Nepal: Capacity Building for Waste Management

Transcription

1 Technical Assistance Consultant s Report Project Number: January 2013 Nepal: Capacity Building for Waste Management Prepared by IPE Global Private Limited in association with Environment Resource Management Consultants (ERMC) (P.) Ltd. and Full Bright Consultancy (Pvt.) Ltd. This consultant s report does not necessarily reflect the views of ADB or the Government concerned, and ADB and the Government cannot be held liable for its contents. (For project preparatory technical assistance: All the views expressed herein may not be incorporated into the proposed project s design.

2 Solid Waste Management Technical Support Centre (SWMTSC) Ministry of Federal Affairs and Local Development (MoFALD) ADB TA 7597 NEP Capacity Building for Waste Management FINAL REPORT September 2012 Submitted to Asian Development Bank Submitted by IPE Global Private Limited In association with Environnment Resource Management Consultants (ERMC) (P.) Ltd. and Full Bright Consultancy (Pvt.) Ltd. TA 7597 NEP: Capacity Building for Waste Management 2 FBC Full Bright Consultancy (Pvt.) Ltd.

3 Abbreviations & Acronyms ADB CDM GoN HR ISWM LB MLD MoFALD MLJ MSWM NGO PPP SWM SWMC SWMRMC SWMTSC TA TAPD TASF TOR UNDP UNDP PPPUE UN HABITAT VDC RRR Asian Development Bank Clean Development Mechanism Government of Nepal Human Resource Integrated Solid Waste Management Local Body Ministry of Local Development Ministry of Federal Affairs and Local Development Ministry of Law and Justice Municipal Solid Waste Management Nongovernmental Organisation Public Private Partnership Solid waste management Solid Waste Management Council Solid Waste Management and Resource Mobilization Center Solid Waste Management Technical Support Center Technical Assistance Technical Assistance Project Director Technical Assistance Special Fund Terms of Reference United Nations Development Programme UNDP Public Private Partnerships for Urban Environment United Nations Human Settlements Programme Village Development Committee Reduce Reuse Recycle TA 7597 NEP: Capacity Building for Waste Management 3 FBC Full Bright Consultancy (Pvt.) Ltd.

4 TABLE OF CONTENTS Abbreviations & Acronyms Background Implementation Arrangements Key activities performed Key Outputs of TA National policy on solid waste management and strategy of implementation Capacity Assessment of SWMTSC, gaps identification and strategy for bridging the gaps Proposed organizational structure, job description and human resources for SWMTSC Preparation of business plan of SWMTSC for next three years Review of existing practices of levy and collection of Solid Waste Management tariff National guidelines on solid waste management service tariff PPP guidelines and contracting framework for improving SWM services Service level benchmarks and performance indicators Design standards for the construction of controlled / sanitary landfills Design standards for the construction of compost plants Health care waste management rules Public awareness and participation SWM regulations Base line survey of Solid Waste Management services in 58 municipalities Training Programmes and Exposure Visits Pilot Projects Conclusions TA 7597 NEP: Capacity Building for Waste Management 4 FBC Full Bright Consultancy (Pvt.) Ltd.

5 1. Background 1. Like many other developing countries, rapid urbanization is taking place in Nepal. Nepal has 58 municipalities and 41 new municipalities are proposed to be added. The current population in the 58 municipalities is 4.5million. 17% of the Nepalese population live in urban areas as per 2011 census. Urban infrastructure and services are not a position to keep pace with rapid population growth resulting in poor quality of life. There is a wide gap between the need of essential infrastructure and capacity to deliver urban services. Solid waste management is one among the services, which is very poorly performed and almost 50% waste is not collected. Whatever waste is waste is collected is unscientifically disposed off on the river side or at open dump sites posing a serious problem of public health and environment. 2. Recognizing the importance of this issue, the Government of Nepal has enacted a new legislation titled Solid Waste Management Act The Act has a number of provisions to improve the solid waste management services but its implementation is a big challenge as municipal authorities lack technical capabilities and finances to implement the MSWM Act To overcome this challenge, the Government of Nepal (GoN) requested the Asian Development Bank (ADB) to provide technical assistance (TA) to build the capacity of local bodies and state level institutions in the waste management sector. Accordingly the ADB fielded a mission in July 2010 and agreed to extend technical assistance to improve SWM Services in the country and fund 5 lakh USD towards this technical assistance project. 4. The main objectives of this TA were determined as under. (i) To assist the Government of Nepal (GoN) in establishing a framework for Solid Waste Management (SWM) and (ii) to develop the capacity of the Solid Waste Management Council (SWMC) and the Solid Waste Management Technical Support Center (SWMTSC) so that they can discharge their mandate as prescribed in the new Solid Waste Management Act For meeting the above objectives, three specific categories of outputs as under were envisaged. (i) Policy Support Drafting National SWM Policy and Strategy (ii) Capacity Building Strengthen the technical capacity of Solid Waste Management Technical Support Centre (SWMTSC) and Solid Waste Management Council (SWMC) TA 7597 NEP: Capacity Building for Waste Management 5 FBC Full Bright Consultancy (Pvt.) Ltd.

6 (iii) Development of Supplementary Tools Supporting the development of relevant regulations, guidelines and standards 6. For achieving the above outputs; three broad components of intervention on SWM have were planned as under. 7. Component 1: Supporting the establishment of an appropriate policy, regulatory, and institutional framework for SWM. This component included formulation of national policy & strategy, framework for SWM, organizational restructuring of SWMRMC for taking its new role as SWMTSC in terms of SWM Act 2011 and establishment of SWMC. Scope included, but is not limited to, the following tasks: (i) draft the national SWM policy and strategy in accordance with the Act; (ii) devise functional linkages between relevant national agencies and local bodies to enforce the Act, Policy and Strategy; (iii) review the existing structure & and recommend organizational structure for the SWMC and SWMTSC with their clear roles and responsibilities; (iv) support for operationalizing the SWMC and SWMTSC, including preparation of a business plan for SWMTSC; and (v) recommend regulatory framework to promote private sector participation (PSP) in SWM. 8. Component 2: Strengthening the capacity of SWMTSC staff and SWMC in line with their roles and responsibilities defined in the Component 1. This TA component included the following: (i) assess existing technical capacity of the Solid Waste Management and Resource Mobilization Center (SWMRMC) (to be converted into the SWMTSC) and other relevant central agencies involved in SWM; (ii) prepare a capacity development program; (iii) implement the capacity development program through classroom training, workshops, seminars, awareness campaign, and on the job training; (iv) support dissemination of the Act, policy and strategy to government agencies, local bodies and the public; and (v) provide support to a few pilot cases of innovative SWM practices. Elements of the capacity development program to be offered include supporting policy and strategy implementation; planning, designing, implementing and operating the integrated SWM system including the sanitary landfill; promotion of 3R (reduce, reuse, and recycle); specific technical issues such as landfill design, leachate treatment, and organic composting; developing the proposals eligible for clean development mechanism (CDM); and designing public private partnership (PPP) contracts. 9. Component 3: Supporting the development of relevant regulations, standards and/or guidelines for improving SWM at the regional and local levels. This component intended to support the development of relevant and issue specific regulations, guidelines, and/or standards for improving SWM at the regional and local levels. The scope comprised conducting a thorough assessment of the existing legal and institutional framework of the TA 7597 NEP: Capacity Building for Waste Management 6 FBC Full Bright Consultancy (Pvt.) Ltd.

7 SWM subsector, identifying missing or ineffective regulations and guidelines, prioritizing the urgent areas of work, and drafting new and/or amending existing ones for review and approval by the relevant authorities. The work was to proceed through enhanced coordination and consultation among relevant government agencies to ensure necessary buy in and effective implementation. Potential areas of support envisaged were preparation of national guidelines on tariff (including methodology for tariff setting, implementation, collection and administration); specific legal arrangements for PPP; health care waste management regulations; design standards for sanitary landfill; standards for the quality of organic compost; and a set of performance indicators and targets to serve as a checklist to assess local bodies' performance on SWM. Adequate and effective consultations with stakeholders when the draft documents have been prepared. 10. Above activities were to be undertaken keeping in view the promulgation of the much needed SWM Act 2011 and assist SWMTSC as well as local bodies in designing and implementing SWM Services effectively with emphasis low cost, proven technologies that are suitable for Nepalese conditions. 11. While designing the policy framework and systems for improving SWM; the consultants were expected to assist the government in organizing the workshops at the beginning and toward completion of the TA in order to adequately solicit the views of stakeholders in the formulation of policy, strategy, regulations, guidelines and/or standards before they are finalised. The consultants were to ensure coordination with relevant loan and TA projects of ADB and other development partners, including the United Nations Human Settlements Program (UNHABITAT) and United Nations Development Program, to maximize complementarity and avoid duplication. 12. Funding for the project: The Asian Development Bank (ADB) and the Government of Nepal (GoN) agreed to fund for this Technical Assistance (TA) project. The estimated contribution from ADB is USD 500,000 under a Technical Assistance Special Fund grant, while the GoN portion is USD 100,000. The funds from ADB were to be used for meeting the cost of consultancy fee of consortium of consultants, organising seminar & workshops, training programmes, consultations, implementation of pilot projects and procurements of equipments, for undertaking the baseline survey in 58 municipalities, etc. 13. The duration of this project was 14 months from 29 th June 2011 to 26 th September Timelines and Reporting: Consultants were expected to carry out the above activities in a concerted manner and submit the following reports: TA 7597 NEP: Capacity Building for Waste Management 7 FBC Full Bright Consultancy (Pvt.) Ltd.

8 Report Due Applicable Date Inception Report 1.5 months after the mobilization of TL 15 Aug 2011 Interim Report 4.5 months after the mobilization of TL 15 Nov 2011 Progress Report 1 8 months after the mobilization of TL 29 Feb 2012 Progress Report 2 12 months after the mobilization of TL 30 Jun 2012 Draft Final Report 13.5 months after the mobilization of TL 15 Aug 2012 Final Report 3 weeks after the final workshop and receipt of comments on the draft final report from ADB and GoN 20 Sep Implementation Arrangements 15. The lead consultancy firm, Infrastructure professional Enterprise Private Limited Now called IPE Global Private Limited in association with Environment Resource Management Consultants (ERMC) (P.) Ltd. and Full Bright Consultancy (Pvt.) Ltd. was selected through a competitive process by ADB. 16. The Ministry of Local Development (MLD) the executing agency for this project designated Under Secretary, Environment Section, MLD to serve as the National Project Director (NPD) to supervise all tasks to be performed by the consultants and coordinate the activities of relevant organizations. Initially Shri Binod Pratap Singh was designated as the NPD. He was replaced by Shri Chakra Pani Sharma, Under Secretary, Environment Management Section, Ministry of Federal Affairs & Local Development. 17. A steering committee was constituted in the inception stage of the project to monitor the implementation of this project. The steering committee is chaired by the Secretary (municipal management), MLD and members include representatives from the National Planning Commission, the Ministry of Finance, the Ministry of Physical Planning and Works, the Ministry of Environment, the Ministry of Health and Population, the Ministry of Industry, and the General Manager of SWMTSC. The NPD is the member and convener of the steering committee. 18. The Solid Waste Management Technical Support Center (SWMTSC) was designated as the main counterpart institution. Dr. Sumitra Amatya, The Executive Director, SWMTSC was the counterpart officer for day to day interaction, support and coordination of activities. 19. Mobilisation of Professionals: The following professionals were engaged by this consortium to carry out this assignment. TA 7597 NEP: Capacity Building for Waste Management 8 FBC Full Bright Consultancy (Pvt.) Ltd.

9 Name Shafiul Azam Ahmed Surya Man Shakya Rajendra Giri Pawan Lohani Murali Prasad Sharma Ratna Mehar Bajracharya Designation Team Leader Deputy Team Leader Institutional Development Expert Financial Management Expert Legal Expert Social Development Specialist 20. Anil Bansal from the lead firm Infrastructure Professionals Enterprise (P) Ltd. was responsible for contract administration, overall management and quality assurance of the programme. Whereas Hem Nidhi Sharma from the local partner consultant was responsible for local coordination and management of logistics for the programme. 3. Key activities performed 21. Project Initiation: The TA was operationalised from June 27, 2011 with the Deputy Team Leader assuming his position. The Team Leader joined from July 01, The other members of the Team (Institutional Expert, Financial Management Expert, Legal Expert and Social Development Expert) were also mobilized in the first week of July The team went through the Terms of Reference in detail. A detailed work plan was designed and individual work assignments were distributed amongst the team members. As envisaged in the project design, the MLD through SWMTSC provided office space. The team temporarily started operating from the conference room of the SWMTSC. A formal office space was made available later; required furniture has also been provided. The project has procured and installed equipment including photocopier, laptop computer, projector, printer, Internet connection, etc. All equipment procured by the Project will be handed over to SWMTSC following the completion of the Project. 22. Inception stage: Meetings and discussion were held with NPD, SWMTSC, ADB and Potential Partners. The NPD circulated a letter of introduction to the Project to all relevant stakeholders. TA Team met with UN Habitat officials, UNDP PPPUE and other potential partners of the project. TA team visited key municipalities and interacted with the local body officials and observed the existing situation in the areas of solid waste management activities in these municipalities. TA team undertook the preliminary analysis of the SWM Sector and reviewed all available legal and policy documents available in the sector. TA team undertook the preliminary analysis of legal, institutional, financial and social aspects of SWM system and practices. Inception report was submitted on 31 st July An Inception workshop was organized on 8 th August 2011 to disseminate the scope of work of TA 7597 NEP: Capacity Building for Waste Management 9 FBC Full Bright Consultancy (Pvt.) Ltd.

10 the TA and seek cooperation from all municipalities and other stakeholders. 130 participants attended the inception workshop. 23. Interim Phase: Key activities included assessment of the existing structure of the SWMTSC, identification of the existing functional linkages amongst various agencies related to the SWM sector and assessment of financial implications of the Act. A review of existing practices of solid waste tariff and other charges and PPP practices was undertaken. Nine municipalities (Kathmandu Metropolitan City, Lalitpur, Biratnagar, Pokhara Submetropolitan City, Madhayapur, Lekhnath, Siddharthanagar, and Nepalgunj) were selected for this investigation based on size, development zone and coverage by ADB projects. A review of existing policy and regulatory framework was undertaken. 24. The TA Team contributed to the drafting of the new SWM Regulations through participating in the activities of the drafting committee. Regulations were translated into English. The draft was submitted to the drafting committee and forwarded to relevant authorities for vetting and approval. Earlier SWM policy and strategy of Nepal was reviewed. 25. Preliminary Consultation with Key Stakeholders: A number of institutions were visited to share with them the objectives of the project and solicit their support. These include the Ministry of Agriculture through Nepal Agriculture Research Council, National Planning Commission, Ministry of Physical Planning and Works, Ministry of Health through Nepal Health Research Council, Ministry of Industry and Federation of Nepal Chamber of Commerce and Industry. 26. Field Visits: Members of the TA Team visited Pokhara, Lekhnath, Butwal, Biratnagar, Janakpur, Siddharthanagar, Nepalgunj and the Kathmandu valley municipalities for understanding the institutional, managerial, financial & legal issues surrounding SWM and explore the potentials of Public Private Partnerships. 27. Two workshops were held for on capacity assessment of SWMTSC on October 25, 2011 and November 27, Pilot projects: Several field visits were undertaken to identify suitable cities to implement two pilot projects. Butwal and Siddharthanagar were selected for implementation of pilot projects based on existing situation, willingness of the city officials, and logistics. The selection was done in consultation with the NPD and Executive Director of SWMTSC, and ADB. TA 7597 NEP: Capacity Building for Waste Management 10 FBC Full Bright Consultancy (Pvt.) Ltd.

11 29. Finalisation of outputs: After careful review of the existing law, rules, regulation, standards, guideline and reports etc. all the outputs and timelines were finalised in consultation with ADB. 30. The Consultants commenced their work in right earnest. However, unfortunately original Team Leader, Mr. Shafiual Ahmed became unwell and could not report on the project during March May With the result the TA assignment faced great and most of the outputs could not be submitted in time as envisaged in the work plan agreed in the inception report. Mr. P.U. Asnani, an international expert of solid waste management was then mobilised by IPE and he took over as technical advisor and also as Team Leader on 21 st May The new Team Leader/Advisor put the project on a fast track and with his inputs in key deliverables such as SWM policy & strategy, SWMTSC organisation structure, Business Plan, service level benchmark and performance indicators, PPP guidelines, tariff guidelines, model contract documents, etc. and mobilising additional international experts Mr. Hardy Wong, Mr. N Mazumdar and Mr. Anil Bansal with ADB s approval for preparing standards and guidelines sanitary landfills, composting, healthcare waste management completed the TA project on time. Mr. Anil Bansal besides giving his inputs on healthcare waste management rules carried out key responsibilities of coordinating with consortium members. The Task Team Leader, Mr. Norio Saito contributed in finalisation of each output expeditiously by giving very valuable comments and suggestions in a very prompt manner. 31. Consultations: Several consultative meetings & discussions were held to finalise the deliverables and outputs. These include focused group discussions on 10 th and 12 th August The draft policy and strategy document, service fee guidelines, structure of SWMTSC, PPP guidelines, etc. were presented and discussed with stakeholders and municipal representatives. During these discussions 30 participants each attended in the focus group discussions and their valuable inputs and their comments were suitably incorporated in the outputs. 32. National Workshop: A national workshop was organised on 17 th and 18 th August Most of the draft outputs of the TA, including results of baseline surveys for 58 municipalities, lessons from pilot cases, draft documents i.e. SWM policy & strategy, organisational structure, tariff guidelines were shared with stakeholders to seek feedback from the participants. The draft guidelines and standards on composting and sanitary landfill and healthcare waste management rules were also presented by the International Experts. 103 & 90 participants participated on the 1 st & 2 nd day of the workshop respectively. MoFALD, Line Ministries, SWMTSC, Valley Municipalities, Outside Valley Municipalities, International NGOs, JICA, UN HABITAT, SWM Experts, Private Sector, TA 7597 NEP: Capacity Building for Waste Management 11 FBC Full Bright Consultancy (Pvt.) Ltd.

12 Training Institutions and TA team members were among the participants. Secretary, MoFALD inaugurated this two day workshop. 4. Key Outputs of TA In line with the TOR following documents have been prepared. A copy of all documents is provided in annex National policy on solid waste management and strategy of implementation 33. This document is prepared to facilitate uniform implementation of SWM Act 2011 in the Country. This document outlines the government's concerns on management of Municipal Solid Waste and the manner in which Government desires to facilitate the expeditious implementation of the SWM Act 2011 in the country. The document highlights the roles and responsibilities of citizens, municipal authorities, the SWMTSC and the national government in the improvement of solid waste management and lays down the strategy and timeline of implementation of the policy directives. This document has captured the views of all experts in the TA team from legal, financial, institutional, PPP, RRR and community participation perspectives and that of stakeholders expressed during focused group discussions and national workshop. The policy and strategy is in coherence with the SWM Act and the draft SWM Regulations. This document will help local bodies in general and municipalities in particularly in building their in house capabilities through training and availing technical support from SWMTSC and improve level of SWM services Capacity Assessment of SWMTSC, gaps identification and strategy for bridging the gaps 34. This document shows assessment of the in house capabilities of SWMTSC, the deficiencies identified and the gaps that need to be bridged. It recommends the measures to bridge the gaps to make this institution capable of extending desired technical assistance and handholding support to local bodies for improving SWM services in the country Proposed organizational structure, job description and human resources for SWMTSC 35. Based on the gaps identified in the capability of SWMTSC, the organizational structure of SWMTSC is proposed to be strengthened to enable it to provide technical assistance to local bodies through training and capacity buildings, research & development & issue of guidelines in the matter of setting up SWM systems, waste processing and disposal facilities adopting PPP as a mode of service delivery, setting SWM service tariff etc. The qualifications and roles and responsibilities of various levels of personnel have been recommended in this report. TA 7597 NEP: Capacity Building for Waste Management 12 FBC Full Bright Consultancy (Pvt.) Ltd.

13 4.4. Preparation of business plan of SWMTSC for next three years 36. This document has been prepared highlighting the activities to be undertaken by SWMTSC in a phased manner in order of priority. It lays emphasis on initially building its own inhouse capabilities and thereafter taking up activities for the capacity building of municipalities through short, medium and long term planning. It prescribes norms for SWMTSC in extending technical support to local bodies in a planned manner. Time lines have suggested for undertaking various activities over a period of three years and achieve desired outcomes Review of existing practices of levy and collection of Solid Waste Management tariff. 37. With a view to make local bodies self sufficient in managing solid waste, a detailed study was undertaken to assess the current system of levy of SWM tariff, it's adequacy and level of collection efficiency. The report highlights the system deficiencies and inadequacy in levy of service fee and lack of uniformity and rationality in the levy of service fee. This document serves as a base document to facilitate development of national guidelines for levy of adequate SWM tariff to cover O&M cost of SWM services over a period of time National guidelines on solid waste management service tariff. 38. Based on the study conducted on the existing situation of levy of SWM service tariff, national guidelines have been prepared to help SWMTSC in issuing necessary guidelines to local bodies in determining the tariff for providing SWM services to various categories of waste generators. Various parameters and methodology have been suggested in this document for achieving self sufficiency in O&M cost of the service. This document will serve as a guiding tool to local bodies in determining service fee structure in terms of SWM Act 2011 and take measures for realization of revenues to make the SWM sustainable PPP guidelines and contracting framework for improving SWM services 39. PPP is considered as a preferred mode of service delivery as it helps in providing services efficiently and cost effectively. It gives scope of managing SWM services professionally by introducing innovation, new technologies and trained manpower. This document is prepared to guides the local bodies in the advantages of PPP, various modes of PPP and the manner of involving PPP in service delivery etc. This document also provides standard RFQ, RFP and concession agreement to enable the local bodies in structuring their bidding process accordingly and select most preferred bidder through a fair and transparent bidding process. TA 7597 NEP: Capacity Building for Waste Management 13 FBC Full Bright Consultancy (Pvt.) Ltd.

14 4.8. Service level benchmarks and performance indicators 40. This document is prepared to guide local bodies on the level of service they are ultimately expected to provide. It mentions benchmarks and performance indicators keeping in view their current status of SWM services. The timeline has been suggested to achieve the expected level of service over a period of 3 8 years. The document suggests the level of service they should strive hard to achieve in the given time frame. It covers efficiency in collection & transportation of municipal solid waste, extent of segregation of municipal solid waste, extent of municipal solid waste recovered/composted, extent of scientific disposal of municipal solid waste, efficiency in redressal of customer complaints, extent of cost recovery in SWM services, efficiency in collection of SWM charges Guidelines and standards for planning, design, construction, and management of sanitary landfills 41. Final disposal of waste in an environmentally acceptable manner is essential for protecting public health and environment and preventing land, air and water pollution. This document gives guidance in planning, designing, constructing, and operating controlled and sanitary landfills for small and large cities respectively and gives standards to be maintained Compost quality standards and guidelines for organic composting 42. The physical composition of municipal waste in the country indicates that there is high proportion of organic matter and the waste is most suitable for biological process. Good quality of compost can be produced for application to farm land. Based on this consideration, composting standards and guidelines for organic composting have been suggested in this report Health care waste management rules 43. The TA team has carefully looked at the current regulatory framework for the management of health care waste and drafted simple and implementable rules for the collection and handling of such waste. These regulations have been shared with the health ministry to take the matter forward Public awareness and participation 44. Information, education and communication are essential for creating public awareness and ensuring community participation. This document provides the strategy and guidance for creating public awareness to enable local bodies to take up awareness campaigns in their respective areas and educate community in refraining from littering on the streets and TA 7597 NEP: Capacity Building for Waste Management 14 FBC Full Bright Consultancy (Pvt.) Ltd.

15 practicing storage of waste at source in a segregated manner, home composting and effectively participate in Primary collection of waste by the municipality SWM regulations 45. SWM Act 2011 has been in place. Its implementation needs to be ensured by framing necessary regulations and national policy. Govt has accordingly framed draft regulations to facilitate the implementation of the SWM Act. The TA team has given technical assistance in framing these regulations Base line survey of Solid Waste Management services in 58 municipalities 46. The TA team has facilitated conducting base line survey of all the 58 municipalities in the country. All the aspects of solid waste management have been looked into by trained field investigators. The systems adopted for collection, transportation, processing and disposal of waste have been looked at closely and system deficiencies have been identified. The quantity of waste generation by households, commercial and institutional establishments and their waste composition has been studied by drawing and analyzing the samples. This document will help local bodies and SWMTSC as well as Government in taking informed decisions while planning and strategizing the actions for improving service delivery. 5. Training Programmes and Exposure Visits 47. Training programme on composting and sanitary landfills were organized by Mr. N. B. Mazumdar and Mr.Hardy Wong from 24 th and 26 th and 27 th August Their training completion reports have been submitted separately by respective consultants. 43 participants attended these workshops. 48. Exposure visits were planned in two groups. 1st group include practitioners from the municipalities and project managers of SWM projects in the ADB supported projects towns. Other group comprised of policy makers/senior government officials at the Government level st visit was organized from 28 th August to 1 st September. Following participants visited the cities of Ahmedabad and Coimbatore in India. 1. Mr. Nava Raj Pyakurel, S.D.E., STIUEIP, Project Coordination Office 2. Mr. Digambar Thakur, S.D.E. Project Implementation Unit, Janakpur 3. Mr. Deepak Shrestha, S.D.E. Project Implementation Unit, Nepalganj 4. Mr. Sailendra Prasad Shrestha, Project Manager, Project Implementation Unit, Siddarthanagar TA 7597 NEP: Capacity Building for Waste Management 15 FBC Full Bright Consultancy (Pvt.) Ltd.

16 5. Mr. Suman Shrestha, Project Manager, Project Implementation Unit, Butwal 6. Mr. Khem Raj Bista, Section Officer, Environment Management Section, Ministry of Federal Affairs and Local Development 7. Mr. Ram Sharan Maharjan, SWMTSC 8. Mr. Padam Man Joshi, SWMTSC 9. Mr. Tej Bahadur Thapa, Dhankuta Municipality 10. Mr. Manohar Shakya, Tansen Municipality Exposure visit cum field training of above 10 participants from Nepal was successfully completed. One person i.e. Mr. Sailendra Shrestha, Project Manager, PIU, Birganj could not make it due to sudden hospitalisation of family member. Participants were exposed/trained in all processes of solid waste management i.e. primary collection, street sweeping, secondary storage, transportation, transfer station, composting plants, RDF and sanitary landfilling, etc. at both the places. All the participants were very enthusiastic and seem to have benefited a lot from the field training. They very actively interacted with the municipal staff and officials & private contractors in the Corporations. Very good coordination arrangements were made by both the municipal corporations. In Ahmedabad they were also given an exposure to E governance and Hazardous Waste Management site. Positive feedback has been received from the participants nd visit was organized from 17 th September to 21 st September. This comprised of the following policy makers and Government Officials. 1. Mr. Mani Ram Gelal, Deputy Director General, Department of Urban Development and Building Construction, Ministry of Urban Development 2. Mr. Chakra Pani Sharma, National Project Director, ADB TA 7597 & Under Secretary, MoFALD, Government of Nepal 3. Ms. Sumitra Amatya, Executive Director, SWMTSC 4. Mr. Deependra Oli, Legal Officer, SWMTSC 5. Mr. Bishal Bhardwaj, Section Officer, MoFALD They visited Srilanka and India. In Srilanka, the delegates visited Colombo, Galle, Kulipetia where they met the Secretary, Urban Development, Director Solid Waste Management Authority of Western Province, Director Technical Support Centre and visited compost plant, biogas plant and construction management sites at Galle and a compost plant in Kulipetia. In India they visited Ahmedabad and Gandhi Nagar cities. At Ahmedabad, the team was shown the systems of storage of waste at source, Door to door collection, secondary storage of waste, transportation, compost plants (large and small), waste to energy plant and sanitary landfill. They also saw presentations on Sabarmati river front development and Kankaria lake development. Turn around case of filthy & dirty sites into TA 7597 NEP: Capacity Building for Waste Management 16 FBC Full Bright Consultancy (Pvt.) Ltd.

17 one of the finest places for public entertainment. They also met Municipal Commissioner, Ahmedabad. At Gandhi Nagar, the State Capital, they met Managing Director, Gujarat Urban Development Company which is supporting SWM infrastructure development in the state; the CEO of state Municipal Finance Board which extends financial support for SWM to urban local bodies and the Principal Secretary Urban Development Government of Gujarat who heads urban development in the State. 51. Training programme for SWMTSC and key municipalities: The existing staff of SWMTSC and select officers from the municipalities was given training on 24 th September In this programme, training was given on 7 Essential steps to improve SWM services in the country, service level benchmarks and performance indicators, making SWM services self sustaining through levy of SWM service fee, adopting PPP as a preferred mode of service delivery and use of standard PPP documents, use of IEC for awareness and effective community participation. In the programme an exercise was carried out by participants to determine the requirement of vehicles, equipments manpower and capital costs for their respective cities. The successful IEC campaign carried out in India was also shown during the training. 6. Pilot Projects 52. Butwal and Siddharthanagar were selected as pilot projects under this TA. In Butwal, activities included (i) public awareness raising for waste segregation and service fee payment for door to door collection, and (ii) formation and mobilization of green volunteers, both in areas where a public private partnership (PPP) arrangement has been made for a part of the municipal areas (wards 1 7) since November In Siddharthanagar, program included training for waste segregation and household composting for about 160 households in 3 wards. 53. ADB mission visited both these towns in June This was followed by workshop in Siddarthnagar town on 3 rd and Butwal on 4 th July TA team made presentations on new draft SWM Policy & proposed regulatory framework, need of institutional strengthening, introducing adequate SWM service fee and adopting PPP mechanism in service delivery through CBO, NGO and private sector participation. The workshop focussed on the understanding the views of the communities and municipal officials on the level of service and the willingness to participate in RRR and pay for the services rendered. The community participation was very encouraging. All sections of society comprising of local residents, business community, NGOs, private sector, political leaders and media besides municipal officials participated. The finding of the baseline survey in respect of the pilot cities were also presented and based on the findings, technological options and levels of TA 7597 NEP: Capacity Building for Waste Management 17 FBC Full Bright Consultancy (Pvt.) Ltd.

18 community participation were discussed and encouraged. A total of 54 and 71 participants attended respectively in both the workshops in Siddarthnagar and Butwal. The learning and findings of the pilot projects were shared with the participants of the national workshop for the larger application of the experience gained during the pilot studies. Separate report is annexed with this report on pilot projects. 7. Conclusions 54. Achievements of TA vis a vis original targets: Original Targets Component 1: Supporting the establishment of an appropriate policy, regulatory, and institutional framework for SWM. (i) Draft the national SWM policy and strategy in accordance with the Act; (ii) devise functional linkages between relevant national agencies and local bodies to enforce the Act, Policy and Strategy; (iii) review the existing structure and recommend organizational structure for the SWMC and SWMTSC with their clear roles and responsibilities; (iv) support for operationalizing the SWMC and SWMTSC, including preparation of a business plan for SWMTSC; and (v) recommend regulatory framework to promote private sector participation (PSP) in SWM. Component 2: Strengthening the capacity of SWMTSC staff and SWMC in line with their roles and responsibilities defined in the Component 1. This TA component included the following: (i) assess existing technical capacity of the Solid Waste Achievements The TA team has met all the targets fixed which is demonstrated from the outputs as under: (i) National SWM Policy and Strategy has been prepared. (ii) The functional linkages have been established between SWMTSC and urban local bodies by enabling SWMTSC in providing technical support to ULBs, guiding ULBs in tariff fixation, PPP framework and undertaking handholding in establishing in treatment and disposal facilities. (iii) The SWMTSC structure was reviewed, gaps identified and revised strengthened structure has been proposed. (iv) SWMTSC Business Plan has been prepared for next three years (v) PPP framework and model legal documents i.e. RFP, RFQ and Concession Agreements have been prepared. The regulatory framework for PPP has not been prepared under this TA as legislative framework already exists on this subject. The TA has met all the expectations under this component: (i) The in house capability of SWMTSC has been assessed; deficiency identified and institutional strengthening has been proposed. TA 7597 NEP: Capacity Building for Waste Management 18 FBC Full Bright Consultancy (Pvt.) Ltd.

19 Management and Resource Mobilization Center (SWMRMC) (to be converted into the SWMTSC) and other relevant central agencies involved in SWM; (ii) prepare a capacity development program; (iii) implement the capacity development program through classroom training, workshops, seminars, awareness campaign, and on the job training; (iv) support dissemination of the Act, policy and strategy to government agencies, local bodies and the public; and (v) provide support to a few pilot cases of innovative SWM practices. Elements of the capacity development program to be offered include supporting policy and strategy implementation; planning, designing, implementing and operating the integrated SWM system including the sanitary landfill; promotion of 3R (reduce, reuse, and recycle); specific technical issues such as landfill design, leachate treatment, and organic composting; developing the proposals eligible for clean development mechanism (CDM); and designing public private partnership (PPP) contracts. (ii) The capacity development programme has been undertaken through training of stakeholders through national and international experts in the areas of SWM systems improvement, creating and managing processing & disposal facilities, structuring of SWM fee and its recovery, adopting PPP mode in the service delivery and creating public awareness through effective IEC, RRR, etc. (iii) The policy & Strategy document as well as other documents have been discussed with SWMTSC and at the Government Level as well as presented during the focused group discussion and national workshops especially conducted for this purpose where a large number of local bodies and civil society participated and gave their inputs. (iv) The dissemination of information has also been made through workshops organised for sharing the experiences of the pilot projects undertaken at Butwal and Siddarthnagar. (v) Two pilot projects were undertaken at Butwal and Siddarthnagar. Technical assistance was provided for improving the SWM systems in these towns. (vi) Capacity building programme was undertaken by international experts for adopting guidelines and standards for composting, adhering to the guidelines and standards for sanitary landfilling, healthcare waste managements. (vii) PPP guidelines have been prepared and standard RFQ, RFP & concession agreement documents have been prepared and shared with SWMTSC. (viii) Developing the proposals for clean development mechanism was not TA 7597 NEP: Capacity Building for Waste Management 19 FBC Full Bright Consultancy (Pvt.) Ltd.

20 Component 3: Supporting the development of relevant regulations, standards and/or guidelines for improving SWM at the regional and local levels. This component intended to support the development of relevant and issue specific regulations, guidelines, and/or standards for improving SWM at the regional and local levels. The scope comprised conducting a thorough assessment of the existing legal and institutional framework of the SWM subsector, identifying missing or ineffective regulations and guidelines, prioritizing the urgent areas of work, and drafting new and/or amending existing ones for review and approval by the relevant authorities. The work was to proceed through enhanced coordination and consultation among relevant government agencies to ensure necessary buy in and effective implementation. Potential areas of support envisaged were preparation of national guidelines on tariff (including methodology for tariff setting, implementation, collection and administration); specific legal arrangements for PPP; health care waste considered desirable at this stage and SWMTSC has been advised to take up a bundling approach for cluster of cities once the SWM systems are improved and become eligible for carbon credits under CDM. (ix) Exposure visits were organised in two batches. 10 field practitioners and 5 policy makers have been given exposure to international best practices in India and Sri Lanka. (i) All the existing Laws, Rules, Regulations and Guidelines were studied in details, the gaps were identified and efforts have been made to bridge the gaps through development of National policy & guidelines on various aspects as detailed above. (ii) The TA assisted the drafting of National Regulation for implementing SWM Act 2011 as well as preparing the guidelines and standards for composting, sanitary landfills and healthcare waste management. (iii) All the activities under this TA have been undertaken in close coordination and consultation with SWMTSC, MOFALD and ADB. (iv) The existing structure of SWM tariff was studied in detail and the inconsistencies and inadequacies of the tariff structure was identified and national guidelines for levy of SWM service fee were prepared incorporating the parameters to be adopted for fixation of service fee and effective recovery for sustainable solid waste management. (v) Service level benchmarks and performance indicators have been prepared and targets have been suggested to achieve the service level benchmarks over a period of 3 8 years. Annual benchmarks have been suggested for small and large municipalities. TA 7597 NEP: Capacity Building for Waste Management 20 FBC Full Bright Consultancy (Pvt.) Ltd.

21 management regulations; design standards for sanitary landfill; standards for the quality of organic compost; and a set of performance indicators and targets to serve as a checklist to assess local bodies' performance on SWM. Adequate and effective consultations with stakeholders when the draft documents have been prepared. (vi) Standards and guidelines have been prepared for organic compost and sanitary landfills and draft rules on healthcare waste management have prepared and training has been imparted to stakeholders. (vii) The consultations have been effectively undertaken through meetings, FGDs, National Workshops and training programmes. It will be seen from the above description that all the targets have been achieved on time and SWMTSC has been assured of our post TA support if any clarifications are required on the outputs already submitted to them to ensure that work done under this TA is optimally utilised for improving SWM services in the country. 55. Problems encountered during implementation and propose actions to remedy those problems: There were no serious problems encountered during the implementation of this project except the absence of Team Leader for about 3 months on account of sudden illness of the Team Leader. The problem was resolved with ADB agreeing to the replacement of the Team Leader by another international expert on solid waste management and also mobilisation of 3 additional subject experts on composting, landfills and health care waste management. Political disturbances and frequent strikes hampered the work of carrying out baseline surveys and implementation of pilot projects. However due to sincere efforts of the team members the issues were resolved by working overtime as soon as situation improved. 56. Recommend future short to medium term programs: STRENGTHENING of SWMTSC expeditiously is strongly recommended. This should be followed by implementation of SWMTSC Business Plan adopting Service Level Benchmarks & performance Indicators as suggested. Short and medium term plans which include undertaking training programmes for municipalities for their capacity building in the area of door to door collection/community bin collection and transportation of waste to the disposal sites, fixation of SWM service tariff for making the services sustainable may be taken on priority as a short term measure. Simultaneously action may be taken to identify suitable parcels of land for setting up treatment and disposal facilities and constructing such facilities over a period of 5 years. Research and development work may also be undertaken for improving SWM services in the country. We gratefully acknowledge the guidance and support extended by Mr. Norio Saito, Task Team Leader, ADB throughout the TA period which has immensely helped the TA team in TA 7597 NEP: Capacity Building for Waste Management 21 FBC Full Bright Consultancy (Pvt.) Ltd.

22 timely completion of this TA assignment. We are also thankful to Dr. Sumitra Amatya, ED, SWMTSC and Mr. Chakrapani Sharma, National Project Director, TA & Under Secretary, MoFALD for extending their continuous support to the TA team and facilitating the interactions, consultations with various stakeholders, focused group discussions, national workshop and training programmes in a timely manner. We sincerely thank the Joint Secretary, Shri Rashmi Pandey & Secretary, Shital Babu Regmee, MoFALD for their guidance and support to the TA Team. TA 7597 NEP: Capacity Building for Waste Management 22 FBC Full Bright Consultancy (Pvt.) Ltd.

23 Annexure to this Report: 1. National policy on solid waste management and strategy of implementation 2. Report on Capacity Assessment of SWMTSC, gaps identification and strategy for bridging the gaps 3. Proposed organizational structure, job description and human resources for SWMTSC 4. Business plan of SWMTSC for next three years 5. Study Report on existing practices of levy and collection of Solid Waste Management tariff 6. National guidelines on solid waste management service tariff 7. PPP guidelines and contracting framework for improving SWM services 8. Service level benchmarks and performance indicators 9. Health care waste management rules 10. Public awareness and participation 11. National Report on Base line survey of Solid Waste Management services in 58 municipalities 12. Pilot Project Reports 13. Attendance Lists National workshop and FGDs TA 7597 NEP: Capacity Building for Waste Management 23 FBC Full Bright Consultancy (Pvt.) Ltd.

24 Focus Group Discussion 10 th August and 12 th August 2012 TA 7597 NEP: Capacity Building for Waste Management 24 FBC Full Bright Consultancy (Pvt.) Ltd.

25 TA 7597 NEP: Capacity Building for Waste Management 25 FBC Full Bright Consultancy (Pvt.) Ltd.

26 National Workshop TA 7597 NEP: Capacity Building for Waste Management 26 FBC Full Bright Consultancy (Pvt.) Ltd.

27 TA 7597 NEP: Capacity Building for Waste Management 27 FBC Full Bright Consultancy (Pvt.) Ltd.

28 TA 7597 NEP: Capacity Building for Waste Management 28 FBC Full Bright Consultancy (Pvt.) Ltd.

29 TA 7597 NEP: Capacity Building for Waste Management 29 FBC Full Bright Consultancy (Pvt.) Ltd.

30 Photographs of Project Activities Meeting with MLD, SWMTSC and ADB Meeting with Lalitpur Municipality TA 7597 NEP: Capacity Building for Waste Management 30 FBC Full Bright Consultancy (Pvt.) Ltd.

31 TA 7597 NEP: Capacity Building for Waste Management 31 FBC Full Bright Consultancy (Pvt.) Ltd.

32 Solid Waste Management Technical Support Centre (SWMTSC) Ministry of Federal Affairs and Local Development (MoFALD) ADB TA-7597-NEP-Capacity Building for Waste Management National Solid Waste Management Policy & Strategy September 2012 Asian Development Bank Prepared by Mr. P U Asnani, Team Leader, TA 7597 IPE Global Private Limited In association with Environnment Resource Management Consultants (ERMC) (P.) Ltd. and Full Bright Consultancy (Pvt.) Ltd. Full Bright Consultancy (Pvt.) Ltd.

33 Table of Contents 1 BACKGROUND Municipal Scenario Current status of solid waste management in municipal areas Budgetary allocations Rural scenario IMPORTANT TERMS AND DEFINITIONS HISTORIC CONTEXT Background National Policy on Solid Waste Management 2053 BS (1996 AD) Environment Protection Act 2053 BS (1997 AD) and the related Regulations: Local Self Governance Act 2055 (1998 AD) and related Regulations: Year Plan Environment Policy and Strategy on Periodic Plans of the Government Solid Waste Management Act 2068 BS (2011 AD) MAJOR ISSUES Absence of Political Leadership at Local Level Lack of Planning and Budgeting for Solid Waste Management Lack of Implementation strategy Lack of in-house capabilities and technical know-how Partial Segregation of Waste Poor collection efficiency No facility for Safe disposal of solid waste Inadequate Collection of service charges Lack of public awareness Extensive use of Plastics POSITIVE ASPECTS High proportion of Organic Matter Presence of informal sector in Recycling POLICY OBJECTIVES GUIDING PRINCIPLES POLICY STATEMENT SWM service to be all inclusive Build In house capacity of Local Bodies Community participation in solid waste management Waste Reduction by 80% within 8 years Adopt Integrated Waste Management Approach Page 2 of 24

34 8.6 Stop open dumps and create controlled/sanitary landfills PPP to be preferred mode of service delivery Levy of User fee to make SWM services self sustaining in 5 years Citizens to participate effectively and refrain from littering Domestic Hazardous waste not to be mixed with MSW Hazardous waste to be certified before disposal at landfill IMPLEMENTATION STRATEGY SWMTSC to be strengthened to provide technical support to local bodies Prepare status report Training Need Assessment & preparation of Training Materials Impart Training Public awareness and Community Participation Provide technical support to Local Bodies Guide the local bodies in designing and execution of controlled landfills/sanitary landfills sites as well as post-closure management of landfills Promote PPP, PSP, NGO and CBO participation Promote Joint Venture Undertake Research and Development on SWM Have Regulatory Framework to Control Plastic Menace Determine SWM Service fee structure Raising funds from donor agencies Collaborating with foreign companies Explore and develop CDM proposals Performance Indicators Monitor the performance of local bodies Extending Financial Support to Local Bodies Rewards for efficient service delivery Role of Local Bodies Ensure Social Inclusiveness Prepare short & medium term action plan Creation of SWM section Create SWM section in the Municipality if it does not exist and appoint qualified persons as per the yardstick that may be prescribed by SWMTSC for improving SWM Take up public awareness programmes Promote home composting, or decentralized treatment Acquire suitable land for treatment & disposal of waste: Provision of essential infrastructure and SWM services Involve private sector, NGOs, CBOs Levy service charges Page 3 of 24

35 Accept treated Hazardous waste at landfills Furnish information on SWM Government to Extend Support: Facilitate signing of agreement between two or more local bodies for setting up regional disposal facilities Frame necessary rules, regulations and directives for other category of wastes Establish SWM Section/cell in Local body Direct local bodies to levy adequate user fees Provide matching grants and avail funds for SWM Monitoring and Evaluation of the performance of local bodies Coordination Timelines Page 4 of 24

36 1 BACKGROUND 1.1 Municipal Scenario Nepal has 58 Municipalities having an urban population of 4.5 million people which accounts for 17% of the total population in the country. These cities can be classified in 4 groups as under: Population Range No. of Municipalities Total Population (census data 2011) Above ,419,273 Between & ,193,935 Between & ,400 Below ,842 TOTAL URBAN POPULATION: 58 4,521,450 Source: Census 2011 The cities and towns generate gm Municipal Solid Waste/capita/day. Small towns generate less per capita waste as compared to large cities due to multiple waste generating activities in large cities. The generation of solid waste has been increasing in cities and towns owing to change in life style of people, development and expansion of trade, commerce and industries in urban areas. The current average per capita waste generation is estimated at 284gms/day. 1.2 Current status of solid waste management in municipal areas The current systems adopted for the management of municipal solid waste in municipalities are outdated and inefficient. The collection efficiency ranges between 70 to 90% in major cities, whereas in several smaller cities it is below 50%. The system of door to door collection is partly introduced in 28 cities whereas collection of waste through containers and from the road side is prevalent in 29 and 56 cities, respectively. The collection is not made on a day-to-day basis. Only main market and some important residential area are served daily. Rests of the areas are served intermittently ranging from twice a week to twice a month. Many areas get neglected due to inefficiency and inadequacy of service. Current situation of primary collection can be visualized from the figure below:- It is observed that citizens dispose of waste within their compound either by unscientific composting or open burning or by throwing the waste in the open space around. Some efforts have Page 5 of 24

37 been made by municipalities to set up composting facilities to treat part of the municipal waste. 10 community compost plants and 7 municipal level compost plants have been constructed so far in the urban areas, out of which 8 and 4 plants respectively are functional. 41 municipalities have not yet attempted to construct any treatment facility. Of late 22 municipalities have been planning to set up one are more plants in their areas. Current status of treatment facilities in the municipalities can be seen from figure below:- Scientific disposal of waste is a matter of great concern. Only 5 municipalities namely Kathmandu Metropolitan City, Lalitpur, Dhankuta, Pokhra and Ghorai are reportedly having sanitary landfill, whereas 4 cities have controlled dumps. The situation is critical in remaining 49 municipal areas. 18 municipalities have been disposing off their waste on the river side causing a threat to contaminating water resources and 31 municipalities have been disposing off their waste at open dump sites causing land, air and water pollution. This situation can be seen from the fig below: Budgetary allocations Last 3 years budget of municipalities reveal that on an average 10% budget is allotted for solid waste management each year. In the year , as against the allocation of 7.65% budget, 10.34% was utilized for solid waste management (SWM). In the year , the allocation was 10.3% whereas actual utilization was 11.96%. In the year , the allocation of budget has been 9.01%, the expenditure details are yet to be compiled. Of the total budget, the municipalities spend nearly 60-70% towards street sweeping & collection, 20-30% on transportation, and less than 5% on final disposal of waste, this shows that more attention is required on treatment and safe disposal of solid waste. Sites for construction of treatment facilities and sanitary landfills sites are yet to be identified by many municipalities. There is an urgent need to identify and acquire suitable parcels of land for setting up treatment and disposal facilities. While it is encouraging to notice that citizens do salvage recyclable materials and sell for a price to small entrepreneurs in the formal and informal sector, a large amount of recyclable material continues to be disposed off on the streets and it lands up at the dumping grounds. Public Private Partnerships in collection and transportation of waste is being attempted on a small scale which needs to be expanded substantially to improve the primary collection service and making the cities clean and livable Rural scenario There are approximately 3,913 Village Development Committees (VDCs). Their population is generally below 25,000. The total population of the rural area is 22.1 million which accounts for 83% of the country population as per 2011 census. 41 VDCs are proposed to be converted into municipalities but the matter is on hold at present. Page 6 of 24

38 There is no data available about the current status of solid waste management in rural areas. The systems of solid waste management are practically non- existent in most of the VDCs. The municipalities as well as VDCs do not have technical, managerial or financial capabilities to address the situation. Lack of proper solid waste management (SWM) systems adversely impact human health and the environment in the country. Hazardous waste, biomedical waste, chemical waste as well as industrial wastes add to the problem further as these wastes are also not handled scientifically by the waste generators. Series of measures taken in the past that are briefly described in historical context hereafter have not yielded desired results in addressing the problems of SWM in urban areas in the country. It is, therefore, felt imperative to revisit the earlier policies and programmes and frame policy, timelines of implementation with implementation strategies, which may facilitate providing efficient and effective SWM service throughout Nepal to give a good quality of life to the people and uphold people s right to health and a safe environment. This national policy document is framed to facilitate expeditious implementation of Solid Waste Management Act 2011 (AD) and to encourage all Local Bodies and other stakeholders to come together and take planned, concerted and coordinated measures to improve SWM services. 2 IMPORTANT TERMS AND DEFINITIONS Clean Development Mechanism (CDM) The Clean Development Mechanism (CDM), defined in the Kyoto Protocol, allows a country with an emission-reduction commitment to implement an emission-reduction project in developing countries. Such projects can earn saleable certified emission reduction (CER) credits, each equivalent to one tons of CO2, which can be counted towards meeting Kyoto targets. Disposal Disposal means depositing solid waste at the landfill site in a manner that may prevent contamination of ground water, surface water and air quality. Local Body Local Body means and includes the Metropolitan City, Sub-Metropolitan City, Municipality and Village Development Committee. National Body/Institution National body/institution means an organization created by Government to provide technical assistance and training to local bodies and other stakeholders and carry out research and development for improving solid waste management in the country. Municipal Solid Waste: Municipal Solid Waste (MSW) means the domestic, institutional, commercial and street wastes either in solid or semisolid form generated in urban as well as rural areas and Page 7 of 24

39 includes treated industrial, chemical, medical or hazardous waste fit for disposal at the MSW landfills. Post-Closure Care: Post-Closure Care means monitoring and maintaining waste containment system and ground water for a period of 30 years from the date of closure of landfill cell to ensure that leachate from the waste is not escaping and polluting the ground water or surrounding environment and take corrective measure as and when required during the period of postclosure care. Private Sector Participation: Private Sector Participation in SWM sector means the involvement of businesses that are neither State nor local Body controlled and run by individuals, Firms or Companies entirely on their own cost for profit. Processing: Processing means a process by which solid wastes are transformed into new or recycled products. Public-Private Partnership: Public Private Partnership means an arrangement between a government/statutory entity/ government owned entity on one side and a private sector entity on the other, for the provision of public services, through investments being made and/or management being undertaken by the private sector entity, for a specified period of time, where there is well defined allocation of risk between the private sector and the public entity and the private entity receives performance linked payments that conform to specified and pre-determined performance standards, measurable by the public entity or its representative. Recycling: Recycling means a process of transforming various components of municipal solid waste into raw material for producing new products which may or may not be similar to the original product. Sanitary Landfill Site Sanitary Landfill Site means safe disposal of municipal solid waste on land in a facility designed with protective measures against pollution of ground water, surface water, ambient air, air fugitive dust, windblown litter, bad odour, fire hazard, bird menace, pest and rodents, greenhouse gas emission, slope stability and erosion. Segregation Segregation means to separate the MSW into group of organic, inorganic, recyclable & Hazardous wastes, etc. Solid Waste Management Solid Waste Management includes any activity of storage, segregation, reuse, recycling, collection, transportation, processing and safe disposal of solid waste in an environmentally acceptable manner. Page 8 of 24

40 Transfer Station Transfer Station means a facility created for transfer of waste collected in small primary collection vehicles to large vehicles for cost effective transportation of waste to processing facility or Sanitary Landfill Site situated at a long distance, for treatment or disposal of waste. 3 HISTORIC CONTEXT 3.1 Background Solid waste was not perceived as a problem in Nepal prior to 2007 BS (1950 AD). Solid waste was mostly organic in nature, and a common practice was to deposit it at the edge of rivers, and rivers would wash away the solid waste. This simplistic approach to solid waste management raised concerns with the increase in the amount of solid waste due to growth of population and urbanization. As a result, some studies were carried out in the mid-1963 AD. Those studies recommended some short-term and long-term measures for proper SWM. Thereafter, some steps were taken to improve SWM services in the municipalities within the Kathmandu Valley considering the higher amount of waste generation in the area, and a waste management and resource mobilization project was initiated. The objective of the project was to reduce pollution by using appropriate technology in collection and disposal of solid waste. With a view improving SWM, the then Government of Nepal established the Solid Waste Management Board under the then Ministry of Construction, Supply and Transportation. Various initiatives were taken between 1981 AD and 1986 AD. Realizing the need of having legislation on SWM, Solid Waste Management and Resource Mobilization Act, 2044 (1987 AD) was passed and brought into force in 1987 AD. This Act provided for establishment of the Solid Waste Management and Resource Mobilization Center as an autonomous body replacing the Solid Waste Management Board. For the effective implementation of the Act, the Solid Waste Management and Resource Mobilization Regulations and necessary bylaws were framed and some new previsions on solid waste management were incorporated through amendments in the Solid Waste Management and Resource Mobilization Act. The Government of Nepal thereafter issued Solid Waste Management Policy, 2053 BS (1996 AD) which is briefly described as under: 3.2 National Policy on Solid Waste Management 2053 BS (1996 AD) The first Solid Waste Management National Policy was formulated in 2053 BS (1996AD) to tackle the emerging solid waste management problems due to urbanization. The policy emphasized on waste management in municipal and urban areas. This policy is still in force. The main objectives of this policy are to make solid waste management simple and effective, to minimize the impact of solid waste on environment and public health, to treat solid waste as resource, to include private sector participation in solid waste management, and to improve public participation by increasing public awareness on sanitation. The policy include making local bodies capable of providing efficient and reliable sanitation services, operating public awareness program for public participation on sanitation efforts, involving non-government organizations in sanitation activities, developing appropriate technology compatible to the local, social and economic situation and arranging the final disposal of solid waste according to the quantity and nature of waste. The policy emphasizes considering solid waste as resource, promoting re-using and appropriate processing of waste, to make management of solid waste financially sustainable. This policy suggests gradual participation of private sector in suitable components of solid waste management such as collection, storage, transport, transform, re-use and final disposal. The policy also Page 9 of 24

41 provides for encouraging foreign involvement as well as provision for tax benefits and licensing the industry so that solid waste is considered as a resource. The policy envisaged imposition of tariff and collection thereof. Though this policy covered most of the aspects of SWM, it lacked clarity on roles and responsibilities of various stakeholders and a clear strategy and mechanism of implementation of the same. This was followed by framing Environment Protection Act 1997 AD and Local Self Governance Act 1998 AD, which address some aspects of MSWM as under: 3.3 Environment Protection Act 2053 BS (1997 AD) and the related Regulations: In the process of internalizing the Environmental Assessment System in development proposals, the Government of Nepal enacted the Environment Protection Act (EPA) 1997 and the Environment Protection Rules (EPR), 1997, which make the integration of IEE and EIA legally binding to the prescribed projects. The Act (Section 7) prohibits the creation of pollution that may cause significant adverse impacts on the environment, or any such act that is likely to be hazardous to public life and people's health, or any act that disposes or causes to be disposed sound, heat, radioactive rays and wastes from any mechanical devices, industrial enterprises, or other places contrary to the prescribed standards. The Act made provision for appointing Environment Inspector in order to effectively carry out or cause to be carried out the acts of mitigation, avoidance or control of pollution or activities required to be carried out in accordance with the IEE or EIA. 3.4 Local Self Governance Act 2055 (1998 AD) and related Regulations: The Local Self Governance Act has made ward committees responsible for managing the waste within their respective areas. The functions, duties and powers of each Ward Committee under the Village Development Committee include cleaning the roads, ways, bridges, drainage, ponds, lakes, wells, deep water, taps, etc. within the Ward. The Ward Committees have to arrange for disposal of wastes, dirt and rotten materials and to make arrangements to encourage the inhabitants of the Ward for maintaining sanitation Year Plan After a long gap, a three-year Plan was prepared in the year 2007 (AD) by the Government of Nepal to update the Solid Waste Management Policy, 2053 BS (1996 AD) with the participation of stakeholders in the management of solid waste. In particular, the updated policy made provisions for managing the industrial waste, medical waste, and hazardous waste of special nature by the concerned institutions generating such waste without adversely impacting public health. It also directed the local bodies (municipalities and village development committees being urbanized), which are located in a specific area appropriate from the viewpoint of geography and transportation, to work under the common umbrella to raise awareness, produce organic fertilizer, construct and manage the landfill site, generate power, from the Municipal solid waste; and involve private sector participation gradually in services such as collection, segregation, reuse, recycle, transportation and final disposal of solid waste, and promote public-private partnerships in SWM sector. The Environment Policy and strategy on period plans of Government is briefly described hereunder: 3.6 Environment Policy and Strategy on Periodic Plans of the Government There is no specific provision in the Environment Policy and Strategy prepared in the year 1993 regarding solid waste management. The Present periodic Plan "Three Years Plan , , AD emphasized promoting and extending sanitation facilities through public awareness at the rural and urban areas with the participation and contribution of the local government and users communities. It has further emphasized the need of Page 10 of 24

42 Environment Impact Assessment for implementing any infrastructure development project. The plan has, under infrastructure development, targeted to construct 10 landfill sites and conduct feasibility study for another 10 sites. The plan has associated solid waste management with sanitation and infrastructure development activities. 3.7 Solid Waste Management Act 2068 BS (2011 AD) Finally with an objective to amend and consolidate the laws relating to solid waste management and to arrange for the systematic and effective management of solid waste by minimizing solid waste generation at source, re-using & processing the waste and providing for proper disposal of the solid waste. The Govt. of Nepal enacted Solid Waste Management Act 2068 BS (2011 AD) effective from 15 th June 2011 AD. The objectives of the Act also include maintaining clean and healthy environment by minimizing the adverse effects of solid waste on public health and the environment. Summary of Solid Waste Management Act 2068 BS (2011 AD) Local Bodies have been made responsible for construction, operation and management of infrastructures for collection, treatment and final disposal of solid waste, including construction of transfer stations, treatment plants, etc. However, healthcare institutions and industries are made responsible to manage their biomedical and hazardous wastes. A Local Body is authorized to specify the time, place and method for disposal of solid waste and prescribe collection centre for each settlement at such places which is convenient to all. The Local Body is required to manage transportation of waste & provide means of transport of solid waste. The Local Body is expected to encourage reduction, reuse and recycling of solid waste and coordinate with industries for reuse of packing materials for reducing the waste. The Local Body is allowed to construct transfer stations for managing the initially collected solid waste in such a way that it would not cause adverse effect to public health. SWM Act makes the Local Body responsible for constructing sanitary landfill sites subject to Environment Protection Laws for management and final disposal of the waste. The Act prohibits management of waste without license and provides for issuance of license and prescribes the procedure for issuance of license to manage the waste. It provides for the involvement of the private sector firms, CBOs and NGOs in solid waste management through competitive bidding. It also provides procedures for bidding, selection of successful bidder, authority of the bidder for collecting tipping fees against solid waste management services. Section 16 authorizes the Local Body to give permission for construction and operation of sanitary landfill site, treatment plant or any other infrastructure subject to Environment Protection and other related laws. A Local Body is authorized to monitor the compliance of the specified standards and cancel any permit if needed. SWM Act authorizes for imposition and collection of service fees against solid waste management services and prescribes the basis for fixing such fees (tariff) and procedures for collection of such fees and the usage of the fees. It authorizes the Local Bodies or authorized private operator to suspend or stop the services if any user fails to pay the fee. The Act allows for pecuniary punishment and/or imprisonment for violating the laws. The Act mandates the Local Body to carry out environment protection activities by preparing master plans for the affected area surrounding a landfill site. It authorizes the local bodies for formulation of rules, bye-laws and guidelines, and issue directives. It allows Local Bodies to accept foreign assistance. The SWM Act gives directions on institutional strengthening and capacity building of Local Bodies through technical assistance by SWM Council and SWMTSC. Page 11 of 24

43 With a view to speed up the implementation SWM Act 2011 and providing SWM services in sustainable manner this policy document is prepared spelling out the Policy objectives, guiding principles, policy statements and implementation strategy. 4 MAJOR ISSUES 4.1 Absence of Political Leadership at Local Level Currently there are no elected representatives to govern the affairs of local bodes. In absence of political leadership it is becoming difficult to mobilize community to effectively participate in SWM and take decisions which affect masses such as introducing improved systems of waste management, levy of user charges, identifying land for landfill etc. 4.2 Lack of Planning and Budgeting for Solid Waste Management Solid waste management is more a managerial issue than the technical. It requires proper planning, budgeting and implementation strategy to ensure that the services are provided in an uninterrupted manner. Planning for manpower, material, equipment and finances is essential for covering all sections of the society and the ever growing population. Local Body has also to plan for replacement of tools, equipment & vehicles after their useful life and to augment the capacity of treatment and disposal facilities from time to time by creating sinking fund, i.e. a fund that is built from year to year over a period of time to provide for replacement of vehicles, equipment, plants etc. after their useful life. Most of the Local Bodies lack this capability of advance planning and financial resources to maintain the service levels at the desired standards. Training & capacity building of Local Bodies in planning and budgeting is therefore very essential. 4.3 Lack of Implementation strategy The implementation of solid Waste Management need to be strategized to ensure that SWM services are provided in a synchronized manner and community, CBO, NGO and private sector participation is promoted to make the services efficient, cost effective and sustainable. Training and hand holding of Local Bodies is essential in designing implementation strategy which currently is lacking. 4.4 Lack of in-house capabilities and technical know-how The in-house capabilities of local bodies and supporting national institutions are not adequate. 48 out of 58 local bodies are small having a population under one lakh. They do not have adequate trained manpower as well as technical and managerial know-how. This issue needs to be resolved through training and capacity building, induction of professionals and adopting PPP models for service delivery to minimize manpower requirement. 4.5 Partial Segregation of Waste It is encouraging to note that salvaging recyclable materials for sale to waste purchaser is a traditional practice in Nepal. Many informal entrepreneurs are active in collecting recyclable materials and selling it for conversion of these into useful products. However, lot of recyclable material continues to be disposed off on the streets, which lands up at the dump site. The practice of segregation of recyclable materials a source of waste generation needs to be promoted to ensure that entire solid waste is segregated into inorganic and organic components at source at households and establishments level. This requires a massive awareness campaign to educate the masses on need of segregation of waste at source. Page 12 of 24

44 4.6 Poor collection efficiency Collection efficiency is poor in most of the cities and towns in Nepal. Attempts have been made in several cities to improve the collection efficiency by introducing door-to-door collection service in a few wards of market areas and high density residential areas. Rest of the wards get very irregular service with the result, waste is found deposited on streets, into drains or in open spaces. The collection service needs to be improved in urbanized wards of all the cities through CBO, NGO and Private Sector participation. Many municipalities have areas of rural characteristics (low density, adequate open space in household premises), where door-to-door collection may be unnecessary or too costly. Here home composting need to be promoted and only in organic waste can be collected at fixed intervals of once or twice of week. 4.7 No facility for Safe disposal of solid waste Whereas improvement in collection and transportation is gradually taking place, the processing and final disposal of waste remains a major problem for most of the municipalities. Most of the Local Bodies do not treat the waste. All the waste collected is dumped on the banks of rivers or in other low lying areas unscientifically posing a serious problem of environmental pollution and threat to public health. Local Bodies do not have technical know-how to address this issue. Treatment and safe disposal of residual waste need to be addressed in a very planned manner. 4.8 Inadequate Collection of service charges The SWM Act 2068 BS (2011 AD) provides for collection of service charge. This is attempted in some municipalities and it has been demonstrated that people are willing to pay service charges, if good quality and reliable service is provided. However, this source of revenue has largely remained untapped. For the sustainability of SWM services, it is essential to structure the mechanism of levy of service charges and its recovery. 4.9 Lack of public awareness For efficient delivery of SWM services, public participation is very essential. This is lacking in the country. Information, Education & communication (IEC) experts needs to be hired to design IEC campaign and carrying out nationwide awareness campaign on a continuing basis as an integral part of SWM service to ensure community participation Extensive use of Plastics Use of plastics is increasing in day to life of people. Plastic waste is estimated at 11%, 22% & 18 % in domestic, commercial and institutional waste respectively. Increasing proportion of this Non-Bio-Degradable waste is posing threat to environment. 5 POSITIVE ASPECTS 5.1 High proportion of Organic Matter The MSW generated in the country has high proportion of organic matter. In the urban areas, the percentages of organic matter exceed 65%. This waste can be recycled to produce compost/biogas or energy for the benefit of the society. The per capita waste generation is low. It ranges from gm/capita/day. This reduces the burden on the local bodies in managing volumes of waste. Page 13 of 24

45 5.2 Presence of informal sector in Recycling There is an informal sector of recyclers who salvage recyclable materials from MSW. This sector can be encouraged to recover the re-usable and recyclable material from resource and intermediate stages of waste transfer, treatment and disposal. 6 POLICY OBJECTIVES 1. To protect public health and environment by improving municipal solid waste management systems and practices in the urban as well as rural areas 2. To make the local bodies capable and accountable for solid waste management (SWM) within their jurisdiction. Encourage them to prepare short & medium term action plan and strategy for implementation with budgetary resources. 3. To consider waste as a resource and recover the reusable and recyclable material at source to conserve national resources 4. To create public awareness on not to litter on the streets and motivate citizens to segregate their waste at source and adopt the concept of reduce, reuse and recycle (RRR) including plastic wastes, minimizing the waste going to the landfill sites. 5. To promote public private partnerships (PPP) and encourage community, CBO, and private sector participation in profitable utilization of waste material and to make the SWM efficient and cost effective. 6. To introduce sustainable integrated waste management system that are conducive to local conditions. 7. To ensure safe disposal of residual municipal solid wastes, domestic hazardous waste as well as treated hazardous, biomedical, chemical and industrial wastes. 8. To close existing open dump sites in an environmentally acceptable manner. 9. To Make SWM services self-sustaining by levy of user charges To promote research and development to keeping pace with advancements in SWM sector 7 GUIDING PRINCIPLES 1. SWM services to be all inclusive SWM services shall be provided to every citizen irrespective of caste, creed, social, financial or gender status. 2. Ensure public participation Local Bodies alone cannot meet the challenge of keeping the city and town clean, - Community participation shall be ensured through massive information, education and communication (IEC) programmes throughout the nation to minimize the waste including plastic waste and facilitate sustainable waste management. Page 14 of 24

46 3. Institutional strengthening of Local Bodies Institutional strengthening of SWM sections shall be done in local bodies through induction of professionals and through training and capacity building of municipal staff and stakeholders. 4. Zero Waste Target Zero waste shall be the ultimate targets to be achieved through practicing the concept of reduce, reuse and recycle and extended producers liability in a concerted manner. Atleast 80% of the waste shall be reused, recovered and recycled within a period of 8 years reducing the waste at the rate 0f 10% each year. 5. Closure of open dump sites All open dump sites and river side dumping shall be stopped and open dump sites shall be closed in an environmentally acceptable manner. 6. SWM services to be made self-sustaining SWM service shall be made self sustaining within a period of 5 years by levy of user fee charges to cover O&M costs and taxes to cover partial capital investments. 7. Promote CBO, NGO & Private Sector Participation Public private partnerships, community, NGO/CBO participation shall be promoted to improve efficiency and cost effectiveness of SWM services. 8. Adopt integrated approach on solid waste management An Integrated approach towards solid waste management may be adopted for efficient delivery of service. Concept of tipping fee may be considered for providing integrated services efficiently. 9. National institution to provide technical support to local bodies National level institution SWMTSC shall be strengthened to be able to provide technical assistance, training and capacity building support to local bodies backed by research and development. 8 POLICY STATEMENT 8.1 SWM service to be all inclusive SWM service shall be all inclusive ensuring social inclusiveness in delivery of service covering all sections of the society with special focus on the poor and disadvantaged Build In house capacity of Local Bodies In house capacity of Local bodies shall be built through training, technical assistance and induction of professionals. 1 Insert definition of poor and disadvantaged. Page 15 of 24

47 8.3 Community participation in solid waste management Public awareness programmes shall be taken up to promote the concept of reduce, reuse and recycle (RRR) on a continuing basis and as an integral part of SWM services to educate the masses on the following: (a) not to litter (b) store the waste at source in a segregated manner, (c) reuse and recycle the organic matter at source to the extent possible - (d) deposit the remaining waste at the place designated at pre-informed timings or handover the waste to the waste collector as per the arrangements made by the local body. 8.4 Waste Reduction by 80% within 8 years Local bodies shall make serious endeavor to minimize the waste by promoting the concept of RRR and extended producers liability and restrict the proportion of waste going to landfill below 20% of the total waste generated in their jurisdiction. At least 10% waste must be reduced from going to landfill each year. Excessive use of plastics shall be restricted to minimize generation of Non-Biodegradable waste. 8.5 Adopt Integrated Waste Management Approach Local bodies may adopt integrated SWM approach covering primary collection of MSW from the doorstep, its transportation, processing and safe disposal of wastes at the controlled/sanitary landfill (SLF) cost effectively. Large local bodies shall set up integrated waste processing facilities such as composting and/or waste to energy plants for processing all components of waste which could not be treated at source by the citizens adopting proven technologies. 8.6 Stop open dumps and create controlled/sanitary landfills Open dumping, river side dumping and open burning practices shall be immediately stopped. All open dump sites shall be closed in an environmentally accepted manner. Local bodies shall construct controlled/sanitary landfill facilities (SLF) for the disposal of rejects from the processing plants or may come together to construct a common/regional facility for economy of scale and professional management of MSW. Local bodies shall acquire suitable parcels of land for treatment and disposal of waste within two years if suitable lands are not available with them. Allotment of land from forest area may be requested in exceptional cases when no suitable land is found in spite of best effort In general, controlled landfills for towns under 100,000 population and sanitary landfills for cities above 100,000population shall be set up in by municipalities within 5 years. Small cities having large floating population or high level of industrialization or commercial activities may consider setting up sanitary landfills All the VDCs shall set up controlled landfill for disposal of their waste within 10 years or may join common regional facility that may come up in their vicinity in future Multiple and manual handling of waste shall be avoided to the extent possible. 8.7 PPP to be preferred mode of service delivery The local bodies may enter into PPP arrangement with NGO, CBO and Private Sector for providing services of collection, transportation, treatment and disposal of waste. Page 16 of 24

48 Land may be given on token/lease rent for PPP projects to promote private investments in the SWM sector. Local Bodies may provide land on token lease rent of Rs.1/sqm/year to the concessionaire for long term concession of years Local bodies may deliver municipal solid waste at processing plant site that may be set up by the private sector. 8.8 Levy of User fee to make SWM services self sustaining in 5 years Local bodies shall impose user fees to make the services sustainable. At least full O&M cost may be recovered from beneficiaries through user fees over a period of 5 years. The element of cross subsidization may be introduced for providing the services to the poor at low a cost. 8.9 Citizens to participate effectively and refrain from littering Waste generators/citizens shall be responsible for the management of their waste at the source of its generation. They shall refrain from littering and segregate bio-degradable, recyclable and inert waste, reduce the waste by its reuse, practice home composting to the extent possible and handover the residual waste at the place and time that may be specified by the local bodies from time to time Domestic Hazardous waste not to be mixed with MSW Domestic hazardous and biomedical waste if and when generated shall not be mixed with domestic waste meant for processing and shall be kept separately for safe disposal by the waste generator Hazardous waste to be certified before disposal at landfill Persons or institutions generating hazardous waste, medical waste, chemical waste or industrial waste shall before disposal of such pretreated waste at the sanitary landfill obtain certificate from accredited laboratory confirming that required treatment has been done and waste in suitable to be landfilled and submit the same to the Local Body along with the request for the disposal at the landfill. 9 IMPLEMENTATION STRATEGY 9.1 SWMTSC to be strengthened to provide technical support to local bodies The SWMTSC shall be strengthened by Government by inducting technical experts and made capable to provide technical support and training to the local bodies & to take up research and development activities to find solutions to the problems encountered by the Local Bodies in the management of solid waste and advise the Local Bodies on the use of appropriate tools, equipment, vehicles & technologies for treatment and disposal of waste. SWMTSC to take up following activities: Prepare status report Prepare status report of SWM services in the municipalities, identify the deficiencies in the service delivery, prepare short term, medium term and long term plans to improve the services in a time frame given from the date of framing this policy. Propose resource allocation to local bodies to bridge the gaps Page 17 of 24

49 9.1.2 Training Need Assessment & preparation of Training Materials a. Carry out training need assessment for various levels of stakeholder s within and outside the local bodies. b. Prepare training modules encompassing all important aspects of solid waste management c. Prepare and share standards, guidelines, manuals, etc. to enable the local bodies to implement the laws, rules and regulations to improve SWM services effectively Impart Training a. Impart technical training to officers and staff of municipalities and other stakeholders on priority as per training need assessment b. Do handholding of local bodies, where considered absolutely necessary Public awareness and Community Participation Develop Information, education and communication (IEC) materials at the national level within one year from the date of the framing of this policy and share with local bodies to educate the citizens on:- a. Not to litter b. To store the waste at source in atleast two separate bins; one for biodegradable (food waste) and another for non-biodegradable waste (recyclable waste) c. Reuse the reusable material and recycle the organic matter through home composting within the premises to minimize the waste. d. Domestic hazardous and biomedical waste shall be kept separate as and when generated and discharged at the place and time notified e. Deposit the waste at the place notified or handover the waste to the waste collector on a day to day basis f. Guard against the health risks on account of improper waste management. g. Educate school children in managing waste at home and in schools and in educating their parents in the management of waste at home and place of work Provide technical support to Local Bodies Provide technical support in the areas of planning for door to door collection, secondary storage, construction of transfer stations, if the distance of landfill exceed10km, selecting appropriate technologies for treatment and disposal of waste and setting up waste processing facilities as well as controlled/sanitary landfills Guide the local bodies in designing and execution of controlled landfills/sanitary landfills sites as well as post-closure management of landfills. a. Identify suitable parcels of waste lands using satellite imagery that can be used for setting up common engineered landfills for group of cities, obtain government approval for allotment of such lands for group of local bodies on cost sharing basis. The land may Page 18 of 24

50 be held by SWMTSC as a nodal agency and may be allotted to the SPV (special Purpose Vehicle) when PPP contract is awarded or to the agency that may be created by the participating municipalities to manage the common facility. b. Help in finding suitable large parcel of land for the local body, which does not have suitable land and expedite land acquisition where necessary c. Extend technical support to local bodies in assessing the suitability of available sites for setting up sanitary landfill sites identified by local bodies more particularly in hilly region. d. Guide the local bodies in design and technical management of sanitary landfill Promote PPP, PSP, NGO and CBO participation Prioritize the areas where PPP, PSP, NGO, CBO participation may be promoted and advise the local bodies on the modalities of entering into contracts with community, CBO, NGO and private sector Prepare/improve standard request for qualification (RfQ), Request for Proposal (RfP) and concession agreement, and guide local bodies in observing transparent bidding and evaluation process Promote Joint Venture Promote joint venture between international and local companies and promote technology transfer Undertake Research and Development on SWM Undertake studies and research on SWM to keeping pace with advancements in SWM sector and help local bodies in improving the levels of SWM services Have Regulatory Framework to Control Plastic Menace SWMTSC to undertake detailed study on the menace of plastic waste and suggest regulatory framework to minimize use of plastics in consultation with ministry of Environment Determine SWM Service fee structure Guide the local bodies in determining SWM service fees/charges to make the services sustainable over a period of time and in its efficient recovery from various levels of waste generators and monitor the implementation of the guidelines on levy of SWM service charges Raising funds from donor agencies Explore the possibilities of raising funds from donor agencies and national and international financial institutions for funding SWM projects through grants and soft term loans to local bodies and coordinate with the concerned ministries in the Government to avail such funds Collaborating with foreign companies Make an endeavor to guide the local bodies in collaborating with foreign companies having appropriate technology conducive to local conditions to set up joint venture plants in the country with the condition to transfer such technology after certain period. Page 19 of 24

51 Explore and develop CDM proposals Explore CDM potential and develop CDM proposals adopting bundling approach for cluster of local bodies and earn carbon finance. A portion of the amount that may be received may be shared between SWMTSC and respective local bodies Performance Indicators Develop performance indicators to monitor and evaluate the performance of local bodies half yearly Monitor the performance of local bodies Review the performance of local bodies from time to time with reference to performance indicators and advice the local bodies on taking corrective measures Extending Financial Support to Local Bodies Recommend to Government to extend financial support on priority to municipalities who take initiative in setting up an appropriate system of waste segregation, storage, collection and transportation at their cost, for setting up treatment and disposal facilities Rewards for efficient service delivery Distribute or recommend rewards for effective and efficient delivery of SWM services or innovations in SWM sector. 9.2 Role of Local Bodies The local bodies shall perform the following tasks besides their mandatory duties envisaged under SWM Act Ensure Social Inclusiveness Local Bodies shall ensure social inclusiveness in delivery of service covering all sections of the society with special focus on the poor and disadvantaged Prepare short & medium term action plan Prepare short and medium term action plan for improving SWM in a phased and sustainable manner and prepare implementation strategy with adequate budgetary provision Creation of SWM section Create SWM section in the Municipality if it does not exist and appoint qualified persons as per the yardstick that may be prescribed by SWMTSC for improving SWM Take up public awareness programmes Local bodies shall take up public awareness programmes on a continuing basis and as an integral part of SWM services to educate the masses on the following: (a) not to litter (b) store the waste at source in a segregated manner atleast in two bins; one for biodegradable waste and another for recyclable and other inert wastes (c) dispose of waste at the place designated at pre-informed timings or handover the waste to the waste collector as per the arrangements made by the local body. Local bodies shall make serious endeavor to educate the waste generators to reduce generation of waste by reuse and segregation of recyclable Page 20 of 24

52 waste, realize some revenue there from and restrict the proportion of waste going to landfill under 20% of the total waste generated in the municipal area Promote home composting, or decentralized treatment Efforts should be made by Local Bodies to promote home composting, or decentralized treatment to minimize waste and create a source of revenue for the community Acquire suitable land for treatment & disposal of waste: Municipal Authorities above the population of 100,000 to acquire suitable parcels of waste acres per 100,000 population if cluster approach is to be adopted or 10 acres of land per population if stand alone landfill are to be constructed Provision of essential infrastructure and SWM services a. Local bodies shall provide or facilitate provision of essential infrastructure such as covered containers of suitable size for deposition of MSW by the citizens at the place and times designated and do away with deposition of waste in open space on the road side OR Provide for primary collection of MSW from the doorstep of the waste generator. b. Arrange for transportation, processing and safe disposal of wastes collected at the sanitary landfill (SLF) c. Local bodies shall construct or get constructed processing facilities in consultation with SWMTSC adopting proven technologies such as aerobic microbial composting within the city or close to the city ensuring that it does not cause any nuisance or adverse impact on health and environment and may minimize greenhouse gas emissions. d. Local bodies shall construct or facilitate construction of sanitary landfill facilities (SLF) in consultation with SWMTSC exclusively for the disposal of rejects from the treatment plants of city waste or group of local bodies may come together to construct a common/regional facility on cost sharing basis for minimizing cost of construction and O&M of the SLF and facilitating its professional management in a cost effective manner. Open dumping and open burning practices shall be immediately stopped Involve private sector, NGOs, CBOs a. The Local bodies may enter into PP arrangement or contracting arrangement with NGO, CBO and Private Sector keeping in mind provisions of sections 13 to 17 of Solid Waste Management Act 2011 and the Model Guidelines that may be provided by SWMTSC on entering into contracts with CBOs, NGO, and Private sector. b. To promote private investments in SWM sector, local bodies may provide land on token lease rent of Rs. 1/sqm/year to the concessionaire for long term concession of years. c. Local bodies may deliver municipal solid waste at processing plant site that may be set up by the private sector free of cost Levy service charges a. Local bodies shall impose user fees in terms of Solid Waste Management Act 2011 AD to make the services sustainable. At least full O&M cost may be recovered from beneficiaries through user fees. The tariff may be fair and reasonable for all sections of the society. Different rates may be prescribed of various categories of households, institutions and commercial establishments depending on their capacity to pay. The Page 21 of 24

53 element of cross subsidization may be introduced for providing the services to the poor at low a cost. SWM tax may be levied to cover the capital costs. b. Local bodies shall levy fines from the defaulters in accordance with SWM Act 2011 AD to enforce compliance of the Act Accept treated Hazardous waste at landfills Local Bodies may accept residual treated waste generated from management of hazardous waste, medical waste, chemical waste or industrial waste by the respective waste generators, for disposal at the sanitary landfill by levying prescribed fees. Local Body may take action against such waste generator, if it fails to treat the waste as per the standards and dispose of the same unauthorizedly Furnish information on SWM Local Body will furnish half yearly information about the status of SWM services in its jurisdiction to the SWMTSC in the Performa that may be prescribed to facilitate planning of technical and financial assistance to the local bodies. 9.3 Government to Extend Support: The MFALD, Government of Nepal will strengthen SWMTSC through induction of professionals and fund the establishment and operational expenses of SWMTSC till it becomes self-sustaining Facilitate signing of agreement between two or more local bodies for setting up regional disposal facilities MFALD in consultation with SWMTSC will facilitate signing of agreement between two or more Local Bodies to jointly construct or facilitate construction and/or operate of regional landfill themselves or through private sector participation for cost effective and professional management of waste disposal facility Frame necessary rules, regulations and directives for other category of wastes The Government may separately frame necessary rules, regulations and directives for the management of hazardous, medical, chemical, industrial solid waste and plastic waste etc Establish SWM Section/cell in Local body Government will persuade municipalities to establish SWM section in each municipality and appoint qualified persons as per the yardsticks that may be determined by SWMTSC to manage the solid waste management services effectively Direct local bodies to levy adequate user fees The Government may direct local bodies to levy adequate user fees as advised by SWMTSC from time to time to cover full O&M cost of collection, transportation, treatment and disposal of waste and have a sound mechanism to recover the fees from the beneficiaries. The local bodies will also be advised to levy adequate taxes to cover part of the capital investments in SWM sector. The Government may prescribe the minimum fees and taxes to be levied for this purpose. Page 22 of 24

54 9.3.5 Provide matching grants and avail funds for SWM a. Government may give matching grants and avail funds from the donor agencies to cover the capital costs of construction of treatment and disposal facilities. b. Government may facilitate soft term loans from international funding agencies like ADB, World Bank, JBIC for meeting the part of the capital costs. c. The Government may direct Local Bodies to adequately allocate annual budget for solid waste management and to maintain separate account of recurring expenditure and capital investments on SWM and income derived by way of taxes and user fees for providing solid waste management services Monitoring and Evaluation of the performance of local bodies Government on its own or through SWMTSC or any other technical agency as it deems appropriate, undertake monitoring and evaluation of the performance of the Local Bodies towards the compliance of Solid Waste Management Act 2011 (AD), levy of SWM service fee, involvement of CBO/ NGO/ Private sector etc. and implementation of this policy and strategy and give suitable directions for taking corrective measures for facilitating implementation. Midterm review of the implementation of this policy will be undertaken by government in the third year of implementation and evaluation will be undertaken after 5 years of implementation. Depending upon the evaluation results, a decision will be made whether the policy and strategy will remain or an update is necessary Coordination Government will request all the ministries and the departments of Government concerned with SWM or any of its components to keep SWMTSC in the loop and may utilize the funds/grants available with them for SWM or any components thereof in consultation with SWMTSC matching with the strategy of implementation of this policy and SWM ACT 2011 in the country and avoid duplication of work. 9.4 Timelines Activity Strengthening SWMTSC Preparation of status report of SWM Training Need Assessment Prepare training modules Start imparting training Prepare IEC materials for awareness Introduce door to door collection/community collection in core urban areas in municipalities Introduce door-to-door collection/community collection in VDCs Identify parcels of land for treatment and disposal in municipal areas Identify parcels of land for treatment and disposal in rural areas Reduce waste going to landfills by practicing RRR & Extended Timeframe (from the date of policy formulation) 6 month 6 months 6 months 9 months 9 months 12 months 24 months 5 years 24 months 5 years 10% each year Page 23 of 24

55 producers liability (till 80% reduction is achieved) Set up integrated waste processing facilities Set up controlled/sanitary landfills in municipalities Set up controlled/regional sanitary landfills for VDCs Issue guidelines for service fee tariff fixation Municipal authorities to achieve 100% cost recovery of O&M 5 years 5 years 10 years 12 months 5 years Page 24 of 24

56 Solid Waste Management Technical Support Centre (SWMTSC) Ministry of Federal Affairs and Local Development (MoFALD) ADB TA-7597-NEP-Capacity Building for Waste Management National Guideline on SWM Service Fee September 2012 Asian Development Bank Prepared by IPE Global Private Limited In association with Environnment Resource Management Consultants (ERMC) (P.) Ltd. and Full Bright Consultancy (Pvt.) Ltd. Full Bright Consultancy (Pvt.) Ltd.

57 Table of Contents 1 Background Existing Practices of levy of SWM service fee in the Municipalities Involvement of Private Sector/NGO Method of levy of fees Prevailing rate of service fees Formulation of guidelines Principles for determining Solid Waste Management (SWM) Fee/Tariff Minimize the Burden of Service charge, to make it affordable: Steps for determining SWM service fee... 6 Step 1. Understand Tariff/Fee Base:... 6 Step: 2 Norms of fee fixation Step 3: Prescribe appropriate service fee/tariff rates Step 4: Establish criteria for giving subsidy: Step: 5 Communication with consumers Step:6 Consultation with Stakeholders Step:7 Approval from Revenue Advisory Committee and Sectoral Committee Step: 8 Approval from Authorized Agency Step: 9 Method of recovery of SWM service fees Step: 10 Penal provision for non-payment Page 2 of 15

58 1 Background The Solid Waste Management Act, 2011 AD has made Local Bodies responsible to make arrangement for collection, transportation, treatment and disposal of solid wastes. Clause 18 of the Act Authorises Local Bodies to determine and collect service fee/tariff towards reliable and sustainable SWM service provided to households, shops and establishments on the basis of Volume, weight and nature of waste generated, etc. Such fees can be collected by the local body itself or through an institution or agency designated by it or through a private sector selected under PPP concept under the Clause 15 of the Act. The Local body is required to keep records of the fees collected in a separate account and spend the collected amount for SWM related activities only. Clause 19 of the Act authorises Local Bodies to suspend SWM service to the defaulters of SWM service fee. Solid Waste Management Technical Support Centre (SWMTSC) has been mandated to study and suggest service fee structure to Local Bodies for the sustainability of SWM services and maintaining some uniformity in the levy of service fees. Based on the above legal background, this "National Guideline on Solid Waste Management Service Fee" is prepared to help Local Bodies establish service fee and create a mechanism for the collection of SWM fee efficiently. 2 Existing Practices of levy of SWM service fee in the Municipalities A rapid survey conducted in March 2012 by the ADB TA 7597 has revealed that the daily waste generation rates from residential houses, shops and establishments show wide variations. This is due to varied practices of handling waste at source. Many municipalities have introduced SWM service fee, but the service fee base rate and its collection procedures are found to be deficient. Currently less than 50% of waste generators are receiving door to door waste collection service (source. Rapid Survey March, 2011) and are paying service fee to the service providers or concerned municipality. It is interesting to note that about 82% of the respondents have shown their willingness to pay SWM fee/tariff if there is an improvement in municipal SWM service delivery system. 3 Involvement of Private Sector/NGO Private sectors/ngos are being involved in door to door waste collection and transportation of waste by Local Bodies. They are allowed to charge SWM fee to the customers based on agreement with the consumers or municipality. Especially in Kathmandu valley municipalities, private sectors/ngos have been providing SWM service at their own and charging SWM fee directly from the customers. Section 13 (1) of the SWM Act 2011 prohibits any one taking up the work of Solid Waste Management without obtaining license from the Local Body. 4 Method of levy of fees There is no uniform method of levying SWM service fee. Provision of section 18 (2) of the SWM Act 2011 is not yet implemented for determining service fees. Municipalities are collecting SWM service fee in different ways, which can be categorized into followings: a. SWM fee surcharge on property tax or business tax on annual basis b. SWM service fee from households on annual basis c. SWM service fee on import of major source of solid waste such as fruits, vegetables, livestock products etc. based on quantity. d. Container service fee on trip basis based on the size of containers located in institutions. Page 3 of 15

59 e. Door to door solid waste collection service fee on a monthly basis 5 Prevailing rate of service fees Rapid survey of households, shop and establishments in 9 cities / towns done in March 2012 by the ADB TA 7597 revealed that 29% of the households paid less than Rs.500/- per year as SWM fee, whereas 44% households paid between Rs and 27% paid between Rs In case of shops and establishments 14% paid less than Rs.500/- per year, 40% paid between Rs , 27% paid between Rs , 11% paid between Rs /-, 2% paid between Rs , whereas 6% paid above Rs per year. Share of the collected SWM fee vis-a-vis total municipal own source revenue is found to be less than 2%. It is observed that about 4% of total SWM expenditure only is covered by the SWM fee in the studied municipalities, where on one of the studied municipalities 1 is covering about 25% of the SWM expenditure through the SWM fees. This shows the potentiality of substantial improvement in SWM fee collection in the municipalities. It was also observed in one of the towns studied in details that private sector is allowed to levy Rs.30/- to Rs.100/-per household per month and Rs.30/- to Rs.2500/- per month for commercial & institutional establishment. Besides, the municipality agreed to pay annually 1.75 million for providing service. Here more than 70% households &commercial establishments are reported to be paying the service charges due to reliability of service. From the income received, the contractor is sharing about 12% of the income with the municipality and has agreed to pay 8% for waste collection workers and 7% for awareness programme. In the municipalities where, door to door solid waste collection tariff is levied on a monthly basis, waste generation can be classified on the nature of business (health institutions, shops, hotels, offices, industries, education etc.), size of residential HHs and frequency of door to door services and different rates can be prescribed for various categories. 6 Formulation of guidelines With a view to help Local Bodies in prescribing SWM service fees, these guidelines are prepared to facilitate introducing adequate solid waste management fees in compliance to SWM Act An effort has been made to develop uniform and consistent solid waste service fee structure across the municipalities and VDCs in the country. 7 Principles for determining Solid Waste Management (SWM) Fee/Tariff The SWM Act AD has laid down basic approach of considering weight, volume & type of waste, etc., while prescribing SWM service fees by the Local Bodies. Keeping in mind the provision made in the Act, following basic principles can be considered by Local Bodies in while prescribing norms for levying service fee for Solid Waste Management services. Polluter pay Principle: Those responsible for waste generation should pay for its collection and safe disposal. Proportionality: The user fees should be in proportion to the quantity of waste generated and level of service provided to waste generators. Households generate much less waste as compared to commercial, institutional, industrial establishment and among 1 Pokhara Sub Metropolitan City Page 4 of 15

60 the households; the poor generate less waste as compared to rich. Therefore variable rates may be prescribed for different categories of waste generators keeping in view their waste generation pattern. At least 3 categories of service charge may be prescribed. 1. Households waste generators. 2. Commercial/ Institutional/Industrial waste generators 3. Bulk waste generator such as Hotels, Large Commercial/ Institutional / Industrial establishment etc. Capacity to pay: Affordability of Tax Payer may be kept in view. A fair service charge tariff will facilitate better compliance. Moderate Rate, least exemptions and wider coverage of Tax Payer will fetch better revenues. Following criteria may be considered: (i) Subsidy for poor: The element of cross subsidization may be introduced to give relief to the poor and disadvantaged to ensure that they are not deprived of basic Services. This is justified as the poor tend to generate less waste as discussed above. (ii) Higher Rates from non residential establishments: Higher rates may be prescribed for Commercial, institutional and industrial establishments & bulk waste generators as they produce substantially more wastes than households and have generally a better capacity to pay Willingness to Pay: People are generally willing to pay for good service. However it is desirable to ascertain their willingness to pay for different levels of services. Citizen may prefer higher level of service and be willing to pay more for the same. This consultation will promote better compliance. Gradual increase in rates: The solid Waste Management Act 2011Section 28 (m) directs SWMTSC to advise the Local Bodies on the manner of fixation and collection of Service fee to make solid Waste management activities reliable and economically sustainable. Looking to the current scenario of levy of SWM service fees in the local bodies, it does not seem practical to introduce the rates of service fees that may make SWM services self-sustaining immediately. Efforts should be made to reach the level of sustainability over a period of years. The service fee structure may be so devised that it may be commensurate with the level of service provided and may be increased gradually with improved level of services and may become readily acceptable to the people and they may come forward to comply with the directions. The rates may be increased by the local bodies to cover the O&M cost over a period of 5 years to meet the objectives of the Act. The local body providing better quality of service in some part of the local body may charge differently from area served and under-served and later apply uniform rates when entire area gets served adequately. 8 Minimize the Burden of Service charge, to make it affordable: Following measures may be taken to minimize the SWM Service charges burden on the citizens. (i) Street sweeping, etc. and its disposal to be charged to general taxes: Solid waste Management Services include general street cleaning, drainage cleaning, cleaning of Page 5 of 15

61 public space etc. These services being of general nature, their cost can be met through general taxes which are typically used to finance public services. (ii) Government grants for the service to the poor: Central Government gives recurrent grants for the provision of basic services to the poor. Therefore, some portion of the GoN grant can be utilized for subsidiarize solid waste management services to the poor. (iii) Processing facilities may be created on PPP basis to keep cost under control: All processing facilities may be created on design, build, own, operate & transfer basis involving private sector, who may be expected to invest his own funds. This will minimize the financial burden on the municipality for the processing of waste. The private sector may be given land on a token lease rent and Solid Waste free of cost at the plant site and allowed to recover his investments with profits by sale of compost, energy, or any other product that may be derived from solid waste at the treatment plant. (iv) Municipal Authority may introduce door-to-door collection/community bin collection involving private sector to keep cost low. Private sector may be involved for door-to-door collection from the urbanized parts of towns having population above 50,000 and community bin collection from rest of the areas and towns at a very competitive rate of service fee instead of municipality deploying its own manpower which is generally twice expensive. The provision of service by private sector will reduce the burden on Tax Payers. 9 Steps for determining SWM service fee SWM fee determination involves several considerations. Such as (1) Capital and O&M cost of services, (2) No. and type of waste generators, (3) Level of service to be provided, (4) willingness and ability to pay for the service, (5) levels of subsidy, (6) required establishment cost of the institutional arrangement for service delivery and cost recovery etc. Following steps may be taken by Local Bodies to determine service fee structure. 1. Identify fee base 2. Set norms of tariff fixation 3. Prepare SWM tariff/fee Proposal 4. Establish criteria for giving subsidy 5. Consultation and Communication with consumers and other stakeholders. 6. Approval from Revenue Advisory Committee and Sectoral Committee 7. Approval from Council 8. Set method of collection of SWM service fees Step 1. Understand Tariff/Fee Base: First step of tariff setting is to understand base of SWM tariff. The local bodies need to understand the number and type of waste generators to enable them to make estimate of volumes and types of waste generated, SWM expenditure, identify service options to set tariff rate. Following analysis is required to estimate service levels, cost for tariff setting for different levels of customers. (a) Classify the Waste Generator in different categories and determine their numbers: Page 6 of 15

62 Classify the Waste Generator in different categories such as households, commercial & institutional establishments and determine their numbers. This will help the Local Bodies in understanding the number and type of waste generators to be served and the frequency of service required. Following information may therefore be gathered by the Local Bodies: Consumers Household consumers Commercial and Institutional Establishments Information Required Current number of households in each settlement area, such as ward, Status of collection service in different types of settlements such as door to door collection or community bin collection or none Frequency of collection. Level of service desired by the households willingness of the households to practise RRR and segregate the waste at source, do home composting etc. Willingness to pay and ability to pay. Number of shops/establishments Number of institutions (offices, schools/colleges, temples) Hospitals, hotels, restaurants & guesthouses, etc. Number of industries (manufacturing industries) Status of collection service such as door to door collection or community bin collection or none. Frequency of collection. Level of service desired. Willingness to practise RRR and segregate the waste at source. Willingness to pay and ability to pay. This data may be analyzed and classified into difference groups such as: (1) Poor and non-poor households, (2) Small shops and offices/establishments (say less than 1000 sq. ft. area) (3) Large commercial/institutional establishments above 1000 sq.ft. and bulk waste generators as may be determined by the local body. It may further be ascertained from the waste generators the type of service desired by them and their willingness to pay (b) Estimates of waste generation: It is essential to have a fair estimate of the amount of waste generated in the City / Town. This will help in estimating the manpower, vehicles and equipment needs for primary collection, transportation, treatment and disposal of waste. Following information should be collected to estimate waste generation: Waste Generators Households Nonresidential premises Estimated Waste Generated Domestic waste generated per capita per day by different level of households in the city and its composition (organic and inorganic waste) Generally higher income HHs generate more non biodegradable and recyclable waste, such as packaging materials, glass, metal etc. Waste generated by shops, offices, workshops, hotels, and restaurants etc. Non-hazardous health care and industrial waste generated in the city as Page 7 of 15

63 Public Places a day to day basis. Waste generated by vegetable, fruit, meat and fish markets physical composition of waste generated. Bulk waste generators Waste collected from street cleaning and drainage cleaning activities each day. Refuse collected from parks, gardens and other public places Waste collected from unauthorised disposal sites in the city This data will give an idea of waste generation by different categories of waste generated which will help in scientifically determine different rates for difference]categories of waste generated and the cost actually incurred by the local body in providing services. (c) Estimates of the cost An analysis of cost of various levels of service is necessary to determine the fee structure. Cost components for SWM service need to be identified as categorized below: Service O&M Cost Component component Collection Types of collection vehicles & technology used. Manpower requirement: Manpower required for providing collection service. Cost calculation - fuel, labour, materials, safety measures, maintenance, depreciation cost. Cost per Metric Ton of waste collected/day Transportation Transportation cost from door-to-door collection site to the treatment / disposal site or transportation from community bins / transfer stations to treatment/disposal site. Cost of fuel, labour, maintenance, safety measures, depreciation cost Cost per MT/waste transported Processing Type of processing technology to be adopted Cost of Operation & maintenance of the processing facility. If PPP mode is adopted, residual financial burden on the Local Body Cost per MT/Waste treated Disposal Social costs Environmental protection cost in affected areas. SLF operation & maintenance cost labour, fuel, amenities cost Closure, monitoring & rehabilitation costs capital and recurring cost of per MT waste disposal Overheads Administrative overheads - staff and office operation Billing and revenue collection Public awareness Information system and data collection O & M Cost per Metric Ton waste handled. Page 8 of 15

64 Capital Investments Service Capital Cost Component component Collection Capital cost of storage bins, collection vehicles. Transportation Cost of transport vehicles and equipment required: Cost of transfer station Processing Cost of construction of processing facility. Disposal Total capital cost Proportionate cost per Metric Ton of waste per month Land cost/ lease cost Sanitary landfill construction cost Vehicles and equipment cost (This cost may be worked out keeping in view the life of vehicles & equipments used and plants/facilities constructed. The total O&M cost worked out as above will help in determining the service fee to be levied by municipality from various categories of consumers and the capital investments on land, vehicles & equipments, construction of treatment & disposal facilities will help in deciding the portion of capital cost to be met from property tax and other sources of revenue. Municipality may levy sanitation tax to cover part of capital cost. (d) Determine service options Solid waste management services can be provided in a number of ways. The choice of service level, level of community participation expected the type of tools, equipment, vehicles to be used, and frequency of service to be provided etc. will help in determining the cost of service. Alternative methods have a price tag. Local Body need to decide the level of service it desires to provide keeping in mind the cost of services and its capability to recover the cost. Service levels need to be determined prior to fixing service fee. Followings are the key options for the Local Body:- Consumers Residential consumers Service Options 1) Rural Areas: In rural areas waste is largely organic in nature and there is ample space available for segregation and home composting. Optionally community managed composting techniques may be insisted and incentivised to minimise cost of waste collection. Only recyclables and inorganic waste may be collected at regular intervals from common waste deposition centres. 2) Semi urban area: In dense rural or semi-urban areas, community bins/ containers could be provided for secondary storage or door to door waste collection service could be provided.. This waste may be collected by using covered tractor type cost effective vehicles on a day to day basis or on alternate days as may be acceptable to the community. 3) Urban Area: In core city areas door to door primary collection of solid waste from households everyday may be considered necessary. Page 9 of 15

65 Nonresidential consumers Hazardous Waste Generators Public Places Door-to door collection from commercial establishment and offices on a day to day basis or kerbside collection on a day to day basis may be considered adequate service level. For bulk waste generator such as Hotels, Restaurant, Large complexes waste collection service can be given on a demand basis. The service levels may be determined contractually keeping in view the amount and type of waste generated. For vegetable & Fruit market waste and construction waste generating site, local body can provide waste storage containers and transport them on a regular basis as per contractual terms. The hazardous waste generators are responsible to manage health care chemical and industrial hazardous waste. however, treated hazardous waste need to be disposed of by local body. It may be done on demand as per the contract terms between the local body and the waste generator. Local body is required to clean to all Public places, in residential and commercial areas, which includes street sweeping, cleaning of public spaces and surface drains. Special services of cleaning could be provided on chargeable basis during or after special events in public places is over. Step: 2 Norms of fee fixation Followings are the key areas of consideration for raising revenues before taking decision on prescribing SWM service structure: Base line survey has indicated that households, on and average generate 160gms MSW/capita/day i.e. around 800gms/family/day. The poor generate about 114 gms/capita, whereas non-poor generate about 200gms/capita/day. This justifies that the poor and non-poor could be charged differently. The poor can be charged 50% less fees than the non-poor on the grounds of less quantity of waste generated and their lower capacity to pay. The commercial, institutional and industrial establishments generate more waste. On and average the shops generate 1.4kg/day, whereas as offices degenerate 2.5Kg per day and hotels/restaurants etc. generate 5.7Kg /day. The quantum of waste generated by them justifies levy of higher rates. The norms of fee fixation for these establishments could be 200% of households rate from shops, 400% of the household rates from offices and institutional premises. Large commercial & institutional premises and bulk waste generates such as hotels/restaurants etc. may be charged higher rates keeping in view the average quantity and volume of waste generated by them. Citizen are expected to dispose of the organic waste in their compound as per section 5 (2) of the SWM Act To promote home composting and recycling of MSW, those who segregate waste may be given incentive in the form of 25% discount. This discount is justified as the volume of segregated waste will become less than 50% of the total waste generated by the household. Door-to-door collection and its transportation service could initially be charged to cover minimum 50% cost of O&M in case of households and 100% in case of non-residential premises. The service fee, in case of households may be gradually raised by 10% each year till 100% O&M cost recovery target is achieved. The O&M cost may include cost of door-to-door collection/community collection, transportation, treatment & disposal and may not include the cost of street sweeping, which may be covered from general taxes. Page 10 of 15

66 Duly treated Hazardous waste, medical waste, chemical & industrial wastes may be managed by Local Bodies or may be allowed to be disposed off at the sanitary landfill site by Local Body on full cost recovery of O&M cost as well as part capital cost as may be prescribed per Metric Ton by the Local Body on the advice of SWMTSC. It should be open to local bodies to start with higher rate in better served areas and aim at achieving O&M 100% cost recovery within 5 years. In-case of institutional, commercial and industrial building 100% O&M cost recovery may be made from the very beginning. At places, where some citizens are given door to door collection service and others are directed to deposit their waste in the community bins at the collection centre, those given community bin service may be charged only 50% of the rate charged from those who are given door-to-door collection service. The poor may be charged reduced rate of 50% in both the situations. In the cities, where no door-to-door collection service is given and people are asked to deposit waste at the community bins only, the cost of services will be quite low and it may be recovered by levy of minimum 50% of the O&M cost to begin with and later raised by 10% annually to make up 100% cost of O&M. This cost will be substantially low as compared to the cost of doo-to-door collection and generally would be affordable. Step 3: Prescribe appropriate service fee/tariff rates Consumers Service Options Service Fees to be levied Residential consumers 1) Rural Areas In rural areas waste is largely organic in nature and there is ample space available for segregation and home composting. Optionally community managed composting techniques may be insisted and incentivised to minimise cost of waste collection. Only recyclables and inorganic waste may be collected at regular intervals to keep costs low. 2) Semi urban area In dense rural or semi-urban areas, community bins/ containers could be provided for secondary storage. This waste may be collected by using covered tractor type cost effective vehicles on a day to day basis or on alternate days as may be acceptable to the community. If citizens desire, door to door collection service could also be given. As the collection cost will be low, a very low fee may be kept for these customers depending on the level and frequency of the service provided by the VDCs. It can begin with 50% of the cost of O&M service for households. The poor may pay 25%. This fee may be raised to 100% over a period of 5 years for non-poor consumers. Here the fee could be different for those served through community bins v/s those provided door-todoor collection services. Consumers given community service could be charged 50% of the rate fixed for those given doorto-door collection service. The same pattern of lower tariff for the poor may be adopted. The tariff fixed may be raised by 10% each year in case of those given doorto-door collection services and 5% in case of those who are given community bin collection services to cover 100% O&M cost from those getting door-to-door collection services and 50% from those who get community bin collection service by the end of 5 Page 11 of 15

67 Consumers Service Options Service Fees to be levied years. Nonresidential consumers (commercial, industrial, institutional, etc) Hazardous Waste Generators 3) Urban Area: In core city areas door to door primary collection of solid waste from households everyday may be considered necessary. Areas other than core city areas may be served through community bins. Door-to door collection from commercial establishment and offices on a day to day basis. For bulk waste generator such as Hotels, Restaurant and large complexes, door-to-door waste collection service can be given once or even twice a day, on a demand basis. The service levels may be determined contractually keeping in view the amount and type of waste generated. For vegetable, Fruit and meat/fish markets waste and construction waste generating sites, local body can provide waste storage containers and transport them on a regular basis as per contractual terms The hazardous waste generators are responsible to manage their waste.. However, treated hazardous waste need to be disposed of by local body. It may be done on demand as per the Here levy of service fee could be 50% of the O&M cost giving reduction of 50% to the Poor. This fee may be raised to 100% over a period of 5 years for non-poor consumers. Service fee level for such consumer could be lower than core city area. Here the fees should cover 100% cost of O&M service. Non-residential establishments may be grouped in small and large establishments and different rates may be prescribed for each category. (Establishments under 1000sq.ft may be considered small) Monthly SWM tariff for nonresidential premises can be fixed as under: Shops Twice the rate for household. Offices and institutional premises- - UP to 1000 sq feet: 4 times of the household rate - Above 1000 sq.ft- Rate that may be prescribed for bulk consumers on the basis of average quantity of waste generated by them. Here the fees should be fixed at 100% of the O&M Cost. The rate can be fixed on the basis of volume and quantity of waste generated per day. Here the fees should be 100% of the O&M Cost. It may be based on volume and quantity of waste generated and number of units served in each market. Here the fees should be 100% of the O&M Cost + part of capital cost as may be determined by the municipality. Page 12 of 15

68 Consumers Service Options Service Fees to be levied contract terms between the local body and the waste generator. Public Places Local body is required to clean to all Public places, in residential and commercial areas, which includes street sweeping, cleaning of public spaces and surface drains. Special services of cleaning could be provided on chargeable basis during or after special events in public places is over. This cost may be met with from general taxes levied by the local body Here full cost of O&M may be recovered. Keeping in view the above considerations, following brief norms could be adopted for tariff fixation. Recovery of O & M cost from the waste generators. The O&M cost per metric tonne of waste handled may be taken as a base rate and recovered in the form of service fee from various levels of waste generators as under: 1. Households Non-poor ordinary Household produces 1 to 1.20 kg waste per day say 500 kg or 0.5 MT waste per year. The O&M cost for 0.5 MT waste may be targeted to be recovered each year from Non-poor ordinary household who get door to door collection service. This may be phased out over a period of 5 years as under:- Year 1: 50% of O&M cost. Year 2to 5: increase this cost at least by 10% each year and achieve 100 O&M cost recovery by the end of 5 years. 2. Poor households: As these house hold generate about 50% of the waste as compared to ordinary household, they may be charged 50% of the base rate This may start with 25% of the base rate to begin with and increased by at least 5% of the base rate each year and achieve 50% of the base rate by the end of 5 years. 3. Households getting community bin service The cost of community bin collection service being much less as compared to door to door collection service, 50 % amount of the base rate may be levied from such waste generators. Poor may be charged 50% less. 4. Shops Average Shops generate 1.5 kg waste / day. They may be charged twice the base rate prescribed for ordinary households. 5. Offices /Institutional premises generate 2.5 kg waste. Such premises smaller than 1000 sq ft could be levied 4 times the base rate. Page 13 of 15

69 6. Large commercial /institutional establishments and bulk waste generators such as hotels and restaurants, markets etc. These establishments may be charged fees depending upon the average quantity of waste generated by them per day as compared to above quantities and special rates may be prescribed by the municipality for them. 7. Generators of hazardous wastes, health care /bio-medical waste and chemical wastes Such establishments may be charged full O&M cost keeping in view the rates that may be prescribed for bulk waste generators and part of capital component of the cost as deemed appropriate by the municipality or as recommended by SWMTSC Step 4: Establish criteria for giving subsidy: This is an important aspect to provide solid waste collection services to poor households having limited ability to pay for services. Poor people need to be identified to gain access to services at a subsidised rate. The followings process may be followed by the local bodies in identifying poor people for charging lower rates for solid waste management. Identifying the target group(s): Poor households or groups of people who are to be charged lower rates need to be identified based on the criteria set by the local body. Type of dwelling units/localities and level of basic service available to them could be given consideration in determining whether the family is poor or not. As a thumb rule, people living in slums and informal settlements devoid of basic services may be considered be eligible to pay 50% of lower rates of service fee. Besides slum dwellers, the people living in dwelling units smaller than 25sq.mtr. could also be considered poor and given the benefit. Designing the lower rates of service fee: The local bodies may declare and implement a package for providing solid waste collection services at 50% reduced rate to the poor identified on the lines indicated above. Step: 5 Communication with consumers To gain popular acceptance of solid waste management service fee by the users, it is vital that the process of determining these fee is transparent and communicated to all parties affected. The local body may undertake following activities in facilitate the process: Step:6 Consultation with Stakeholders As part of the public consultation exercise, local body may communicate with the stakeholders about proposed service fee structure and levy of lower rates from the poor. Local body may organize a consultative workshop to have the citizen views on the proposed service levels and fee structure and taking into consideration the guidelines that may be issued by SWMTSC under section 18 of the SWM Act Step:7 Approval from Revenue Advisory Committee and Sectoral Committee As required by the LSGA, proposed solid waste service fee structure need to be placed before the revenue advisory committees by the chief executive officer for its approval and place the same before the Council for its final approval Step: 8 Approval from Authorized Agency Page 14 of 15

70 The Council of the Local Body is the final authority to approve solid waste service fee structure, service fee rate and discounts/subsidies to be given or lower rates to be charged from poor etc. Therefore, the local body administration should submit its proposal together with the approval of revenue advisory committee to the council meeting every year for approval of SWM service fees prior to implementation. Step: 9 Method of recovery of SWM service fees The service fees may be levied from all waste generators that are owner or tenants of the premises they occupy. The local bodies need to prepare a list of households, shops and establishments who are door to door service receivers. Local body to declare monthly SWM service charges for different levels/ categories of waste generators. Service fee could be levied monthly or bi monthly. Prepare special list of bulk waste generators. Decide the rate on the basis of quantum and or volume of waste generated by bulk waste generators. Decide the fixed monthly rate payable by bulk waste generators based on their average waste generation rates and to review it annually. If local body decides to provide waste collection service through private sector, authority of fee collection may be given to private sector and determine the fee sharing/paying mechanism to the private operator for rendering the service. In cases where local body decides to provide this service departmentally with its own manpower and machinery. It may make it mandatory for the citizens to pay the service fee at the prescribed rates at the designated place before 5 th day of each month or every alternate month. OR Local body may decide to link the recovery of SWM service fee with the recovery of other fees for providing basic services such as house and land tax, integrated property tax, water charge or electricity charges etc. Step: 10 Penal provision for non-payment Panel provision as applicable for recovery of dues of property tax or business tax may be applied to the defaulters who fail to pay SWM service fee and may be penalised as mentioned in the Solid Waste Management Act 2011 AD. This should be propagated and enforced as soon as service fee structure gets streamlined and becomes operational. Page 15 of 15

71 Solid Waste Management Technical Support Centre (SWMTSC) Ministry of Federal Affairs and Local Development (MoFALD) ADB TA-7597-NEP-Capacity Building for Waste Management Capacity Assessment of SWMTSC, Gap Identification and Strategy for Bridging the Gaps September 2012 Asian Development Bank Prepared by Mr. P U Asnani, Team Leader, TA 7597 Rajendra Giri, Institutional Expert IPE Global Private Limited In association with Environnment Resource Management Consultants (ERMC) (P.) Ltd. and Full Bright Consultancy (Pvt.) Ltd. 1

72 Table of Contents 1 Capacity Gap Assessment and strategic actions for bridging the gaps Institutional Capacity Measurement Strategic Actions for Capacity Development of SWMTSC Summary of assessment on capacity of SWMTSC, Identification of Capacity Gaps and Strategy/Options for Capacity Development Annexures Annex -1 Institutional Assessment on 7 factors with 4X4 Indicators Matrix of SWMTSC Annex-2 Assessment on Existing Situation of SWMTSC Annex -3 Persons and Institutions consulted Table of Tables Table 1 - Capacity Measurement of SWMTSC and Identification of Capacity Gap... 4 Table 2 - SWMTSC's Institutional Assessment, Identification of Capacity Gap and Strategy/Options for Capacity Development Strategic Management Organizational Structure and Culture Human Resources Working Process/System Financial Management and Resource Mobilization Information Resources and Management Relationship Inter-relationship and Network of Relation...18 Table 3 - Capacity Measurement of SWMTSC Page 2 of 34

73 Capacity Assessment of SWMTSC, Gap Identification and Strategy for Bridging the Gaps 1 Capacity Gap Assessment and strategic actions for bridging the gaps 1.1 Institutional Capacity Measurement Institutional Assessment Tool is applied to facilitate the assessment of SWMTSC s institutional capacity. The tool served two purposes: a) Involvement of SWMTSC staffs in assessment procedure, resulting in better understanding and ownership of the procedure. b) Facilitate in identifying strengths and weaknesses of SWMTSC and prioritising areas of improvement and drawing an action plan. The application of Institutional Assessment Tool is based on Integrated Organizational Model (IOM). Institutional Capacity of SWMTSC is divided into major seven capacity factors: i. Strategic Management ii. Organizational Structure and Culture iii. Human Resources iv. Work Process and System v. Financial Management and Resource Mobilization vi. Information management and Technology vii. Inter-relationship and Network of Relation Four specific indicators are developed for each of the capacity factors. All indicators are described with a four score options, ranging from 1 to 4 in which 1 refer to an undesirable situation and the score 4 to an ideal/best situation (see Annex -1: Institutional Assessment on 7 factors with 4X4 Indicators Matrix of SWMTSC). The respective section and the SWMTSC staffs were consulted, briefed and involved in the assessment. Institutional situation assessment indicators matrix (See Annex -1: Institutional Assessment on 7 factors with 4X4 Indicators Matrix of SWMTSC) explains the capacity range. Score (1, 2, 3 or 4) for each component is based on the situational review. The scores/assessments were added up separately to calculate the total score. The total score per component was presented in a spider diagram (Figure 1.1), which visualises the existing capacity of the SWMTSC. Seven arms of the spider diagram represent the seven dimensions of the SWMTSC institutional capacity factors. Each arm has a minimum 4 scores and a maximum 16 scores. The gap between 4 and 16 shows the capacity gap or areas for improvement. The spider diagram clearly indicates the priority area that the SWMTSC needs to draw its attention see table 1-2 Capacity Measurement of SWMTSC and Identification of Capacity Gap (Annexes 1 and 2). Four capacity factors have 11 points gap out of 16 point, and one capacity factor has 10 points gap out of 16 points and 2 capacity factors have 9 points gap (See table 1-2: Capacity measurement of SWMTSC and Identification of Capacity Gap). Page 3 of 34

74 Table 1 - Capacity Measurement of SWMTSC and Identification of Capacity Gap S.N. CAPACITY FACTORS SCORE DESIRABLE GAP 1 Strategic management Structure and Culture Human Resource(members of council & board and 3 staff) Work Process/System Financial management and resource mobilization Information Management and IT Inter-relationship and Network of Relation Figure 1 - Institutional Capacity Measurement and Capacity Gap of SWMTSC Four capacity factors: i) work process/system, ii) financial management and resource mobilization, iii) information management and IT, and iv) inter-relationship and networking of relation have 5 point score. Whereas, one capacity factor human resources has 6 points score and 2 capacity factors namely; strategic management and organizational structure & culture have 7 seven points score. The score is poor and all capacity factors need significant improvement. 1.2 Strategic Actions for Capacity Development of SWMTSC Institutional Capacity Building Assessment of SWMTSC is focused on: Page 4 of 34

75 a. Review of SWM policies, acts and regulations b. Identification of the current institutional capacity gaps to function efficiently as provisioned by the Act and the regulation c. Suggest possible strategies and actions for institutional capacity building Findings of the assessments, identification of capacity gaps and strategy/options for capacity building are presented in Table 1-2 SWMTSC's Institutional Assessment, Identification of Capacity Gap and Strategy/Options for Capacity Development. Page 5 of 34

76 Table 2 - SWMTSC's Institutional Assessment, Identification of Capacity Gap and Strategy/Options for Capacity Development Tools for Present Strategy and Options for Addressing S.N Dimension Desired Capacity Capacity Gap assessment Capacity Score* Capacity Gaps 1 Strategic Management SWMTSC defines its developmental vision in a participatory manner with its policies, plans and implementation strategies 1.1 Organizational strategy for the defined vision. Policy, 1.2 Management & Operation level strategy 1.3 Score sheet, observations, group discussions, problem analysis, stakeholders analysis External linkage 2 2 Poor balance Define vision and development objectives along with stakeholders No efforts to prepare vision document IMMIDATE ACTION 1. Support in Strategic Planning between vision Communicate to all stakeholders of No clear plan and strategies Conduct Institutional Review to and strategy SWMTSC, and get consensus on the same to achieve the Goal Identity capacity gaps in key areas and develop operational plan to address the capacity gaps. 1 Develop strategy, programs and No clear short-term and Define role and responsibilities of Not defined levelwise management plans of the SWM sector long-term plans with SWMTSC staffs. strategies in accordance to the vision. strategies for Define and share Strategic vision of Prepare short-terms and long-term implementation of technical the SWMTSC among stakeholders. plans with strategies for support program Develop Strategies, short and implementation medium term Programs of technical assistance & research & Linkage established with few external parties Prepare the program to develop Inadequate linkage development. linkage and working with research established with other Prepare annual calendar of institutes, private sector, I/NGOs etc organizations, operation Mobilize private sector professional for research/educational Establish and Implement better services. Conduct discussion/meeting with external agencies and visit relevant institutions institutes NGOs and donors etc performance Monitoring system. Develop Strategy for mobilizing civil society, educational institutes and private sector for SWM professional 6

77 S.N Dimension Tools for assessment Accomplishment of 1.4 organizational objectives /vision/program *Score out of 4, based on spider model 2 Organizational Structure and Culture Clarity of task 2.1 among members of board and council and SWMTSC staffs Score sheet, observations, group discussions, problem analysis, stakeholders Present Strategy and Options for Addressing Desired Capacity Capacity Gap Capacity Score* Capacity Gaps 2 Prepare calendar of operation and Programs and activities are delivery of services. Poor monitoring. not clear to SWMTSC and accomplishment of Conduct training and capacity its staff Conduct training for all levels of SWMTSC's building programme and research & SWMTSC objectives officers and supervisors responsible objective, vision & development activities as per the SWM partially achieved. for SWM and other stakeholder. programs Act 2011 and national policy on SWM. LONG-TERM ACTION Conduct regular review/result based Prepare long term programme of monitoring/evaluation on the programs capacity building of SWMTSC staff and take corrective actions and local bodies and research & development. Provide training in the areas of treatment and disposal technologies. Conduct regular review/evaluation of the programs and take corrective actions. Roles and responsibilities as mandated by SWM Act 2011, understood to SWMTSC staff and the members with clear organization structure 2 Review and redefinition of Lack of clear understanding IMMIDATE ACTION Little organizational structure about redefined tasks and 1. Support in Establishing Basic l i Understanding Improve structure of staffing and work distribution among designated staffs/ members Make each members know his job well. functions Organizational Framework Review and redefine organization structure of the SWMTSC in line with SWM Act and SWMTSC's vision. Page 7 of 34

78 S.N Dimension Tools for assessment Present Capacity Score* Desired Capacity Capacity Gap Strategy and Options for Addressing Capacity Gaps Activities of 1 Define the job description of the Lack of accomplishment as Communicate improved structure to 2.2 Sections, Sub- Not noticeable sections and positions as per improved per SWM Act 2011 all staff and put signboards of the section & Unit as per defined structure structure Review the implementation of job description and performance Lack of monitoring the performances as per standards structure on key places (ED, Sections, reception) Develop job descriptions of sections Provide necessary support to and positions as per the improved subordinates for carrying out the jobs structure and implement them with Accountability & Responsibility of the assigned task and functions Organizational Value 2 Not satisfactory 2. Little Understanding Empowering the staffs to perform with necessary authorities Introduction of check and balance for the performance Informing the council/board members about the progress of different sections Professionalism with ability of satisfying the client/stakeholders Result oriented indicators of the members and staffs Monitoring of SWMTSC officials behavior Poor status Inadequate understanding Lack of learning enthusiasm Poorly defined organizational values delegation of authority. Evaluate and Review the implementation of job description and performance from time to time and make necessary revision. LONG-TERM ACTION 1. Support in establishment of mechanism for empowerment Establish delegation mechanism. Define result/performance oriented indicators for both the staff and the members. Develop and put in place service standard, organizational code of conduct, norms and working culture. Publish and implement the SWMTSC's code of conduct/values. S.N Dimension Tools for assessment Present Capacity Score* Desired Capacity Capacity Gap Strategy and Options for Addressing Capacity Gaps Page 8 of 34

79 Tools for Present S.N Dimension Desired Capacity Capacity Gap assessment Capacity Score* 3 Human Resources Staff and members are capable, motivated and made accountable and responsive. Selection and 3.1 appraisal of Human Resources Score sheet, observations, group discussions, problem analysis, stakeholders analysis Motivation Level Human Resource 3.3 Development 1 No competitive and rigorous selection Competitive selection, recruitment and promotion of SWMTSC staff Establish the performance reporting and appraisal practice on a regular basis for quality assurance Leadership development of the members and staffs with the help of training and other educating tools Staff selection process not very competitive Lack of technical skills in existing staffs and members Only few staffs are satisfied with the working conditions 2 Not a priority Provision of incentives for the staff and Lack of recognition, no stakeholders based on performances. motivation to staff to put in Mechanism of recognition should be in best efforts. place. Proper policy and planning of HRD Lack of HRD policies, plans HRD programs based on performance and programs evaluation, hiring, skill development and its implementation Provision of HRD budget in the annual budget of SWMTSC Training programs, exposure visits, job rotation/transfer as per planned skill development for the staffs Collaboration with I/NGOs for HRD support Strategy and Options for Addressing Capacity Gaps IMMIDATE ACTION 1. Support in Developing HRM and HRD Policy Develop comprehensive HRM & HRD Policy Conduct Human Resources Need Analysis Develop HRD for recruitment, retention, and distribution system. Develop a system of on the job, and capacity enhancement training to enhance inter-agency collaboration with LAs, NGOs and other research institutes/agencies. Establish performance reporting, and evaluation system Introduce policy of recognition and rewards. LONG-TERM ACTION 1. Support in strengthening of HRM Implement HRM & HRD policy and programs. Plan and implement career Page 9 of 34

80 S.N Dimension Tools for Present Strategy and Options for Addressing Desired Capacity Capacity Gap assessment Capacity Score* Capacity Gaps 3.4 Available human resources, inclusive and gender balance 1 Not sufficient as per the defined tasks Review of the existing human resources and balance it with workload Internal and external recruitment for required positions Provision of orientation and training to the staffs/members Specify inclusive and gender sensitive policy Quantitatively over staffing but lack of core technicians for TA and R&D Not balanced in terms of gender and inclusiveness of the staffs/members development programme. Allocate funds in the SWMTSC budget for advanced training, capacity building & research & development.. Develop pool of experts on research and SWM Service sector through advance training and networking. Enhance leadership of staff members, and section heads/divisional heads. Explore the HRM and HRD supports from I/NGOs and others and capitalize them. 4 Working Process/System SWMTSC establishes working system for effective technical assistance and R&D on SWM with accountable, transparent and participatory ways Administrative, 4.1 financial, technical & operational processes Score sheet, observations, group discussions, problem analysis, stakeholders analysis 1 Working procedures are Well defined processes of taking key administrative and financial decisions. Defined formats and guidelines of No defined working procedures Lack of implementation of IMMIDATE ACTION 1. Support in establishing systems and working processes: not defined for participation, planning & the existing guidelines Establish process of delivery of operational implementation, reporting for all the Not clearly defined technical assistance by SWMTSC s. purposes stakeholders procedures for major tasks Develop participatory monitoring Transparency and timely implementation. as per Act and lack of transparency in decision making. system within SWMTSC including follow-up on the monitoring findings 2. Strengthening office management Page 10 of 34

81 S.N Dimension Tools for assessment Present Capacity Score* Desired Capacity Capacity Gap Strategy and Options for Addressing Capacity Gaps Essential bye laws, 1 Availability of approved regulations & Necessary by-laws, and IT systems: 4.2 working manuals Not practiced Working manuals for administrative, manuals and directives are Improve office management, record and directives financial and technical functioning for not in place for operation keeping and filing system including IT the centre and local bodies Confusion exists in the roles infrastructure and software. Orientation of the staff and the of SWMTSC, staff, line Establish system for utilization of SWMTSC council and board members agencies, and ministries records and information for clients. on SWMTSC and stakeholders' LONG-TERM ACTION working areas 1. Support in preparation of long-term SWMTSC's Policy, 1 Defined policy short term, midterm and Improper objectives, planning 4.3 Plans and Not practiced long term plans and programs unbalanced plans and Prepare and implement SWMTSC's implementation satisfactorily Yearly calendar of operation of each budgeting working manuals and by-laws sections and projects with budgeting Insufficient cooperation with Develop and implement monitoring Provision of training programs on local bodies, NGOs, and follow-up mechanism. planning and implementation research institutes and Prepare and implement service Provision of rewards and penalties concerned line agencies charters on SWM based on project implementation Lack of long term plans and results shared vision Negligible involvement of stakeholders Page 11 of 34

82 S.N Dimension Tools for assessment Present Capacity Score* Desired Capacity Capacity Gap Strategy and Options for Addressing Capacity Gaps Monitoring and 2 Defined monitoring mechanism and Ineffective monitoring of 4.4 evaluation Few attempts follow-up plans of the service delivery support services to in place, stakeholders, local bodies. Regular review of the performance with stakeholders Informal get-togethers, visits, meeting, cultural programs with stakeholders Publication of achievements and problems S.N Dimension Tools for assessment Present Capacity Score* Desired Capacity Capacity Gap Strategy and Options for Addressing Capacity Gaps 5 Financial Management and Resource Mobilization Budget and 1 Well defined process of budget The budget formulation is IMMIDATE ACTION 5.1 program Score sheet, observations, group discussions, problem analysis, stakeholders analysis Budget is not program based formulation and implementation Capacity of revenue forecast Participatory approach on budget preparation and priorities Justification of taking up major projects in consultation with stakeholders Preparation/submission of development programs and projects to MLD for allocation of funds. taken as a formality and is not program based Lack of participatory approach in budget formulating process Poor achievement and flow of the budget 1. Support in program based budget preparation. Prepare standard programming and budgeting guideline. Prepare financial trend analysis of SWMTSC and municipalities. Prepare proposals for allocation of adequate financial resources to SWMTSC to carry out its activities Page 12 of 34

83 S.N Dimension Tools for assessment Present Capacity Score* Desired Capacity Capacity Gap Strategy and Options for Addressing Capacity Gaps Accounting and 1 Defined accounting process. Accounting does not show effectively. 5.2 reporting Not on-time reporting, unsatisfactory accounting Establishing the mechanism of incurring expenses strictly as per approved budget. Introduction of transparent system of accounting, preferably electronic one to enhance reporting system Preparing strong proposal for getting financial resources from Government and external agencies. clear statement of assets, liabilities and project cost Reporting of payments, income, outstanding and advances is not practiced Lack of adequate transparency in the income and expenditures 2. Prepare guidelines for fixation of SWM charges and service charge collection: Orient staff on the guideline 3. Strengthen accounting and its software Streamline SWMTSC Accounting and financial management. 5.3 Mobilization of financial resources. 2 Not satisfactory Introduction of appropriate service fee structure in local bodies. Mobilizing financial resources for SWMTSC through grants subsidies, research fees, etc. Managing the inventory resources. Monitoring, following-up and corrective measures to maintain Existing and potential financial resources are not efficiently mobilized Poor asset management, property records, their utilization and distribution. No interest on meeting revenue targets Train SWMTSC staff in financial management and accounting. Support SWMTSC's account section to enhance financial management capacity Develop and implement accounting package on SWM for local bodies. LONG-TERM ACTION financial discipline. Develop strategy for increasing Page 13 of 34

84 S.N Dimension Tools for assessment Financial control 5.4 and Audit S.N Dimension Tools for assessment Present Strategy and Options for Addressing Desired Capacity Capacity Gap Capacity Score* Capacity Gaps 1 Enforce financial discipline in The internal auditing is SWM service charges by local Lack of structural SWMTSC weak bodies to make the services self provision of Strong and on-time internal auditing Poor utilization of human & sustaining. internal audit and system to prevent irregularities. financial resources Create a mechanism to earn financial control Reporting of audit observations to Financial management is revenues for SWMTSC through the council, the board and account not done professionally. service delivery, research & committee. development. Develop mechanism of internal financial controls in conformity with approved budgets. Establish internal audit mechanism to curb irregularities in utilization of funds and procurements. Conduct Revenue Inventory Survey on SWM to harness potential revenue. Establish system of public auditing. 2. Support in resource mobilization Prepare, orient and implement resource mobilization guideline. Formulate policy, plans, program for civil society and private sector participation Present Strategy and Options for Addressing Desired Capacity Capacity Gap Capacity Score* Capacity Gaps 6 Information Resources and Management Management Information System established and SWMTSC utilized the information on SWM Page 14 of 34

85 S.N Dimension Tools for assessment Present Capacity Score* Desired Capacity Capacity Gap Strategy and Options for Addressing Capacity Gaps Reporting Meetings, interactions and discussions programs Score sheet, observations, group discussions, problem analysis, stakeholders analysis 1 No defined reporting system 2 Not enough staff meetings and interaction programs between staffs and members Develop reporting systems of progress of sections, local bodies, donor supported projects. Introduce the reporting schedule. Review the reports at staff- and policy-level meetings and take corrective measures. Develop monitoring and follow-up To review the programme and its impact Develop Management Information system. Prescribe schedule of meetings, reviews at various levels and minitise discussions and take followup action. Organizing formal/informal interaction with key actors/people on a regular basis. Verbal and informal reporting among close informal circle Reporting system is not defined and authorities do not bother on the reporting to the council, the board members and other stakeholders. Not enough interactions between staffs and stakeholders Information, agenda and timing of the meeting are immature IMMIDATE ACTION 1. Support in establishing information system. Identify SWMTSC's information needs and develop MIS system. Enhance SWMTSC's capacity for capturing and updating key information on SWM Device filing and documentation system for electronic storage of information Develop human resources (SWMTSC staff) for information collection, storage, processing and utilization. Establish information based decision making system. Prepare a schedule of meetings and reviews and organize such Page 15 of 34

86 S.N Dimension Tools for assessment Collection and 6.3 dissemination of information & decisions Management 6.4 Information, IT and Filing system 7 Relationship Inter-relationship and Network of Relation Present Strategy and Options for Addressing Desired Capacity Capacity Gap Capacity Score* Capacity Gaps 1 Collection of necessary information Directives, programs and meetings. Draw minutes and take No circulation of with maximum accuracy the progress reports are follow-up action. minutes and Establishment of information unit not up to date LONG-TERM ACTION information Provision of circulating the meeting They are not available to 1. Support in establishing SWM sharing among minutes to the concerned the concerned persons on Information Center. concerned parties Provision of information sharing and time and also are not easy Support logistic requirements of and stakeholders feedback receiving mechanism to access information and Record Center for No organized information scientific record keeping. management & sharing Prepare Resource and poverty mechanism. maps of the local government on 1 Proper management of information Lack of proper mapkeeping SWM. Inconsistent facility system as Prepare SWM Situation Analysis Proper filing and documentation Complicated information Report, SWM Bulletin, Local body system as per improved structure retrieval system profile, etc. Disposal of documents and papers There is no information Prepare SWMTSC for establishing as per the Acts management system and E-governance. information retrieval Establish information sharing system system is arbitrary with LAs, Municipalities/VDCs, Decisions at higher level NGOs etc. are hardly based on basic information and needs in local governments SWMTSC functions in close collaboration with Local Bodies, Central Government Organization, Civil Society, Private Sector and the International Agencies Page 16 of 34

87 S.N Dimension Tools for assessment Present Capacity Score* Desired Capacity Capacity Gap Strategy and Options for Addressing Capacity Gaps Common issues 7.1 and networking with external institutions etc. 7.2 Relation with International, national, regional and local government Score sheet, observations, group discussions, problem analysis, stakeholders analysis 1 Not set 2 No significant effort Identification of institutions for potential network. Setting common goals in collaboration with research institute, private sectors, local bodies and other stakeholders to find solutions to common issues. Collaboration with the stakeholders to achieve the set goals Defined strategy on improving the relations and contacts with external agencies. Develop relations with different parties through visits meetings etc. Communicate progress report to potential parties and get their feedback/comments on the SWMTSC programs Develop support programs for network organizations No common issues are on the agenda with national, regional authorities, international agencies The research institutes have very less idea on SWMTSC's research agenda and core service Poor functional relation among international, national, regional and local government. Poor informal attempts and recognition on improving relation with international, national, regional and local governments. There is no strategy, plan and program to improve relation and get benefit out of international, ministries, regional and local governments' cooperation. IMMIDATE ACTION 1. Support in strengthening relationship of SWMTSC with other institutions. Identify Strategic partners in the international field and center for network relation. List out common issues and put in the agenda for finding appropriate solutions. Develop specific policy, strategy and program to build relations with international institutions. Facilitate formal and informal interactive meeting with the international agencies, national and regional authorities, LAs NGOs and other stakeholders. 1. Support in developing networking Develop inter-local government coordination and cooperation plan with international agencies, line agencies, NGOs, private sector based on long term plan. Plan exposure visits and share Page 17 of 34

88 S.N Dimension Tools for assessment Present Capacity Score* Desired Capacity Capacity Gap Strategy and Options for Addressing Capacity Gaps 7.3 Exposure visit of No such Identify the officers and staff of local Few attempts on experiences with all stake holders. professional and programme bodies, SWMTSC and government establishing formal relation document the outcome of the visits. staff for HRD on conducted. agencies which need exposure visit with regional authorities, Review the outcome of exposure SWM programs No formal relation established with any authorities and I/NGOs. for capacity building. Identify the institutions, cities, locations of best practices which need to be looked at. Plan exposure visits and take follow- central authorities and I/NGOs. International agencies, national, regional and local governments, private visits and do handholding where required. up actions sectors and civil society Identify strengths of international, are not clear on national, regional and local SWMTSC s roles on SWM. organization and develop proposals No networking and Build relations with, international/ for professional services exchange programs with bilateral organizations and I /NGOs. Communicate to government the international agencies Exchange information on best required areas of supports for private sectors and no practices and research work for the acquiring for professional knowledge interaction with civil society benefit of local bodies and SWMTSC. and human resources development. for exchange of expertise Take technical assistance and development of HR skills. Page 18 of 34

89 S.N Dimension Tools for assessment Present Capacity Score* Desired Capacity Capacity Gap Strategy and Options for Addressing Capacity Gaps 7.4 Develop relations 1 Develop relations with international, Relations with, with bilateral/multilateral organization and I/NGOs, private sectors/research/ed ucation institutions Limited relation with international agencies, central line agencies, research institutes, private sector, civil society. central & regional research and education institutes for SWM promotion and development Develop the programs of improvement of SWM services with the help of bilateral/multilateral bodies, I/NGOs, public and private sectors on SWM Support local bodies in HRD through international/ bilateral organisations and I/NGOs is poor international agencies and other leading institutions of excellence. Page 19 of 34

90 1.3 Summary of assessment on capacity of SWMTSC, Identification of Capacity Gaps and Strategy/Options for Capacity Development Findings of the assessments on capacity building are presented in Table 1-3 Capacity Measurement of SWMTSC. Out of 16 total scores on each capacity factor, 2 factors get score of 7 another one gets score of 6 and remaining 4 factors gets score of 5 each only. The existing capacity is found to be poor in all capacity factors. Table 3 - Capacity Measurement of SWMTSC S.N. CAPACITY FACTORS SCORE 1 Strategic management 7 2 Structure and Culture 7 3 Human Resource(members of council & board and staff) 6 4 Work Process/System 5 5 Financial management and resource mobilization 5 6 Information Management and IT 5 7 Inter-relationship and Network of Relation 5 The existing situation is assessed and compared with desirable situation. There is wide gap in the capacity of SWMTSC which means the centre needs immediate improvement to minimize the gap for effective services delivery by the centre. (See Table 1-2 Capacity Gap on the Capacity Factors). The strategy and options for addressing capacity gap is given in the matrix above in Table 1-2 SWMTSC's Institutional Assessment, Identification of Capacity Gap and Strategy/Options for Capacity Development. 20

91 Annexures

92 Annex -1 Institutional Assessment on 7 factors with 4X4 Indicators Matrix of SWMTSC 1) Strategic Management: SWMTSC defines its 1 developmental vision in a participatory manner with its Policy, Plan, Implementation Plans and Strategies. 1.1 Organizational strategy for the defined vision. 1.2 Policy level, Management level & Operational level strategy. No vision and strategy. Nobody bothers to define level wise strategies No relation between the vision and strategy. Some attempts to prepare yearly plan as vision. 1.3 External linkage. Poor external linkage. Linkage established with few external parties. 1.4 Accomplishment of organizational objectives /mission/program. Poor accomplishment of SWMTSC's vision, objective, & programs Activities are generally incomplete due to occurrence of many hindrances. Set strategy in accordance to defined vision at policy level. Clear plan and strategies to achieve the vision. Linkage established and working with few organizations. Activities are completed or carried out. Set strategy at policy, management and operational levels fully in accordance to the vision. Clear short-terms and long-term plans with strategies and good implementation. Linkage established and working with many organisations, NGOs and donors etc. SWMTSC's objectives are achieved.

93 2) Organization Structure and culture: Roles and responsibilities 2 as mandated by SWM Act 2011, understood to SWMTSC staff and the members with clear organization structure. 2.1 Staff, council and board members have clarity on task & functions of SWMTSC. 2.2 Activities carried out by Section, Sub-section & Unit as per defined structure. 2.3 Assuming accountability & Responsibility of the Not at all. Not at all. assigned task and functions. 2.4 Organizational Value No ideas about Organizational Value Little understanding of task to staff and members. A few tasks are done as per defined structure. More staff and members have clarity of SWMTSC's tasks and functions. More tasks are done as per defined structure. Staff and members have full clarity of SWMTSC's tasks and functions. Almost all tasks are done effectively as per defined structure. Not at all. Nobody bothers. Formality is met. Accountability & responsibility are fulfilled. Some idea about Organizational Value. Some understanding & attempt to define Org. Value. Defined, Understood & practiced Org. Value

94 3) Human Resources (Members of Council & Board and Staff): Staff and members are 3 capable, motivated and made accountable and responsive. 3.1 Selection and appraisal of Human Resource 3.2 Motivation of human resources 3.3 Human Resource Development. 3.4 Human Resource in terms of number & Inclusive and Gender Balance. No competitive and rigorous selection. Nobody is satisfied with the work and working condition Poor quality of human resource Number of human resource is insufficient to complete necessary tasks Poor selection and no regular appraisal. Few staff are satisfied with the work and working condition No human resource development priority, but allocate some budget. Staff are sufficient or over staffing is there in terms of number but lack quality Competitive and rigorous selection Around half of staff are satisfied with the work and working condition of SWMTSC Human resource development priority and plan with some budget. Staff adequate in terms of number and quality but lack gender balance and inclusion. Most of the recruited staff fit to the tasks with knowledge and skill; and regular review with stakeholders. Majority of staff are satisfied with the work and working condition of SWMTSC Human resource development is planned and implemented. Number of staff is adequate in terms of number, gender balance and inclusion.

95 4) Working Process/System: SWMTSC establishes 4 working system for effective technical assistance, and research and development on SWM with accountable and participatory ways 4.1 Working Procedure (Administrative, Financial, technical & operational). 4.2 Essential bye laws, working manuals and policy/directives 4.3 SWMTSC's Policy, Plans and implementation 4.4 Monitoring and Regulation on SWM Working procedures are not defined for operational purposes. No regulation and byelaws and manual on the SWMTSC working No policy and strategy based on 2011 SWM Act; and implementation is not as the SWMTSC annual plan/ budget. Monitoring and coordination systems are not established. Few working procedures are defined for operational purposes but not followed strictly. The SWMTSC decides policy/directives on decisions of the meeting. The projects are not implemented as the SWMTSC annual plan specified time, budget and location. Some attempts are made to define and establish the monitoring and regulation on SWM for effective waste management service delivery. Procedures of some major tasks/functions are defined for operational purposes and followed and made transparent. Necessary bye-laws, manuals and directives are approved for operational purposes. The SWMTSC makes the plan and put into the budget and cooperate to local bodies, Private sector/civil society. SWMTSC is effectively monitoring and coordinating support services to local bodies, private sectors/civil society and line agencies. Procedures of the most major tasks/functions are defined and made transparent for operational purposes, followed and improved from time to time. Clarity on the roles of SWMTSC, staff, line agencies, and ministries; responsive due to bye-laws and manuals. SWMTSC has plans with shared vision that directs the annual budget and implement through local bodies and partners. Timely completion of programs with the help of stakeholders.

96 5) Financial Management and Resource Mobilization: 5 SWMTSC's mobilize civil society, local bodies and private sectors by enhancing financial management and reporting system Budget and program 1. The SWMTSC prepares budget without program based. Preparation of budget with nominal participation and some control on incomes and expenditures. Budget formulation based on vision and objectives with full participation of stakeholders including private sectors and civil society. The budget is prepared as prescribed on Acts, contributes to the vision and objectives with high achievement. 5.2 Accountability and transparency (Accounting and reporting) Reporting is not on time and the accounting is just to satisfy auditing. Accounting shows assets, liabilities and the cost. Reporting of payments, income, outstanding and advances. Account is clear and up-todate in responsible manner. Reporting of payments, income, outstanding and advances on time. Responsible accountkeeping with high program budget and transparency of every aspect of the income and expenditure. 5.3 Mobilization of financial resources & technical capacity Existing and Potential financial and Physical resource are least mobilized and utilized. Existing and potential financial and Physical resource are poorly mobilized and utilized. Existing and potential financial, physical and other resources are fairly mobilized and utilized. Existing and potential financial, physical and other resources are effectively mobilized. 5.4 Financial control and Audit No structural provision of internal audit and financial control. Conducted final and internal audit that complains irregularities and high advances/outstanding. Conducted final and internal audit that has low irregularities and effective utilization on resources with proper plan. The stakeholders entrusted SWMTSC and its leadership due to high financial discipline, resources mobilization and dynamic leadership.

97 6) Information Management and IT: Management 6 Information System established and SWMTSC utilized the information on SWM. 6.1 Reporting No defined reporting system. 6.2 Meetings and interactions/discussions 6.3 Collection and dissemination of information & decisions. 6.4 Management Information and Filing system No meetings between staff; and staff-members. Minutes of decisions are not sent to the concerned and information sharing among individuals and stakeholders are not existed. Every section/unit following different filing system and very hard to retrieve information. Reporting system is defined but seldom followed. Staff meetings are not regular and hardly between staff-members (council and board). Directives, programs, progress and minutes of decisions are not sent to concerned on time. Every section/unit follows the same but not up to date filing and information retrieval is difficult. Reporting system is defined and generally followed. Regular meetings between staff, stakeholders and occasionally between staffmembers without effectiveness. Directives, programs, progress and minutes are documented properly and information available on time to the concerned and sharing of information among staff. Management information system is established and followed systematic filing system. Reporting system is defined and followed fully with necessary responses and improvements from time to time. Effective meetings and interactions of staff, staffmembers, and stakeholders; and minutes taken properly and reviewed from time to time Directives, programs, progress and minutes avail to the concerned on time, information is pooled and everybody has access to the information. Decisions at higher level are based on information and follow systematic information management with systematic documentation.

98 7) Inter-relationship and Network of Relationship: SWMTSC functions in 7 close collaboration with local bodies, Central Government, Civil Society, Private Sectors and the international agency/other countries. 7.1 Common issues and agenda 7.2 Relation with International, national, regional and local government 7.3 Exposure visit, professional and staff exchange for HRD and SWM programs 7.4 External relation bilateral/multilateral organization and I/NGOs, private sectors/research/educa tion institutions No ideas about common issues and agenda. No considerable efforts in improving relation with ministries, stakeholders and local bodies. No formal relation established with any authorities and I/NGOs. Indifferent relation with line agencies, NGOs, UGs and GOs. Meeting and discussion with national agencies, regional authorities and NGOs for establishing common issues and agenda. Some efforts on improving relation with ministries, stakeholders and local bodies. Some attempts on establishing formal relation with central agencies, regional authorities, Local bodies and stakeholders. Limited relation with line agencies, NGOs, UGs and GOs. Establish common issues and agenda with regional authorities, central agencies and civil society. Functional and other relation among International, national, regional and local government agencies. Developed relation and programs with international, national, regional and local governments, private sectors and civil society. Established good relation with line agencies, NGOs, UGs and Gos; and conducting the programs Established common issues and agenda among central agencies, regional authorities, including stakeholders on SWM and concludes accordingly. Strategy, plan and programme to improve relation and get benefit out of international partners, ministries, regional and local bodies' cooperation. Developed network and programs with international, national, regional and local governments, private sectors and civil society and exchanged programs. Established good functional relation with line agencies, NGOs, UGs and Gos; and conducting the programs

99 Annex-2 Assessment on Existing Situation of SWMTSC Seven capacity factors are assessed and measured/scored with the help of staff and stakeholders based on annex-1 indicator matrix. The scoring is presented below: 1) Strategic Management: SWMTSC defines its developmental vision in a participatory SITUATION 1 manner with its Policy, Plan, Implementation Plans and Strategies Organizational strategy for the defined vision. * 1.2 Policy level, Management level & Operational level strategy of SWMTSC. * 1.3 External linkage. * 1.4 Accomplishment of organizational objectives /mission/program. * TOTAL SCORE 7 2) Organization Structure and culture: Roles and responsibilities as mandated by SWM Act 2011, SITUATION 2 understood to SWMTSC staff and the members with clear organization structure Staff and members have clarity on task & functions of SWMTSC. * 2.2 Activities carried out by Section, Sub-section & Unit as per defined structure. * 2.3 Assuming accountability & Responsibility of the assigned task and functions. * 2.4 Organizational Value * TOTAL SCORE 7 3) Human Resource (Council & board members and Staff): SITUATION 3 Staff and members are capable, motivated and made accountable and responsive Appointment and appraisal of Human Resource * 3.2 Motivation of human resources *

100 3.3 Human Resource Development. * 3.4 Human Resource in terms of number & Gender Balance. * TOTAL SCORE 6 4) Working Process/System: SWMTSC establishes working system for effective technical SITUATION 4 assistance, and research and development on SWM with accountable, transparent and participatory ways Working Procedure (Administrative, Financial, technical) * 4.2 Essential bye laws, working manuals and policy/directives * 4.3 SWMTSC's Policy, Plans and implementation * 4.4 Monitoring and Regulation on SWM * TOTAL SCORE 5 5) Financial Management and Resource Mobilization: SWMTSC's mobilize civil society, local bodies and private SITUATION 5 sectors by enhancing financial management and reporting system Budget and Program * 5.2 Accountability and transparency (Accounting and reporting) * 5.3 Mobilization of financial & physical resource * 5.4 Financial control and Audit * TOTAL SCORE 5 6) Information Management: SITUATION 6 Management Information System established and SWMTSC utilized the information on SWM Reporting * 6.2 Meetings and interactions/discussions * 6.3 Collection and dissemination of information * 6.4 Management Information, IT and Filing system * TOTAL SCORE 5

101 7) Relationship& Network of Relationship: SWMTSC functions in close collaboration with local bodies SITUATION 7 (municipalities and VDCs), Central Government Organization, Civil Society, Private Sector and the international agencies/other countries Common issues and agenda * 7.2 Relation with International, national, regional and local government * 7.3 Exposure and exchange for HRD and Program * 7.4 External relation (Research Institutes of International, national and local) * TOTAL SCORE 5

102 Annex -3 Persons and Institutions consulted Sr. Name Organizations/Institutions 1. Binod Prakash Singh Ministry of Federal Affairs and Local Development 2. Sumitra Amatya SWMTSC 3. Dharmandra Joshi Ministry of Industry 4. Topa Ram Acharya SWMTSC 5. Dipendra Oli SWMTSC 6. Dwarika Shrestha DUDBC/MPPW 7. Tandan Sing Chaudari SWMTSC 8. Gyan Bazra Maharjan Kirtipur Municipality 9. Tulsi Bhakta Tako Madhyapur Thimi 10. Mothi Bhakta Shrestha Bhaktapur Muni. 11. Sabin Wagle ECI- Nepal 12. Saurav K.C. SWMTSC 13. Debendra Khadka SWMA Nepal 14. Durga Dulal SWMA Nepal 15. Uttam Kunwar FNCCI 16. Sharada Pandey MOHP 17. Min Prasad Khanal WEPCO 18. Radha Newa WEPCO 19. Roshan Shrestha DUDBC 20. R Basnet EPS 21. Kumar Prashai G.S.A 22. Rabin Man Shrestha KMC 23. Tikaram Dahal NGO Federation, Nepal

103 24. Baburam Ghimire NEPS EMAC 25. Khem Raj Bista Env. Section of MLD 26. Devi Prasad Ghimire SAMA Nepal 27. Sekhar Panthi Siddharthanagar Municipality 28. Sailendra Shrestha Siddharthanagar Municipality 29. Bhuwa Lutel Butwal Municipality 30. Damodar Gyawali Butwal Municipality 31. Rabindra Man Shrestha KCM 32. Sushil Paudel Pokhara Sub-metropolitan City 33. Ananta Parajuli Pokhara Sub-metropolitan City 34. Purna Bahadur Gurung, Sn. Eng Pokhara Sub-metropolitan City 35. Toran Kunwar, A/C section Pokhara Sub-metropolitan City 36. Meghanath Kafle Pokhara Sub-metropolitan City 37. Arjun Paudel, Chairman Pokhara Phoharmaila Byawasthapan Pvt. Ltd 38. Krishna Mohan Shrestha, President Pokhar Chamber of Commerce and Industry 39. Top Bahadur Thapa, Secretary Pokhar Chamber of Commerce and Industry 40. Rosh Gurung, President Heralo NGO, Pokhara 41. Ms. Mina Bhattarai Lekhanath Municipality 42. Jagannath Koirala, Eng. Lekhanath Municipality 43. Srijana Devkota Practical Action, Nepal 44. Gopi Mainali National Planning Commission 45. Damodar Regmi National Planning Commission 46. Indu Bikram Joshi, Director Quality Control Department 47. Ramesh Sthapit, Soil Scientist Ministry of Industry 48. Mira Gyawali DUDBC

104 49. Chandra Bhusan Yadav, Librarian NHRC, MoHP 50. Arun Shretha SAGUN, GIZ 51. Sewa Shrestha SAGUN, GIZ

105 Solid Waste Management Technical Support Centre (SWMTSC) Ministry of Federal Affairs and Local Development (MoFALD) ADB TA-7597-NEP-Capacity Building for Waste Management Proposed Organizational Structure, Job Description and Human Resources for SWMTSC September 2012 Asian Development Bank Prepared by Mr. P U Asnani, Team Leader, TA 7597 Rajendra Giri, Institutional Expert IPE Global Private Limited In association with Environnment Resource Management Consultants (ERMC) (P.) Ltd. and Full Bright Consultancy (Pvt.) Ltd. Full Bright Consultancy (Pvt.) Ltd. 1

106 Contents 1 Vision, Objectives, Core Functions and Activities Vision of SWMTSC Broad Objectives of SWMTSC: Core functions of SWMTSC: Activities under Technical Assistance/Support and Planning are: Activities under Research and Development, IT and Monitoring on SWM are: Activities under Administration, Legal and Finance of SWMTSC are: Activities under Internal Audit Unit are: Proposed Organization Structure of SWMTSC Detailed Functions of the Divisions: Proposed Human Resources for SWMTSC Based on Organization Structure Existing and Proposed Staffs of SWMTSC Proposed Human Resources for SWMTSC with Qualification Existing Staff Positions of SWMTSC

107 1 Vision, Objectives, Core Functions and Activities 1.1 Vision of SWMTSC "A leading National entity supporting local bodies for Sustainable Solid Waste Management achieving clean and healthy environment". 1.2 Broad Objectives of SWMTSC: The solid Waste Management Act 2011 has created SWMTSC with the following objectives of: 1. Arranging systemic and effective management of solid Waste 2. Ensuring a clean and healthy environment 3. Protecting public health 1.3 Core functions of SWMTSC: Provide Technical Support/ Training on SWM to the local bodies Carry out Research and development on SWM to improve level of SWS services s and technology Advise on levy of SWM tariff to make the services self sustainable. Prescribe standards of SWM service delivery, treatment & disposal of waste Carry out monitoring and evaluation of technical aspects, treatment and disposal facilities. Networking with local, national and international agencies on advancements in SWM sector, technology, research & development. HRD/OD/ID of the centre and the local governments (Municipalities, VDCs and DDCs) Update base line information from time to time and establish SWM information centre, Documentation of Best Practice, Recognition and Reward 1.4 Activities under Technical Assistance/Support and Planning are: Capacity Development of local bodies in management of MSW effectively (Human Resource/Organizational/Institutional Development) Provide technical assistance to the local bodies Explore technological options and suggest the most appropriate technology to the local bodies Promote 3Rs Lay standards for service delivery, treatment & disposal technologies Promote Public Awareness on SWM Promote public private partnership Ensure Legal compliance of SWM Prepare annual, short-term, mid-term and long-term plans 1.5 Activities under Research and Development, IT and Monitoring on SWM are: Organize research and studies in partnership with local, national and international academic/research institutions 3

108 Advise local bodies on technology improvement in SWM Documentation of Best Practices and dissemination Develop linkages with environment related universities and colleges and seek support to carry out research and other programs on waste management. Develop networking with National and international institutions to learn on advancements in SWM sector. Development of standards on different aspects of SWM Develop monitoring and evaluation framework and carry out regular monitoring Support the local bodies on developing Monitoring and Evaluation (M&E) system and its implementation Carry out assessment/appraisal of maintenance/compliance of standards by local bodies. Update base line information and benchmarking. 1.6 Activities under Administration, Legal and Finance of SWMTSC are: Day-to-day administration of SWMTSC Organise meetings of council, the board and SWMTSC and take follow-up action. Prepare budget, and maintain account of the centre Prepare revenue mobilization options and alternatives Prepare the guidelines on levy of SWM service charges by local bodies for SWM service delivery. Support to carry out internal & external audit and prevent irregularities in financial management. Prepare rules, regulations bye-laws, guidelines on SWM for local bodies Resource mobilization through grants/loans/subsidies/fees etc. Suggest for revenue enhancement measures and effective revenue mobilization Prepare contracting mechanism & standard contract documents and share with local bodies. Manage human resources of the SWMTSC and effective human resources management. To develop human resources including need identification, training and network for organization development 1.7 Activities under Internal Audit Unit are: Carry out regular assessment on income and expenditure transactions of SWMTSC Report irregularities of SWMTSC transactions to the ED on time Plug irregularities noticed by the auditor through system improvements. Suggest cost effective measures on the working of SWMTSC Enhance financial transparency and credibility. 1.8 Proposed Organization Structure of SWMTSC The proposed organizational structure of SWMTSC s is developed based on the vision of SWMTSC, core functions assigned (by the SWM Act and consultations with the National Project Director, the Executive Director of SWMTSC, section heads of SWMTSC and the TA experts). Four divisions are proposed to be set up in the SWMTSC as under: 4

109 i) Technical Assistance and Planning to the local bodies, ii) Research and Development, IT and Monitoring on SWM, iii) Finance, Administration and Legal on SWM iv) Internal Audit Unit, and The organizational structure of SWMTSC is proposed as under: Excecutive Director Technical Support & Planning Division Internal Audit Unit Research and Development, IT & Monitoring Division Administration, Legal & Finance Division Figure 1.1 Proposed Organizational Structure of SWMTSC Detailed Organogram of each divisions and their functions are proposed as under: a. Position of the Executive Director: Excecutive Director Level XI - 1 (As prescribed on SWM Act 2067) 5

110 b. Planning and Technical Support Division: Excecutive Director Planning & Technical Support Division Division Head Env. Engineer VIII -1 Environmental Engineer VII-1 Environmental Engineer VI-1 SWM Planning Officer VI-1 Support staff IV- 1 In addition to the above permanent positions, following experts are proposed to be outsourced and kept on the panel of consultant to be utilized as and when required. Compost expert Landfill/civil engineer expert Social & communication specialist 6

111 c. Research and Development, IT and Monitoring Division : Excecutive Director Research & Development, IT & Monitoring Division Division Head Env. Engineer Research VIII -1 Research Officer (mechnical & Env,)VII- 1 & VI - 1 SWM Support Staff V- 1 Support staff IV-1 IT & Monitoring Officer VI- 1 Support Staff-IV-1 In addition to above permanent positions, the SWMTSC may outsource research & laboratory investigation work from institutions and laboratories of repute within or outside the country. 7

112 d. Positions proposed for Administration, Legal and Finance Division: Excecutive Director Administration, Legal & Finance Division Admin, Legal & Finance Div.Head -VIII-1 Accounts Officer VI- 1 Adm. Officer VI-1 Account Asst. V- 1 Support staff V-2 Support staff: Driver -2 Other - 6 Senior Compliance Officer VII-1 Legal VI-1 8

113 Internal Audit Unit and staff proposal: Excecutive Director Internal Audit Unit Internal Auditor VI-1 9

114 1.9 Detailed Functions of the Divisions: Planning and Technical Support Division Function Description Technical Design Engineering design of sanitary landfill (SLF), transfer station (TS), compost plant, biogas plant, etc. Training Modules Preparation of training modules for short and long courses Training Basic orientation to SWM, Advanced training in segregation, collection, transportation, treatment, disposal & concept of 3Rs and regional landfills. Specifications Technical specifications for SLF, TS, vehicles, equipment Financing Options Capital cost, O&M cost, tariff setting, Contracting Options PPP, service contracts, management contracts, BOT, BOOT, long term concessions, etc., Contract Preparation EOI, RFP, Evaluation Contract Management How to design and manage the private sector participation & Dispute resolution? Decision Making Tools How to take the right decision regarding technical, financial, contractual options? Costing Assisting municipalities on costing facilities and services (primary collection, landfill, etc. Tariff Fixing Guide local bodies on levy of SWM tariff to make SWM service sustainable. Networking Maintaining relationship with national and international agencies Finding Technical Pairing national/international partners with municipalities for partners technical support. Finding Financial Pairing national/international partners with municipalities for partners financing issues, getting loans, grants, subsidies, etc. Troubleshooting Assisting municipalities with specific technical problems (e.g. leachate, pollution, etc.) Occupational Health Guide SWM personnel on health hazards of SWM Environmental Assist municipalities against environmental pollution (air, soil, protection groundwater, surface water) Best practice/poor Document successes and failures in SWM, analyse lessons practice learned to feed into training program Risks & Risk What are the risks in SWM & private sector participation (social, Management financial, technical)? How to manage the risks? Planning for SWM Prepare short-term, mid-term and long-term plans including operational plans and the project plan. Capacity building & Develop programs and implement them for build capacity and HRD HRD of the local bodies Research & Development, IT and Monitoring Division Function Description Technology Develop new technology and improve technology such as composting biogas generation, landfill, recycling Scientific/Engineering Improved compost quality, resource recovery, research Standards Develop & improve service standards, technological standards Technical Guidelines Technical guidelines on vehicles selection, routing, transfer station, treatment plants and landfills Synthesis of external Collection of latest research findings and explore adaptation in research local conditions 10

115 Analysis of information Publication Dissemination of findings Networking Data monitoring Website Management Linkage with MCPM Benchmarking Help Desk Operation Information Management Monitoring and evaluation on SWMTSC and key results Collection of data on SWM for designing, improvement in systems and service delivery. Publication of research findings in reports, journals, booklets, etc. Disseminate findings through seminars, workshops, distribution of publications and updating the training modules Maintaining linkage with national and international research organizations and explore technology transfer. Maintaining and monitoring waste data and analysis Regular updating of SWMTSC website Linking SWM services with national monitoring (reward and penalty) of municipalities Benchmark performance indicator for periodic review of local bodies. To answer technical queries from municipalities by telephone, , letters, etc. Keeping up-to-date technical information and dissemination, coordination with IT & SWM Information Centre Develop monitoring mechanism and carry out monitoring of implementation of technical guidelines given and evaluate performance of local bodies in implementing SWM Act, Monitor construction & maintenance of treatment and disposal facilities. Administration, Legal and Finance Division Function Description General administration Day-to-day administration of SWMTSC and Human Resources & HRD Development of the SWMTSC Meetings Organise meetings of SWM Council, board, SWMTSC & staff and take follow-up action. Store/Inventory Asset management, recording, repair and maintenance Store inspection Periodic store inspection, report preparation and reporting the inspection Budgeting Preparation of annual budget of SWMTSC Finance and Payment of bills, account-keeping, reporting of finance accounting Legal advice Advising SWMTSC and local bodies on legal matters of SWM, contracting issues, drafting of bye-laws, regulations, guidelines, etc. Litigation Taking legal steps and defending SWMTSC against litigations. Auditing External audit and curbing financial irregularities. Internal Audit Unit Function Expenditure audit Advise on financial matter Assets assessment Standards Publication Description Review all expenditure of the centre and check the financial; propriety in the transactions made. Provide advice to the centre to comply with the laws, rules on financial management & propose actions against financial mismanagement /irregularities noticed. Check the ownership document and assets conditions Ensure account standards and practice Publication of audit information in reports, journals, booklets, etc. 11

116 1.10 Proposed Human Resources for SWMTSC Based on Organization Structure Appropriate positions are proposed for each unit of SWMTSC's new organizational structure with key functions as follows: S. No. Position Level Number Key Functions 1. Executive Director 11 1 As prescribed in the SWM Act, 2067(2011) A. Planning & Technical Support Division Technical competent to provide services to the local bodies 2. Division Head 8 1 To conceptualize, plan and facilitate the technical support and training to Local Bodies in the country as well as other Stakeholders. 3. Environmental Engineer 7 1 To assist divisional Head in planning the activities of the division and engaged in providing technical assistance and hand holding support to local bodies and other stakeholders 4. Environmental 6 1 DO Engineer 5. Mechanical Engineer 6 1 To assist SWMTSC in equipment and machinery activities of the division and engaged in providing technical assistance and hand holding support to local bodies. 6. Support staff 4 1 Record-keeping, logistic and administrative 7. O/S Compost expert 8. O/S Landfill expert 9. O/S Social and Communication Specialist B. Research & Development, IT & Monitoring Division support To guide local bodies and other stakeholders on all aspect of composting technology, its suitability in local condition and provide technical assistance in setting up the plans for treatment of organic matter. To guide local bodies and other stakeholders in indentifying suitable land for construction of engineered landfill and provide technical assistance in construction, operation and maintenance of landfill Provide support when required in addressing social issues arising out of setting up treatment and disposal facilities and resolving social conflicts. Advise on IEC strategy. Conduct R&D on SWM and coordinate with other research/academic institutions & disseminate them with IT and Monitoring Resourceful SWMTSC with information including Web-based and information centre to share with the clients 10 Division Head 8 1 To conceptualize, plan and facilitate conducting R&D, IT and monitoring with other research/academic institutions & disseminate them 11 SWM Environment Research 7 1 Conduct R&D and coordinate with other research institutions & disseminate them 12

117 1. SWM Engineer, Research 6 1 Conduct R&D and coordinate with other research institutions & disseminate them 2. IT & Monitoring 6 1 Develop information base of SWMTSC Officer including Web-based and information centre to share with the clients 3. SWM Support Staff 5 1 Technical survey, field supervision, support to the R&D and technical works 4. Support Staff 4 1 Logistic, office support 5. Laboratory and O/S to related laboratory and institutes the research work 6. Support staff 4 1 Record-keeping, logistic and administrative support C. Administration, Legal & Finance Division Council, board and office management Effective recording of finance and administration/hrm; and Ensure compliance on SWM of the local bodies 7. Division Head 8 1 Council, board and management meeting, Accounting, budgeting, auditing and store, Compliance/legal on SWM of the local bodies 1. Senior Compliance Officer 7 1 Preparation of compliance guidelines and compliance review, meeting management 2. Account Officer 6 1 Accounting, budgeting, auditing and disbursement 3. Administrative Officer 6 1 Recording, distribution of goods and inspection of store 4. Legal Officer 6 1 Preparation of compliance guidelines and compliance review 5. Account 5 1 Book-keeping and recording, accounting, and Assistance support to disbursement, budgeting and 6. Receptionist and computer operator auditing 5 2 Registration and dispatch Word/data processing and printing 7. Driver 2 Driving and maintenance for two vehicles 8. Support staff 6 Security-2, helper-2 & gardener -1, cleaner-1 D. Internal Audit Unit Internal auditing and financial compliance 9. Internal Auditor 6 1 Carry out internal audit Maintain finance compliance 1.11 Existing and Proposed Staffs of SWMTSC S N Position Division Level Required Existing New 1 Executive Director SWMTSC Division Head Division Head Planning & Technical support Division Head R& D, IT & Monitoring Division Head Adm., Legal & Finance

118 S N Position Division Level Required Existing New Sub-total Senior Officer Environmental Engineer Planning & Technical support Senior Compliance Adm., Legal & Officer Finance Senior Research Officer R& D, IT & Monitoring Sub-total Officer Mechanical Engineer Planning & Technical support SWM Research R&D, IT & Engineer Monitoring SWM Engineer, Planning Planning & Technical support IT & Monitoring Officer R&D, IT & Monitoring Internal Auditor Internal Audit Account Officer Adm, Legal & Finance Administration Officer Adm, Legal & Finance Legal Officer Adm, Legal & Finance Sub-total Office Assistant Receptionist and Adm, Legal & computer operator Finance Account Assistance Adm, Legal & Finance SWM R&D, IT & Assistance/Overseer Monitoring Sub-total Office Assistant Office Assistant Planning & Technical support Office Assistant R&D, IT & Monitoring Office Assistant IT & SWM Information Sub-total Support staff 7.1 Driver Adm, Legal & Finance Less Support staff Adm, Legal & Finance Less Sub-total

119 S N Position Division Level Required Existing New Grand Total Proposed Human Resources for SWMTSC with Qualification S.N Position Level Number Qualification 1. Executive Director 11 1 As prescribed in the SWM Act, 2067(2011) A. Planning & Technical Support Division 2. Division Head 8 1 Master degree in environment science/civil & other engineering field related to SWM plus 10 yrs relevant experience 3. Environmental Engineer 4. Environmental Engineer 7 1 Masters degree in environmental science /management /engineering with 3 years experience or Bachelor degree in environment science/engineering plus 10 yrs relevant experience 6 1 Bachelor degree in environment science/engineering plus 2 yrs relevant experience 5. Mechanical 6 1 Bachelor degree in mechanical Engineer engineering plus 2 yrs relevant experience 6. Support staff 4 1 SLC with 5 years working experience in relevant field 7. O/S Compost expert Professionals with technical qualification &experience. 8. O/S Landfill expert Professionals with technical qualification &experience. 9. O/S WTE expert Professionals with technical qualification &experience. 10. O/S Vehicle & Equipment expert Professionals with technical qualification &experience. 11. Social & communication specialist Professionals with technical qualification &experience. B. Research & Development, IT & Monitoring Division 12. Division Head 8 1 Master degree in environment 13. Senior SWM Research Officer science/management/science/civil and other engineering plus 10 yrs research experience 7 1 Master degree in environmental science/management /engineering with 3 years experience or Bachelor degree in environment science/engineering plus 10 yrs R&D experience 14. SWM Research 6 1 Bachelor degree in environment Officer science/engineering plus 2 yrs R&D experience 15. IT & Monitoring 6 1 Bachelor degree in IT plus 2 yrs relevant 15

120 Officer experience 16. SWM Support 5 1 Intermediate in civil(junior Staff engineer)/science and training with 5 yrs experience 17. Support Staff 4 1 SLC with 5 years working experience in relevant field 18. Laboratory and the O/S to related laboratory and institutes research work 19. Support staff 4 1 SLC with 5 years working experience in relevant field C. Internal Audit Unit 20. Internal Auditor 6 1 Bachelor degree in management/accounting plus 2 yrs auditing experience D. Administration, Legal & Finance Division 21. Division Head 8 1 Master degree in Social science(management, finance, law, economics etc.) plus 10 yrs SWM experiences 22. Senior Compliance Officer 7 1 Master degree in Social science/legal with 3 years experience in compliance or Bachelor degree in law and social science with 10 yrs of experience in SWM 6 1 Bachelor degree in management plus 2 yrs administration experience 23. Administrative Officer 24. Account Officer 6 1 Bachelor degree in management plus 2 yrs accounting experience 25. Legal Officer 6 1 Bachelor degree in law 2 yrs legal field/practice experience 26. Account Assistance 27. Receptionist and computer operator 5 1 Intermediate in social science(management, business and economics/sociology) training with 2 yrs accounting experience 5 2 Intermediate in social science(management, arts and economics/sociology) training with 2 yrs experience 28. Driver 2 8 class with driving license and 2yrs. experience in driving 29. Support staff 6 8 class pass with 5 years working experience Total 30 Of different positions and with provision for out sourcing Existing Staff Positions of SWMTSC Position Level No. Filled Role division ED Dy. Manager (SWM -1) Asst. Manager (Adm-1, Mechanic-1, Legal-1) 16

121 Position Level No. Filled Role division Office Assistant I (O/S-1, Store-1, computer-1, A/c-1) Office Assistant II (Computer Asst-1, Adm Assist.-2) Driver 2 2 Helpers 7 7 Total Guard-2, helper-3, gardener-1, sweeper-1 17

122 Solid Waste Management Technical Support Centre (SWMTSC) Ministry of Federal Affairs and Local Development (MoFALD) ADB TA-7597-NEP-Capacity Building for Waste Management Business Plan of SWMTSC for Capacity Building September 2012 Asian Development Bank Prepared by Mr. P U Asnani, Team Leader, TA 7597 Rajendra Giri, Institutional Expert IPE Global Private Limited In association with Environnment Resource Management Consultants (ERMC) (P.) Ltd. and Full Bright Consultancy (Pvt.) Ltd. 1

123 Contents 1 Introduction Vision of SWMTSC Broad Objectives of SWMTSC: Core functions of SWMTSC envisaged: Existing Capacity of SWMTSC Proposed Organization Structure of SWMTSC Strategies for enhancing capabilities of SWMTSC and Local Bodies through SWMTSC: Summary

124 Business Plan of SWMTSC for Capacity Building 1 Introduction Solid Waste Management (SWM) is one of the main functions of local bodies in the country. They employ a huge workforce, spend sizable part of their budget, but they are unable to provide a good quality of service due to lack of technical knowhow and in-house capabilities to provide SWM services efficiently. With a view to improve Solid Waste Management Services in the country, Government of Nepal has enacted the Solid Waste Management Act (SWMA) 2011 and created Solid Waste Management Technical Support Centre (SWMTSC) and made it responsible to provide technical support to local bodies and carry out studies, research & development in SWM sector. SWMTSC is required to extend technical assistance in all areas of SWM to improve SWM services, adoption of appropriate waste treatment and disposal technologies and in guiding local bodies in levy of SMW service fees to make the services sustainable. With a view to facilitate institutional strengthening of SWMTSC to becomes one stop solution on SWM for Local Bodies and enabling SWMTSC to provide technical assistance and other support to the local bodies in a planned manner, this business plan of SWMTSC is prepared. The plan covers: i) vision, ii) objectives, iii) core functions, iv) future functions, v) strategy, and vi) three year action plans on capacity development of SWMTSC as well as Local Bodies. 2 Vision of SWMTSC The workshop with the stakeholders has defined the vision of SWMTSC as follows: "An Effective Leading National Entity for Research and Development, Technical Assistance, and Enforcing Regulations on Solid Waste Management". However, as SWMTSC is not envisaged to be a regulatory body, its vision could be redefined as under:- A Leading National Entity Facilitating Sustainable SWM Service through Technical Assistance, Research and Development leading to clean and healthy environment. 3 Broad Objectives of SWMTSC: The solid Waste Management Act 2011 has created SWMTSC with the following objectives of: 1. Arranging systemic and effective management of solid Waste 2. Ensuring a clean and healthy environment 3. Protecting public health 4 Core functions of SWMTSC envisaged: SWM Act 2011has laid down the core functions of SWMTSC as under: To support Local Body for development of suitable Technology on SWM and enhance their capacity 1

125 To evaluate technical aspects on SWM and provide Technical support to Local Bodies for improving SWM services To carry out research and study on SWM and disseminated innovative technology on SWM. Develop minimum standards for collection, transportation, treatment and disposal of waste manuals, guidelines on SWM for Local Bodies. To provide technical assistance to Local Bodies in design and construction and of treatment and disposal facilities. Develop techniques to minimize the production of solid waste Networking with local, national and international agencies in SWM sector Develop skilled human resources in Municipalities, VDCs and DDCs Strategize Public Participation in solid waste management activities. To advise on proper management of hazardous, industrial, chemical and medical wastes. To conduct detailed studies and to advise Local Bodies on fixation of service fee to make the service economically sustainable. 5 Existing Capacity of SWMTSC The existing capacity of SWMTSC is identified as follows: Legal and Technical assistance on Landfill Site development. Support to Kathmandu valley municipalities in technical and conflict management aspects. Networking with donors, stakeholders and other institutions. Developing manuals and guidelines on SWM and related field. HRD of Local Bodies mainly of the municipalities. 6 Proposed Organization Structure of SWMTSC The organizational structure of SWMTSC is developed in consultation with National Project Director, Executive Director of SWMTSC keeping in view the vision of SWMTSC and core functions assigned by the SWM Act. Four divisions are proposed to be established in SWMTSC as under: i) Technical Assistance Division. ii) Research and Development Division, iii) Internal Audit Unit, and iv) Finance, Administration and Legal Division The Organogram of SWMTSC is proposed as under: 2

126 Executive Director Planning and Technical Support Division Research and Development & M &E Division Administration, Legal & Financial Mgt Division Internal Audit Unit The detailed job description is given for each division and positions proposed to be created in a separate document submitted to the SWMTSC 7 Strategies for enhancing capabilities of SWMTSC and Local Bodies through SWMTSC: Following strategies are proposed for enhancing in house capabilities of SWMTSC itself and that of Local Bodies through SWMTSC: SWMTSC shall take measures for: Induction of professionals in SWMTSC as per TA recommendation through competitive selection process Training of SWMTSC s existing staff and newly appointed professionals as per training modules developed by TA. Assessing the current status of SWM services in Local Bodies and identify the deficiencies in the system and services delivery. Preparing strategy of bridging the gaps by (i) in house capacity building of Local Bodies and (ii) through promoting PPP, Community, CBO, NGO and private sector participation in service delivery in consultation with Local Bodies Undertaking training need assessment of Local Bodies in various aspects of SWM Preparing short term, medium term and long term plan of training and capacity building of Local Bodies Undertaking training programme and exposure visits for Local Bodies. Undertaking in house research and through academic institutions and research laboratories. Creating a legal framework for PPP and develop contracting mechanism. Capacity development of Local Bodies in outsourcing, contracting out of services and entering in PPP. 3

127 Establishing International contacts for accessing to global best practice, introduction of new technologies and giving exposure to Local Bodies of the advanced systems in SWM. Developing IEC material through professional agencies to promote reduction of waste at source by households, shops and establishments and undertaking mass awareness companions in the country by adopting the concept of reduce, reuse and recycle. Helping Local Bodies in identifying land suitable for treatment and disposal of waste Guiding Local Bodies in selecting appropriate technology for treatment of waste through PPP Helping Local Bodies in designing construction, operation and maintenance of sanitary landfill, preferably through PPP Guiding Local Bodies in Scientific disposal of industrial, chemical and medical hazardous wastes. Conducting SWM performance appraisal of Local Bodies with MCPM (Minimum Conditions and Performance Measures) of LBFC (Local Body Fiscal Commission) and carry out monitoring and evaluation of SWM services. Giving appreciation/rewards and incentives to the significant contributors in SWM sector. Be a repository of past and present data, information on advancement in sector of SWM and share with stakeholders for better services. 8. Monitoring & evaluation The principal role of SWMTSC is to provide technical support to the local bodies through training & capacity building, technical assistance and research & development for improving solid Waste Management services in the country. There being large number of municipalities and Village Development Committees (VDCs) in the country, there is a need to phase out the implementation and monitor the implementation very effectively through an effective monitoring and evaluation mechanism. The following monitoring mechanism may be introduced by SWMTSC to ensure that the strategies planned for enhancing the capabilities of SWMTSC and local bodies have worked and the business plan has yielded desired results. 1. Conduct quarterly review meetings of the activities envisaged for improving the in-house capacity of SWMTSC and take corrective measures. 2. Conduct quarterly review of training and capacity building programmes undertaken for municipalities and assess the quality of training and impact of training by site visits and through third party verification. 3. Review quarterly technical assistance given to municipalities and assess the improvement in their performance by deputing subject experts to the sites and take corrective measures to achieve the desired results 4. Review bi-annually the performance of the research & development division and assess whether the research is directed towards the problems encountered by the local bodies and whether desired solutions have been found. 4

128 5. Verify the performance of processing and disposal facilities every quarter and see whether performance and environmental safety standards are adhered to. 6. Assess bi-annually the impact of IEC campaign in building the awareness among the masses through field visits and feedback from the stakeholders and take corrective measures to make the IEC campaign more effective. 7. Based on the outcome of monitoring and evaluation of the programme undertaken, SWMTSC may revisit its business plan and make suitable amendments 5

129 8. Business Plan on SWMTSC For the phase wise implementation of the strategy outlined in para 7 above, 3 year business plan is prepared as under: A. Business Plan of SWMTSC for three years to S N Programs Responsibility Activities for Time line Activities for Activities for STRENGTHENING SWMTSC 1.1 Orientation of council of board members and SWMTSC staff on SWM Act 2011, give clarity on task & functions of SWMTSC. 1.2 Determine vision and development objective of SWMTSC 1.3 Selection of Human Resource 1.4 Effective operation of Divisions, Section, Subsection & Unit as per improved structure ED (SWMTSC) with the support of TA Team. SMMC, ED & SWMTSC officials. Board ED and Division al Heads ED and division- al heads Conduct orientation programme for SWM council, board member and staff of SWMTSC on the objective of the SWM Act 2011, important provisions of the Act and role of SWMC / SWMTSC under the Act. Conduct presentations and give understanding on improved organizational structure of the SWMTSC Determine vision and development objectives of SWMTSC in consultation with stakeholders. Competitive selection of new staff. Make appointments as per the Organogram approved. Operationalise all divisions. Define the job description of the divisions /sections and positions as per improved structure. Provide necessary training and support to staff in carrying out the jobs. Q1 Q1 Q3 Review relevance of objective and update the objective Review the staff needs and bridges the gaps Q3-4 Review the job descriptions and performance semiannually. - Do - Review the job description and performances and make necessary revision as required 6

130 1.5 Give training to the existing and newly appointed staff 1.6 Accountability of the assigned task and functions. 1.7 Human Resource Development. 8 Mobilization of financial resources ED and division heads ED and division heads ED and technical HR division of SWMTSC SWMTSC Board, ED and Finance section Give training to new staff as well as existing staff as per the Training modules developed by TA Team Develop leadership skill in division and the section heads Empower the staff to perform their job with necessary authorities and accountability Develop HRD policy and programme of the SWMTSC based on performance evaluation, career development and opportunities. Prepare HRD budget and incorporate into the annual budget of SWMTSC Develop training programs, exposure visits for SWMTSC officials. Mobilize financial resource for SWMTSC through : (i) Sending a proposal to Govt. of Nepal for sanction of grants to carry out the activities of the centre. (ii) Providing consultancy service and undertake research work (iii) Sending proposals to international organisations, institutions, Foreign Governments to extend grants/ loans to the centre with the prior approval of the Govt. Q4 Continue orientation and training as required Q3-4 Yearly review of the progress of the work done Q4 Refine HR policy and strengthen the institutional arrangements as per the emerging needs. Q4 Make efforts to raise financial resources - Do - Yearly review of the progress of the work done Implement the HRD plan that may be prepared for the capacity building of SWMTSC staff as well as of the municipal staff. Make efforts to raise financial resources & explore more options of raising finances. 7

131 1.9 Budgeting SWMTSC Board, ED and finance head 1.10 Meetings and interactions/discussions ED, Divisions and staff 1.11 Reporting ED, and Division heads Prepare annual budget for SWMTSC as per priority and programs that may be fixed for strengthening SWMTSC and providing technical assistance to the local bodies. Make revenue forecast, if any income is likely to be derived from the services rendered or research carried out. Submit Budget to Ministry of Urban Development for financial support as required for inclusion in the national budget. On approval of the annual budget in form all divisions to carry out the activities as per the budgetary allocations. Have regular monthly meetings to review the progress of the work and resolve inter divisional issues. Prepare quarterly report of the work done. Milestones/ targets achieved Develop monitoring mechanism on the correct reporting. Prepare annual report of the work done vis-a-vis the target fixed and share with the Govt. and stakeholders. Q3-4 Prepare annual budget as per business plans that may be prepared each year and seek Development grants from the Govt. Q1 to 4 - Do - - Do - Q1 to 4 - Do - - Do - Prepare annual budget as per business plans that may be prepared each year and seek Development grants from the Govt. 8

132 1.12 Management Information, IT and Filing system 1.13 Collection and dissemination of information & decisions. ED, divisions and Information sections ED, all divisions Design management information system for the SWMTSC. Develop and introduce filing and documentation system(electronic and documentation). Develop an information unit for collection and dissemination of information to Local Bodies and other stakeholders. Develop system to take feedback and respond to them. Q4 Maintain the system - Do - Q4 Conduct programs to share information and other experiences and make the information pool accessible to public & Local Bodies - Do Prepare bye-laws ED and concerned divisions of SWMTSC 2 Technical Support to Local Bodies 2.1 Assess current status of SWM in Local Bodies SWMTSC (Respective divisions) Draft bye-laws for the Centre and get it approved from the Board of directors in terms of section 30 (D) of the SWM Act Design and circulate proforma to assess the current status of SWM services in the Local Bodies and collect the information on all aspects of SWM Indentify the deficiencies in SWM systems and service delivery Q3-4 Update the bye-laws Update the byelaws Q3 Update the information from year to year with reference to benchmarks that may be prescribed Update the information from year to year with reference to benchmarks that may be prescribed 9

133 2.2 Prepare strategy to bridge the gap 2.3 Prepare short term, medium term and long term plan for training and capacity building 2.4 Implementation of Training Programme ED (SWMTSC), and Division Heads SWMTSC & respective Divisions. ED (SWMTSC), Technical Division anal head. Have consultation with Local Bodies and other stakeholders to prepare strategy to bridge the Gap by in-house training of local bodies staff. Propose community, Community Based Organization (CBO), Non- Government Organisation (NGO) and private sector participation on Public Private Partnership (PPP) basis. Carry out training need assessment. Prepare short, medium and long-term plans of training and capacity building of Local Bodies in consultation with Local Bodies Give priority to Public awareness on Reduce, Reuse & Recycle (RRR) and collection and transport of waste, followed by treatment and disposal of waste Prepare calendar of training Conduct training for Local Bodies and other Stakeholders Conduct regular review/result based monitoring on the training programs Q3-4 Update the strategy from time to time Q3-4 Update the plans form the experience gained. Q4 onwards Carry out Quarterly monitoring and review Update the strategy from time to time Update the plans based on the experience gained. Conduct quarterly review, result based monitoring on the programs. 10

134 2.5 Legal framework for PPP ED (SWMTSC), Training Division & Technical division 2.6 Develop information education and communication material (IEC) 2.7 Develop Technical & Operational Standards for SWM services and treatment and disposal facilities 2.8 Technical guidelines for disposal of treated hazardous wastes at landfill ED (SWMTSC), Training Division & Research Division. ED (SWMTSC), Technical division & Research & Development (R&D) division. ED & Technical Division Head & R&D Head Create legal framework to PPP Develop standard guideline in local language for Local Bodies to take up projects on PPP basis Provide standard documents and contracting mechanism for Local Bodies Do hand holding in developing a PPP project Develop through professional agencies, IEC material for mass awareness of the community to reduce, reuse and recycle the waste at source and practice home composting or community composting Undertake mass awareness campaigns in the country Develop technical and operational standard of SWM Service Develop Technical Guidelines for disposal of treated hazardous wastes at landfill such as industrial, medical and chemical hazardous wastes Provide training to Local Bodies in accepting such waste at landfill. Q4 Continue same support - Do - Q4 Continue the activity Continue the activity Q4 Q4 Update them from time to time Update the guidelines from time to time Update them from time to time Update the guidelines from time to time 11

135 2.9 Development of essential bye laws, working manuals and Guidelines etc Establish linkages with external institutions, Donor Agencies and Civil Society Board, (SWMTSC), ED and Divisional Heads Board, ED and divisions Prepare byelaws on SWM for Local Bodies Prepare training manual on SWM Service, tariff structure, guidelines etc. Share them with Local Bodies Identify potential national and international institutions and donor agencies for their support Prepare strategy, plan, programs to develop relations with international, national, regional institution and local govt. Initiate action to establish contacts Appraise the institution about SWMTSC role and possible collaboration Organize meeting with local institutions, private sector, civil society, Local Bodies, and NGOs to have their support in strengthening SWMTSC s role in improving SWM services and find solution to the problems faced by SWMTSC. Q4 of Year-1 & Q1&2 of year-2 Year-2 Q1&2 Update and strengthening them Strengthening the relations. Update and strengthening them Strengthening the relations. 12

136 2.11 Exposure visit Board, ED and respective divisions 2.12 Monitoring the service delivery ED & Division Heads -NIL - Year-II Q1-2 - NIL - Year-II Q1 & 2 Identify the countries/ cities/ Projects of interest for exposure visit and plan exposure visit Have financial and admin sanctions for undertaking implementations in phases Conduct exposure visit and plan action of improvements based of exposure visits. Adopt benchmarks and performance indicators for service delivery Conduct SWM performance appraisal of Local Bodies with MCPM (Minimum Conditions and Performance Measures) of LBFC (Local Body Fiscal Commission) and carry out monitoring and evaluation of SWM services Monitor the perfornmance of municipalities every quarter and implementation of their short & medium term plans. Repeat the exercise Carry out monitoring & evaluation of all municipalities once in 6 months. 13

137 2.13 Motivation of human resources 2.14 Repository of data ED, All Divisions 3 RESEARCH AND DEVELOPMENT ED and Division Heads -NIL - Develop data bank on solid waste management systems and practices Share the data with stakeholders Q3-4 Develop incentive schemes for SWMTSC staff Provide rewards for outstanding performance to SWMTSC staff every year Give rewards to Local Bodies for outstanding work every year Q2-Q4 Update the data bank in Year- I Recognition on the best performers. Do - Update the data bank 3.1 Research and development activities ED, R&D Division List out the areas where research activities may be undertaken in house and through outside agencies such as research institutions universities etc. Indentify Research Institution and Labs who could be brought on board and take approval for assigning work to them and charges payable to them. Undertake in house research activities and outsource research work as may be required. Have peer reviewing mechanism in place on research work and modalities Q4 Continue R & D activities. Continue R & D activities. 14

138 3.2 External linkage with Research Institution ED, R&D Division 4 FINANCIAL CONTROL AND INTERNAL AUDIT Financial control and internal Audit ED, Internal Audit and finance sections of conducting the research. Prepare the programme to develop linkage with research institutes and donor agencies to fund research Hold discussion/meeting with subject experts and make visit to relevant institutions Develop systems to CURB irregularities in financial management, plug leakages in the systems and report irregularity in financial management, procurement to the board through ED Q3-Q4 Every Quarter. Strengthen linkage with research institutes and donor agencies to fund research projects Have exchange programme with research institution Strengthen internal audit Show benefits derived Strengthen linkage with research institutes and donor agencies to fund research projects Have exchange programme with research institution Strengthen internal audit 8 Summary The summary of activities to be undertaken and targets to be accomplished during next 3 years is given in figure & table kept below. The business plan may be revisited and modified based on the outcome of monitoring and evaluation done as per para-8 by the SWMTSC and assessment of the benefits derived by the municipal authorities in the country on account of the technical assistance given to them by SWMTSC as per this business plan. 15

139 Year 3 Year 2 Year 1 Regional landfill constructed and opertionalised 2 0 Identified Parcels of land for treatment and disposal Exposure Visits Training on Treatment & Disposal Door to Door collection and transportation through PPP Door to Door collection and transportation Service Fee introduced RRR practices IEC Campaign carrried IEC Campaign Development 100 Detailed Training Training & Capacity Building - Sensitization Training 100 Guidelines, Manuals and Standards prepared and shared

140 Description In percentage (%) Targets Year 1 Year 2 Year 3 Guidelines, Manuals and Standards prepared and shared 100 Training & Capacity Building - Sensitization Training 100 Detailed Training to municipalities IEC Campaign Development 100 IEC Campaign carried RRR practices Service Fee introduced Door to Door collection and transportation Door to Door collection and transportation through PPP Training on Treatment & Disposal Exposure Visits Identified Parcels of land for treatment and disposal Construction of one regional landfill and its Operationalisation

141 Solid Waste Management Technical Support Centre (SWMTSC) Ministry of Federal Affairs and Local Development (MoFALD) ADB TA-7597-NEP-Capacity Building for Waste Management Key Performance Indicators and Targets of Solid Waste Management (SWM) Services September 2012 Asian Development Bank Prepared by Mr. P U Asnani, Team Leader, TA 7597 IPE Global Private Limited In association with Environnment Resource Management Consultants (ERMC) (P.) Ltd. and Full Bright Consultancy (Pvt.) Ltd.

142 Contents 1. NEED FOR SERVICE LEVEL BENCHMARKS PERFORMANCE PARAMETERS ROLES OF DIFFERENT STAKEHOLDERS LIMITATIONS AND CHALLENGES IN IMPLEMENTING PERFORMANCE MANAGEMENT SYSTEMS USING SERVICE LEVEL BENCHMARKS STANDARDISATION OF SERVICE LEVEL BENCHMARKS Key performance Indicator and targets Benchmark to be achieved by SWMTSC PERFORMANCE INDICATORS & THEIR RATIONALE Annexure-A Spread over targets of performance indicators Door-to-door collection from urbanized parts of towns above 50,000 population/community bin collection in rest of the towns: Segregation of waste Street sweeping to improve collection efficiency in urbanized portions of the towns Composting of waste Controlled/ Sanitary landfilling Levy of SWM Tariff

143 KEY PERFORMANCE INDICATORS AND TARGETS OF SOLID WASTE MANAGEMENT (SWM) SERVICES 1. NEED FOR SERVICE LEVEL BENCHMARKS Every sector has a few key performance indicators that are understood by most stakeholders in that sector. Similarly, in the SWM sector too, there have been a number of performance indicators related to SWM and service delivery that have been defined, measured and reported. However, performance measurement limitations have been observed as under: Different sets of performance indicators have been defined under different initiatives; The definition or the assessment method may vary for the same performance indicator. Most measurement exercises have been externally driven (by agencies external to the agency responsible for delivery against those performance parameters), leading to the key issue of ownership of performance reports; Most performance measurement initiatives have not been institutionalized. The process of performance measurement has not been taken forward into performance management. These limitations mean that systems for measuring performance and taking further action on them have not been institutionalized in urban agencies. It is therefore important that the basic minimum standard set of performance parameters are commonly understood and used by all stakeholders. Depending on the specific need, additional performance parameters can be defined and used. Measuring service levels of civic agencies implies measuring outcomes, and indirectly also reflects on institutional capacity, financial performance and other parameters. Service level parameters can be measured either from a utility manager s/planner s perspective or from a citizen s or consumer s perspective. In addition, to facilitate comparison between cities/service delivery jurisdictions, and changes in performance over time, it is important that the performance levels are benchmarked, and monitored against those benchmarks. It is in this context, this exercise to define Service Level Benchmarks (SLBs) has been taken up. Each municipal authority may attempt to achieve the targets proposed over a period of 5 years and VDCs over a period of 10 years. SWMTSC may initiate monitoring the same in respect of Municipal Authorities to begin with, prescribing the annual Benchmarks looking to their current status of SWM service assessed through baseline survey conducted in 2012 by TA Team. 2. PERFORMANCE PARAMETERS These parameters have been defined primarily from a utility manager s/planner s perspective. In other words, the parameters highlight the performance as would be monitored by the management of the municipal authority or its superior agencies. These performance measurements will need to be carried out by the service delivery agencies itself, reported to higher levels of management and also disseminated widely. Clear definitions and methodologies are expected to eliminate bias in measurement and reporting. Performance from a citizen s or consumer s point of view is better measured by capturing their perception, rather than data from the delivery agency. Measuring citizens perception can be supplemented by reporting by the agencies themselves, and can offer interesting insights when compared with one another. 3

144 Performance parameters should be applied across all cities and regularly used by all stakeholders. Practical considerations will drive frequency of measurement and reporting; and the jurisdiction of measurement and reporting, both critical aspects in performance measurement. Performance will need to be measured at a frequency higher than or at least equal to the frequency at which it will need to be reported. Frequency should be determined at such an interval at which the variables driving the performance parameter will undergo visible change, and thereby reflect change in performance over different time periods. Also, to the extent practical, performance should be measured at the smallest geographic jurisdiction as possible. Administrative jurisdictions for service delivery departments should ideally be co-terminus with ward boundaries. Service delivery performance at ward levels, when laid out spatially on the city map, may also offer interesting insights. Also from a citizen s perspective, ward boundaries are the sub local body level jurisdictions that they can possibly relate to. For purposes of internal management of the municipality/utility, performance should be reported at the lowest level of jurisdiction and at maximum frequency possible. However, frequency may reduce and city-wide level performance may be reported to the higher levels of government and other external stakeholders. 3. ROLES OF DIFFERENT STAKEHOLDERS For the service level performance parameters to be accepted as a standard, all stakeholders will need to play their parts. The roles of different stakeholders and the next steps they will need to pursue are: National Government: will take the lead in disseminating these service level performance parameters and building wider acceptance. SLBs will also be institutionalized through SWMTSC. National Agencies: Nodal agencies in the urban sector have a critical role in driving the performance of Municipalities. The line ministry will need to periodically evaluate the SLBs as an input for its decisions related to policy, resource allocations, providing incentives and penalties, channelizing technical and manpower support, and regulatory considerations, among others. The SWMTSC will need to play a key role in this process through constant inter-city comparisons. These departments should leverage the power of information technology to build and operate systems that periodically capture and report on SLBs. Web-based technologies should be leveraged to manage information flow. Municipalities: Municipalities are the most important stakeholders for the institutionalization of SLB. As service delivery institutions, Municipalities will find it useful to institutionalize systems for performance management using SLBs. Performance data at the sub- City level (ward level) are particularly useful for the Municipalities for making appropriate decisions and monitoring performance of the various field units. Benchmarking with other cities within the Country, facilitates a healthy competitive environment for continuous improvement; and The key next steps for Municipalities are to generate performance reports on SLBs periodically beginning financial year (FY) Data can be captured either regularly through systems on the ground (for example, weighbridges at the composting plant or landfill 4

145 site, or through specific surveys carried out at defined intervals. In parallel, the Municipalities will also need to institutionalize systems for the entire cycle of performance management. They would imply: Systems for capturing data: Design and implement data collection systems for data to be captured at the most disaggregated level. Such data will typically be from field level staff such as sanitary supervisors. Simple data formats should be designed and provided to them to capture the data and report it upwards within the organisation for collation and determination of the service level performance; Systems for collation and analysis of performance indicators: Specific persons should be designated with the mandate to collate the data received from the field and generate the performance reports. Working directly under supervision and guidance from officers at the head of department level, young professionals with good analytical skills and moderate levels of technical skills should be able to execute these tasks; Systems for assessment and evaluation of performance: In most cases, multiple indicators need to be examined to obtain a holistic picture of service levels in a particular sector. Performance indicators reported by the department level should be closely examined at the management level of the Local Body. Such reviews by the Mayor/ Chief Executive Officer should take place at a defined frequency, say monthly; Systems for decision-making: All Municipalities do have systems for decision-making; however, many decisions end up being considered in the absence of quality data. To address such gaps, systems such as periodically tabling the performance reports in the Chief Executive Officer should be instituted. Typically, reporting ward level performance parameters, wherever applicable, will be useful; Systems for operational decisions and plans: Decisions and plans will need to be periodically reviewed in light of the performance achieved and follow-on decisions taken up. Additional capital or revenue expenditure may be needed, contracting decisions made, and remedial action taken with respect to deployment of staff, etc. A process of monthly review and follow-up decisions will need to be instituted; and Systems to take corrective action for performance improvement: To enable the operational staff implement corrective action on the ground, they will need to be adequately empowered to implement the decisions taken without lengthy approval processes. For networked infrastructure services, as in most urban services, significant efficiency improvements can be brought about through operational improvements without significant capital investment. A system of incentives and penalties must be instituted to attain targeted performance levels. This is critical for the field functionaries to respond in making quick operational improvements. Similarly, the system of penalties for errant staff that has lead to poor performance should be institutionalized. Bi-lateral/Multi-lateral Aid Agencies and Other Stakeholders: Various urban governance and infrastructure improvement programmes initiated by bi-lateral and multilateral aid agencies can dovetail with and further strengthen this initiative, mainly in two ways: Enabling National governments and cities in design and implementation of performance management systems, with a focus on the SLBs defined; and 5

146 Extensively using the SLBs defined in the design, implementation and monitoring of the urban programmes supported by them. Benchmarking service levels and achieving targets for each of these SLBs can be built into the design of these programmes. Citizens and Civil Society: While the SLBs have not been defined from the citizen s perspective as such, the parameters considered provide reasonable indication of performance of the Local Body. Citizens should engage with Municipalities through Associations of local residence and other such civil society organisations, in examining the SLBs and suggesting remedial actions. 4. LIMITATIONS AND CHALLENGES IN IMPLEMENTING PERFORMANCE MANAGEMENT SYSTEMS USING SERVICE LEVEL BENCHMARKS It is recognised that this initiative to implement performance management systems using SLBs has a number of limitations. Performance management in Municipalities is being catalyzed by the National Government; however, it is acceptance and capacity at city levels that will sustain this initiative. While this document has attempted to address issues of definition and methodology for SLB, it is anticipated that a number of complexities will arise in the course of actual implementation. Field level experience in implementing service delivery performance management systems may also throw up the need for monitoring additional parameters. This experience should then provide feedback for improving the SLBs and preparing the second version of this Handbook. Challenges involved in implementing performance management systems using SLBs will be many. They will include: Systems for capturing key data elements identified for SLB are not present in many cases at the field level. Ideally data are always captured at the lowest level. Interpreting and understanding performance is always easier at an aggregate level; this is not possible at the disaggregated level, if data have not been captured at that level. Also the data at city/ Local Body level can be credible and reasonably accurate, only if they have been captured at the lower levels, such as the ward level. For example, if ward level data are captured on quantity of waste collected, they can be aggregated at a Local Body level. However, if the waste collected in only assessed and reported at the city level, ward-wise variances cannot be examined; To measure input parameters for a performance indicator, there may be a tendency to measure through ad hoc systems such as asking sanitary inspector to report on the level of door-to-door collection or segregation and his report is taken as final without having ward-wise data collection system in place. This can be a one of exercise. However, to generate data from the field level on a regular basis to sustain periodic performance measurement, sustainable systems need to be put in place; In some cases, there may be resistance of field staff or other stakeholders to collect and report correct information, as vested interests may be involved. Such vested interests may also want to prevent transparent disclosure of the performance measured. Such hurdles will need to be overcome; As mentioned earlier, definition and measurement methodology issues will continue to exist, though they will be refined with experience. Also, some other indicators may seem important or more SLBs may seem to be necessary for interpreting performance; and 6

147 Performance management will be sustainable only if disclosure, reporting, monitoring and performance management feedback, incentives and disincentives are also brought into the cycle. Else the system of measurement and disclosure of SLBs may not sustain itself. 5. STANDARDISATION OF SERVICE LEVEL BENCHMARKS Each indicator has been detailed out in a standardized template in the following pages to present the definition and computation methodology of the selected SLBs (performance indicators). For each selected indicator, the following details have been provided: Title, units and definition: The specific name, the unit of measurement in which the performance is to be measured, and definition for the indicator is provided; Data requirements: The specific elements of data that need to be captured are identified, along with the corresponding unit of measurement. Each data element is described, and point and frequency of data capture are mentioned. The specific formulae that should be used to arrive at the performance indicator are mentioned; Rationale for the indicator: For each performance indicator, the overall significance and rationale for assessing and monitoring the performance indicator have been provided. The benchmark value has been specified in most cases; Reliability of measurement: The performance measurement is only as reliable for meaningful management decisions as the systems that generate the data to compute the performance. Typically, four levels of reliability of data systems have been specified: A, B, C, and D, with A being of highest reliability and D being lowest. o Reliability of measurement highlights a hitherto ignored aspect in performance management of urban services the need to design, implement and institutionalize robust systems and processes that will provide data of high reliability, on a repeat basis, and in a consistent manner. Municipalities are advised to institute systems corresponding to the level A specified. Such a transition will not happen in a short time period. Thus, while performance levels are improved over time, so should the data systems through which data are captured. The goal, therefore, is to reach the benchmark performance level of A level reliability of measurement; Frequency of measurement: Frequency of measurement of the performance indicator refers to the frequency at which the performance level will be assessed and not the frequency at which the data elements will be measured. For each indicator, the minimum frequency at which the performance should be measured is mentioned. It can then be reported at the same frequency or a lower frequency. The frequency at which performance is measured is critical since: There should ideally be visible change or potential for changing the performance level between two consecutive time periods. (For example, it may not be possible to change the availability of treatment plant capacity in a few months; therefore it should be measured and reported on an annual basis. However, generator of waste may vary with seasons and can be improved during the year, therefore it should be reported at a quarterly and an annual frequency.); If the time period is set too long, the performance measured cannot effectively feed back into making operational improvements; 7

148 If the time period is set too short, significant time will be lost in only measuring and reporting performance; and Performance cannot be reported at a frequency higher than at which it has been measured. Performance should be reported more frequently within the organisation, and at a lower frequency to higher levels of government, for example, performance reports should be tabled to the chief Executive Officer at monthly. However, they may be reported at half yearly to SWMTC and annual frequency to National governments; and Jurisdiction of measurement: This refers to the geographic jurisdiction for which performance should be measured, and not the point of data collection. Typically, measuring urban service delivery performance at a sub-city level makes more sense for city level stakeholders, than only city level performance indicators. For instance, for an urban citizen, it would be useful to know the performance of a particular service in that ward, especially in relation to other wards. Also measuring performance only at the city level will disguise huge differences in service levels that exist between different localities in one city, a phenomenon common in most Nepal cities. Similarly, for stakeholders at the Central level, it is useful to have city level performance indicators, as they would be useful to compare and contrast cities. Such information will then be useful for the formulation of national strategies and policy responses. Measuring performance at a lower level jurisdiction enables aggregation of the data to indicate performance at a larger jurisdiction. Thus, if ward level performance is known for all wards, city level performance can also be reported. Key performance Indicator and targets are given here under: 6. Key performance Indicator and targets S. Proposed Indicator Targets No. 1 Household level/community level coverage of solid waste management 100% services 2 Efficiency of collection of municipal solid waste 100% 3 Extent of segregation of municipal solid waste 100% 4 Extent of municipal solid waste recovered/composted 80% 5 Extent of scientific disposal of municipal solid waste 100% 6 Efficiency in redressal of customer complaints 80% 7 Extent of cost recovery in SWM services 100% 8 Efficiency in collection of SWM charges 90% 8

149 Aforesaid Service Level targets may be achieved in the timeline indicated below: S. No. Proposed Indicator Benchmark Target Years 1 Household level/community level coverage of solid waste management services 100% 5 2 Efficiency of collection of municipal solid waste 100% 5 3 Extent of segregation of municipal solid waste 100% 8 4 Extent of municipal solid waste recovered/composted 80% 8 5 Extent of scientific disposal of municipal solid waste 100% 5 6 Efficiency in redressal of customer complaints 80% 3 7 Extent of cost recovery in SWM services 100% 5 8 Efficiency in collection of SWM charges 90% 5 Note: Municipality wise targets spread over a period of 5-8 years are shown in Annexure-A 9

150 7. Benchmark to be achieved by SWMTSC Composting Phased out benchmarks Community Municipality Treatment Current Community Municipality No treatment Disposal methods No. of Sanitary landfills No. of Controlled landfill Current No. of Dump

151 60 SLF 50 Controlled landfill PERFORMANCE INDICATORS & THEIR RATIONALE 8.1. HOUSEHOLD/COMMUNITY BIN LEVEL COVERAGE OF SOLID WASTE MANAGEMENT SERVICES Performance Indicator Indicator Unit Definition Household level coverage of SWM services through door-to-door collection of waste in urbanized area of large municipalities above 50,000 population and their market places and community level collection in urbanized areas of towns below 50,000 population. Data required for calculating Unit the indicator a. Total number of households and establishments in the selected service area % Percentage of households and establishments that are covered by a daily doorstep collection system or community bin collection. Data Requirements Unit Number Remarks The total number of households and establishments (not properties) in the service area should be calculated. The service area refers to urbanized area in Municipality limits b. Total number of households and Number The total number of households and 11

152 establishments covered with daily doorstep collection/community bin collection. establishments (not properties) in the service area should be calculated. The service area refers to urbanized areas in the Municipality limits Coverage % Coverage = [(b/a)*100] 12

153 Rationale for the Indicator This indicator provides the coverage of door-to-door solid waste collection services or community bin collection services. This is an essential and critical starting point in the entire chain of scientific SWM services. Waste-free clean roads and drains, scientific treatment of waste so as to maximise treatment, recycling and disposal can all be achieved in a sustainable manner only if door-to-door collection of waste is sustained. The benchmark value for this indicator is 100 percent. Reliability of Measurement Reliability scale Lowest level of reliability (D) Intermediate level (C) Intermediate level (B) Highest/preferred level of reliability (A) Minimum frequency of measurement of performance indicator Description of method Coverage numbers based on aggregate city level estimate by the service provider. Coverage is estimated on the basis of the number of wards serviced by doorstep collection/community bin collection, as a percentage of the total number of wards in the Local Body. Estimation of coverage is based on the average daily waste collected by the Local Body (in tonnes) from areas serviced by doorstep waste collection/ community bin collection, divided by the estimated daily waste generation (in tonnes) by the entire city. Daily averages are based on the actual weighing of the waste collected on designated weighbridges, measured daily for seven consecutive days in a month. Calculation is based on the actual number of households and establishments with doorstep/ community bin collection as stated by the agency involved in doorstep collection community bin collection. This may be verified from records of user charges collected. The total number of households/establishments should be measured from updated GIS spatial data of the city. Smallest geographical jurisdiction for measurement of performance Measurement Quarterly Measurement Ward level 13

154 8.2. EFFICIENCY OF COLLECTION OF MUNICIPAL SOLID WASTE Performance Indicator Indicator Unit Definition Collection efficiency % The total waste collected by the Local Body and authorized service providers versus the total waste generated within the Local Body, excluding recycling or processing at the generation point. (Typically, some amount of waste generated is either recycled or reused by the citizens themselves. This quantity is excluded from the total quantity generated, as reliable estimates will not be available for these.) Data required for calculating the indicator a. Total waste that is generated and which needs to be collected b. Total quantum of waste that is collected by the Local Body or authorized service providers Data Requirements Unit Tonnes per month Tonnes per month Remarks The total waste generated excluding waste processed or recycled at the generation point. This would depend on the population of the city, and the composition of economic activities. The total waste collected from households, establishments and common collection points. This should be based on actual weighing of the collected waste. Daily generation should be aggregated to calculate the total monthly quantum. This should exclude any special drives for waste collection, and waste generated from one-off activities such as demolitions, desilting canals, etc. Collection efficiency % Collection efficiency = [(b/a)*100] 14

155 Rationale for the Indicator This indicator is relatively easy to measure, and has been used for a long time as an indicator of efficiency in collection of waste. While the indicator is well understood, the reliability varies significantly on account of different methods used for measurement. Collection efficiency should measure waste collected in the normal course by SWM systems. Typically, the uncollected waste tends to gradually find its way into recycling, or is strewn along the roads, clogs the drains or in case of bio-degradable waste, putrefies and degrades. Therefore, collection efficiency is a key performance indicator. The benchmark value for this indicator is 100 percent. Reliability of Measurement Reliability scale Description of method Lowest level of reliability (D) Waste generation estimates are based on empirical standards of per capita waste generation based on the size of the city. Inadequate data available on waste collection, which is estimated based on the number of trips made by waste collection vehicles to the disposal site. Intermediate level (C) Nil. Intermediate level (B) Waste generation estimates are based on empirical standards of per capita waste generation based on the size of the city. Data available on waste collection, based on waste weighed by the weighbridge at the disposal site. Highest/preferred level of reliability (A) Minimum frequency of measurement of performance indicator Waste generation estimates are based on quarterly surveys /samples of statistically significant and representative number of households and establishments. Seasonal variation in waste quantity generation is captured in these estimates. Waste collection is based on actual weighing of waste on a weighbridge at the disposal site (which is the aggregate of the waste measured at the composting yard, sanitary landfill site, and waste taken out for recycling/reuse after it has been collected). Smallest geographical jurisdiction for measurement of performance Measurement Quarterly Measurement Ward level 15

156 8.3. EXTENT OF SEGREGATION OF MUNICIPAL SOLID WASTE Performance Indicator Indicator Unit Definition Extent of segregation of waste % Percentage of waste from households and establishments that is segregated. Segregation should at least be at the level of separation of wet and dry waste at the source. Ideally, separation should be in the following categories: biodegradable, non-biodegradable and hazardous waste. It is important that waste segregated at the source is transported through the entire chain in a segregated manner. Hence the indicator is based on measurement of waste arriving in a segregated manner at the treatment/disposal site, via-a-vis waste generated in the city. The % reduction in waste quantities coming to the treatment and disposal facility will determine the compliance. Data required for calculating the indicator a. Quantum of waste that is segregated b. Total quantum of waste that is collected by the LOCAL BODY or authorized service providers Data Requirements Unit Tonnes per month Tonnes per month Remarks The total quantum of waste that arrives in a segregated manner at the treatment and/or disposal site (that is, composting yards, waste treatment plants, landfill sites, etc.). Waste that arrives at these locations in an unsegregated manner should not be considered. Waste quantities delivered vis-à-vis waste generator shall determine the waste generated.. The total waste collected from households, establishments and common collection points. This should be based on actual weighing of the collected waste, and should exclude any special drives for waste collection, and waste generated from one-off activities such as demolitions, de-silting canals, etc. (This corresponds to the quantity of (b), as measured for the indicator on collection efficiency.) Extent of segregation % Extent of segregation = [(a/b)*100] 16

157 Rationale for the Indicator Segregation of waste is a critical requirement for sustainable SWM systems. Segregation enables recycling, reuse, treatment and scientific disposal of the different components of waste. This can be readily undertaken by Municipalities for bulk waste, enabling it to be treated, recycled or reused. If waste is received at treatment/disposal points in a segregated manner, it can be safely assumed that it has been segregated at source and transported so, while the converse may not be true. Therefore, segregation is being measured at this point of receipt, rather than at the point of collection. The benchmark value for this indicator is 100 percent. In cases where the LOCAL BODY is adopting an integrated approach with various options for waste treatment where segregation is also taken care of, compliance with this provision may not be mandatory. Reliability of Measurement Reliability scale Lowest level of reliability (D) Intermediate level (C) Intermediate level (B) Highest/preferred level of reliability (A) Minimum frequency of measurement of performance indicator Description of method Segregation is estimated by the service provider without any documentation of measurement methods adopted. All households and establishments provided two separate waste containers are assumed to be segregating waste. Then the percentage of households provided with two bins is used as the basis for estimating the extent of segregation Estimates of segregation are based on the input from agencies engaged in doorstep collection. The aggregates of estimates across all areas should be added up for the LOCAL BODY-wide estimate. The daily total of waste arriving in a segregated manner at disposal/ treatment sites should be measured, on the basis of weighing of individual trips. Waste taken away by recyclers from intermediate points should be added to this quantum, which can be assessed from wholesale waste recycling traders (kabadiwalas). Alternately, the quantum of unsegregated waste received at the disposal point, that is, the composting yard, landfill site, or dump site, should be measured through regular weighing on a weighbridge. The daily totals should be arrived at by adding weights of all trips. The difference between the quantum collected and this quantum (unsegregated waste) should be equal to the quantity that is segregated. A daily log of waste intake at processing facilities is maintained, which is aggregated for the monthly data. Smallest geographical jurisdiction for measurement of performance Measurement Monthly Measurement Local Body level 17

158 8.4. EXTENT OF MUNICIPAL SOLID WASTE RECOVERED Performance Indicator Indicator Unit Definition Extent of recovery of waste collected Data required for calculating the indicator a. Amount of waste that is processed or recycled b. Total quantum of waste that is collected by the Local Body or authorized service providers % This is an indication of the quantum of waste collected, which is either recycled or processed. This is expressed in terms of percentage of waste collected. Data Requirements Unit Tonnes per month Tonnes per month Remarks The total quantum of waste intake by waste processing/recycling facilities operated by the Local Body or operator at a city/ward/locality level. Inert matter, and other material refused by the processing/recycling facilities, which will go back to the dumping sites/landfills, should be deducted from the intake quantities. The total waste collected from households, establishments and common collection points. This should be based on actual weighing of the collected waste. This should exclude any special drives for waste collection, and waste generated from one-off activities such as demolitions, desilting canals, etc. (This corresponds to the quantity of (b), as measured for the indicator on collection efficiency.) Recovery % Extent of recovery = [a/b ]*100 18

159 Rationale for the Indicator Environmental sustainability demands that the maximum amount of waste should be either recycled, reused or processed. While the processing, recycling and reuse should be carried out without creating any health and environmental hazards, the total quantum of waste recovered is in itself a key performance parameter. Therefore, measurement of this indicator is critical. The benchmark value for this indicator will depend on the amount of inert matter included in the waste collected by the Local Body. Waste composition is typically unique for each city, while being within a broad range of values for similar cities. The benchmark value for this indicator could be 80 percent. Reliability of Measurement Reliability scale Lowest level of reliability (D) Intermediate level (C) Intermediate level (B) Highest/preferred level of reliability (A) Minimum frequency of measurement of performance indicator Description of method Recovery estimates are based on the installed capacity of waste processing facilities. Estimation of waste recovery is based on an aggregate mass balance. From the total estimated waste collection, deduct moisture loss and amount disposed at landfill/dump sites to arrive at the extent of waste recovered in the Local Body. Recovery estimates are based on measured consumption /inputs at the large, organised waste processing facilities, such as composting yards and waste-to-energy facilities. Recovery estimates are based on measured consumption/inputs at the large, organised waste processing facilities, such as composting yards and waste-to-energy facilities. To this quantum, unorganised sector waste intake for processing is added. This will typically include community/colony level composting facilities, waste collected for recycling and reuse through the chain of waste recyclers (aggregates measured at the wholesaler level). A daily log of waste intake at processing facilities is maintained, which is aggregated for the monthly data. Smallest geographical jurisdiction for measurement of performance Measurement Monthly Measurement Local Body level 19

160 8.5. EXTENT OF SCIENTIFIC DISPOSAL OF MUNICIPAL SOLID WASTE Performance Indicator Indicator Unit Definition Extent of scientific disposal of waste at landfill sites Data required for calculating the indicator a. Total waste disposed in compliant landfills every month b. Total waste disposed in all landfills every month % The amount of waste that is disposed in landfills that have been designed, built, operated and maintained as per standards laid down by Central agencies. This extent of compliance should be expressed as a percentage of the total quantum of waste disposed at landfill sites, including open dump sites. Data Requirements Unit Tonnes per month Tonnes per month Remarks A daily log of waste being disposed at such compliant landfill sites should be maintained, based on actual measurement at weighbridges that are preferably located at the entrance to such sites. The monthly total should be the sum of daily totals in the month. The total waste disposed after collection and recovery (if any) at landfills (including compliant landfills and open dumpsites). This quantity should be based on actual measurement at weighbridges that are preferably located at the entrance to such sites. The monthly total should be the sum of daily totals in the month. Extent of scientific disposal % Extent of scientific disposal = [a/b]*100 20

161 Rationale for the Indicator Inert waste should finally be disposed at landfill sites, which are designed, built, operated and maintained according to standards laid down in prevailing laws and manuals of nodal agencies. This includes collection and treatment of leachate at the landfill site. The extent of compliance should be evaluated against the total quantum of waste that is disposed at landfills. This is a critical performance parameter from an environmental sustainability perspective. The benchmark value for this indicator is 100 percent. Reliability of Measurement Reliability scale Lowest level of reliability (D) Intermediate level (C) Intermediate level (B) Highest/preferred level of reliability (A) Minimum frequency of measurement of performance indicator Description of method Poor data and records are available at landfill sites. There is no documentation of operations. Estimates are provided on the basis of estimated number of trips of trucks to the landfill site. The quantity of waste being disposed at the landfill site is estimated on the basis of mass balance, that is, the total waste collected less moisture loss and waste recovered through recycling or processing. Actual measurements are not available. Records are maintained and good quality data are available on the quantity of waste being disposed at the landfill/open dumping sites. However, there are no clear records on O&M of landfill operations. Accurate and detailed records on the amount of waste being disposed at landfill sites are regularly collected, and records are maintained on operating practices and routines carried out at all landfill sites. Smallest geographical jurisdiction for measurement of performance Measurement Monthly Measurement Local Body level 21

162 8.6. EFFICIENCY IN REDRESSAL OF CUSTOMER COMPLAINTS Performance Indicator Indicator Unit Definition Efficiency in redressal of customer complaints Data required for calculating the indicator a. Total number of SWM-related complaints received per month b. Total number of complaints redressed within the month Efficiency in redressal of complaints % The total number of SWM-related complaints redressed within 24 hours of receipt of the complaint, as a percentage of the total number of SWM-related complaints received in the given time period. Data Requirements Unit Remarks Numbe r per month Numbe r per month The total number of all SWM-related complaints from consumers received during the month. Systems for receiving and logging in complaints should be effective and easily accessible to the citizens. Points of customer contact will include common phone numbers, written complaints at ward offices, collection centres, drop boxes, online complaints on the website, etc. The total number of SWM-related complaints that are satisfactorily redressed within 24 hours or the next working day, within that particular month. Satisfactory resolution of the complaint should be endorsed by the person making the complaint in writing, as part of any format/proforma that is used to track complaints. % Efficiency in redressal of complaints = [(b/a)*100] 22

163 Rationale for the Indicator It is important that in essential services such as SWM, the utility has effective systems to capture customer complaints/grievances, escalate them internally for remedial action and resolve them. While many Municipalities /utilities have put in place systems to capture complaints, much more work needs to be done to put in place back-end systems for satisfactorily resolving those complaints on time. As SWM is an essential service, the benchmark time for redressal is 24 hours or the next working day. It is therefore important to monitor this indicator. The benchmark value for this indicator will depend on a number of factors such as the size of the city, manpower, institutional network, etc. The benchmark value for this indicator may be set at 80 percent. Reliability of Measurement Reliability scale Lowest level of reliability (D) Intermediate level (C) Intermediate level (B) Description of method Complaints data are not maintained either at ward or city level. There are multiple mechanisms/means by which consumers can register their complaints such as by telephone, in person or by writing or . All complaints received are assumed to be resolved quickly. There are multiple mechanisms/means by which consumers can register their complaints such as by telephone, in person or by writing or . However, systems do not exist for aggregating, sorting and tracking the complaints. Data available for some months have been used as a trend to report the figures for some other months. Highest/preferred level of reliability (A) There are multiple mechanisms by which consumers can register their complaints such as by telephone, in person or by writing or . Complaints are segregated into different categories and are collated through a computer network or other systems, and tracked on a daily basis. The status of redressal of complaints is maintained. Consumers endorse complaints being addressed on the municipal proforma. Minimum frequency of measurement of performance indicator Smallest geographical jurisdiction for measurement of performance Measurement Monthly Measurement Ward level 23

164 8.7. EXTENT OF COST RECOVERY IN SWM SERVICES Performance Indicator Indicator Unit Definition Extent of cost recovery for the LOCAL BODY in SWM services Data required for calculating the indicator % This indicator denotes the extent to which the Local Body is able to recover all operating expenses relating to SWM services from operating revenues of sources related exclusively to SWM. This indicator is defined as the total annual operating revenues from SWM as a percentage of the total annual operating expenses on SWM. Data Requirements Unit a. Total annual operating expenses Rs lakhs b. Total annual operating revenues Rs lakhs Remarks Should include all operating expenses incurred by the LOCAL BODY towards SWM services. This should include costs related to O&M expenses, all directly attributable administrative and establishment expenditure (including salaries, wages, contract labour hire charges, etc.). Operating expenses should also include payments to contractors for activities outsourced by the LOCAL BODY. Should exclude interest payments and principal repayments. Should include all taxes and charges for SWM, plus proceeds from processing or recycling that accrue to the account of the LOCAL BODY. This should exclude income earned by contractors, or the informal sector, that is not passed onto the LOCAL BODY. Cost recovery % Cost recovery = [b/a]*100 24

165 Rationale for the Indicator Financial sustainability is a critical factor for all basic urban services. In services such as SWM, some benefits are received directly by the consumers while some other benefits accrue indirectly through a cleaner and sustainable environment, apart from public health benefits. Therefore, costs related to SWM may be recovered through a combination of taxes and user charges. In case of SWM, there is potential to supplement user charges with revenues that can be gained from recycling, reuse and conversion of waste to either compost or fuel or directly to energy. Therefore, it is critical for measuring overall cost recovery. There is enough past precedence to reveal that the benchmark value for O&M cost recovery may be set at 100 percent. Reliability of Measurement Reliability scale Lowest level of reliability (D) Intermediate level (C) Intermediate level (B) Description of method There is no segregation of budget heads related to solid waste from other functions such as street sweeping and drainage. A cash-based accounting system is practiced. Account codes are not entered function-wise, and it is difficult to estimate SWM-related establishment, administrative and O&M costs. Disclosures and reporting are not timely. Not applicable. Budget heads related to SWM are segregated. Key costs related to SWM are identifiable, although complete segregation is not practiced. Key income and expenditure are recognised based on accrual principles. Disclosures are complete and on time. Accounts are finalised and closed, although the audit may be pending. Highest/preferred level of reliability (A) Budget heads related to SWM are clearly separated and cost allocation standards for common costs are in place. The accrual based double entry accounting system is practiced. Accounting standards comparable to commercial accounting standards with clear guidelines for recognition of income and expenditure are followed. Accounting and budgeting manuals are in place and are adhered to. Financial statements have full disclosure and are audited regularly and on time. Percentage of O&M cost recoveries through user charges is verifiable. Minimum frequency of measurement of performance indicator Smallest geographical jurisdiction for measurement of performance Measurement Annually Measurement Local Body level 25

166 8.8. EFFICIENCY IN COLLECTION OF SWM CHARGES Performance Indicator Indicator Unit Definition Efficiency in collection of SWM charges Data required for calculating the indicator % Efficiency in collection is defined as current year revenues collected, expressed as a percentage of the total operating revenues, for the corresponding time period. Data Requirements Unit Remarks a. Current revenues collected in the given year b. Total operating revenues billed during the given year Rs lakhs per annum Rs lakhs per annum Revenues collected for bills raised during the year. This should exclude collection of arrears as inclusion of arrears will skew the performance reflected. Collection efficiency is in fact an indicator of how many arrears are being built up, and therefore only current revenues should be considered. The total quantum of revenues related to SWM services that are billed during the year. This should include revenues from all sources related to SWM such as taxes, charges, cess, surcharges, etc. Cost recovery % Collection efficiency = [(a/b)*100] 26

167 Rationale for the Indicator For a utility, it is not just enough to have an appropriate tariff structure that enables cost recovery objectives, but also efficient collection of revenues that are due to the utility. It is also important that the revenues are collected in the same financial year, without allowing for dues to get accumulated as arrears. It is therefore critical to monitor this indicator. The benchmark value for collection efficiency may be considered at 90 percent, since it is possible that about 10 percent of the dues may be delayed to the next year. Reliability of Measurement Reliability scale Lowest level of reliability (D) Intermediate level (C) Intermediate level (B) Highest/preferred level of reliability (A) Minimum frequency of measurement of performance indicator Description of method There is no segregation of arrears versus current year revenue collection. Cash basis of accounting is followed. The accounting code structure does not enable clear segregation of revenues. Not applicable. There is clear segregation of current year revenues collection versus arrears collection. However, revenue collection is not matched against the specific bill issued. Overall accrual principles of accounting are followed, and therefore deposits and advances are not included in income and expenditure, respectively. Collection records are maintained for each billing cycle. Collections are clearly identified against the specific bill which has been issued. Overall accrual principles of accounting are followed, and therefore deposits and advances are not included in income and expenditure, respectively. The accounting code structure also enables monitoring of billing and collections for each ward within the Local Body. Smallest geographical jurisdiction for measurement of performance Measurement Annually Measurement Ward level Ref.: Govt. of India, Ministry of Urban Development Publications. 27

168 Annexure-A Spread over targets of performance indicators 1. Door-to-door collection from urbanized parts of towns above 50,000 population/community bin collection in rest of the towns:. n. Name of Municipality Type of existing collection services Containe r service` Road side pick-up Door to door Targets for Introduction of door- to-door collection service in Cities above population and community bin collection system collection in small towns. Year-1 (Appoint agencies for door-todoor collection/communit y collection) Year-2 &4 (Cover 25% of population each year) Year-5 Cover entire urbanized population of the city in D2D collection/ community bin collection 1 Dhankuta Yes Yes Yes 2 Gaur No Yes No 3 Lalitpur Yes Yes No 4 Damak Yes Yes Yes 5 Bhaktapur No Yes Yes 6 Bhadrapur No Yes No 7 Siddarthanagar No Yes Yes 8 Butwal Yes Yes No 9 Pokhara No No Yes 10 Gulariya No Yes No 11 Gorkha No No No 12 Mechinagar Yes Yes Yes 13 Putalibazar No Yes Yes 14 Birendranagar Yes Yes Yes 15 Jaleshwar No Yes No 16 Dhulikhel No No Yes 17 Bhimeshwor Yes Yes Yes 18 Inaruwa Yes Yes No 19 Panauti Yes Yes No 20 Siraha No Yes No 21 Kirtipur No Yes Yes 22 Malangwa Yes Yes No 23 Hetauda No Yes Yes 24 Kamalamai Yes Yes Yes 25 Ilam No Yes Yes 26 Itahari Yes Yes Yes 27 Lahan Yes Yes No 28 Madhyapur No Yes No Thimi 29 Janakpur No Yes Yes 30 Baglung No No Yes 31 Kapilbastu Yes Yes No 32 Lekhnath Yes No No 33 Khadbari No No No 34 Dipayal-Silgadi Yes Yes No 35 Rajbiraj Yes Yes No 28

169 . n. Name of Municipality Type of existing collection services Containe r service` Road side pick-up Door to door Targets for Introduction of door- to-door collection service in Cities above population and community bin collection system collection in small towns. Year-1 (Appoint agencies for door-todoor collection/communit y collection) Year-2 &4 (Cover 25% of population each year) Year-5 Cover entire urbanized population of the city in D2D collection/ community bin collection 36 Nepalgunj Yes Yes No 37 Kalaiya Yes Yes No 38 Bharatpur No Yes No 39 Waling No Yes Yes 40 Biratnagar Yes Yes Yes 41 Ramgram Yes Yes No 42 Tansen No Yes Yes 43 Dharan Yes Yes Yes 44 Bidur Yes Yes No 45 Narayan No Yes Yes 46 Bhimdatta No Yes No 47 Tulsipur No Yes Yes 48 Birgunj No Yes Yes 49 Byas Yes Yes Yes 50 Kathmandu Yes Yes No 51 Ghorahi No Yes Yes 52 Banepa No Yes Yes 53 Amargadi Yes Yes No 54 Ratnanagar No No No 55 Dasharathchand No Yes No a 56 Dhangadi Yes Yes No 57 Tikapur Yes Yes Yes 58 Triyuga Yes Yes No 29

170 2. Segregation of waste Targets for segregation of waste Name of Municipality Existing Status of waste segregation at source Year-1 (Massive Awareness Campaign to educate the people) Year-2 &7 (cover of the urbanized population each year) Year-8 Cover all the households in urbanized area of the city Dhankuta No individual Gaur data is Lalitpur compiled but Damak survey has indicated that Bhaktapur 30% Bhadrapur households Siddarthanagar segregate Butwal waste which Pokhara may vary from Gulariya city to city Gorkha Mechinagar Putalibazar Birendranagar Jaleshwar Dhulikhel Bhimeshwor Inaruwa Panauti Siraha Kirtipur Malangwa Hetauda Kamalamai Ilam Itahari Lahan Madhyapur Thimi Janakpur Baglung Kapilbastu Lekhnath Khadbari Dipayal-Silgadi Rajbiraj Nepalgunj Kalaiya Bharatpur Waling Biratnagar Ramgram 30

171 Existing Status of Targets for segregation of waste Name of Municipality waste Year-1 Year-2 &7 Year-8 Cover segregation at (Massive (cover atleast all the households Tansen source Dharan Bidur Narayan Bhimdatta Tulsipur Birgunj Byas Kathmandu Ghorahi Banepa Amargadi Ratnanagar Dasharathchanda Dhangadi Tikapur Triyuga 3. Street sweeping to improve collection efficiency in urbanized portions of the towns Name of Municipality Existing Frequency of street sweeping (only part of the city is served) Year-1 Selection of contractor for sweeping of streets in urbanized portion of the town, which are not covered Targets for Street Sweeping Year-2 &4 Increase coverage 30% per year Year-5 Cover all the streets in the urbanized area of the city Dhankuta Thrice a week Gaur Daily Lalitpur Daily Damak Daily Bhaktapur Daily Bhadrapur Daily Siddarthanagar Daily Butwal Daily Pokhara Daily Gulariya Daily Gorkha Daily Mechinagar Daily Putalibazar Daily Birendranagar Daily Jaleshwar Daily Dhulikhel Daily Bhimeshwor Daily 31

172 Existing Frequency of Targets for Street Sweeping Name of Municipality street sweeping Year-1 Year-2 &4 Year-5 Cover (only part of Selection of Increase all the streets in Inaruwa Daily Panauti Daily Siraha Thrice a week Kirtipur Daily Malangwa Daily Hetauda Daily Kamalamai Daily Ilam Daily Itahari Daily Lahan Daily Madhyapur Thimi Daily Janakpur Daily Baglung Daily Kapilbastu Once a week Lekhnath - Khadbari Daily Dipayal-Silgadi Daily Rajbiraj Daily Nepalgunj Daily Kalaiya Daily Bharatpur Daily Waling Daily Biratnagar Daily Ramgram Daily Tansen Daily Dharan Daily Bidur Daily Narayan Daily Bhimdatta Daily Tulsipur Daily Birgunj Daily Byas Daily Kathmandu Daily Ghorahi Thrice a week Banepa Daily Amargadi Daily Ratnanagar Daily Dasharathchanda Daily Dhangadi Daily Tikapur Daily Triyuga Daily 32

173 4. Composting of waste Targets for construction of compost plants in municipal areas. Name of Municipality Existing commu. level compost plants Existing muni. level compost plants Year-1 Site Selection (If not available) Year-2& 4 Construction of compost plant Year-5 Operationalise the plant covering the entire city's organic waste No. of plants No. of plants Dhankuta 1 Gaur Lalitpur Damak Bhaktapur 2 Bhadrapur Siddarthanagar Butwal 1 1 Pokhara Gulariya Gorkha Mechinagar 1 Putalibazar Birendranagar 1 Jaleshwar Dhulikhel Bhimeshwor Inaruwa Panauti Siraha Kirtipur 1 Malangwa Hetauda 1 Kamalamai 3 Ilam Itahari Lahan Madhyapur Thimi Janakpur Baglung Kapilbastu Lekhnath 1 Khadbari Dipayal-Silgadi Rajbiraj Nepalgunj Kalaiya Bharatpur Waling Biratnagar

174 Ramgram Tansen Dharan 1 v Bidur Narayan Bhimdatta Tulsipur Birgunj Byas Kathmandu 1 v Ghorahi Banepa Amargadi Ratnanagar Dasharathchanda Dhangadi Tikapur Triyuga 5. Controlled/ Sanitary landfilling Targets for construction of sanitary landfill by the municipalities above 1 lakh population and controlled landfills by all small municipalities. Name of Municipality Existing controlled/sanitary landfill Year-1 Site Selection (If not available) Year-2& 4 Construction of sanitary/ controlled landfill. Year-5 Operationalise the landfill. Dhankuta Gaur Lalitpur Damak Bhaktapur Bhadrapur Siddarthanagar Butwal Pokhara Gulariya Gorkha Mechinagar Putalibazar Birendranagar Jaleshwar Dhulikhel Bhimeshwor Inaruwa Panauti Siraha Kirtipur Malangwa Hetauda Kamalamai Ilam 34

175 Name of Municipality Itahari Targets for construction of sanitary landfill by the municipalities above 1 lakh population and controlled landfills by all small municipalities. Existing controlled/sanitary Year-1 Site Selection (If Year-2& 4 Construction Year-5 Operationalise the landfill. Lahan Madhyapur Thimi Janakpur Baglung Kapilbastu Lekhnath Khadbari Dipayal-Silgadi Rajbiraj Nepalgunj Kalaiya Bharatpur Waling Biratnagar Ramgram Tansen Dharan Bidur Narayan Bhimdatta Tulsipur Birgunj Byas Kathmandu Ghorahi Banepa Amargadi Ratnanagar Dasharathchanda Dhangadi Tikapur Triyuga 6. Levy of SWM Tariff Name of Municipality Existing situation Targets for introducing levy of SWM service tariff. Year-1 Determine SWM service tariff for various types of waste generators Year-2 introduce service fee to cover 50% of O&M costs for households and 100% for non-residential premises Year-3-5. Increase service tariff by minimum 10% each year and achieve 100% O&M cost recovery in 5 years for households Dhankuta Gaur Lalitpur 35

176 Targets for introducing levy of SWM service tariff. Name of Municipality Existing situation Year-1 Year-2 Year-3-5. Increase Determine introduce service tariff by Damak Bhaktapur No city-wise data Bhadrapur is available and Siddarthanagar service fee is Butwal levied in various Pokhara modes by a very few municipalities Gulariya Gorkha Mechinagar Putalibazar Birendranagar Jaleshwar Dhulikhel Bhimeshwor Inaruwa Panauti Siraha Kirtipur Malangwa Hetauda Kamalamai Ilam Itahari Lahan Madhyapur Thimi Janakpur Baglung Kapilbastu Lekhnath Khadbari Dipayal-Silgadi Rajbiraj Nepalgunj Kalaiya Bharatpur Waling Biratnagar Ramgram Tansen Dharan Bidur Narayan Bhimdatta Tulsipur Birgunj Byas Kathmandu Ghorahi 36

177 Targets for introducing levy of SWM service tariff. Name of Municipality Year-1 Year-2 Year-3-5. Increase Existing situation Determine introduce service tariff by Banepa Amargadi Ratnanagar Dasharathchanda Dhangadi Tikapur Triyuga 37

178 Solid Waste Management Technical Support Centre (SWMTSC) Ministry of Federal Affairs and Local Development (MoFALD) ADB TA-7597-NEP-Capacity Building for Waste Management PUBLIC AWARENESS PROGRAM THROUGH INFORMATION, EUCATION & COMMUNICATION Asian Development Bank Prepared by Ratna Mehar Bajracharya, Social Expert, TA 7597 & P. U. Asnani, Team Leader IPE Global Private Limited In association with Environnment Resource Management Consultants (ERMC) (P.) Ltd. and Full Bright Consultancy (Pvt.) Ltd. CAPACITY BUILDING FOR WASTE MANAGEMENT (TA 7597-NEP) 1

179 PUBLIC AWARENESS PROGRAM Background Like many other developing countries, rapid urbanization is taking place in Nepal. The population in the urban centers is growing fast. Urban infrastructure and services are not in a position to keep pace with challenged rapid population growth. The gap between the need and capacity to deliver urban services is most visible in the case of solid waste management. Unscientific collection and disposal of waste is not only nuisance causes public, but it also possess problem of public health and environment. Recognizing the importance of SWM, the Government of Nepal has enacted a legislation entitled Solid Waste Management Act 2011 having a number of provisions to improve the solid waste management service. Successful implementation of the Act is a challenge to local bodies. If concerted efforts are made, it will strengthen the solid waste management service delivery in Nepal and contribute much to the improvement of urban environment and public health of the country. The present capacity in the SWM sector needs to be greatly improved to implement the Act. To overcome this challenge, the Government of Nepal (GoN) requested the Asian Development Bank (ADB) for technical assistance (TA) to build the capacity for waste management. Accordingly the ADB fielded a mission in July 2010 and approved this TA project to assist in the proper implementation of the Act by building the capacity of key implementation agencies as well as formulating necessary policy and support documents. For effective SWM services, each city requires community mobilization and participation which can be best obtained through early and effective public awareness and education programs, which need to continue even after the program is in full swing. 2. Objectives The overall objective of the program is to increase community awareness and their active participation in managing Municipal Solid Waste. Information, Education and Communication campaign encompassing all section of the society (including women and vulnerable section of the society) is essential to ensure community participation. 3. Need of community Participation Solid waste management is an activity, where public participation holds the key to its success. The local body can never be successful in solid waste management without active community participation. Solid waste management not only needs the involvement of technical staff with knowledge of solid waste management system, but also needs the involvement of the whole civil society. 2

180 Households, commercial establishments and industries are major producers of waste and the mismanagement of this waste directly impact their health, environment and quality of life. Uncollected waste is responsible for diseases like Typhoid, Cholera, Hepatitis A, Leptospirosis, Filariasis, Malaria, Dengue, Chickengunia and several others. Besides, waste if not properly disposed of, causes land, water and air pollution having serious environmental implication. 3.1 Why community awareness and participation is important in SWM? a. In promoting the principles of Reduce, Reuse and Recycling of waste. b. In reducing littering of the waste on the streets, into drains, open spaces, water bodies, etc. c. In ensuring storage of waste at source, segregation of biodegradable and nonbiodegradable (keeping hazardous and infected waste separately). d. Making arrangements for primary collection of waste through Resident Welfare Associations RWA/Self help groups/ngos or individual waste collectors by paying for the services provided. e. Encouraging and assisting local composting and recycling initiatives. 4. Planning for Community Involvement Initiatives The first step for the local body is to define a methodology for reaching out the community. Informing and involving the community as well as creating channels for all stakeholders to participate in the decision making and voice their concerns are very important step for successfully implementing SWM projects. A common approach is consulting the representative groups to ascertain the perception of the people about the existing SWM services, their expectations and the extent to which they are willing to support and participate in the process. Urban local bodies may approach NGOs, CBOs, School and College students or other institutions for help in the task of involving the community. One has always to keep in mind that the main objective of the consultation process is to establish a meaningful interaction among municipal officers, citizens and other stakeholders to obtain consensus towards a concrete plan of action. Representative groups should be consulted to ascertain their perception about the existing SWM services, their expectations and willingness to support and participate in the SWM program. Following process can be followed a. Identification of problems and perceptions through a consultative process b. Find alternatives and work out the optimal solutions c. Consult community on the options available and build consensus 3

181 d. Work out the Strategy for Implementation and define pilot areas 5. IEC Strategies for SWM There are many IEC methods that can be used and municipal authority need to select the right one keeping in view their goals and objectives in mind. It is important to make people understand the importance of having good solid waste systems and the steps they can take to help municipal authorities and solid waste managers and workers to better perform their work. The main thrust of IEC is to make people understand about: a. impact of solid waste on their own health and environment b. need and concept of source segregation. c. need of storing waste at source in two separate receptacles one for the biodegradable waste and another for the recyclable waste. Keeping toxic and hazardous waste separately is also significant. d. role citizens can play in primary collection of waste from the household and handing over the waste materials to rag pickers or waste collectors on a day to day basis. e. need for paying for the waste collection and disposal services f. need of using litter bins on the roads and public places sensibly and sensitively. 6. Public Awareness Program (PAP) A. The Public Awareness Program should address, but not limiting to, the following: 1. Benefits of improved Solid Waste Management on public health and environment 2. Introduction of salient features of SWM Act, SWM Regulations 4. National Policy and Strategy on SWM. B. Key Message to be delivered 1. Not to litter at Public Places 2. Minimize generation of MSW 3. Storage of waste at source in a segregated manner. 4. Practice home composting 5. Handover the waste to the waste collector. 6. Pay service charges 7. Public Awareness Methods There are many useful methods, which can be used for awareness generation amongst the public; some of them are discussed below: 4

182 7.1 Door to door awareness and motivation programs The most effective way of ensuring that the right messages reach all the participants is by launching a door-to-door awareness campaign. This step is a very important as it establishes a continuing contact with the participants providing a feedback and building a bond between the project and the beneficiaries. Once the basic requirements for the launch of the door-to-door waste collection are met such as procurement of collection vehicles, construction of secondary storage and depots, procurement of transport vehicle is made s ensured the small time lag is kept of between IEC Campaigns and actual waste collection. This builds the confidence of the people who begin to believe that Local Body mean to deliver goods and they become ready to support the initiatives Door-to-door motivation also gives household a chance to clear their doubts and ask questions regarding the project. Printed educational material such as posters, brochures and pamphlets are given to each house or commercial establishment and the entire concept of segregation of waste is explained using the pamphlet. IEC Materials are very useful while conducting awareness programmes Materials on solid waste management may include posters, leaflets and handouts which can be distributed amongst the householders, shop owners, office goers and be displayed at prominent positions. The information and the message in these materials should be prominent with catchy words and slogans. They have to be attractive posters with good photographs and messages with a few words readable from a distance to be displayed in various parts of the city. Pamphlets, hand bills can be printed giving instructions in very simple and understandable language showing photographs in action and circulated in the community requesting public participation. 7.2 Celebration of the major occasions On all major occasions/festivals and celebration of major days (Environment day, Earth day, Leprosy day) along with the celebrations, waste management can be a prominent activity. These activities should be conducted by the local body to build a sense of responsibility and the importance of the issue. 7.3 Rallies Organizing rallies on the various occasions builds an excitement among the onlookers and motivates the society. Such rallies may be taken out at least twice a year. 5

183 7.4 Street plays As a part of building awareness about waste management among the common man including the slum dwellers and urban poor regular street plays can serve very useful tools. The main objectives of conducting the street shows are to: a. Attract residents of the layout to participate in the ongoing Solid Waste Management programme b. To emphasize the importance of Segregation and Disposal of household garbage and in turn keep their streets clean. c. To drive home the importance of garbage reduction, and waste recycling and discouraging plastic usage in daily life. d. Disseminate awareness on the benefits of composting the wet waste and making their own manure out of kitchen waste. 7.5 Cleanup drives Organizing regular clean up drives involving the local community and the District Administration is very useful in ensuring community participation and build sense of responsibility. Clean up drives always make the community realize the advantages of cleanliness. 7.6 Open forums Organizing open forums in each locality to collect views of the community openly and rectify the mistakes if committed can be useful. 7.7 School programmes Children are strong communicators. Educating school children in order to make them aware about the clean & green environment & waste segregation is very significant. This can be done by organizing many activities like painting competition, elocution competition, slogans writing, facilitating them to organize clean up drives etc. Students should also be trained for use of recycled products (reuse paper and carry plastic bags, use of recycled paper etc.) 7.8 Involvement of Religious Leaders Religious leaders play a significant role in bringing about a change in the mind set of the people. If they advise their devotees/disciples to keep their surroundings clean by not littering anywhere and by managing their waste as advised by the urban local body, it will go a long way in improving the situation in the urban areas. 6

184 7.9 Involvement of Women Associations Women are generally found more concerned in maintenance of health and hygiene and they are involved in domestic waste management on a day to day basis. The awareness among the women could be raised through Mahila Mandals/Women s Associations who could be given talking points and necessary literatures in a very simple understandable language / graphics for creating awareness among women. 8. Mass Communication Methods 8.1 Print Media Advertisements may be given in a planned manner to educate the masses. Local newspapers can be requested to insert the given messages on SWM at regular intervals. They could be encouraged to start a regular Suggestion Box from where good ideas can be picked up by the local body. Newspapers may be especially encouraged to give coverage to successful initiatives that have overcome SWM problems. ULBs can also use newspaper delivery services by inserting handbills for readers in a particular locality to announce the start of campaign from time to time and to adhere to the systems introduced. 8.2 TV / Cable TV / Radio/Web Site: This is a very powerful medium and can be used through local programs to inform the citizens of new waste collection arrangements made by the local body as and when they become operational and advise them to participate effectively in the prescribed manner. Contact numbers of the concerned officials for problem solving or reporting of SWM grievances may also be publicized. This media may be used to publicize successful efforts in some localities to motivate other citizens to perform likewise and get similar recognition of their effort. Cinema Halls Slides in cinema theatres can be displayed to inform and motivate the public. 9. Community Level Program This may be taken up in the selected areas by the municipalities. It involves the following activities. a. Group meeting with opinion makers, leading citizens. b. Training to leaders of women s groups, poor and disadvantaged groups, CBOs and on the topics covered. c. Conducting Community Level Cleanliness Programme. 7

185 10. School Education on SWM: This program may target both public and schools. The following activities may be undertaken: a. Awareness training to Student b. Practical SWM training to students. c. Provision of material support to schools such as cleaning equipments, waste containers of different colors for segregation of solid waste etc. d. Essay, painting competitions among school children on SWM related theme 11. Training The training programs may be designed based on the assessment of the level of knowledge of the trainees on the given subject. Proposed training may be provided to the following target groups at three levels: 11.1 Municipal Level This training may be targeted to higher level of municipal staff and other stakeholders working at policy making levels. Topics to be included at this level may be: a. Impact of poor SWM on Public health & environment. b. Importance of Community Participation c. General orientation on PAP (Waste generation rates, need of segregation, concept of RRR, PPP, community participation, SWM tariff etc.). d. Community level Planning. e. Techniques of organizing community f. Monitoring and evaluation Community Level Training may be provided to Community Mobilizers, community health volunteers, CBOs, representatives of women, poor & disadvantaged groups and members of user committees etc. Topics to be included at this level could be: a. Adverse impacts of poor SWM b. Orientation training on PAP. c. Topics listed under section 3 & 4 above. d. 3R principles and practices e. Users group formation and Community Leadership in SWM School Level 8

186 Teachers involved in teaching health and hygiene subjects may be given training on practical aspect of SWM who in turn, will teach to students in classroom what they have learnt in the training. It may focus on No littering, minimizing waste, segregation at source, home composting, recycling etc. 12. IMPLEMENTATION ARRANGEMENTS: 12.1 Hiring of Professional Agency: Qualified professional may be hired/contracted for preparing a detailed design and implementation of the program. The contract could be given in separate packages for each subcomponent, as group of package Selection of IEC Agency - Selection of IEC agency for detailed design and implementation of community development program will be done by the municipality. Eligibility Criteria: The following criteria may be set for eligibility to participate in application for services: a. The Agency must be duly registered in related GoN office. b. The Agency should have Tax Clearance as per prevailing rules and regulation up to fiscal year. c. Should have minimum 3 years prior experience of designing and implementing of IEC Campaign and/or public health and community development programs. d. Should have experiences and technical expertise in the following field. Community/Social Development. Conducting health/sanitation/environment education programs. Conducting training and workshops for SWM Community mobilization for SWM. Preparing visual information and educational materials for SWM. Drama Staging related to SWM e. Should have office space, equipments and materials (e.g. Computer, overhead projector, loud speaker, amplifier and speakers) for carrying out public awareness program Roles and Functions: Following shall be the roles and functions of different institutions SWMTSC - Assist in preparation of National level IEC campaign, supervision, monitoring and evaluation of the program. 9

187 Concerned Section of Municipality The municipality will be responsible for implementation of PAP. It will carry out the following tasks. Coordinate and review the PAP implementation. Guide the contractor in identification, production/reproduction of educational and communication materials. Liaise with Ward Committees, NGO/CBOs, GoN district/municipal level line agencies particularly, District Public Health and Education Offices. Guide in holding workshop/training to relevant staff of municipality, ward members, members of user groups, representative leaders of women and poor/disadvantaged groups, members of SWM Committee. Guide in the identification of poor/disadvantaged groups and their locations of residence. Guide in the formation of user committees and women s groups. Supervise, monitor and evaluate activities undertaken. Report to SWMTSC Selected Contractors: The selected contractor, in consultation and coordination with concerned section of the municipality shall perform all necessary tasks (as also specified in ToR) which would include, but not necessarily be limited to, the following: Detailed design and implementation of PAP/IEC Program, as specified tasks. Work in close cooperation and coordination with municipal authority and other stakeholders NGO/CBO, representatives of poor/disadvantage and women s group. Design, organize and conduct IEC Campaign, training programs at municipal, community and school levels. Assist in the formation of users committees. Perform all tasks as specified tasks. Reporting to municipality as required. 13. Activities to be performed The activities to be undertaken under each sub-component are given in the table below; Activity Responsibility Public Awareness Program (PAP) in SWM Selection of expert agency for detailed design and implementation of PAP/IEC Campaign 10

188 Activity A. Mass Communication and Demonstration a. Identify the ext and produce appropriate materials relating to topics mentioned for mass education b. Arrange and organize appropriate media (FM, TV spots, etc) for message dissemination on SWM activities. c. Organize rallies, street drama, Lok Dohori events (as applicable) on suitable occasions in cooperation with schools and local cultural groups. d. Conduct other information campaigns as per project requirements. e. Periodic supervision, monitoring and evaluation B. Community Level Program a. Identification of communities and location of their residence where PAP is to be launched. b. Formation of ward level committees to act as contact groups on day-to-day matters during implementation. The composition of the committee will include members of user groups, community workers/mobilizers (having received training under the program), and representatives of CBOs, women s groups (WG) and poor/disadvantaged groups c. Collection/ production/reproduction of information and education materials on relevant topics. d. Design various community level programs as mentioned in and Responsibility Municipality Selected contractor under guidance of SWM/Environment/Community/ social Development section of the Municipality and in consultation with stakeholders - do - Selected contractor under guidance of concerned section of the Municipality and in cooperation local cultural groups. Selected contractor under guidance of concerned section of the Municipality and in consultation with stakeholders. SWMTSC and the concerned section of the municipality with assistance of selected party. Selected Contractor under guidance of concerned section of the Municipality and in consultation with ward members/officials and stakeholders. - do - Contractor in consultation with Municipal authority - do - 11

189 Activity e. Training to community mobilizers, leaders of women s groups, representatives of poor and disadvantaged groups. f. Mobilization of community mobilizers and launch of community health awareness/education by holding community meetings/workshops in coordination with CD sub section of PIU. g. Distribution of education/communication materials in the community h. Periodic supervision, monitoring and evaluation of the program implementation C. School Program a. Selection of schools for participation in the program. b. Design Training Program for school teachers and student. c. Provide educational materials (teaching + learning materials, waste containers) to participating schools. d. Training to school teacher involved in teaching health/hygiene subject. e. Implementation of school level PAP Responsibility - do - do - do - Municipal authority Municipal authority in consultation with school authority SWMTSC, School authority, Municipality ad selected party Selected party under guidance of Community/Social Development section of Municipality and school authority Selected Party in consultation with School authority Selected Party in consultation with School authority D. Program for Poor and Disadvantaged Groups a. Identification of poor households. This may be done from the data collected in the household survey b. Delineate locations where poor/disadvantaged groups reside. Selected Contractor/ NGO under guidance of concerned section of Municipality, Community leaders ad contractor -do- 12

190 Activity c. Identification of leaders from among the poor and disadvantaged people through consultation with the groups d. Ensure inclusion of poor and disadvantaged groups in training program Responsibility - do - -do- 13

191 Solid Waste Management Regulation, 2069 (2012) In exercise of power conferred by Section 50 of the Solid Waste Management Act, 2068 (2011), the Government of Nepal has framed the following rules. 1. Short Title and Commencement: (1) These rules shall be called "Solid Waste Management Regulation, 2069 (2012 AD)". (2) This Regulation shall come into force immediately. 2. Definition: Unless the subject or context otherwise requires, in this regulation: (a) "Source of Production" means the place from where solid waste is generated or produced or created. (b) "Act" means the Solid Waste Management Act, 2068 (2011). (c) "Organic" means the substance that is decomposed or decayed shortly and the term also includes the paper, wood manufactured by using the organic material. (d) "Inorganic" means the material that is not decomposed or decayed shortly. 3. Segregation and Management of Solid Waste: (1) While prescribing for segregation of solid waste, at least, in organic and inorganic according with Section 6 of the Act, the Local Body shall prescribe for segregating and managing the chemical and hazardous solid waste separately. While so prescribed, the person, institution or body producing the solid waste shall have to segregate the solid waste accordingly. (2) The concerned producer shall be responsible for the management of chemical or hazardous solid waste that has been segregated pursuant to Sub-rule (1). 1

192 (3) The Local Body shall carry out the public awareness program in regard to segregation of solid waste at source, reduction of solid waste at source and adoption of appropriate technology for its management pursuant to sub-rule (1). 4. Disposal of Solid Waste: (1) While prescribing the time, place and method for disposal of solid waste, the Local Body shall have to prescribe in such a way that it is convenient for transportation, processing and final disposal of the solid waste. (2) The Local Body may prescribe separate time, place and method for the solid waste to be transported to the processing area. (3) While prescribing the time, place and method pursuant to Sub-rule (1) and (2) for the disposal of solid waste and management thereof the Local Body shall have to consider the adverse effect likely to be caused in the public health and environment and the measures taken for minimization thereof. 5. Disposal and Management of Hazardous or Chemical Waste: (1) The hazardous, chemical, organic or inorganic waste should not be disposed mixing it with other solid wastes. (2) The final disposal should be done only when it becomes general solid waste after processing of the hazardous, chemical, organic or inorganic solid waste.. (3) The person, institution or body having obligation for the management of hazardous, chemical, organic or inorganic solid waste shall be required to obtain permission from the Local Body for the production, processing, disposal and management of such solid waste. While managing the solid waste after receiving such permission, the Local Body should be notified of the method, standard, process, technology to be adopted for the management of solid waste and the landfill site and the record has to be maintained thereof. 2

193 (4) While giving approval pursuant to Sub-rule (3), the Local Body should provide such permission only after ensuring whether the process and technology proposed for the approval are in line with the standards prescribed by the Government of Nepal or not. (5) The Local Body shall monitor whether the person, institution or body, who has obtained permission pursuant to Sub-rule (3) for the management of hazardous, chemical, organic or inorganic solid waste, has been managing as per the approved method, standard, process, technology and landfill site or not. (6) If it is so required to be managed the hazardous, chemical, organic or inorganic solid waste through the Local Body after being processed, the person, institution or body having obligation to manage the solid waste may request to the Local Body and if so requested, the Local Body may manage such solid waste by levying the service fee. (7) While collecting, storing and transferring the hazardous, chemical, organic or inorganic solid waste, it should be done adopting safe process. (8) While carrying out processing of the hazardous, chemical, organic or inorganic solid waste, the processing has to be done in such way that the hazardous substance is destroyed and arrangement is made for final disposal/dumping after such waste becomes as general solid waste. (9) The person, institution or body producing hazardous, chemical, organic or inorganic solid waste shall have to fully comply with the standards prescribed by the Government of Nepal for the management of such solid waste and the prevailing environmental laws. 6. Disposal and Management of Medical Waste: (1) The health institution shall be required to process and manage the medical waste produced and disposed by it after segregating at source. (2) Approval shall have to be obtained from Local Body in regard to the process, technology and disposal site to be used for purification, 3

194 processing and management of the hazardous medical waste. While providing such approval the Local Body shall ensure whether the process, technology and disposal site proposed for the approval are in line with the standards prescribed by the Government of Nepal or not. (3) The health institution which has obtained approval pursuant to Sub-rule (2), shall be required to process, purify and manage the waste by itself. (4) The health institution which is not capable to process, purify and manage pursuant to Sub-rule (3), may request the concerned Local Body for processing, purifying and managing. If so requested, the Local Body, by itself or under its coordination, may carryout processing, purification and management works thereof. (5) After processing and purification of hazardous medical waste produced and disposed by the health institution and general solid waste produced and disposed by health institution may be arranged for disposal of such solid waste by Local Body levying service fee to the concerned health institution. (6) The certification of a recognized laboratory shall be required to be obtained after examination of medical hazardous waste whether it has purified or not. (7) The health institution producing the medical hazardous waste shall be required to fully comply with the prevailing environmental laws and standards relating to management of such waste. (8) The Local Body shall monitor whether the health institution which is managing the medical waste after obtaining approval pursuant to Sub-rule (3) has managed the waste using the approved process, technology and disposal site or not. 7. Regarding Transportation of Solid Waste: While transporting the solid waste, the Local Body shall be required to use the vehicle having following arrangements: 4

195 (a) Having non-visibility of the solid waste, leakage proof for both solid and liquid waste; (b) Having provision for not coming ordure and litchet out; (c) Easier to upload and unload the solid waste; (d) Appropriate as per the capacity and condition of the road; 8. Operation of Sanitary Landfill Site: (1) While carrying out the operation of the landfill site, the Local Body shall be required to adopt the followings: (a) The measures for minimizing the adverse impact in the environment of that area that is likely to cause due to lichet, gas, and ordure coming out from the operation of the landfill site; (b) The changes likely to come in geographical condition of landfill site and measures for the management thereof; (c) The physical, economic, social and bio-diversity impact likely to cause to the life of the people of the vicinity of landfill site and the measures for the management thereof; (d) The opportunities like to come from the operation of the landfill site and the arrangement for grabbing such opportunities. (e) The arrangement for stopping the movement in the landfill site during its operation and precautions/awareness to be adopted in this respect. (2) The other provisions regarding operation of landfill site shall be as prescribed in the standards and directives prescribed by the Local Body. 9. Post Closure Management of Sanitary Landfill Site: (1) The post closure management of the landfill site shall be done as follows: (a) The adverse impacts likely to be caused in that area due to lichet, gas, ordure etc. after closure of disposal of the solid waste in the 5

196 sanitary landfill site, and measures for minimizing the impacts thereof; (b) To adopt the methods and measures for utilization and management of gas to be released after closure of landfill site. (c) To look the possibility for reuse of landfill site after its closure and the methods and measures to be adopted while reusing it; (d) To adopt measures of the management of the affected vicinity of sanitary landfill site after its closure; (e) To adopt the measures for stopping the movement for certain period of time in the landfill site after its closure and the matters to be considered for precautions/awareness thereof. (f) To adopt the recommendations of the initial environmental examination report or the environmental impact assessment report. (2) The other provisions regarding post closure management of sanitary landfill site shall be as prescribed in the standards and directives prescribed by the Local Body. 10. Submission of Application for License: (1) A company, institution or body wishing to manage the solid waste shall be required to submit an application to the concerned Local Body in the format as prescribed in schedule 1 along with the fee as prescribed by the Local Body and enclosing all necessary documents and details of the following particulars in addition to the particulars mentioned in Sub-section (2) of Section 13 of the Act: (a) The particulars regarding source of finance, human resources, means for collection and transportation of solid waste, work experience; (b) The intended area of work for the management of solid waste; 6

197 (c) The arrangement of land required for the collection, transfer, processing and final disposal of the solid waste; (d) (e) The methods and processes for management of solid waste; The proposed arrangement for the fulfilment of the social responsibilities; (f) (g) The time and duration intended to manage the solid waste; The measures for minimizing the environmental impact likely to be caused from the management of solid waste; (h) The liability to be borne and the tariff to be paid by the producer of the solid waste; and (i) The amount proposed by the applicant to deposit in the Local Body. (2) While submitting application pursuant to sub-rule (1), the matters whether the management of solid waste will be done on commercial basis or on community or social basis having no profit motive, shall be required to mention clearly. 11. License may be issued: (1) The Local Body shall examine the documents and particulars submitted along with the application pursuant to Rule 10. (2) While examining the application submitted pursuant to sub-rule (1), if it is found that any necessary document or particular has not been submitted, the concerned applicant shall be notified within seven days from the date of submission of application giving 15 days time to submit such document or particulars. (3) If notice has been given to submit any document or particulars by prescribing the time limit by the Local Body pursuant to sub-rule (2), the Local Body shall conduct necessary examination after receipt of such document and if it appears appropriate, it may grant license in a format prescribed in schedule 2 within thirty days upon payment of prescribed fee. 7

198 (4) If it appears inappropriate to issue license to the applicant, the information thereof shall be communicated to the applicant stating reason thereof. (5) While issuing license, the Local Body may issue separate license for managing the solid waste on commercial basis or non-commercial basis. (6) The tenure of license shall be five years. 12. License may be cancelled: (1) The Local Body may cancel the license issued pursuant to Rule 11 in following conditions: (a) (b) If any terms contained in the license is violated; If the management of solid waste is not carried out as per the prescribed standard; (c) (d) If the prevalent environmental law is violated; If it is not renewed. 13. Provision Relating to Renewal of License (1) The company, institution or corporate body who has obtained license pursuant to Rule 11, shall be required to submit an application to the concerned Local Body in a format prescribed in schedule 3 along with prescribed fee to renew the license before six month of the expiry of tenure of the license. (2) The Local Body shall be required to take decision over the application submitted pursuant to sub-rule (1) before three months of the expiry of tenure of the license. (3) The Local Body may renew the license after necessary examination over the application submitted pursuant to sub-rule (1). (4) If the license is not renewed or cannot be renewed within the time frame as specified in sub-rule (1), the license shall be deemed to have been cancelled ipso facto upon expiry of its tenure. If the license is not renewed, the Local Body shall be required to initiate necessary proceedings for 8

199 issuance of license for the management of solid waste before three months of the date of expiry. 14. Involvement of Non-governmental Organization in Solid Waste Management: (1) For the purpose of Sub-section (5) of Section 15 of the Act, the Local Body may mobilize community and non-governmental organizations to empower the company, institution or corporate body for segregation of solid waste at source, minimization of waste at source, reuse of solid waste or recycle use of the solid waste and in raising public awareness in the management of solid waste. (2) For purpose of sub-rule (1), the Local Body shall be required to prepare a list of non-government and community organizations who are working in the field of management of solid waste. (3) The process for listing and mobilizing the non-government organization for the works pursuant to sub-rule (1) shall be as per the prevalent laws. 15. Compliance with Standards: (1) The private sector who has received license from the Local Body for operation of landfill site or processing station shall be required to work in compliance of the prescribed standards and terms and conditions as prescribed at the time of issuance of the license. (2) If the private sector who has received license pursuant to Sub-rule (1) does not comply with the prescribed standards and directives, the Local Body may cancel such license complying the following procedures stated hereunder: (a) While monitoring the management of solid waste by the private sector having license, if it is found that the standards and directives prescribed by the Local Body are not complied with, such private 9

200 sector shall be directed for improvement by giving 90 days time for the first time. (b) If the private sector requests the Local Body for providing additional time by exhibiting partial improvement in line with the direction as per Clause (a) and stating the shortfall of time, the Local Body may provide additional 60 days at the maximum. (c) If the concerned private sector could not make any improvement within the time frame stated in the direction given as per Clause (a), the license so received by such private sector may be cancelled; (3) Notwithstanding anything contained in sub-rule (2), if the private sector who has received license for operation of sanitary landfill site, processing station and other apparatus, does not work as per the license resulting any loss or damage to any person, such loss or damage shall be recovered from such private sector and if such private sector has to pay any dues to the Local Body, the Local Body may recover such due amount as well. 16. Fixation of Service Fee: (1) While fixing the service fee for management of solid waste, the Local Body shall fix the taking into consideration of the following basis in addition to the matters contained in Sub-section (2) of Section 18 of the Act: (a) The technology, method and process adopted by the producer of the solid waste for management of solid waste at source; (b) The size, type and kinds of solid waste to be discharged by the producer of the solid waste; (c) (d) The impact of discharged solid waste to the environment; Expected cost for management of solid waste. (2) If the Local Body carries out the management of solid waste in partnership with the private sector, community and non-government institutions, the 10

201 service fee that can be levied by such private sector, community and nongovernment institutions shall have to be fixed in pursuance to Sub-rule (1). 17. Rebate may be given in Service Fee: (1) In the case of low income group who cannot pay the service fee determined by the Local Body, a rebate up to 50% may be given considering the financial condition of the producer of the solid waste. (2) The Local Body shall be required to identify the low income group and publicize a list of them every year. While carrying out the management of solid waste through private sector or community and non-government institutions, the low income group has to be determined before entering into the agreement. (3) In the course of management of solid waste, the Local Body may provide concession to the household which is involved in minimizing the solid waste at source. Clarification: For the purpose of this Rule, low income group means the person who is not capable of paying the service fee determined by the Local Body, as recommended by the Ward Office in the case of municipality or by the Village Development Committee in other cases. 18. Committee may be formed in the Sanitary Landfill Site Affected Area: (1) For the purpose of Section 22 (6) of the Act, the Local Body may form a committee consisting of the following members for providing advice in regard to management of the solid waste: (a) Chairperson of the sanitary landfill site located Village Development Committee Coordinator (b) (c) Ward secretary of the sanitary landfill site located Wards - Member Three representative from the sanitary landfill site located and affected Village Development Committees - Member 11

202 (d) The head of the health institution located in the sanitary landfill sited affected area Member (e) Two person including one women nominated by the Local Body from among the social institutions located in the affected area- Member (f) One person experienced in the sector of management of solid waste and environment Member (g) The employee of Local Body as designated by the Local Body Member Secretary (2) Notwithstanding anything contained in sub-rule (1), if the sanitary landfill site is located in more than one Village Development Committees, the Chairperson of all such Village Development Committees shall be the member and they shall be coordinator turn by turn in alphabetic order in every two years. (3) The procedure for the business of the committee constituted pursuant to sub-rule (1) shall be determined by itself. 19. Power, Function and Duty of Council: (1) In addition to the powers, functions, duties mentioned in Section 24 of the Act, the other powers, functions and duties of the Council shall be as follows: (a) To take decide on policy matters relating to management of the solid waste; (b) To frame necessary mechanism and structure for coordination between the agencies involved in the management of the solid waste. (c) To prescribe the scope of work of the mechanism established for the management of the solid waste. 12

203 20. Power, Function and Duty of the Centre: (1) In addition to the powers, functions, duties mentioned in Section 28 of the Act, the other powers, functions and duties of the Centre shall be as follows: (a) To study on the appropriateness of the technology relating to the management of the solid waste and recommend to the Local Body; (b) To cause to participate the Local Body in the management of solid waste; (c) To provide recommendation to the Local Body on the appropriateness of the technology and equipment to be imported by the private sector for the management of solid waste; (d) To prepare necessary directives and standards for solid waste management works in consultation with the Local Body; (e) To provide technical assistance to the Local Body in regard to solid waste management; (f) To advise the Government of Nepal and the Local Body to reduce or ban to import the goods generating high volume of solid waste; (g) (h) To advise the Local Body for effectively managing the solid waste; To conduct or cause to conduct the public awareness program and trainings on management of solid waste by mobilizing the Local Body and private sector; (i) To resolve the disputes related to management of the solid waste that arises between the Local Bodies, through arbitration; (j) To coordinate between the Local Bodies for constituting the committee for construction, operation and management of solid waste processing and landfill site; (k) To work as liaison agency in relation to the solid waste management; (l) To monitor the status of the solid waste management of the Local Body; 13

204 (m) To adopt the reform measures in regard to the management of solid waste. 21. Power, Function, Duty of Committee: (1) In addition to the powers, functions, duties mentioned in Section 30 of the Act, the other powers, functions and duties of the Committee shall be as follows: (a) (b) To approve the annual report submitted by the Centre; To give necessary instruction to the Center in regard to import of solid waste management technology; (c) (d) To approve the directives and standards prepared by the Centre; To carry out other functions as are necessary. 22. Provision Regarding Terms of Service of Executive Director: The remuneration, facilities and terms and conditions of the service of the Executive Director shall be equal to the gazetted first class officer of civil service of the Government of Nepal. 23. Internal Audit: (1) The Centre shall be required to cause to have internal audit of the statements of its income and expenditure regularly from the recognized auditor and keep them updated. (2) While conducting internal audit pursuant to rub-rule (1), special attention shall be given in following matters: (a) whether the expenditures are incurred in the plan and programs approved by the Center or not; (b) (c) (d) whether the financial bylaws have been complied with or not; whether the property has been safeguarded or not; whether the works are performed as per the approved budget or not; 14

205 (e) whether monthly report has been submitted to the centre or not. (3) The Ministry may, if so wishes, check or cause to check the account of income and expenditure, cash, stock or other documents at any time. (4) The procedures to be adopted for carrying out the internal audit shall be as prescribed by the Committee. 24. Directives may be issued: (1) The Government of Nepal may give necessary directives to the Local Body in relation to management of solid waste. (2) The Local Body may issue necessary directives to the person, institution or body which produces solid waste in following matters relating to the management of the solid waste: (a) To adopt the methods and technology for minimizing the solid waste at source; (b) To adopt the method and process prescribed by the Local Body for reuse and recycling use of solid waste for minimizing the solid waste; (c) To segregate the solid waste at source and to discharge the segregated solid waste in the prescribed place and time using prescribed methods; (d) (e) To deposit the prescribed service fee within the prescribed time; To perform other necessary works for the management of solid waste. (3) It shall be duty of the Local Body and the person, institution or body producing solid waste to comply with the directives given by the Government of Nepal pursuant to sub-rule (1). 25. Provision regarding Monitoring: The Local Body may monitor following matters in relating to management of solid waste: 15

206 (a) Whether the measures and technology to reduce the solid waste at source have been adopted or not, (b) Whether the methods prescribed by the Local Body for reuse or recycling use of solid waste and for minimizing the solid waste have been adopted or not, (c) whether the segregation of solid waste at source has been done or not and whether the segregated solid waste has been discharged in the prescribed place and time using prescribed method or not; (d) Whether other matters prescribed by the Local Body for management of solid waste have been complied with or not. 26. Schedule may be altered: The Government of Nepal may make necessary change or addition or deletion in the schedule by publishing notification in Nepal Gazette. 27. Repeal and Saving: (1) The Solid Waste Management and Resource Mobilization Regulation, 2046 (1989) has been repealed. (2) All the acts performed and actions taken under the sub-rule (1) shall be deemed to have been performed and taken under this Regulation. 16

207 Schedule -1 (Related to Rule 9 (1)) To Metropolitan City/Sub-metropolitan City/Municipality/Village Development Committee Subject: Request for License /Permission for management of solid waste commercially I/We, , having resident of being interested for management of solid waste in area of this Metropolitan City/Submetropolitan City/Municipality/Village Development Committee on commercial basis, have submitted this application with following particulars. I/We kindly request for your approval for management of solid waste in the said area. Particulars: 1. The particulars regarding source of finance, human resources, means of transport for collection and transportation of solid waste, experience details; 2. The intended area for the management of solid waste; 3. The arrangement of the land required for management of solid waste; 4. The methods and processes for management of solid waste; 5. The plan for management of solid waste; 6. The technology to be used for management of solid waste; 7. Tax clearance certificate; 8. Renewal of Institution/Firm/Company Applicant: Signature: Name, Surname: Address: Date: 17

208 Schedule-2 (Related to Rule 20(2)) Subject: License As you have submitted an application on to this office for management of solid waste commercially in area of Metropolitan City/Submetropolitan City/Municipality/Village Development Committee of District, you, , having permanent/temporary resident of , have been granted this license pursuant to Section 13(3) of the Solid Waste Management Act, 2068 (2011 AD) for management of solid waste on commercial basis. Terms: License Issuing Official: Name: Signature: Date: 18

209 Schedule 3 (Related to Sub-rule (1) of Rule 13) Mr Metropolitan City/Sub-metropolitan City/Municipality/Village Development Committee Subject: Request for renewal of license We have received license from that office for the management of solid waste in area of Municipality on , which is valid up to We now hereby submit this application for renewal of said license along with the renewal fee Rs pursuant to Rule 13 of the Solid Waste Management Regulation, 2068 (2011 AD). Applicant: Signature: Name, Surname: Address: Date: 19

210 Solid Waste Management Technical Support Centre (SWMTSC) Ministry of Federal Affairs and Local Development (MoFALD) ADB TA-7597-NEP-Capacity Building for Waste Management DRAFT HEALTHCARE WASTE MANAGEMENT RULES, 2069 (2012) September 2012 Asian Development Bank Prepared by Anil Bansal, SWM Expert, TA 7597 IPE Global Private Limited In association with Environnment Resource Management Consultants (ERMC) (P.) Ltd. and Full Bright Consultancy (Pvt.) Ltd. Page 1 of 17

211 Contents 1. BACKGROUND SWM ACT SOLID WASTE MANAGEMENT DRAFT REGULATION, 2069 (2012) HEALTHCARE WASTE MANAGEMENT RULES, 2069 (2012) Short title and commencement Application Definitions Duties of the Occupier Duties of the operator of a common bio-medical waste treatment facility Segregation, packaging, transportation and storage of biomedical waste Treatment and disposal of biomedical waste Prescribed authority Procedure for authorisation Advisory Committee Provision of land for sitting common treatment facilities Schedule 1. Waste Categories, waste types and treatment & disposal options Schedule II: Colour Coding and Type of Container for Disposal of Biomedical wastes 12 Schedule III. List of Authorities and Corresponding authorities Schedule IV Standards for Treatment and Disposal of Biomedical Wastes Page 2 of 17

212 1. BACKGROUND Management of healthcare waste is very necessary to prevent public health from adverse affects due to poor management of healthcare waste. This is very important subject to be addressed. Unfortunately, this has not been taken up seriously in Nepal. In the past, guidelines entitled 'National Health Care Waste Management Guidelines" were prepared by NHRC in 2002 in collaboration and support from the World Health Organization by provide a minimum standard for safe and efficient waste management for Health Care Institutions in Nepal. Beside this, so far in Nepal, there are no special policies, legislation or framework created to manage the waste generated from health care institutions. 2. SWM ACT 2011 The Solid Waste definition in the SWM Act includes medical waste. As per definition in the Act, Medical Waste has been defined as the hazardous waste produced and discharged from hospitals, clinics, pharmacies, dispensaries, blood banks, pathology labs, veterinary institutions and health research centers. The SWM Act allows the disposal of hazardous and medical wastes at sanitary landfills after being "treated or purified". While this requirement is appropriate, but there are no regulatory standards as to what constitutes treated or purified biomedical waste. 3. SOLID WASTE MANAGEMENT DRAFT REGULATION, 2069 (2012) Clause 6 of the Regulations give following directions for medical waste management:- (1) The health institution shall be required to process and manage the medical waste produced and disposed by it after segregating at source. (2) Approval shall have to be obtained from Local Body in regard to the process, technology and disposal site to be used for purification, processing and management of the hazardous medical waste. While providing such approval the Local Body shall ensure whether the process, technology and disposal site proposed for the approval are in line with the standards prescribed by the Government of Nepal or not. (3) The health institution which has obtained approval pursuant to Sub-clause (2), shall be required to process, purify and manage the waste by itself. (4) After processing and purification of hazardous medical waste produced and disposed by the health institution and general solid waste produced and disposed by health Page 3 of 17

213 institution may be arranged for disposal of such solid waste by Local Body levying service fee to the concerned health institution. (5) The certification of a recognized laboratory shall be required to be obtained after examination of medical hazardous waste whether it has purified or not. (6) The health institution producing the medical hazardous waste shall be required to fully comply with the prevailing environmental laws and standards relating to management of such waste. (7) The Local Body shall monitor whether the health institution which is managing the medical waste after obtaining approval pursuant to Sub-rule (3) has managed the waste using the approved process, technology and disposal site or not. 4. HEALTHCARE WASTE MANAGEMENT RULES, 2069 (2012) In exercise of power conferred by SWM Act, 2068 (2011 A.D.) and section 24 of the Environment Protection Act 2053 (1997 A.D.), following rules have been framed:- 1. Short title and commencement a. These rules may be called the Healthcare Waste Management Rules, b. They shall come into force on the date of their publication in the Gazette of Government of Nepal. 2. Application These rules shall apply to all occupiers who generate, collect, receive, store, transport, treat, dispose, or handle bio-medical waste in any form and shall not apply to radioactive waste, hazardous waste, municipal wastes covered under SWM Act 2011 or any other waste not specified in herein. 3. Definitions In these rules, unless the context otherwise requires.- "Act" means the Environment (Protection) Act, 1997; "Authorisation" means permission granted by the prescribed authority for the generation, Page 4 of 17

214 collection, reception, storage, transportation, treatment, disposal and/or any other form of handling of bio-medical waste in accordance with these rules. "Authorised Person" means an occupier or operator authorised to generate, collect, Receive, store, transport, treat, dispose and/or handle bio-medical waste in accordance with these rules; "Bio-medical waste" means any waste, which is generated during the diagnosis, treatment or immunisation of human beings or animals or in research activities pertaining thereto or in the production or testing of biologicals, including categories 1-3 mentioned in Schedule I of these rules; "Biologicals" means any preparation made from organisms or micro-organisms or product of metabolism and biochemical reactions intended for use in the diagnosis, immunisation or the treatment of human beings or animals or in research activities pertaining thereto; "Bio-Medical Waste Treatment and Disposal Facility" means any facility wherein treatment, disposal of bio-medical waste or processes incidental to such treatment and or disposal is carried out and includes common treatment facilities; Healthcare Institution A hospital, clinic, dispensary or any other institution involved in the diagnosis, care and treatment of patients; Healthcare waste Healthcare waste include all the waste generated by healthcare institutions, research institutions and laboratories. It includes biomedical waste as well general waste like recyclables and bio-degradables. Incineration Incinerations is method of treatment and disposal of waste by combustion at high temperature leading to near complete destruction of hazardous components of waste. "Occupier" means a person having administrative control over the institution and the premises generating bio-medical waste, which. includes a hospital, nursing home, clinic, dispensary, veterinary institution, animal house, pathological laboratory, blood bank, health care facility and clinical establishment by whatever name it may be called; "Operator of a common bio-medical waste treatment facility" means a person who owns or controls or operates a common facility for the collection, reception, storage, transport, treatment, disposal or any other form of handling of bio-medical waste; Page 5 of 17

215 "Schedule" means Schedule appended to these rules; 4. Duties of the Occupier It shall be the duty of every Occupier to take all steps to ensure that bio medical waste is handled without any adverse effect to human health and the environment in accordance with these rules. Occupier shall ensure:- a. Each occupier shall try to minimise waste generation by applying the strategies of reduce, reuse and recycling without compromising the work standards and environmental outcomes. b. To provide training for all its health care workers and others involved in handling of biomedical waste in his/her institution. c. To ensure segregation of bio medical waste at the point of generation in accordance with these rules. d. To ensure occupational safety of all its health care workers and others involved in handling of biomedical waste by providing appropriate and adequate personal protective equipments, immunize all its health care workers and conduct periodic health check up and others involved in handling of bio-medical waste for protection against diseases that are likely to be transmitted by handling of biomedical waste. e. To install necessary equipments and regular supply of materials required for proper in house handling of bio medical waste or tie up with common biomedical waste management facilities for treatment and disposal of biomedical waste as per these Rules. In this case it will be the responsibility of the operator to ensure that common facility provider is collecting and treating the waste as specified in these rules. f. To maintain and update every day the bio medical waste management register according to quantity, various categories and the final mode of disposal of bio-medical waste as specified in schedule-i. g. To establish a bio-medical waste management cell/committee if the healthcare facility has more than 15 beds and/or generating 10 Kg/day of biomedical waste, in order to review and monitor the activities related to bio-medical waste management. Committee should include the medical superintendent, nursing head/superintendent, housekeeping in-charge and a Doctor. This can vary depending on size and type of Page 6 of 17

216 healthcare facility. Such unit or cell shall meet once in six months and the record of the minutes of such meetings. This committee/cell shall be responsible for preparation, monitoring, periodic review of waste management plan and procedures. h. To ensure segregation of non-infectious recyclables and biodegradables in separate bins as prescribed in Schedule-1 to minimise the quantities of biomedical waste generated from the hospital. 5. Duties of the operator of a common bio-medical waste treatment facility It shall be the duty of every Operator of the common biomedical waste management facility:- a. To take all necessary steps to ensure that the bio-medical waste collected from the Occupier is transported, handled, stored, treated and disposed of without any adverse effect to the human health and the environment in accordance with these rules. b. To ensure timely collection of bio-medical waste from the health care facility as prescribed under these rules. Biomedical Waste should be stored in the healthcare facility for more than 48 hours. c. To provide training for all its workers involved in handling of bio medical waste and provide necessary information and facilitate training of the healthcare institutions tied up with the facility. d. To undertake appropriate pre-placement medical examination and also periodic medical examination and immunize all its workers involved in handling of bio-medical waste for protection against diseases that are likely to be transmitted while handling bio-medical waste and maintain the records for the same. e. To ensure occupational safety of all its workers involved in handling of bio-medical waste by providing appropriate and adequate personal protective equipments. f. To develop a system of reporting of unintended accidents like sharp injuries, mercury spills, fire hazards which are likely to occur during handling of bio-medical waste and the remedial action taken. Mercury spills should be managed following WHO guidelines on the same. g. To maintain a log book for each of its treatment equipment according to weight of batch; Page 7 of 17

217 categories of waste treated; time, date and duration of treatment cycle and total hours of operation 6. Segregation, packaging, transportation and storage of biomedical waste This is applicable to both the occupier and the common facility provider:- a. Untreated Bio-medical waste shall not be mixed with general waste in the healthcare institution. b. Bio-medical waste shall be segregated into containers or bags at the point of generation in accordance with Schedule II prior to its storage, transportation, treatment and disposal. c. The containers/bag should be labeled as biomedical waste/general waste as applicable. d. The transporter shall transport the bio-medical waste for in-house treatment facility or from the premises of an occupier to any off-site bio-medical waste treatment facility only with the label along with the necessary information. e. All concerned staff members to be properly trained in handling, loading and un-loading of biomedical waste and should be fully aware of emergency procedures for dealing with accidents and spillages. f. Untreated bio-medical waste shall be transported only in such vehicle as may be authorised for the purpose by the competent authority as specified by the Government. g. No untreated waste of Categories 1, 2 and 3 shall be kept stored beyond a period of 48 hours. A separate storage facility shall be provided for storing biomedical waste. Storage facility for biomedical waste and general waste should be done separately. h. The Municipal authority of the area shall continue to pickup and transport segregated non bio-medical solid waste generated from healthcare institution as well as duly treated biomedical wastes for disposal at municipal dump site in accordance with the SWM Act 2011 on payment of charges as may be prescribed by the local body. 7. Treatment and disposal of biomedical waste a. Bio-medical waste shall be treated and disposed of in accordance with Schedule I, and in compliance with the standards prescribed in the rules. Page 8 of 17

218 b. Every occupier shall either set up his own requisite biomedical waste treatment equipments like autoclave or microwave, shredder for treatment of bio-medical waste generated in his premises as a part of on-site treatment, prior to commencement of its operation or ensure requisite treatment of bio-medical waste through an authorised common bio medical waste treatment facility or any other authorised waste treatment facility. Smaller institutions are encouraged to use such facility. c. Any occupier having 200 or more bed capacity may install an incinerator, depending on the recipient environment and the location warranting such a course of action. d. Every Operator of a common bio medical waste treatment facility shall set up requisite biomedical waste treatment equipments like incinerator, autoclave or microwave, shredder and effluent treatment plant as a part of treatment, prior to commencement of its operation. e. Use of chlorinated plastic bags for handling of bio-medical waste shall be prohibited and the occupier or operator of a common bio-medical waste treatment facility shall not dispose of such plastics by incineration. Such an action will be punishable. f. Any person including an occupier or operator of a common bio medical waste treatment facility intends to promote new technologies for treatment of bio medical waste other than those listed in Schedule I shall approach the Ministry of Environment, Science and Technology, Government of Nepal for prior approval of the suitability of the new technology and laying down the standards or operating parameter. On approval, the standards for new technology shall be notified by the Ministry. g. The occupier or operator of a common bio-medical waste treatment facility shall dispose of the recyclable bio-medical wastes such as plastics and glass through authorized recyclers authorised or notified by the Government. This can be done after ensuring treatment by autoclaving or microwaving followed by mutilation/shredding, whichever is applicable. h. In the event of breakage of mercury containing medical instruments, necessary precautions shall be taken by the occupier to segregate such waste to the extent possible and also for its proper collection, storage and disposal as per rules notified by Government for such chemicals. 8. Prescribed authority Page 9 of 17

219 a. Prescribed authority for enforcement of the provisions of these Rules shall be as notified by the Government. b. The prescribed authority shall function under the supervision and control of Ministry of Science, Environment and Technology. c. Prescribe authority shall ensure that all the parties concerned in the healthcare waste management system follows the provisions of these rules. It shall develop compliance monitoring tools and impact monitoring systems. 9. Procedure for authorisation a. Every operator of common bio-medical waste treatment facility involved in generating or collecting or receiving or storing or transporting or disposing and/or handling biomedical waste, irrespective of the quantum of bio-medical waste generation shall make an application in Form Ito the prescribed authority for grant of authorisation. b. A provisional authorisation shall be granted for trial run for a period of one year, to enable the operator of common bio medical waste treatment facility to demonstrate the adequacy of the waste management system. On satisfactory performance during the trial period, the authorisation shall be renewed for a further period of five years and may also be renewed for a period of five years, if it is considered necessary. c. The prescribed authority may cancel or suspend an authorisation, if for reasons, to be recorded in writing, the occupier or operator has failed to comply with any provision of the these rules: Provided that no authorisation shall be cancelled or suspended without giving a reasonable opportunity to the occupier or operator of being heard. d. Every operator shall intimate the prescribed authority about any change or variation in the activity relating to bio medical Waste generation, handling, treatment and disposal for which authorisation was earlier granted and shall submit a fresh application in Form- 1 for modification of the conditions of authorisation. e. Every occupier who undertaking the partial or full in-house treatment of the waste will have to take authorisation as detailed out above for the common facility provider. 10. Advisory Committee a. The Government shall constitute an Advisory Committee under the Chairmanship of Page 10 of 17

220 State health Secretary. The committee shall include representatives from the ministries of Health, Environment, Science and Technology, Urban Development, Solid Waste Management & Technical Support Center, representatives from Medical Association, and Non-governmental organisations. b. Advisory committee shall meet once in six months and review all the matter related to implementation of Bio-Medical Waste Management Rules. d. Advisory committee shall establish compliance monitoring tools and impact monitoring systems; penal provisions and subsidies to enforce these rules. 11. Provision of land for sitting common treatment facilities The municipal authorities and/or central government will be responsible for providing the suitable common treatment and disposal facilities in the area under their jurisdiction. This may be done with or without charges the facility provider as deem appropriate by the authority. The common facility provider will need to take environment clearance from the prescribed authority as per the provisions in the EPA Act and EPA Rules. Schedule 1. Waste Categories, waste types and treatment & disposal options Category Waste Type Treatment and Disposal Option Category No. 1 Category No. 2 Human or animal anatomical waste like tissues, organs, body parts, carcasses, bleeding parts, fluid, blood, experimental animals from research institutions, etc. Discarded, outdated medicines and cytotoxic drugs, soiled waste like items contaminated with blood and body fluids including cotton, swabs, soiled plaster casts, soiled linen and other item contaminated with blood. Microbiology & Biotechnology Waste and other laboratory waste and other laboratory waste (wastes from clinical samples, pathology, biocultures, stocks or specimens, of microorganisms, live or attenuated vaccines, human and animal cell culture used in research and infectious agents from research and industrial Incineration/deep burial Disinfection at source by chemical treatment or by Autoclaving a /microwaving followed by mutilation /shredding" and after treatment final Page 11 of 17

221 Category 3 Category 4 Category 5. laboratories, wastes from production of biological, toxins, dishes and devices used for transfer of cultures) Infectious solid waste (waste generated from disposable items other than the waste sharps such as tubings, hand gloves, saline bottles with I V tubes, catheters, glass, intravenous sets, etc.) Waste Sharps (Needles, glass syringes or syringes with fixed needles, scalpels, blades, glass, etc. that may cause puncture and cuts. This include both used and un-used sharps General Waste - Recyclable Includes paper, card board, metal containers, floor sweepings, non-infectious plastics, glass bottles, metal, etc. General Waste bio-degradable organic matter- kitchen, canteen, food waste and garden waste disposal in secured landfill or disposal of recyclable wastes (plastics or glass) through registered or authorized recyclers. Disinfection by chemical treatment or destruction by needle and tip cutters, autoclaving or microwaving followed by mutilation or shredding, whichever is applicable and final disposal through authorized common facility provider or disposal in secured landfill or designated concrete waste sharp pit. It should be kept separate from the biomedical waste and sent for recycling/or handed over to municipality. It should be kept separate from the biomedical waste and composted/or handed over to municipality. Notes:- a. Chemical treatment should be done by using atleast 1% hypochlorite solution or any other equivalent chemical reagent. It must be ensured that chemical treatment ensures disinfection. b. Mutilation/shredding should ensure that item does not remain re-usable c. There should be no chemical treatment before incineration. d. Chlorinated plastics should not be incinerated. e. Disposal of biomedical waste by deep burial shall be prohibited in municipal areas. It is permitted only in VDCs and rural areas where there is no access to common biomedical waste facility. f. Chemical waste such as disinfectants, insecticides, etc should be treated before discharging into the drains. Schedule II: Colour Coding and Type of Container for Disposal of Biomedical wastes Page 12 of 17

222 Colour Coding Type of container Waste category Treatment option Yellow Non- chlorinated plastic Category 1 Incineration/deep burial bags Red Non- chlorinated plastic Category 2 As per schedule 1 bags Blue Non-chlorinated plastic Category 3 As per schedule 1 bags/puncture proof containers Black Plastic Bag/Container Category 4 As per schedule 1 Green Plastic bags/containers Category 5 As per schedule 1 Schedule III. List of Authorities and Corresponding authorities Sr. No. Authority Corresponding Duties 1 Ministry of Environment, Science and Technology Policies concerning healthcare waste management in the country including notification of Rules and amendments to the Rules and when required with technical support from SWMTSC. Financial assistance/subsidy for setting up common biomedical waste treatment facilities Review and approval of new technologies for treatment and disposal of biomedical waste Random inspection of common and individual biomedical waste management facilities Undertake or support research on healthcare waste management Grant and renewal or refusal/cancellation of authorisation to operate biomedical waste management facilities Monitoring compliance and enforcement Impose penal action and provide subsidies against healthcare institutions and common biomedical waste management facilities providers for violation of these rules Implementation of recommendation of advisory committee 2 Ministry of Health Publication of national inventory of health care facilities with regard to biomedical waste generation, treatment and disposal Lead the advisory committee to perform the functions described in the rules Allocation of adequate funds to Government Healthcare Institutions for healthcare waste management Page 13 of 17

223 Procurement and allocation of equipments and containers for biomedical waste management in Government healthcare facilities Negotiate and tie up with common biomedical waste treatment facilities Implementation of recommendations of advisory committee 3 Local bodiesmunicipalities and VDCs Provide or allocate suitable land for development of Common Biomedical Waste Treatment and Disposal Facility for safe treatment and disposal of biomedical waste in their respective jurisdiction. Pickup and transport segregated non bio-medical/general solid waste generated from healthcare institution as well as duly treated biomedical wastes for disposal at municipal dump site in accordance with the SWM Act 2011 on payment of charges as may be prescribed by the local body. Schedule IV Standards for Treatment and Disposal of Biomedical Wastes 1. Standards for Incinerators All incinerators shall meet the following operating and emission standards A. Operating Standards 1. Combustion efficiency (CE) shall be at least 99.00%. 2. The Combustion efficiency is computed as follows: %CO2 C.E. = X 100 %CO2 + % CO 3. The temperature of the primary chamber shall be 800 ± 50 deg. C. 4. A. The secondary chamber gas residence time shall be at least one second at 1050 ± 50 C, with minimum 3% Oxygen in the stack gas. Page 14 of 17

224 B. Emission Standards Parameters Concentration mg/nm3 at (12% CO 2 ) Correction) Particulate matter 150 Nitrogen Oxides 450 HCl 50 Minimum stack height shall be 30 metres above ground Volatile organic compounds M ash shall not be more than 0.01% 2. STANDARDS FOR WASTE AUTOCLAVING The autoclave should be dedicated for the purposes of disinfecting and treating biomedical waste. 1. When operating a gravity flow autoclave, medical waste shall be subjected to: a. a temperature of not less than 121 C and pressure of 15 pounds per square inch (psi) for an autoclave residence time of not less than 60 minutes; or b. a temperature of not less than 135 C and a pressure of 31 psi for an autoclave residence time of not less than 45 minutes; or c. a temperature of not less than 149 C and a pressure of 52 psi for an autoclave residence time of not less than 30 minutes. 2. When operating a vacuum autoclave, medical waste shall be subjected to a minimum of one pre-vacuum pulse to purge the autoclave of all air. The waste shall be subjected to the following: a. a temperature of not less than 121 C and pressure of 15 psi per an autoclave residence time of not less than 45 minutes; or b. a temperature of not less than 135 C and a pressure of 31 psi for an autoclave residence time of not less than 30 minutes; Page 15 of 17

225 3. Medical waste shall not be considered as properly treated unless the time, temperature and pressure indicators indicate that the required time, temperature and pressure were reached during the autoclave process. If for any reasons, time temperature or pressure indicator indicates that the required temperature, pressure or residence time was not reached, the entire load of medical waste must be autoclaved again until the proper temperature, pressure and residence time were achieved. 4. Recording of operational parameters: Each autoclave shall have graphic or computer recording devices which will automatically and continuously monitor and record dates, time of day, load identification number and operating parameters throughout the entire length of the autoclave cycle. 5. Validation test The autoclave should completely and consistently kill the approved biological indicator at the maximum design capacity of each autoclave unit. Biological indicator for autoclave shall be Bacillus stearothermophilus spores using vials or spore Strips; with at least 1X104 spores per milli-litre. Under no circumstances will an autoclave have minimum operating parameters less than a residence time of 30 minutes, regardless of temperature and pressure, a temperature less than 1210 C or a pressure less than 15 psi. The occupier or operator of a common bio medical waste treatment facility shall conduct this test at least once in three months and records in this regard shall be maintained. 6. Routine Test A chemical indicator strip or tape that changes colour when a certain temperature is reached can be used to verify that a specific temperature has been achieved. It may be necessary to use more than one strip over the waste package at different locations to ensure that the inner content of the package has been adequately autoclaved. The occupier or operator of a common bio medical waste treatment facility shall conduct this test doing autoclaving of each batch and records in this regard shall be maintained. 4. Standards of Microwaving i. Microwave treatment shall not be used for cytotoxic, hazardous or radioactive wastes, contaminated animal carcasses, body parts and large metal items. ii. The microwave system shall comply with the efficacy test or routine tests and a Page 16 of 17

226 performance guarantee may be provided by the supplier before operation of the limit. iii. The microwave should completely and consistently kill the bacteria and other pathogenic organisms that are ensured by approved biological indicator at the maximum design capacity of each microwave unit. Biological indicators for microwave shall be Bacillus Subtilis spores using vials or spore strips with at least 1 x 101 spores per milliliter. 5. Standards for Deep Burial (i) A pit or trench should be dug about 2 meters deep. It should be half filled with waste, then covered with lime within 50 cm of the surface, before filling the rest of the pit with soil. (ii) It must be ensured that animals do not have any access to burial sites. Covers of galvanised iron or wire meshes may be used. (iii) On each occasion, when wastes are added to the pit, a layer of 10 cm of soil shall be added to cover the wastes. (iv) Burial must be performed under close and dedicated supervision. (v) The deep burial site should be relatively impermeable and no shallow well should be close to the site. (vi) The pits should be distant from habitation, and located so as to ensure that no contamination occurs to surface water or ground water. The area should not be prone to flooding or erosion. (vii) The location of the deep burial site shall be authorised by the prescribed authority. (viii) The institution shall maintain a record of all pits used for deep burial. (ix) The ground water table level should be a minimum of six meters below the lower level of deep burial pit. Page 17 of 17

227 Solid Waste Management Technical Support Centre (SWMTSC) Ministry of Federal Affairs and Local Development (MoFALD) ADB TA-7597-NEP-Capacity Building for Waste Management Review of Existing Practices of Levy and Collection of Solid Waste Management Tariff and Other Charges September 2012 Asian Development Bank Prepared by Mr. P U Asnani, Team Leader, TA 7597 Pawan Lohani- Financial Management Expert IPE Global Private Limited In association with Environnment Resource Management Consultants (ERMC) (P.) Ltd. and Full Bright Consultancy (Pvt.) Ltd. Page i of 38

228 Abbreviations and Acronyms ADB Asian Development Bank BMC Biratnagar Sub Metropolitan City CBO Community Based Organization HH House Hold LBFAR Local Bodies Financial Administration Regulations LFS Land Fill Site LSGA Local-Self Governance Act LSGR Local-Self Governance Regulations MLD Ministry of Local Development NGO Non Governmental Organization PPP Public Private Partnership SWM Solid Waste Management SWMC Solid Waste Management Council SWMTSC Solid Waste Management Technical Service Centre TA Technical Assistance TLO Tole Lane Organization USA United State of America QCBS Quality Cost Based Selection Page ii of 38

229 Table of Contents 1. Background Objectives Methodology Municipality Selection for the Study Size of Survey Unit Waste Generation and Management Practices Municipal Financing for SWM Existing Practices for SWM Tariff/Fee Base and Rate Solid Waste Management Expenditure Pattern SWM Expenditure Covered from SWM Fee/Tariff Willingness to Pay for Solid Waste Management Services Conclusion List of Figures Figure 1: Waste Management Practices... 4 Figure 2: Waste Separation Practice... 4 Figure 3: Solid Waste Management Service Fee Payment... 6 Figure 4: Share of SWM Service Fee on Municipality s Own Source Revenue... 7 Figure 5: Solid Waste Management Service Fee Paid in a Year... 7 Figure 6: Ratio of SWM Expenditure on Municipal Own Source Revenue... 8 Figure 7: Share of SWM Expenditure in Total Municipal Expenditure... 9 Figure 8: Revenue from SWM Service and SWM Expenditure - FY 2010/ Figure 9: Waste Generators Willing to Pay Figure 10: Municipality Wise Survey Findings for Willingness to Pay Figure 11: Improvement Needs for SWM Services List of Tables Table 1: Survey Unit... 2 Table 2: Daily Waste Generation... 3 Table 3: Agencies Engaging in Municipal Solid Waste Management... 5 Table 4: Door to Door Waste Collection Tariff Range Fixed by Municipalities... 8 Page iii of 38

230 Review of Existing Practices of levy and collection of Solid Waste Management Fee/Tariff and PPP in Municipalities 1. Background Goal of the ADB TA-7597-NEP - Capacity Building for Waste Management is to support the SWMC and SWMTSC to enable them to discharge their roles and responsibilities as prescribed in the SWM Act 2011 (Act). Tasks under the TA are grouped under followings three components: Component 1: Supporting the establishment of an appropriate policy, regulatory, and institutional framework for SWM Component 2: Strengthen the technical capacity of the SWMC and SWMTSC Component 3: Supporting the development of relevant regulations, standards and/or guidelines for improving SWM at the regional and local levels To perform tasks under component 3 of TA activities, existing practices of SWM tariff and other charges and PPP practices of municipalities of Nepal is assessed based on the field study of selected municipalities. 2. Objectives Objective of this report is to present existing situation of SWM in municipalities focusing on financial management and PPP practices. 3. Methodology Followings are the Methodologies used to review existing practices of solid waste management fee/tariff and PPP in municipalities. Field study of selected municipalities Review background documents (LSGA, LSGR, LBFAR, budget book of municipalities and other relevant documents (See Annex - 10) HH survey in selected municipalities 4. Municipality Selection for the Study Nine municipalities out of 58 Municipalities in Nepal were selected for the field study. Kathmandu Metropolitan City, Lalitpur, Biratnagar and Pokhara Sub-metropolitan City and Madhayapur Thimi, Lekhnath, Siddharthanagar, and Nepalgunj Municipalities were selected purposively in consultation with SWMTSC and MLD based on the followings criteria. Emphasized large/medium sized municipalities: out of large 5 municipalities - metropolitan and sub metropolitan cities, 4 cities were selected Representation from medium and small size municipalities: out of 53 municipalities 5 municipalities were selected Focus on ADB supported municipalities: out of 17 ADB supported municipalities 6 municipalities were selected. Page 1 of 38

231 Cover major development regions: Municipalities of 4 development regions were covered House hold survey in the selected municipalities was carried out in November, 2011 as per the developed HH survey questionnaires to get first hand data on existing SWM practices, SWM tariff/service fee paying status, satisfaction level of existing services, improvement needs, willingness to pay etc. Although, survey unit is varied municipality to municipality on the basis of population of the municipality, is not statistically representative. The HH survey questionnaires was designed and tested before implementation in Kathmandu. Altogether, a total of 582 HH surveys have been carried out in nine municipalities as follows. Table 1: Survey Unit SN Municipality Populatio n in Individu al HHs Survey Unit Shops Institut ions* Total 1 Biratnagar Sub Metropolitan City 202, Butwal Municipality 119, Kathmandu Metropolitan City 1,006, Lalitpur Sub Metropolitan City 223, Lekhnath Municipality 59, Nepaljung Municipality 76, Pokhara Sub Metropolitan City 263, Siddharthnagar Municipality 64, Madhayapur Thimi Municipality 84, Total 2,099, * Includes heath, education, financial and manufacturing establishments 1 Preliminary Result, National Census 2011, Central Bureau of Statistics Page 2 of 38

232 In addition to the rapid appraisal HH survey questionnaires, two sets of checklists were also developed to collect information from the municipality and private operators for the field level data collection. 5. Size of Survey Unit The survey was carried out by categorizing waste producers into three groups - individual households, shops and institutions. Average HH size in municipality is found 5.73 persons/hh ranging from lowest 5.15 person/hh 2 to highest 6.92 persons/hh 3. In addition, average service receiver from a shop is 54 persons/day and 363 persons from an institutions. Refer Annex - 1 for population size of survey units. 6. Waste Generation and Management Practices The HH survey revealed that the daily average waste production from an individual HH is 1.5 KG per day, where about 73% of the waste is estimated as organic waste. In shop, it is an average of 2.4 Kg and in institution it is an average of 29.6 Kg. Proportion of organic waste in shops and institutions is estimated as 58% and 59% respectively. Annex - 2 shows municipality wise waste generation situation. Table 2: Daily Waste Generation Category Daily Waste Production (KG) 4 Per Capita Waste Production (KG) Organic Inorganic Total Individual HH Shop Institution Source: HH survey for SWM service situation and existing tariff and fee situation, Capacity Building for Waste Management, ADB TA 7597-NEP, November, 2011 Out of the total 582 HHs of the nine surveyed municipalities, 35% HHs have received door to door waste collection service whereas, 31% of the HHs dump their garbage in open spaces or drainage or roads. Rest of the HHs are managing their waste by using municipal waste collection containers or by own efforts such as composting, concealing under the ground, send directly to the land fill site etc. Annex - 3 shows prevailing waste management practices in surveyed municipalities. Prevailing waste management practices in municipality to municipality is found diverse. For instance, 75% of surveyed HHs of Nepalgunj and 63% surveyed HHs of Biratnagar dump their waste in open spaces or drainage or roads, whereas, only 13% of surveyed HHs in Pokhara and Kathmandu dump their waste in open spaces. In other hand, there is no door 2 In Pokhara Sub Metropolitan City 3 In Butwal Municipality 4 Quantity of waste production is estimated by respondents Page 3 of 38

233 to door waste collection practice in Nepalgunj and Lekhnath, but in Lalitpur and Kathmandu, 60% and 59% of surveyed HHs receiving door to door waste collection services respectively. It is noted that 71% of HHs in Lekhnath are managing their waste by their own. Figure 1: Waste Management Practices 100% 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% Others Transport directly to the LFS Door-to-door collection Managing by own Municipal container Open places/drainage/roads Waste separation practice at source is found very limited in surveyed municipalities. In overall situation, only, 31% of surveyed HHs have been separating waste at source. Waste separation practice at source in Lekhnath, Pokhara and Siddharthanagar is found comparatively better than other municipality, where 70%, 60% and 59% of the surveyed HHs are separating waste at source respectively. Waste separation practice at source is found weak in Nepalgunj and Biratnagar. Figure 2: Waste Separation Practice 100% 90% 80% 70% 60% 50% 40% 30% 20% 10% 0% Not Answered No Yes Except one municipality (Lekhnath Municipality) all other studied municipalities are providing SWM services to their citizens either by their own or mobilizing private sectors or NGOs. Private sectors/ngos are being involved in seven out of nine studied municipalities. Except Lekhnath and Nepalgunj Municipality, private sectors are being involved in waste collection in all other studied municipalities. In Biratnatnagar, private sector is also responsible for final disposal of collected waste. Page 4 of 38

234 Table 3: Agencies Engaging in Municipal Solid Waste Management Waste Collection and Final Disposal Transportation Municipality Private Municipalit Municipalit Sector/NG y y O Biratnagar Sub Metropolitan City Butwal Municipality Kathmandu Metropolitan City Lalitpur Sub Metropolitan City Lekhnath Municipality Nepaljung Municipality Pokhara Sub Metropolitan City Siddharthnagar Municipality Madhayapur Municipality Thimi Private Sector/NG O Source: Field study, Capacity Building for Waste Management, ADB TA 7597-NEP, November, 2011 Note: Responsible agencies are shaded dark 7. Municipal Financing for SWM Municipal financing was the one of the key area investigated in the field study. Findings of the field study on municipal financing for SWM is presented below. 7.1 Existing Practices for SWM Tariff/Fee Base and Rate The LSGA authorized Municipal Council to fix tariff/fee rate and base for SWM service. Six municipalities (Biratnagar, Siddharthanagar, Butwal, Kathmandu, Lalitpur and Pokhara) properly followed this provision to levy SWM service fee from the waste generators. In addition to the SWM fee decided by the Municipal Council, private sectors/ngos are also fixed and collecting tariff for door to door collection services where they are spontaneously involved for the service e.g. in Kathmandu and Thimi. In Biratnagar, Pokhara and Butwal, the municipality authorized private sectors/ngos to provide door to door waste collection service and collect tariff based on the approved tariff rate by the Council under contractual agreement with municipality. Therefore, prevailing SWM fee base, rate fixation procedures and collection practices can be categorized into followings systems broadly: Solid waste management fee: Municipality decides the fee base, rate and collect the fee Door to door waste collection service fee: (1) Municipality decides and collect the fee (2) Municipality decides and allows private sectors/ngos to collect the fee Door to door waste collection tariff: Private sector/ngos decide tariff rate and collect Hire staff/service provider: Hiring staff or service provider for SWM service by the individual waste producers especially by institutions Page 5 of 38

235 Survey result shows that about 50% of the polluters are paying SWM service fee/tariff. More than 50% of the respondents from Kathmandu, Pokhara and Lalitpur are reported for paying SWM service fee. In other hand, only few from Lekhnath, Nepalgunj and Biratnagar are reported for paying SWM service. Annex 5 shows response of respondents on SWM service fee payment. Figure 3: Solid Waste Management Service Fee Payment 100% 80% 60% 40% 20% 0% Solid Waste Management Service Fee Payment Biratnagar Butwal Kathmandu Lalitpur Lekhnath Nepalgunj Pokhara Shiddharthna Thimi Overall Don't Know No Yes 100% 80% 60% 40% 20% 0% Solid Waste Management Service Fee Receivers Biratnagar Butwal Kathmandu Lalitpur Lekhnath Nepalgunj Pokhara Shiddharthnagar Thimi Overall Staff/Individuals Private Secto/ NGO/CBO Municipality Different practices are found prevailing in levying fee for solid waste management services by the municipalities. Revenue base for solid waste management fee practiced by the municipalities are: Surcharge on property tax in annual basis in Biratnagar Surcharge on business tax in annual basis in Siddharthanagar Service fee to houses in annual basis in Siddharthanagar Service fee at source of major solid waste such as fruits, vegetables, livestock products etc in volume at the time of entry in municipal areas in Butwal Container service fee based on the size of containers located in trip basis in Kathmandu and Lalitpur Solid waste collection service fee for door to door collection based on in monthly basis in Pokhara Share of door to door solid waste collection fee collected by private sectors - in Biratnagar, Butwal and Pokhara In overall situation, share of SWM fee in total municipal own source revenue is found about 2% and is in increasing trend. Most of the municipalities are levying SWM fee/tariff but amount collected from SWM is varied in municipality to municipality. SWM fee mobilization in Pokhara and Siddharthanagar found comparatively better than other municipalities, however, annual SWM fee collection amount is fluctuating. Refer Annex -6 for details. Page 6 of 38

236 Figure 4: Share of SWM Service Fee on Municipality s Own Source Revenue FY 2008/09 FY 2009/10 FY 2010/ Survey result shows that, about 42% of the SWM fee/tariff payers are paying SWM management service fee/tariff in a range of Rs 500 Rs 2000 per year followed by 26% are paying in a range of Rs Rs 5000 (refer Annex 7 for details). Data shows that most of the service receivers from Kathmandu are paying in a range of Rs per year, whereas, most of the service receivers from Biratnagar, Butwal, Lalitpur, Pokhara and Thimi are paying in a range of Rs 500 Rs 2000 per year. In Siddharthanagar SWM service receivers are paying less than 500 per year. Figure 5: Solid Waste Management Service Fee Paid in a Year < > Private sectors/ngos are being involved in door to door municipal waste collection service in seven studied municipalities. Involvement of private sector in solid waste collection service is in two scenarios: (i) based on the contractual agreement with the municipality (formal arrangement) and (ii) without contractual agreement with municipality (informal relation 5 ). 5 Private sectors/ngos are involved formally in Biratnagar, Pokhara and Butwal and informally in Kathmandu, Lalitpur, Thimi and Siddharthanagar. Page 7 of 38

237 The contractual agreement between private sector and municipality generally covers roles and responsibilities of both parties in tariff rate fixation, revenue sharing, monitoring, financial and in-kind support to private sectors, management support mechanism etc. In other scenario, private sectors/ngos spontaneously involved in door to door waste collection service, fix and collect tariff and managing waste transportation/disposal by their own. Role of municipality in this scenario is limited in providing LFS facilities, provide technical support on demand and general supervision of services provided by the private sectors/ngos. In general, door to door solid waste collection tariff is fixed by the municipalities in monthly basis by classifying waste generators. Classification of waste generators is generally based on the nature of business (health institutions, shops, hotels, offices, industries, education etc), size of residential HHs and frequency of door to door services. SWM fee/tariff base, classification of waste generators and fee/tariff rate is diverse in municipality to municipality. There is no any guideline issued by the central agency for SWM fee/tariff rate fixation. Table 4: Door to Door Waste Collection Tariff Range Fixed by Municipalities Municipality Monthly tariff range for residential HHs in NRS Monthly tariff range for business and institutions in NRs Biratnagar Sub Metropolitan City Butwal Municipality Pokhara Sub Metropolitan City Source: Agreement between Environment for Health and Peace and Birantagar Sub Metropolitan City for SWM of Biratnagar under PPP Concept, 2011; Agreement between Waste Concerns Pvt Ltd and Butwal Municipality for SWM, 2011, Annual Budget, Policy and Progam Book of FY 2011/12, Pokhara Sub Metropolitan City 7.2 Solid Waste Management Expenditure Pattern SWM expenditure ratio on municipal own source revenue is in increasing trend. Overall SWM expenditure ratio on municipal own source ratio is about 42%. It is noted that SWM expenditure ratio of Nepalgunj Municipality on own source revenue in FY 2010/11 was more than 100% whereas in Kathmandu Metropolitan City it is about 52% and about 37% in Lalitpur and Biratnagar Sub Metropolitan City. Figure 6: Ratio of SWM Expenditure on Municipal Own Source Revenue FY 2008/09 FY 2009/10 FY 2010/ Page 8 of 38

238 Share of SWM expenditure in total municipal expenditure is about 16% in overall scenario. Although, municipal SWM expenditure amount is increasing annually, ratio of the SWM expenditure in total municipal expenditure is decreasing (see figure 7). It is due to more increase in other municipal expenditure comparing SWM expenditure. Share of SWM expenditure in total municipal expenditure of Kathmandu Metropolitan City (25%) and Lalitpur Sub Metropolitan City (16%) is significant compare to other municipalities. Figure 7: Share of SWM Expenditure in Total Municipal Expenditure FY 2008/09 FY 2009/10 FY 2010/ SWM Expenditure Covered from SWM Fee/Tariff In overall scenario only 4.8% of municipal SWM expenditure is covered from the fee/tariff collected against SWM by the municipality. It shows that the municipality has to focus huge improvement in increasing SWM revenue collection, minimising SWM expenditure for sustainability of the services. PPP in SWM could of one important step for sustainable SWM services in municipalities. Figure 8: Revenue from SWM Service and SWM Expenditure - FY 2010/ Revenue from SWM SWM Expenditu re Page 9 of 38

239 7.4 Willingness to Pay for Solid Waste Management Services Survey result shows that 50% of waste generators are paying SWM service fee in a weighted average of NRs 3790 per year in studied municipalities. It is revealed that after improvement in the SWM service delivery; about 82% of the respondents are shown their willing to pay for SWM fee/tariff on an average of NRs 3671 per year. It shows, the municipalities need to focus on increase in fee/tariff coverage rather than increase in fee/tariff. Annex 8 shows municipality wise survey findings of willingness to pay for SWM. Figure 9: Waste Generators Willing to Pay Making payment Willing to pay < > Total Figure 10: Municipality Wise Survey Findings for Willingness to Pay < > Major three improvement needs seeking by the respondents in municipal SWM service delivery are: Increase municipal SWM capacity and introduce new techniques (25%), Page 10 of 38

240 Timely waste collection services (13%), and Strong monitoring and laws enforcement (13%) Annex 9 shows municipality wise information on improvement needs for SWM service delivery in detail. Figure 11: Improvement Needs for SWM Services 8. Conclusion There is no uniform method adopted by local bodies for levying SWM service charge. Some levy as surcharge on property tax, surcharge on business tax, collect fees only from bulk waste generators such as fruit and vegetable markets, levy monthly fee for door to door collection or take a share from the fees collected by the private operators etc. 50% waste generators pay service charge to the local body or private operator. The over all share of the service charge recovered accounts for less than 1% of the total Muni. revenues as against spending around 16% of municipal budget on SWM services. The SWM service charge currently covers only 4.8% of expenditure incurred on SWM services. Current rates vary between Rs 8 per month and 200 per month from households and from Rs. 30 per month to Rs per month from commercial establishments. 82% population is willing to pay is service levels improve. Currently around 35% population gets door to door collection service; another 34% population do home composting, bury in a pit, burn or put in a Muni. bin and rest 31% population dump the waste on the streets or open spaces around there is thus a Huge potential to improve service delivery and recover charges to make the O&M service self sustaining through PPP mode which is in practice in 7 out of 9 cities surveyed for this study. Page 11 of 38

241 Non-uniformity in the levying of SWM service charges is a matter of concern of the National Government. SWM Act, 2011 has, therefore, directed the local bodies to levy service charge to meet the cost of service and make the service self sustainable. The SWMTSC is directed to guide the local bodies in levying of service charges appropriately. Based on the findings of this rapid study, guidelines for levy of SWM service charges are separately prepared and submitted proposing introduction of SWM service charges in a modest way and increase the same gradually, so that local bodies do not face initial resistance from the people and increase the charges in a gradual manner achieving self sufficiency in O&M over a period of 5 to 10 years. Page 12 of 38

242 Annex - 1 Population Size of Survey Unit House Hold Size SN Municipality Sample Male Female Total Average HH Size 1 Biratnagar Sub Metropolitan City Butwal Municipality Kathmandu Metropolitan City Lalitpur Sub Metropolitan City Lekhnath Municipality Nepaljung Municipality Pokhara Sub Metropolitan City Siddharthnagar Municipality Madhayapur Thimi Municipality Total Source: HH survey for SWM service situation and existing tariff and fee situation, Capacity Building for Waste Management, ADB TA 7597-NEP, November, 2011 Number of Employees and Customer in Shops SN Municipality Sample Worke rs Custom er Total Average Number 1 Biratnagar Sub Metropolitan City Butwal Municipality Kathmandu Metropolitan City Lalitpur Sub Metropolitan City Lekhnath Municipality Nepaljung Municipality Pokhara Sub Metropolitan City Siddharthnagar Municipality Madhayapur Thimi Municipality Total Source: HH survey for SWM service situation and existing tariff and fee situation, Capacity Building for Waste Management, ADB TA 7597-NEP, November, 2011 Number of Employees and Customer in Institutions SN Municipality Sample Worke rs Custom er Total Average Number 1 Biratnagar Sub Metropolitan City Butwal Municipality Kathmandu Metropolitan City Lalitpur Sub Metropolitan City Lekhnath Municipality Nepaljung Municipality Pokhara Sub Metropolitan City Siddharthnagar Municipality Madhayapur Thimi Municipality Total Source: HH survey for SWM service situation and existing tariff and fee situation, Capacity Building for Waste Management, ADB TA 7597-NEP, November, 2011 Page 13 of 38

243 Daily Waste Generation Annex 2 Daily Waste Generation from Individual HH S N Municipality HHs Organic Waste KG Inorgan ic Waste KG Total Daily per HHs (KG) Per Capita Waste Producti on (KG) Biratnagar Sub Metropolitan City Butwal Municipality Kathmandu Metropolitan City Lalitpur Sub Metropolitan City Lekhnath Municipality Nepaljung Municipality Pokhara Sub Metropolitan City Siddharthnagar Municipality Madhayapur Thimi Municipality Total Note: Quantity of waste production is estimated by respondents Source: HH survey for SWM service situation and existing tariff and fee situation, Capacity Building for Waste Management, ADB TA 7597-NEP, November, 2011 Daily Waste Generation from Shops S N Municipality Shop s Organic Waste KG Inorgan ic Waste KG Total Daily per HHs (KG) Per Capita Waste Producti on (KG) Biratnagar Sub Metropolitan City Butwal Municipality Kathmandu Metropolitan City Lalitpur Sub Metropolitan City Lekhnath Municipality Nepaljung Municipality Pokhara Sub Metropolitan City Siddharthnagar Municipality Madhayapur Thimi Municipality Total Note: Quantity of waste production is estimated by respondents Source: HH survey for SWM service situation and existing tariff and fee situation, Capacity Building for Waste Management, ADB TA 7597-NEP, November, 2011 Page 14 of 38

244 Daily Waste Generation from Institutions S N Municipality Institu tions Organic Waste KG Inorgan ic Waste KG Total Daily per HHs (KG) Per Capita Waste Producti on (KG) Biratnagar Sub Metropolitan City Butwal Municipality Kathmandu Metropolitan City Lalitpur Sub Metropolitan City Lekhnath Municipality Nepaljung Municipality Pokhara Sub Metropolitan City Siddharthnagar Municipality Madhayapur Thimi 9 Municipality Total Note: Quantity of waste production is estimated by respondents Source: HH survey for SWM service situation and existing tariff and fee situation, Capacity Building for Waste Management, ADB TA 7597-NEP, November, 2011 Page 15 of 38

245 Solid Waste Management Practices Annex 3 Waste Disposal Practices (more than one options is in practice) Municipality Waste Management Practices HH Shop Institut ion Biratnagar Sub Metropolitan City Butwal Municipality Kathmandu Metropolitan City Lalitpur Sub Metropolitan City Lekhnath Municipality Nepaljung Municipality Pokhara Sub Metropolitan City Siddharthna gar Total Perce ntage Open places/drainage/roads Municipal container House hold composting/ managing by own Door-to-door collection Sub Total Open places/drainage/roads Municipal container House hold composting/ managing by own Door-to-door collection Transport directly to the LFS Sub Total Open places/drainage/roads Municipal container House hold composting/ managing by own Door-to-door collection Other Sub Total Open places/drainage/roads Municipal container House hold composting/ managing by own Door-to-door collection Transport directly to the LFS Sub Total Open places/drainage/roads Municipal container House hold composting/ managing by own Door-to-door collection Sub Total Open places/drainage/roads Municipal container House hold composting/ managing by own Sub Total Open places/drainage/roads Municipal container House hold composting/ managing by own Door-to-door collection Transport directly to the LFS Sub Total Open places/drainage/roads Municipal container Page 16 of 38

246 Municipality Waste Management Practices HH Shop Institut ion Total Perce ntage Municipality House hold composting/ managing by own Door-to-door collection Sub Total Madhayapur Thimi Municipality Overall Open places/drainage/roads Municipal container House hold composting/ managing by own Door-to-door collection Transport directly to the LFS Sub Total Open places/drainage/roads Municipal container House hold composting/ managing by own Door-to-door collection Transport directly to the LFS Other Total Source: HH survey for SWM service situation and existing tariff and fee situation, Capacity Building for Waste Management, ADB TA 7597-NEP, November, 2011 Waste Separation Practices Municipality Answer HH Shops Institution Total Percentage Yes Biratnagar Sub No Metropolitan City Sub Butwal Municipality Kathmandu Metropolitan City Lalitpur Sub Metropolitan City Lekhnath Municipality Nepalgunj Municipality Total Yes No N/A Sub Total Yes No N/A Sub Total Yes No N/A Sub Total Yes No Sub Total Yes No Sub Total Page 17 of 38

247 Municipality Answer HH Shops Institution Total Percentage Yes Pokhara Sub No Metropolitan City Sub Siddharthnagar Municipality Madhayapur Thimi Municipality Overall Total Yes No N/A Sub Total Yes No N/A Sub Total Yes No N/A Total Source: HH survey for SWM service situation and existing tariff and fee situation, Capacity Building for Waste Management, ADB TA 7597-NEP, November, 2011 Page 18 of 38

248 Municipal Waste Management Tariff/Fee Base Annex 4 Municipality For Municipality For Private Sectors/NGOs Biratnagar Sub Metropolitan City Butwal Municipality Kathmandu Metropolitan City The municipality has fixed areas for door to door collection services Private sector is responsible to collect service fee Private sectors have to deposit 10% of the collected solid waste management service fee to the municipality. In addition the municipality has introduce cleaning service fee on House and Land tax ranging from annual NRs 25 to 400 per tax payers for FY 2011/12 The municipality has allowed to private sector (ward no 1-8), NGO (ward no 8-13) and CBO (in ward no 13) for door to door waste collection service Private sector/ngos/cbos are responsible for solid waste management service fee collection Private sector/ngo/cbos have to deposit 12% of the collected solid waste management service fee to the municipality. The municipality levy solid waste management fee at the source of major waste generating product's imports such as Rs 200 per tucks, Rs 50 per jeep for fruits, vegetables, livestock etc and Rs 30 to Rs 55 per day from foot path businesses The municipality provides waste collection container and waste collection service especially to health and education institutions, business houses, offices and industries Municipality is involved in fee collection of such services The fee rate is NRs 60 to 4000 per trip for FY 2011/12 Private sector is fully responsible to collect solid waste management service fee within the maximum limit set by the municipality Fee rate is set based on the nature of business (health institutions, shops, hotels, offices, industries, education etc) and individual HHs, their size and frequency of door to door collection service Fee rate is ranged from Rs 25 to 200 per month for households and Rs 50 to 4000 for others from FY 2009/10. Private sector and NGO/CBOs are fully responsible to collect solid waste management service fee as per the limit set by the municipality NGOs/CBOs have authority to fixed the solid waste management tariff within the limit provided by the municipality (Rs /month/HHs) Service fee rate for private sector is set based on the type of waste generator (HHs, shops, hotels, restaurants, health institutions, offices, NGOs, education etc) Fee rate is ranging from Rs 30 to 1000 per month based on the nature of businesses About 35 private sectors/ngos are providing door to door waste collection services and receiving fees There is no formal relation on tariff fixation and monitoring between private sectors and municipality Lalitpur Sub The municipality provides waste About 12 private Page 19 of 38

249 Metropolitan City Lekhnath Municipality Nepaljung Municipality Pokhara Sub Metropolitan City Siddharthnagar Municipality Madhayapur Thimi Municipality collection container and waste collection service especially to health and education institutions, business houses, offices and industries Municipality is involved in fee collection of such services The fee rate is NRs 500 to 3000 per trip for FY 2011/12 Municipality collects Rs 500 per trip to the private operator against the dump garbage in dumping site No any fee introduced No any fee introduced The municipality has fixed areas for door to door collection service fee is introduced in monthly basis Municipality is involved in fee collection Fee rate is set based on the type and size of business (hotels, shops, restaurant, hospitals, industries, hostels, schools) and households (size and location) Fee range is Rs 8 to 80 per month for households and Rs 200 to 7000 for others for FY 2011/12 The municipality introduced 15% solid waste management service fee on annual Business Tax in FY 2011/12 The municipality collects annual service fee Rs 200 from HHs in rural areas and Rs 300 from HHs in urban areas in FY 2011/12 Municipality is responsible for solid waste management service fee collection and ward office is responsible for service fee collection No any fee introduced sectors/ngos are providing door to door waste collection services and receiving fees There is no formal relation on tariff fixation and monitoring between private sectors and municipality. Till last FY, There was formal contractual relationship between 4 private sectors and municipality for waste collection service but not renewed this FY due to court order. No any other agency involved No any other agency involved Private sector is involved in door to door waste collection service in two wards (in wards 15 and 6) and fee collection as approved rate by the municipality. Private sectors receive 60% of the collected amount by the municipality NGOs and CBOs are providing door to door waste collection services in some areas of two wards. Municipality is providing support to the NGOs for waste management but there is system for service fee collection. About four private sectors are involved in door to door waste collection service informally covered about 800 households and receiving fees There is no formal relation on Page 20 of 38

250 tariff fixation and monitoring between private sectors and municipality Page 21 of 38

251 Solid Waste Management Service Fee Payment Annex 5 Solid Waste Management Service Fee Payment Municipality Answer Frequency HH Shop Institution Total Yes Biratnagar Sub Metropolitan No City Don't know 1 1 Total Yes Butwal Municipality No Total Yes Kathmandu Metropolitan City No Total Yes Lalitpur Sub Metropolitan No City Don't know Total Yes 2 2 Lekhnath Municipality No Total Yes Nepalgunj Municipality No Don't know Total Pokhara Sub Metropolitan City Siddharthnagar Municipality Madhayapur Thimi Municipality Overall Yes No Don't know 1 1 Total Yes No Don't know 1 1 Total Yes No Total Yes No Don't know Total Source: HH survey for SWM service situation and existing tariff and fee situation, Capacity Building for Waste Management, ADB TA 7597-NEP, November, 2011 Solid Waste Management Service Fee Paid To: Municipality Agency Frequency HH Shop Institution Total Biratnagar Sub Municipality Metropolitan City Private Sector/ NGO/CBO Butwal Municipality Page 22 of 38

252 Municipality Municipality Kathmandu Metropolitan City Lalitpur Sub Metropolitan City Lekhnath Municipality Nepalgunj Municipality Pokhara Sub Metropolitan City Shiddharthnagar Municipality Madhayapur Thimi Municipality Agency Frequency HH Shop Institution Total Private Sector/ NGO/CBO Municipality Private Sector/ NGO/CBO Staff/Individuals Municipality Private Sector/ NGO/CBO Private Sector/ NGO/CBO Staff/Individuals Municipality Private Sector/ NGO/CBO Municipality Staff/Individuals 1 1 Municipality Private Sector/ NGO/CBO Source: HH survey for SWM service situation and existing tariff and fee situation, Capacity Building for Waste Management, ADB TA 7597-NEP, November, 2011 Page 23 of 38

253 Solid Waste Management - Municipal Revenue and Expenditure Annex 6 Revenue from SWM Fee in Nine Municipalities S N Municipalit y Particulars 2008/0 9 % of tota l Fiscal Year % of tota l 2009/ /11 % of total 1 Biratnagar Sub Metropolitan City SWM Fee Other Own Source Revenue External Revenue Total Revenue Butwal Municipality SWM Fee Other Own Source Revenue External Revenue Total Revenue Kathmandu Metropolitan City SWM Fee Other Own Source Revenue External Revenue Total Revenue 4 Lalitpur Sub Metropolitan City SWM Fee Other Own Source Revenue External Revenue Total Revenue Lekhnath Municipality SWM Fee Other Own Source Revenue External Revenue Total Revenue Nepaljung Municipality SWM Fee Other Own Source Revenue External Revenue Total Revenue Pokhara Sub Metropolitan City SWM Fee Other Own Source Revenue External Revenue Total Revenue Siddharthnagar Municipality Page 24 of 38

254 SWM Fee Other Internal Revenue External Revenue Total Revenue Madhayapur Thimi Municipality SWM Fee Other Own Source Revenue External Revenue Total Revenue Overall SWM Fee Other Own Source Revenue External Revenue Total Revenue Source: Income and expenditure statements and budget, policy and program books of concerned years of concerned municipalities Page 25 of 38

255 SWM expenditure in nine municipalities SN Municipality Particulars 1 Biratnagar Sub Metropolitan City SWM Expenditure Other Expenditure Total Expenditure 2 Butwal Municipality SWM Expenditure Other Expenditure Total Expenditure 3 Kathmandu Metropolitan City SWM Expenditure Other Expenditure Total Expenditure 4 Lalitpur Sub Metropolitan City SWM Expenditure Other Expenditure Total Expenditure 5 Lekhnath Municipality SWM Expenditure Other Expenditure Total Expenditure 2008/09 % of total Fiscal Year % of 2009/10 total 2010/11 % of total Nepaljung Municipality SWM Expenditure Other Expenditure Total Expenditure Pokhara Sub Metropolitan City SWM Expenditure Other Expenditure Total Page 26 of 38

256 Expenditure 8 Siddharthnagar Municipality SWM Expenditure Other Expenditure Total Expenditure Madhayapur Thimi Municipality SWM Expenditure Other Expenditure Total Expenditure Overall SWM Expenditure Other Expenditure Total Expenditure Source: Income and expenditure statements and budget, policy and program books of concerned years of concerned municipalities Page 27 of 38

257 Amount paid for SWM Annex 7 Municipality Biratnagar Sub Metropolitan City Butwal Municipality Kathmandu Metropolitan City Lalitpur Sub Metropolitan City Amount Range - NRs in 2011 To the Municipality To Private Sectors/ NGOs/CBOs HH Shop Instit Instit HH Shop ution ution Less Than More Than Less Than To Staff/ Individuals HH Shop More Than Less Than More Than Lekhnath Municipality Less Than Nepalgunj Municipality Pokhara Sub Metropolitan City Shiddharthnagar Municipality Madhayapur Thimi Municipality Instit ution Less Than Less Than Less Than Less Than Source: HH survey for SWM service situation and existing tariff and fee situation, Capacity Building for Waste Management, ADB TA 7597-NEP, November, 2011 Page 28 of 38

258 Willingness to pay for SWM Annex 8 Municipality Biratnagar Sub Metropolitan City Butwal Municipality Kathmandu Metropolitan City Lalitpur Sub Metropolitan City Lekhnath Municipality Nepalgunj Municipality Pokhara Sub Metropolitan City Shiddharthnagar Municipality Madhayapur Thimi Municipality Range of Frequency willingness to pay in Rs/Year HH Shop Institution Total Less Than More Than Less Than Less Than More Than More Than Less Than Less Than More Than Less Than Less Than Less Than Source: HH survey for SWM service situation and existing tariff and fee situation, Capacity Building for Waste Management, ADB TA 7597-NEP, November, 2011 Page 29 of 38

259 Improvement Needs in Solid Waste Management Annex 8 Municipality Biratnagar Sub Metropolitan City Butwal Municipality Kathmandu Metropolitan City Frequency Response Instit HHs Shops utions Total Increase awareness and community participation Increase municipal SWM capacity and introduce new techniques Strong monitoring and laws enforcement Mange containers for solid waste collection Promote waste separation practices Improve drainage facilities and cleaning Daily household waste collection services Daily street cleaning services Timely waste collection services Improved waste collection system and vehicle Land fill site development Others Total Increase awareness and community participation Increase municipal SWM capacity and introduce new techniques Strong monitoring and laws enforcement Mange containers for solid waste collection Promote waste separation practices Improve drainage facilities and cleaning Daily household waste collection services Daily street cleaning services Timely waste collection services Improved waste collection system and vehicle Land fill site development Others Total Increase awareness and community participation Increase municipal SWM capacity and introduce new techniques Strong monitoring and laws enforcement Mange containers for solid waste collection Promote waste separation practices Improve drainage facilities and cleaning Daily household waste collection services Daily street cleaning services Timely waste collection services Improved waste collection system and vehicle Land fill site development Page 30 of 38

260 Municipality Lalitpur Sub Metropolitan City Lekhnath Municipality Nepalgunj Municipality Frequency Response Instit HHs Shops utions Total Others Total Increase awareness and community participation Increase municipal SWM capacity and introduce new techniques Strong monitoring and laws enforcement Mange containers for solid waste collection Promote waste separation practices Improve drainage facilities and cleaning Daily household waste collection services Daily street cleaning services Timely waste collection services Improved waste collection system and vehicle Land fill site development Others Total Increase awareness and community participation Increase municipal SWM capacity and introduce new techniques Strong monitoring and laws enforcement Mange containers for solid waste collection Promote waste separation practices Improve drainage facilities and cleaning Daily household waste collection services Daily street cleaning services Timely waste collection services Improved waste collection system and vehicle Land fill site development Others Total Increase awareness and community participation Increase municipal SWM capacity and introduce new techniques Strong monitoring and laws enforcement Mange containers for solid waste collection Promote waste separation practices Improve drainage facilities and cleaning Daily household waste collection services Daily street cleaning services Timely waste collection services Improved waste collection system and vehicle Land fill site development Others Total Page 31 of 38

261 Municipality Pokhara Sub Metropolitan City Shiddharthnagar Municipality Madhayapur Thimi Municipality Overall Frequency Response Instit HHs Shops utions Total Increase awareness and community participation Increase municipal SWM capacity and introduce new techniques Strong monitoring and laws enforcement Mange containers for solid waste collection Promote waste separation practices Improve drainage facilities and cleaning Daily household waste collection services Daily street cleaning services Timely waste collection services Improved waste collection system and vehicle Land fill site development Others Total Increase awareness and community participation Increase municipal SWM capacity and introduce new techniques Strong monitoring and laws enforcement Mange containers for solid waste collection Promote waste separation practices Improve drainage facilities and cleaning Daily household waste collection services Daily street cleaning services Timely waste collection services Improved waste collection system and vehicle Land fill site development Others Total Increase awareness and community participation Increase municipal SWM capacity and introduce new techniques Strong monitoring and laws enforcement Mange containers for solid waste collection Promote waste separation practices Improve drainage facilities and cleaning Daily household waste collection services Daily street cleaning services Timely waste collection services Improved waste collection system and vehicle Land fill site development Others Total Increase awareness and community participation Page 32 of 38

262 Frequency Municipality Response Instit HHs Shops utions Total Increase municipal SWM capacity and introduce new techniques Strong monitoring and laws enforcement Mange containers for solid waste collection Promote waste separation practices Improve drainage facilities and cleaning Daily household waste collection services Daily street cleaning services Timely waste collection services Improved waste collection system and vehicle Land fill site development Others Total Source: HH survey for SWM service situation and existing tariff and fee situation, Capacity Building for Waste Management, ADB TA 7597-NEP, November, 2011 Page 33 of 38

263 Persons Met Annex 9 Mr. Toran Kunber: Account Section Chief, Pokhara Sub Metropolitan city Mr. Ananta Koirala: Internal Auditor and PPP focal person, Pokhara Sub Metropolitan city Mr. Sushil Paudel: Engineer and SWM Section Chief, Pokhara Sub Metropolitan city Mr. Shiv Hari Sharma: Revenue Section Chief, Pokhara Sub Metropolitan city Mr. Mantri Raj Ulak: Director, Pokhara Waste Management Pvt Ltd Mr. Lok Bahadur Gurung: Director, Pokhara Waste Management Pvt Ltd Mr. Chandra Kanta Paudel: Account Section Chief, Lekhnath Municipality Mr. Jagannath Koirala: Engineer, Lekhnath Municipality Mr. Meena Bhattrai: Social Development Section Chief, Lekhnath Municipality Ms. Anita Koirala, Staff, Environment Section, Biratnagar Sub Metropolitan City Mr. Babu Ram Bhattrai, Staff, Planning Section, Biratnagar Sub Metropolitan City Mr. Mani Dahal, Vice President, Environment for Health and Peace, Nepal, Biratnagar Mr. Babu Raja Shrestha, Former Manager, BMC Silt, Biratnagar Mr. Punam Dahal, PPP focal person, Biratnagar Sub Metropolitan City Mr. Umesh Ojha, Engineer, Planning Section Chief, Biratnagar Sub Metropolitan City Mr. Sanjeev Bhattrai, Account officer, Biratnagar Sub Metropolitan City Mr. Binod Koirala, Administration Section Chief, Biratnagar Sub Metropolitan City Siv Narayan Shaha: Financial Administration Department Chief, Butwal Municipality Mr. Bhuwa Prashad Luitel: Social Development Department Chief, Butwal Municipality Mr. Situ Prashad Shrestha: Accountant, Butwal Municipality Mr. Suman Shrestha: Project Manager, STUEIP, Butwal Municipality Mr. Damodher Gyawali: Chief Community Development Section, Butwal Municipality Mr. Liladher Basyal: Staff, Solid Waste Management Section, Butwal Municipality Ms. Narayani Paudel, Office Secretary, Intensive Solid Waste Management Implementation Committee, Butwal Municipality Mr. Shekher Nath Panthi, SWM Section Chief, Sidderthanagar Municipality Mr. Sailendra Parshad Shrestha, Planning and Technical Department Chief, Sidderthanagar Municipality Mr. Santhsh Gurung, Accountant, Financial Administration Department Chief Mr. Birendra Dev Bharati, Executive Officer, Nepalgunj Municipality Mr. Rajan KC, Finance Chief, Nepalgunj Municipality Mr. Krishna Prashad Joshi, Community Development Section Chief, Nepalgunj Municipality Mr. Dhana Krishna Shrestha, Administration Section Chief, Madhyapur Thimi Municipality Mr. Tulsi Bhakta Tako, Community Development and Environmental Section Chief, Madhyapur Thimi Municipality Mr. Krishna Sundher Thapa, Sub Accountant, Madhyapur Thimi Municipality Mr. Rabin Man Shrestha, Environment Division Chief, Kathmandu Metropolitan City Mr. Gangadhar Gautam, Community Development Section Chief, Kathmandu Metropolitan City Mr. Rajya Prakash Pradhananga, Finance Department Chief, Kathmandu Metropolitan City Ms.Surya Tamrakar, Finance Department Chief, Lalitpur Municipality Mr. Pradeep Amayta, Environment Division Chief, Lalitpur Municipality Page 34 of 38

264 References Annex 10 Local Self Governance Act 1999 Local Self Governance Regulation, 2000 Local Bodies Financial Administration Regulation, 2007 Silod Waste Management Act, 2011 Detail Study Report of Solid Waste Management of Biratnagar Sub Metroplitan City, 2010, WEL Agreement Paper for SWM between AmeriCorps Environment Services Group Ink, USA and Biratnagar Sub Metropolitan City, 1997 Agreement between Environment for Health and Peace and Birantagar Sub Metropolitan City for SWM of Biratnagar under PPP Concept, 2011 Budget and Program Book of FY 2010/11 and FY 2011/12Biratnagar Sub Metropolitan City Income Expenditure Statement of FY 2008/09, FY 2009/10 and FY 2010/11, Biratnagar Sub Metropolitan City Annual Budget, Policy and Progam Book of FY2010/11, 2011/12 and FY 2012/13, Siddharthanagar Municipality Income Expenditure Statement of FY 2008/09, FY 2009/10 and FY 2010/11, Siddharthanagar Municipality Budget Book of Lalitpur Sub Metropolitan City of FY 2009/10, FY 2010/11 and FY 2011/12 Income Expenditure Statement of FY FY 2010/11, Lalitpur Sub Metropolitan City Annual Budget, Policy and Progam Book of Kathmandu Metropilitan City 20010/11 and 2011/12 Income Expenditure Statement of FY FY 2010/11, Kathmandu Metropilitan City Service Fee Rate for Solid Waste Collection Container Service Fee for 2011/12 Income Expenditure Statement of FY 2008/09, FY 2009/10 and FY 2010/11, Nepalgunj Municipality Income Expenditure Statement of FY 2008/09, FY 2009/10 and FY 2010/11, Lekhnath Municipality Income Expenditure Statement of FY 2008/09, FY 2009/10 and FY 2010/11, Madhayapur Thimi Municipality Annual Budget, Policy and Progam Book of FY 2011/12, Butwal Municipality Income Expenditure Statement of FY 2008/09, FY 2009/10 and FY 2010/11, Butwal Municipality Directives for Intensive Solid Waste Program Implementation Committee, 2002 Agreement Paper Between Navin and Chaupari Tole Lane Organization and Butwal Municipality, 2011 Agreement between Waste Concerns Pvt. Ltd and Butwal Municipality for SWM, 2011 Annual Budget, Policy and Progam Book of FY 2011/12, Pokhara Sub Metropolitan City Income Expenditure Statement of FY 2008/09, FY 2009/10 and FY 2010/11, Pokhara Sub Metropolitan City Agreement Paper Between Pokhara Solid Waste Pvt. Ltd and Pokhara Sub Metropolitan City, 2011 Page 35 of 38

265 Final Report on Pilot Project (Capacity Building for Waste Management) ADB-TA-7597-NEP Butwal Municipality Office Prepared by: Damodar Gyawali Section Officer, Social Development Section

266 Pilot Project Report (ADB-TA-7597-NEP) ACKNOWLEDGEMENTS INTRODUCTION MUNICIPALITY PROFILE OBJECTIVES PROJECT ACTIVITES PUBLIC-PRIVATE PARTNERSHIP PPP Workshop Interaction Program on PPP PUBLIC AWARENESS PROGRAMS TRAINING PROGRAMS Training on SWM at household level Green Volunteers Mobilization Training OTHERS PROJECT OUTPUTS SOCIAL IMPACTS TECHNICAL KNOWLEDGE ENHANCEMENT CONCLUSION... 9 ANNEXES ANNEX 1 BUDGET OF PILOT PROJECT ANNEX 2 MAP OF PROJECT IMPLEMENTATION AREA ANNEX 3 CERTIFICATE FOR GREEN VOLUNTEERS ANNEX 4 PHOTOGRAPHS

267 Pilot Project Report (ADB-TA-7597-NEP) ACKNOWLEDGEMENTS I would like to express my sincere thanks to Asian Development Bank for its support and all the team members of ADB-TA-7597 for their guidance throughout this project. My deep gratitude goes to the Solid Waste Management Technical Support Center for their generous support from the selection of the municipality until the end of the project. I would like to thank all the participants in the different programs of the project and the organizations for their coordination and support. Last but not the least; I would like to thank all the staffs of Butwal Municipality for their exciting involvement and support in the project. Damodar Gyawali 3

268 Pilot Project Report (ADB-TA-7597-NEP) 1. INTRODUCTION Pilot projects were conducted in selected municipalities on Capacity Building for Solid Waste Management as a part of the Technical Assistance Project of Asian Development Bank (ADB- TA-7597-NEP). Butwal was one nominated municipalities to conduct the project. This report is output of processing and compilation of the information on the pilot activities MUNICIPALITY PROFILE Butwal is a mid-sized municipality located on the banks of Tinau River in Rupandehi district, Lumbini Zone of the Western Development Region. The municipality is bordered by Devdaha VDC in the east, Parroha VDC in the west, Dobhan VDC in the north and Motipur VDC and Shankarnagar VDC in the south. Butwal is an industrial and commercial City established in 2016 BS. The total area of Butwal municipality is km². Social Development Section under municipality deals with the SWM within the municipality. Mr. Damodar Gyanwali, Section Officer of SDS was appointed as the coordinator of the pilot project. On his coordination, the project was implemented in the selected wards of the municipality as in Annex OBJECTIVES The main objectives of the pilot project are: to implement a public awareness campaign at a small scale to understand the challenges in engaging with citizens and civil society, to improve interactions between SWMTSC and municipality, and to refine the public awareness program developed by the TA Team, 4

269 Pilot Project Report (ADB-TA-7597-NEP) to understand the weaknesses and needs of a municipality to introduce PPP for SWM services, to understand the ways in which the SWMTSC can best serve a municipality in this regard, and to refine the various PPP documents developed by the TA Team based on the experience. 2. PROJECT ACTIVITES The activities and outputs of the pilot project were designed in by the coordinator in consultant with SWMTSC and the TA team. The activities were mainly in two aspects of the solid waste management practice: Public Awareness Programs, Training Programs and Promotion of Public- Private Partnership for the better SWM services PUBLIC-PRIVATE PARTNERSHIP PPP Workshop One day Public-Private Partnership (PPP) Workshop was conducted and efforts were taken to coordinate and refine existing initiatives for PPP. The scope of the workshop included: discussion with the SWMTSC and TA teams on potential PPP, pilot project area, past and existing initiatives, etc.; orientation on issues and options of PPP; development of PPP packages jointly with the TA and SWMTSC; and identification of challenges in implementing the PPP packages by the TA and the assistance from the SWMTSC. 5

270 Pilot Project Report (ADB-TA-7597-NEP) Interaction Program on PPP In addition to the workshop, interaction and orientation programs on PPP were conducted with an objective of introducing the concept at local level. The programs were attended by the officials of ward number 1 to 7, local community based organizations, Tole Sudhar Samiti and local representatives of different political parties PUBLIC AWARENESS PROGRAMS Different types of public awareness programs were designed in close consultation with the TA team, local organization and the people. The scope of such programs included: identification of an area, target groups, messages, delivery mechanism, allies and monitoring plan; defining roles and responsibilities of the municipality, SWMTSC, citizens, and CBOs; development of campaign program and materials with in close consultation with the municipality and SWMTSC; implementation, monitoring and evaluation of the campaign; refinement of the public awareness program by the TA Team; sharing the lessons learned with the municipality, SWMTSC and MLD TRAINING PROGRAMS Training on SWM at household level A 6-day training program was conducted along with the public awareness programs for from 18 th to 23 rd of July The training programs included the following activities: introduction about classification of household waste, their characteristics, basic practices of sustainable management of such wastes etc.; training on household level composting methods with practical demonstration; and distribution of certificates, waste bins, rickshaws and other materials. 6

271 Pilot Project Report (ADB-TA-7597-NEP) Green Volunteers Mobilization Training Green Volunteers Mobilization Training was conducted in which students of different school/colleges participated with great enthusiasm. The students were trained and a Green Volunteers Network was established which is responsible for disseminating the knowledge about solid waste management and environmental protection to the schools, colleges and communities. The training covered the following topics: Household level solid waste management Facilitation on SWM and social mobilization Role of communication and soft skills Water purification methods Hygiene and sanitation Timely follow-up meetings were conducted to evaluate the performance and effectiveness of Green Volunteer concept at municipal level OTHERS Other activities included visits of TA and SWMTSC team from Kathmandu to the landfill and the project implementation sites. Interaction with the public, local community based organizations, municipal staffs and other stakeholders was conducted on regular basis. Different working teams were formed at community and school levels for sustainable practices related to solid waste management at those levels. Community level composting facility was established and the ownership was given to the local people. 7

272 Pilot Project Report (ADB-TA-7597-NEP) 3. PROJECT OUTPUTS The project was exceptionally successful in terms of achieving its objectives. The achievements, both in tangible and intangible forms are listed below: 3.1. SOCIAL IMPACTS The participants agreed to meet on regular basis in order to inspect, monitor and manage the solid waste generated from their neighborhood. They are also motivated to learn more about the sustainable practices for managing their waste at local level. Several student clubs (Green Volunteers Groups) were formed with the aim of delivering them the basic lessons of waste management via games, competitions and other activities. Mobilization of such groups has great positive impacts to the community that are visible in terms of the improved solid waste management practices at the household levels. The villages who took the initiation in managing their own waste were are now known as the models for other settlements and it is spreading positive message to the whole municipality TECHNICAL KNOWLEDGE ENHANCEMENT The participants of the 6-day training program were highly benefited with the knowledge they have gained about scientific practices of solid waste management. They have learned and have already implemented the household composting methods, for example. The participants were encouraged to collect the recyclables and use them in income generation with help of technical trainings. After the training, the participants were motivated to practice the household level composting. 8

273 Pilot Project Report (ADB-TA-7597-NEP) 4. CONCLUSION It was observed that the people are ready to accept the structure and other provisions for sustainable waste management provided by the municipality. However, the lack of infrastructures and technical manpower in the municipality is not enough to deal with the problem. With support like the Pilot Project, the municipality will gradually be able to implement effective solid waste management program to all of its wards. More importantly, such projects motivate not only the local body, but also the community who play the major role in ensuring the practice to be sustainable. The municipality has been managing its solid waste in comparatively efficient way by mobilizing community-based groups in this sector. Empowerment of such activities via technical and other supports will be vital for the sustainable management of solid waste in the long run. 9

274 Pilot Project Report (ADB-TA-7597-NEP) ANNEXES ANNEX 1 BUDGET OF PILOT PROJECT 10

275 Pilot Project Report (ADB-TA-7597-NEP) ANNEX 2 MAP OF PROJECT IMPLEMENTATION AREA 11

276 Pilot Project Report (ADB-TA-7597-NEP) ANNEX 3 CERTIFICATE FOR GREEN VOLUNTEERS 12

277 Pilot Project Report (ADB-TA-7597-NEP) ANNEX 4 PHOTOGRAPHS 1. One-week training on SWM at household level 2. Participants of the training program 13

278 Pilot Project Report (ADB-TA-7597-NEP) 3. CEO of Butwal Municipality during the distribution of Rickshaw and Waste Bins 4. Participants of the Composting Demonstration/Practice 14

279 Pilot Project Report (ADB-TA-7597-NEP) 5. Green Volunteers Mobilization Training 6. Participants of the training 15

280 Pilot Project Report (ADB-TA-7597-NEP) 7. One-day workshop on Legal Aspects of PPP 8. Members of ADB-TA at the workshop 16

281 Pilot Project Report (ADB-TA-7597-NEP) 9. Participants of the orientation program on PPP 10. Speaker of the orientation program on PPP 17

282 Pilot Project Report (ADB-TA-7597-NEP) 18

283 Final Report on Pilot Project (Capacity Building for Waste Management) ADB-TA-7597-NEP Siddharthanagar Municipality Office Prepared by: Shekhar Nath Panthi Section Officer, Community Development Section

284 Pilot Project Report (ADB-TA-7597-NEP) ACKNOWLEDGEMENTS INTRODUCTION MUNICIPALITY PROFILE OBJECTIVES PROJECT ACTIVITES PUBLIC AWARENESS PROGRAMS PUBLIC-PRIVATE PARTNERSHIP OTHERS PROJECT OUTPUTS SOCIAL IMPACTS TECHNICAL KNOWLEDGE ENHANCEMENT SOCIAL MAP CONCLUSION... 8 ANNEXES... 9 ANNEX 1 BUDGET OF PILOT PROJECT... 9 ANNEX 2 MAP OF PROJECT IMPLEMENTATION AREA ANNEX 3 PHOTOGRAPHS ANNEX 4 SOCIAL MAP

285 Pilot Project Report (ADB-TA-7597-NEP) ACKNOWLEDGEMENTS I would like to express my sincere thanks to Asian Development Bank for its support and all the team members of ADB-TA-7597 for their guidance throughout this project. My deep gratitude goes to the Solid Waste Management Technical Support Center for their generous support from the selection of the municipality until the end of the project. I would like to thank all the participants in the different programs of the project and the organizations for their coordination and support. Last but not the least; I would like to thank all the staffs of Siddharthanagar Municipality for their exciting involvement and support in the project. Shekhar Nath Panthi

286 Pilot Project Report (ADB-TA-7597-NEP) 1. INTRODUCTION Pilot projects were conducted in selected municipalities on Capacity Building for Solid Waste Management as a part of the Technical Assistance Project of Asian Development Bank (ADB- TA-7597-NEP). Siddharthanagar was one nominated municipalities to conduct the project. This report is output of processing and compilation of the information on the pilot activities MUNICIPALITY PROFILE Located in the southern part of Rupandehi district and extending up to the Nepal-India border, Siddharthanagar Municipality is one of the commercial and industrial municipalities in Nepal. This municipality is established as the gateway to Lumbini, the tourism centre as well as the birthplace of Lord Buddha. Located in Lumbini zone of Western Development Region, the municipality was named after the name of Lord Gautam Buddha, i.e. Siddhartha. Established in June 11, 1990, it covers an area of km². It was established as Bhairahawa Nagarpanchayat in1967 and later named as Siddhartha Nagarpanchayat in Bhairahawa is the major city in the municipality and headquarter of Rupandehi district. Ranging from urban to rural communities this municipality has 13 wards. Ward no. 9 is the largest ward occupying an area of 6.39 km 2. Ward no. 5, 6, 7, 8 and 12 occupy most of the market area, i.e. urban area whereas remaining wards are rural and suburban. Social Development Section (SDS) under municipality deals with the Solid Waste Management (SWM) within the municipality. Mr. Shekhar Nath Panthi, section officer of SDS was appointed as the coordinator of the pilot project. On his coordination, the project was implemented in the wards in the selected area of ward no. 7, 9 and 12. The project implementation map is shown in Annex 2. 4

287 Pilot Project Report (ADB-TA-7597-NEP) 1.2. OBJECTIVES The main objectives of the pilot project are: to implement a public awareness campaign at a small scale to understand the challenges in engaging with citizens and civil society, to improve interactions between SWMTSC and municipality, and to refine the public awareness program developed by the TA Team, to understand the weaknesses and needs of a municipality to introduce PPP for SWM services, to understand the ways in which the SWMTSC can best serve a municipality in this regard, and to refine the various PPP documents developed by the TA Team based on the experience. 2. PROJECT ACTIVITES The activities and outputs of the pilot project were designed in by the coordinator in consultant with the TA team. The activities were mainly in two aspects of the solid waste management practice: Public Awareness Programs and Promotion of Public-Private Partnership for the better SWM services PUBLIC AWARENESS PROGRAMS Different types of public awareness programs were designed in close consultation with the TA team, local organization and the people. The scope of such programs included: Identification of an area, target groups, messages, delivery mechanism, allies and monitoring plan; Defining roles and responsibilities of the municipality, SWMTSC, citizens, and CBOs; 5

288 Pilot Project Report (ADB-TA-7597-NEP) Development of campaign program and materials with in close consultation with the municipality and SWMTSC; Implementation, monitoring and evaluation of the campaign; Refinement of the public awareness program by the TA Team; Sharing the lessons learned with the municipality, SWMTSC and MLD PUBLIC-PRIVATE PARTNERSHIP WORKSHOP One day Public-Private Partnership (PPP) Workshop was conducted and efforts were taken to coordinate and refine existing initiatives for PPP. The scope of the workshop included: Discussion with the SWMTSC and TA teams on potential PPP, pilot project area, past and existing initiatives, etc.; Orientation on issues and options of PPP; Development of PPP packages jointly with the TA and SWMTSC; and Identification of challenges in implementing the PPP packages by the TA and the assistance from the SWMTSC TRAINING PROGRAMS Two-day training programs were conducted along with the public awareness programs for three different groups of participant. The training programs included the following activities: Introduction about classification of household waste, their characteristics, basic practices of sustainable management of such wastes etc.; Training on household level composting methods with practical demonstration; and Distribution of certificates, composting bins and other materials to the participants. 6

289 Pilot Project Report (ADB-TA-7597-NEP) 2.4. OTHERS Other activities included visits of TA and SWMTSC team from Kathmandu to the landfill and the project implementation sites. Interaction with the public, local community based organizations, municipal staffs and other stakeholders was conducted on regular basis. Different working teams were formed at community and school levels for sustainable practices related to solid waste management at those levels. Community level composting facility was established and the ownership was given to the local people. 3. PROJECT OUTPUTS The project was exceptionally successful in terms of achieving its objectives. The achievements, both in tangible and intangible forms are listed below: 3.1. SOCIAL IMPACTS The participants agreed to meet on regular basis in order to inspect, monitor and manage the solid waste generated from their neighborhood. They are also motivated to learn more about the sustainable practices for managing their waste at local level. Several student clubs were formed with the aim of delivering them the basic lessons of waste management via games, competitions and other activities. The villages who took the initiation in managing their own waste were are now known as the models for other settlements and it is spreading positive message to the whole municipality TECHNICAL KNOWLEDGE ENHANCEMENT The participants of the 2-day training programs were highly benefited with the knowledge they have gained about scientific practices of solid waste management. They have learned and have already implemented the household composting methods, for example. The participants were 7

290 Pilot Project Report (ADB-TA-7597-NEP) encouraged to collect the recyclables and use them in income generation with help of technical trainings. After the training, the participants were motivated to practice the household level composting SOCIAL MAP Social map is one of the main outputs of the pilot project. This map was prepared based on the information collected using a standard questionnaire. The questionnaire covered all the household-level information about the existing practices of solid waste management in the project-implemented area. The map is expected to serve as the baseline for any waste management related projects in the area. The sample of social map is shown in Annex CONCLUSION 4.1. LESSION LEARNT It was observed that the people are ready to accept the structure and other provisions for sustainable waste management provided by the municipality. However, the lack of infrastructures and technical manpower in the municipality is not enough to deal with the problem. With support like the Pilot Project, the municipality will gradually be able to implement effective solid waste management program to all of its wards. More importantly, such projects motivate not only the local body, but also the community who play the major role in ensuring the practice to be sustainable THE WAY FORWARD The municipality has been managing its solid waste in comparatively efficient way by mobilizing community-based groups in this sector. Empowerment of such activities via technical and other supports will be vital for the sustainable management of solid waste in the long run. 8

291 Pilot Project Report (ADB-TA-7597-NEP) ANNEXES ANNEX 1 BUDGET OF PILOT PROJECT 9

292 Pilot Project Report (ADB-TA-7597-NEP) 10

293 Pilot Project Report (ADB-TA-7597-NEP) ANNEX 2 MAP OF PROJECT IMPLEMENTATION AREA 11

294 Pilot Project Report (ADB-TA-7597-NEP) ANNEX 3 PHOTOGRAPHS 1. Landfill Site Visit by the SWMTSC, ADB and TA Teams 2. Office meeting about LFS and PPP 12

295 Pilot Project Report (ADB-TA-7597-NEP) 3. Banner of 1-day workshop on PPP concept ( ) 4. Tika Dutta Rai (CEO, Siddharthanagar Municipality) 13

296 Pilot Project Report (ADB-TA-7597-NEP) 5. 2-day Public Awareness and Training Program ( ) 6. Section Officer with participants of the training program 14

297 Pilot Project Report (ADB-TA-7597-NEP) 7. Demonstration of Composing Techniques 8. Participant of the training with their certificate. 15

298 Pilot Project Report (ADB-TA-7597-NEP) 9. Press coverage of the training program by Mechi Kali Dainik day Workshop on Role of municipality in Sustainable Management of Solid Waste and community mobilization' ( ) 16

299 Pilot Project Report (ADB-TA-7597-NEP) 11. Participant of the Workshop 17

300 Pilot Project Report (ADB-TA-7597-NEP) ANNEX 4 SOCIAL MAP 18

301 1 OUTLINE TERMS OF REFERENCE FOR CONSULTANTS A. Objective 1. The objective of the assignment is to assist the Government in establishing an appropriate framework for solid waste management (SWM) and to develop capacity of the Solid Waste Management Council (SWMC) and Solid Waste Management Technical Support Center (SWMTSC) for discharging their mandate as prescribed in the new Solid Waste Management Act (the Act). Specific outputs will include: (i) support for establishing the policy, regulatory, and institutional framework for SWM, including the operationalization of the SWMC and SWMTSC, and drafting of the national SWM policy and strategy; (ii) support for capacity development of SWMC and SWMTSC; and (iii) support for developing relevant issue-specific regulations, guidelines, and/or standards for improving SWM at the regional and local levels. B. Scope 2. The technical assistance (TA) will require about 36 person-months of consulting services (7 international and 29 national) from a firm. It is intended that the support provided to the SWMC and SWMTSC will enable them to deploy their roles and responsibilities as prescribed in the Act under the well-defined policy, regulatory and institutional framework. 1. Specific Tasks of Consultants 3. Component 1: Supporting the establishment of an appropriate policy, regulatory, and institutional framework for SWM. This component intends to support formulation of national policy framework for SWM, organizational restructuring of SWMRMC for taking its new role as SWMTSC, and establishment of SWMC. Scope will include, but is not limited to, the following tasks: (i) draft the national SWM policy and strategy in accordance with the Act; (ii) devise functional linkages between relevant national agencies and local bodies to enforce the Act, policy and strategy; (iii) recommend organizational structure for the SWMC and SWMTSC with their clear roles and responsibilities; (iv) support for operationalizing the SWMC and SWMTSC, including preparation of a business plan of SWMTSC; and (v) recommend regulatory framework to promote private sector participation (PSP) in SWM. 4. Component 2: Strengthen the technical capacity of the SWMC and SWMTSC. This component aims at strengthening the capacity of staff, mainly in the SWMC and SWMTSC, in line with their roles and responsibilities defined in the Component 1. Under this component, the TA will (i) assess existing technical capacity of the Solid Waste Management and Resource Mobilization Center (SWMRMC) (to be converted into the SWMTSC) and other relevant central agencies involved in SWM; (ii) prepare a capacity development program; (iii) implement the capacity development program through classroom training, workshops, seminars, awareness campaign, and on the job training; (iv) support dissemination of the Act, policy and strategy to government agencies, local bodies and the public; and (v) provide support to a few pilot cases of innovative SWM practices. Elements of the capacity development program to be offered will include policy and strategy implementation; planning, designing, implementing and operating the integrated SWM system including the sanitary landfill; promotion of 3R (reduce, reuse, and recycle); specific technical issues such as landfill design, leachate treatment, and organic composting; developing the proposals eligible for clean development mechanism (CDM); and designing public-private partnership (PPP) contracts. Select municipal representatives will also participate in the capacity development program. A few pilot cases of collaboration between the SWMC and/or SWMTSC and municipalities, to be selected in consultation with the Government and ADB, will be supported in order to equip the relevant staff with hands-on skills and

302 2 knowledge. Such support may include developing specific project proposals, making institutional and financial arrangements, and facilitating the implementation of agreed arrangements. In the implementation of capacity development programs, resource persons may be invited, as needed, from the training budget. 5. Component 3: Supporting the development of relevant regulations, standards and/or guidelines for improving SWM at the regional and local levels. This component intends to support the development of relevant and issue-specific regulations, guidelines, and/or standards for improving SWM at the regional and local levels. The scope will comprise conducting a thorough assessment of the existing legal and institutional framework of the SWM subsector, identifying missing or ineffective regulations and guidelines, prioritizing the urgent areas of work, and drafting new and/or amending existing ones for review and approval by the relevant authorities. The work will proceed through enhanced coordination and consultation among relevant government agencies to ensure necessary buy-in and effective implementation. Potential areas of support will include: national guidelines on tariff (including methodology for tariff setting, implementation, collection and administration); specific legal arrangements for PPP; health care waste management regulations; design standards for sanitary landfill; standards for the quality of organic compost; and a set of performance indicators and targets to serve as a checklist to assess local bodies' performance on SWM. Adequate and effective consultations will take place when the draft documents have been prepared. C. Terms of Reference for Team Members 1. Team Leader and Solid Waste Management Policy and Public Private Partnership Expert (International, 7 person-months) 6. The expert should have experiences in SWM and PPP policies. He/she should also be fully conversant with the private sector's role in SWM and be able to conceptualize a framework to augment that role in the context of Nepal. In collaboration with the national experts, the expert will: (i) conduct a thorough assessment of the existing legal and institutional framework of the SWM subsector; (ii) (iii) (iv) (v) (vi) (vii) (viii) (ix) (x) assist the Government in drafting a national SWM policy and strategy; review the existing structure of the SWMTSC and recommend appropriate organizational structure of the SWMC and SWMTSC, staffing and resource requirements to perform their mandates as prescribed in the SWM Act; support establishment of SWMC and SWMTSC, including the preparation of necessary regulation and a business plan of SWMTSC; develop and implement SWM technical training module and public awareness program as a part of capacity development program; undertake an analysis of existing regulations and guidelines pertaining to SWM, identify missing issues and weaknesses in the existing framework, and prioritize the urgent areas of work; assist the SWMC, SWMTSC and/or other responsible agencies in drafting relevant and specific regulations, guidelines and/or standards identified and prioritized in the analysis; assess the current regulatory and institutional arrangements for PPP, and address the findings, as appropriate, in the new SWM policy to promote PPP; assess the needs for specific legal arrangements for PPP including SWM projects, and if found necessary, assist the government in drafting such; identify and propose suitable pilot cases to be supported under the TA, involving innovative approaches such as PPP and regional approach for SWM;

303 3 (xi) (xii) (xiii) (xiv) (xv) assess and identify the suitable private sector participation modalities such as design-build-operate (DBO), performance based management contracts (PBMC), build-operate-transfer (BOT), and other suitable modalities in SWM; assist in designing PPP packages, including draft contract documents, and in case performance based management contracts is applied, develop key performance indicators; assist SWMTSC and/or municipalities in monitoring the implementation of agreed arrangements, such as a PPP contract; guide, supervise and support the activities by other experts to undertake the defined activities and ensure quality of work; and take the lead in ensuring delivery of various outputs of the TA including all the required reports. 2. Deputy Team Leader and Solid Waste Management Engineer (National, 14 person-months) 7. The expert should have engineering background but have experiences on working in SWM policy development and implementation including PPP issues. He/she will support the team leader to manage the overall TA implementation and assist the team leader in undertaking all the tasks. Particularly, he/she will perform the following activities: (i) conduct a thorough assessment of the existing legal and institutional framework of the SWM subsector; (ii) (iii) (iv) (v) (vi) (vii) (viii) (ix) (x) assist the Government in drafting a national SWM policy and strategy; undertake an analysis of existing regulations and guidelines pertaining to SWM, identify missing issues and weaknesses in the existing framework, and prioritize the urgent areas of work; take the lead in drafting technical guidelines and standards found necessary and urgent; and provide inputs in preparing and take the lead in implementing SWM technical training module and public awareness program as a part of capacity development program; assess the needs for specific legal arrangements for PPP including SWM projects, and if found necessary, assist the government in drafting such; assist in designing PPP packages, including draft contract documents, and in case performance based management contracts is applied, develop key performance indicators; assist SWMTSC and/or municipalities in monitoring the implementation of agreed arrangements, such as a PPP contract; ensure close coordination with the Ministry of Local Development (MLD), SWMC and SWMTSC; and supervise and support the activities by other experts under the guidance of the Team Leader. 3. Institutional Development Expert (National, 7 person-months) 8. He/she will, under the supervision of the team leader and deputy team leader, perform the following activities: (i) review all policy recommendations of the TA from the institutional perspectives; (ii) conduct an institutional capacity analysis (including functions, responsibilities, organizational structure, staffing, and budget) of SWMTSC, SWMC and other relevant national agencies involved in SWM;

304 4 (iii) (iv) (v) (vi) (vii) (viii) (ix) devise functional linkages between relevant national agencies and local bodies to enforce the Act, policy and strategy; assess readiness for and resistance to change by concerned institutions; identify capacity factors with measurable indicators that can map change process towards improved capacity for SWM; based on the findings, prepare a capacity development program, which should include strategies and options for addressing capacity development gaps based upon identified priories consistent with the Act; review the existing structure of the SWMTSC and recommend appropriate organizational structure for the SWMC and SWMTSC and support establishment of these; advise and assist the SWMTSC in preparing and finalizing job descriptions of SWMTSC officials, and appropriate staff qualification criteria; and identify and select appropriate training agencies such as Administrative Staff College and Engineering College in implementing the capacity development program to facilitate functional linkages with SWMTSC so as to sustain training programs by the selected organizations. 4. Financial Management Expert (National, 3 person-months) 9. He/she will perform the following activities: (i) review existing practices of solid waste collection tariff and other charges; (ii) provide inputs in drafting national guidelines on SWM tariff; (iii) provide inputs in designing and monitoring PPP packages, including draft contract documents and ensure financial viability of the packages; and (iv) assess financial implications of the Act, the new policy and other regulations and guidelines to be proposed under the TA and ensure financial feasibility and cost effectiveness. 5. Legal Expert (National, 3 person-months) 10. He/she will perform the following tasks: (i) confirm legal and regulatory coherence of proposed policies and regulations; (ii) review the existing legal framework and propose appropriate regulatory framework for SWM; (iii) drafting the acts and/or regulations on the basis of initial outlines or policy-based requirements identified by other technical experts, including specific legal arrangements for PPP if found necessary; and (iv) provide inputs in designing and monitoring PPP packages, including draft contract documents, from the legal viewpoints to ensure appropriate risk management and allocation among contracting parties. 6. Social Development Specialist (National, 2 person-months) 11. The consultant will lead the work in providing inputs related to participation, social mobilization and social inclusiveness. He/she will carry out the following tasks: (i) review and assess the impacts of policy recommendations of the TA on the poor and disadvantaged; (ii) advise the Government and other team members on public awareness raising and effective consultation mechanism to ensure social acceptance and buy-in from stakeholders;

305 5 (iii) (iv) prepare and obtain consensus on guidelines and procedures for incorporating social mobilization and inclusiveness as an integral and standard component of the SWM process in Nepal: these should cover awareness-raising, information dissemination, social feasibility study, social audit and stakeholder participation in planning, design, implementation, monitoring, and operation and maintenance; and provide guidance and lead the work on community mobilization, behavioral change, public awareness raising, and effective consultation in the pilot cases. 12. The above expertise and inputs are indicative, and may be adjusted in consultation with the Government and ADB after the submission of the interim report. D. Reporting and Others 13. The consultants will submit (i) an inception report within 1.5 months after the mobilization of the team leader, finalizing the approach and presenting key performance indicators and targets, a detailed work plan, and implementation schedule for the TA; (ii) an interim report within 4.5 months after the mobilization of the team leader, summarizing the progress made, work achieved, detailed prioritized work to be undertaken and proposed adjustments in expertise and inputs during the remaining period; (iii) progress reports after 8 and 12 months from the mobilization of the team leader, summarizing the progress, problems, and challenges identified and actions taken or proposed to be taken to address them; major achievements to be noted; and planned programs for the next quarter; (iv) a draft final report 14 months after the mobilization of the team leader, presenting all activities undertaken, results achieved, an assessment of achievements in comparison to the original targets, a review of problems encountered during implementation and actions taken or proposed to be taken to remedy these problems; and propose recommendations for future short to medium term programs; and (vi) a final report 3 weeks after the final workshops and the receipt of comments on the draft final report from the government and ADB, satisfying all requirements of the TA. In preparing these reports, the consultants will closely work with the Ministry of Local Development, SWMC and SWMTSC. 14. The consultants will assist the government in organizing the workshops at the beginning and toward completion of the TA. The overall framework and approach, objectives, and targets of the TA will be shared at the first workshop by inviting relevant government agencies, development partners, the private sector, and nongovernment organizations. Seminars and consultation workshops will be held as deemed appropriate during the TA implementation in order to adequately solicit the views of stakeholders when policy, strategy, regulations, guidelines and/or standards are drafted. The final workshop will be held to disseminate good practices and lessons learned through the implementation of the TA. The consultants will ensure coordination with relevant loan and TA projects of ADB 1 and other development partners, including the relevant assistance provided by United Nations Human Settlements Program (UN- HABITAT) and the Public-Private Partnerships for Urban Environment by United Nations Development Program, to maximize complementarity and avoid duplication. 1 This includes the ongoing CDTA for Institutional Strengthening of Municipalities and the Secondary Towns Integrated Urban Environmental Improvement Project. ADB Technical Assistance to Nepal for Institutional Strengthening of Municipalities. Manila (TA 7355-NEP). ADB Report and Recommendation of the President to the Board of Directors: Proposed Loan and Administration of Loan to Nepal for the Secondary Towns Integrated Urban Environmental Improvement Project. Manila (Loan 2650-NEP).

306 Salient Features of the SWM Act 2011 This chapter gives an overview of the Solid Waste Management Act This overview is based on the informally translated version of the Act in English and was furnished by SWMTSC. This act, at present, is being officially/formally translated in English under the aegis of MLD. Till such times, when the official version in English is made available, the informal version will be referred to during the initial stages of TA period so that the activities are not delayed. This Act will be one of the important foundations in this TA for development of policy and regulatory frameworks to implement the same. Background: In the mid 1970s, the Government of Nepal with assistance from GTZ initiated steps to cope with the increasing amounts of solid waste in the municipalities of Kathmandu Valley. The Solid Waste Management and Resource Mobilization Project was established for the reorganization of waste disposal in the Kathmandu Valley. After evaluation of all existing laws, a Solid Waste Management Board was established under the Ministry of Works, Supplies and Transport as an executing agency. The objective of the project was to reduce pollution through collection and disposal of solid waste by utilizing appropriate technology including compositing, land-filling and recycling. In the mean time, during , steps were taken to make appropriate legal provisions for proper management of solid waste. As a result, Solid Waste Management and Resource Mobilization Act 1987 was enacted and enforced. The Solid Waste Management and Resource Mobilization Act, 1987 (BS 2044) transformed the Solid Waste Management Board into the Solid Waste Management and Resource Mobilization Center (SWMRMC), an autonomous unit under the Ministry of Works and Transport, thus giving the project an institutional base. The Center was later transferred to the Ministry of Housing and Physical Planning, and then again to the Ministry of Local Development. Presently the Center is under the Ministry of Local Development (MLD). The Solid Waste Management and Resource Mobilization Act which was introduced in 1987, outlines the duties and functions of SWMRMC and authorizes it to take action to control haphazard waste disposal and to collect service fees. Likewise, the act has provisions for various punitive measures against those engaged in activities detrimental to the intentions of the Act. To facilitate implementation of the Act, SWMRMC Rules were formulated in 1989 (Rules and Regulations 1989, and Bye-Laws 1990 of SWMRMC). These Rules have laid down procedures to be followed by individuals and institutions designing sanitation services, solid waste collection and operation of public toilets. This Act was amended in 1992 to make it more compatible to cope up with the changed environment. However, the Act of 1987, along with the Rules and Regulations as well as Bye-laws framed thereof, could not sufficiently address the problems associated with the management of solid waste;

307 furthermore, it became necessary to involve the local bodies (Municipalities) in management of solid waste and make them responsible thereto. So a new Act "Solid Waste Management Act 2068 (2011)" was promulgated on 15th June 2011 by unifying and amending the existing laws related to the management of solid waste. The main objectives of the new legislation include reducing the waste at source, managing the waste effectively and properly by re-use or treatment and safe disposal, and reducing the adverse impacts on public health and environment, and thus help in maintaining a healthy environment. The new legislation is being considered as an important milestone by MLD in improving the SWM sector. It has provisions to improve the administrative, technical, financial and legal mechanisms to efficiently manage the solid waste in the country. Efforts are being made to publicize the features of this legislation and to intensify awareness programs at all levels. The Legislation is intended to improve the SWM sector with many new as well as emerging enforcement mechanisms that have been effectively tested in the national context. It will pave the way for the municipalities in particular, and other local bodies in general, to implement the SWM programs in their respective areas. In the course of implementing this Project, several interactions with the Chief Executive Officers (CEOs) of Kathmandu valley municipalities, NGOs, and INGOs were made. The new legislation was the focus of the interaction including a brief introduction to the TA activities. Efforts being made by the GoN to enforce the Act: The MLD has already initiated some activities to enforce the Act nationwide. According to the SWMTSC, a five-member committee, which is already in place, will be responsible for finalizing the Solid Waste Management Regulations. The TA team will be closely working with this committee. Also, the MLD and SWMTSC have initiated an advocacy campaign in selected municipalities. This campaign will be a continuous process and is expected to cover all the municipalities in future. The SWMTSC plans to hold interactions with district administrators, police chiefs and concerned local bodies. In addition, the Centre will be interacting with District Development Committees, Municipalities and chiefs of environment sections of valley municipalities within this fiscal year. The TA team will be working closely with SWMTSC in these activities as part of the TA project. On the basis of the available informal English version of the legislation, the important features are summarized in the following. There are all in all 10 Chapters in the legislation and their importance are summarized in Table A2. Table A2. Features of the SWM Act Chapter Clause Sub-clause Significance

308 Chapter Clause Sub-clause Significance 1. Preliminary 1. Short Title and Commencement 1 and 2 The Act is named as Solid Waste Management Act, 2068 (2011) and it has taken effect immediately. 2. Definition: 1 and 2 Elaborates and defines the words/ phrases frequently used in the Act. Altogether 27 words and phrases have been defined in the Act. 2. Solid waste production, collection, reduction and disposal facilities 3. Responsibility of the Local Body to manage Solid Waste 4. Responsibility for Management of Solid Waste. 5. Reducing Production Solid Waste of 6. Separation of Solid Waste 1, 2 and 3 Local Bodies to be responsible for construction, operation and management of infrastructures for collection, treatment and final disposal for solid waste management including construction of transfer centers, treatment plants, etc. 1, 2 and 3 Local bodies are made obligatory for solid waste Management. However, health institutions and industries should manage the solid wastes they produce. 1 and 2 Reducing production of solid waste is emphasized by its reduction at source through reuse and recycling. 1 and 2 Local body may arrange for separation of organic and inorganic waste and provision is made to separate such waste at the point of its production.

309 Chapter Clause Sub-clause Significance 3. Provision regarding transfer station and solid waste management site 7. Disposal of Solid Waste 8. Determining Solid Waste Collection Center 9. Transportation of Solid Waste 10. Reducing Solid Waste, Reuse and Recycling 11. Determining Transfer Center 1, 2 and 3 Local Body to specify the time, place and method for disposal of solid waste, while hazardous waste should be managed by the concerned person/body who generates it. 1, 2 and 3 Local body has to prescribe collection centre for each settlement at such places that are agreeable to the residents. The time and method of collection and disposal will be as prescribed by the local body. 1, 2 and 3 Solid waste transportation, means of transport of solid waste and method of transportation. 1and 2 Local Body to encourage reduction, reuse and recycling of solid waste and coordination with industries for reuse of packing materials for reducing the waste. 1 and 2 Local Body may prescribe transfer centers for managing the initially collected solid waste and such Centers should be prescribed in such a way that it would not cause adverse effects to public health.

310 Chapter Clause Sub-clause Significance 12. Solid Waste Management Site 1, 2, 3, 4, 5, 6, 7, 8, 9 and 10 Local Body may specify the sanitary land fill site subject to Environmental Protection Laws for management and final disposal of the waste produced within its area. This Section also specifies the landfill site acquisition and operation, requirement of EIA and IEE and compliance of IEE and EIA reports and roles of different agencies including post closure norms/activities to be strictly followed thereafter. 4. Involvement of Community and private sector participation in SWM 13. Provision for Permission (License) 14. Solid Waste May be Managed through Private Sector 1, 2, 3,4 and 5 Nobody is entitled to carryout management of solid waste without license of Local Body. This section also provides for submission of application for license with details as specified in this Section and also provides for issuance of license. 1 and 2 It provides for involvement of private sector including a company and CBOs, NGOs in management of solid waste through competitive bidding. 15. Management of Solid Waste through Competitive Bidding 1, 2, 3, 4 and 5 This section provides for procedure for bidding, selection of successful bidder, authority of the bidder for collecting fee against management of solid waste.

311 Chapter Clause Sub-clause Significance 5. Provisions regarding solid waste management service charge 16. Permission may be Granted for Construction and Operation of Solid Waste Management Site 17. Solid Waste Management May be done under Public Private Partnership 18. Service Charge May be Collected 19. Service May be Terminated or Suspended 1, 2 and 3 A Local Body may give permission for construction and operation of sanitary land-fill site, treatment plant or any other infrastructure, subject to environmental and other related laws. A Local Body also may monitor whether the specified standard is met or not and if standard is not met time may be granted for improvement and if not improved, the license or permit will be cancelled. 1 and 2 A Local Body may, subject to prevalent laws, manage solid waste in partnership with private sector, CBOs and NGOs. 1, 2, 3, 4 and 5 This section provides for imposition and collection of service against solid waste management, basis for fixing fee, procedure for collection of fee and use of fee. 1, 2, 3 and 4 This section authorizes to suspend or stop provision of service if any customer fails to pay fee. It also provides suspension or stopping of service by private sector if it is operated by private sector and also resumption of service on payment of service.

312 Chapter Clause Sub-clause Significance 20. Control in Pollution 1, 2 and 3 It requires minimizing the adverse effects on environment and complying with a set of standards for which the Center will provide technical support. 6. Provision regarding pollution control and the Monitoring of solid waste management activities 21. Monitoring of Solid Waste Management 22. Provision for Social and economical Development of Solid Waste Management Site Affected Area and Environment Protection 1, 2, 3, 4 and 5 1, 2, 3, 4, 5 and 6 A Local Body is required to regularly monitor the management and disposal of solid waste. It also provides for planning, monitoring, reporting by monitoring agency, execution of report and support for it. This Section requires the Local Body to carrying out social and economic development activities as well as environmental protection works by preparing master plans of the surrounding areas of solid waste management site which is affected. It also prescribes the nature of activities and directs to work in coordination with the affected people. 7. Provision regarding Solid Waste Management Council 23. Formation of Council 1, 2, 3, 4 and 5 A council is formed consisting of 25 Members under the Chairmanship of Minister of Local Development including Secretaries of different Ministries, Mayors and other related persons. Executive director of the Center as Member Secretary.

313 Chapter Clause Sub-clause Significance 24. Power, functions and duties of the Council -- Policy formulation, formulation of guidelines for fixing service fee and investment to be made by local bodies are prescribed as main functions. 25. Meeting and Decision of the Council 1, 2, 3, 4, 5, 6 and 7 This Section prescribes for convening of meeting of the Council, procedure of conduct of meeting, procedure for making decision etc. 8. Provision Regarding solid Waste Management Technical Support Centre 26. Establishment of the Center 27. Center to be Corporate Body 28. Power, Function and Duties of the Center 29. Formation of the Board 1 and 2 It provides for establishment of the Technical Support Center to assist the local bodies in solid waste management. The Center s head office will be at Kathmandu. 1, 2, 3, 4 and 5 The Technical Support Center (the Center) will be the body corporate having perpetual succession with authority to purchase, hold, sell and mange property, and it can sue and be sued. -- It specifies fifteen major functions of the Center. Additional functions may be prescribed by the Rule. 1 and 2 It provides for formation of a Board of Directors consisting seven Members under the Chairmanship of Secretary of MLD and ED of the Center as the Member Secretary.

314 Chapter Clause Sub-clause Significance 30. Power, Functions and duties of the Board -- It specifies seven major functions of the Board of Directors. Additional functions may be prescribed by the Rule. 31. Meeting and Decision of the Board 1, 2, 3, 4, 5, 6 and 7 This Section prescribes for convening of meetings of the Board, procedure of conduction of meetings, procedure for making decisions, etc. 32. Subcommittee or Task Force may be Formed 33. Provision for Executive Director 34. Staff of the Center 1 and 2 The Board is authorized to constitute sub-committees or task forces and prescribe the power, function, duties and working procedures of such bodies. 1, 2, 3 and 4 This provides appointment, qualifications and tenure of the office of the Executive Director (ED). It also prescribes for remuneration and other terms of service to be provided in Rules and also provides for removal of ED from the post. 1 and 2 It provides for staff of the Center and their appointment, remuneration, terms of service to be regulated by By-laws. 35. Fund of the Center 1, 2, 3, 4, 5 and 6 This provides for a separate fund of the Center to collect income and incur expenditure. It also defines of sources of income and management of fund.

315 Chapter Clause Sub-clause Significance 36. Accounts and Auditing 1, 2, 3 and 4 This provides for maintaining accounts and subjection to auditing. It also authorizes the Government to inspect the accounts if deemed necessary. 37. Annual report 1, 2 and 3 The Center is required to submit annual reports to the government detailing its activities and make such report public. 38. Offense types of offenses relating to disposal of solid waste are categorized in this section which attract pecuniary punishment and/or imprisonment in case of committing of such offenses. 9. Violations and Punishments 39. Punishment 1, 2, 3, 4, 5, 6, 7, 8, 9, 10 and 11 This section prescribes for pecuniary punishment, commensurate with the nature and type of offense, to the offender who commits offenses mentioned in Section 38. The maximum pecuniary punishment is fifty thousand rupees and imprisonment for three months. 40. Service Facility may be Stopped 41. Government to be Plaintiff 1 and 2 The Local Body is authorized to stop services and facilities that do not pay prescribed service fee for solid waste management. -- For initiating process for legal action against any person on the offense under this Act, the government will be the plaintiff.

316 Chapter Clause Sub-clause Significance 42. Appeal may be Submitted 43. Management of Solid Waste of Health Institutions -- If a person is not satisfied with the sentence of punishment as per Section 39, such person may submit an appeal to the concerned Appellate Court. 1 and 2 Health institutions should be accorded permission only if they have made appropriate arrangement for solid waste management and while providing permission the terms to be complied and the standard to be maintained may also be prescribed. 10. Miscellaneous 44. Provisions relating Poisonous Chemicals to 1 and 2 Poisonous chemicals should be imported within the set standards. If the expiry date of such chemicals passes they should be disposed in the prescribed manner. 45. Maintaining of the Record of Community Involved in Solid Waste Management 46. Information to Be Supplied 1 and 2 It requires keeping record of areas where community is involved in solid waste management. -- While operating and managing solid waste management program under foreign assistance, it should be informed to the Ministry through the concerned Local Body.

317 Chapter Clause Sub-clause Significance 47. Delegation of Authority 48. Contact with Government of Nepal 49. Reward may be Provided 50. Power to make Rules and By-laws 51. Guidelines or Directives may be Issued 52. To Be as per Prevalent Laws 53. Repeal and Saving 1, 2 and 3 Except the policy decision, the council may delegate its power to the Chairperson or Member of the Council. The Board also may delegate its authority to Chairperson, Member or ED and similarly ED may delegate to the officer of the Center. -- The Council or Center may make contact with Government through MLD. 1 and 2 To encourage innovative acts, the Center may give reward or honour to any person (including organizations) for innovative concept or activities relating to management of solid waste. 1 and 2 The Government may frame Rules under the Act and the Center may frame By-laws under the Act and Regulation. 1 and 2 The Center may issue guidelines in consultation with Local Bodies and Local Bodies may frame and issue directives in relation to management of solid waste. -- Only the matters not covered by this Act shall be as per prevalent laws. 1, 2 and 3 This Act has repealed Solid Waste (Management and Resources Mobilization) Act 2044.

318 Annex 1: Draft Review of Policies and Legislations 1. Introduction: With the increase in population in towns of Kathmandu valley, gradually solid waste management became a serious problem. Similarly, with rapid urbanization, the emerging towns also began to face problem in managing their solid waste. There were only 58 municipalities up to July However, the Government of Nepal has recently constituted and declared another 41 municipalities. Altogether there are 99 municipalities at present; it is known that the Government is working to add a number of municipalities. Past experience has shown that the problem in managing waste crops up with the emergence of the towns or urbanization. However, the initiation for managing the waste in emerging towns and urbanized areas has not received adequate priority until recently. The recent enactment of Solid Waste Management is one of the important initiations of the Government of Nepal. The Government of Nepal, with assistance of GIZ, had started initiation in mid 1970s to combat the increasing amounts of solid waste of municipalities of Kathmandu Valley. The Solid Waste Management and Resource Mobilization Project were established for the reorganization of solid waste disposal of municipal cities of Kathmandu Valley. The objective of the project was to reduce pollution through collection and disposal of solid waste by utilizing appropriate technology including compositing, landfilling and recycling. Initiatives were taken to make appropriate legal provisions during the period of for proper management of solid waste. As a result, Solid Waste Management and Resource Mobilization Act, 1987 was enacted and enforced. The Solid Waste Management and Resource Mobilization Act, 1987 (BS 2044) transformed the then Solid Waste Management Board into the Solid Waste Management and Resource Mobilization Center (SWMRMC), an autonomous body under the Ministry of Works and Transport, thus giving the project an institutional base. The Center was later transferred to the Ministry of Housing and Physical Planning, and then again to the Ministry of Local Development. Presently the Center is under the Ministry of Local Development (MoLD). Before the enactment of SWM Act 2011, solid waste management by the Center was confined to Kathmandu valley only. The new Act has given the authority and responsibility to all local bodies (Municipalities and Village Development Committees-VDCs) to manage solid waste within their respective geographical areas. To further assist the development of solid waste management in Nepal, the Government of Nepal and the Asian Development Bank launched a project on Capacity Building for Waste Management. This project is developing necessary policy documents to facilitate the implementation of SWM Act As a part of the above project, an assessment of the existing policies and laws are being conducted. This assessment will help to identify policy gaps and assist in the formulation of a new policy and strategy for the Sector. 2. Objectives of Reviewing Policies and Legislations: The main objective of this review is to examine the legal/regulatory regime governing the solid waste management sector. The purpose of this review includes identifying the related

319 policy provisions, strategy and legal provisions related to the solid waste management sector and assessing the strength and deficiencies thereof. Following the review of the relevant policies and the legislations, appropriate recommendations will be made for strengthening legal/ regulatory framework including the formulation of Regulations under the new Act and drafting of a new policy and strategy to govern the Sector. 3. Documents Reviewed: The followings documents have reviewed: National Policy on Solid Waste Management 2053 (1996) National Water Plan 2005-Relevant Provisions on Waste Management, Environment Policy and Strategy on Periodic Plans of the Government Water Resources Act 2049 (1992) and the related Regulations Environment Protection Act 2053 (1996) and the related Regulations Local Self Governance Act 2055 (1998) and related Regulations Other Relevant Laws: Industrial Enterprise Act 2049 (1992), Water Supply Management Board Act 2063 (2006), and Other Acts and related Regulations Solid Waste Management Act 2068 (2011) 4. Relevant National Policies on Solid Waste Management: 4.1 National Policy on Solid Waste Management 2053 (1996) Objectives: The first Solid Waste Management National Policy was formulated in 1996 considering emerging solid waste management problems due to urbanization. The policy emphasized waste management in municipal and urban areas. This policy is in force and not amended so far. The main objectives of this policy are to make solid waste management simple and effective, to minimize the impact of solid waste on environment and public health, to treat solid waste as resource, to include private sector participation in solid waste management, and to improve public participation by increasing public awareness on sanitation Policy Provisions: The policy provisions include making local bodies capable of providing efficient and reliable sanitation services, operating public awareness program for public participation on sanitation efforts, involving non-government organizations in sanitation activities, developing appropriate technology compatible to the local, social and economic situation, and arranging the final disposal of solid waste according to the quantity and nature of waste. The policy provisions also include considering solid waste as resource through appropriate processing and reusing, to make financial management of solid waste sustainable, to gradually privatize suitable components of solid waste management such as collection, storage, transport, transform, re-use and final disposal to encourage a self-reliant sanitation system. The policy also provides for encouraging foreign involvement as well as provision for tax benefits and licensing the industry so that solid waste may become a resource. The policy also envisaged provision for imposition of tariff and collection thereof.

320 3.1.3 Strategy: The strategy includes provisions to strengthen local governmental units for more efficient and reliable solid waste management, to launch awareness campaigns in order to muster public participation, to involve non-governmental organizations in waste management, to develop appropriate local technology for waste management, to manage final disposal sites as per their amount and nature, to make solid waste management an economically self-sufficient (sustainable) and self-reliant activity, to promote self-help cleansing schemes, to encourage waste recycling, to privatize solid waste management activities at different steps, to intervene in solid waste generating activities at source to reduce them; and to prioritize public cleansing activities at the local level Institutional Arrangement: There is a National Waste Management Council (NWMC) under the chairmanship of the Minister for Local Development. This Council works as a technical wing of the Ministry, and is responsible for national policy making. The policy has also envisaged the establishment of an institution that works for the segregation of waste based on quantity and nature of waste, selection of landfill sites and arrangement for final disposal, to assist local bodies for managing the waste, to develop appropriate technology and to advise local bodies on solid waste management. 4.2 National Water Plan Relevant Provisions on Waste Management: The National Water Plan 2005 mentions about sanitation only to the extent that is relevant to water supply. For rural sanitation, the plan aims to provide basic sanitation to households by constructing latrines, and to extend capital subsidy to build the latrines. The plan has expected that gradually public awareness will increase and the people will undertake construction of latrines themselves in due course. However, it has not emphasized on solid waste Management in the rural areas For the urban areas, the plan has recognized that the investment need for urban sewerage and wastewater treatment is greater than that for urban water supply. The existing level of service being offered in sanitation is either very poor or nonexistent, as the existing systems cannot deal with the volume of sewage and wastewater that is being generated. Hence, quality drainage and wastewater treatment facilities are needed. Prior to setting up the necessary infrastructure and management systems, a mechanism for full cost recovery of O&M has to be implemented. One way of accomplishing this is to include such a mechanism in water tariffs, as is currently done in Kathmandu. The tariffs for industrial users should be directly related to the cost of providing the required quality of service and wastewater treatment. There is also a need for effluent standards enforcement and a revision of the tariff structure for industrial consumers. 4.3 Environment Policy and Strategy on Periodic Plans of the Government:

321 4.3.1 There is no specific provision in the Environment Policy and Strategy regarding solid waste management as such. Environment Policy is related to different sectors. The Sixth Five Year Plan ( ) had first mentioned the need for Environmental Impact Assessment (EIA) for major infrastructure projects. The Government established Environmental Impact Study Project (EISP) under the Ministry of Forest and Soil Conservation in During 1982 to 1988, EISP prepared draft documents on environmental policy, Environmental Act and guidelines and conducted EIA on several ongoing infrastructure projects. In the Seventh Five Year Plan ( ), for the first time, a national level policy on environment management was incorporated. The policy emphasized the need to carry out EIA for all major development projects such as tourism, water resources, infrastructure, forestry and industry. Earlier EIAs were carried out in hydro-power development, irrigation and drinking water and road construction without mandatory requirement from the Government, but rather as a requirement stipulated by the funding and donor agencies. The Eighth Five Year Plan ( ) and the Nepal Environmental Policy and Action Plan (1993) re-emphasized the need for an EIA system to integrate environmental concerns into the development process. The Eight Five Year Plan anticipated the establishment of a national system for EIA and stipulated that EIAs should be conducted at the stage of feasibility study. The First National EIA Guideline was endorsed in September 1992 and published in gazette in July The Tenth Periodic Plan ( ) included sustainability issues related to genetic resources and biodiversity conservation Besides these national level policies, sectoral development policies have also emphasized the need for environmental management including the adoption of EIA process. For instance, the Hydropower Development Policy (2001) has mentioned the need to "render assistance in the conservation of environment by supplying clean energy through the development of hydro-electric power". In the Irrigation Policy, 1997 commitments are directed towards the design and implementation of irrigation projects based on the recommendations of EIA and Initial Environmental Examination (IEE) reports, prepared as per the National EIA Guidelines, Similarly the sectoral policies on forests, industry, tourism, and solid waste management have accorded high priority to integrate environmental aspects in the respective development projects and programs. The policy initiatives clearly indicate government s commitment which opens a number of avenues to internalize and institutionalize the EIA system in decision-making processes The Present periodic Plan "Three Years Plan 2067/ /70 ( )" emphasized promoting and extending sanitation facilities through public awareness at the rural and urban areas with the participation and contribution of the local government and users communities. Similarly, it has emphasized IEE and EIA for implementing any infrastructure development project. The plan has set a goal of increasing sanitation facility to an additional 17% population within the plan period. This will raise the total population having sanitation facility to 60% by the end of the plan period. The plan has, under infrastructure development, targeted to construct 10 landfill sites and conduct feasibility study for another ten sites. Thus the plan has

322 associated solid waste management with sanitation and infrastructure development activities. 5. Relevant Laws on Solid Waste Management: 5.1 Water Resources Act 2049 (1992) and related Regulations: The Water Resources Act 1993 contains provisions to minimize environmental impacts, including soil erosion, floods and landslides. This provision calls for carrying out EIA study prior to project implementation (Section 20). The Act also empowers the government to frame standards while utilizing water resources (Section 18). The Government also may (Section 19) prescribe the pollution tolerance limit for water resources. Restrictions may be imposed on pollution of any water resource by way of using or putting any litter, industrial wastes, poison, chemical or toxic materials to the effect that the prescribed pollution tolerance limit of the water resource is exceeded. Rules on environment related matters and pollution control may be framed (Section 24). The Water Resources Rules, 1993 obliges the proponent of a proposal to analyze environmental impacts and the rules further state that such study should contain environmental control and safety measures and other necessary arrangements to resettle people during hydro-electricity development. Also, in a process for resolving any conflict, the Water Resources Utilization Investigation Committee should consider environmental impacts likely to occur from a proposal [Rule 28 (3)]. The Irrigation Rules, 1989, prohibits activities, which pollute the canal or irrigation water (Rule 4.1). 5.2 Environment Protection Act 2053 (1996) and the related Regulations: In the process of internalizing the Environmental Assessment System in development proposals, the Government of Nepal enacted the Environment Protection Act (EPA) 1997 and the Environment Protection Rules (EPR), 1997, which make the integration of IEE and EIA legally binding to the prescribed projects. Proposals requiring IEE and EIA study are included in Schedules 1 and 2 of the EPR, 1997 respectively. The EPA, 1997 obliges the proponent to prepare IEE or EIA report on the prescribed proposals. Implementation of such proposals is carried out after the approval of EIA by the concerned agency (sectoral ministry) and Ministry of Environment. The Act outlines the process for the submission of the proposal by the proponent and approval of reports through the concerned authority. The EPR, 1997 elaborates provisions to prepare and submit the scoping report, Terms of Reference (TOR), and IEE/EIA report for approval, and public consultation processes. As per the EPR 1997, the EA report, in general, should include detail information on impacts and environmental protection measures, including implementation plan, monitoring and evaluation and environmental auditing. The Promoter of any industry is required (Section 3) to carry out Initial Environmental Examination (IEE) or Environmental Impact Assessment (EIA) of the proposed industry considering the size of the industry and its effect in environment. The promoter is also required to prepare a proposal for examining or assessing the impact on environment by

323 establishment of an industry. Only after approval of the proposal, (Section 6) IEE or EIA should be conducted, and the industry should be established with a plan to mitigate any adverse effects or impacts on the environment. The Act (Section 7) prohibits the creation of pollution that may cause significant adverse impacts on the environment, or any such act that is likely to be hazardous to public life and people's health, or any act that disposes or causes to be disposed sound, heat, radioactive rays and wastes from any mechanical devices, industrial enterprises, or other places contrary to the prescribed standards. The Act made provision for appointing Environment Inspector in order to effectively carry out or cause to be carried out the acts of mitigation, avoidance or control of pollution or activities required to be carried out in accordance with the IEE or EIA. 5.3 Local Self Governance Act 2055 (1998) and related Regulations: The Local Self Governance Act has made ward committees responsible for managing the waste within their respective areas. The functions, duties and powers of each Ward Committee (Section 25) under the Village Development Committee include to keep neat and clean the roads, ways, bridges, drainage, ponds, lakes, wells, deep water, taps, etc. within the Ward, to arrange for disposal of wastes, dirt and rotten materials and to make arrangements to encourage the inhabitants of the Ward for maintaining sanitation. The functions, duties and powers of each Ward Committee under the Municipality (Section 93) are to keep neat and clean the roads, ways, bridges, drainage, ponds, lakes, wells, deep water, stone water taps, temples, shrines, monasteries, public places, etc. within the Ward, to arrange for disposal of wastes, dirt, rotten materials and for keeping the streets and corners within the Ward clean, and make arrangements to encourage the inhabitants of the Ward for maintaining sanitation. In addition to executing or causing to be executed the decisions and directions of the Municipal Council, the functions and duties to be performed by the Municipality (Section 96) includes to assist, or cause to be assisted, in environment protection acts by controlling water, air and noise pollution generated in the Municipality area. 5.4 Other Relevant Laws: Some of the sectoral laws also require conducting environmental assessments. Industrial Enterprise Act 2049 (1992) has made provision (Section 15) for a reduction of up to 50 percent of the taxable income of any industry for the investment on process or equipment, which has the objective of controlling pollution or which have a minimum effect on the environment as an incentive. Such investment may be deducted on a lump-sum or on an installment basis within a period of three years. The Act also requires to conduct IEE and EIA for establishing an industry that has impact on the environment. In accordance to the Water Supply Management Board Act 2063, the Board is responsible for provision of drinking water and sanitation service in its area of jurisdiction. However, no standard of sanitation service is prescribed so far. The Forest Act, 1993 calls for carrying out EIA of the development proposals if they are to be implemented in the forest areas and/or passes through the forest area. The National Parks and Wildlife Conservation Act, 1973 contains a

324 number of environment-friendly provisions and prohibits the activities that may have adverse impacts on the environment. The Forest Rules, National Parks Rules, and Conservation Area Management Rules also contain a number of regulatory measures to minimize environmental impacts within the forests, national parks, wildlife reserves and conservation areas. The Electricity Act, 1993 also contains provisions to minimize soil erosion, floods, air pollution and damage to the environment while producing and transmitting electricity (Section 24). The Electricity Rules, 1993 stresses environmental analysis, which should include environmental mitigation measures to minimize adverse impacts likely to occur while developing hydro-electricity (Rule 12and 13). The Tourism Act, 1978 also contains provisions to minimize waste and environmental pollution in the trekking areas. Scattered regulatory measures are also available in other sectoral laws but they do not clearly spell out the need for EIA studies. 5.5 Solid Waste Management Act 2068 (2011): The main objective of this Act is to amend and consolidate the laws relating to solid waste management and to arrange for the systematic and effective management of solid waste by minimizing the solid waste at source, re-using, processing or proper disposing of the solid waste. The objectives also include maintaining clean and healthy environment by minimizing the adverse effects of solid waste on public health and the environment. The Local Bodies are made responsible for construction, operation and management of infrastructures for collection, treatment and final disposal of solid waste including construction of transfer stations, treatment plants, etc. (Section 3 & 4). However, healthcare institutions and industries are required to manage by themselves the waste they produce. The Act (Section 5 & 6) emphasizes reducing solid waste at the production point by arranging for separation of organic and inorganic waste and processing as well as reusing. A Local Body (Section 7) is authorized to specify the time, place and method for disposal of solid waste and for arranging the hazardous waste to be managed by the concerned person/body that generates it. The Local Body (Section 8) has to prescribe collection centre for each settlement at such places which is convenient to all as well as the time and method of collection and disposal thereof. The Local Body has (Section 9) to manage transportation of waste, prescribe means of transport of solid waste and the method of transportation. The Local Body (section 10) should encourage reduction, reuse and recycling of solid waste and coordinate with industries for reuse of packing materials for reducing the waste. The Local Body (Section 11) may also prescribe transfer stations for managing the initially collected solid waste in such a way that it would not cause adverse effect to public health. Section 12 makes the Local Body responsible for constructing sanitary landfill sites subject to Environment Protection Laws for management and final disposal of the waste. This Section also specifies the landfill site acquisition and operation, requirement of EIA and IEE and compliance of IEE and EIA reports and roles of different agencies including post-closure norms/activities to be followed thereafter. Section 13.prohibits management of waste without license and provides for issuance of license and prescribes the procedure for issuance of license to manage the waste. Section 14 provides for the involvement of the

325 private sector, including firms, CBOs, and NGOs, in solid waste management through competitive bidding. Section 15 provides for procedures for bidding, selection of successful bidder, authority of the bidder for collecting fees against solid waste management, etc. A Local Body also may (section 17) manage solid waste in partnership with private firms, CBOs and NGOs. Section 16 authorizes the Local Body to give permission for construction and operation of sanitary landfill site, treatment plant or any other infrastructure, subject to environment and other related laws. A Local Body may also monitor whether the specified standards are met or not. If any standard is not met, time may be granted for improvement, and if not improved within the time limit, the permit may be cancelled. Section 18 authorizes for imposition and collection of service fees against solid waste management and prescribes the basis for fixing such fees (tariff) and procedures for collection of such fees and the usage of the fees. Section 19 authorizes the Local Bodies to suspend or stop provision of service if any customer fails to pay the fee. It also provides for suspension or stopping of service by the private sector if it is operated by private sector, and the resumption of service on payment of service fee. The Technical Support Centre (Section 20) is required to provide technical support and this requires minimizing the adverse effect on environment and complying with set standards. Section 21 requires a Local Body to regularly monitor the management and disposal of solid waste. It also provides for planning for monitoring, reporting by the monitoring person, execution of report and support for it. Section 22 requires the Local Body to carry out social and economic development activities as well as environment protection works by preparing master plans for the affected area surrounding a landfill site. According to the SWM Act 2011, a council is to be formed (Section 23) consisting of 25 Members under the Chairmanship of the Minister of Local Development and including Secretaries of different Ministries, Mayors and other related persons. The Executive Director of the Center will be the Member Secretary. The council will (section 24) formulate policy and guidelines for fixing tariff (service fee) and fix investment to be made by the Local Bodies. The Technical Support Center-TSC (Section 26) will assist the Local Bodies in solid waste management. The functions of TSC (section 28), among others, include supporting the Local Bodies for the development of appropriate technologies for solid waste management, and enhancing their capacity; to monitor and evaluate the technical aspects and provide advice to the concerned Local Body; to support the Local Bodies in solid waste management; to prepare the process and minimum standards for solid waste management according to the nature and quantity of solid waste at any specific place, and its collection, treatment, transportation, disposal or elimination thereof; to develop, extend and disseminate innovative technology regarding solid waste management; to provide technical assistance to the Local Bodies to construct the facilities relating to solid waste management; to draw attention of concerned agencies for proper management of hazardous, medical, chemical and industrial waste; to identify and develop the techniques to minimize the production of solid waste; to provide suggestions to the Local Bodies regarding fixation and collection of service fee; to provide technical assistance or advice, etc. The TSC is to be managed (Section 29) by a Board of Directors consisting seven Members under the Chairmanship of the

326 Secretary of MoLD and the ED of the TSC as Member Secretary. Section provide for functions of the Board, procedures of the Meeting and authority to constitute subcommittees. Similarly Section provide appointment, qualifications and tenure of office of the Executive Director (ED), staff of the TSC, fund, account and auditing of the TSC and submission of annual report to the government. Section 38 categorizes the offenses which attract pecuniary punishment and/or imprisonment for committing such offenses. Section 39 prescribes for pecuniary punishment and imprisonment to the offender who commits the offenses mentioned in Section 38 in commensurate with the nature and type of offense. The maximum pecuniary punishment is fifty thousand rupees and imprisonment for three months. Section relate to the initiation of the proceeding for legal action and appeal whereas Section 48 relates to encouraging innovative acts. Section 43 is related to the import of poisonous chemicals and disposal of the date expired chemicals. Section relate to the maintenance of records of waste management by the Local Bodies, acceptance of foreign assistance, delegation of power and contacting with the Government by the Center. Section relate to the formulation of rules, bye-laws and guidelines, and directives. This Act has repealed the Solid Waste (Management and Resources Mobilization) Act An Overview of Policy Assessment: The review of National Policy 1996, other sectoral policies and the periodic plans, revealed that more emphasis is given on sanitation rather than the management of solid waste. Although solid waste management is a part of overall sanitation, nevertheless it requires dedicated attention. Various sectoral policies emphasize environmental protection and such documents link waste management as a part of environmental protection. In the true sense, solid waste management is one of the most important components of environmental protection and only partial coverage of it in policy documents is not sufficient. The 1996 policy opened the avenue for the involvement of NGOs and the private sector in solid waste management and it made provisions for support to the local bodies for waste management. However, the previous law (SWMRMC 1987) was confined to solid waste management of the municipalities of Kathmandu Valley only. In view of this, the law did not fully support the policy. Even in the sectoral policies, the provisions were confined to environment protection and specifically the protection of environment from being degraded during the implementation of any project or establishment of an industry. Less emphasis was given on the waste produced after completion of the construction phase of the project or industry. The activities of local bodies and periodic plans are confined to sanitation. The recently promulgated Solid Waste Management Act 2011 also demands for new policy consistent with the provisions of the Act. There are some discrepancies in provisions related to solid waste management in 1996 policy, the existing Act and other prevalent laws including Local Self Governance Act For making the policy consistent with the existing laws a new and separate national policy is a must. 7. An Overview of Assessment of the SWM Act 2011and Other Relevant Laws:

327 The Local Bodies (specifically VDCs and the Municipalities) are made responsible for solid waste management by the SWM Act. The Act has authorized the Local Bodies to regulate, control and dispose solid waste. The Act has also made provision for the establishment of a Technical Support Center to assist the Local Bodies. The Local Bodies are authorized to collect tariff for managing waste from those who produce the waste. Similarly, the Local Bodies are authorized to manage waste through NGOs and/or involving the private sector. The new concept of the Act is that waste is considered as a resource which generates money. But in practice it is difficult to raise capital fund to develop infrastructures including landfill sites and procure transport and processing equipment. According to the Local Self- Governance Act, 1999, Ward Committees of the Local Bodies are responsible for managing solid waste, but Local Bodies in Nepal generally do not have the necessary capacity or resources to manage the waste in proper manner. Nevertheless, this Act has empowered the Local Bodies to take every necessary action at local level. The management of solid waste is a growing concern in Nepal as urban population densities increase and usable flat land is in short supply. Although small urban centers were declared to be municipalities, they suffer from a lack of infrastructural, technical and financial resources to tackle the problems of waste management. With increasing public awareness about good health and environmental sanitation, solid waste management has now become a priority area of the Local Bodies specifically the Municipalities. Municipalities are expressing their desire to develop final disposal system even though collection systems are still not properly managed. They are also promoting waste reduction, reuse, and recycling among the communities. In spite of many challenges, some municipalities have joined hands with the local communities and the private sector to introduce innovative approaches for waste management that are cost effective and efficient. These include door-to-door collection system in some areas of Kathmandu and several other municipalities, plastic collection and recycling systems with community and private sector participation in Hetauda and Bharatpur, composting in Kathmandu and Bhaktapur, medical waste management in Hetauda and landfilling in Tribhuwannagar. Despite of the fact that the Local Self Governance Act (LSGA) and the SWM Act has vested the responsibility of solid waste management to the Local Bodies, there is no consistency in the provision of the Acts. The LSGA, under the development activities at local level, ward committees are made responsible to develop infrastructure for managing waste as well. It is not a primary function but a development goal. However, the SWM Act has now made the Local Bodies responsible for solid waste management including development of infrastructures as well as service delivery. Besides, the SWM Act has directed to consider waste as a resource and encouraged to generate money therefrom. This seems to be a challenge and for this there should be coherence between this Act and the LSGA. Besides, the SWM Act indicates that the Local Bodies should follow the procedure prescribed under the Private Investment in Infrastructure Build and Operate Act 2063 (2007) while involving the private sector. However the procedure to be adopted for developing infrastructures like roads, power projects and similar infrastructure and the management of solid waste as resources is quite different. So unless there are specific guidelines for involving private sector, it seems difficult to make the principle effective.

328

329 Annex 2: Features of the Draft SWM Regulation 2011 (As presented to the Government of Nepal for approval) Clause Sub-clause Significance 1. Short Title and Commencement 1 and 2 The Regulation is named as Solid Waste Management Regulation, 2068 (2011) and takes effect immediately after approval by the Government. 2. Definition - It elaborates and defines the words/phrases frequently used in the Regulation. Only 4 words: "Act", "Organic", Inorganic" and "Sources of waste" have been defined. 3. Management of Solid Waste 4. Discharge of Solid Waste 5. Discharge and Management of Hazardous Solid Waste 6. Arrangement for the Transportation of Solid Waste 1 and 2 This rule makes provision that in the course of management of waste, hazardous and chemical waste should be segregated. Public awareness programs will be implemented for segregating waste. 1 and 2 Local bodies can prescribe the time, place and method for the discharge of waste; it should be compatible with collection, transportation and processing. Separate time may be prescribed for transporting to the place of processing. 1, 2, 3, 4 and 5 Hazardous or chemical waste should not be mixed with other types of waste. The producer of hazardous or chemical waste is required to make necessary arrangement for storage, transportation, processing and final disposal as per the prescribed standards and the prevalent environmental laws. Such producers need to register with the local body and inform them the method, standard, technology and landfill site used for processing and management of the hazardous/chemical waste. Only after processing, the hazardous or chemical waste can be finally discharged or disposed. If after necessary processing of the hazardous/chemical waste, the producer wishes to let the local body further manage the waste, it may make such a request to the local body. Upon receiving such request, the local body may manage the waste and charge appropriate fees for the service. This rule prescribes the type, standard, capacity and other requirements of vehicles used for transporting solid waste. 7. Operation of Landfill site 1 and 2 This rule prescribes the factors to be considered for operating landfill sites which include matters related to the protection of the environment, measures for managing ecological changes, mitigation measures to overcome the effect on economic, physical, geographical, social, and bio-diversity, etc. The rule also authorizes the preparation of standards and guidelines for the operation of landfill sites.

330 Clause Sub-clause Significance 8. Post-Closure Management of Landfill sites 1 and 2 This Rule prescribes the arrangements and measures to be adopted to minimise the impacts of a landfill site after its closure. 9. Submission of Application for License 1 and 2 This Rule prescribes the format of application for license, matters to be contained in the application, documents and information to be submitted along with the application including whether solid waste is managed under for-profit or not-for-profit mode. 10. Issuance of License 1, 2, 3, 4 and 5 This Rule prescribes the procedure for the examination of applications, power to ask for additional information/documents, format of license, and the term of license (5 years). 11. Cancellation of License 12. Provision for the Renewal of License 13. Involvement of NGOs in Solid Waste Management 14. Compliance of Standards -- If the licensee fails to comply with the terms of the license or fails to comply with the set standards in the course of management of waste, or fails to comply with prevalent environmental laws, or fails to renew the license, then the license of such licensee shall be cancelled. 1, 2, 3 and 4 This requires the licensee to submit an application for the renewal of license six months before the date of expiry. The local body should decide on it three months before the date of expiry of the license. After examining the application, the local body may renew the license. If the license is not renewed, or an application for renewal not submitted, such license will ipso facto be cancelled upon expiry of the term. In such case, the local body should make necessary arrangement before three months of the date of expiry. 1, 2, and 3 For the purpose of section 15 of the Act, NGOs and CBOs may be involved to improve awareness amongst citizens, corporate bodies or organizations regarding segregation of waste at source; minimisation of waste at source; reuse and recycling, etc. The local body should prepare a list of NGOs and CBOs working in waste management for this purpose. Mobilizing such NGOs and CBOs will be as per prevalent laws. 1,2 and 3 The licensee is required to manage solid waste in compliance with the standards and guidelines prescribed by a local body. If the licensee does not comply with the standards and guidelines, the local body may give 90 days time for improvement. If additional time is required, it may give another 60 days. If even after that no improvement is made, then the license will be cancelled. However, the licensee will not be released from the obligation to compensate for any loss or damage caused during the license period. 15. Service Fee (Tariff) 1 and 2 This Rule prescribes matters to be considered for fixing tariff such as the technology, process and method to be used for waste management; type, volume, and nature of waste; effect on the environment by the discharged waste; and the estimated cost for management of waste.

331 Clause Sub-clause Significance 16. Rebate in Service Fee (Tariff) 17. Formation of Committees in Landfill Site Affected Areas 18. Powers, Functions and Duties of the Council 19. Powers, Function and Duties of the Center 20. Powers, Functions and Duties of the Committee 21. Provisions for terms of Service of the Executive Director 1,2 and 3 A Local Body may give a rebate up to 50% of the service fee to whoever is incapable of paying such fees as determined by the Local Body. Such incapable persons will be ascertained by the VDC in VDC areas and the Ward Committee in Municipality areas. Rebate may also be given to the households that reduce waste at source. 1, 2 and 3 For the purpose of Section 22 (6) of the Act, a committee may be constituted consisting of: (i) Ward Chairperson of the concerned ward as the coordinator, (ii) Chief of a Health Institution of the affected area, (iii) two persons including one woman from among the NGOs working in the affected area, (iv) an expert or experienced person on solid waste management, and (v) an employee of the local body designated by it as secretary. If the affected area falls within the jurisdiction of more than one local body, the Ward Chairperson designated by the local bodies in consultation with each other shall be the coordinator. - The powers, functions and duties of the Council other than those mentioned in the Act will be: to take decision on policy matters; to set network and structure for coordinating between concerned agencies; to coordinate between the various agencies involved in solid waste management; and to prescribe the scope of work of network organizations. - The functions of the Center other than those mentioned in the Act shall be: to provide technical assistance to the local bodies in regard to involving the private sector in waste management; to prepare procedures to be adopted for involving the private sector; to advise local bodies in respect to waste management; to introduce and develop technology; to advise the government, local bodies and private sector operators for reducing waste; to recommend appropriate technology to the local bodies; to advise and assist the local bodies as appropriate; to conduct or cause to conduct awareness programs and trainings; and to be a mediator in case of any dispute where Metropolis and sub-metropolis cities are involved. - The functions of the Committee of the Center other than those mentioned in the Act shall be to approve annual reports of the Center, to give direction in respect to adoption of technology for waste management, and to approve the standards and guidelines prepared by the Center. 1, 2 and 3 The Government is required to prescribe the remuneration, and other terms of service of the ED while appointing the ED. If it is not so prescribed, it will be equivalent to that of a Gazetted First Class Officer of the Government. The entitlement of leaves and matters related thereto will be as prescribed in the by-laws of the Center.

332 Clause Sub-clause Significance 22. Provision for Internal Audit of the Center 23. Duty of Citizen in regard to Solid Waste management 1, 2 and 3 The Center is required to carry out internal audit of its books and accounts. It also prescribes that the internal auditor should check whether expenditures are within the budget and in compliance with financial by-laws, and examine protection of assets and reliability, etc. The Board of the Center may also prescribe other matters regarding procedures, and recommend other matters to be checked by the internal auditor. -- It shall be the duty of each citizen to comply with the time, place and method as prescribed by a local body in respect to solid waste management. 24. Provision for Offence and Punishment -- For the purpose of simplification of the procedure, the local body may delegate the authority to its officials for investigation of offence and imposing fine. 25. Power to Issue Directives 26. Provisions for Monitoring 1, 2, and 3 The Government may issue directives to local bodies regarding waste management. Similarly, local bodies may issue directives to the producers of solid waste in relation to adopting appropriate technology for reducing waste at source, segregation of waste, payment of tariff (fee) and other relevant matters. Whoever receives such directives must comply with those. -- Local bodies are authorized to monitor the works performed by any person/organization involved in waste management. 27. Role of District Development Committee (DDC) 1 and 2 This assigns coordinating, assisting and facilitating role to the DDC regarding waste management. The DDC will coordinate with and/or assist or facilitate VDCs and municipalities for this purpose. 28. Repeal and Saving 1 and 2 This Rule has repealed the existing regulation which was framed under the previous Act. It also authorizes to continue those activities which were started or done under the previous regulation. 29. Change in Schedule -- It gives the right to change or amend schedules. Note: The SWM Regulation has been translated in full and shared with ADB. We shall make every effort to incorporate comments received through MLD.

333 Annex 3: Draft Financial Implications of the SWM Act 2011 Introduction: The Government of Nepal (GoN) has promulgated the Solid Waste Management Act 2011 that defines the roles and responsibilities of concerned agencies ranging from the central to the local level. Performing these roles and responsibilities has many financial implications. An assessment of the financial implications is necessary for formulating the National SWM Policy and Strategy to implement the Act. The TA Team of the Capacity Building for Waste Management Project was assigned the responsibility to conduct the assessment. The objective of this exercise is to analyse the Act and assess the provisions that may have financial implications to assist in the preparation of: National SWM Policy and Strategy Guidelines on SWM tariff structure Organizational restructuring of SWMTSC Functional linkages between national agencies and local bodies Financing Issues: The main responsible agencies for SWM as prescribed by the Act are: The Ministry of Local Development (MLD) The SWM Technical Support Centre (SWMTSC) Local Bodies (Municipalities and Village Development Committees) Private Sector agencies including industries, institutions, and individuals Several clauses1 of the Act have direct financial implications such as those concerned with revenue or investment. There are other clauses that have indirect or minor financial implications. The following Table presents the key service areas and responsible agencies. Service Areas and responsible agencies that are involved with SWM related revenue and expenditure SN Service Areas MLD SWMTSC Local Private Bodies Sector A Revenue Right 1 Services fee from industries/ health institutions 2 Solid waste management service fee 3 Fine and penalties 4 Grant for SWM 5 Consultancy fee 6 Loan from international agencies B Expenditure Assigned 7 Physical infrastructure development 8 Technical support to Local Bodies 9 Purchase land 10 Protection affected area of land fill site 11 Special* waste management 12 Segregation of waste 13 Waste collection 14 Waste transportation 15 Post closure management of land fill site 16 Waste Reduction, Reuse and Recycle 17 Research and Development 18 Reward *Hazardous, medical, chemical or industrial 1 Clause no 3.1, 4.2, 4.3, 5.2, 6.1, 6.2, 8.1, 9.1, 9.3, 10.1, 11.2, 12.1, 12.2, 12.5, 12.7, 12.8, 18.1, 18.5, 20.2, 20.5, 22.1, 22.2, 28, 35.2, and 39

334 Out of the 18 activities, only three have shared responsibilities. These are: land acquisition (shared between MLD and Local Bodies), segregation of waste (shared between Local Bodies and private sector agencies) and providing awards (shared between SWMTSC and Local Bodies). The SWMTSC has the right to receive grants and loans from national and international agencies, whereas the Local Bodies have the right to collect service charges for providing SWM services. A well-functioning fund flow system between the SWMTSC and Local Bodies will assist in improving service delivery in the SWM sector. Financial Implications of the Act: This assessment shows that there are deviations in the revenue collection rights, and the authority to dispense funds by the concerned agencies, as compared to the previous Act. This is clarified below. Ministry of Local Development (MLD) The MLD has been made responsible to purchase land for SWM if any Local Body makes such request. Therefore, a separate program under a different title is required under the MLD budget to procure land for SWM for the Local Bodies. Financial responsibility of the Ministry of Local Development Revenue Right Expenditure Assigned Area Sub Areas Purchase of land Purchase land for land fill site on LB's request Solid Waste Management Technical Support Centre (SWMTSC) According to the Act, SWMTSC is the major central level agency responsible for revenue mobilization in SWM in Nepal. It can generate internal revenue, charge consultancy fees for research and SWM related services from clients, and receive grants from the GoN and internal agencies and loan from international agencies. These are the major revenue sources of the centre. Likewise, the centre is responsible to provide technical support to the Local Bodies in LFS management, infrastructure development, capacity development and monitoring activities, research and development in SWM sector and also to provide reward for best performers in this sector. Financial Implications of the Solid Waste Management Technical Support Centre Revenue Right Expenditure Assigned Area Sub Areas Area Sub Areas Grant for Technical support to LBs SWM Consultancy fee Loan from international agencies GoN grant Grant from international agencies Research and consultancy fee Research and development Landfill site management Monitoring of SWM capacity development of LBs SWM infrastructure development Develop appropriate technology for SWM Research and study on SWM Data collection and publication Loan Reward Reward to the individual or institutions for best initiations The act has not clearly mentioned the financing responsibility of the SWMTSC to the LBs. Nevertheless, the Centre will be responsible in channelling funds received from the GoN and international agencies as grant or loan to the LBs. Therefore, a clear SWM financing policy/rules are required in order to enable SWMTSC in providing financial support to the LBs. Likewise, there should be clear policies/processes within SWMTSC for planning and programming loan and grants.

335 Local Bodies (Municipalities/VDCs) The local bodies are mainly responsible for overall solid waste management in coordination with private/community sectors including industries, institutions and households at the local level with technical support of the SWMTSC. The local bodies have the authority to fix SWM service fee rate under the general criteria set by the Centre and levy the fee upon the beneficiaries. The LBs are authorized to impose fines and penalties on violators of any provision of the Act. Such fines can also be one of the revenue sources. However, previous experience indicates that the collected service fees and fines are not sufficient to meet the SWM operational expenditures of the municipalities. Municipalities depend on local development fees and municipal grants2 from the GoN to cover the deficiency. The Local Bodies are responsible to manage landfill sites; establish physical infrastructure for transfer station; operate treatment plants; minimize the impacts of landfill site; segregate, collect and transportation waste; post-closure management of landfill site; waste reduction, reuse and recycle; and give reward to deserving actors. To carry out these activities, the LBs require significant capital investment to start the services. The local development fee and GoN capital grants are the regular sources of capital revenue of the municipalities. But these are too small for the capital investment required3. Financial Implication for the Local Bodies (Municipalities/VDCs) Revenue Right Expenditure Assigned Area Sub Areas Area Sub Areas Services fee As per the Physical infrastructure Transfer station from rate fixed by development Land fill site industries/ the local Treatment plant health bodies Compost plant institutions Biogas plant Control bas smell from Solid waste management service fee Fine and penalties Fix and collect service fees as criteria set by the SWMTSC Revenue as fine and penalties Purchase land Protection affected area of land fill site transfer station Purchase or hire land fill site Roads construction Electricity supply Water supply and sewerage Waste management Environmental protection School and health institutions establishment and operation Upliftment of economically and socially backward community 2 Nepalgunj Municipality at present spends approximately Rs. 6.2 million per year on waste management service. This is about 20% of the municipal budget. The municipality does not collect any revenue from the waste management service rendered. (SWMRMC, 2004). In Tansen SWM expenditure was Rs 3,037,686 and collected SWM service was Rs 7,691 and in Baglung the expenditure was Rs 1,720,921 and SWM service fee was Rs 451,265 in 2008/09 ( MUNICIPAL PROFILE TANSEN, BAGLUNG; Study on Urban Development and Service Delivery in Secondary Cities and Emerging Towns, (WB /09), GHK and DMI PvT Ltd and WELINK Consultants Ltd, Submitted to the Government of Nepal and the World Bank, February In Tansen Municipality local development fee was Rs 4,926,000 and GoN capital grant was Rs 4,397,000 and in Baglung, local development fee was Rs 7,361,000 and GoN capital grant was Rs 3,404,000 in 2008/09 ( MUNICIPAL PROFILE TANSEN, BAGLUNG; Study on Urban Development and Service Delivery in Secondary Cities and Emerging Towns, (WB /09), GHK and DMI Pvt Ltd and WELINK Consultants Ltd, Submitted to the Government of Nepal and the World Bank, February 2011

336 Revenue Right Expenditure Assigned Area Sub Areas Area Sub Areas Segregation of waste Provide necessary technology, means, equipment, container Waste collection Fix collection centre Manage necessary container Waste transportation Separate transportation of waste from collection centres Post closure management of land fill site Post closure management by following prescribed environmental standard Waste Reduction, Reuse and Recycle Prepare and implement waste RRR guidelines Reward Reward to the persons complained with proof of violence of the provision of the SWM Act There will be significant financing gap for the LBs to establish physical infrastructure for SWM as envisioned by the Act. Therefore, a clear policy is required to meet the capital financing gap of the LBs to implement the provisions of the Act. The roles of the MLD and SWMTSC are very important in this regard to meet the additional capital financing need of the LBs. Private Sectors/other agencies Private sector agencies (industries, health institutions and other institutions) are made responsible to manage hazardous, medical, chemical or industrial waste by themselves. Therefore, the private sector will require major funding to meet this responsibility. In addition to this, individual households are responsible for segregation of waste at home, but this is not costly. Financial Implications for the Private Sectors/ Other Agencies Revenue Right Expenditure Assigned Area Sub Areas Hazardous, medical, Manage waste by own chemical or industrial waste management Segregation of waste Segregation of waste in source and deliver to the collection centre Since, considering cost effectiveness, it may not be feasible to establish hazardous, medical, chemical or industrial waste treatment facilities in every waste generation source such as in every nursing home or laboratory, role of SWMTSC and LBs is important to establish such facilities with appropriate technology in coordinate manners.

337 Provisions of the Solid Waste Management Act, 2011 and its financial implication to the concerned agencies Chapter Clause Subclause Legal Provision Implication in Revenue/Expenditure 1. Preliminary 1. Short Title and Commencement 2 This Act may be called the Solid Waste Management Act, This act shall come into force immediately. Immediate revenue and expenditure implications to MLD, SWMTSC, Local Bodies and Private Sectors 2. Provisions Relating to Production, Collection, Minimization and Disposal of Solid Waste 2. Definition: No financial implication 3. Responsibility to make arrangement for the Solid Waste shall rest with the Local Body 1 The responsibility to construct and operate the infrastructure or structure required for the collection, final disposal and processing of solid waste, including construction of any transfer station, landfill site, processing plant, compost plant, and bio gas plant for the management of solid waste shall rest with the Local Body Expenditure implication to local bodies to establish or manage such facilities 4. Responsibility for Management of Solid Waste 2 Notwithstanding anything contained in Sub-section (1), the responsibility for processing and management of hazardous waste, medical waste, chemical waste or industrial waste under the prescribed standards shall rest with the person or institution that has generated the solid waste Expenditure implication to concerned persons or institutions

338 Chapter Clause Subclause Legal Provision Implication in Revenue/Expenditure 5. Reduction in Production of Solid Waste 6. Segregation of the Solid Waste 3 If any industry or medical institution requests for the management of solid waste remained after processing of hazardous waste, medical waste, chemical waste and industrial waste or other solid waste, or for using a Sanitary Landfill Site constructed by the Local Body, the Local Body may manage the solid waste or allow the institution to use the Sanitary Landfill Site by levying fees as determined by the Local Body. 2 It shall be the duty of every person, institution or entity to reduce the quantum of the solid waste by making arrangements to dispose the disposable solid waste within their own area or making arrangement for the reuse thereof and discharging the remaining solid waste thereafter 1 and 2 The Local body shall have to prescribe for segregation of solid waste at source by dividing the solid waste into different categories including at least organic and inorganic. The responsibility to segregate solid waste at source as prescribed by the Local Body pursuant to Subsection (1) and carrying them into the collection center shall rest with the person, institution or entity who produces the solid waste, and for this purpose the Local Body may provide necessary technology, goods, equipment, containers, etc. to them. Revenue implication to local bodies against providing such SWM services Expenditure implication to all individuals Expenditure implication to individuals as well as to the local bodies if want to provide support to the individuals

339 Chapter Clause Subclause 7. Discharge of Solid Waste No financial implication Legal Provision Implication in Revenue/Expenditure 8. Designation of Solid Waste Collection Centre 1 The Local Body may arrange for the location of container by designating the collection point in each street or colony to collect solid waste systematically Expenditure implication to local bodies if want to provide container for solid waste collection 9. Transportation of Solid Waste 1 The Local Body or the institution or body designated by such Body shall be responsible to transport the solid waste collected in the Collection Centre to the Transfer Station or Sanitary Landfill Site. Expenditure implication to local bodies for solid waste transportation 3 The Local Body shall only transport solid waste that is discharged and collected after segregation at source pursuant to Section 6 separately. Expenditure implication to local bodies for separate solid waste transportation 10. Reduction, Reuse and Recycling of Solid Waste 1 The Local Body shall take necessary steps for the promotion of reduction, reuse and recycling of solid waste and may frame and enforce necessary directives for effective implementation thereof Expenditure implication to local bodies for promotion of waste reduction, reuse and recycle 3. Provision Regarding Transfer Station and Sanitary Landfill Site 11. Site selection of Transfer Stations 1, 2 The Local Body may select any place for a Transfer Station to manage solid waste collected in the initial state. While selecting the site for a Transfer Station pursuant to Sub-section (1), such location that does not cause any adverse effect to the public health and environment shall be considered, and necessary provision shall be made to avoid emanation of foul odour from such a place Expenditure implication to local bodies for select transfer station and necessary provision to avoid emanation of foul odour from

340 Chapter Clause Subclause Legal Provision Implication in Revenue/Expenditure 12. Sanitary Landfill Site 1 The Local Body may select the Sanitary Landfill Site under the prevalent laws relating to the environment for management and permanent disposal of solid waste collected within its area 2 If the Local Body does not have its own land to locate the Sanitary Landfill Site pursuant to Sub-section (1) or if the land nevertheless is not suitable for the Sanitary Landfill Site, it may purchase or take in lease an appropriate piece land to locate the landfill 5 If it is requested to make the Sanitary Landfill Site available pursuant to Sub-section (4), the Ministry shall acquire such land and provide to the Local Body Expenditure implication to local bodies for selecting land fill site Expenditure implication to local bodies to purchase or take in lease Expenditure implication to the MLD if local bodies requested to purchase land for land fill site 4. Involvement of the Private Sector and Community in Solid Waste Management 13. Provision regarding License 14. Solid Waste Management can be done through the Private Sector 7 The Local Body shall have to carry out the operation and post closure management of the Sanitary Landfill Site in accordance with the prescribed environmental standards Expenditure implication to local bodies for post closure management No significant financial implication No significant financial implication

341 Chapter Clause Subclause Legal Provision Implication in Revenue/Expenditure 15. Management of Solid Waste through Competition 2 While selecting solid waste management operators pursuant to Sub-section (1), it shall be done on following basis: a. The amount committed to pay to the Local Body, f. If it is regarding the use, recycling or processing of solid waste, the royalty amount agreed to pay to the Local Body. e. If a management contract is proposed, the proposed management fee, Implication of revenue to local bodies Expenditure implication to local bodies for management contract 16. Approval may be granted for the Construction and Operation of a Sanitary Landfill Site 1 No significant financial implication 17. Solid Waste Management may be done under Public- Private Partnership No significant financial implication 5. Provisions regarding Solid Waste Management Service Fee 18. Service Fee may be collected 19. Service may be Suspended or Terminated 1 The Local Body may impose and collect service fee from the concerned person, institution or body for the management of solid waste Revenue implication to the local bodies No significant financial implication

342 Chapter Clause Subclause 6. Provision Regarding Pollution Control and the Monitoring of Solid Waste Management Work Legal Provision 20. Pollution control 2 The Centre shall provide necessary technical support to the Local Bodies for the purpose of management of solid waste without any pollution. 21. Monitoring and solid waste management 5 If the Centre is requested by the Local Body for providing technical assistance for any work regarding monitoring of the solid waste management, the Centre shall provide the required technical assistance as well as monitor the overall situation of solid waste management Implication in Revenue/Expenditure Expenditure implication to the Centre for technical support Expenditure implication to the Centre for technical support and collection and monitor SWM national situation 22. Provision Regarding Economic and Social Development and Environmental Protection of Areas Affected by Sanitary Landfills 1 The Local Body shall prepare the master plan for economic, social and physical development and environmental protection of the area affected by a Sanitary Landfill Site and also prepare and implement various programs for the execution of that plan 2 For the purpose of Sub section (1), the Local Body may conduct programs mainly in the following areas: a. Construction of road, electricity supply, drinking water and drainage management, sanitation and environmental protection; b. Establishment and operation of schools and health institutions; c. The programs required for the upliftment and development of the economically poor and socially marginalized group of people from the area affected by a Sanitary Landfill Site. Expenditure implication to local bodies for development and environmental protection of affected area of land fill site Expenditure implication to local bodies for development of affected area of land fill site

343 Chapter Clause Subclause 7. Provision regarding Solid Waste Management Council 8. Provision Regarding Solid Waste Management Technical Legal Provision Implication in Revenue/Expenditure 23. Formation of Council No significant financial implication 24. Functions, Duties and Powers of the Council 25. Meetings and Decisions of the Council 26. Establishment of the Centre 27. The Centre to be a Corporate Body No significant financial implication No significant financial implication No significant financial implication No significant financial implication

344 Chapter Clause Subclause Support Centre 28. Functions, Duties and Powers of the Centre 29. Formulation of the Committee 30. The Functions, Duties and Powers of the Board of Directors Legal Provision a. To support the Local Body for development of technology appropriate for solid waste management and for enhancement of their capacity d. To support Local Bodies on solid waste management f. To support Local Bodies on solid waste management g. To provide technical assistance to the Local Bodies to construct facilities relating to solid waste management h. To conduct or cause to conduct research and study on solid waste management and collect statistics and make public the facts related to the solid waste management condition of the country i. To perform as a resource center and research center to develop skilled manpower and to enhance the capacity for solid waste management k. To identify and develop techniques to minimize the production of solid waste based on the nature of the solid waste and to encourage for adoption thereof Implication in Revenue/Expenditure Expenditure implication to SWMTSC No significant financial implication No significant financial implication

345 Chapter Clause Subclause 31. Meeting and Decision of the Board of Directors 32. Sub-committee or Task Force May Be Formed Legal Provision Implication in Revenue/Expenditure No significant financial implication No significant financial implication 33. Provision Regarding the Executive Director 34. Employees of the Centre 4 The remuneration, facilities and other terms of service of the Executive Director shall be as prescribed 2 The provision regarding appointment, terms of service, remuneration and other facilities of employees of the Centre shall be as prescribed in the by-laws of the Centre Administrative expenditure implication to the Centre Administrative expenditure implication to the Centre 35. Fund of the Center 2 The fund established pursuant to Sub-section (1) shall consist of the following amounts: a)the amount received from the Government of Nepal; b) The amount received from research work or against the consultancy service provided by the Centre; c) The amount received from international organizations or institutions, foreign governments or institutes as loan or grant assistance; d) The amount received from any other sources. Revenue implication to the Centre 36. Account and Audit No significant financial implication 37. Annual Report No significant financial implication

346 Chapter Clause Subclause 9. Offences and Punishment Legal Provision Implication in Revenue/Expenditure 38. Offences No financial implication 39. Punishment 1, 2, 3, 4, 5, 6, 7, 8, 9, 10 and 11 This section prescribes for pecuniary punishment, commensurate with the nature and type of offense, to the offender who commits offenses mentioned in Section 38. The maximum pecuniary punishment is fifty thousand rupees and imprisonment for three months. Revenue implication to the local bodies 40. The Service and Facilities May Be Stopped 41. Government Will Be the Plaintiff No significant financial implication No significant financial implication 42. Appeal May Be Filed No significant financial implication 10. Miscellaneous 43. Management of Medical Waste No significant financial implication 44. Provision Regarding Chemical Pesticide 45. Maintaining Record of Community Sector Institutions Involved in Solid Waste Management 2 The concerned person or institution shall have the responsibility to dispose the date-expired chemical pesticide under the prescribed standards Expenditure implication to individual person or institution No significant financial implication

347 Chapter Clause Subclause 46. Information to be Provided 47. Delegation of Authority 48. Contact with the Government of Nepal Legal Provision Implication in Revenue/Expenditure No significant financial implication No financial implication No financial implication 49. Reward May Be Given 1 The Centre may provide appropriate reward as honour to a person or institution, who has contributed to develop new concepts for solid waste management, to promote such activities for managing solid waste 50. Power to Frame the Rules and By-laws 51. Standards or Directives May Be Issued 52. Prevailing Law to be Applicable 2 The concerned Local Body may give honour or provide cash reward to a person who complains with evidence against any person who keeps, stacks or throws solid waste haphazardly in contravention of the provision of this Act Expenditure implication to the Centre Expenditure implication to the local bodies No significant financial implication No significant financial implication No financial implication 53. Repeal and Saving No financial implication

348

349 Annex 4: Summary of Preliminary Institutional Analysis Background According to the TOR of this TA, the major tasks associated with institutional analysis are as follows: 1. Conduct an institutional capacity analysis (including functions, responsibilities, organizational structure, staffing, and budget) of SWMTSC, SWMC and other relevant national agencies involved in SWM; 2. Devise functional linkages between relevant national agencies and local bodies to enforce the Act, policy and strategy; 3. Assess readiness for and resistance to change by concerned institutions; and 4. Identify capacity factors with measurable indicators that can map change process towards improved capacity for SWM. Work Progress Relevant documents been reviewed, a number of discussions held with key stakeholders and a workshop on capacity assessment of SWMTSC held. Preparation of an analytical report is in progress. Preliminary Findings A detailed institutional analysis is being prepared based on the review of documents, discussion with stakeholders and a workshop. A summary is presented here. Institutional Landscape and Mapping for SWMTSC Civil Society Organizations (NGOs, CBOs, UGs, political parties, other institutions) Local Bodies(Municipalities, VDCs & DDCs) Bi/multilateral donors & INGOs Central Level Institutions including Line Agencies SWMTSC Private Sector Service Providers Source: Review and discussion with the staff of central agencies, municipalities and SWMTSC

350 The overall institutional framework comprises a multiplicity of organizations/stakeholders at both central and local levels are given in Figures above. Institutional Mapping in Relation to SWMTSC Note: The institutional map shows that closeness of relation among the institutions with SWMTSC. As indicated above, the SWMTSC has strong links with the MoLD and Kathmandu Valley Municipalities. The map shows that SWMTSC has weaker linkage with training and research institutions and other line ministries.