Annex 1.3

Guidance Note forPreparation ofStrategic Plan ToR

This Annex provides guidance on the preparation of Terms of Reference for Strategic MSWM Plans. Terms of Reference should be developed for each particularsituation in order to fully reflect local needs and issues.

Annex 1.3

Guidance Note for Preparation of Terms of Reference for a Strategic MSWMPlan

This Annex presents a checklist of issues/topics that need to be addressed in aToR for a Strategic MSWM Plan.

Developing a Terms of Reference is a critical step in the local planning process.The aim of this annex is therefore to provide a set of notes to assist developmentof ToRs at the local level, rather than to provide a template document which canbe pulled `off the shelf.

ToRs must be concisely written, reflect specific local needs and detail all inputsand outputs necessary for preparation of a Strategic MSWM Plan. Bullet pointnotes are provided to indicate the a `model content of each section of the ToR.Boxes and keys provide guidance to the author(s) on some of the key issues thatmay need to be reflected in the document.

Introduction

Introduce the nature of the initiative and the participating municipalities. Indicate organisations leading/sponsoring the initiative Indicate other key stakeholders to be involved in the planning process Define waste types to be covered Describe the need for a Strategic MSWM Plan Present the overall aims (e.g. to improve collection service, upgrade

disposal/phase out dumping, involve the private sector etc)

Strategic planning is necessary to ensure that MSWM services keep pace withdemand, are appropriate to needs, and are cost-effective. Planning is a processand not an event; the performance of a plan in meeting its objectives must beevaluated and taken forward as a major input into further planning cycles. Theobjective should be to ensure sustainable improvements to service coverage andstandards.

Waste management involves a wide range of stakeholders, each with their ownprofessional backgrounds and priorities. It is important for the Strategic Planninginitiative to be as inclusive as possible, involving all those likely to be involved insecuring real improvements to waste management practices.

Region/area for activity.

Define the planning area and period Describe joint planning arrangements

The planning area is usually defined as the geographical boundary of thosemunicipalities participating in the initiative. The planning area needs to be broadenough to capture both the major centres of waste generation and the area of searchfor disposal sites.

The Strategy is usually defined as covering 15-20 years in order to cover issues inthe long-term. A time horizon of 5 years can be established for the Action Plan,with an Immediate Action Plan detailing requirements over the first 1-2 years.

Background information.

Present data summarising the current situation Present relevant historical information and projected trends Indicate shortfalls and constraints Establish key areas of focus

The checklist of dos and donts available in the Overview for Decision Makers canbe used as a tool to help structure analysis of shortfalls and constraints.

Objectives

Define principal objectives for the Strategic MSWM Plan.

The objective should be to `do more for your money; to make waste collectionand street sweeping more efficient and cost-effective; to use the savings to extendthe service to all the city; and to contribute to the costs of the first appropriatesteps in developing an environmentally sound and affordable waste disposalsystem for the entire urban population.

Improved investment, service performance, customer satisfaction financialmanagement and cost recovery are essential to improving MSWM practices.

Close liaison between local strategic planning initiatives, and with national andregional authorities, provides an opportunity for national policies andregional/local planning to be fully integrated.

Responsibilities.

Define the roles and responsibilities of organisations involved in MSWM Define the composition and responsibilities of the Steering Committee and

Working Group Define role of other key stakeholders Define role of facilitators/consultants required to assist the process.

The Steering Committee could comprise:

A senior political figure as chair

Representatives of participating municipalities

Local government department officials

Municipal waste managers

Representatives of community organisations

Women leaders in MSWM

Private sector representatives

Selected specialists

Scope of Work/Tasks

This is usually seen as the core of the ToR, setting out the scope in enough detailto be clear, but not in so much detail as to be over-prescriptive and inflexible. TheStrategic Planning Guide is structured around a methodology whereby theStrategic Plan is prepared in two major phases, the `Strategy and the `ActionPlan. An outline scope for these outputs is presented below.

Strategy Action Plan Overall vision Goals and objectives

(national/provincial/municipal) Policy framework Development planning framework Broad roles and responsibilities Waste streams to be covered Waste collection targets Promotion of waste recycling Waste treatment and disposal policy Public awareness requirements Policy on private sector participation Cost recovery and financial management

policy Outline investment requirements Timetable for action planning

Pre-feasibility studies for technical optionscovering: Collection and recycling Treatment and disposal

Plans covering: Institutional/organisational

development Service/facilities development Financial management and cost

recovery Public awareness and participation

Investment Plan Timetable for detailed feasibility study and

implementation Immediate Action Plan

A Strategic MSWM Plan should be prepared in two stages, the `Strategy and`Action Plan. These outputs have distinct roles to play, and their conceptualseparation is useful in providing a decision-making milestone within the strategicplanning process.

The Strategic Planning Guide is structured into seven `process steps and five`content sub-steps as shown on the figure below. A participatory planningmethodology is also presented below.

5. DEVELOPSTRATEGY

6. PREPAREACTION PLAN

STAKEHOLDER - CONSENSUS BUILDING

7. IMPLEMENT THESTRATEGIC PLAN

1. MOBILISE THEPLANNING PROCESS

3. ESTABLISH STRATEGICPLANNING FRAMEWORK

upda

te

4. IDENTIFY &EVALUATE OPTIONS

2. DEFINEBASELINE

Step 4. Identify and Evaluate Options4A. Institutional Framework4B. Waste Collection and Recycling4C. Waste Treatment and Disposal4D. Financial Sustainability 4E. Public Awareness and Participation

Waste management involves a wide range of stakeholders, each with their ownprofessional backgrounds and priorities. It is important for the Strategic Planninginitiative to be as inclusive as possible, involving all those likely to be involved insecuring real improvements to waste management practices.

Participatory planning involves a series of debates, discussions and informedconsultations. This is often best achieved through a structured Workshopprogramme, designed to ensure that key stakeholders drive the strategic planningprocess, have sufficient time to reach consensus and feel ownership of itsoutcomes.

Strategic Waste Management Planning

Mobilise the Planning Process

InceptionWorkshop

Specialist Workgroups

StrategyWorkshop

Action PlanningWorkshop

Implement the Strategic Plan

Define Baseline

Establish StrategicPlanning Framework

Identify and EvaluateOptions

Develop Strategy

Prepare Action Plan

FinancialSustainability

PublicAwareness &Participation

WasteTreatment &

Disposal

WasteCollection &

RecyclingInstitutionalFramework

The following box sets out the specific tasks recommended within these Steps.Guidance on issues/aspects to be addressed in each Step is provided in theFacilitators Guide.

Step 1: Mobilising the Planning ProcessStep 1 is concerned with how to get started with the strategicplanning process. Guidance is structured in two areas, the`political mobilising support and the `functional organising thework. Step 1 provides the political and operational arrangementsfor developing the Strategic MSWM Plan.

Step 2: Defining the BaselineStep 2 is focused on understanding the baseline situationand likely future requirements for MSWM in your city.Aspects addressed include:

General guidance on data collection Measurement of waste quantities and waste

composition Reviewing waste management operations Predicting future capacity requirements. Understanding shortfalls and constraints

Outputs from Step 2 are presented at two stages. ABaseline Study or audit of MSWM in your City should beprepared in time to feed into definition of key issues.During the remaining stages data gaps are filled and moredetailed information collected to supplement this initialBaseline Study.

Step 3: Establishing the Strategic Planning FrameworkStep 3 covers the range of issues that need to be established at theoutset of the planning process to determine the framework forthe Strategic MSWM Plan. Aspects addressed include:

Defining the strategic visionStatus of the strategic planSelecting the planning area and periodSelecting waste types to be covered by the planDefining service levelsDefining key issuesSetting objectives and targets

The output of Step 3 is an agreed Strategic Planning Framework.

Step 4: Identifying and Evaluating OptionsStep 4 can in many ways be regarded as the core of theplanning process. Here, we are identifying and evaluatingoptions required to address the key issues being faced. Thetext is divided into five sub-Steps

Step 4A Institutional FrameworkStep 4B Waste Collection and RecyclingStep 4C Waste Treatment and DisposalStep 4D Financial SustainabilityStep 4E Public Awareness and Participation

Step 4 provides information and analysis to support bothdevelopment of the Strategy (Step 5) and preparation of theAction Plan (Step 6).

Step 5: Developing the StrategyThe Strategy provides the `umbrella under which to progresswith the more detailed work required for the Action Plan.Defining the Strategy will involve an initial evaluation ofoptions required to address key issues. Aspects addressedinclude:

Nature of the StrategyBuilding consensus and ownershipDefining the StrategyPreparing and finalising the Strategy

The output is a Strategy which has been agreed by all keystakeholders and can act as a `framework for preparation of theAction Plan.

Step 6: Preparing the Action PlanStep 6 develops the Action Plan required to turn the Strategyinto practical reality. The Action Plan will involve detailedevaluation and selection of options to be pursued. Aspectscovered include:

Nature of the Action PlanPre-feasibility studiesPreparing an Immediate Action PlanPreparing an Investment PlanGaining formal approval

The outputs of Step 6 will be an Action Plan, ImmediateAction Plan and Investment Plan, which combined withthe Strategy (Step 5) will form the Strategic MSWM Plan.

Step 7: Implementing the Strategic PlanStrategic planning for MSWM is not an end in itself; the agreed plan must beeffectively implemented. Three aspects are addressed:

Moving from planning to implementationRevising and updating the planPerformance monitoring

Show early improvements on the groundOne point is worth emphasising at the outset. Both thepublic and many other stakeholders in MSWM are likely toregard the municipal authorities as part of the problem inMSWM, as well as part of the solution.

It is important to establish credibility during the planningprocess by showing commitment to action.

Relatively small, simple and low cost measures can beimplemented at the ground level to raise the profile ofwaste management and demonstrate the commitment ofthe municipality to improving its services.

Work schedule

Establish timetable for preparing the Strategic MSWM Plan Establish participatory planning schedule Describe the project management schedule and delivery targets.

The planning process is likely to take 1- 1.5 years to complete, typically 6-9 monthsto develop the Strategy and a further 6-9 months to prepare the Action Plan. It isimportant to ensure that there is sufficient time available to reach an agreedconsensus on the strategy, and properly address these issues in the Action Plan.

Conceptual WorkplanMonth

1 2 3 4 5 6 7 8 910 11 12 13 14 15 16 17 18

Mobilising the Planning Process

Defining the Baseline Baseline Study Ongoing Data Collection

Establishing the Strategic Planning Framework Inception Workshop

Identifying and Evaluating Options Specialist Workgroups

Developing the Strategy Strategy Workshop

Preparing the Action Plan Action Planning Workshops

Implementing the Strategic Plan Immediate Actions

Participatory Workshops

Outputs Baseline Strategic Planning Strategy Interim Reports Action PlanStudy Framework (as required) Immediate Action plan

Investment plan

Outputs

Define outputs, including schedules for participatory workshops and submissionof reports. The following provides a list of outputs from the scope of workrecommended in the Strategic Planning Guide:

Participatory Workshops Reports Inception Workshop Specialist Workgroups

Institutional Framework Waste Collection and Recycling Waste Treatment and Disposal Financial Sustainability Public Awareness and Participation

Strategy Workshop Action Planning Workgroups Action Planning Workshop Strategic Plan Workshop

Baseline Study Strategic Planning Framework Draft Strategy Final Strategy Action Plan Working Papers Draft Strategic MSWM Plan Implementation Action Plan (IAP) Immediate IAP Investment Plan Final Strategic MSWM Plan

Resource Requirements

Indicate the budget available and professional skills required for preparation ofthe Strategic MSWM Plan

Supporting information

Provide more detailed information where necessary