Solid WaSte ManageMent Technical & Institutional Assistance Initiative for Central America

UNITED NATIONS HUMAN SETTLEMENTS PROGRAMME Water, Sanitation & Infrastructure Branch Human Settlements Financing Division P.O. Box 30030, Nairobi 00100, Kenya E-mail: [email protected] Website: http://www.unhabitat.org/ Solid WaSte ManageMent Technical & Institutional Assistance Initiative for Central America ii

Solid Waste Management Technical & Institutional Assistance Initiative for Central America

First published in Nairobi in November 2011 by UN-HABITAT. Copyright © United Nations Human Settlements Programme 2011

All rights reserved United Nations Human Settlements Programme (UN-HABITAT) Water, Sanitation & Infrastructure Branch Human Settlements Financing Division P.O. Box 30030, Nairobi 00100, Kenya E-mail: [email protected] Website: http://www.unhabitat.org/

DISClAIMer

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Views expressed in this publication do not necessarily reflect those of the United Nations Human Settlements Programme, the United Nations, or its Member States.

Excerpts may be reproduced without authorization, on condition that the source is indicated.

ACknoWleDgeMenTS

Author: XXXXXXXXXXXXXX Editor: Roman Rollnick Design & Layout: Irene Juma

Photos: © XXXXXXXXXXXX iii

TABle oF ConTenTS

IntroductIon 1 Project Background 1 Municipal Service Development Challenges in Central America 2 The regional Context 2 Solid Waste Management 2

BuILdInG cAPAcItY In SWM In MAnAGuA, nIcArAGuA 7 Component One: Support to Integrated Acahualinca Programme 8 Component Two: Support to Municipal Government of Managua 10 Component Three: Support to Waste Recovery and Recycling sector 14 Component Four: Support to Regional Solid Waste Management 15 cEntrAL AMErIcAn SWM tEcHnIcAL & InStItutIonAL ASSIStAncE ProGrAMME 17 Regional Solid Waste Management issues 17 Legal and Institutional Framework 18 Strategic Planning and Policy Development 19 Municipal Financing 19 Green Economy: Resource Recovery and Efficiency 20 Job Creation through Public–Private Partnerships 21 Capacity Building and Awareness Raising 21 Suggested Areas of Support to Solid Waste Management in Central America 22 iv

Lines of Intervention for Regional for the Regional Solid Waste Management Technical and Institutional Assistance Initiative 24 Component I: Institutional Strengthening or Regional and National Solid Waste Management Institutions and Coordination Mechanisms 24 Component II: Development, Application and Institutionalisation of Regional Solid Waste Management Guidance Documents 26 Component III: Development and Implementation of Solid Waste Management Investment Projects 28 Component IV: Project Coordination and Information Dissemination 29 Initial Funding Estimates for Regional initiative 30 1

InTroDuCTIon

ProjeCT BACkgrounD UN-HABITAT launched the Water and Sanitation Trust Fund in October 2002 to help governments meet their commitments to the water and sanitation targets of the Millennium Development Goals (MDGs) and the World Summit on Sustainable Development (WSSD). The Trust Fund´s vision is to achieve “expanded access to environmentally sound basic urban infrastructure services with a special focus on the unserved and underserved populations”.

The Trust Fund´s mission is to create a hospitable environment for pro-poor investment in water and sanitation in urban areas of all sizes in the developing world and thus provide the means to improve significantly the volume and effectiveness of Official Development Aid and local financial flows to water and sanitation.

In 2008, the Spanish Government made a contribution of EUR 4 million to the Trust Fund, with part of these funds being soft earmarked for expenditure in Central America and, in particular the city of Managua, the capital of Nicaragua. The Spanish cooperation agency (AECID) is currently implementing in Managua the Integrated Acahualinca Neighbourhood Development Project with actions to improve environmental, housing and socio-economic conditions of people living on and around the city’s main municipal dumpsite of La Chureca.

This document presents and discusses the objectives, activities and of the resulting UN-HABITAT project Building Capacity in Solid Waste Management in Managua, Nicaragua, including the main 2 tools and knowledge products developed in the framework of this initiative.

It also presents an analysis of the main challenges facing Central America in solid waste management and identifies new opportunities for the international donor and development banks to work together in the framework of a Regional Solid Waste Management Technical and Institutional Assistance Initiative to support the development of this sector in the region.

MunICIPAl ServICe DeveloPMenT ChAllengeS In CenTrAl AMerICA The sub-continent of Central America is made up of seven countries; Belize, Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua and Panama. The region is bordered on the north by Mexico, on the east by the Caribbean Sea, on the west by the North Pacific Ocean while South America lies to the south.

The regIonAl ConTexT As shown in Table 1, the ECLAC population projections for six of the seven countries of Central America in 2010 were 43,436,257. A projected 25,450,208 persons or 59% of this population live in urban areas. Population data provided by the Statistics Institute of Belize, the remaining country in the region, shows that in 2009 the population was estimated at 333,200 with 172,800 (52%) living in urban areas1.

SolId WASTe MAnAgeMenT In all of the countries of the region, poor solid waste management is one of the most important environmental issues facing urban areas, especially in view of its serious adverse effects on quality of

1 2009 Mid-Year Population Estimates from Statistical Institute of Belize, http://www.statisticsbelize.org.bz 3

Table 1: Population Projections for central America for 2010

Country Urban Population Total Population Percentage of Urban Population (%) Belize¹ n/a n/a n/a Costa Rica² 3,098,392 4,694,623 66 El Salvador² 4,493,295 7,453,303 60 Guatemala² 8,217,581 14,361,666 57 Honduras² 3,844,799 7,614,345 50 Nicaragua² 3,392,733 5,815,524 58 Panama² 2,403,408 3,496,796 69 TOTAL 25,450,208 43,436,257 59

Source: (1) Statistical Institute of Belize, Mid Year Population Estimates for 2009 (http:// www.statisticsbelize.org.bz) _ (2) Latin America: total, urban and rural population and urban population percentage by country, (Period 1970-2050), Economic Commission for Latin America and the Caribbean (www.eclac.org). life, human health, natural resources and economic development activities such as tourism. In addition, it is the poorest inhabitants of the urban centres that suffer these effects most acutely, living in areas vulnerable to contamination or where municipal solid waste management (SWM) services have yet to be provided.

The vast majority of municipal SWM systems are traditional ones, consisting of waste collection and direct transportation to waste disposal sites most commonly operated as open dumpsite. Only El Salvador, through the application of a combination of legal instruments and strict enforcement measures, has managed to develop a national network of sanitary landfill sites. Nevertheless, this achievement has come at a high cost and lead to huge increases in SWM spending, which has left many municipalities severely in debt. 4

Table 2 shows that Central American countries generate on average between 3000-4000 tons of domestic solid waste per day, of which between 41 and 71% is easily biodegradable organic matter and 20% to 40% is dry organic and inorganic recyclables. Hence, up to 88% of the domestic waste generated in the region

Table 2: Waste Quantities and characteristics in central America

Country Daily Domestic Fast Degrading Recyclable Others Waste Organics Waste2 Generation (% by wt) (% by wt) tonnes/day (% by wt) Belize n/a n/a n/a n/a Costa Rica 3784 55 31 14 El Salvador 3187 71 23 6 Guatemala n/a 41 41 18 Nicaragua 3286 70 20 10 Panamá n/a n/a n/a n/a AVERAGE 3,419 59 29 12

Source: Guatemala – Serie 2001-2006 de la Cuenta Integrada de Residuos y Emisiones, CIRE (IARNA/URL-BANGUAT, 2008) & Primer Informe de Desechos Sólidos Domiciliaries, Proyecto Cuente con Ambiente, MARN IARNA/URL, 2007 _ Nicaragua- Extrapolation from UN-HABITAT Sector Evaluation 2011 _ El Salvador – RTI International. “Segundo Censo Nacional de Desechos Sólidos Municipales”. MARN-Programa de Descontami- nación de Áreas Críticas. Diciembre 2006. _ Costa Rica- Programa CyMA, 2007. is appropriate for material and energy recovery through recycling, composting and other waste treatment technologies.

Despite this suitability for recovery, across the region municipal governments are spending millions of dollars annually on solid waste management while providing only a very basic waste collection and disposal service.

2 Paper and Cardboard, Plastics, Metals and Glass 5

Levels of waste recovery and recycling are increasing but remain relatively low and are built upon the work of a vast and informal waste sector. Despite efforts of this sector to begin to organize and formalize their activities, the majority of people working in waste recovery do so in unhygienic working conditions for limited remuneration. Most of the material recovered is exported to the United States and Asia with only a small portion being recycled in regional plastic, glass, paper and cardboard production. 6 7

BuIlDIng CAPACITY In SWM In MAnAguA, nICArAguA

The UN-HABITAT project Building Capacity in Solid Waste Management in Managua, Nicaragua was designed to ‘assist and integrate the AECID Integrated Acahualinca Neighbourhood Development Projectand to improve the efficiency of the SWM system in Managua and in the region’.

Project implementation was initiated in January 2009 and the results and products are described in detail in the following sections. The overall investment of uS$2,762,032 was designed to cover both limited investments in SWM infrastructure and equipment as well as institutional strengthening and capacity-building activities, mainly at municipal level.

The project has four project components, each with a defined implementation partner or partners. The adopted implementation strategy is interactive and consultative and has strived to bring together stakeholders working in the sector to share experiences, pool resources and develop common approaches to the SWM issues being addressed. These stakeholders participated in all of the project´s key decision-making processes, which has helped to ensure a sense of ownership and promoted the sustainable implementation of the final activities in the immediate, medium- and long-term timeframe.

The main outcomes and challenges faced in each of the components are discussed in the sections below. 8

CoMPonenT one: SuPPorT To InTegrATeD ACAhuAlInCA ProgrAMMe Provide direct support to the bi-lateral AeCID-funded Integrated Acahualinca Neighbourhood Development Programme

Since the initiation of the UN-HABITAT SWM Project in Managua, the project has maintained regular and fluid communication with representatives of the Acahualinca Project and with AECID in Nicaragua. Through this dialogue, it has been possible to identify additional activities not considered in the original work plan and this has served to address identified technical assistance and capacity building gaps and work towards the long-term sustainability of the Acahualinca project intervention.

UN-HABITAT supported the development of a Strategy and Action Plan for the design of a Carbon Development Mechanism (CDM) project at La Chureca dumpsite. This Action Plan was developed in discussion with municipal technicians in a two-day CDM workshop in which CDM project proponents from Latin America shared their experiences and worked together to identify key elements for the successful development of solid waste management CDM projects.

Photo: CDM Workshop, April 2009 © ONU-HABITAT, 2009 9

Photo: laboratory Session, ISWM Course for Municipal operators December 2010 © UNI-CIEMA/ONU-HABITAT, 2010

In the framework of the Acahualinca project, the municipal dumpsite at La Chureca has been rehabilitated and technically prepared to be operated as a sanitary landfill. This will require the introduction of new operating plans and procedures at the site. In order to prepare the municipality of Managua for the operation of the sanitary landfill, UN- HABITAT worked with the Research Centre for Environmental Studies of the National Engineering University (UNI-CIEMA) in the design and delivery of a capacity building course for municipal technicians and operators focused on the design, operation and closure of sanitary landfills.

It is envisioned that the materials generated for the course will be used to replicate this training with other local governments interested in upgrading waste treatment and disposal practices. 10

CoMPonenT TWo: SuPPorT To MunICIPAl governMenT oF MAnAguA Improve municipal efficiency in solid waste management.

In order to develop a sustainable municipal solid waste management system it is important to visualize all of the stages of SWM from generation to final disposal in an integrated manner. Service planning should also seek to take into account the views and opinions of all involved stakeholders.

Since 2008, the Municipality of Managua (ALMA) has been working to improve waste treatment and disposal in the framework of the Acahualinca Project financed by Spanish Cooperation Funds. This project is undertaking significant investments in new infrastructure that demand a change in the way solid waste is managed in Managua. UN-HABITAT included ISWM strategic planning as one of the key activities of the SWM project with the aim of ensuring that the Municipality of Managua has developed a clear vision, has

Photo: Strategic Framework Workshop, part of Municipal SWM Strategic Planning process, August 2009 © ONU-HABITAT, 2009 11

Photo: regional Workshop, Managua, 24-25 november 2010, © ONU-HABITAT 2010 identified objectives and actions for the improvement of the service in the next 10-15 years and is negotiating both internally and externally to obtain the funds necessary to implement these actions.

The methodology used for the development of the Integrated Solid Waste Management (ISWM) Strategic Plan differs from traditional planning methods in that the process is undertaken in a participatory manner using a learning-by-doing approach whereby the municipal management and technical staff prepare the plan and this process is accompanied and facilitated by external SWM and planning specialists from UN-HABITAT. This learning by doing approach has served to focus decision-maker attention on SWM as a priority for municipal service provision as well as increasing the overall capacity of technical staff to plan, operate and monitor the service. The implementation period for the ISWM strategic planning process was approximately 18 months, initiating in July 2009 and finalizing in December 2010. 12

The plan was also presented for discussion with regional stakeholders at a workshop held in Managua in November 2010. It has now been submitted to the higher management of the Municipality of Managua and UN-HABITAT is providing support to the official adoption of the document and municipal efforts to obtain funds to implement the activities of the plan.

Finally, based upon the experience of Managua, an ISWM Strategic Planning Guide has been developed and presented to the Inter- Institutional Committee for ISWM at national level, made up of the ministries and institutes responsible for the development of the sector at national level.

The aim is that this manual becomes a national planning tool to promote and replicate strategic planning processes in other municipalities. UN-HABITAT is currently developing a proposal to pilot its use in selected municipalities in Nicaragua.

In the framework of this component, UN-HABITAT is undertaking limited investments in SWM infrastructure for improved waste collection and transfer in the city. These investments include the:

• rehabilitation of existing equipment and the donation of new equipment to the municipal workshops responsible for the operation and maintenance of the waste collection fleet in Managua • introduction of new approaches to green waste collection • ongoing project to design and build a small transfer station in one districts of the city

The investments made in the municipal workshops have significantly increased the efficiency of waste collection vehicle maintenance which, in turn, ensures that the municipality is able to collect greater quantities of domestic and commercial waste. 13

Photo: new approaches to green waste collection, © UN-HABITAT, 2010

Photo: © UN-HABITAT 14

New approaches to green waste collection have also resulted in improved efficiency of the operation of the Parks and Gardens Department of the municipality and measurable occupational health benefits for municipal workers.

The project to build a small transfer station is underway and, in addition to the development of the proposed infrastructure, the project is working with stakeholders to develop appropriate management systems for the new transfer station. This includes the development of an agreed framework for public-private partnerships for primary waste collection, recovery and recycling.

Finally, the project has developed a dedicated computer tool for the design of waste collection, transfer and disposal systems called the Waste Guidance System (WAGS), whose use can be replicated in other parts of Nicaragua and the rest of the Central American region.

CoMPonenT Three: SuPPorT To WASTe reCoverY AnD reCYClIng SeCTor Improve public, private and social partnerships within the recycling sector through direct support to the informal and formal waste recycling sectors.

UN-HABITAT mapped recycling sector activities in Managua and used the results of this study and other community level surveys as the basis for the development of a strategy for increasing waste recuperation and recycling in the city. These activities have been used to promote dialogue on the development of the institutional framework for improved recycling and the formation of effective public-private recycling partnerships. 15

CoMPonenT Four: SuPPorT To regIonAl SolID WASTe MAnAgeMenT Build a Regional Programme for improved Solid Waste Management in Central American Region.

Photo: Signing of letter of Agreement with Ministries of el Salvador and guatemala, 24 november 2010 © UN-HABITAT 2010

The objective of Component Four of the project is to work with involved stakeholders to develop a regional initiative for Central America which will seek to improve capacity to plan, operate and maintain SWM systems, increase investment in the sector and promote higher levels of waste recovery and recycling at regional level.

The regional initiative will build upon the outcomes in Nicaragua and develope and scale up this and other key regional experiences in Costa Rica, El Salvador, Honduras and Guatemala. The main implementing partners for this component are the national ministries responsible for SWM in the participating countries. Sector assessments have been conducted in Costa Rica, El Salvador, Guatemala and Nicaragua, to date and are expected to be undertaken in Honduras during the first half of 2011. 16

Using these sector assessments as a basis, UN-HABITAT is working with national stakeholders to develop priorities for a National SWM Intervention Strategy for each participating country with key technical assistance and pre-investment projects identified and developed. National SWM Workshops are being held in each country to discuss and obtain support and agreement on these strategies.

The final expected outcome from project phase is the development of a Central American SWM Technical and Institutional Assistance Initiative, which will provide tools and channel investment into the sector based around common issues and problems.

The programme will include measures to establish and strengthen regional SWM networks for permanent knowledge sharing and capacity building activities at regional level. The next section provides an initial outline of the issues that have been identified to date to be included in this initiative, and a suggested structure for the channeling of support to this initiative.

Photo: national SWM Workshop to develop national Intervention Strategy in el Salvador, December 2010 © UN-HABITAT 2010 17

CenTrAl AMerICAn SWM TeChnICAl & InSTITuTIonAl ASSISTAnCe ProgrAMMe

UN-HABITAT, in coordination with the regulating bodies for SWM in Nicaragua, Guatemala, Costa Rica and El Salvador3 and with the technical assistance of the regional non-government organization ACEPESA, has undertaken a detailed analysis of the SWM issues throughout the Central American region and is in the process of developing a Central American SWM Technical and Institutional Assistance Initiative. The work programme for this initiative will be extended to include Honduras during the first half of 2011. DID THAT HAPPEN? regIonAl SolID WASTe MAnAgeMenT ISSueS Despite the considerable efforts being undertaken by Central American countries to address existing SWM issues, fundamental environmental, institutional, legal, financial and social problems still remain to be tackled. Current solid waste management systems can be characterized by:

• poorly developed and/or enforced SWM legal instruments, policies and plans • inadequate financial planning and investment, limited development and application of cost recovery mechanisms • poor coordination of public and private sector contributions to solid waste management, especially related to solid waste recovery and recycling

3 Ministry of Environment and Natural Resources in Guatemala (MARN), El Salvador (MARN) and Nicaragua (MARENA) and the Ministry of Health in Costa Rica (MINSALUD) 18

• mixing of healthcare and hazardous waste with municipal solid waste • a shortage of environmentally sound waste treatment and disposal facilities (composting plants, materials recovery facilities and sanitary landfills • limited public awareness and participation in solid waste management service planning and delivery legAl And InSTITuTIonAl FrAMeWork Responsibilities for waste management at national level are often shared between the ministry responsible for environment, the ministry responsible for health and/or other sector ministries or institutions - particularly those responsible for municipal affairs and industry. Unclear responsibilities between ministries and other institutions at national level are characterized by overlapping working relationships and differing perspectives and priorities.

Three of the four countries participating in the initiative to date (Costa Rica, El Salvador and Guatemala) have taken steps to establish inter-institutional committees tasked with the responsibility of developing national waste management policies, plans, laws and regulations. However, these committees are relatively recent developments and their continued strengthening is a priority.

In two of these four countries an Office for SWM has been established within the lead agency responsible for the sector. For example, the government of El Salvador has established the Unidad de Desechos Sólidos y Peligrosos (Unit for Solid and Hazardous Waste) within the Ministry of Environment and Natural Resources (MARN). The establishment of a similar office and inter- institutional committee is also a recommendation of the sector assessment carried out in Nicaragua. 19

STrATegIC PlAnnIng And PolICy develoPMenT The need for a strategic approach to solid waste management service planning and delivery has also been identified as a requirement by several countries in the region. Costa Rica has developed a national SWM strategic plan – Plan de Residuos Sólidos (PRESOL) – which provides a framework for the development of the sector for the period 2008 to 2023.

The German-funded CyMA programme has supported the development and application of a strategic planning guide for SWM in ten municipalities. Nineteen Costa Rican municipalities have so far developed and are in the process of implementing strategic SWM plans and at least seven more are in the process of developing the Plan. The legal requirement of having a solid waste management plan is also enshrined in the recently-passed (May 2010) solid waste management law in this country.

Other countries in the region, such as Nicaragua, have identified the need for SWM strategic planning at both national and municipal level and this will be a key element of the regional technical and institutional assistance programme in this country. The strategic planning process facilitated by UN-HABITAT in Managua forms the basis for the development, testing and institutionalization of a national strategic planning guide.

MunICIPAl FInAnCIng Traditionally the Region has relied largely on municipal financing for SWM investment, operation and maintenance costs, specifically municipal transfers from central government and locally collected tariffs and fees. Cost recovery from service users is often very limited. For example in Nicaragua cost recovery levels in many municipalities lie in the range of 20-25%. All four countries have prioritized the need to develop alternative methods of revenue collection for SWM. In Costa Rica, the CyMA programme supported 20 the development and publication of a manual for the definition of tariff models for ISWM.4

Another key source of funding for SWM infrastructure in many countries in Central America has been bilateral and multilateral donor and development bank projects. The region has countless examples of sanitary landfills, composting plants and other waste management facilities that have fallen into disrepair, were abandoned or are no longer operated as they were designed such as sanitary landfills now operating as open dumpsites due to the failure of municipal governments and associations to adequately finance the development, operation and maintenance of this infrastructure after the initial phase of donor funding had been exhausted.

It is therefore clear that programmes to support increased investment in SWM need to be undertaken within an agreed national framework for SWM development based upon the concepts of integrated solid waste management (ISWM) and the adoption of the SWM hierarchy, and increase the emphasis on long-term technical and institutional assistance to accompany the construction, initial operation and technical and financial institutionalization of the SWM infrastructure. green eConoMy: reSourCe reCovery And eFFICIenCy Donor driven programmes which have focused on environmentally secure waste disposal without measures to promote the valorization of easily biodegradable and recyclable waste have also been criticized. The upgrading of waste disposal facilities is clearly an important environmental goal. Nevertheless, all four sector assessments undertaken in the framework of Component 4 of the UN-HABITAT SWM project to date recognize and wish to

4 Manual para la Definición de un Modelo Tarifaria para la Gestión Municipal de los Residuos Sólidos, CyMA, Costa Rica, 2011 21 explore further the potential for the development of composting capacity and markets at national level.

Job CreATIon Through PublIC–PrIvATe PArTnerShIPS Private sector involvement in municipal solid waste management in Central America is relatively limited. Both El Salvador and Costa Rica have experience of private sector operation of sanitary landfills and private sector involvement in municipal waste collection is also fairly common in these countries, as well as in Guatemala. Nevertheless, there remain significant weaknesses in the ability of municipal and national governments to monitor and control the activities of their private sector partners.

All four countries involved in the UN-HABITAT initiative to date have identified the need for discussion and agreement with both the formal and informal private sector as it relates to enhanced waste recovery and recycling. It is clear that there is significant potential for the development of public private partnerships which will help regulate the activities of this sector as well as provide health, economic and environmental benefits at national and regional level. The key to the success of these actions will be to find the common ground between municipal governments and micro-, small- and medium-sized enterprises who often have very conflicting views and perspectives on the purpose and benefits of waste recovery and recycling.

CAPACITy buIldIng And AWAreneSS rAISIng Although in each country in the region there are professionals recognized for their trajectory in solid waste management, overall national and municipal capacity for implementing ISWM systems remains weak. This is particularly true in the crucial areas of financial planning and management and the promotion, development and control of private sector involvement in the sector. 22

Finally, although significant resources have been assigned to public awareness and community participation in waste management in the four countries studies to date, these activities have often failed to generate long-term behavioral changes in the target population. In many cases, general ISWM messages have not been linked to practical actions or initiatives and hence these messages have remained conceptual rather than promoting tangible actions on the part of the urban area inhabitants.

SuggeSTeD AreAS oF SuPPorT To SolID WASTe MAnAgeMenT In CenTrAl AMerICA Based upon the analysis of common SWM issues facing national and local governments in the region, UN-HABITAT has identified several areas of support which should be addressed in the SWM Technical and Institutional Assistance Initiative for Central America, namely:

• support to the establishment and strengthening of capacity within the ministry responsible for SWM as well as the mechanisms for inter-institutional coordination and donor liaison • support to the development of national and municipal SWM planning capacity and the implementation of the resulting municipal solid waste management plans including support for pre-investment project design and the development of national funding mechanisms available to municipal governments • development of public private partnerships for the development of organic and recyclable waste infrastructure and markets • development of improved financial planning and cost accounting, including the design and implementation of appropriate structures for more efficient SWM cost recovery • support to the development and implementation of national and local awareness and participation strategies with the aim of increasing public knowledge and participation in SWM. 23

Regional • Support to Regional SWM Decision-Makers Forum • Development of Regional SWM Guidance Documents • Implementation of Regional SWM Knowledge Exchange Workshops

National • Support to regulatory body and inter-institutional coordination committees • Promotion of increased donor coordination and design and implementation of national SWM investment funding mechanisms • Institutionalisation of national SWM guidance documents and tools.

Municipal • Development of municipal SWM strategic planning capacity • Development and implementation of selected investment projects from pre- investment to comissioning and operation. • Application of national guidance documents and tools

Suggested Structure for regional Technical and Institutional Assistance Initiative

The goal of the regional initiative will be to ensure that each country in the Central American region has developed a clear legal and institutional framework for SWM development with adequate mechanisms in place to support and promote SWM investment. In addition, the initiative will seek to strengthen municipal capacity to plan, implement, operate and maintain sustainable solid waste management systems.

Finally, at regional level the initiative will promote and support both SWM decision-makers forums designed to facilitate the development of regional strategies and approaches and technical SWM knowledge exchange workshops designed to share experiences and the knowledge products generated on the key topics covered by the initiative.

Although the main focus of the initiative will be on the strengthening of municipal solid waste management systems, the implementation team will also look for opportunities to work with other stakeholders in the planning and organization of knowledge sharing events focused on other priority waste topics. These activities could potentially include the development of 24 regional strategies and approaches with corresponding guidance documents to special (electronic, batteries, fluorescent lamps, tyres and construction and demolition waste) and hospital waste. lIneS oF InTervenTIon For regIonAl For The regIonAl SolID WASTe MAnAgeMenT TeChnICAl AnD InSTITuTIonAl ASSISTAnCe InITIATIve The Regional SWM Initiative is split into four main project components as shown in the draft work programme presented at the end of this document. The four components are:

• Component I: Institutional Strengthening of Regional & National SWM Institutions & Coordination Mechanisms • Component II: Development, application and institutionalization of Regional SWM Guidance Documents • Component III: Development and implementation of SWM investment projects • Component IV: Project Coordination and Dissemination

CoMPonenT 1: InSTITuTIonAl STrengThenIng or regIonAl AnD nATIonAl SolID WASTe MAnAgeMenT InSTITuTIonS AnD CoorDInATIon MeChAnISMS The main purpose of Component I of the regional initiative is to promote and strengthen mechanisms for decision-making and coordination at regional and national level. The component is split into six key activities.

Activities 1.1 and 1.2 are related to promoting regional exchanges between decision-makers (1.1) and technical personnel (1.2) in the main SWM areas covered by the programme.

The Central American Integration System (SICA in Spanish) through the Central American Commission for Environment 25 and Development (CCAD in Spanish) has been supporting the development of regulatory frameworks for solid waste management in various countries in Central America since 2005 and has developed a Regional SWM Strategy for Central America. However, this strategy has not been adopted by the Council of Ministers to date. It is clear that although municipalities across the region have prioritized SWM as one of the principal environmental challenges facing local governments, support for the development of sector is often neglected from the national and regional agendas.

Both the Regional Initiative Implementation Team and National Coordinators in each participating country will be tasked with working with CCAD and other regional organizations such as the Central American and Dominican Republic Forum for Water and Sanitation (FOCARD-APS in Spanish) to raise the profile of SWM issues and provide a platform for discussion, the development of common SWM approaches and the exchange of SWM experiences at regional level.

At least three decision-makers forums and three knowledge exchange workshops will be held at regional level during the initiatives three year implementation period.

Activities 1.3 and 1.4 are related to supporting the development of national structures for SWM regulation and inter-institutional coordination. The National Coordinator in each participating country will be tasked with providing technical assistance to the SWM office established within the relevant ministry and support to Inter-Institutional Committee. The Coordinator will be assigned an investigations budget which can be used to support research activities on prioritized SWM issues as well as national workshops or meetings.

Finally, the objective of Activities 1.5 and 1.6 are to ensure that donor or development bank funding for SWM can be channeled 26 in such a way as to support the implementation of national plans and address national priorities. In addition, increased coordination between donors should avoid duplication and/or contradictory messages promoted by different donors in different parts of the country.

Another key aim of these activities is to develop a financing mechanism to which municipal governments or municipal associations can apply to obtain funding for infrastructure development. One potential form of this mechanism is a National SWM Fund but the final mechanism selection will be determined by the Inter-Institutional Committee. The establishment of this funding mechanism will support the implementation of Component 3 of the regional SWM Initiative as described in Section 4.3.

CoMPonenT II: DeveloPMenT, APPlICATIon AnD InSTITuTIonAlISATIon oF regIonAl SolID WASTe MAnAgeMenT guIDAnCe DoCuMenTS The purpose of the second component of the regional initiative is to develop, apply and institutionalize a number of Regional SWM Guidance Documents in four key areas identified as common priorities in the sector evaluations carried out in four countries in the region to date:

• SWM Strategic Planning • Public-Private Partnerships for SWM Recovery, Composting, Recycling and Treatment • Financial Management and Cost Recovery • Public Awareness and Participation

Under Activity 2.1, four SWM Specialists will be contracted, one for each area, to develop (where no guidance has been prepared) or review and adapt existing guidance documents where national guidance documents have been developed in 27 one or more countries in the region. These guidance documents will be prepared and subsequently (Activity 2.2) presented to the regulatory body and Inter-Institutional Committees responsible for SWM in each participating country for their approval. Once they have been approved they will be applied and tested at national and local level as appropriate (Activity 2.3) using a learning by doing approach.

The tools tested in each participating country will depend on the level of development and priority given to these activities in the national intervention strategy currently being developed by stakeholders in the four countries currently participating in the design phase of the initiative. For example, in Nicaragua the development of municipal SWM strategic planning capacity and the implementation of Strategic SWM Plans is a key priority for the current government and hence it will be an obvious candidate for piloting and adapting the strategic planning guide. Costa Rica, on the other hand, already has a Strategic Planning Guide for municipalities which has been institutionalised at national level and the country will therefore not be interested in participating in this activity of Component 2. The scope of the initiative in each country will be developed in detailed individual agreements with the participating national governments.

The products of Activity 2.3 at national level will include up to four guidance documents adapted to local conditions which will be presented to the SWM regulating body and Inter- Institutional Committee for approval and institutionalisation as a national guidance document (Activity 2.4). In addition, Activity 2.3 is expected to have a number of additional products from Municipal Strategic SWM Plans that can be used to orientate the development of SWM investment projects under Component 3 of the initiative, to public-private alliances for solid waste recovery and recycling or for the development of composting markets, to the adoption of improved financial management structures in 28 selected municipalities and, finally, the design of national, regional and local public awareness campaigns which are linked to real changes in the SWM situation at municipal level. All of the pilot experiences will be documented in case studies and used as the basis for best practice sharing events.

In addition, to the four sector specialist contracted to prepare the guides, implementation teams will be developed in each country to design and oversee the testing of the guides and document the case studies. This implementation team will work under the supervision of the national institution or institutions selected to coordinate the initiative. The total implementation period for Component Two of the project is expected to be 18 months.

CoMPonenT III: DeveloPMenT AnD IMPleMenTATIon oF SolID WASTe MAnAgeMenT InveSTMenT ProjeCTS Component Three of the project is designed to strengthen national and local capacity for the development and implementation of investment projects for SWM. A pre-requisite to this component is the development of a national funding mechanism as described under Activity 1.6 and/or the availability of existing government or development bank funding for SWM projects.

The Regional SWM Initiative will support selected local governments to develop specific pre-investment studies for the development of SWM infrastructure (Activity 3.1) and/or progress pre-investment studies prepared in the development phase of the Regional SWM Initiative (Activity 3.2) so that they are applicable for nationally- available infrastructure funds.

In parallel with these activities, the UN-HABITAT national implementation teams will provide ongoing technical assistance and capacity building activities to selected municipalities to ensure that technical staff are prepared to operate and maintain the SWM 29 infrastructure and that sufficient financial provision has been made for their medium to long-term operation.

CoMPonenT Iv: ProjeCT CoorDInATIon AnD InForMATIon DISSeMInATIon The main purpose of Component IV of the regional initiative is to coordinate and disseminate the products of this initiative. The component is split into four key activities.

Under Activity 4.1, a core team will be established and based in the UN-HABITAT offices in Nicaragua to manage the initiative. This project coordination team will be responsible for:

• Development of project implementation agreements with national project partners • Selection and contracting of National Implementation Teams • Technical and financial reporting to initiative partners and funders • Organization of regional decision-maker forums and knowledge sharing workshops • Production and dissemination of project knowledge products

It is initially envisioned that the project core team will consist of a Technical Advisor, Professional Assistant and Administrative support staff. Once the core team has been set up, it will be responsible for establishing national implementation teams in each of the five participating countries (Activity 4.2.) The National Implementation Teams will initially consist of a National Coordinator who will be responsible for day-to-day liaison with national project partners and funders.

The National Coordinator will maintain fluid communication with the project coordination team in Nicaragua and as well as any UN- HABITAT representatives in each of the participating countries. 30

In terms of Activity 4.3: Coordination and Management of Initiative Activities, the National Coordinator will be responsible for developing detailed national work plans, providing SWM technical assistance to national and local stakeholders, overseeing the contracting of additional project staff as required and preparing and submitting three-monthly and annual project progress reports. Where possible, the National Coordinator will be allocated a working space within the partner organization’s headquarters to facilitate permanent channels of interaction and consultation.

Periodic regional team meetings are also planned at key points in the implementation of the initiative. The purpose of these meetings will be to compare implementation progress and plan and agree the next implementation period. It is expected that the National Coordinators and key specialists will participate in these meetings.

Under Activity 4.4, the guidance documents, tools and case studies generated by the project will be prepared for publication, published and disseminated via the project coordination team office in Nicaragua.

InITIAl FunDIng eSTIMATeS For regIonAl InITIATIve Initial funding estimates suggest that uS$ 4,121,300 is required for the three-year project implementation period for this initiative. This amount excludes investment costs of the projects developed in the framework of the project (Component 3), which is expected to be funded through national funding mechanisms or earmarked government and/or development bank funds. 31

draft Budget for Solid Waste Management technical & Institutional Assistance Initiative for central America

Component 1: Instuonal Strengthening of Regional and Naonal SWM Instuons and Coordinaon Mechanisms No Descripon Unit Unit Cost US$No. of UnitsTotal Cost US$ 1.1 Naonal Coordinators Months 3,500 180 630,000 1.2 Decision-Maker Forums Forum 20000 3 60,000 1.3 Experience Exchange WorkshopsWorkshops 30000 3 90,000 1.4 Invesgaons/Studies Studies 15000 5 75,000 SUB-TOTAL 855,000 Component 2: Development, applicaon and instuonalisaon of Regional SWM Guidance Documents No Descripon Unit Unit Cost US$No. of UnitsTotal Cost US$ 2.1Sector Specialists Months 6000 32 192000 2.2Naonal Implementaon Teams Months 3500 120 420000 2.3 Implementaon Support (workshops/ Months 12000 12 144000 transportaon/ reproducon) 2.4 Pilot Projects Project 50000 5 250000 SUB-TOTAL 1006,000 Component 3: Development and implementaon of SWM investrment projects (not including investment costs) No Descripon Unit Unit Cost US$No. of UnitsTotal Cost US$ 3.1Sector Specialists Months 6000 60 360,000 3.2Naonal Implementaon Teams Months 3500 180 630,000 3.3 Implementaon Support (workshops/ Months 30000 18 540,000 transportaon/ reproducon) SUB-TOTAL 1530,000 Component 4: Project Coordinaon and Disseminaon No Descripon Unit Unit Cost US$No. of UnitsTotal Cost US$ 4.1 Technical Advisor Months 8,000 36 288,000 4.2 Professional Assistant Months 2,000 36 72,000 4.3 Logiscs Assistant Months 1,300 36 46,800 4.4 Driver Months 500 36 18,000 4.5 Regional Team Meengs Meengs 7,500 3 22,500 4.7 Regional Travel Costs Mission 1,200 10 12,000 4.8 ROLAC Mission Mission 5,000 2 10,000 4.9 WSB Mission Mission 10,000 3 30,000 4.10 Office Rental Months 1,000 36 36,000 4.11 Operaong Costs (Nic) Months 1,250 36 45,000 4.12 Operang Costs (Naonal)Country 18,000 5 90,000 4.13 Publicaons Year 20,000 3 60,000 SUB-TOTAL 730,300 TOTAL 4121,300 32 32 33 34 35 36 26 27 28 29 30 31 20 21 22 23 24 25 h 19 Mont 15 16 17 18 10 11 12 13 14 9 1 2 3 4 5 6 7 8

s s . ed as the basis for SWM Expected Result s l ped per country and us velo Regional Guidance documents applied in at least one (1) municipality & adapted to naonal context. Case studies developed for each experience Strategic Plans developed in selected municipalies parcipang countries (Nicaragua) At least three (3) Knowledge Sharing Workshops implemented. regulatory body. Regional Guidance documents developed on strategic planning, public-private partnerships, financial management, public awareness and parcipaon Approvalof use of regional guidance material approved at naonal leve Public Private Partnerships in operaon selected municipalies SWM responsibility clearly defined in instuonal structure of Inter-Instuonal SWM Commiee officially recognised & parcipang in the development of sector policy, plans and legal instruments. Donor Coordinaon Forum established. SWM financing mechanism established. Improved cost recovery and increased SWM investment in selected municipalies Increased public involvement in SWM services selected municipalies Adapted naonal guidance document approved as instrument. At least three (3) Decision-Makers Forums implemented. On-going technical support and capacity building provided to On-going technical support and capacity building provided to municipalies implemenng SWM investment projects Annual Work Plans, Trimestral Progress Reports, Progress Report, Financial Execuon Report Project Publicaon Core Regional Team established Naonal Teams established At least one pre-investment study for SWM infrastructure At least one pre-investment study for SWM infrastructure de At least one SWM investment project implemented in each parcipang country. investment projects. l l l l l l l l l l l l l l l l Loca Loca Loca Loca Loca Loca Loca aona aona egiona Naonal Naonal Naonal Naonal Naonal Regiona Regiona R Regiona Regiona Regional Regional/ Naonal/ Loca Naonal & Loca

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m . Instuonal Strengthening of Regional & Naonal SWM Instuons Coordinaon Mechanisms Development, applicaon and instuonalisaon of SWM Guidance Documents Development and implementaon of SWM investment projects Project Coordinaon and Disseminaon SWM Strategic Planning Guide used to facilitate plan development in selected municipalies Public-Private Partnerships Guide used to develop and formalise municipal-private sector relaonships for organic/recyclable waste infrastructure/market development document to naonal SWM commiees Applicaon and tesng of guidance document in selected municipalies Development of SWM capacity within regulatory agency. Development or strengthening of Inter-Instuonal SWM Commiee Presentaon and approval of regional guidance Financial Management and Cost Recovery Guide used to ensure sustainable service delivery in selected municipalie Improved donor coordinaon for SWM financing Development and implementaon of SWM financing mechanis Public Awareness and Parcipaon Guide used in the development of local awareness and educaon actvies Instuonalisaon of guidance document at naonal level Knowledge Sharing Workshop Promoon of and support to a Central American Decision-Maker´s Forum Promoon of and support to Central American Review of exisng instruments in idenfied intervenon areas and development of regional guidance document Project Disseminao Establish Naonal Implementaon Team Coordinaon and Management of Iniave Acvies building acvies in each parcipang country. Provision of technical assistance and capacity Strengthening of naonal and local capaci Development and implementaon of SWM investment projects Establish Project Coordinaon Team investment study development 4 1 2 3 4.4 4.2 4.3 3.3 3.1 3.2 4.1 2.3 1.3 1.4 2.2 1.5 1.6 2.4 1.1 1.2 2.1 2.3.1 2.3.2 2.3.3 2.3.4 Component and Implementaon Acvies draft Work Programme for SWM technical and Institutional Assistance Initiative for SWM technical Programme draft Work Solid WaSte ManageMent Technical & Institutional Assistance Initiative for Central America

UNITED NATIONS HUMAN SETTLEMENTS PROGRAMME Water, Sanitation & Infrastructure Branch Human Settlements Financing Division P.O. Box 30030, Nairobi 00100, Kenya E-mail: [email protected] Website: http://www.unhabitat.org/