Annex 1.

Guidance Note for

Preparation of
Strategic Plan ToR

This Annex provides guidance on the preparation of Terms of Reference for

Strategic MSWM Plans. Terms of Reference should be developed for each particular
situation in order to fully reflect local needs and issues.

Annex 1.3
Guidance Note for Preparation of Terms of Reference for a Strategic MSWM
Plan
This Annex presents a checklist of issues/topics that need to be addressed in a
ToR for a Strategic MSWM Plan.
Developing a Terms of Reference is a critical step in the local planning process.
The aim of this annex is therefore to provide a set of notes to assist development
of ToRs at the local level, rather than to provide a template document which can
be pulled `off the shelf.
ToRs must be concisely written, reflect specific local needs and detail all inputs
and outputs necessary for preparation of a Strategic MSWM Plan. Bullet point
notes are provided to indicate the a `model content of each section of the ToR.
Boxes and keys provide guidance to the author(s) on some of the key issues that
may need to be reflected in the document.
Introduction

Introduce the nature of the initiative and the participating municipalities.

Indicate organisations leading/sponsoring the initiative
Indicate other key stakeholders to be involved in the planning process
Define waste types to be covered
Describe the need for a Strategic MSWM Plan
Present the overall aims (e.g. to improve collection service, upgrade
disposal/phase out dumping, involve the private sector etc)

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

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

Region/area for activity.

Define the planning area and period

Describe joint planning arrangements
The planning area is usually defined as the geographical boundary of those
municipalities participating in the initiative. The planning area needs to be broad
enough to capture both the major centres of waste generation and the area of search
for disposal sites.

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

Background information.

Present data summarising the current situation

Present relevant historical information and projected trends
Indicate shortfalls and constraints
Establish key areas of focus
The checklist of dos and donts available in the Overview for Decision Makers can
be used as a tool to help structure analysis of shortfalls and constraints.

Objectives
Define principal objectives for the Strategic MSWM Plan.

The objective should be to `do more for your money; to make waste collection
and street sweeping more efficient and cost-effective; to use the savings to extend
the service to all the city; and to contribute to the costs of the first appropriate
steps in developing an environmentally sound and affordable waste disposal
system for the entire urban population.
Improved investment, service performance, customer satisfaction financial
management and cost recovery are essential to improving MSWM practices.

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

Responsibilities.

Define the roles and responsibilities of organisations involved in MSWM

Define the composition and responsibilities of the Steering Committee and
Working Group
Define role of other key stakeholders
Define role of facilitators/consultants required to assist the process.

The Steering Committee could comprise:

A senior political figure as chair

Representatives of community organisations

Representatives of participating municipalities

Women leaders in MSWM

Local government department officials

Private sector representatives

Municipal waste managers

Selected specialists

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

Action Plan

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

Pre-feasibility studies for technical options

covering:
Collection and recycling
Treatment and disposal
Plans covering:
Institutional/organisational
development
Service/facilities development
Financial management and cost
recovery
Public awareness and participation
Investment Plan
Timetable for detailed feasibility study and
implementation
Immediate Action Plan

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

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

STAKEHOLDER - CONSENSUS BUILDING

1. MOBILISE THE
PLANNING PROCESS

2. DEFINE
BASELINE

3. ESTABLISH STRATEGIC
PLANNING FRAMEWORK

Step 4. Identify and Evaluate Options

4A. Institutional Framework
4B. Waste Collection and Recycling
4C. Waste Treatment and Disposal
4D. Financial Sustainability
4E. Public Awareness and Participation

4. IDENTIFY &
EVALUATE OPTIONS

5. DEVELOP
STRATEGY

7. IMPLEMENT THE
STRATEGIC PLAN

update

6. PREPARE
ACTION PLAN

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

Strategic Waste Management Planning

Mobilise the Planning Process

Define Baseline
Inception
Workshop

Establish Strategic
Planning Framework

Specialist Workgroups

Identify and Evaluate

Options

Institutional
Framework

Waste
Collection &
Recycling

Financial
Sustainability

Waste
Treatment &
Disposal

Public
Awareness &
Participation

Develop Strategy

Strategy
Workshop

Prepare Action Plan

Action Planning
Workshop

Implement the Strategic Plan

Participatory planning involves a series of debates, discussions and informed

consultations. This is often best achieved through a structured Workshop
programme, designed to ensure that key stakeholders drive the strategic planning
process, have sufficient time to reach consensus and feel ownership of its
outcomes.

The following box sets out the specific tasks recommended within these Steps.
Guidance on issues/aspects to be addressed in each Step is provided in the
Facilitators Guide.
Step 1: Mobilising the Planning Process
Step 1 is concerned with how to get started with the strategic
planning process. Guidance is structured in two areas, the
`political mobilising support and the `functional organising the
work. Step 1 provides the political and operational arrangements
for developing the Strategic MSWM Plan.

Step 2: Defining the Baseline

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

General guidance on data collection

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

Outputs from Step 2 are presented at two stages. A

Baseline Study or audit of MSWM in your City should be
prepared in time to feed into definition of key issues.
During the remaining stages data gaps are filled and more
detailed information collected to supplement this initial
Baseline Study.

Step 3: Establishing the Strategic Planning Framework

Step 3 covers the range of issues that need to be established at the
outset of the planning process to determine the framework for
the Strategic MSWM Plan. Aspects addressed include:
Defining the strategic vision
Status of the strategic plan
Selecting the planning area and period
Selecting waste types to be covered by the plan
Defining service levels
Defining key issues
Setting objectives and targets
The output of Step 3 is an agreed Strategic Planning Framework.

Step 4: Identifying and Evaluating Options

Step 4 can in many ways be regarded as the core of the
planning process. Here, we are identifying and evaluating
options required to address the key issues being faced. The
text is divided into five sub-Steps
Step 4A
Step 4B
Step 4C
Step 4D
Step 4E

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

Step 4 provides information and analysis to support both

development of the Strategy (Step 5) and preparation of the
Action Plan (Step 6).

Step 5: Developing the Strategy

The Strategy provides the `umbrella under which to progress
with the more detailed work required for the Action Plan.
Defining the Strategy will involve an initial evaluation of
options required to address key issues. Aspects addressed
include:
Nature of the Strategy
Building consensus and ownership
Defining the Strategy
Preparing and finalising the Strategy
The output is a Strategy which has been agreed by all key
stakeholders and can act as a `framework for preparation of the
Action Plan.

Step 6: Preparing the Action Plan

Step 6 develops the Action Plan required to turn the Strategy
into practical reality. The Action Plan will involve detailed
evaluation and selection of options to be pursued. Aspects
covered include:
Nature of the Action Plan
Pre-feasibility studies
Preparing an Immediate Action Plan
Preparing an Investment Plan
Gaining formal approval
The outputs of Step 6 will be an Action Plan, Immediate
Action Plan and Investment Plan, which combined with
the Strategy (Step 5) will form the Strategic MSWM Plan.

Step 7: Implementing the Strategic Plan

Strategic planning for MSWM is not an end in itself; the agreed plan must be
effectively implemented. Three aspects are addressed:
Moving from planning to implementation
Revising and updating the plan
Performance monitoring

Show early improvements on the ground

One point is worth emphasising at the outset. Both the
public and many other stakeholders in MSWM are likely to
regard the municipal authorities as part of the problem in
MSWM, as well as part of the solution.
It is important to establish credibility during the planning
process by showing commitment to action.
Relatively small, simple and low cost measures can be
implemented at the ground level to raise the profile of
waste management and demonstrate the commitment of
the municipality to improving its services.
Work schedule

Establish timetable for preparing the Strategic MSWM Plan

Establish participatory planning schedule
Describe the project management schedule and delivery targets.

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

Conceptual Workplan
Month
1

9
10

11

12

13

14

15

16

17

18

Mobilising the Planning Process

Defining the Baseline
Establishing the Strategic Planning Framework

Baseline Study

Ongoing Data Collection

Inception Workshop

Identifying and Evaluating Options

Specialist Workgroups

Developing the Strategy

Strategy Workshop

Preparing the Action Plan

Action Planning Workshops

Implementing the Strategic Plan

Immediate Actions

Participatory Workshops

Outputs

Baseline
Study

Strategic Planning
Framework

Strategy

Interim Reports
(as required)

Action Plan
Immediate Action plan
Investment plan

Outputs
Define outputs, including schedules for participatory workshops and submission
of reports. The following provides a list of outputs from the scope of work
recommended in the Strategic Planning Guide:
Participatory Workshops

Reports

Inception Workshop
Specialist Workgroups
Institutional Framework
Waste Collection and Recycling
Waste Treatment and Disposal
Financial Sustainability
Public Awareness and Participation
Strategy Workshop
Action Planning Workgroups
Action Planning Workshop
Strategic Plan Workshop

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

Resource Requirements
Indicate the budget available and professional skills required for preparation of
the Strategic MSWM Plan
Supporting information
Provide more detailed information where necessary