Integrated Solid Waste Management Training Guide

I 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 n
Abt Associates, Inc. n
Management Systems International n
Michigan 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.

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

The ISWM Training Guide i

About The ISWM Training Guide

T
he Integrated Solid Waste Management (ISWM) Training Guide is a synthesis of the
training modules and materials used by the Philippine Environmental Governance (EcoGov) Project
in assisting local government units (LGUs) in solid waste management planning and
implementation. The Guide provides a description of the training and mentoring approaches of
EcoGov as the Project aided the LGUs in systematically formulating various plans of action, including a 10-
year ISWM plan mandated by the Ecological Solid Waste Management Act (RA 9003). It puts together
lessons learned from the two-and-a-half years of Project experience in providing ISWM technical assistance
to a number of LGUs in EcoGov regions. In a way, this Guide may be considered a documentation of
EcoGov’s “best practices” in putting into place a governance-enhanced ISWM process.1

This Guide is intended for local service providers (LSPs)2 tasked to assist municipal and city LGUs in
preparing and implementing governance-enhanced ISWM plans. It serves as a reference to enhance their
understanding of the EcoGov technical assistance approach, to help them develop SWM training programs
for LGUs and to allow them to use EcoGov-developed analytical and decision-making tools that promote
the practice of transparency, accountability and participatory decision-making (TAP).

This Training Guide has five major modules:
Module 1: Governance in Solid Waste Management
Module 2: ESWM Board Formation and Orientation
Module 3: Solid Waste Management Assessment
Module 4: Study Tour
Module 5: SWM Plan Formulation and Legitimization

Modules 3 and 5 are divided into several sub-modules. Each module and sub-module is described in
terms 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 also
covers field activities where participants get to apply or test newly-acquired knowledge or skills. It describes
as well the pre- and post-training activities that are necessary to facilitate completion of expected outputs
within the indicated period of training.

Highlighted (in boxes) are the governance principles applied in each module to promote transparency
and 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 significant
improvements in SWM practices.

To ensure that training participants will get an appreciation of the concepts, policies, processes and
tools relevant to the modules, the Guide devotes a significant portion to the content of the technical inputs
provided during the training. Recommended topics or inputs are provided in the Lecture Notes and discussion
and 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., Annex
1 for Module 1), which contains the guidelines, sourcebooks, templates and examples that have been
developed by the EcoGov ISWM Team for that particular module.

The Guide does not include the detailed training programs and presentation materials used in previous
training. This is to give users some flexibility in the design of their training activities.

1
The Training Guide includes recommendations for future training activities, thus, the numbering and scope of the modules, and
the approaches described may differ from those used in previous training and technical assistance activities.
2
The service providers referred to here include DENR field offices, provincial governments, non-government organizations
(NGOs), consulting firms, academic institutions and individual professionals.

The ISWM Training Guide 1

Project Background

T
he country’s rapidly increasing population, resulting in higher demand for the use of our natural
resources and generation of more solid wastes, has brought about adverse effects on the
environment. The government, with its limited capacity and resources, is thus, challenged to
provide innovative mechanisms directed at shifting the people’s attitude and practices towards
sustainable use of natural resources and reducing waste generation.

It is believed that technical solutions alone may not be enough to overcome these challenges; ensuring
that good governance is part of environmental management options may prove to be the key in effectively
addressing these issues.

It is in this light that the Philippine Environmental Governance Project (EcoGov) is strengthening LGU
capacity 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 practices
within their municipal waters; illegal cutting and forest lands conversion; and unmanaged solid wastes. This
assistance is in the form of training, coaching and mentoring LGUs in the conduct of resource and resource
use assessments, evaluation of management options, planning, and initial implementation activities using
processes and tools that emphasize elements of good governance, such as transparency, accountability
and participatory decision-making (TAP).

At the national and regional level, the EcoGov Project provides policy and advocacy/IEC support to
improving coastal/forest resources and solid waste management, through the review and enhancement of
existing policies, conduct of policy studies, and production of sourcebooks, primers and information materials.
National policy and institutional support specific to the ISWM sector includes:

Review of RA 9003 and its Implementing Rules and Regulations (IRR) to identify specific
provisions that require more detailed implementing rules and regulations;
Development of guidelines and procedures for assessing and measuring waste diversion
by LGUs, joint LGU-DENR assessment of sites of SWM facilities, and clustering of LGUs
for the use and co-management of disposal facilities; and
Production of a full-cost accounting guidebook and source books on incentive systems,
available financing facilities, and technical assistance sources.

All these interventions are intended to contribute to the long-term economic development of the country.

The Development Alternatives, Inc. (DAI) is implementing the EcoGov Project in collaboration with the
Department of Environment and Natural Resources (DENR). EcoGov national specialists and the Project’s
regional teams, along with DENR and provincial government partners and a number of individual LSPs,
provide technical assistance to LGUs.

2 The ISWM Training Guide

The ISWM Modules in Summary

S
WM is one of the
functions devolved to Orientation on
LGUs, making it their Governance in SWM/TWG Formation
responsibility to provide
SWM services to its constituents,
given the rising SWM problems, ESWM Board Formation,
particularly in urban and urbanizing Reconstitution and Orientation
areas. Under RA 9003 and its IRR,
all LGUs are mandated to formulate
a 10-year ISWM plan that will define Solid Waste Assessment
its SWM strategy. To do this, LGUs (Situational Analysis)
• Geographic and Physical
must be equipped with the
Characteristics of LGU
necessary skills and decision- • Socio-Economic Features & Trends
making tools to be able to come up • SWM Organizations & Resources
with well thought out plans that • SWM Awareness & Practices
could be implemented successfully. • Waste Generation Disposal Study
The EcoGov Project saw this need Tour
as an appropriate entry point for
improving good governance in the Vision and Strategy Formulation
SWM sector.

Figure 1 shows the logical Formulation of ISWM Components
sequence of the five ISWM training • Engineering
modules developed by the EcoGov • IEC
Project. • Policy Support
• Economic Enterprises
Figure 2 presents summaries
of the five modules.
Formulation of Management &
An LGU will have to go through Financing Arrangements
all the modules, in the suggested
sequence, to complete the ISWM
plan. The LGU takes the lead in the Drafting of Plan
legitimization process, with some
mentoring from the EcoGov team.
During this process, the plan is Board Review of Draft
reviewed by the ESWM Board, then Plan/Endorsement to MDC/SB
presented in a public hearing, before Module 1
it is submitted to the Municipal/City
Development Council (M/CDC) and Refinement & Legitimization of Plan Module 2
the municipal/city council for • Public Hearing
adoption (either through a resolution • MDC Review and Endorsement Module 3
or an ordinance). • SB Review and Approval
Module 4
It should be noted, however, that
once the SWM assessment is Implementation of ISWM Actions Module 5
completed and the LGU has a better
appreciation of where it is in relation Figure 1 – Module Sequence
to waste generation and disposal, the


LGU is encouraged to start identifying and implementing some immediately doable activities, even if the
plan is still being prepared. Examples of activities that could be done immediately are IEC, improvement of
current collection routes, some “housekeeping” practices in current dumpsite, formal creation of SWM
office and designation of staff who will be responsible for the SWM program, linkages with other sectors
(e.g., schools), and composting of market waste.

Module 1: Governance in This introduces the concept of environmental governance and how
Solid Waste Management it applies to SWM. It likewise includes an orientation on the EcoGov
Project. This module is useful in the conduct of orientation/briefings
3
on environmental governance and in interactive assemblies (IAs)
with LGUs interested to participate in the Project’s ISWM program.

Module 2: ESWM Board This focuses on the creation of the ESWM Board, which is
Formation and Orientation mandated by RA 9003. The module ensures that key sectors are
represented in the Board, and that the members understand the
technical and legal framework of SWM, and their role in SWM
planning, implementation and monitoring and evaluation. The Board
is given the opportunity to work out their working protocols.

Module 3: Solid Waste This covers the whole process of SWM assessment, aimed at
Management Assessment providing the bases for formulating strategies, determining targets
and defining activities. In this module, bio-physical, socio-economic
and other information that are relevant to SWM are analyzed. Also
assessed are the practices of various solid waste generators,
collectors and processors.

Module 4: Study Tour This gives LGUs the opportunity to witness and learn from the
experiences of other LGUs on SWM. The study tour allows the
participants to directly interact with LGUs, which have initiated SWM
programs or have established SWM facilities. This exposure
broadens their understanding of the management options available.

Module 5: SWM Plan This makes use of the analysis of the SWM information (Module 3)
Formulation and and the lessons learned in the study tour (Module 4) in fleshing out
Legitimization the SWM plan. The preparation of the SWM plan is done through
five sequential sub-modules.

Figure 2. Module Summaries

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


Module 1
Governance in
Integrated Solid Waste Management

Module Coverage

This module introduces the concept of environmental governance to the participants, emphasizing the
increasing recognition that weak or failure of governance, and not only the lack of technical solutions, is a
key cause of environmental degradation. Environmental governance is discussed in relation to the principles
of decentralization, devolution and subsidiarity, and other related concepts, such as inter-generation and
inter-spatial equity. Highlighted are three elements of good governance: transparency, accountability and
participatory decision-making or TAP (See definitions and examples, Lecture Notes, Environmental
Governance Elements, Page 8).

The rationale for good governance in ISWM is explained in the context of the LGU mandates as provided
for in RA 9003 and its IRR, and in relation to the major threats poor waste management pose to public health
and environment. LGUs are cautioned not to make unilateral decisions and actions (or with no sound
analysis or firm basis) with respect to SWM as there are many stakeholders in SWM management that will
be affected. Also, ISWM is one LGU initiative that demands transparency as it requires substantial investment
of public funds and the process of procuring goods and services is often suspect. For many, SWM is viewed
as 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 focuses
on the objectives, approaches and performance indicators of the EcoGov Project and the general process in
the selection of LGUs. Also discussed is the ISWM planning process to clarify the scope, nature and mode
of delivery of the technical assistance provided by the Project. As the planning process is outlined, the
innovative approaches introduced (e.g., SWM assessment, incentive systems) and governance practices
applied (e.g., joint analysis and decision-making) to specific planning and implementation activities are
pointed out. Also emphasized are the advantages of joint planning by adjoining LGUs to consider sharing
the use of waste disposal facilities.

Based on EcoGov experience, this module may be completed in 1-2 days, depending on activities that
will be incorporated in the design.


Module Approach

This introductory module may be used in interactive assemblies (IAs)4 conducted by the Project with
LGUs interested in availing of EcoGov technical assistance. This module may also be used in Project
orientation and briefings for the Technical Working Group (TWG) and the ESWM Board of the LGU, and
provincial governments, DENR and LSPs to level off on the environmental governance concept and principles
and the EcoGov technical assistance approach.

The module may either be conducted before or after signing a Memorandum of Agreement (MOA)
between the LGU, DENR and the EcoGov Project (See sample MOA, Annex 1).

The module consists of at least three input sessions
(See suggested outline, Lecture Notes, pages 7-10). It MEMBERS OF THE TWG
is important that the resource persons in this module have
a good grasp of the concepts and can relate good CHAIR
Vice Mayor/City or Municipal Planning
governance with SWM.
Development Coordinator/SB Chair on
Environment
The design of the module may be modified to
incorporate group or plenary activities in between the MEMBERS
technical inputs, such as discussions of local SWM Department Heads of:
issues and challenges, sharing and assessment of past City/Municipal Engineering Office
SWM efforts and achievement, and a preliminary analysis City/Municipal Planning Office
of the status of current environmental governance practices City/Municipal Agriculture Office
in the LGU. An action planning activity may also be added City/Municipal Health Office
at the end of the module for the identification of and Private Sector
consensus on the next steps, schedules and Academe
responsibility centers leading to the signing of the MOA Environmental NGOs
People’s Organizations
(i.e., if module is held before MOA signing) or the conduct
Religious Groups
of the succeeding modules.
Junkshop Operators
Market/Vendors Associations
It is possible also to integrate Module 1 with Other civil society groups
Module 2, when the target audience is the same and there National Agencies such as:
are no planned intervening activities between the two Department of Environment and Natural
modules. Resources (DENR)
Department of Education (DepEd)
Participants Department of Interior and Local
Government (DILG)
Department of Trade and Industry (DTI)
For IAs, participants may include local chief executives Department of Agriculture (DA)
(LCEs), Municipal/City Planning and Development
Coordinators, Municipal/City Emvironment and Natural
Resources Officers, and Sangguniang Bayan/Panglunsod
Chair of the Environment Committee. If used to orient TWGs and ESWM Board, participants shall include
all members.

4
At the start of EcoGov Phase 1, a series of regional/provincial Interactive Assemblies or IAs were held in the EcoGov regions
to orient potential LGU partners on the EcoGov Project. The IAs, which covered either only one or the three sectors, provided
the venue for the sharing of experiences and discussion of local SWM issues and possible assistance from the project.


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, social
and cultural subsystems” (Victor Ramos, 2001)

It is about:
Making decisions and carrying out supporting actions. First and foremost, the LGU has to define a
clear SWM vision and mission, with a sound basis so it can have the support of stakeholders.
Supporting actions will include:
a. Issuance of sound policies
b. Mobilization, realignment and approval of funds
c. Law enforcement, penalties
d. Monitoring performance after decisions and actions were carried out
Upholding and supporting the rule of law, e.g., RA 9003, its IRR and other related laws
Leveling the playing field for stakeholder participation, demand for accountability, access, incentives
and penalties, investments, competition and enforcement
Resolving disputes and conflicts among those affected by SWM
Convergence of good governance and technical solutions

The convergence of governance and technical solutions could
spell the difference between a healthy environment and the Technical Solutions to Resource
spread of diseases and disaster Management (TSRM)
+ Good Governance (GG)
II. Environmental Governance Vision + Performance Indicators based on
Effectiveness of governance - decisions and actions are all Standards (PIS)
in support of a defined “ VISION AND MISSION” = Improved and Enhanced Environmental
Efficiency of governance - decisions and actions are achieving Conditions
the objectives of “TASKS;” they maximize limited resources
in achieving objectives
Consequence of governance - decisions and actions impact on “RELATIONSHIPS” between the
suppliers and “demanders” of effective and efficient resource management

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

IV. Prerequisites of Effective Environmental Governance
Presence of accountable institutions with clear vision and strategy to achieving the vision.
System for eliciting participation in decision-making, from planning to implementation; also in monitoring
and evaluation
System to ensure transparency of decisions and the basis of those decisions
Existence of rule of law
Presence of persons representing the “conscience industry” – media, civil society organizations,
church, schools

V. Environmental Governance: Key Concepts and Principles
Decentralization, de-concentration and devolution. The central government formally cedes powers to
actors and institutions at lower levels (devolution or democratic decentralization and administrative
decentralization).


Subsidiarity and local organizational capacity. Decisions should be made at the lowest possible level
where competence exists. In RA 9003, some responsibilities are vested in the barangay LGUs.
Inclusion and participation
Accountability
Transparency and access to information
Social justice, Forms of justice: community, retributive, procedural and distributive justice. Property
rights: “Access right to a stream of benefits from a given set of resources,” such as coastal resource
assets.
Collaboration and partnership
Stable and secure property rights
Intergenerational and inter-spatial equity
Trade-offs, externality, and opportunity costs

VI. Environmental Governance Elements
Transparency = Extent to which the general public has current, complete and reliable information
about decisions and actions taken by a government unit or public agency.
Key Result Areas
a. Manner of generating, analyzing and disseminating information on LGU actions and decisions to
the public
b. Access to this information
c. Period of information dissemination: before the decision/action; after the decision/action; only
when demanded
d. Quality of information provided: updated, complete and accurate
Examples of Transparency Practices and Mechanisms
a. Posting of plans/maps, ordinances and proceedings in public bulletin boards
b. Periodic publication of performance audit reports, financial statements, reports on license/permit
issuances, results of transactions/bidding
c. IEC on local legislations enacted

Accountability = Degree to which the officials and staff of a government unit or of an agency are held
responsible for their decisions, actions and performance. State officials, public employees and private
sector are answerable to their constituents for policies, actions and use of fund.
Key Result Areas
a Identification of persons/groups responsible for particular actions and decisions in plan
documents, ordinances and orders
b. Performance monitoring and evaluation procedures
c. Recognition of good performance/observance of procedures
d. Clear sanctions for violations of standards and procedures
Examples of Accountability Practices and Mechanisms
a. Clear definition of roles and responsibilities
b. Periodic public expenditures review
c. Clear sanctions and incentives
d. Periodic conduct of performance audit
e. Periodic assessment of policies

Participatory Decision-Making = Degree that the general public, especially key stakeholders and
marginalized groups have access and opportunities to influence the decision or action of government
or public agency
Key Result Areas
a. Manner of identifying stakeholders of a particular activity
b. Degree of representation of stakeholders in decision-making at various stages of project planning
and implementation
c. Incentive provisions for participation of stakeholders
Examples of Participatory Decision-Making Practices and Mechanisms
a. Consensus-building; establishment of conflict resolution mechanisms
b. Public consultations and hearings prior to decision-making/legitimization of plans/issuances of
ordinances
c. Multi-sector representation in committees, working groups, management councils, enforcement
groups
d. Participatory M and E; community feedback system


Good Governance In Solid Waste Management

I. ESWM vs. ISWM

ESWM = systematic administration of activities which provide for segregation at source, segregated
transport, storage, transfer, processing, treatment and disposal of solid waste and all other waste
management activities which do not harm the environment” — RA 9003.
ISWM = selection of a combination of techniques, technologies and management objectives; well-
coordinated and organized set of actions: source reduction, recycling, waste transformation and land
filling.

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

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

IV. Why Environmental Governance in ISWM
Solid waste impacts public health and environmental safety
The impacts of unmanaged solid waste have intergenerational (i.e., future generations will benefit or
suffer from current decisions) and inter-spatial effects (e.g., carcinogens, fisheries, water, dioxins)
There are many stakeholders (on and off site) thus decisions and actions cannot be unilateral
Procurement related to providing SWM services are susceptible to “rent seeking behavior” and monopoly
ISWM is perceived as a public good or service to constituents; its efficient delivery is a manifestation of
good governance
Sound governance of ISWM leads to “buy-ins” of stakeholders who have vested interest to sustain and
protect services (i.e., with profit motive or volunteerism)
ISWM has immediate impacts on the environment (i.e., smell, aesthetics, diseases)

V. Who are involved in governance of ISWM?
Decision makers and implementers (primarily LGU, DENR)
Those impacted by decisions and actions (communities where waste disposal facilities are located;
waste generators, etc)
Those providing information, analysis and recommendations to decision-makers and implementers
(LGU and DENR technical staff, technical assistance, service providers, consultants, etc)
Those with “vested interests” to influence decisions and actions (e.g., suppliers of equipment,
contractors, etc)
The “conscience industry” – media, civil society organizations, church, schools

VI. Key ISWM Decisions and Actions Requiring Good Governance
Waste Collection: Accountability of collectors, transparency in procuring or sourcing required logistics,
participation of stakeholders
Transport: transparency in procurement, accountability of those deciding on procurement, participation
of technical staff
Processing and disposal: transparency in design and procurement, transparency in the issuance of
Notices to Proceed (NTPs) and Environmental Compliance Certificate (ECC), accountability of those
who prepared design and issued ECC, participation of specialists and stakeholders
Financing: accountability of LGU officials, transparency in sourcing and using funds, participation of
SB, MDC and barangays
Implementation: participation of key sectors, accountability of each decision-maker, transparency in
procurement and financial expenditures, transparency in work and financial planning
Performance monitoring: participation in developing criteria and conduct and analysis, political will to
deal with accountable officials, transparency in discussing results and lessons learned


VII. Summary
The processes and outputs in ISWM planning and implementation are all about “POWER” and
“CONTROL” over decisions and actions
“POWER” to initiate and sustain action; capacity to translate intentions into reality and sustain it
There is need to balance, direct, appropriate and equally distribute these powers among different
stakeholders
Question: What are and where are those powers vested with respect to ISWM planning and
implementation?

The Philippine Environmental Governance Project

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

II. EcoGov Strategies
Strengthening of national and regional policies and institutional arrangements
Technical assistance to LGUs and communities on coastal resource, forest and forestlands and solid
waste management to enhance their capacity and support mechanisms to take on new environmental
governance responsibilities
Capability-building of DENR and partner government agencies, local institutions and service providers
to strengthen local technical support systems (to develop capabilities to support LGU environmental
governance initiatives)
Establish creative partnerships with organizations/groups and develop supporting coalitions to help
promote good governance.

III. EcoGov Results Framework and Key Performance Indicators
Goal
Outcomes 1: Expanded application of sound environmental governance policies and practices
Outcome 2: Reduced over-fishing and use destructive fishing practices
Outcome 3: Reduced illegal cutting and forest lands conversion
Outcome 4: Solid waste management
Key Performance Indicators for 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 Selection
Interactive Assemblies
Letters of Intent
MOAs nd LGU commitments

VI. Overview of EcoGov Technical Assistance in ISWM
ISWM Modules

Module 1. Governance in Solid Waste Management
Module 2. ESWM Board Formation and Orientation
Module 3. SWM Assessment
1. Orientation and Sampling
2. SWM Practices Survey and Seven-Day Waste Characterization
3. Data Analysis
Module 4. Study Tour/ Exposure Trip
Module 5. SWM Plan Formulation and Legitimization
1. Vision and Strategy Formulation
2. Formulation of Engineering Component
3. Formulation of Policy Support Component
4. Formulation of IEC Component
5. Formulation of Management and Financing Arrangements


Module 2
ESWM Board Formation and
Orientation

Module Coverage

This module calls for the formation and the proper orientation of the ESWM Board as a first step in
complying with the provisions of RA 9003. During the Board formation, particular attention is given to the
need 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 SWM
and environmental governance, its legal framework (this includes discussion on the Local Government
Code, RA 9003 and its IRR, etc.), and their roles in ISWM planning and implementation. By clarifying all
these, it is expected that the members’ active
participation in the ISWM process will be
encouraged, thus, enhancing the Board’s TAP principles emphasized
effectiveness.
This module emphasizes TAP principles:
The module also allows the Board to define their
working protocols (such as agreeing on meeting a) Roles, functions and accountabilities are clarified
schedules and notices, sub-committees, quorum to ensure a more responsive public service.
and voting rules, and secretariat support). Also b) Unilateral decisions are strongly discouraged as
clarified during the discussions is the source of the there are many stakeholders (on and off site)
Board’s operating budget. involved in SWM decisions and actions.
c) Representation of critical sectors in the Board is
The preparation of an action plan forms part of strongly encouraged as it is a requirement of the
the module. A review is made of the ISWM planning law.
process and modules and an overall work plan is
prepared 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) action
plan for subsequent activities. A sample of the working protocol is found in Annex 2.

Two days are allotted for this module.


Module Approach

Two technical input sessions are suggested for this module. The first orients the Board members on the
fundamentals and guiding principles of SWM and review with them important concepts in environmental
governance. The second focuses on the important provisions of RA 9003 and its IRR, and other related
laws, focusing on the mandatory requirements that apply to LGUs. The suggested outline for both of these
lectures are in the Lecture Notes on pages 13-14. Note that it will be helpful if some topics in Module 1 are
repeated 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 composition
and functions of the Board (if existing) to assess if they are in accordance with RA 9003. The members
themselves will have to determine whether there is a need to reconstitute the Board (again based on RA
9003 requirements) and proceed with the identification of the additional sectors that have to be represented
in the Board.

If no Board formally exists yet, the participants will have to identify those who should be made members
of 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 on
how the representatives shall be selected. This is very important, especially in cases where there are
several organizations that can sufficiently represent the sectors (e.g., Who should represent the recyclers
if the there are several independent junkshop operators in the LGU?) or if none exists (e.g., Who should
represent 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 are
clearly documented so that the method will be consistently followed. The discussions should also clarify
the roles and functions of the Board and clearly establish its accountabilities as spelled out in RA 9003 and
its IRR. It will be necessary for the LCE, who is also the Board chair (as per RA 9003), to issue an Executive
Order 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 on
their internal rules with respect to regularity of meetings, attendance and quorum, method of voting, internal
structure, secretariat and funding for its operations. Agreements reached will be consolidated to produce a
draft 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 on
issues could be addressed in a timely manner.

Participants

The module is designed primarily for members of the ESWM Board, but should include members of the
LGU technical working group (TWG)5. If there is no ESWM Board yet, the module participants will include
those 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, environmental
governance, and RA 9003 and its IRR. An experienced facilitator is necessary.

5
In many cases, the TWG becomes the interim action arm or secretariat of the Board , for the duration of the ISWM planning
activity.


Lecture Notes
Fundamentals of SWM

I. Factors that Contribute to the SWM Problem
Spiralling population growth rate and rapid urbanization
Changing lifestyles and consumption patterns
Public indifference
Inadequate government policies and lack of enforcement

II. General Situation of Solid Waste in the Philippines
Daily Waste Generation Per Capita in the Philippines
Rural barangays = 0.2 kg to 0.4 kg
Urbanizing barangays = about 0.5 kg
Urban barangays = 0.6 kg to 0.7 kg
Distribution: domestic/households - 70%; industrial - 20%; commercial - 10%
Attitude or indifference? People lack of appreciation of SWM; people believe that it is government’s
responsibility; inefficient collection of garbage; non-operation of a good disposal facility

III. Health Impacts of Improper Solid Waste Handling and Disposal
Respiratory ailments resulting from odor and emissions
Skin diseases
Injuries or cuts from broken glass, cans, hard plastics and other sharp objects
Proliferation of insects and rodents that may act as passive vectors in transmitting diseases
Asphyxiation due to exposure to gases
Contamination of drinking water from leachate percolation
Food poisoning due to insect colonization and vermin proliferation

IV. Environmental Impacts of Improper Solid Waste Handling and Disposal
Depletion of ozone layer leading (due to methane gas generation and burning) to global warning
Air pollution which produces acid rain
Land pollution, which reduce its value
Water pollution and flooding due to dumping in rivers and lakes
Groundwater contamination due to leachate

V. Definitions of Key Terms
Waste, solid waste
Solid waste management
Source Reduction, recycling, treatment and disposal

VI. Guiding Principles for SWM
Waste is a resource
Waste prevention is better than waste regulation and control.
There is no single management and technological
approach to solid waste.
All elements of society are fundamentally responsible for
11% of methane gas generated in
SWM.
Those who generate waste must bear the cost of its Philippines comes from waste dumps
management and disposal.
SWM should be approached in the context of resource
conservation, environmental protection and health, and
sustainable development.
SWM programs should take into consideration the physical and socio-economic conditions of the
concerned communities and be designed according to their specific needs.
VII. Functional Elements of Solid Waste Management and Corresponding Technologies
Waste Generation – reduce and resuse, sort and segregate
Storage – covered and sanitary receptacles; safe storage area
Collection – regular schedule, systematic routing, appropriate type of collection, separate collection of
segregated waste


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

VIII. Hierarchy of Methods
Source reduction
Reuse and recycling of non-biodegradable
Composting (biodegradable)
Treatment (special waste)
Disposal (residuals)

IX. SWM Planning
General Process
TAP Practices
Components: 7 E’s – education, engineering, enforcement, equity, environmental organization,
economic enterprises, and environmental governance

Legal and Policy Framework

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

II. Institutional Mechanisms
National Level: Roles of
National Solid Waste Management Commission
National Ecology Center
Department of Environment and Natural Resources
Local Government Level: Composition and functions of
Provincial Solid Waste Management Board
City and Municipal Solid Waste Management Board
Barangay Solid Waste Management Committee
Multi-Purpose Environment Cooperatives or Associations

III. National Solid Waste Management Framework and Local Government Solid Waste Management
Plans. RA 9003 and IRR provide guidelines for preparation of plan and its key components, particularly:
Establishing mandatory solid waste diversion
Establishing LGU materials recovery facility
Prohibition against use of open dumps

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

V. Financing
SW management fees
National SWM Fund
Local SWM Fund

VI. Penal Provisions
Prohibited acts, and fines and penalties
Administrative and enforcement procedures


Module 3
Solid Waste Management Assessment

T
his module guides the LGU in conducting an assessment of SWM practices and waste generated
to provide a sound basis for the formulation of an SWM plan. The outputs of this module will be
used in identifying and evaluating alternative management schemes and technologies that are
appropriate to improve the LGU’s delivery of ISWM services to its constituents.

Participants will be trained on how to generate important
databases necessary to develop a doable ISWM plan that Good info, sound analysis
integrates TAP principles in all the steps of the assessment
process. SWM decisions and actions have to
be based on good information and sound
Information on the sources, characteristics and composition analysis.
of the waste streams will be gathered to analyze possible The SWM assessment findings will
opportunities for source reduction and recycling, techniques help the LGU set its targets (i.e., By how much
emphasized in RA 9003 and its IRR to divert waste from the % can the LGU reduce its waste stream?),
disposal sites. develop SWM strategies and interventions
(i.e., What area in the municipality will be
These and other information are necessary to arrive at sound covered by LGU collection? What IEC strategy
ISWM decisions (such as the size of the disposal facility required, will be effective? What ordinances will be
the type and capacities of storage receptacles, types and issued?), and design SWM facilities (i.e., How
capacities of collection trucks, the number and frequency of many collection trucks will be needed? What
collection, area requirements for materials recovery facilities or will be the capacity of its composting facility?
MRFs and the landfill, etc.). Of its disposal facility? )
The knowledge on the current SWM practices will be very
useful in deciding the type of IEC to be conducted, organizational set-up, budgetary support, and enforcement
instruments needed to implement a sustainable ISWM program.

The module will have three sub-modules:

Sub-module 3A - Orientation on Assessment and Sampling Methods. This will prepare the
TWG for the data collection task. This is very critical as the success of the succeeding activities will
depend on the kind of preparations done, including a good understanding of the process.
Sub-module 3B - Survey of Practices and Seven-Day Waste Characterization6. This pertains
to the actual collection of the data, requiring seven days of intensive work and making accurate
measurements and correct recording. Teamwork is of utmost importance.
Sub-module 3C - Data Analysis. This allows for the organization, processing and interpretation of
data for decision-making.

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

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 situational
analysis are a) baseline data on waste generation from identified sources; b) baseline data on waste
disposal at the dumpsite; and c) descriptions of current SWM practices and awareness level. The first two
sets of data are to be contained in a database; they may be further analyzed to generate additional information
and 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, LGU
offices, representatives from the concerned national government agencies such as Department of Interior
and Local Government (DILG), Department of Environment and Natural Resources (DENR), Department of
Science and Technology (DOST), and NGO as well as people’s organizations (PO) representatives (such
as vendors’ associations, homeowners associations, business groups, youth, media and other civic
organizations). Sub-Module 3C will, however, be limited to those who are directly involved in processing the
gathered 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. The
participants are expected to have a clear idea of the types of primary and secondary information that will be
needed for the situational analysis, and the range of methods that can be used to generate the needed
information.

The sub-module focuses on two major assessment activities: the SWM awareness and practices
survey and the seven-day characterization of waste (from major waste sources and at end-of-pipe).7 The
sub-module emphasizes the importance of establishing baseline information and using such data in the
design and formulation of SWM interventions.

Participants are given hands-on training on how these two activities
will be done in Module 3B, on the data collection and recording Encouraging teamwork
instruments that will be used, and on the determination and selection
of the sample for the SWM practices and awareness survey and the Their experience in the waste
seven-day waste characterization exercise. The one-day practice characterization exercise is expected to
waste characterization is done using a “pre-sample.” The sample instill into the participants the
size from households is derived using the standard deviation estimated importance of working as a team and
from the pre-sample, maximum tolerable error and confidence level. enhances their sense of ownership of the
information they generate. It must be
This sub-module is designed to develop teamwork among emphasized to them that as owners and
members of the TWG and the Board for the smooth conduct of the users of the information, they must ensure
next sub-module. Their experience in the waste characterization the integrity and usefulness of the
exercise is expected to instill into the participants the importance of information.
working 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 indicates
the volume/weight and composition of garbage brought to the dumpsite daily and provides an estimate of the potential
biodegradable and recyclable waste that can be diverted from the waste stream.


information they generate. It must be emphasized to them that as owners and users of the information, they
must ensure the integrity and usefulness of the information. This means they have to be diligent in following
and documenting the sampling, data collection, recording and processing procedures.

Expected Sub-module Outputs

Outputs of the sub-module include:

a) Sampling plan that shows the list/distribution and classification of establishments and households
from which the sample is taken, the assumptions made, the procedures undertaken to stratify the
population and to determine sample sizes, and the households/establishments in the sample,
preferably shown in a map;
b) Action plan to complete all preparatory activities for Sub-module 3B and for the actual collection of
various data (including secondary data); and
c) Final survey and recording instruments.

This sub-module may be completed in 3-4 days. A total of 10-12 days will be needed if pre-workshop
and post-workshop activities are included.

Sub-module Approach

The initial technical input explains the objectives and scope of the SWM assessment, leading to a
discussion on the basic data requirements (See Checklist, pages 20-21). The maps and statistics that are
deemed important and their official sources will be identified. It is recommended that samples of maps and
actual data taken from previous assessments done in EcoGov LGUs be used during the lecture session to
illustrate the value of the information for ISWM planning. The EcoGov Project adopted NSWMC Form8 (See
Annex 3A) to document the LGU’s SWM profile.

The second technical input will be on the SWM awareness and practices assessment. This has two
parts: a survey and a “look-see” of actual practices with some key informant interviews and focus group
discussions to be conducted.

Participants will be given a walk-through of a guide listing the important sectors, events and places that
will be covered by the assessment, the key questions that may be asked and specific practices that will be
observed 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 as
junkshop owners, itinerant scrap buyers and scavengers) and waste generators who produce significant
amount of special wastes (e.g., hospitals, clinics, gasoline stations). It must look at how people behave
and dispose of their waste in major events in the LGU (e.g., “pintakasi,” sports events, fiestas) or in public
places (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 developing
the interview questions for each sector.

The next major part of the sub-module is the orientation on waste characterization. The purpose of the
activity, the different types of wastes that will be measured and the step-by-step process of doing the
assessment will be presented. The waste characterization will cover both waste generated at source and
waste collected and brought to the disposal site. The former will be measured from a sample of households
or 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 in
the study period will be explained. See Lecture Notes, Waste Characterization, pages 22-23 for the
outline of the waste characterization procedures.

The final technical inputs will be on sampling, covering the definition of terms or concepts used and the
different methods to be employed for households (stratified, random) and establishments/institutions
(purposive, judgment). These will be outlined and illustrated with the use of an actual case study. The
reason for limiting the sample to the collection barangays and taking a pre-sample of households will also
be explained. The current solid waste collection system will be discussed so that the appropriate sample
for the end-of-pipe waste can be determined (See Lecture Notes on Sampling and Sampling Procedures,
pages 24-25 and Annex 3B for sampling guidelines).

The participants will then be guided in preparing for the one-day
Group decision-making
practice waste characterization and survey. In this activity, the
participants will establish the total population of each of the key
Participants practice good
sector category/sub-category and their distribution per barangay or
governance as they have to agree on
per type of barangay (See Annex 3C for the suggested categories
various matters—as a group—before
and sub-categories) and select a number that will serve as practice
proceeding to the next activities.
sample.
Examples of agreements that should be
reached at the end of the workshop
At the end of the workshop, the participants should agree on the
include number of sample establishments,
number of sample establishments/institutions per category/sub-
distribution of sample households, etc.
category and the distribution of sample households for different
Each participant’s accountability to the
income classes (low, middle, high, urban poor) and barangay types
group is also clarified by defining the task
(upland, built-up, coastal). A decision should have also been reached
each group member shall perform.
on the distribution of tasks among the participants. All the
arrangements should have been done with the prospective cooperator
households and establishments/institutions, and with the caretakers of the areas where the characterization
will be done.

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

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

a) A list of business establishments and institutions in the LGU with their respective location,
b) Current estimates of households by barangay,
c) Map showing settlements/built-up area within the solid waste collection area, and
d) Documentation of current waste collection schedule and route. A copy of the LGU’s Comprehensive
Land Use Plan (CLUP) should also be made available during the workshop.

The practice SWM awareness and practices survey and waste characterization will be held in one day.
The identified cooperators are first interviewed about their SWM awareness and practices, while the collection
truck collects the waste samples. The participants then converge in the waste characterization area and
start the task of measuring, segregating, drying and again measuring the collected waste. Measurements
made and other observations are recorded in a standard form (See Annex 3D). The forms are then consolidated
and the results entered in a computer program.


The final day of the workshop is devoted to the analysis of the data generated. This provides an example
of how the actual data will be analyzed. The waste generation data of the households will be examined and
the standard deviation will be computed to determine the extent of variability across income levels and
locations. After agreeing on the assumption that will be taken regarding the standard of error and confidence
level, the sample size for the actual seven-day survey and characterization is computed using the formula:

Small sample formula:
2
t a/ 2 * s
n= ( E
)
Large sample formula:
2
z a/2 * s
n= ( E
)
Before the close of the workshop, a few hours is allocated to assess their initial experience with the
SW awareness and practices survey and waste characterization. The participants are made to prepare an
action plan for the finalization of:

a) The sampling plan including the list of cooperators,
b) Survey and recording instruments,
c) Schedule of activities,
d) Team composition organization and assignment of individual members,
e) Logistic requirements, and
f) All pre-activity arrangements for the next activity.

The action plan is to include the schedule for the collection of secondary data. A checklist on the pre-
activity arrangements for Module 3B is included in the lecture notes on the waste characterization process.
An example of a sampling plan is in Annex 3E.

Participants

The participants in this sub-module are members of the TWG and the Board. The TWG may decide to
involve representatives of other offices at the LGU and civil society groups.


Checklist of Basic Data Requirements

I. Geographic and Physical Features
In which part of the province is the LGU located? What LGUs are Objectives of the SWM
around it? How far is the LGU from provincial capital and major Assessment
cities in the region/adjoining regions? Get location map of LGU. To identify and analyze
What are the dominant topographic features of LGU (elevation and key factors that are
slope)? Are there areas with very steep slopes/high elevation? What important to SWM plan-
are topographic features of proposed controlled dump/sanitary
ning—those which can be
landfill (SLF) site and other SWM facilities? Get topographic map.
How many are upland/lowland/coastal barangays? Which of current
used as inputs and basis for
collection barangays are upland/lowland/coastal? Get map showing planning
barangay boundaries. To establish baseline data
What are major river systems in the LGU? In what sub-watershed is for future evaluation of
the proposed controlled dump/SLF site located? Where is the impact program impacts
area of this river system? To provide a situational
What are types of soils in area of controlled dump/SLF site? Is the analysis that will promote
soil type suitable for a disposal facility? informed decision-making
What are geologic hazards in the LGU (fault lines, landslide prone/
flood-prone areas)? Are any of these near the proposed controlled
dumpsite/SLF? Get hazards map.
What is the LGU’s climate type? When are the driest and wettest months? What is the annual average
rainfall and temperature?
Where are the major built-up areas of the LGU? What are the land use zones within the current
collection area? What are the land use zones in areas surrounding the proposed controlled dumpsite/
SLF? Get current and proposed land use map.

II. Accessibility
Is LGU adequately linked with neighboring LGUs? With other LGUs in the proposed inter-LGU cluster?
With known markets of recyclable materials? Get road infra map.
Are all barangays accessible year-round from poblacion? Which barangays have accessibility
problems? Do all barangays have access to proposed controlled dump/SLF site?
What infrastructure projects are programmed in the investment plans of LGU/ province or the Department
of Public Works and Highways (DPWH) in the next five years?

III. Socio-Demographic Characteristics
What is the population and number of households in last two census? What is the distribution by
barangay? What is the estimated current population and households? What is the population density
per barangay? What is the LGU’s average family size? Get National Statistics Office data.
Where are the highly populated barangays? Where are the existing subdivisions, housing projects?
Are there slum areas in LGU?
Had there been significant population movements within the LGU (e.g., population moving from urban
center to suburbs, rural to urban)? Does the LGU have a large transient population?
What is the distribution of population according to gender? According to ethno-linguistic grouping?
According to religion?
Are there available population projections for the next ten years? What are assumed growth rates?
What is current literacy rate? How many schools (by level) exist? What is their barangay distribution?
Has there been any reported case of diseases/health problem related to water pollution and poor
sanitation in the last five years?

IV. Economic Features and Trends
What are major economic sectors? What sectors have shown significant growth in the last five years?
What sectors are expected to develop significantly in the next five years (based on comprehensive land
use/development plans)? Are there available projections on the LGU’s economic development?
How many business establishments and industries exist in the LGU? What are the major industries
(in terms of size and numbers)? What are the biggest commercial establishments? What is the
barangay distribution of these establishments and industries?
What is the current poverty situation in the LGU? What is average income?


V. Local SWM Institutions and Resources (Refer to
What types of SWM services (e.g., garbage collection, clean-up, etc) is the LGU providing? What are
ongoing SWM programs (IEC, clean and green, etc)?
What barangays are covered by LGU’s garbage collection system? What is the collection schedule
and route? Provide map showing barangays covered and route.
What LGU offices are involved in SWM? Which is lead office for SWM? How many staff are involved?
What are their training needs? Is there an ESWM Board? Is there a plan to create a SWM office in the
future? Provide staffing list.
What is annual budget allocation for SWM (including staff) in the last five years? What is source of
budget? Has the LGU obtained external funding assistance?
Is the LGU generating any revenues from garbage fees, penalties?
What are available SWM facilities (dumpsite, SLF, MRF, composting) in LGU and when were they
established? Where are these located? Do they have permits to operate? What are current uses and
capacities? Who are managing these facilities?
What are the current plans of the LGU to establish SWM facilities? (if not existing)
What are the available SWM equipment? Provide an inventory showing type, age, current use)
What are the existing SWM ordinances? Provide an inventory of such ordinances. Are these ordinances
being enforced? If not, why not? Who are involved in their enforcement?
Are there other agencies (national government agencies and non-government agencies) and multi-
sector bodies that are implementing SWM activities?
Which groups, organizations (e.g., civic and church organizations, schools, private sector) can be
tapped by the LGU to support its SWM program?
Are there local newspapers/radio stations/cable TV providers that can be tapped to promote SWM?
What SWM IEC materials are available in the LGU?

VI. SWM Awareness Levels and Practices (refer to SWM awareness and practices assessment guide for
more complete checklist)
Do households, establishments and institutions aware of proper SWM? Do they understand important
SWM concepts (e.g., recycling, reuse, composting, segregation)? Are they aware of ongoing programs/
services of the LGU? Are they aware of SW laws and local ordinances?
How do various sectors assess the LGU’s SWM services? What are suggested improvements? Are
they willing to pay/increase amounts they pay for such services?
What are common SWM practices in each sector? How do they dispose their special waste? Do users
of public facilities (e.g. parks, port) or participants LGU events (e.g., fiesta celebration, sports events)
practice SWM?
What are waste recovery/recycling practices of junkshop operators, bote’t dyaryo, scavengers? Where
are buyers of recyclables? What are “buy” and “sell” prices
of recovered waste materials?

VII. Waste Generation and Disposal (refer to waste SWM assessment methods will be a
characterization guide for more details) combination of the following:
Who are major waste generators within the collection Secondary data collection
area? Observations (e.g., observe SW
How much waste does each household generate per day? disposal in canals)
What is daily average per capita waste generation? What
Key informant interviews
is composition (biodegradable, recyclable, special,
residual) of waste produced by households?
Focus group discussions
How much waste is being generated daily by each sector? Sample survey
What is composition of waste produced by each? Direct measurement (for waste
What is estimated weight/volume of waste disposed in characterization)
dumpsite daily? What is composition of waste disposed?
How much waste can potentially be diverted from waste
stream?


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 measurement
and classification of waste samples from various waste generators and from waste brought to the
dumpsite for disposal.
It provides baseline information that will allow the LGU to evaluate in the future its SWM performance,
in terms of reducing waste generation and diverting recyclable/compostable waste from the disposal
facility.

II. Main features of the process
Covers both ends of the waste stream – from waste sources (households, establishments, institutions,
public market) to the “end of the pipe” or disposal site
Measures potential waste diversion from the waste stream – the % of recyclable and biodegradable
component of the end-of-pipe waste
Has to be periodically conducted to be able to determine improvement in waste diversion.
Spans seven consecutive days, to include a payday and a market day, in order to capture variability in
waste generation
Uses sample of households and establishments/institutions.
Data generated are organized into a database

III. Stages in Waste Characterization
RA 9003 requires LGUs to divert
A. Preparatory Stage 25% of their waste from disposal
Identify waste sources (refer to Annex 3E for list of sectors/ sites within five years from the
sub-sectors). Determine number of establishments and effectivity of the law.
institutions, scale of operations (small, medium, large) and
barangay location; determine number of households in
collection or urban barangays, classify households as coastal, uplands, lowlands.
Secure information on existing collection scheme: number of garbage truck deployed per day,
collection route of each truck (e.g., market only, market plus commercial area; residential only,
residential plus commercial)
Determine sample size for households, establishments and institutions and collection trucks
(procedures are discussed in succeeding lecture); identify specific households, establishments/
institutions and garbage trucks. Prepare route for collection of sample from cooperators and
discuss with assigned garbage collection crew.
Prepare introduction letter from Mayor and instruction sheets for cooperators. At least two days
before the start of activity, individually orient the cooperators about the activity and distribute
plastic bags (2 bags per day per sample unit).
Procure required tools and materials: plastic pails, rake, garden forks and trowel, plastic liners/
sorting mat, garbage bags, weighing scales, gloves and nose masks. Calibrate the volume of
plastic pails and get their empty weights. Prepare the tags (“nabubulok” and “di nabubulok”) for
garbage bags.
Provide for drinking water and food for those involved and first aid kit for emergencies and
injuries. Identify who will be in charge of first aid and logistics.
Identify suitable waste characterization site – not enclosed, with road access (for garbage truck),
with sufficient drying area. Have area secured from children and stray animals. Prepare layout of
waste characterization area, designating space for unloading/loading waste, for weighing, sorting
and drying waste, for logistics, resting and meals.
Prepare and reproduce copies of recording forms and interview questionnaires.
Train those who will be involved (including hired labor) on procedure. Form teams and assign
tasks to members of each team (e.g., supervisor/leader, weighing, recorder). All participants
should experience sorting/characterization.


B. Waste Characterization Stage

Waste Characterization Process

Waste from Source Collected Market/
(Households and Establishments/ Mixed Waste
Institutions) (End-of-Pipe)

1 1
Collect bags from source; bring to Bring market/mixed waste to
sorting area dumpsite for characterization

2 2
Weigh both bags (nabubulok at di Estimate total weight and volume of
nabubulok) of one respondent unit; waste load of truck (use weighbridge
weight in field data entry form if available). Record in data entry
form.

3
Open bags and sort waste into 3
biodegradable, recyclable, residual Unload contents into cleared areas;
and special waste. Do not mix waste sort waste into biodegradable,
of different sources. recyclable, residual & special waste

4 4
Place segregated waste in calibrated Place segregated waste in calibrated
pails and weight; record weight and pails and weight; record weight and
volume per waste component in data volume per waste component in data
entry form entry form

5 5
Spread biodegradable waste on Spread the biodegradable waste on
plastic sheet and dry under the sun plastic sheet and dry under the sun
for 4-6 hours for 4-6 hours

6 6
Place dried materials in calibrated Place dried materials in calibrated
pails and weigh; record dry weight pails and weigh; record dry weight
and volume of biodegradables in data and volume of biodegradables in data
entry form entry form

7 7
Dispose properly all materials used in Dispose properly all materials used in
the characterization the characterization

C. Post Characterization Stage
Review all data entry forms and check correctness of entries, computations and totals. Clarify
erroneous or questionable entries; place relevant explanatory notes on data entry forms when
necessary.
Enter data into Excel computer program.


Sampling and Sampling Procedures

I. Definitions and Importance of Sampling
Definition of sampling: that part of the statistical practice concerned with the selection of individual
observations intended to yield some knowledge about a population of concern, especially for the
purpose of statistical inference; selection of individuals from a population of interest.
Importance of sampling
Population; sampling vs. census
Sampling frames – a listing of units corresponding as closely as possible with the full population and
from which a sample is drawn. Two types of frames: list frame (names and addresses) and area
frame (list of geographic areas)
Sample size (the number of observations in a sample)
Sample units (items in the sampling frame); respondent unit (provider of information); unit of analysis
(unit about which information is provided)

II. Sampling Process
Define objectives of sampling and identify population of concern
Specify sampling frame and sampling methods, and develop sampling plan
Collect relevant data and do sampling
Review the sampling process

III. Sampling Errors
Since the sample is only a portion of the population, sampling error is inevitable. Objective is to
minimize the sampling error
Characteristics of sampling errors:
Generally decreases as sample size increases
Depends on size and variability of characteristics of the population
Can be accounted for and reduced by an appropriate sampling plan
Can be measured and controlled in probability sample surveys
Sources of sampling error: a) sampling method, b) estimation method, c) sample size, and d) variability
of the sample’s characteristics. Sampling is not dependent on size of population
Measuring sampling error

IV. Sampling Methods
Probability sampling: selection of sample from a population based on principle of randomization or
chance.
Non-probability sampling: assumes an even distribution of characteristics within the population. Every
unit in the population has equal chance of being selected.

V. Application of Sampling in SWM Assessment
Objectives of sampling; types of information to be generated by the study
Process flow of sampling
Define the population and key features. Population = waste sources (see box). Where are they located?
Is there a distinct pattern of distribution of households, establishments and institutions?
Establish the sampling frame (e.g., population distribution by barangay, household list per barangay,
list if establishments from Treasurer’s Office, LGU’s schedule of trucks for waste collection)
Sample size determination. Use example from EcoGov LGUs.

a. Households
- Define sampling method to use
- Pre-sample of households (stratified geographically and by income level: high, medium, low)
- Estimate sample based on identified parameters
- Allocate estimated sample, applying stratification and proportional sampling

b. Non-residential
- Purposive sampling (judgmental /quota sampling). See list of sectors and sub-sectors in
Annex 3E.


c. End-of-pipe waste (trucks)
- If LGU collects waste separately from each source (i.e., a separate truck assigned to
market waste collection, a different truck assigned to household waste, one truck assigned
to waste from commercial establishments), characterize one truckload of market waste per
day per source, with truck selected at random (if more than one truck per source). If LGU
mixes the waste coming from various sources, completely characterize one truckload of
mixed wastes with the truck selected at random. If only market waste is collected separately,
characterize one truckload of market waste and one truckload of mixed wastes per day.


SUB-MODULE 3B. SWM AWARENESS AND PRACTICES ASSESSMENT,
AND SEVEN-DAY WASTE CHARACTERIZATION

Sub-module Coverage

Module 3B is devoted to generating information on:

a) The level of awareness of waste generators on proper SWM;
b) Common SWM practices of various sectors in the LGU;
c) Perceptions on the LGU’s current SWM services;
d) Volume/weight and composition of wastes generated by different sectors;
e) Volume/weight and composition of wastes brought to the dumpsite daily; and
f) Percent of solid waste that can potentially be diverted from the waste stream through reduction,
recycling and processing.

The SWM awareness and practices study will have a survey component, mainly to determine awareness
levels, perceptions and common SWM practices. The data gathered through the survey is supplemented
with observations, interviews with key informants and focus group discussions.

The waste characterization has two components:

a) Characterization of sample wastes collected from various cooperators; and
b) Characterization of the solid wastes load of sample garbage trucks. The waste characterization is
done daily for one week.

The seven days are to include a payday (i.e., 15th or 30th of the month) and a market day to capture the
expected increases in waste generation during these days. Both the SWM awareness and practices survey
and the characterization of waste from major sources will have the same sample households and
establishments/institutions.

Expected Sub-module Outputs

Outputs of the sub-module are tabulated survey data, complete waste characterization data recording
forms (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 and
encoding, 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 conducting
Sub-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 responsible
for one or more sectors/sub-sectors in the conduct of the SWM awareness and practices assessment and
waste characterization. One group will have to be assigned to the end-of- pipe waste characterization. This
same 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 the
seven-day characterization. The survey interviews can best be done in the morning while the solid waste
samples are being collected and transported to the waste characterization area. The participants focus on
doing 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 and
FGD component of the SWM awareness and practices assessment, while the waste characterization and
survey data are being tabulated and encoded by assigned LGU staff into an Excel-based program developed
by the EcoGov Project.

The post-workshop requirements in Sub-Module 3A
serves as the pre-workshop activities of Sub-Module 3B.
The post-activity of this sub-module is the tabulation and
encoding of collected data. It is necessary to organize a
short 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 more
basic data errors (e.g., wrong additions, wrong conversion
to volume; missing data entries). It is critical that the
assigned LGU personnel are familiar with the
use of the Excel software.

Participants

It is encouraged that all TWG and ESWM
Board members experience doing waste
characterization. This activity should involve as
many sectors as possible as this is not only
very educational; it also promotes teamwork
among those who will be involved in planning
and actual implementation of the plan, including
the conduct of IEC. Some laborers may be hired
to help in this activity; they must go through an
orientation before they are deployed.


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