump truck

Others

* Good, Fair, Bad

• Does the LGU have its own repair and maintenance shops? ___Yes; _____ No

• Are there service centers and spare parts suppliers in your area? ___Yes; ____No Does the LGU have a copy of DENR Administrative Order Nos. 98-49 and 98-50 (DAO 98-49 & DAO 98-50)

otherwise known as "Technical guidelines for municipal solid waste disposal" and, "Adopting the landfill site identification and screening criteria for municipal solid waste disposal facilities", respectively? ___ Yes; _____ No

Does the LGU have a copy of the "Handbook on SWM for Local Governments"(First Edition, 1996) published by the

DENR? __ Yes; ____ No

RECYCLING / RESOURCE RECOVERY • Is waste segregation practiced in your LGU? ____Yes; __ No

If yes, what percentage of the total waste collected is segregated? ____ %

• Are there recycling plants/companies within or near the municipality/city who recycle the recovered materials? (note : these are not junk shops or junk dealers) _____Yes; ____ No

If yes, please indicate the company's names, what they recycle, and their locations.

_________________________________________________

_________________________________________________

• Please give an estimate of the number of junk shops in your locality. _______

Is the LGU currently involved with projects on SWM? ___ Yes; ____ No If yes, kindly fill up the following :

Name of Project Project Description Date

Implemented Status* Remarks

* 1- planning stage 3- completed 2- on-going 4- abandoned EXISTENCE OF GENERIC CITY/MUNICIPAL ORDINANCES ON SOLID WASTE MANAGEMENT ( please attach

ordinance / regulation)

Are there problems encountered in the effective implementation of these ordinances? ____ Yes; _____ No. If so, kindly elaborate. ________________________________________________________________________________________________ __________________________________________________________________________________________________________

PROBLEMS ENCOUNTERED IN THE SWM SERVICE Aside from the problems mentioned above, what other issues/concerns does the LGU encounter in the proper, effective, and efficient management of solid waste ? (e.g. budgetary constraints, unavailability of disposal sites, social acceptability, trained personnel, equipment, etc.)? Please give your comments. __________________________________________________________________________________________________________ __________________________________________________________________________________________________________

FUTURE DEVELOPMENT PLANS FOR SWM What are the future development plans/programs for SWM of the present administration ? (e.g. conversion of open dumpsites to controlled dumps or sanitary landfills, resource recovery, recycling, and composting projects, etc.)? Also, please give your views on new technologies (incinerators, waste to energy projects, etc.) __________________________________________________________________________________________________________ __________________________________________________________________________________________________________ __________________________________________________________________________________________________________

Name of person who completed this questionnaire ___________________________________ Designation ___________________________________________________ Office Address ___________________________________________________

___________________________________________________ Date of Completion ___________________________________________________ Telephone Number ___________________________________________________ Fax Number ___________________________________________________ For inquiries, please contact Lucille G. Medina or Juvy P. Serafin at telephone no. (02) 925-4797 loc. 3 or at telefax no. (02) 920-2252.

Thank you for your cooperation.

Annex 3B

SELECTING A SAMPLE SIZE Importance of Selecting an Appropriate Sample Size

Defining a Sampling. Plan. A sampling plan is a detailed outline of (a) which measurements will be taken (b) at what times, (c) on which material, (d) in what manner, and (e) by whom. Sampling plans should be designed in such a way that the resulting data will contain a representative sample of the parameters of interest and allow for all questions, as stated in the goals, to be answered.

Cost of Sampling. Too large a sample may be too expensive and the precision may just be

the same with that of a smaller sample. Too small a sample may not provide sufficient confidence in the subsequent decisions to be made, particularly where risks of a wrong decision is very high.

Practicality. The sample size you select must make sense. This is where the trade-offs

usually occur. We want to take enough observations to obtain reasonably precise estimates of the parameters of interest but we also want to do this within a practical resource budget. The important thing is to quantify the risks associated with the chosen sample size. Sample size determination In summary, the steps involved in estimating a sample size are:

1. There must be a statement about what is expected of the sample. This should easily be derived from the goals. We must determine a. What is it we are trying to estimate, b. How precise we want the estimate to be, and c. What are we going to do with the estimate once we have it.

2. Decide/Estimate the value of three important factors influencing the size of the sample a. Degree of confidence selected. The term is related to the number of times samples are

taken from a “universe.” If samples are taken several times the “Degree of Confidence,” commonly measured in percent i.e. 99%, 95%, 90% suggest the proportion of samples of given sizes will contain the true mean or average of that “universe.” For example, in determining the average volume of solid waste generated, and samples of given size are obtained, the statement would be, “If a series of samples of a given size are taken, 95% of the times the true average of solid waste generated would be within the specified range or interval of each sample.” Therefore, in our determination of the sample, the proportion that we get a sample that does not contain the mean would be 5%.

b. The maximum allowable error. This is a value pre-specified by decision-makers or analysts as the tolerable variation from the true mean of the estimated mean. For example, using the 0.95 probability, the total error in predicting the mean weight in kilograms of solid waste generated by household should not exceed 1 kilogram. Thus, the decision-maker would state, ”Based on a sample size n, if the estimate of the mean weight of solid waste generated is, say 6 kilograms, then you will assure me that the mean weight is in the interval between 5 kilograms and 7 kilograms (found by 6+1 and 6-1).”

1

c. The variation of the population. The variation of the population (or universe) is measured by the standard deviation (A population with smaller variation requires smaller sample size). Thus, the standard deviation must be estimated. This can be done by (1) estimating the standard deviation of the population based on prior knowledge about the population, or (2) undertaking pre-sampling of a small sample of the target “population” and using the sample standard deviation as the estimate of the population standard deviation. In the case of solid waste management, a small sample of each major source of solid waste generators can be taken, because of the lack of knowledge on waste generation averages in rural areas. Hence, the next step.

3. Pre-sampling of solid waste generation in each major source of solid waste generators.

This steps are outlined below: a. Study the spread of each major source of waste generation i.e. income distribution of

households, scale of operation of commercial trading, institutions and services, food establishments, and establishments handling toxic and hazardous wastes;

b. Cluster or stratify each major source of waste generation and randomly select samples from each cluster or stratum.

c. Obtain a one day waste generation and measure weight of waste generation; and 4. Estimate standard deviation of samples from each major source (Use spreadsheet

software such as Microsoft Excel to facilitate computation of standard deviation) 5. The sample size can be now estimated given the necessary parameters. The necessary

parameters in estimation are: a. Degree of Confidence: 90%, 95% or 99% b. Maximum allowable error, E, e.g. the 1 kg variation used above c. Z score associated with the degree of confidence

For example: When Z=1, level of confidence is 68% chance within this range When Z=2, level of confidence is 95.4% chance If level of confidence is 95%, Z=1.96, (p=0.05) If level of confidence is 99%, Z=2.58 (p=0.01)

d. Standard deviation estimated from the pre-sampling. 6. Calculate the sample size. The process can be simplified using the formula:

2

⎟⎠⎞

⎜⎝⎛ ∗

=E

szn

Where: n = sample size z = score corresponding to the level of confidence s = standard deviation E= maximum tolerable error

7. In the final sampling process distribute the sample among various strata.

2

Sample Process For Calculation Of Sample Size Case Study: Tacurong City, Sultan Kudarat

The recently concluded training on solid waste management assessment in Tacurong City, Sultan Kudarat, produced sample data on waste generation by households and a few commercial establishments, institutions, food establishments, and establishments handling toxic and hazardous wastes. The following data were generated from 8 sample households:

Sample No. Household Total

1 Household 1 1.002 Household 2 1.203 Household 3 9.404 Household 4 6.005 Household 5 5.406 Household 6 3.407 Household 7 4.008 Household 8 1.80

Note: For simplicity of presentation, categories of waste generated are not shown. Names of household heads were replaced for propriety reasons.

Step 1: The local government unit coordinating the municipal solid waste management wanted to

estimate average waste generation by household and commercial establishment, and desired to have a precision of the estimate of mean to at most 1 kilogram. The data will be used for planning the collection route, schedule and size of collection trucks.

Step 2: The degree of confidence desired by the LGU was 90%; base on data specified in Step 1

the maximum error allowable was 1 kilogram; and the standard deviation of the population was estimated by obtaining a pre-sample of 8 households

Step 3: (Sampling procedure was described above) Step 4: The standard deviation was estimated using the Data Analysis ToolPak of Microsoft Excel

(Interested participants may be provided with brief training on how to undertake this process). Table 1 shows results of the analysis using 90% confidence level:

Table 1. Descriptive statistics for sample households

Sample Households Mean 4.025 Standard Error 1.01026 Median 3.7 Standard Deviation (s) 2.857446 Sample Variance 8.165 Minimum 1 Maximum 9.4 Sum 32.2 Count 8 Confidence Level (90.0%) 1.914016

3

Step 5: Summary of necessary information for calculation of sample size based on the above steps are:

z = 1.645 s = 2.857446 E= 1

Step 6: The sample size using the formula:

2

⎟⎠⎞

⎜⎝⎛ ∗

=E

szn

is

2

12.8574461.645

⎟⎠⎞

⎜⎝⎛ ∗

=n

23091.22 ≈=n Step 7: Use “population data” to distribute the sample size among various strata of the sampling

population. Table 2 summarizes household population of collection site in Tacurong City.

Table 2. Distribution of sample to three collection areas in central district of Tacurong City

Barangay No.of Households

Percent of Total

Households

Initial Distribution of Sample

(No.of Households)

Final Distribution of Sample

(No.of Households)

Poblacion 3,433 57% 17 20 Isabela 1,715 29% 9 7 Montilla 830 14% 4 3

Total 5,978 0.5% of Total Households

4

CATEGORIES AND SUB-CATEGORIES 1 Food Establishments Restaurants Eateries Food Stalls Bakeries 2 General Stores Mall Department Store Groceries Hardwares Sari-sari Store Small Stalls 3 Industries Large Medium Small 4 Institutions Banks Pawnshops Lending Centers Large Schools Medium Schools Small Schools Large Churches Small Churches Big Government Offices Medium Government Offices Small Government Offices 5 Public Market Dry Goods Section Wet Goods Section 6 Recreation Center Cinemas Sports Center Disco, Pub, Videoke 7 Residential High Income Middle Income Low Income 8 Service Centers Parlors Barbers Tailors Memorial Homes Terminals Junkshops Printing & Copying Services Hotels Lodgings Video, Internet, Computer Shop 9 Slaughterhouse 10 Special Wastes

Annex 3C

1 Machine Shops 2 Repair Shops 3 Big Hospitals 4 Medium Hospitals 5 Clinics 6 Gasoline Stations 7 Drug Stores 8 Battery Shop, Ironworks, Glass Supply

Waste Characterization Procedure and Field Data Entry Form(All Sources)

Annex 3D

Source: Date: Sample No. Category:Recorder Place of collection: Sub-cat:Procedure for Data CollectionStep 1: Version 1:

a. Measure and record the weight of the sample container This version DOES NOT MEASURE components ofWeight of Sampling Container Small kg kg kg recyclables

b. Measure and record the volume of the sample container ( 1 cubic meter = 1000 liters)Volume of Sampling Container Small m3 m3 m3

Step 2: Totala. Measure and record the gross weight of the 1 2 3 4 Total Volume

sample material including the container Weight kg kg kg kg 0 kgb. Calculate the net weight by Volume m3 m3 m3 m3 0 m3 0 m3

deducting the weight of the container1 2 3 4 Total 1 2 3 4 Total

Total Weight of solid waste sample: Weight kg kg kg kg 0 kg 0 kg 0 kg 0 kg 0 kg 0 kg 0.00 m3

Step 3:a. Sort the sample into compostable, recyclable/reusable, (Please check for values discrepancy) 0 This is the total value of Wet/Fresh Weights of sorted materials

special wastes, and residualsb. Weigh the sorted materials, record weight, kg and volume, m 3

1 2 3 4 Total 1 2 3 4 Total- Biodegradables(Compostable): Sub-total kg kg kg kg 0 kg kg kg kg kg 0 kg m3

- Non-biodegradable Sub-total 0 kg 0 kg 0 kg 0 kg 0 kg 0 kg 0 kg 0 kg 0 kg 0 kg 0.00 m3

Recyclable/Reusable Sub-total 0 kg 0 kg 0 kg 0 kg 0 kg 0 kg 0 kg 0 kg 0 kg 0 kg 0.00 m3

Plastics kg kg kg kg 0 kg kg kg kg kg 0 kg m3

Dry Paper and Cartons kg kg kg kg 0 kg kg kg kg kg 0 kg m3

Metals (Steel, copper, aluminum, brass) kg kg kg kg 0 kg kg kg kg kg 0 kg m3

Glass, Bottles, Vials (including "bubog") kg kg kg kg 0 kg kg kg kg kg 0 kg m3

Rubber, leather and usable textile kg kg kg kg 0 kg kg kg kg kg 0 kg m3

Others kg kg kg kg 0 kg kg kg kg kg 0 kg m3

Residuals (Incl:unusable textile,papers,cartons,composites) Sub-total kg kg kg kg 0 kg kg kg kg kg 0 kg m3

- Special Wastes: Sub-total 0 kg 0 kg 0 kg 0 kg 0 kg 0 kg 0 kg 0 kg 0 kg 0 kg 0.00 m3

Batteries, (wet and dry cell) kg kg kg kg 0 kg kg kg kg kg 0 kg m3

Fluorescent Tubes kg kg kg kg 0 kg kg kg kg kg 0 kg m3

Chemical Containers kg kg kg kg 0 kg kg kg kg kg 0 kg m3

Spent Chemicals/Drugs kg kg kg kg 0 kg kg kg kg kg 0 kg m3

Appliances kg kg kg kg 0 kg kg kg kg kg 0 kg m3

Others kg kg kg kg 0 kg kg kg kg kg 0 kg m3

Step 4:a. Air dry the sorted samples for at least 4-6 hoursb. Re-weigh each sorted sample after 4-6 hrs and record in 2nd column as Dry Weight

mm/dd//yy

Gross Weight Measurements

Fresh Weight (FW) Measurements Dry Weight Measurements

Fresh Weight Measurements Dry Weight Measurements

Medium Large

Medium Large

FW Total Volume, m3

FW Total Volume, m3

Note:1 m3 = 1000 litersConversion Formula = Volume, in liters/1000 liters/m3

SWM Assessment Sampling Process

(Cauayan City) Categories of Waste Sources

The total number of waste sources was determined following the major categories provided by EcoGov, namely: Food Establishments, General Stores, Industries, Institutions, Public Market, Recreation Centers, Residential, Service Centers, Slaughterhouse, and Special Wastes. All in all, there are 10 major categories of waste sources identified. Number of Waste Sources by Sub-category

The City Planning and Development Office and the Licensing Office supplied the data on the number of waste sources by category and sub-category based on their inventory and actual count. The number given was limited only to the 13 barangays included in the waste collection service area.

Table 1. Categories, sub-categories and sector size

CATEGORIES AND SUB-CATEGORIES DESCRIPTION TOTAL NUMBER SAMPLE SIZE 1 Food Establishments 1 Restaurants 25 2 Eateries 35 3 Food Stalls 45 4 Bakeries 19 2 General Stores 1 Mall 2 2 Department Store 4 3 Groceries 5 4 Hardwares 13 5 Sari-sari Store 94 6 Small Stalls 138 3 Industries Manufacturing, processing 1 Large 1 2 Medium 7 3 Small Furniture making 21 4 Institutions 1 Banks 17 1 Pawnshops 19 1 Lending Centers 11 2 Large Schools 3 3 Medium Schools 5 4 Small Schools 4 5 Large Churches 5 6 Small Churches 7 Big Government Offices 4 8 Medium Government Offices 2 9 Small Government Offices 5 5 Public Market Dry Goods Section 156 Wet Goods Section 89 6 Recreation Center 1 Cinemas 2

Annex 3E

1

CATEGORIES AND SUB-CATEGORIES DESCRIPTION TOTAL NUMBER SAMPLE SIZE 2 Sports Center Billiard 10 3 Disco, Pub, Videoke 4 7 Residential 1 High Income 2 Middle Income 3 Low Income 8 Service Centers 1 Parlors 23 1 Barbers 4 1 Tailors 9 2 Memorial Homes 4 3 Terminals 7 4 Junkshops 12 5 Printing & Copying Services 10 6 Hotels 7 7 Lodgings 8 Video, Internet, Computer Shop 13 9 Slaughterhouse 10 Special Wastes 1 Machine Shops 24 2 Repair Shops 7 3 Big Hospitals 1 4 Medium Hospitals 4 5 Clinics 7 6 Gasoline Stations 14 7 Drug Stores 22 8 Battery Shop, Ironworks, Glass Supply TOTAL (excluding public market and residential) 643 Sampling and Pre-Sampling

For the determination of number of samples per sub-category from commercial, institutions and other establishments, the ESWMB and TWG decided to get one (1) sample for every 20 to 25 total number in each sector/sub-category. For purposes of getting the pre-sampling data for households, the groups determined the percentage of households belonging to different income strata in Cauayan City. It was agreed that the distribution was: 20% belong to High Income group, 50% are Middle Income, and 30 % have Low Income. They then identified who will be included in the pre-sampling based on the income strata and accessibility (cooperative, fairly near the training area, accommodating, available during the pre-sampling activity). The group got a sample of 10 households for the pre-sampling waste characterization. Table 2 shows the sample size and percentage per sub-category for the waste characterization activity.

2

Table 2. Samples per Categories, Sub-category CATEGORIES AND SUB-CATEGORIES TOTAL NUMBER SAMPLE SIZE % FROM TOTAL

1 Food Establishments 1 Restaurants 25 2 8.0 % 2 Eateries 35 2 5.7 3 Food Stalls 45 2 4.4 4 Bakeries 19 2 10.5 2 General Stores 1 Mall 2 1 50 2 Department Store 4 1 25 3 Groceries 5 1 20 4 Hardwares 13 1 7.7 5 Sari-sari Store 94 6 6.4 6 Small Stalls 138 6 4.3 3 Industries 1 Large 1 1 100 2 Medium 7 0 3 Small 21 1 4.7 4 Institutions 1 Banks 17 1 5.8 1 Pawnshops 19 1 5.3 1 Lending Centers 11 1 9.1 2 Large Schools 3 1 33.3 3 Medium Schools 5 1 20 4 Small Schools 4 0 5 Large Churches 5 1 20 6 Small Churches 2 1 50 7 Large Government Offices 4 1 25 8 Medium Government Offices 2 1 50 9 Small Government Offices 5 1 20 5 Public Market Dry Goods Section 156 Wet Goods Section 89 6 Recreation Center 1 Cinemas 2 1 50 2 Sports Center 10 1 10 3 Disco, Pub, Videoke 4 1 25 7 Residential 1 High Income 4 2 Middle Income 12 3 Low Income 8 8 Service Centers 1 Parlors 23 1 4.3 1 Barbers 4 1 25 1 Tailors 9 0 2 Memorial Homes 4 1 25 3 Terminals 7 1 14.3 4 Junkshops 12 1 8.3 5 Printing & Copying Services 10 1 10 6 Hotels 7 1 14.3 7 Lodgings 8 Video, Internet, Computer Shop 13 1 7.7 9 Slaughterhouse 1 1 100 10 Special Wastes 1 Machine Shops 24 1 4.2 2 Repair Shops 7 1 14.3 3 Big Hospitals 1 1 100 4 Medium Hospitals 4 1 25 5 Clinics 7 1 14.3 6 Gasoline Stations 14 1 7.1 7 Drug Stores 22 1 4.5 8 Battery Shop, Ironworks, Glass Supply TOTAL (excluding public market and residential) 645 79 12.2%

3

Identifying Samples

The ESWMB and TWG mutually agreed on which establishment will be included, based on the categories. For the household samples, the group identified the samples based on their location and income strata. Out of the 24 residential cooperators, 4 (16%) are from the High Income group, 12 (50%) are from the Middle Income group, and 8 (33%) are from the Low Income group. All the 13 barangays within the waste collection service area were represented in the waste assessment. Determination of Correct Sample Size from Households

The following describes the general procedure for getting the sample size used in the 7-day waste characterization. A. Selecting a Sample Size

1. Estimate the value of three important factors determining the size of the sample

a. Degree of confidence selected (most common: 99%, 95%, 90%. This

suggests the proportion of samples of given sizes will contain the true mean or average of that “universe.” For example, “If a series of samples of a given size are taken, 95% of the times the true average of solid waste generated would be within range or interval of each sample.”

b. The maximum allowable error. This is a value pre-specified by decision-makers or analysts as tolerable variation from the true mean of the estimated mean. For example, using the 0.95 probability, the total error in predicting the mean weight in kilograms of solid waste generated by household should not exceed 1 kilogram.

c. The variation of the population. The variation of the population (or

universe) is measured by the standard deviation (use spreadsheet software to facilitate computation). This can be done by (1) estimating the standard deviation of the population based on prior knowledge about the population, or (2) undertaking pre-sampling of a small sample of the target “Population” and using the sample standard deviation as the estimate of the population standard deviation. This is what we did with the pre-sampling of solid waste generation in each major solid waste generators, based on income distribution of households. For commercial establishments, based on scale of operations of the different categories: food establishment, service centers, institutions, establishments handling toxic and hazardous wastes, etc.

2. Calculate the sample size using the formula:

4

z x s 2

n = e where: n = sample size z = score corresponding to the level of confidence 95% = 1.96 s = standard deviation 1.6 ≈ 2 e = maximum tolerable error 1 (kg)

[we came out with n = 4] Four samples are so small to get substantial analysis so the group initially identified 26 household samples. However, two sample households were not able to comply with the instructions so the total sample households were reduced to 24. 3. In the final sampling process, distribute the sample among various strata.

Final Number of Household Samples Using the aforementioned process, the household sampling size was thus estimated per income strata and distributed among the service area:

NAME

BARANGAY

HIGH INCOME (4) 1 Dr. Bernard Piedad District 1 2 Nestor Antonio District III 3 Atty. Michael John Demendo District II 4 Mr. Angel Tactay

Turayong

MIDDLE INCOME (12) 1 Mrs. Myrna Bumagat Minante I 2 Mr. Antonio Talosig District I 3 Mrs. Lydia Aggarao Sillawit 4 Dr. Leticia O. Gaño San Fermin 5 Brgy. Capt. Jose Lucas District III 6 Brgy. Capt. Jesus Reyes Turayong 7 Brgy. Capt. Alfred Pulido Alinam 8 Brgy. Capt. Bonifacio Columbano Alicaocao 9 Hon. Ruben G. Tumbaga Nungnungan II

10 Mr. Ace York Cuntapay District III 11 Mrs. Sylvia P. Domingo Cabaruan 12 Mrs. Leticia Aggarao

Minante II

5

LOW INCOME (8) 1 Mr. Bonifacio Tagarian Alicaocao 2 Mrs. Delia Domingo Dstrict III 3 Mr. Vicente Baloloy San Fermin 4 Mr. Jose Dauba Tagaran 5 Mrs. Lilia Jamiro Sillawit 6 Mrs. Josefina Dalauidao Tagaran 7 Mrs. Agripina Telan Cabaruan 8 Mrs. Rose Abenoja Cabaruan

6

Annex 4

4A - Compilation of ISWM Study Tour Sites

4B - Sample Documentation Report

Compilation of ISWM Study Tour Sites Luzon

Rodriguez Controlled Dumpsite featuring the LGU’s controlled dumpsite and MRF. Clark Special Economic Zone, Metro Clark Sanitary Landfill,

Sanitary landfill using German technology Systematic waste collection

San Fernando City’s Composting Center

• Composting of major market and slaughterhouse wastes • Variety of equipment being used in the processing of waste such as the shredder, grinder,

hammermill, dryer and pelletizer and windrows (compost beds) • Setting up of Compost Fungus Activator (CFA) laboratory and organic composting center

near slaughterhouse in partnership with DOST • Selling of CFA to schools for their composting activities • Promotes proper waste segregation within the public market • City LGU as the lead implementor of solid waste management • Generates job and income • Promotes the practice of composting LGU-managed Ecology Center • Campaign/Advocacy program

Marikina City “Basura Mo, Alagaan Mo” • Code of good conduct for LGU employees • Incorporation of garbage fee with taxes • Removal of sidewalk ambulant vendors in markets • Organization and management of garbage sorters • Markets and buyers for recovered recyclables • Strict implementation of city ordinances • “Haul“ type collection • Segregated collection – color-coded collection trucks • Continuous IEC like holding of Waste management seminars • Influential leadership & strong political will • MRF – garbage transfer station • Controlled dumpsite

Olongapo City Segregation at source Collection schedule Creation of Environmental Sanitation Office Integrated garbage collection Push cart boys

Subic Bay Freeport Zone, Olongapo Controlled dumpsite Ecology center

Annex 4A

1

Cooperative of garbage collectors/pickers Strict SWM implementation Livelihood provision

Caloocan City Garbage collection through private contractors

CREST Silang, Cavite Strong collaboration of community, NGOs & LGU House-based agri-based composting Intensive IEC Practical waste communication Involvement of school children on waste segregation and utilization Organic farming NGO-managed MRF (with composting plant and windrow composting) Segregation at source Segregated collection of waste Partnership with LGU for waste collection

Solano Elementary School, Solano, Nueva Vizcaya • Mini-materials recovery facility (MRF) inside the school • Strong IEC campaign • Mandatory segregation per classroom

4S Junkshop, Solano, Nueva Vizcaya • Pilot project of the Provincial Solid Waste Management Board • Practices “Pera sa Basura” from recyclable materials • Services extend to Quirino Province with 3 EcoGov pilot sites establishing mini-recycling

facilities within the LGU municipal compound Brgy. Ugong, Pasig City “Pera sa Basura Program” • Galing Pook Awardee 2002; Cleanest and Greenest Barangay • Strong political will • House-to-house campaign on segregation • Community-based environmental livelihood project “Bawas Basura, Dagdag Kita

(Segregation, Reduction and Recycling of Solid Waste) • Functional livelihood center with P40 million budget • Encourages people to “police” their peers – Bantay Paligid • LGU-NGO business partnership • International linkage/market of recycled products from Doy packs • Dollar-earning from wastes • Recycling activity by KILUS Foundation (women’s multi-purpose cooperative) • Partnership with the local junkshop business establishment • Livelihood – bag production • MRF – composting facility

2

Sun Valley Subdivision, Parañaque City • Barangay-based Ecology Center • Composting facility using subdivision and barangay wastes • LGU partnership with DOST • SWM Division under the Agriculture Office

Dasmariñas, Cavite • NGO-managed Ecology Center • Composting of market wastes • Strong IEC and segregation at source

Balik-Inang Kalikasan, Balik-Amang Pabrika (BIKBAP), Carmona, Cavite • Livelihood component of the MRF • LGU as lead implementor of solid waste management • SWM education campaign • Strong commitment and political will of LCE • Creation of Municipal Environment and Natural Resources Office (MENRO) • Segregation at source • Regular segregated transport and collection • Composting facility • Recovery and selling of recyclable materials • LGU partnership with Department of Agriculture for the operation of a Demo Farm and

Large Scale Composting Facility that use biodegradable wastes and converts this to organic fertilizer

• Barangay Material Recovery Facility • Household Composting • Strong collaboration of community, NGOs and POs

San Pablo Colleges Medical Center, San Pablo City • Mandatory segregation at source (wards, doctors’ rooms, business office, laboratory, etc.) • Has eco-center for recyclable wastes; has compost pit • Training programs for employees and visitors

UPLB, Los Baños, Laguna

• University-managed Vermi-composting and Organic farming TIPCO, Magalang, Pampanga • Paper mill using waste paper as raw material • Promotes recycling awareness through public orientation and mill tours

Petron Corporation, San Pedro, Laguna • Waste water recycling plant managed by a private corporation

3

Controlled dumpsite, Hain Enterprise, Cabuyao, Laguna • Disposal facility accommodating the wastes of Calamba, Biñan, Sta. Rosa, Brgy. Niugan,

Cabuyao and Tanauan, Batangas • Loose soil available at the site for covering of dumped wastes • SWM office at the site • Existing contract with various LGUs to provide to the financial needs and operations of the

disposal facility • Has existing demo farm, MRF and transfer station

Bacoor, Cavite

• Contracting the garbage collection • Privatized MRF • Composting facility • Recovery and selling of recyclable materials with accredited junkshop dealers

Makati City Makati Central Business District SWM Program

• Managed by private sector • Partnership with accredited junkshop or environmental cooperative specifically to

collect recyclable materials • MRF

Center for EcoZoic Living and Learning Foundation, Silang, Cavite

▪ Material and energy cycle as a rural farming technology

ZKK Foundation, Taytay, Rizal.

Recyclable recovery facility with processing shop operated by a Foundation Visayas Dr. Amor’s Place Dumaguete City, Negros Oriental

• Vermi Composting using African Night Crawler earthworms • Solid Waste Disposal Facility (Controlled Dump) • Aviary

Sibulan, Negros Oriental

• Amor Organic Fertilizer Facility using Vermi Composting Technology Amlan, Negros Oriental

• Composting Facility producing organic fertilizer. • CMFM – Community Monitoring System which empowered barangay residents to

conduct monitoring and evaluation on their ESWM plan implementation • Teves Demo Farm utilizing organic farming technique • Wastes segregation at source

4

Bais City, Negros Oriental

• Low Cost Engineered Sanitary Landfill using clay liner - the only sanitary landfill in the Philippines using clay liner

San Jose, Negros Oriental

• Solid Waste Disposal Facility assisted by GOLD Project

5

Annex 4B

INTEGRATED SOLID WASTE MANAGEMENT 2002 STUDY TOUR OF TACURONG CITY

DOCUMENTATION REPORT

DATE COVERED : October 24-30, 2002 LIST OF PARTICIPANTS: SOLID WASTE MANAGEMENT BOARD

1. Hon. Lino O. Montillo - City Mayor 2. Hon. Psyche m. Sucaldito - SP member 3. Jaime D. Cedullo - CPDC 4. Nemesio Carigaba, Jr. - CENRO 5. Adolfo Sucaldito - District Supervisor – North 6. Violeta Muyuela - District Supervisor – West 7. Florenda Pabustan - District Supervisor – East 8. Alex Bantillo - NGO-Representative 9. Pedrito Carbonilla - NGO-Representative 10. Andres Castillon - Religious Sector Representative 11. Virgilio Paredes - NGO Representative 12. Dubert Victorio - ABC President 13. Rev. David Salazar - Religious Sector Representative 14. Engr. Catherine Leguro - City Engineer

TECHNICAL WORKING GROUP

1. Engr. Hilda P. Mercado - Planning Office Staff 2. Engr. Alfredo Rañido, Jr. - Engineering Office Staff 3. Radney Ganzon - Treasurer’s Office Staff 4. Juvy Pasanting - Health Office Staff 5. Tomas Robles - Public Terminal Supervisor 6. Elias Bustamante - Market Supervisor 7. Teresita Cabaguing - Brgy. Kagawad 8. Nancy Bawe - Social Welfare Staff

ECO-GOVERNANCE MINDANAO STAFF

1. Aurora Macalisang - Accountant SWAPP Staff

1. Lizette C. Cardenas - Executive Director

1

ITINERARY OF THE STUDY TOUR:

DATE TIME SITE VISITED CONTACT PERSON/NO. BRIEF FEATURE Nov. 24 10:00 p.m. Arrive Manila Nov. 25 9:00 a.m. Carmona, Cavite Hon. Roy Loyola

Mayor Carmona, Cavite (046)430-3233/430-3004 (Tel) (046)430-0817/430-1001 (Fax)

LGU-managed Ecology Center, Composting of market waste and organic farming; segregation at source; MENRO

11:00 a.m. CREST, Silang, Cavite

Ms. Eileen Sison Executive Director IDEAS, Inc. Silang, Cavite (046)414-0297 (Tel/Fax)

NGO-managed Material Recovery Facility (which includes composting and recycling plant), organic farming; segregation at source; collection by NGO

3:00 p.m. Dasmarinas, Cavite

Hon. Elpidio S. Brazaga, Jr. Mayor Dasmarinas, Cavite (046)416-0095 loc 34 (Tel) (046)416-3898/416-0096 (Fax)

NGO-managed Ecology Center, Composting of market waste; segregation at source

Nov. 26 9:00 a.m. San Fernando City, Pampanga

Hon. Rey Aquino Mayor San Fernando City, Pampanga

LGU-managed Ecology Center, Composting Plant using market waste and slaughterhouse waste; LGU partnered with DOST; SWM Division under the Agriculture Office

2:00 p.m. Metro Clark Sanitary Landfill, Capas, Tarlac

Ms. Lena Villarama Vice-President Metro Clark Waste Management Corporation Clark, Pampanga (045)599-6318 (Tel/Fax)

Sanitary Landfill using German technology

Nov. 27 9:00 a.m. Subic Bay Solid Waste Management Program

Mr. Armin Santos Department Head Tourism Department Subic Bay Management Authority, Olongapo City (047)252-4197

Controlled dumpsite; SWM office

1:00 p.m. Olongapo City Hon. Kate Gordon Mayor Olongapo City (047)222-8492/252-4194/252-4197/252-4154

SWM Collection and enforcement;garbage fee for households; SWM Office

Nov. 28 9:00 a.m. Marikina City Hon. Lourdes C. Fernando Mayor Marikina City (02) 546-2360/646-1634 (Tel) (02) 646-5277 (Fax)

SWM Collection and enforcement, garbage fee for households; presence of transfer station

2

DATE TIME SITE VISITED CONTACT PERSON/NO. BRIEF FEATURE 2:00 p.m. Rodriquez, Rizal Hon. Pedro S. Cuerpo

Mayor Rodriquez, Rizal (02) 941-6785 (Tel) (02) 649-1187 (Fax)

Controlled dumpsite

Nov. 29 9:00 a.m. Bacoor, Cavite Mr. Roland Sianghio Lacto-Asia Pacific, Inc. 0917-843-4321

Material Recovery Facility with composting and recycling plant; managed by the private hauler

2:00 p.m. Smokey Mountain, Manila

Mr. Remus Villanueva Tornado Waste Management Technologies (02) 938-6952/930-7459 (Tel) (02) 939-3635/930-7479 (Fax)

Material Recovery Facility (non-functional), managed by MMDA

Nov. 30 4:00 p.m. Leave for Davao

GROUPINGS FOR THE TOUR: The participants were requested to group themselves into 5 groups and were assigned to report on specific dates. The following were the grouping per day: Group 1: Carmona, Silang and Dasmarinas, Cavite

1. Jaime Cedullo - Team Leader 2. Nancy Bawe - Member 3. Dubert Victorio - Member 4. David Salazar - Member 5. Catherine Leguro - Member

Group 2: San Fernando City and Metro Clark Sanitary Landfill, Capas, Tarlac 1. Alex Bantillo - Team Leader 2. Virgilio Paredes - Member 3. Pedrito Carbonilla - Member 4. Juvy Pasanting - Member

Group 3: Subic Bay Management Authority and Olongapo City 1. Hon. Lino Montilla - Team Leader 2. Andres Castillon - Member 3. Radney Ganzon - Member 4. Hilda Mercado - Member

3

Group 4: Marikina City and Rodriquez, Rizal

1. Elias Bustamante - Team Leader 2. Florenda Pabustan - Member 3. Adolfo Sucaldito - Member 4. Teresita Cabaguing - Member Group 5: Bacoor, Cavite and Smokey Mountain MRF, Manila 1. Tomas Robles - Team Leader 2. Psyche Sucaldito - Member 3. Violeta Muyuela - Member 4. Alfredo Rañido - Member GUIDE QUESTIONS USED BY THE PARTICIPANTS: Guide questions were provided by the SWAPP Representative to guide the groups in their assessment reports per site: 1. Name of LGU: ________________________________________________________ 2. Name of Resource Person: ____________________________________________ 3. Designation of Resource Person: _______________________________________ 4. Give a brief description of the program as discussed by the Resource

Person (related the discussion to the 5 E’s – Engineering, Enforcement, Education, Environmental Structure and Equity/Budget)

5. What is the Program’s strengths and weaknesses? 6. What aspect/s of the program do you perceive as applicable to your LGU? DESCRIPTION OF SITES VISITED: 1. Carmona, Cavite Resource Persons: Ms. Bel Guinto, MENRO and Carolyn Ortiz, MENRO Staff Carmona, Cavite was adjudged as one of the winner of the Galing Pook because of its “Balik Inang Kalikasan, Balik Amang Pabrika”. The program is an alternative program of waste management. It features market waste composting and organic vegetable farming using the compost produced by the LGU.

4

LGU-Carmona has the following SWM components:

• Engineering – LGU-Carmona has an Ecology Center which house the composting facility and training center. One of the projects under the SWM program is the conversion of biodegradable waste to compost and utilization in the organic farming project. Biodegradable waste from the market is collected and brought to the Ecology Center for processing in the rotary drums. For example, a 1.5 tons of bio waste will be mixed with 300 kgs. Of cocodusk and 20 kgs of activator. After maturity, the compost is used in the demo-organic farm located near the market. Vegetables produced from the organic farm are then sold in the market.

• Enforcement - LGU-Carmona has several ordinances to effect its SWM program. They are also collecting an environmental fee from industries for use in pollution protection. The LGU also uses volunteer enforcers who report any environment related violations. The sharing scheme for the enforcers and LGU is 50%-50%. Any penalty paid by the violators is shared with the enforcers.

• Education – Continuous IEC campaign using house to house dialogues with the community on segregation are conducted by the MENRO Office.

• Environmental Structure - LGU-Carmona has established a Municipal Environment and Natural Resources Office (MENRO) which handles the SWM program as well as other related environmental projects for the municipality.

• Environmental Equity – LGU-Carmona has a budget allocation for SWM program (7 Million per year).

Strengths: • Galing Pook Awardee 2002 • Political will • Functional Ecology Center with 7 Million budget • Organic farming/demo farm using organic fertilizer (from market waste) • Unity among the leaders and constituents • Encourages the people to “police” –Bantay Paligid • Functional MENRO (since 1997) • Environmental protection fee – maximum of P5,000/year • Garbage fee for commercial establishments • LGU-business partnership • Alliance of 5 municipalities for riverbank protection and livelihood • International linkage (JICA) • Strengthening of garbage in environmental management (stewardship) • 3 years adjudged as cleanest and greenest in Cavite (“Lingap Paligid”)

5

• Community-based program • 003-97 Comprehensive Ecological Management Ordinance • Management of waste from Industrial Estate • Modern public market using push carts • Creation of the BIKBAP • House to house campaign on segregation • 10 out of 14 barangays are substantially segregating garbage • MRF (livelihood program)

Weaknesses:

• Absence of trash receptacles • No controlled dumpsite • No sufficient funds for other SWM activities • No household garbage fee yet • The LGU garbage collectors are competing in the collection of

recycables which are supposed to be for the Ecology Center Features Applicable to LGU

• Livelihood component of MRF • Participation of LGU personnel in Solid Waste Management • Composting/demo-farm for market waste • Continuous IEC campaign • Strong conviction and political will

2. CREST, Silang, Cavite Resource Person: Eileen Sison, Executive Director, IDEAS The implementation of the Solid Waste Management Program by the Municipality of Silang, Cavite is managed by an NGO, IDEAS. IDEAS and the LGU entered a 5-year contract which stated that IDEAS will implement the segregated collection of solid waste in 14 barangays and the public market. In addition to collection, the NGO also pushed for the formulation of related SWM ordinances, conducted IEC campaigns in the 14 barangays and public markets, establishment of a Material Recovery Facility, and monitoring and action planning. The Silang SWM Program has the following components:

• Engineering - IDEAS manages a Materials Recovery Facility located in Barangay San Miguel 2. Recyclables are sorted and sold to junk shop dealers. Biodegradables are composted using a mechanized

6

composting tank. Vermicomposting further enhances the decomposition process. Organic vegetable farm and training center can be found in the MRF. Unfortunately, the open dumpsite of the LGU has been issued Notice of Violation by the National Solid Waste Management Commission. Hence, there is now a problem in disposal of residual wastes.

• Education - Information and education activities are joint efforts of the barangay captains, government employees, Rural Health Unit, Municipal Agriculture Office and local socio-civic associations who were organized as Silang Zero Waste Action Team.

• Enforcement - The LGU formulated the implementing rules and regulations of Municipal Ordinance No. 93-002 mandating waste segregation at source. IDEAS and SZWAT also lobbied for the passage of the comprehensive solid waste management ordinance (SB 001, series of 99.

• Environmental Structure – The LGU has recently created an interim Municipal Environment and Natural Resources Office. But as of to date, IDEAS is still handling the collection of the municipal wastes.

• Equity - The LGU has an allocated budget for the collection of their municipal wastes.

Strengths:

• Committed NGO • Technology/knowledge in Ecological Waste Management (focus on rural

barangays) • Presence of segregation practices (functional collection system) • Linkages of populace and LGUs (barangay level) • MOA with IDEAS (LGU pays IDEAS for collecting garbage, composting and

capability building at P180,000/month) • Existing ordinance for solid waste management • Existing MRF (owned by IDEAS) including its facilities and equipment • Demo farm

Weaknesses:

• Absence of dumping site • No controlled dumpsite • Absence of solid waste office/personnel • Fragmented roles/responsibilities • Controlled dumpsite was not utilized • LGU no facilities/equipment for SWM • Subsidized payment of garbage by LGU • Garbage workers not using globes in picking/segregating waste

7

Features Applicable to LGU:

• Working relationship between LGU-NGO • Demo farm cum training center • Segregated collection on a per day basis • Material Recovery Facility

3. Dasmarinas, Cavite The Solid Waste Management Program of the Municipality of Dasmarinas is similar to that of Silang, Cavite. There are two MRFs in the municipality: one is run by the NGO and the other by the LGU. The SWM project is a public-NGO-community partnership. The components of the SWM Program are as follows:

• Engineering – Two Ecology Centers were established near the public markets to facilitate the collection and processing of market waste. Biodegradable wastes from two subdivisions are also collected by Eco-Aides and brought to the Ecology Center for processing.

• Education – House to house campaign is undertaken to promote the program of segregation.

• Enforcement – Segregation at source in selected pilot areas are enforced. • Environmental Structure – Not discussed by the resource person • Equity – The NGO counterpart in the program includes the use of the site

and the infrastructure costs as well as food allowance for the center’s full-time workers. The LGU counterpart includes the equipments, salaries, and operating and maintenance costs of the center. The pedicabs used for waste collection were donated by the LGU, the Homeowners’ Association and the barangay.

Strengths:

• Presence of an Ecology Center utilizing the lot owned by the NGO • Market waste is the main ingredient for the compost • Collection of waste is paid by the LGU • Sack of coconuts for shredding is paid by the vendor at P3/sack

Weaknesses:

• Site of the composting center is near the public market • Budgetary constraints • No dryer for the compost • No defined LGU function in the SWM program

8

Features Applicable to the LGU:

• MRF for composting • People’s/stakeholders participation • LGU—NGO-Community partnership in SWM activities • Waste segregation and collection

4. San Fernando City, Pampanga Name of Resource Person: Ms. Myrna Manabat – Municipal Agriculture Officer/Interim CENRO The SWM program of the LGU is mainly focused on composting. The technology used comes from DOST including the equipment. The LGU uses Tricoderma to hasten the decomposition process. Market Waste and wastes from the nearby slaughterhouse are also utilized in the composting process.

• Engineering – The composting system was adopted from DOST-Los Banos. The LGU has constructed a building worth P 1 Million which was donated by DOST. It makes uses of Compost Fertilizer Activator (Tricoderma) which the Center is already formulating. The Center has a Laboratory for the preparation of the CFA.

• Enforcement - here is a resolution passed by the LGU on solid waste management but this is not yet fully enforced.

• Education – The LGU conducts IEC campaign i.e. house to house campaigns

• Environmental Structure – The LGU has no City ENRO but has instead designated the Office of the Agriculturist to handle the SWM program

• Equity – P17 Million is allocated for the SWM Program. Income generated from the selling the compost goes to the LGU General Fund.

Strengths:

• Efficient management and operations of the composting center • Wastes from the market and slaughterhouse fully utilized • LGU-DOST partnership in the SWM program • Available budget for SWM Program

Weaknesses:

• Long period for composting • Poor enforcement of ordinance • No segregation at source

9


• Setting up of own CFA laboratory for trichoderma production • Composting using market and slaughterhouse wastes • LGU-DOST partnership • Simple composting materials used

5. Clark Sanitary Landfill, Capas, Tarlac Name of Resource Person: Juan Miquel Fuentes – Environment Manager, Clark Development Authority The Clark Integrated Waste Management Project serves the Clark Special Economic Zone and the Province of Tarlac. The first phase of the Project is about three hectares. It features a sanitary landfill using German technology and expertise. The implementation of program is designed to minimize waste, reduce waste, encourage waste segregation and recycling.

• Engineering - The project uses the German technology and expertise in building the sanitary landfill. The standards being followed by the German engineers is the European standard. The sanitary landfill has a leachate collection and treatment system using reverse osmosis, gas pump station, run-off water system, retention basis, leachate storage ponds, weighbridge, multi-barrier system for groundwater protection, and gas collection system.

• Enforcement – Not yet applicable since landfill is still under construction • Education – Various consultations and dialogues with the communities

were conducted to hasten the social acceptability of the project. • Environmental Structure – The project will be managed by the German

Consortium for 25 years. A Monitoring Team composed of various NGAs, NGOs, LGUs and other stakeholders will be formed to monitor the first phase of the project.

• Equity – The Project is being funded by the Clark Development Authority as a requirement of its various consolidators in the Economic Zone.

Strengths:

• Landfill constructed using international standards • The project will encourage investors in the Clark Economic Zone • Followed the Philippine environmental process i.e. issued an ECC by DENR • Uses Filipino workers such as engineers and laborers • Will accommodate waste from the Clark Economic Zone and the

Province of Tarlac

10

• Will impose tipping fee • Ideal location of the sanitary landfill • Facilities being completed before operation of the landfill • Support from LGUs and stakeholders were obtained before project was

started • Project is open for public viewing and visitation

Weaknesses:

• No segregation to be implemented at the start of the landfill operation • 25 year contract for the operation and management by the German

Consortium • Cost of tipping fee may not be affordable to LGUs • Technology used is too expensive for LGUs


• Sanitation of the site 6. Subic Bay Management Authority Solid Waste Program Name of Resource Persons: Celena Jaime, Ecology Center Staff, Cesar Alcantara, Tourism Department Head, and Adrian Delon, Dumping Master The Solid Waste Management Program is one of the programs being implemented by SBMA for its residents and consolidators. They have a rehabilitated controlled dump which is currently being used by SBMA.

• Engineering - The SBMA controlled dump has the following equipment and facilities present: weighbridge, wastewater treatment facility, leachate pond, and HDPE liner. There are 8 compactor trucks, 3 dump trucks, 1 bulldozer, 1 water tanker and 1 loader. Waste from the residence and consolidators is collected daily. No scavengers are allowed in the controlled dumpsite.

• Enforcement – The SBMA Police and Forest Rangers are enforcers of the SWM policies. Citation tickets are issued to violators. Garbage fee is incorporated in the electric bill.

• Education – SBMA conducts information drive and trainings/lectures to its constituents

• Environmental Structure – The SBMA gas an office who handles the SWM program. There are about 60 personnel under this division.

• Equity – The SWM Program has a P104 Million loan for the rehabilitation of the controlled dumpsite

11

Strengths:

• Presence of SWM policies • Strict enforcement is being implemented • SBMA has a Waste Management Plan • Adequate manpower for their SWM Program • Strict monitoring of waste that is being dumped in the disposal facility • Garbage fee incorporated in electric bill • Controlled dumpsite with waste water treatment facility

Weaknesses:

• Can’t control flying liters • No segregation of industrial waste


• Controlled dumpsite • Waste collection system • Monitoring of trucks going to controlled dumpsite

7. Olongapo City Name of Resource Person: Mr. Dante Ramos, ESMO Head The LGU-Olongapo is one of the pioneers of effective collection and enforcement of solid waste in the country. One of the main features of the SWM program is the application of a garbage fee at the household level thru the electric bill. It also instilled professionalism among its workers in the waste management e.g. collectors, scavengers, etc. by providing uniforms with their name and number prominently displayed for the public.

• Engineering – The LGU is equipped with various equipments to carry out its SWM program: 2 dump trucks, 8 compactors, and bulldozer. Waste collection is undertaken by schedule. Garbage is placed in plastic bags and brought out of the residences on designated time of pick-up. Sanitary technicians handle the collection of garbage. They are provided with uniforms and shoes. The garbage collected is disposed in a controlled dumpsite. Scavengers are organized and are regulated for easy monitoring.

• Enforcement - The LGU has 7 sanitary inspectors with motorcycles and radios who monitor violators. Citation tickets are issued which have to be paid by the violators or community service rendered (if violator can’t

12

afford to pay). Laws and ordinances are issued to implement the SWM programs.

• Education - The LGU conducts IEC campaigns, e.g trainings, jingle during collection, public hearings, contests, house to house campaigns

• Environmental Structure - The SWM Program is managed by the Environment and Sanitation Management Office. There is already a ESWM Board as required by RA 9003.

• Equity - The budget for SWM is P15 Million annually. The ESMO generates income from violators.

Strengths:

• Active participation of the residents • Organized groups does segregation at the dumpsite • Household segregation already practiced • LGU-NGO partnership • Program has received various international and local awards • Strict implementation of the ordinance • Political will • SWM equipment are cleaned after end of the day for maintenance

purposes • Disciplined constituents • Systematic waste collection • Garbage fee for households incorporated in electric bill • Different collection of recyclables done together with collection of

biodegradables Weaknesses:

• Don’t practice composting Features Applicable to LGU:

• Controlled dump management • Segregated collection system/ scheme • Disciplined constituents and leaders • Strict enforcement of ordinances • Organized SWM related associations • IEC campaign at household level • Presence of organized groups

13

8. Marikina City Resource Person: Gloria Buenaventura, SWM Head The SWM Program is managed by the City Waste Management Office. The program features efficient collection and enforcement of ordinances. The SWM program is patterned after the Olongapo City SWM Program.

• Engineering – The LGU maintains the following equipment: 28 compactor trucks, 7 mini dump trucks, 6 dump trucks, 2 arm rolltrucks, 3 mechanical sweepers, 1 water tanker, 4 patrol tricycles, and 1 tree chipper. Collection is scheduled and residents are only allowed to bring out their garbage at designated time. Two trucks (one for biodegradable and one for recyclables) go around the city during garbage collection. A transfer station is usually used to transfer the contents of the small trucks to a bigger truck (which then transports it to the LGU disposal site). Garbage is placed in plastic bags only.

• Enforcement - The LGU has issued various SWM ordinances and policies to effectively implement the SWM activities. Citation tickets are also issued to violators by the Waste Management Office and Sanitary Inspectors. Violators are required to either pay a prescribed fee, render community service or donate blood. Garbage fees are collected from households using MERALCO billing statement.

• Education - Information and Education program has a budget of P1.5 M. Garbage trucks are utilized to give public announcements. Billboards are located at the sides of dump trucks.

• Environmental Structure - A City Waste Management Office implements the SWM Program for the City.

• Equity – The budget for SWM as of 2002 is P47 Million. Strengths:

• Extensive IEC work has changed people’s attitudes towards waste management and increases their participation in waste minimization and recycling.

• Established a substantial fund to support the program. • Strong political will • Dedicated, committed and determined civil servants, NGOs, etc. • Heavy equipments maintained by capable mechanics and technicians • Exemptions of public schools from garbage fees • Presence of an SWM Office

14

Weaknesses:

• No treatment of water/liquid waste • Composting is not yet practiced • Segregation at source just started • Inadequate disposal facility • Hospital wastes not properly managed


• Code of Good Conduct for LGU employees • Discipline of community and LGU employees • Incorporation of garbage fee with taxes, electric, water bills • Removal of sidewalk vendors in markets • Management of garbage sorters • Availability of buyers for recyclables • Color coding of vehicles • Strict implementation of ordinances, etc.

9. Rodriquez, Rizal Resource Person: Engr. Ricardo Padilla, Wood Field Consultant The Municipality of Rodriquez through its incumbent Mayor has signified its interest to develop and construct the Montalban Solid Waste Disposal Facility. The LGU engaged a Filipino Engineering Consultancy firm to handle the construction and management of the disposal facility. The project was funded by President Gloria Arroyo through the PAGCOR funds. The Association of Sanitary Engineers is also involved in the monitoring of the facility. The facility is currently accommodating the waste of Rodriquez and some Metro Manila wastes.

• Engineering - The area is 14.5 hectares. The disposal facility can accommodate about 500,000 tons of solid wastes. The disposal facility is a controlled dump. There is no wastewater treatment facility yet. Liners have been placed in the facility to prevent contamination of groundwater. Schedule of dumping is from 10:00 a.m. to 6:00 a.m. the following day.

• Enforcement - MMDA manages the overall operations of the disposal facility. The LGU, NGO’s, Barangay officials, representatives of the contractors monitor the dumping activities. Child scavengers are not allowed in the facility.

15

• Education – Public consultations were conducted by the LGUs and MMDA to facilitate the construction and operations of the disposal facility.

• Environmental Structure – There is an SWM Office in the LGU. • Equity – PAGCOR provided P200 Million for the project. Tipping fee is paid

by the collection trucks to MMDA. Strengths:

• Presence of heavy equipments • Engaged the services of qualified engineering consulting firm to handle

the project management and operations • Generates income for the LGUs • Controlled dumpsite • Has public acceptance

Weaknesses:

• No segregation of wastes at source • No organic composting • No set schedule for scavenging • No recycling • No treatment of wastewater • No ordinance to sustain the waste management problem • Waste dumped not closely monitored by weighing, just the nearest

estimate by the engineers on site • Unsafe working conditions for SWM workers


• Funding to be provided by the government or foreign partners • Use of Filipino experts for landfill management

10. Bacoor, Cavite Resource Person: Roland Sianghio, Managing Director, Lacto Asia Pacific, Inc. The private contractor for the collection of the garbage of Bacoor, Cavite established a Material Recovery Facility which houses a recycling and composting plant. The facility can process 100 tons per 8 hours of wastes. Staffs of accredited junkshop dealers are present in the facility to “package” the recyclables into sacks. The facility takes care of the garbage of Bacoor, Cavite.

16

• Engineering - The MRF has four conveyors for recyclables. Former scavengers were employed as sorters in the facility. A Greenhouse for the demogarden has been constructed in the area. Residual wastes are buried in the nearby area. The machine and technology is being provided by Lacto Asia Pacific Inc. A one-year warranty is guaranteed by Lacto Asia for the equipment.

• Education - Public consultation is undertaken before the project was started.

• Enforcement – No policy on segregation at source. • Environmental Structure – No SWM Office in the LGU. Private contractor

for collection is hired by the LGU. • Equity – The LGU has no direct investment in the Project. Barangay roads

however, were provided to facilitate the transport of the garbage to the facility. The lot is owned by the private contractor.

Strengths:

• Generate employment; garbage sorters earn P200-250/day • Compost production and sale of recyclables as an additional source of

revenue for the contractor • MRF optimize the use of the disposal facility since residual wastes is the

only product that is buried in the ground • Age level of workers are monitored • No scavengers in the facility • Other trucks pay P600/truck to the private collector

Weaknesses:

• No IEC • No sorting at source • Health impact of the project since the workers have no masks; spraying of

deodorizers is blown by the wind to the workers since it is an open facility Features Applicable to LGU:

• Composting • Initiative of private hauler to solve garbage disposal problem

17

11. Smokey Mountain, Manila Resource Person: Francis Warren – Tornado Marketing Officer and Engr. Boy Gallarte, Tornado Engineer The Material Recovery Facility is one of the best constructed by MMDA. It was targeted to handle Metro Manila waste for processing into recyclables and composting. Residual wastes will then be transported to the Rodriquez Disposal Facility. It was handled and operated by Tornado Engineers. The facility was only operated about five months and closed for operation by MMDA Bayani Fernando.

• Engineering - The Tornado Waste Management Engineers operates and manages the facility. There are various equipment present in the facility to handle recyclable and biodegradable wastes. When the facility was operational, it had 20 sorters per machine and operating for 8 hours with 2 hours overtime for cleaning. Three trucks of waste per hour can be processed in the facility. Junkshop dealers buy the assorted recyclables at the facility.

• Enforcement – MMDA is tasked to handle the enforcement of the facility • Education – Public consultation was conducted before the facility was

opened. • Environmental Structure – MMDA is tasked with the overall management

and funding for this facility. • Equity - The cost of area development is P50 Million including site

development, building and the equipments. Strengths:

• Good equipment for recycling and composting • Availability of the facility to the various junkshop dealers in Smokey

Mountain • Processing of recyclables and compostables

Weaknesses:

• No operation due to political rivalry Features Applicable to LGU:

• Small scale version of MRF

18

Annex 5

5A - ISWM Plan Outline

5B - Policy Analysis Guide

5C - Sample Communication Plan Matrix

Annex 5A – ISWM Plan Annotated Outline

Annotated Outline of the ISWM Plan Executive Summary

Provide a summary of the recommendations in the 10-year plan, highlighting those which fulfill the requirements of RA 9003. The executive summary should indicate to what extent the plan is meeting the mandatory provisions of the law.

1.0 Introduction

This introductory section should describe the primary reasons of the LGU for undertaking ISWM planning. For urbanizing LGUs, the primary reason is to allow it to address the demands of a fast growing economy. The factors (internal or external) that are bringing about this fast growth should be explained. Some evidences of growth may be cited (even if only qualitative), e.g., increase in the number of industrial, business establishments and service institutions in the past five years; increase in the income of the LGU or change in status to city; the expansion (area wise) of the central business district of the LGU; higher population growth rate (compare different time periods) and higher population density in urban barangays; increase in transient population. This section should also discuss the importance of the plan. a. To provide a firm basis and guide in making SWM-related decisions. It could

be that past efforts of the LGU were largely piecemeal, inefficient/ineffective, inadequate (some previous SWM activities may be cited).

b. To be able to comply with RA 9003 which requires LGUs to come up with a 10-year ISWM plan. Cite other requirements of the law.

2.0 ISWM Planning and Legitimization Process 2.1 Objectives of ISWM Planning

This should describe what ISWM planning, as a process, would provide. (Note: The objectives listed here differ from the objectives listed in Section 5.)

a. Provide an analysis of the LGU’s physical, socio-cultural, and economic

features, current SWM practices and programs, and waste generation data to serve as basis for defining SWM options.

b. Recommend criteria for evaluating SW management options.

1

c. Provide an integrated set of management interventions that are in accordance with the requirements of RA 9003

d. Provide the basis for prioritizing and programming investments in SWM

e. Recommend appropriate organizational and other implementation

arrangements, including the involvement of various sectors in plan implementation

f. Provide for good governance practices (transparency, accountability and

participatory decision-making) in plan implementation arrangements. 2.2 Plan Formulation Process

Mention that this is the process that was followed in preparing the plan, with TA provided by EcoGov. In the sections that follow, discuss the TAP practices adopted during the different stages of plan preparation.

2.2.1 Formation/Reconstitution and Orientation of the Solid Waste Management Board

Discuss the importance of Board formation as the first step in the planning process. Describe the actions that resulted from the orientation (issuance of EO to create/reconstitute the Board and adoption of working protocols). Highlight if this activity provided the basis for identifying the civil society members of the Board. Put in Annex A the following documents: a) EO creating or reconstituting the Board and b) the working protocols agreed upon by the Board.

2.2 2 Solid Waste Management Assessment

Describe the purpose of the assessment (i.e., establish current practices, baseline data on waste generation and diversion), the methods used (FGD, survey, field assessment) and the value of the information for planning. Identify the sectors (municipal LGU, barangay LGU, DENR, NGOs, commercial establishments, youth, etc.) involved in the assessment. Indicate if the results of the assessment were presented to the Board, SB/MDC or stakeholder groups. For the documentation of SWM practices of households and establishments: a) describe the focus of the activity; b) describe how the sample was determined (if survey is undertaken); c) describe how the focus group discissions of FGDs were organized. Mention interviews conducted with junkshop owners, itinerant buyers of waste materials, scavengers, and collection crew to validate data generated on marketable wastes; and specific special waste generators to document their practices in the disposal of both THW and their municipal waste. For the LGU survey, describe the focus of the survey/study and identify who were respondents for the LGU. Put the LGU SWM profile (using the format prescribed

2

by the Solid Waste Commission) as Annex B. If the assessment covered barangay LGUs, mention the specific or number of barangays and the focus of the barangay-level assessment. For the seven-day waste characterization (major waste sources): a) mention that the sample used was the same as that for the survey of SWM practices of households and establishments, b) identify other sources that were covered, e.g., markets, parks and open spaces, ports, etc., c) outline the general procedure for waste collection, segregation and measurement, and d) indicate the major considerations in determining seven-day study period (e.g., market day, payday, etc). For waste characterization (end-of-pipe): a) describe sampling scheme adopted in relation to the LGU’s garbage collection system, b) identify the waste sources that are covered by the sample taken (this will be based on the route of the garbage collection trucks, and c) outline the general procedure for waste segregation and measurement. If market wastes are collected separately from other wastes, describe how samples were taken for characterization. Indicate the data processing that was done and the types of quantitative data that were generated: weight and volume of wastes generated (per day) by type of material (bio-degradable, non-degradable, residuals, special waste); components of wastes generated by different sources; per capita estimates of waste generation, disposal and materials recovery; composition, volume and weight of end-of-pipe waste; and baseline of % waste diversion. Refer to Annex C for the sampling plan and the summary tables on results of the survey and waste characterization. Mention other data gathered and analysis done such as those on the physical and socio-demographic characteristics of the LGU, on economic trends in the region/province and within the LGU which have relevance to SWM planning and on the LGU’s CLUP and investment plans. Mention if the results of the analysis were presented to and discussed by the Board and/or SB/MDC.

2.2.3 Cross Visit

Discuss the purpose of the site visit, the duration of the cross visit and those who joined the trip (need not list the names). Identify the sites visited and the SWM best practices that are being showcased in these sites (can be shown in a table).

3

2.2.4 SWM Options Analysis

Identify the decision areas/points for which management options were identified. Indicate who were involved in identifying the options, how many options were identified and what criteria were used to evaluate them. Discuss how the socio-economic and environmental impacts were identified and applied in decision-making. Describe how the preferred option was eventually selected and indicate if the option analysis results were presented to the Board, SB/MDC and stakeholder groups for approval. Refer to Annex D for the options analysis.

2.2.3 Plan Preparation

Discuss the activities undertaken in preparing the plan document: workshops/ writeshops, consolidation and review of first draft, validation of the draft with key stakeholder groups, refinement of draft plan, consultations, presentations to the ESWM Board and DENR, review and production of final draft. Indicate those who were involved in the planning phase and indicate if sub-teams were formed for the preparation of specific components of the plan.

2.3 Formal Legitimization Process 2.3.1 Plan Validation

Describe how the plan was validated with key stakeholders and decision-makers (in addition to the public hearing being required by the MDC). If the public hearing was conducted: the sectors represented in the hearing, who presented the plan, the focus of discussions/questions (most important issues raised), and aspects of the plan that required refinement as a result of the public hearing. The attendance list and the documentation of the public hearing should be attached to the plan (Annex E).

2.3.2 Presentations to and approval by the MDC/CDC and SB

Describe how the draft plan was presented to the MDC/CDC, and SB and other bodies (e.g., ABC), their reactions/comments on the plan and any revision done on the plan as a result of the presentation. Put in Annex F any documentation of the presentation/discussion and the resolutions passed by the MDC/CDC and SB endorsing the plan.

3.0 Key Consideration in Preparing the ISWM Plan (Situational Analysis)

4

3.1 Locational and Physical Features of the LGU

(This section is important to determine impact areas of poor SWM by the LGU, opportunities for LGU clustering, physical constraints to establishment of disposal facilities). Highlight the following: a. location of the LGU and how it is related to neighboring LGUs in terms of

their physical features (e.g., within one watershed, off-site impact areas, etc) b. topographic/geologic/climatic features which may constrain (e.g., high

rainfall area, poor soils, flood prone, steep slopes, critical watersheds) or favor the establishment of disposal facilities within the LGU

A map showing the boundaries of the LGU, the major river system that runs through it, location of major urban center (CBD) and location of existing and proposed disposal facility would be helpful.

3.2 Accessibility (This is important to determine if there are access constraints to the marketing of recovered/processed waste materials, to the establishment of inter-barangay or inter-LGU common facilities, and to the delivery of SWM services within the LGU. This information is also useful in making decisions on road infra investments that may be necessary in support of SWM.)

Provide an assessment of how far and well-linked (road system) the LGU is to its neighboring LGUs, particularly those which are being considered for SWM clustering with the LGU. Also indicate accessibility to existing markets of recyclables (outside the LGU). Plans to improve the road system within the next five years should be indicated. A road network map showing road links with barangay centers, adjacent LGUs and market would be helpful.

Also provide an assessment of the transport linkages between the various barangays to the LGU center and how this would facilitate/constrain establishment of central/linked SWM facilities. Indicate if there are plans to improve the road network in the next five years.

3.3 Socio-Demographic Features (This section will be important to project the population that will be serviced by the LGU and the increase in waste generation by households within the 10-year period. It will also indicate other characteristics of the population that are important in developing SWM interventions – opportunities/constraints, focus areas for SWM management, IEC, etc.)

5

Population for the Period 19xx-2000

Present data on population growth and population density of LGU for at least two census years, with barangay breakdown. Identify specific barangays where population growth and density is highest. Inclusion of a settlement map (base map can be taken from the CLUP) showing where the population concentrations are, including subdivisions, would be helpful. Population Projections (10-Yr Plan Period) Show the projected population growth for the ten-year plan period (using NSO projections on annual growth rates) – both municipal/city and barangay levels. Identify the key factors/important assumptions considered in making the projections. If transient migrant population is significant, provide estimates. Given the current and projected distribution of population among barangays and the per barangay population density, determine which barangays will become “urbanized” within the next five and ten years. Other Socio-Demographic Data If data is available, include an analysis of the current poverty situation in the LGU: households with incomes below the poverty line (use regional poverty threshold if LGU has no established threshold). It would also be helpful if there is a map that would show location of low, middle and high income population centers within the urban centers. Describe ethno-cultural features of the LGU which have bearing on SWM.

Identify what the leading causes of mortality and morbidity are and see if these are in any way caused by poor sanitation/improper waste disposal. Indicate if there have been cases of diseases in any part of the LGU which is due to poor sanitation, particularly in areas where population density is high or where waste disposal facilities (dumpsites) are located

Indicate the literacy rate of the LGU population. If schools are considered important for IEC, indicate existing educational facilities in the LGU and if they have any programs/subjects/ activities that relate to solid waste management.

3.4 Economic Sectors

(This section will indicate what sectors will be major waste generators and the kind of wastes that can be expected in the future, given the projected development path of the LGU.)

6

Current Situation

Identify what are major economic sectors of the LGU at present (agriculture, trade and commerce, services, manufacturing, etc) and any significant trends in the past five years (e.g., changes in mix of major agricultural products, increases in the number of service establishments, establishment of large factories/malls, construction of a market, etc.) If data on the changes are available (e.g., number of establishments/institutions), these should be included in the write-up. Projected Scenario What is projection of LGU with respect to its key sectors? What major changes are likely to happen during the plan period? The CLUP and municipal/ provincial/regional investment plans should be examined to determine these (e.g., expansion of agricultural areas, planned establishment of industrial center or a processing plant). Determine external forces (outside the LGU) which can propel or limit the growth of the LGU. A map showing location of barangays and which project the spatial development of economic sectors (refer to CLUP maps) would be helpful. It would also be helpful if the municipal/ city LGU can project against this map the coverage of their current and future (by 5th year and by 10th year) SW collection areas.

3.5 Solid Waste Generation Current Situation

This should provide a summary of the analysis of the waste characterization data presented in summary tables, charts and graphs: weight and volume of wastes generated (per day) by type of material (bio-degradable, non-degradable, residuals, special waste); components of wastes generated by different sources; per capita estimates of waste generation, disposal and materials recovery; composition, volume and weight of end-of-pipe waste; baseline of % waste diversion.. In the discussion of the key results of the analysis, point out their significance to SWM planning. Refer to Annex C for the detailed waste characterization data. Projected Scenario Present projections on waste generation (by barangay, total for LGU) given the 10-year population projections, per capita waste generation and estimated % of population to be covered by the LGU’s collection system. Discuss implication of these data on SWM planning. Refer to Annex G for all the projections made for planning purposes.

7

3.6 Current SWM practices of Various Waste Generators Urban Centers/Barangays (Covered by SW Collection)

Present the highlights of the SWM assessment, focusing on these three sectors. For households and establishments/institutions, describe common practices in the disposal of solid waste. Determine if there are differences in the SWM practices of urban and rural households, and high, middle and low-income households. Identify if there are communities and establishments which have initiated recycling and other innovative SWM projects and assess their effectiveness. Indicate presence of junkshops and buyers of recyclables in the LGU (include a list of junkshop owners and buyers) and the flow of recyclables from junkshops/buyers to processors (which may be within or outside the LGU). Identify institutions/establishments in the LGU which are generating special waste and indicate if they have the required SWM facilities for these special wastes. This can be summarized in a table (name of institution, year established, special wastes generated, disposal system).

Present any feedback from households and establishments re the efficiency of services provided by the LGUs and any indication of their willingness to pay (or pay more) for LGU services.

Rural Barangays (Outside SW Collection Area)

Describe solid waste management practices in barangays not covered by LGU collection.. Indicate if barangay LGUs have their own SWM programs or facilities.

3.7 LGU SWM Services and Resources

Describe current services and resources a. what SWM services are being provided by LGUs (municipal and barangay)

and how these are being provided (in-house, use of volunteers, contracted out to private sector, BOT, etc)

b. existing facilities (MRFs/recycling, disposal) and how these are being managed; capacity per design, current use of facilities (compared to its capacity or design)

c. the current LGU SWM organization and manpower; capabilities to manage SW program, staffing and training needs – the analysis should cover all aspects of SW program, including collection, management of dumpsites/disposal sites, maintenance of vehicles, collection of fees, IEC, ordinance enforcement, etc.

8

d. budget (for the past 5 years) and sources of funds (general fund, 20% development fund, garbage collection fees, others). Detailed listing of assets and costing should be placed in Annex C (FCA tables).

Include discussion of IEC and other SWM programs that the LGU has implemented over the same period and assess their effectiveness. Identify SWM ordinances that the LGU has passed; describe enforcement mechanisms/arrangements and indicate their effectiveness and/or constraints. Identify other SWM projects/investments that have been approved and with assured funding. Also indicate experiences in sourcing funding from external sources. Describe experience in generating revenues from SWM services, with a summary of revenues generated in the past five years.

3.8 Local Institutions

Identify agencies, institutions, NGOs, community organizations/POs and other civil society groups that are currently or can potentially be involved in SWM and their resources that can be tapped (money or in kind). Indicate LGU’s experiences with multi-sectoral involvement in SWM activities.

4.0 Vision, Objectives, Strategy and Targets 4.1 Vision and Mission

State the vision statement that was crafted for SWM. If available, also state the mission of the LGU with respect to SWM.

4.2 Goals and Objectives

Goals refer to the higher order objectives of the SWM program – these are the long-term development goals to which SWM contributes. These would mainly be health/productivity improvement and environmental protection. Objectives refer to the more specific objectives of the plan (what the LGU seeks to achieve within the 10 year plan period). The objectives statements may reflect the major implementation strategies that will be adopted (e.g., to mobilize civil society and private sector support to SWM; to establish a network of barangay MRFs.). The objectives should also reflect principles of good governance (transparency, accountability and participatory decision-making) and sustainability (technical, institutional and financial).

9

4.3 General Strategy

Describe in more detail the preferred option (by stages) that is discussed in Annex D. In the discussion of each SWM stage, highlight how the preferred option meets the requirements of RA 9003 (match with the mandatory provisions).

4.4 Plan Targets

List the specific plan targets. Targets should indicate the expected output (quantified, if possible) and when such will be accomplished. More detailed targets should be set for the first five years of the plan; more general targets for the succeeding five years. Make sure that the targets include the mandatory provisions of RA 9003 such as: closure of open dumps, establishment of sanitary landfill, segregation at source, and waste diversion. If targets are unable to satisfy mandatory provisions, provide explanations. List and discuss the important assumptions made in setting the targets.

5.0 ISWM Plan Components The plan will have four components: engineering (5.1), education (5.2), enforcement and incentives (5.3), and economic enterprises (5.4). For each component, describe the following: a. overall objective of the component b. scope of the component, taking into account the requirements of RA 9003.

Refer to the implementing rules and regulations of RA 9003 for the specifics that need to be covered in each:

RA 9003 Requirements

Engineering Education Enforcement and Incentives

Economic Enterprises

Source Reduction

Recycling Composting Collection and Transfer

Processing Final Disposal Special Wastes c. recommended strategies to implement the component, including strategies to

put into place good governance practices and ensure technical, institutional and financial sustainability

d. specific activities to be undertaken and indicative schedules

10

e. indicative costs over ten year period 6.0 Implementation Arrangements 6.1 Organization

Describe the proposed organization for SWM program: policy level, SWM management level, and operations level. Identify the responsibility centers for specific tasks and describe their specific accountabilities. Describe how and within what period such will be put into place. Indicate desired staffing level, plan for staff recruitment (phased; one-time recruitment), and critical training needs. Identify sectors which will be involved, how linkages with other sectors will be established and how multi-sectoral inputs and activities will be coordinated.

6.2 System for Procurement and Contracting

Identify the services or major equipment items that will be procured over the plan period (this will be derived from the description of the components) and the SWM services that will be privatized. Describe the system for procurement and contracting that will be followed and the mechanism that will ensure that such are followed. Make sure that such procedures are in accordance with the new procurement law. Highlight good governance elements in the proposed systems.

6.3 Performance Monitoring

Identify the important milestones, outputs and outcomes/results that will be monitored. Describe how reporting will be done (within LGU and from LGU to constituents – highlight TAP practices); identify responsibility centers for M and E; indicate incentives/sanctions that will be given/imposed for good/poor performance. The M and E section should indicate how the LGU intends to monitor its annual performance with respect to waste diversion (law requires 25% within 5 years).

7.0 Financing the Plan 7.1 Investment and Operating Costs

Provide a summary (with annual breakdown) of the financing requirements to implement the 10-year plan. Present the summary in two ways: a) by SWM stage; and b) by major cost category: investment costs and operating and maintenance costs. The latter is to include personnel costs. Use the standard government accounts in presenting the budget. Use current costs – without adjusting for

11

inflation or general price changes. Detailed cost estimates (with cost standards used) should be attached as Annex H. Indicate which years will require heavy investments and the reasons for this. Indicate the trend of the level of operating costs. Discuss how plan implementation will be funded (general fund, 20% development fund, external sources – grants, loans; partnership with private sector; BOT). Present the current and projected (ten years/plan period) IRA and 20% development fund of the LGU and indicate % that will be allotted to SWM. Mention how other costs, beyond what can be funded from the IRA/20% development fund, will be financed.

7.2 Revenue Generation

If revenues are to be expected from SWM operations, show the projected incomes over the 10-year plan period. Separate the projections for different types of revenues. Clearly indicate assumptions made in preparing the projections.

7.3 Cost-Revenue Analysis

Present an analysis of the cost and revenue figures, by comparing the two in order to determine how much of the costs can be covered by the expected revenues. Revenues can be compared with a) operating costs alone, and b) total of operating and investment costs. Revenues from a specific SWM operation/stage may be compared with the costs associated with the particular operation/stage. Clearly state the conclusions and recommendations arising from the analysis.

8.0 Year One Action Plan and Budget 8.1 Priority Activities in Year 1

Describe what will be the major focus of Year 1 of the plan. Describe the milestones/major outputs that are expected on the initial year. From the activities listed in the components and implementation arrangements, cull out those that will be undertaken in Year 1. It may be necessary to list also some of the intermediate steps (more detailed activities) that will be necessary. These activities should be presented with a bar chart showing the implementation period of each activity over the 12-month period.

12

8.2 Year 1 Budgetary Requirements

Summarize the budget required for the first year. These may be taken from the overall financial plan. Indicate sources of the required budget.

Annexes: A SWM Board (copy of the Executive Order creating/reconstituting the Board and

copy of the agreed working protocol) B LGU SWM Profile (form is included in the SWM assessment kit) C Summary tables on results of the survey and waste characterization (generated

during data analysis workshop; description of sampling plan.) D Decision Tree and Options analysis (Pros and Cons) E Documentation of Public Hearing (to include attendance sheet and

summary/highlights of discussions) F Plan Legitimization (to include summary/highlights of discussion during

presentation to MDC and SB; copies of MDC and SB resolution) G Projection Summaries H Detailed Costs Estimates Note: The above are suggested annexes. The LGU can include more annexes than what is listed above.

13

B

GUIDELINES FOR THE ANALYSIS OF SWM ORDINANCES

Prior to the formulation of the policy support component of the IntSolid Waste Management (ISWM) Plan, it is important that LGUs do an aof their existing ordinances. The compilation, summary and analysis opolicies will be made part of the situational analysis of the ISWM Plan.

The analysis will have two objectives. These are: 1) identifying terms of the requirements of Republic Act No. 9003 also known Ecological Solid Waste Management Act of 2000 and its Implementing RuRegulations (IRR); and 2) identify aspects in the ordinances whergovernance practices can be integrated.

The LGU technical working group (TWG) should form a sub-group

specific activity. This sub-group shall be tasked to undertake the compilatsummary of existing ordinances, and their analysis. The gaps identifiedanalysis will indicate the types of ordinances that the TWG should includPolicy Support Component of the CRM plan. The output of this activity wbe used as inputs to the preparation of the policy support componenISWM Plan and to the actual policy formulation.

The sub-group should include the Chair of the SB/SP EnvirCommittee and the ABC President. It is critical that sub-group mundertake a thorough review of RA 9003 and its IRR before starting the aof ordinances.

In performing the analysis, it is recommended that the following gube observed: I. Analysis to identify gaps in terms of the requirements of Repub

No. 9003 and its IRR:

Section 10 of Republic Act No. 9003 provides that pursuant to the rprovisions of RA 7160, otherwise known as the Local Government CoLGUs shall be primarily responsible for the implementation and enforcethe provisions of the said Act within their respective jurisdictions. In aSection 4, Rule XIX of the IRR of Republic Act No. 9003 provides thgovernment units shall be required to legislate appropriate ordinances tthe implementation of Republic Act 9003 and in the enforcement of its proThe said Section 4 further provides that specific measures to implemeenforce Section 48 (Prohobited Acts) of the Act should be included; prsuch ordinances shall be formulated pursuant to relevant provisions of 7160.

It is against this backdrop that this analysis will be conducted

basically address these questions:

Annex 5

egrated nalysis f these

gaps in as The les and e good

for this ion and in the

e in the ill thus

t of the

onment embers nalysis

idelines

lic Act

elevant de, the ment of ddition, at local o aid in visions. nt and ovided, RA No.

. It will

1

2

1. Does the LGU have existing ordinances on solid waste management?? 2. Are the existing ordinances of the LGU on ISWM consistent with the

provisions of RA 9003 and its IRR?

3. Do the existing ordinances support or provide for the implementation and enforcement of the provisions of RA 9003 and its IRR?

Use the attached guide (Annex A) for the detailed analysis of ordinances. II. Analysis to identify gaps in terms of good governance in the ordinances

enacted.

The second aspect of the analysis will focus on the identification of gaps in terms of good governance, particularly with regard to the principles of transparency, accountability, and participatory decision-making. Refer to Annex B for the Guide to the Analysis of Governance Features, which defines these three principles and provides examples on how they can be put into place.

This analysis will be conducted on existing ordinances enacted by the

LGU on ISWM. In the absence of such ordinances, this part of the analysis will not be undertaken. Instead, this portion may serve as a guide in the preparation of ordinances specifically with regard to the provisions on transparency, accountability and participatory decision-making.

For this part of the analysis, the relevant questions are:

1. Does the ordinance contain provisions that prescribe transparency? 2. Does the ordinance clearly identify the centers of responsibility?

3. Does the ordinance provide who shall be held accountable for actions

and decisions?

4. Were the stakeholders involved in the preparation of the ordinance?

5. Does the ordinance provide mechanisms by which the stakeholders can participate in the decision-making process?

Annex C provides the detailed guide for the conduct of this particular analysis.

Annex A. Matrix for analysis of ordinances re: compliance with RA 9003 and IRR ISSUE NO YES DETAILS

Does the LGU have existing ordinances on solid waste management?

*(If response to this question is yes, answer the succeeding questions)

(If yes, state ordinance number, year and title)

1. ISWM office or organization (State ordinance number, year and title) • Does the ordinance create or establish an office that

will have primary responsibility for the management of solid waste on the LGU?

(If yes, state the provision of the ordinance)

• Does the ordinance state the composition or structure of the office?


• Does the ordinance state the powers and/or functions of the office?


2. Segregation (State ordinance number, year and title) • Does the ordinance require the segregation of solid

waste?


• Does the ordinance prescribe the requirements, guidelines or mechanisms on how segregation of solid waste will be done?


• Does the ordinance prescribe the requirements, guidelines or mechanisms on how segregation of solid waste will be done?


• Does the ordinance state the additional requirements on segregation for premises containing six (6) or more residential units as provided in RA 9003?


• Does the ordinance state the additional requirements on segregation for commercial, institutional and

(If yes, state the provisions)

3

ISSUE NO YES DETAILS industrial establishments as provided in RA 9003?

3. Materials Recovery Facility (State ordinance number, year and title) • Does the ordinance provide for the establishment of a

materials recovery facility (MRF) in every barangay or cluster of barangays?


• Does the ordinance prescribe the time frame for the establishment of the MRFs?


• Does the ordinance provide guidelines for the establishment of MRFs (eg location, size, type, etc.?


• Does the ordinance provide guidelines for the operation of MRFs?


• Does the ordinance state what support the LGU will give to the barngays in the establishment of the MRFs?


4. Reclamation program and buy-back center (State ordinance number, year and title) • Does the ordinance provide for the establishment of a

reclamation program and buy-back center?


5. Collection and Transport (State ordinance number, year and title) • Does the ordinance state who shall be responsible for

the collection and transport of solid waste?


• Does the ordinance specify the roles and responsibilities of the LGU, Barangays, and other groups in the collection and transport of solid waste?


• Does the ordinance provide guidelines for the collection and transport of solid waste? (eg, safety, sanitation)


4

ISSUE NO YES DETAILS 6. Disposal (State ordinance number, year and title) • Does the ordinance contain provisions on disposal

facilities?


• Does the ordinance provide for the closure of open dumps (if such is the existing disposal facility of the LGU)?


• Does the ordinance provide the time frame for the closure of the open dump?


• Does the ordinance provide for the establishment of a controlled dump or the conversion of the open dump into controlled dump?


• Does the ordinance provide the time frame for the establishment of the controlled dump?


• Does the ordinance provide guidelines for the establishment of the controlled dump?


• Does the ordinance provide guidelines for the operation of the controlled dump?


• Does the ordinance provide for the establishment of a sanitary landfill?


• Does the ordinance provide guidelines for the establishment of the sanitary landfill?


• Does the ordinance provide guidelines for the operation of the sanitary landfill?


5

ISSUE NO YES DETAILS 7. Incentives (State ordinance number, year and title) • Does the ordinance provide incentives for compliance

with its provisions or for participation in solid waste management plans and/or programs?


8. Financing (State ordinance number, year and title) • Does the ordinance state how solid waste management

projects of the LGU will be financed?


9. Procurement (State ordinance number, year and title) • Does the ordinance prescribe guidelines or rules for the

procurement of services, materials, and equipment to be used in solid waste management?


10. Solid Waste Management Fund (State ordinance number, year and title) • Does the ordinance provide for the establishment of a

solid waste management fund?


• Does the ordinance state who shall manage the fund?


• Does the ordinance provide guidelines for the management of the fund?


• Does the ordinance provide for reporting on and auditing of the fund?


• Does the ordinance specify the source of the fund?


• Does the ordinance set the ceiling on the amount that can be availed of from the fund to finance allowed projects?


• Does the ordinance provide the process for availing the fund?


6

ISSUE NO YES DETAILS 11. Solid Waste Management Fees (State ordinance number, year and title) • Does the ordinance require payment of fees for solid

waste management services rendered by the LGU?


• Does the ordinance state where the collected fees will go?


• Does the ordinance state who are required to pay the fees?


• Does the ordinance provide the schedule of fees to be paid?


• Does the ordinance provide the manner of payment or collection of the fees?


• Does the ordinance provide for adjustment (increae or decrease) of fees?


• Does the ordinance impose penalties for late or non-payment of fees?


12. Prohibitions and Penalties (State ordinance number, year and title) • Does the ordinance prohibit certain acts?


• Does the ordinance impose fines and/or penalties for violation?


• Does the ordinance provide the procedure to be followed in case violations of the ordinance are committed?


• Have there been any recorded incidents of violations?


7

ISSUE NO YES DETAILS • Have there been any recorded apprehensions,

prosecutions, or impositions of fines and/or penalties for violations?


13. Enforcement (State ordinance number, year and title) • Does the ordinance provide mechanism/s to aid in its

enforcement?


• Does the ordinance designate or identify the group/s responsible for enforcement?


• Does the ordinance specify the powers and responsibilities of the group responsible for enforcement?


• Does the ordinance provide for the institutional relationship/s of the enforcement group with other groups or agencies?


14. Appropriation (State ordinance number, year and title) • Does the LGU include the funds needed to implement

the ordinance in its annual budget?


8

Annex B. Guide to the Analysis of the Governance Features (Transparency, Accountability and Participatory Decision-Making) of Resource Management Interventions

TRANSPARENCY

ACCOUNTABILITY

PARTICIPATORY DECISION-MAKING

Definitions

Transparency is the extent to which the general public has credible and reliable information about the state and conduct of affairs of a government unit or public agency. Transparency is indicated by the predictability that the residents of a government unit, or the publics of an agency, are able to avail of timely, relevant, accurate and complete information on the decisions and actions they make and do.

Accountability is the degree to which the officials and staff of a government unit or of an agency can be predictably held responsible for their decisions and actions and for the performance of their staff and offices. Accountability is indicated by the extent (1) the lines and centers of (a) command and control (vertical accountability) and (b) checks and balances (horizontal accountability) are clear to all concerned, (2) the standards of conduct and procedures of due diligence are being observed by officials and staff, and (3) the sanctions being imposed for violations of standards and procedures are clear

Participation is the degree that the general public, especially key stakeholders and marginalized groups (low income groups, indigenous peoples, women, farmers and fishers, and religious minorities) are predictably able to have access and opportunities to influence the decision or action of a government unit or public agency. Participation is indicated by the extent that stakeholders and publics outside their roster of officials and staff shape the decisions of a unit or agency. It is indicated by how less the officials and staff exercise discretion over decisions and actions.

Guide Questions for the Analysis/ Design of TAP Interventions

HHooww iiss iinnffoorrmmaattiioonn oonn LLGGUU aaccttiioonnss aanndd ddeecciissiioonnss,, ggeenneerraatteedd,, aannaallyyzzeedd aanndd ddiisssseemmiinnaatteedd ttoo tthhee ggeenneerraall ppuubblliicc?? DDooeess tthhee ppuubblliicc hhaavvee eeaassyy aacccceessss ttoo tthheessee mmeeaannss?? WWhheenn iiss tthhee iinnffoorrmmaattiioonn ddiisssseemmiinnaatteedd?? ((bbeeffoorree tthhee ddeecciissiioonn//aaccttiioonn;; aafftteerr tthhee ddeecciissiioonn//aaccttiioonn;; oonnllyy wwhheenn ddeemmaannddeedd)) IIss tthhee iinnffoorrmmaattiioonn pprroovviiddeedd ccuurrrreenntt,, ccoommpplleettee aanndd aaccccuurraattee??

Who will be responsible for particular actions and decisions? Are these roles and responsibilities clearly defined in plan documents, ordinances, and orders? How will performance be monitored and evaluated? How will good performance/ observance of procedures be recognized? Are there clear sanctions for violations of standards and procedures?

How are the stakeholders of a particular activity identified? Are they sufficiently represented? How do the stakeholder groups participate in decision-making at various stages of project planning and implementation? How are incentives for participation of each stakeholder provided?

9

TRANSPARENCY

ACCOUNTABILITY

PARTICIPATORY DECISION-MAKING

Some Examples of Governance Mechanisms

Posting of proposals/plans/zoning maps, ordinances, and proceedings in public bulletin boards Periodic publication of performance audit reports, financial statements, reports on license/permit issuances, results of transactions/bidding Publication/announcement of meetings and public consultations/ hearings well ahead of schedule Publication of systems and procedures, selection criteria IEC on local legislations enacted

Clear definition of roles and responsibilities Clear sanctions and incentives Clear schedule of activities and performance standards/key result areas M and E of plan implementation Periodic performance audit

Public consultations/hearings prior to decision-making/legitimization Multi-sectoral representation in committees, working groups, management councils, enforcement groups Consensus building (e.g., visioning, resource uses, selection of sectoral /civil society reps); establishment of conflict resolution mechanisms Community validation of resource assessments results, issues, plan priorities Participatory M and E; community feedback system

10

Annex C. Matrix for analysis of ordinances re: Good Governance elements ISSUE NO YES DETAILS

1. Transparency • Does the public know of the existence of the

ordinance?

• Does the ordinance contain mechanisms by which its provisions will be made known to the public?

Of specific concern are the provisions that deal with: • Licenses and permits, including the requirements for

the same • Procedure involved in obtaining licenses and permits • Grounds for denial of applications • Grounds for cancellation of licenses or permits issued • Office, agency or body that will serve as the

responsibility center for the implementation and/or enforcement of the ordinance/s

• Activities allowed • Fees • Prohibited acts and penalties

(If yes, state the mechanisms)

• Does the ordinance provide for dissemination to the general public of subsequent acts undertaken pursuant to the ordinances?

Some examples of this are: • Publication of the list of areas available for utilization by

the residents • Publication of the list of licenses and/or permits issued

including the updated lists

(If yes, state the provision)

• Does the ordinance state the means or how the information, such as those listed above, will be disseminated to the general public?


• Does the public have easy access to these means?

11

ISSUE NO YES DETAILS • Does the ordinance provide when the information will

be disseminated to the public?


2. Accountability

• Does the ordinance identify who will be responsible for particular actions and decisions?


• Are the roles and responsibilities of those responsible for the particular actions and decisions clearly defined in the ordinance?


• Does the ordinance provide the mechanisms on how the performance of those responsible for actions and decisions will be monitored and evaluated?


• Does the ordinance provide how good performance or observance of procedures by those responsible for actions and decisions will be recognized?


• Does the ordinance have clear sanctions or punishments for violations of standards and procedures by those responsible for actions and decisions?


3. Participatory Decision-Making

• Were the stakeholders involved in the formulation of the ordinances?

(Provide details)

• Do stakeholders have access and opportunities to participate in or influence the decisions or actions of those responsible for such decisions or actions in the implementation and enforcement of the ordinances?

(Provide details)

• Does the ordinance provide how the stakeholders are identified?


• Are the stakeholders sufficiently represented?

(If yes, provide details. If no, state the reasons)

12

ISSUE NO YES DETAILS • Do stakeholder groups participate in decision-making?

(If yes, provide details. If no, state the reasons)

• Are there incentives for participation of stakeholders?

(If yes, state how these incentives are provided)

13

Key issues (needs, current

practices) Objectives by

target audience Key activities Channels Key message

concept Time frame

Responsible person/agency

Resources Needed

Indicators of impact

Annex 5C. Sample Communication Plan Matrix