5 STEP 5 DEVELOPING THE STRATEGY 2

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1 CONTENTS 5 STEP 5 DEVELOPING THE STRATEGY USER GUIDE TO THIS STEP KEY MESSAGES OF THIS STEP NATURE OF THE STRATEGY BUILDING CONSENSUS AND OWNERSHIP DEFINING THE STRATEGY PREPARING AND FINALISING THE STRATEGY 8

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3 How to use this step? Key insights contained in Step 4 should be used in developing the strategy. The focus of Step 5 should be on discussing and agreeing high level issues of importance to improving MSWM practices. It is critical to ensure that the Strategy is agreed and owned by all key stakeholders. Participatory workshops, involving all key stakeholders, are therefore strongly encouraged as the forum in which to develop the Strategy. The Strategy usually covers a timeframe of years, providing sufficient time for step-by-step transformation of MSWM practices. Step 6 will build on the agreed Strategy and develop an Action Plan necessary to turn that overall Strategy or long-term vision into reality. Together, the Strategy and Action Plan form the Strategic MSWM Plan. Step 5 is structured into four sub-sections: Section 5.3 elaborates on the nature of the Strategy and the distinction between it and the Action Plan. Section 5.4 focuses on how to build consensus on and ownership of the Strategy. Section 5.5 presents key issues in defining draft strategy proposals. Section 5.6 discusses preparation and finalisation of the Strategy, for subsequent political approval and later Action Planning. What is the output of Step 5? How long will it take to complete Step 5? The output of Step 5 is a Strategy Document containing the highlevel measures required to improve and develop waste management practices. Full participation of key stakeholders in this process will provide an excellent platform of common understanding before commencing more detailed work on options during action planning (Step 6). The foundations for the Strategy will have been built through Steps 1-3 of the planning process. Step 5 represents the end point of the Strategy process rather than the beginning. The overall process of developing the Strategy (Steps 1-5) is likely to take 6-9 months. The specific actions contained within Step 5, however, are likely to take around 2-4 months to complete. Who should use this Step? Who else should read Step 5 for information? The MSWM Department Municipal Planners Working Group Members Steering Group Members Facilitators/Consultants All those interested in strategic planning for MSWM Step 5-3

4 5.2 KEY MESSAGES OF THIS STEP Key Messages Development of the Strategy should be viewed as a political process: stakeholder involvement is vital to the success of the Strategic MSWM Plan. The Strategy should set out the overall framework under which MSWM systems and standards are to be developed, and the Action Plan the specific options that are to be pursued to meet the requirements of the Strategy. Many MSWM plans have not been effective due to a tendency to jump to technical details before securing agreement on broad strategic aims. Specialist Workgroups provide an opportunity for more detailed discussion of key issues and strategic responses. The Workgroups created at the Inception Workshop (covering each of Steps 4A-E) can be retained, and members assigned the responsibility to develop a set of strategy proposals. The draft Strategy document should state its vision, status and objectives, as well as the specific proposals put forward by the Specialist Workgroups. The report should be discussed and agreed with the Steering Group and Workgroup leaders, and then tabled for discussion at a Strategy Workshop. The Strategy Workshop should establish a firm foundation for finalising the draft Strategy document and obtaining necessary political approval. The document should be finalised under the direction of the Steering Committee and in conjunction with Workgroup leaders, before submission to political leaders. Step 5-4

5 5.3 NATURE OF THE STRATEGY Waste management involves a wide range of stakeholders from the political to the street level. Each of these stakeholders must play their part in improving and developing MSWM practices. Over the last years, many investments in MSWM have failed to deliver major improvements to MSWM services on the ground. This failing has been widely attributed to a lack of attention on the political, institutional and community `software required for waste-related investments to work in practice. In view of this experience, it is clear that municipalities need to place greater emphasis on securing consensus and ownership of the Strategy by key stakeholders during the planning process, and on securing the necessary political backing required to make improvements happen in practice. The key benefit of preparing a Strategic MSWM Plan in two stages is that it encourages greater attention to be placed on securing broad agreement of the Strategy before commencing more detailed evaluation of options during the Action Plan. It also provides a natural decision-making point at an approximately halfway point in the Strategic Planning process. The `Strategy should set out the overall framework under which MSWM systems and standards are to be developed, and the Action Plan the specific options that are to be pursued to meet the requirements of the Strategy. 5.4 BUILDING CONSENSUS AND OWNERSHIP The importance of a well-structured participatory planning process has been emphasised throughout the Planning Guide. Box 5.1 presents a summary of experiences in field testing the participatory approach offered by this Planning Guide. The true strength of a Strategy will lie in the extent to which stakeholders have been able to conceptualise issues and develop appropriate strategic responses in these workshops. The focus must be to ensure that there is consensus at all stages of the planning process. So far in the planning process, an Inception Workshop will have been held as part of Step 2 and Step 3, outputs being a set of key issues and a Strategic Planning Framework. The aim of Step 5 is to build on the outcomes of the Inception Workshop by holding further participatory workshops to prepare draft and final strategy proposals. Specialist Workgroups and a Strategy Workgroup are recommended to be held during Step 5. Workgroup leaders and rapporteurs established at the Inception Workshop should be retained, and independent facilitators contracted where possible to catalyse debates, contribute specialist knowledge, work to achieve consensus and draft outputs. Development of the Strategy should be viewed as a political as well as functional process: stakeholder involvement is vital to the success of the Strategic MSWM Plan. Step 5-5

6 Participatory workshops recommended during Step 5 include: Specialist Workgroups, to develop draft Strategy proposals on each of the areas covered in Step 4. A Strategy Workshop to review and finalise the draft Strategy document. Box 5.1 Developing a Strategy through Consensus and Ownership A draft of this Planning Guide was field tested during The pilot location was the cities of Ha Long and Cam Pha in northern Vietnam, a natural world heritage site location and area with major socio-economic development potential. The pilot focused on applying a participatory planning approach to developing a Waste Management Strategy to cover a period of 20 years. The key was to demonstrate how a participatory planning approach could be integrated into the 7-Step planning methodology offered by the Guide. A structured series of participatory workshops were held involving representatives of all key stakeholder groups. Participants included city mayors, department heads, municipal planners, waste service operators and the local Women s Union. Stakeholders identified key issues and developed strategy proposals in a series of workshops and workgroups. Workgroup leaders were nominated, and responsibility placed on them for steering discussions and ensuring that all participants had the opportunity to contribute their opinions and ideas. National and international facilitators were contracted to structure and manage the process, assist in discussions and prepare draft strategy outputs. The strategy was developed over an eight-month period. Agreement was secured at all stages of the process and the resulting strategy benefited from consensus agreement between all stakeholders. Key actions included the need to target investment, improve service performance and coverage, build public awareness and improve levels of cost recovery. The Strategy document developed is presented in Annex 5.1. In October 1999 the strategy was endorsed by the Quang Ninh Provincial Peoples Committee and issued to departments for action planning and implementation. Source: Quang Ninh Peoples Committee (October 1999) Waste Management Strategy for Ha long and Cam Pha, Vietnam. Supported by the World Bank and Danida and facilitated by ERM in association with Carl Bro International. 5.5 DEFINING THE STRATEGY It is often difficult to secure agreement on the specific options to be pursued in a Strategic MSWM Plan at an early stage. Waste management is a multifaceted issue, and different stakeholders will have different perspectives on the key areas of attention. For example, the difference in perspective is particularly evident in relation to waste treatment and disposal (Step 4C). Because of its highly political nature, it is often difficult to secure broad agreement on facilities and sites to be developed at an early stage in the planning process. Step 5-6

7 However, early agreement may be secured on the need for improved waste disposal standards, and to fully evaluate the costs and benefits of different waste treatment and disposal methods during preparation of the Action Plan (Step 6). Many MSWM plans have not been effective due to a tendency to `jump to issues of detail before securing agreement on broad strategic principles. The Strategy should focus on `high level issues, leaving consideration of some of the more detailed issues to the Action Planning step. An example of the kind of `high level issues forming the basis of a Strategy is illustrated in Box 5.2 below. Box 5.2 Case Study: High Level Issues forming the Basis of a Waste Management Strategy: Lima s Northern Cone Step 1 Generate organisational conditions in the application of a coherent legislative framework for planned and integrated waste management in the Northern Cone of Lima, through the concerted action of the Inter-District Consultative Technical Commission and in accordance with the General Waste Law and the Metropolitan system of cleaning. Programmes: Institutional Formalisation and Legislation Adjustment Step 2 Establish administrative, economic and financial conditions that guarantee the sustainability of the integrated waste management system. Programmes: Administrative Management. Support for Private Enterprise Step 3 Direct the regulation of equipment, installations and human resources dedicated to public cleaning towards appropriate technological standards that allow for the optimum levels of coverage, efficiency and quality. Programmes: Planning, Operation, Control and Evaluation. Technical Training Step 4 Promote and organise social participation and good citizenship of the Northern Cone population in the process of environmental recuperation via participation in solid waste management systems. Programme for social participation and good citizenship Step 5 Promote the environmental awareness of the public and the willingness to pay of the cleaning service of the Northern Cone. Programme for the promotion of new behaviour Source: Alternativa, Centre of Popular Social Investigation and Popular Education, Lima, Peru, March Step 5-7

8 5.6 PREPARING AND FINALISING THE STRATEGY Following preparation of a set of draft Strategy proposals by Specialist Workgroups, a draft Strategy document needs to be prepared, reviewed and finalised. The Specialist Workgroups should bring forward a list of broad areas for action. The draft Strategy document should set out these proposals and provide explanatory discussion and supporting statements where necessary to ensure that the substance of the measure is clearly outlined. The draft Strategy should also present the Key Issues and Strategic Planning Framework (established during Step 3). A model contents list for a MSWM Strategy is provided in Box 5.3, summary extracts the waste management strategy developed during field testing of this Guide that is provided in Box 5.4, and the full Strategy report provided in Annex 5.1 A `Strategy Workshop involving all key stakeholders is recommended as the forum for review and finalisation of the document. The workshop should focus on discussion of the draft Strategy, and establishing necessary revisions. In order to achieve this, the Strategy Workshop should be modelled around the concept of maximising participation from stakeholders in discussions and formulation of outputs. The draft Strategy should be finalised following the workshop. Finalisation of the Strategy should be overseen by the Steering Committee, Working Group members and Workgroup leaders. The Strategy should then be presented to the political authorities, comments taken on board and then finalised for official approval. It is vital that the Strategy be approved before commencing preparation of the Action Plan (Step 6). The draft Strategy document should state its vision, status and objectives, as well as the specific proposals put forward by the Specialist Workgroups. The report should be discussed and agreed with the Steering Group and Workgroup leaders, and then tabled for discussion at a Strategy Workshop. The Strategy Workshop should establish a firm foundation for finalising the draft Strategy document and obtaining necessary political approval. The document should be finalised under the direction of the Steering Committee and in conjunction with Workgroup leaders, before submission to political leaders. Box 5.3 Model Contents of a Strategy Foreword 1. Basis of the Strategy Background, policy context, local development plans, socio-economic trends, demographics, waste quantities, the Strategy development process. 2. Introduction to the Strategy Vision, objectives, key issues, principles, targets 3. The Strategy Institutional framework, waste collection and recycling, waste treatment and disposal, financial sustainability, public awareness and participation. 4. Implementing the Strategy Key issues and programme for Action Planning. Step 5-8

9 Box 5.4 Summary of the Waste Management Strategy for Ha Long and Cam Pha, Vietnam Component 1: Strategy Framework There is a need to improve waste management practices in Ha Long and Cam Pha. More effective waste management is essential to maintaining good standards of public health, sustaining economic development, improving the living environment and protecting the natural heritage in Ha Long and Cam Pha. An effective framework, including organisational structures, infrastructure and services, will be put in place to achieve sustained improvement of waste management practices. To reflect the importance of improving and developing this sector, the Waste Management Strategy will be incorporated into the Socio-economic Development Plans for Ha Long and Cam Pha. The Strategy will be used by mayors and other key decision makers as a major consideration when defining operational policies, approving investments and allocating budgets. Component 2: Waste Collection Household waste collection is an essential public service influencing standards of public health and environmental protection. A key long-term objective of the Waste Management Strategy will be to provide the whole urban population of Ha Long and Cam Pha with a regular and effective waste collection service. Healthcare (medical) wastes require special consideration because of their infectious and toxic nature. Health care wastes must be segregated at source and handled and managed separately from other waste streams. Wastes arising from institutions such as office buildings and schools shall be collected, transported, treated and disposed along with household wastes. Other wastes (such as industrial and coal wastes) are the responsibility of the particular generator, who should make necessary arrangements with URENCO or other contractors to ensure their safe management. Originators of these wastes should work to reduce quantities generated and shall pay the full costs of collection, treatment and disposal. Primary collection of off-shore (boat) wastes are the responsibility of the Ship Service Company. Ha Long Bay Management Board are responsible for floating wastes in Ha Long Bay. These bodies should make necessary arrangements to transfer these wastes to the URENCO land based waste collection service, and an appropriate fee provided for this service. Collection of natural wastes will be the responsibility of URENCO. VINACOAL are responsible for management of wastes arising from their mining activities, and shall pay URENCO or other waste collection service providers fees for waste collection. These fees shall be determined through discussion with the responsible authorities and based on the principle of full cost recovery for services provided. Source: Quang Ninh Peoples Committee (October 1999) Waste Management Strategy for Ha long and Cam Pha, Vietnam. Supported by the World Bank and Danida and facilitated by ERM in association with Carl Bro International. Step 5-9

10 Component 3: Waste Treatment and Disposal Effective waste treatment and disposal is an essential component of waste management services and one that influences public health, environmental protection and the urban landscape. Improved collection services and public awareness are also integral to improving waste disposal. Uncontrolled waste disposal in Ha Long and Cam Pha is widespread as a result of insufficient collection services, as well as limited public awareness of the importance of sanitary landfilling. Sanitary landfilling will be the principal waste treatment and disposal method over the Strategy period. The programme for developing specific landfill sites is the subject of the detailed design programme under the World Bank/Danida supported Water Supply and Sanitation Project and will be specified as part of that programme. These sites will be developed and operated in accordance with appropriate environmental standards. Component 4: Cost Recovery An effective cost recovery policy is essential to improving and developing waste management practices in Ha Long and Cam Pha. The cost recovery policy will be designed to recover an appropriate level of the total costs of providing waste services, including operation, maintenance and capital depreciation. In order to develop an effective tariff structure, URENCO will establish the funds needed to implement the Strategy and work with the Peoples Committee to determine how these funds are to be provided. The cost recovery policy will be socially equitable and capable of effective implementation. Component 5: Public Awareness and Education Public Awareness and Education (PA&E) programmes are essential to inform stakeholders and the public of key issues relating to MSWM, to gain support for MSWM initiatives and to raise the overall profile and image of SWM within the community. PA&E programmes for Ha Long and Cam Pha need to be undertaken in a focused, targeted manner to ensure such programmes are effective. PA&E will focus both on the potential negative health implications of improper waste management practises and also the positive impacts of an improved system, and support of waste management service providers so that the service can be improved. Source: Quang Ninh Peoples Committee (October 1999) Waste Management Strategy for Ha long and Cam Pha, Vietnam. Supported by the World Bank and Danida and facilitated by ERM in association with Carl Bro International. Step 5-10