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(E4062 v2)October 2012

TDF / SWMTSC

OUTPUT-BASED AID FOR MUNICIPAL SOLID WASTE MANAGEMENT IN NEPAL

Environmental and social management framework

Contents

List of abbreviations5

1Introduction7

2Project description8

2.1Project objectives8

2.2Project design8

2.3Project components9

2.4Participating municipalities10

2.5Proposed interventions under the OBA Project10

3Environmental and Social Risks of the Proposed OBA interventions14

4Framework for Managing Environmental and Social Risks Associated with the OBA Project20

4.1Introduction20

4.2Environmental and Social Categorization of OBA Interventions20

4.3Environmental and social considerations in the planning of OBA interventions22

4.4Environmental and Social Management Plan (ESMP)23

4.5Environmental and social safeguards monitoring and auditing24

5Institutional Capacity for Environmental and Social Safeguards Management25

5.1Institutions and key stakeholders25

5.2Roles and responsibilities25

5.3Assessment of institutional capacity to plan, implement and monitor safeguard measures27

5.4National Legislation and Policies Relevant to the OBA Interventions29

6Stakeholder Consultations and Communication32

6.1Stakeholder consultations32

6.2Communication33

Annex 1: Key data for each Municipality in the Initial Pipeline and the Proposed OBA Interventions35

Annex 2:Environmental and Social Framework Procedures52

Annex 3:Screening Checklists58

Annex 4:Potential Environmental Issues and Impacts in Solid Waste Management65

Annex 5:Anticipated Environmental and Social Impacts and Mitigation Measures73

Annex 6:GoN Acts and Guidelines relevant to the OBA Project78

Annex 7:Template for an ESMP88

Annex 8:ESMP Overview and Monitoring Template91

Annex 9:Report on Stakeholder Consultations carried out to date94

4

3

OBA NEPAL - DRAFT ESMF

List of abbreviations

AP

Affected people

CBO

Community Based Organization

CDO

Chief District Officer

EHS

Environmental, Health, and Safety

EIA

Environmental Impact Assessment

EM

Ethnic Minority

EMF

Environmental Management Framework

EPA

Environmental Protection Act

ERP

Environmental Protection Regulation

ESMF

Environmental and Social Management Framework

ESMP

Environmental and Social Management Plan

FS

Feasibility Study

GoN

Government of Nepal

GPOBA

Global Partnership for Output Based Aid

IPDP

Indigenous Peoples Development Plan

IEE

Initial Environmental Examination

IFC

International Finance Corporation (World Bank Group)

IFVA

Independent Financial Verification Agent

IP

Indigenous Peoples

IPDP

Indigenous Peoples Development Plan

ITVA

Independent Technical Verification Agent

LSGA

Local Self Governance Act 1999

M&E

Monitoring and Evaluation

MoEST

Ministry of Environment, Science and Technology

MoPPW

Ministry of Physical Planning and Works

MUD

Ministry of Urban Development.

NEIA

National Environmental Impact Assessment

NGO

Non Government Organization

OBA

Output Based Aid

PIM

PPPUE

Project Implementation Manual

Public-Private Partnerships for the Urban Environment

SMF

Social Management Framework

SWM

Solid Waste Management

SWM-SIP

Solid Waste Management Service Improvement Plan

SWMTSC

Solid Waste Management Technical Support Centre

TDF

Town Development Fund

TLO

Tole Lane Organization

UGDP/ETP

Urban Governance and Development Program/Emerging Towns Project

VG

Vulnerable Group

WB

World Bank

Introduction

This Environmental and Social Management Framework (ESMF) document is prepared as an addendum to the existing Environmental Management Framework (EMF)[footnoteRef:1] prepared under the Urban Governance and Development Program / Emerging Towns Project (UGDP/ETP) in order to accommodate environmental and social risks specific to the OBA intervention on municipal waste management. Given that the waste management OBA pilot project is also open to non-UGDP/ETP municipalities, the addendum is prepared in such a way that it is a standalone document that can be applied by non-UGDP/ETP municipalities. [1: Environmental Management Framework for Urban Governance and Development Program: Emerging Towns Project. Project Coordination Office. Department of Urban Development and Building Construction. Ministry of Physical Planning and Works Babarmahal, Nepal. July, 2011]

The ESMF defines the steps, processes, and procedures for screening, assessment, monitoring and management of social and environmental issues related to the OBA project. In addition, the ESMF analyses environmental and social policies and legal regime of Nepal and safeguard policies of the World Bank as well as institutional and capacity assessment for environmental and social management. The ESMF is intended to be used as a practical tool during planning, design, implementation, and monitoring in the OBA project.

In order to identify, mitigate and manage adverse environmental and social impacts that are likely to arise from the activities of the project during implementation, ESMF is required to ensure that environmental and social issues are dealt with in a proper and efficient manner meeting all the compliance requirements of Government of Nepal (GoN) environmental regulations and policies, and the World Bank’s environmental and social safeguard policies.

The ESMF will be followed during project implementation for ensuring environmental and social integration in planning, implementation, and monitoring of project supported activities.

Project description

This Chapter present a brief summary of the OBA project with focus on environmental and social issues. A detailed project description is provided in the Operations Manual for the OBA project.

Project objectives

The development objective of the OBA project is to improve access to high quality and financially sustainable solid waste management (SWM) services in participating municipalities in Nepal.

Project design

The OBA project is designed as a framework approach whereby all the key design principles (including eligibility criteria, institutional, financial, technical, fiduciary and safeguards) are agreed during project preparation and are subsequently applied during project implementation.

Basic environmental and social related eligibility criteria for participating in the project include:

Municipalities must already have access to a landfill that is operational, and is considered environmentally acceptable within GoN’s environmental guidelines and standards;

Municipalities must already have a basic functioning SWM system in place (collection and disposal) and an existing system for collecting solid waste charges from beneficiaries; and

Municipalities must agree to prepare a SWM strategy and action plan, which must include a four year action plan to improve the quality and financial situation of SWM operations (hereinafter referred to as a Solid Waste Management Service Improvement Plan (SWM-SIP). The SWM-SIP must include an Environmental and Social Management Plan (ESMP) for all planned activities/interventions over the four year period. Activity with highly significant environmental and social risks, such as those requiring full Environmental Impact Assessment (EIA), is not-eligible for support under the OBA project.

The main central government counterparts for this pilot project are:

0. The Town Development Fund (TDF) – a government-owned, semi autonomous municipal finance institution which will act as the Grant Fiduciary Agent; and

0. The Solid Waste Management Technical Support Centre (SWMTSC) within the Ministry of Urban Development (MUD). The SWMTSC is the lead technical agency for Nepal’s SWM sector and will assist in the technical aspects of the project.

Project components

The project has three components:

0. A service delivery subsidy to support gradual improvements in cost recovery in tandem with service quality improvements over a four-year period;

0. Implementation support to municipalities during project implementation; and

0. Project management, monitoring and verification activities.

Component 1 – Service delivery subsidy

This component will finance service delivery subsidies for each Participating Municipality, over a four (4) year period, to cover the gap between the operating and maintenance costs of delivering identified SWM service improvements and the Beneficiary Revenues collected through SWM fees, provided that the said services meet verified minimum performance criteria on the technical scorecard. Subsidies will be paid to municipalities based on agreed multiples of verified beneficiary revenue collected provided that services meet pre-agreed minimum performance criteria.

Component 2 – Implementation support to municipalities

This component will finance critical technical assistance to participating municipalities to assist them in successfully implementing the project, including preparation of service improvement plans; preparation of manuals and training in landfill operations and management; improvement of billing and revenue collection systems for solid waste management services; monitoring and evaluation and performance management systems for solid waste management services; design and implementation of integrated solid waste management activities based on 3R (reduce, reuse and recycle) principles; design and implementation of information, education and communication campaigns; and design of appropriate contractual arrangements in cases where a municipality chooses to contract with the private sector, non-governmental organizations or community-based organizations.

Component 3 – Project management, monitoring, evaluation and communications

This component will finance project management costs; consulting services for monitoring and verification of outputs and performance, baseline and beneficiary assessments, studies and other M&E activities, and communication and dissemination activities

Participating municipalities

SWMTSC has facilitated a self-selection process based on the eligibility criteria, and five municipalities have come forward to form the initial pipeline. The pipeline includes two small municipalities (Tansen and Dhankuta), one medium-size municipality (Lekhnath) and two sub-metropolitan cities (Pokhara and Lalitpur). All five municipalities have provided written confirmation of interest to participate and commitment to the project’s principles. Feasibility studies have been conducted in two of the municipalities (Tansen and Dhankuta). The analysis in the rest of the municipalities is at Pre-FS level.

The OBA project requires municipalities to:

0. Prepare a SWM strategy and action plan, which must include a four year action plan to improve the quality and financial situation of SWM operations (hereinafter referred to as a Solid Waste Management Service Improvement Plan (SWM-SIP). The SWM-SIP must identify those service delivery improvements to be covered under the OBA project;

0. Establish a SWM Committee and a dedicated SWM Unit;

0. Decide on the service delivery model –i.e. municipality’s own in-house team, contracting with private sector/non-governmental organizations (NGOs)/ “Tole Lane Organizations”(TLOs), or a combination of these;

0. Implement service delivery improvements as per agreed plans;

0. Implement a designated SWM fee charged to all waste generators, and collect the revenues; and

0. Gradually increase the SWM fee charged as per agreed tariff profile during the project period.

The OBA is a framework project and is not limited to the above-mentioned five municipalities. Other eligible municipalities may have the opportunity to join the project later as per the Project Operations Manual.

Proposed interventions under the OBA Project

Consistent with the OBA principle, the project allows municipalities the flexibility to make choices regarding the service delivery model and the combination of interventions required to achieve pre-agreed results in terms of improved quality of services and financial sustainability. Thus, the exact scope of interventions to be supported in each municipality is unknown at this stage. However, based on assessments and consultations carried during preparation of the OBA project, municipalities have identified a menu of critical interventions that would be required to achieve the results.

Key data for each municipality in the initial pipeline and the proposed OBA interventions is presented in Annex 1. A summary is provided in Table 2.1 below.

The types of interventions identified include (i) purchase of additional equipment, including waste collection vehicles such as tractors, trailers and compactors; waste collection bins, and home compositing bins etc; (ii) improvement of information and recording systems for solid waste operations; (iii) improvement of billing, revenue collection systems; (iv) improvement of waste collection and landfill management practices; (v) capacity building of municipality staff involved solid waste management; (vi) improvement of existing transfer stations and compositing facilities; and (vii) procurement of private operators/NGOs for primary waste collection (where a municipality chooses so) in selected wards under a clear contractual framework in which the performance incentives of the project are transferred to the private operator.

The project interventions do not involve construction of landfills or other waste facilities that require acquisition of private land or resettlements.

Table 2.1 - OBA interventions and investments in Initial Pipeline municipalities

Municipality

OBA intervention

Minimum investment needs

Dhankuta

Proposed service improvements under OBA intervention:

Actual delivery of the present formal service level in the existing urban and peri-urban service areas

Increase in service area to cover some of the presently un-serviced urban and peri-urban areas off the black top roads and possibly larger rural settlements close to the existing urban areas in Dhankuta and Hile

Provision of a higher service level through:

Kerbside collection along streets where the collection truck drives

Offer home composting bins to households with own land (pilot)

Three bin household separation in organic, inorganic and hazardous (pilot) and training households in waste separation

Litter bins in market area

Procurement of:

1 new tractor and trailer

3,000 waste collection bins with lid

100 bins for home composting pilot

300 bins for three bin households collection pilot

100 litter bins in market area

Capacity building at municipality and TLOs

Tansen


Extending services into the non-serviced areas in wards 3, 9, 10, 11, 14 where households have stated interested and willingness to pay

Piloting TLOs as customers in these areas to facilitate customer responsive service and high tariff collection ratio

Increase coverage of the existing well- functioning blue bin system through purchase of 2-3,000 new bins

Extend home composting pilot to reduce waste to landfill, but support with both training upon inception and monitoring during implementation

Procurement of:

2,000 bins for kerbside collection

200 bins for extension of the home composting pilot


Lalitpur Sub-Metropolitan City


Clear contractual framework for private operators combined with professional monitoring function in the municipality

Higher level of door to door collection by private operators combined with waste minimization (waste segregation, composting and recycling) as well as awareness and training

Gradual shift in municipal focus to ensuring efficient and environmentally acceptable transfer and disposal and monitoring of collection service providers

Procurement of:

2-4 smaller waste collection vehicles per year to gradually replace tricycles and rickshaws

Waste segregation bins and home composting bins for households

Improvements to existing transfer station(s) and bulk transport to landfill.

Private operators/NGOs for primary waste collection in selected wards under a clear contractual framework in which the performance incentives of the OBA project are transferred to the private operator.

Pokhara Sub-Metropolitan City


Build on experience from PPPUE and existing contracts for PSP when extending service area to 4,650 new households in To Pame Sarankot VDC, Nemta VDC, Lamachow VDC and Kanseri Arba VDC and increasing service level from weekly/biweekly service in Wards 13, 14, 16 and 18.

Establish composting and separate collection for 12 MT/day vegetable market waste as PSP on public land

Extend existing pilot on home composting by distribution of 500 bins per year

Pilot on source segregation supported by awareness building

Purchase around 8 new vehicles

Procurement of:

8 new waste collection vehicles (compactors) gradually (e.g. 2 per year for 4 years) to supplement existing vehicles (which the municipality is also gradually replacing)

Waste segregation bins and home composting bins for households

Composting facility for market waste(on public land) under private sector management

Private operators/NGOs for primary waste collection in selected wards under a clear contractual framework in which the performance incentives of the OBA project are transferred to the private operator.

Lekhnath


Developing a Solid Waste Management Plan

Contracting and monitoring a private operator

Waste collection services to 5,000 households, hotels and restaurants in first year and gradually growing thereafter

Work with TLOs on household level source segregation and home composting

Segregation and sale of recyclables prior to landfill of residuals

Necessary procurement to deliver this service improvement:

Home composting bins

Bins for household separation

TA on managing Private Sector Participation in waste management

The service level and key environmental and social issues for waste collection, street sweeping and disposal is described for each municipality in Annex 1. The following overall environmental concerns and challengers for participation in the OBA project have been identified:

Tansen municipality: A new landfill has not yet been taken into operation. The proposed improvements in service provision under the OBA intervention require the new landfill becoming operational, which in turn will require an upgrade of the remaining 3 km of the access road;

Lalitpur Sub-Metropolitan City: The existing landfill has only limited remaining capacity and the long term landfill situation is unclear. Clarification of the landfill situation should be a precondition to the OBA intervention; and

Lekhnath municipality: Although no waste collection or disposal services have been in operation in the municipality before, the municipality will initiate waste collection services from the new budget year 2012/13. The municipality plans to develop a landfill and a recycling center at the preferred site and has in cooperation with SWMTSC and local bodies identified and prioritized three landfill sites. The municipality has forwarded request for Initial Environmental Examination (IEE) through the SWMTSC. The SWMTSC is ready to commence the IEE procedure for the landfill site and other facilities. However, it is likely that the new landfill will not be operational for 3-5 years. Identification of an environmentally acceptable short term solution to disposal of residual waste prior to a possible Lekhnath landfill being operational should be a precondition to the OBA intervention. The solution may involve negotiating access to Pokhara’s landfill located less than 10 km away and paying a tipping fee. As part of this negotiation, the two municipalities may consider a capacity swap arrangement in which Lekhnath is allowed to deposit residual waste at Pokhara landfill until the Lekhnath landfill becomes operational and Pokhara subsequently allowed access to Lekhnath landfill for a similar amount of waste.

Environmental and Social Risks of the Proposed OBA interventions

The OBA project is aimed at improving the overall SWM in participating municipalities and will contribute positively to each town's cleanliness and sanitation and will as such have positive environmental and social impacts.

Service improvements envisaged will typically include increased frequency of waste collection, expanding the service area to cover yet un-served areas, introduction of waste segregation and waste reduction initiatives including composting, provision of transport vehicles and other equipment, and improving landfill site management as well as improvement in collection and transportation practices.

Table 2.2 outlines the potential environmental and social risks related to the OBA intervention in the pipeline municipalities and potential standard mitigation measures have been identified. A brief description of the informal recycling system in Lalitpur including proposals for mechanisms to improve the livelihoods of informal waste collectors is provided in Annex 1.

Besides the environmental and social risks directly related to OBA supported activities (such as identified in Table 2.2), environmental and social issues related to the ‘linked[footnoteRef:2]’ activities should also be screened and assessed as described in Chapter 4. The ‘linked’ activities should be subjected to the same environmental and social standard as that of the OBA supported activity. [2: ‘Linked’ activity is an activity on which feasibility or success or meeting the objective of the OBA supported activity is dependent. ]

Table 2.2 - Potential environmental and social risks related to the OBA interventions in Initial Pipeline municipalities

Municipality

OBA intervention

Potential risks

Potential mitigation measures

Dhankuta

Increase of the collection service area

Pest problems, bad odor and waste littering from storage of waste prior to collection.

Spillage from collection trucks during collection and transportation causing littering of waste in the streets and in the nature.

Provide sufficient number of proper bins/containers for storage of waste prior to collection and establish frequently and timely collection of the waste according to planned schedule.

Inform households and other users about the waste collection system and the collection scheme. Encourage households and other users to put waste out at designated times and locations

Avoid overfilling of open waste trucks during collection and cover the waste during transportation to the disposal facility to avoid windblown litter.

Health impacts on workers

Provide workers with and require use of appropriate protective clothing, gloves and slip-resistant shoes, see requirements in Section 1.2 in the IFC EHS Guidelines for Waste Management Facilities[footnoteRef:3]. Train the workers in correct lifting technique for loading of the collection truck with waste [3: A brief description of the IFC EHS guidelines is provided in Annex 8]

Provide prompt medical attention for cuts and bruises

Increased waste amounts to the landfill with risk of increased adverse environmental and social impacts from landfill operation

Introduce source separation, material recycling and composting of the organic fraction. This will reduce the waste amounts to the landfill and will furthermore reduce the generation of landfill gas and highly contaminated leachate at the landfill site.

Introduce home composting

Vermin problems and bad odor during the composting process due to incorrect operation

Spreading of plastic, glass and other unwanted materials in gardens etc. by use of compost (caused by incorrect sorting of waste prior to composting)

Information and training of households in correct separation, operation and use of compost before start up of the home composting and monitoring and support during the operation. Monitoring of the system

Three bin household separation in organic, inorganic and hazardous waste

Incorrect handling, separation and storing of the waste in the households resulting in incorrect treatment/disposal of the separated waste fractions

Provide proper bins for storage of the separated fractions and information and training of households in correct waste separation. Monitoring of and follow-up on correct use of the system

Tansen

Extending collection services into non-serviced areas

As described above for Dhankuta


Extending home composting pilot



Lalitpur Sub-Metropolitan City

Higher level of door to door collection by private operators combined with waste minimization (waste segregation, composting and recycling)

Loose of jobs for existing municipal waste collectors by introduction of private operators in an area

Request the private operators contractually to employ the municipal staff when private operation is introduced in an area previously serviced by the municipality

Loose of livelihood for waste pickers when waste segregation at source is gradually increased

Request the private operators to employ waste pickers[footnoteRef:4] as part of the collection system; or [4: It was during interviews with the different stakeholders in the municipality revealed that not all waste pickers want to have a permanent appointment. They prefer to have the freedom to do waste picking themselves.]

Establish separate collection of the recyclable fraction by use of waste pickers. This might be combined with the establishment of a buy-back centre[footnoteRef:5] in the area. The buy-back centre may provide the waste pickers with proper collection equipment, personal protection clothing, gloves and shoes as well as cleaning and washing facilities, health and safety training and frequently health checks. [5: A buy-back centre is a facility where individuals, waste pickers, street hawkers, small vendors etc. can deliver recyclable materials and get a payment in cash for the materials at the delivery.]

Incorrect handling, separation and storing of the waste in the households resulting in incorrect treatment/disposal of the separated waste fractions


Vermin problems and bad odor during storage of organic materials and during the composting process due to incorrect operation

Spreading of plastic, glass and other unwanted materials in the environment by use of compost (caused by incorrect sorting of waste prior to composting)


Gradual shift in municipal focus to ensuring efficient and environmentally acceptable transfer and disposal and monitoring of collection service providers (new improved transfer station(s) and bulk transport to landfill).[footnoteRef:6] [6: Existing stations are not properly located from an environmental point of view (close to surface water bodies)]

Existing environmental and social unacceptable operation of the transfer stations (or rather informal sorting stations) continues in several years (littering, odor, sorting by waste pickers without any protective measures, unknown disposal of waste residuals, run-off of leachate to surface water)

Request the municipality to prepare a plan including a time schedule for improvement and establishment of the sorting/transfer facilities.

Immediate improvement of existing sorting and transfer stations

Provide workers with and require use of appropriate protective clothing, gloves, dust masks/respirators and slip-resistant shoes, see requirements in Section 1.2 in the IFC EHS Guidelines for Waste Management Facilities

Provide prompt medical attention for cuts and bruise

Improve the markets and health conditions for the waste pickers by e.g. establishment of a buy-back centre with known and agreed prices at /close to the transfer stations. Provide the waste pickers with proper collection equipment, personal protection clothing, gloves and shoes as well as a rest room and cleaning and washing facilities, health and safety training and frequently health checks.

Establish daily collection of residuals and ensure that the residuals are transported to disposal at the landfill

Close down of existing not properly located sorting / transfer stations and establish proper location, design and operation of new transfer stations meeting national environmental guidelines[footnoteRef:7]. [7: Ref to NEIA Guidelines for SWM Project in the municipalities in Nepal, SWMRMC]

Pokhara Sub-Metropolitan City

Extending collection service area - collection by private operators


As described above for Dhankuta. Include proper environmental and social including health and safety requirements in accordance with WG guidelines in contracts with private operators and monitor the compliance during the operation

Establish composting and separate collection for 12 MT/day vegetable market waste as PSP on public land[footnoteRef:8] [8: No resettlement problems or loss of land is foreseen at the actual location of the composting facility. IEE not required]

Vermin problems and bad odor during storage of organic materials and during the composting process due to incorrect operation

Spreading of plastic, glass and other unwanted materials in the environment by use of compost (caused by incorrect sorting of waste prior to composting)

Include proper environmental and social including health and safety requirements in contracts with private operators and monitor the compliance during the operation

Frequently collection and information and training of market stand holders in correct separation and storage of the organic waste. Training of staff at the composting facility in correct operation.

Possible sieving of the compost at the composting facility to remove plastics and glass from the compost.

Pollution of groundwater by leachate from the composting facility

Cover the composting facility to protect against rain or establish a lined bottom, drain layer and leachate collection system at the composting facility and use the collected leachate in the composting process

Health impacts on workers at the composting facility

Provide workers with and require use of appropriate protective clothing, gloves, dust masks/respirators and slip-resistant shoes, see requirements in Section 1.2 in the IFC EHS Guidelines for Waste Management Facilities

Provide prompt medical attention for cuts and bruises

Extend existing pilot on home composting



Pilot on source segregation



Lekhnath

Introduce waste collection services by private operators


As described above for Pokhara

Introduce household level source segregation and home composting



Segregation and sale of recyclables prior to landfilling of residuals

Dumping of residuals as the municipality currently does not have a landfill

Identification of an environmentally acceptable short term solution to disposal of residual waste until the sanitary landfill is established

Negotiate access to Pokhara landfill and pay a tipping fee

The above environmental and social concerns are related to the operational interventions that will be implemented under Component 1 of the project, and as outlined in Chapter 2. As mention earlier, participating municipalities will make choices regarding what combination of interventions (‘inputs’) are required to achieving the minimum performance requirements agreed in the technical scorecard. As such the exact nature and scope of interventions is unknown at this stage.

Consequently, GoN (through the implementing partners – TDF and SWMTSC) and World Bank have agreed to an Environmental and Social Management Framework (ESMF) to be applied during project implementation to mitigate negative environmental and social impacts, and to enhance positive impacts in line with GoN and World Bank requirements. The assessment made during preparation of the ESMF indicates that most of the anticipated interventions have limited negative environmental impacts. In fact, all the interventions are expected to contribute to an improved urban environment in each municipality. The next chapter outlines the main elements of the agreed framework for managing environmental and social risks under the OBA project.

Framework for Managing Environmental and Social Risks Associated with the OBA ProjectIntroduction

This chapter briefly outlines the process and steps which each participating municipality will follow in managing the potential environmental and social risks identified in the previous chapter.

Environmental and social assessments must be carried out by municipalities for each activity/intervention proposed in the SWM-SIP. For all interventions proposed, municipalities will assess the potential adverse environmental and social risks and impacts; develop mitigation measures, as well as environmental and social management plans. The objective is to ensure that all solid waste management activities/interventions proposed in the SWM-SIP are environmentally and socially sound, and are implemented in a manner that does not adversely affect the environment or the social wellbeing of the residents of the municipality or the surrounding areas in the short and long term. Below is an outline of the process and steps. A detailed step-by-step description is provided in Annex 2 and guidance on the type and nature of risks/impacts to be expected in standard SWM operations is provided in Annexes 4-5

Environmental and Social Categorization of OBA Interventions

To ascertain the impacts, the extent and type of environmental and social assessment required, a screening must be conducted by each municipality for each activity/intervention proposed under the SWM-SIP. A detailed screening checklist is provided in Annex 3. Based on the outcome from the responses in checklist, each activity will be classified into categories depending on legal requirements and the nature and magnitude of its potential environmental and social impacts.

The OBA project will be based on the UGDP: NETP categorization system as outlined below

For environmental impacts, the following categorization will be used:

Category I: Negative listing of activities/interventions (these are ineligible for funding). Activities in the category of ‘negative listing’ will be rejected at screening. Criteria for ‘negative listing’ related or linked to the OBA project are as follows:

Activities or interventions not included in the SWM-SIP of the municipality.

Activities requiring EIA

Activities using or depending for its resources from national parks and protected areas or any critical aquatic and terrestrial habitat area.

Activities that are located in defined/ known high risk zone such as landslide prone area, steep slopes, highly degraded land in hills, riverine area susceptible to annually flooding, and in areas causing large-scale soil erosion.

Any activity that involves significant land clearance and excavation on slopes greater than 45 degree.

Activities affecting a nationally or internationally renowned heritage site

Activities involving major environmental harm.

Activities that produce hazardous wastes

Category II: Activities or interventions requiring IEE based on Nepalese regulations.

Category III: Activities or interventions that do not require IEE according to Nepalese regulations but their implementation and operation still have some adverse environmental impacts.

Category IV: Activities to be recommended for approval without any environmental assessment.

For social impacts, the following categorization will be used:

With respect to Resettlement Planning Requirements[footnoteRef:9]: [9: OBA interventions do not involve construction of landfills or other waste facilities that require acquisition of private land or resettlements. Hence all activities ware expected to fall into category C with respect to resettlement planning requirements. Category A and B activities will not be eligible under the OBA project.]

Category A: Significant impact, a full Resettlement Plan is required

Category B: Non significant impact, a short Resettlement Plan is required

Category C: No negative impacts, no resettlement report is required

With respect to Indigenous Peoples Development Plan:

Category A: An Indigenous Peoples Development Plan (IPDP) is required

Category B: An activity-specific action favourable to indigenous peoples is required and addressed through specific provision in related plans such as a Resettlement Plan, or a general Social Action Plan

Category C: No IPDP or specific action required

It should be noted that OBA interventions do not involve construction of landfills or other waste facilities that require acquisition of private land or resettlements. Existing landfill sites have been subjected to environmental screening and limited Environmental Assessment called Initial Environmental Examination (IEE) under Nepal environmental legislation.

Environmental and social considerations in the planning of OBA interventions

National policies on infrastructure development in Nepal give ample emphasis on application of environmental and social considerations in all projects developed in the country. Thus, such considerations will be applied to the OBA project, and specifically to all interventions participating municipalities will propose in their respective SWM-SIPs.

The following environmental considerations and steps will be considered in the planning and preparation phase of SWM-SIP activities:

Step 1: Collection and assessment of preliminary information about environmental and social issues of proposed activities/interventions

Step 2: Environmental and social screening and categorization

Step 3: Preparation of an Environmental and Social Management Plan

The checklist and categorization will be prepared by the head of the SWM unit/department of the municipality, approved by the Executive Officer in the municipality and endorsed by the TDF's Environmental and Social Safeguard Specialists.

Environment and social issues, if any arising in the planning stages and/or likely during implementation of a particular activity/intervention, shall be flagged and addressed immediately and appropriately. Based upon the categorisation, additional steps should be taken up as appropriate/if necessary shall be taken up before approval and commencement of implementation.

Environmental and Social Management Plan (ESMP)Objectives of the ESMP

The OBA project requires participating municipalities to prepare specific ESMP and include the plan as an Annex to the SWM-SIP. The ESMP shall deal with all on-going and planned new activities and improvements in the planning period of the SWM-SIP.

The basic objectives of the EMSP are to:

To ensure that all mitigation measures and monitoring requirements will actually be carried out during SWM-SIP implementation

Recommend a plan of action and a means of testing the plan to meet existing and projected environmental and social problems;

Establish the roles and responsibilities of all parties involved in environmental and social management aspects of the SWM-SIP;

Describe mitigation measures that shall be implemented to avoid or mitigate adverse environmental and social impacts and maximizing the positive ones;

Ensure implementation of recommended actions aimed at environmental and social management and its enhancement; and

Ensure that the environment and its surrounding areas are protected and developed to meet the needs of the local people, other stakeholders and safeguard the interests of the common people)

What should be included in the ESMP

The ESMP addresses the main environmental and social issues arising due to implementation of the SWM-SIP and suggests a strategy and action-plan to mitigate the adverse impacts and enhance the beneficial impacts. It consists of a set of mitigation, monitoring, and institutional measures to be taken during implementation of the SWM-SIP to eliminate adverse environmental and social impacts, offset them, or reduce them to acceptable levels. The plan also includes the actions needed to implement these measures.

The ESMP must include the following action points:

Actions required contain/remediate past environmental damage and assessment of costs and/or further investigations.

Actions required to achieve compliance with national and World Bank environmental, health, safety and labour regulations and standards (occupational safety and health)

Actions that might be required to mitigate any adverse socio-economic impacts

The ESMP should also include:

Cost for implementation of each of the proposed mitigation measures/actions, as well as implementation responsibility delineation.

Monitoring schedule for all mitigation measures/actions, including monitoring responsibility delineation.

Cost estimate for ESMP monitoring,

The ESMP will be followed throughout SWM-SIP implementation. A template for an ESMP is enclosed in Annex 7.

In addition, in order to provide a total presentation and overview of all main environmental and social impacts and mitigation measures for all activities in the SWM-SIP, an overview table will be prepared. The table shall include an implementation schedule, cost of implementation the mitigation measures and monitoring the measures (budget/resources), delineation of responsibility for implementation of measures and means of verification. A template for an overview monitoring table is presented in Annex 8.

Approval of the ESMP

Approval of the ESMP will take place at the same time as SWM-SIP approval. In other words, SWM-SIP approval is subject to clearance of the necessary environmental and social screening and assessments. The SWM-SIP (with the ESMP as an Annex) will be signed by the Executive Officer (EO) and submitted to SWMTSC for their review and no-objection, and then endorsed by TDF on the recommendation of SWMTSC.

Environmental and social safeguards monitoring and auditing

While responsibility for environmental and social safeguards planning and management will lie with the participating municipalities, the process and outcomes will be monitored by TDF with the support of SWMTSC. The monitoring will focus on key issues agreed with the municipalities, TDF and the SWMTSC, as part of the ESMP.

Monitoring will be done on a quarterly basis and a status report on compliance/non- compliance with the mitigation measures should be submitted. The monitoring should include all relevant key activities in the ESMP and identify specific areas to be additionally investigated or reflected as action points in ESMP. Comments and recommendations, e.g. additional studies/information /actions required to meet the requirement should presented. A template for a monitoring status report is presented in Annex 8.

An annual environmental and social safeguards monitoring report shall be prepared by an independent expert at each activity level and submitted to the TDF with a copy to SWMTSC for the their review and necessary course of corrective measures to be taken wherever necessary. TDF shall forward this report to the World Bank as part of the Annual progress report within three months upon completion of the Nepal’s fiscal year.

Institutional Capacity for Environmental and Social Safeguards ManagementInstitutions and key stakeholders

The key implementation institutions and stakeholders under the OBA project include:

Town Development Fund (TDF)

Solid Waste Management Technical Support Center (SWMTSC)

Participating Municipalities

Independent Technical Verification Agent (ITVA) – to be competitively procured under the project

Independent Financial Verification Agent (IFVA) – to be competitively procured under the project

Tole Lane Organizations (TLOs)

Private Sector / NGOs

Households and Businesses (Beneficiaries)

Other stakeholders are Ministry of Finance (as grant recipient), Ministry of Industry (in relation to non-hazardous industrial waste), Ministry of Health and Population (in relation to non-hazardous hospital waste), the Ministry of Urban Development (under whose budget/supervision SWMTSC is placed, although it as per SWM Act 2011 under the Ministry of Federal Affairs and Local Development) and District Development Committees (e.g. for any villages adjacent to a participating municipality that included under the project of the participating municipality or coordination between adjacent participating municipalities).

Roles and responsibilities

Overall roles and responsibilities with focus on environmental and social impacts and management are briefly presented in Table 4.1 below. A detailed description of the roles and responsibilities of all parties as well as reporting obligations in relation to the entire project is provided Project Operations Manual.

Table 4.1 - Overall roles and responsibilities in relation to the OBA in SWM with focus on environmental and social impact and management

Stakeholder

Roles and Responsibilities

1

TDF

Responsible for all environmental and social safeguards monitoring under the project

Review in general of environmental and social documents (with technical support from SWMTSC)

Endorse SWM-SIP with the ESMP enclosed

Monitor and ensure that Participating municipalities are in compliance with the ESMF for the OBA project

Prepare and submit periodic reports to environmental and social safeguard issues

2

SWMTSC

Provide technical support to TDF and participating municipalities on environmental and social safeguard issues

Provide technical support in environmental and safeguards monitoring

Coordinate overall day to day implementation of the OBA Project

Provide technical support to municipalities in developing SWM-SIPs and ESMPs

Provide technical support to TDF in monitoring and ensuring compliance with the ESMF

Contracting technical assistance providers to assist municipalities with implementation (e. g. on environmental and social issues)

Review SWM-SIPs and provide a no-objection

Monitoring and quality assurance of the implementation of the SWM-SIP

Prepare and submit progress reports to TDF

3

Participating Municipalities

Responsible for environmental and social safeguards planning and management

With the support of SWMTSC develop a SWM-SIP (with the ESMP attached)

Establish SWM Committee and dedicated SWM Unit

Implement service improvements under the OBA project as per agreed priorities in SWM-SIP

Ensure SWM-SIP activities/interventions are implemented following the ESMF

Prepare and submit progress reports to SWMTSC, who will then consolidate and send to TDF

4

ITVA

Confirm/collect environmental and social baseline data

On-site inspection and verification of a sample of the primary data collected by the participating municipalities

Visual on-site inspection of all waste collection, transport and disposal procedures supported by interviews with SWM staff as well as representative TLO managements

Issue of the technical verification reports to the SWMTSC Manager immediately following the verification

5

IFVA

No role for the IFVA on environmental and social issues

7

TLOs

Liaise with municipalities on service improvement priorities and quality of actual service delivery

8

Private Sector / NGOs

Enter agreements with Participating Municipalities on service provision if envisioned in municipal service delivery model

9

Beneficiaries

Participate in waste separation and home composting activities in accordance with guidance and equipment provided by Participating Municipalities

Dispose waste at designated disposal points

Provide feedback on quality of actual service delivery through TLO

Assessment of institutional capacity to plan, implement and monitor safeguard measuresCapacity at the municipality level

An assessment of environmental and social safeguard management capacities in a sample of municipalities has revealed that municipalities have limited organizational capacity in terms of staffing levels and qualifications. The day to day delivery of SWM services rests with the Environment & Sanitation Section which consists of sweepers, drivers and a supervisor (“In-charge”). Other sections / staff relevant to SWM include Rural Urban Partnership and Social Welfare Sections responsible for providing oversight/ capacity building of TLOs/ CBOs. Managerial / administrative oversight to the above sections and the municipality as a whole is provided by the Executive Officer. In the absence of elected representatives (Municipal Council, Mayor, Deputy Mayor), it is understood that several subject specific committees with representation from political parties and other stakeholders have been formed.

There are two key institutional issues vis-à-vis the OBA project:

Lack of single point responsibility/ accountability for environmental and social issues related to the OBA: While environmental and social concerns in the context of the OBA project could arguably be under the purview of the Environment & Sanitation and Social Welfare sections, in practice, these sections have minimal staff without the necessary qualifications. Further aspects such as aspects such as occupational health and safety of waste-pickers and developing the capacity of recyclers are not considered to be a priority;

Limited organisational capacity in terms of staffing levels and qualifications, as well as physical recording and reporting systems for SWM.

A critical review of the SWM strategic plans prepared by two of the participating municipalities (Tansen and Dhankuta) shows that the municipalities largely acknowledge the above institutional issues, and have set out strategic objectives and corresponding activities at a very broad level to address them. These municipalities (and others intending to participate in the project) will be required to include in their SWM-SIPs certain actions to strengthen management capacity for the OBA Project including environmental and social safeguards management.

To support project implementation, the Participating Municipalities shall:

Form a relevant subject committee of the municipal council (the SWM Committee) and include in its job description (ToR) the obligations of the municipality under the OBA project

Establish a Dedicated SWM Unit and give it a job description (ToR) which encompasses the environmental and social safeguards obligations under the OBA project.

Each participating municipality will have Environmental and Social Officer,

Other key institutional strengthening activities agreed, and which form part of the performance/technical scorecard for each participating municipality are outline in Table 4.2 below.

It should be noted that 3 out of the 5 municipalities in the initial pipeline are also participants in the on-going UGDP/ETP project, and as such will be benefit from additional safeguards training and expertise provided under the project.

Table 4.2 - Enhancement of operational and management capacity through institutional strengthening

Key activities

Description

Timing

1(a) Establish SWM Committee

This should be done on a priority basis; the SWM Committee would also need to approve and monitor the OBA initiative including the ESMP as well as the Strategic Plan and Action Plan as a whole.

The TOR should take into account the provisions of the SWM Act, 2011

Year 1

1.Establish dedicated section/unit for SWM

Should also address issues such as single point accountability and job descriptions with indicators of performance for key staff.

Review should also cover (a) Environment & Sanitation sections and (b) Rural Urban Partnership and Social Welfare Sections to address capacity requirements for ESMP and in the case of the latter for providing oversight/ capacity building of TLOs and (c) finance staff to the extent of meeting requirements for accounting/ costing of SWM related activities. In practice, it is best to carry out an organisational review of the municipality as a whole, while implementation of the SW related aspects should be fast tracked.

Year 1

2. Utilise effectively a technical support team for assisting municipality in coordination, planning, execution, M&E of IWSM and mobilise experts as and when required

Work closely with the SWMTSC on:

(1)Preparation of public private partnership guidelines ( covering potential roles of TLOs in SWM, including collection of service fee) and approval from SWM Committee

(2) Review / establish SW related recording and reporting systems; reports on progress against service delivery / operational efficiency KPIs prepared

(3)Review / establish financial (billing, collections, accounting and costing) systems; reports against financial / cost recovery / efficiency KPIs prepared

(4) Preparation of the ESMP (while implementation capacity would be built in house within the municipality).

(5) Planning waste minimization activities

(6) Ensuring proper operation of the waste disposal facilities

Year 1-4

Capacity at the central level

At the central level, TDF shall be responsible for the overall monitoring of safeguards management. TDF is already implementing the socio-economic infrastructure component of the UGDP/ETP project, and monitoring the associated social and environmental safeguards issues.

TDF will be supported by SWMTSC in its capacity as the lead technical agency on solid waste management in Nepal. SWMTSC will also provide training and technical support to the municipalities. The SWMTSC has Environmental and Social Specialists to support/strengthen municipalities’ capacity for safeguards management. SWMTSC will augment its expertise by recruiting additional environmental, solid waste and social experts as consultants or technical support providers under the project.

In addition, the technical support component of the project (component 2) will support capacity building measures for enhancing implementation capacity for environmental safeguards management, both at the center and municipality level. In addition, UGDP/ETP municipalities will benefit from safeguards training and implementation support provided under the project.

National Legislation and Policies Relevant to the OBA Interventions

In terms of enabling legislation, the Solid Waste Management Act 2011, Environmental Protection Act (EPA) 1997 and Environmental Protection Regulation (EPR) 1997, provide a basic framework for addressing the environmental issues under the project. Other national guidelines relevant to the OBA project include:

SWMRMC - Initial Environmental Examination (IEE).Format for Solid Waste Management Facilities in the municipalities of Nepal;

SWMRMC - National Environmental Impact Assessment (NEIA). Guidelines for Solid Waste Management Project in the municipalities of Nepal; and

Solid Waste Management Technical Guidelines for Municipalities of Nepal

The above Acts and guidelines provide an enabling legal framework and technical guidance for addressing the environmental and social issues and management practices. A brief description of the relevant specific OBA project related Nepalese acts and guidelines is given in Annex 6. A brief summary is provided in the following sections

The Solid Waste Management Act 2011

Solid waste management including other environmental responsibilities falls under the jurisdiction of the municipal government in Nepal legally and functionally. According to the Solid Waste Management Act, 2011, municipal governments are responsible for constructing and operating the infrastructure required for the collection, final disposal and processing of solid waste (including transfer station, landfill site, processing plant, compost plant, bio-gas plant) either directly or through outsourcing/partnerships with the private sector[footnoteRef:10]. [10: However, the responsibility for managing hazardous / medical / chemical waste to prescribed standards rests with the waste producer; the municipality can provide services for final disposal after processing on payment of a fee.]

Managerial / administrative oversight to the above sections and the municipality as a whole is provided by the Executive Officer. In the absence of elected representatives (Municipal Council, Mayor, Deputy Mayor), it is understood that several subject specific committees with representation from political parties and other stakeholders have been formed.

Environmental Protection Act, 1996 and Environmental Protection Regulation, 1997 (EPA and EPR)

In the process of internalizing the environmental assessment system in development proposals, government of Nepal enacted the EPA 1996 and EPR 1997 which make the integration of IEE and EIA legally binding to prescribed projects. EPR was amended in 1999. The EPR adopts the environmental assessment criteria mentioned in the National EIA Guidelines. However, the EPR establishes the administrative framework for assessing, exhibition and determination of the EIA, in terms of issues needing to be addressed and the format of EIA document. Social aspects are included in the EPA and EPR

SWMRMC - Initial Environmental Examination (IEE).Format for Solid Waste Management Facilities in the municipalities of Nepal

The IEE is a planning tool for integrating environmental consideration and public involvement into development project for solid waste management. The main objective of developing IEE Format for solid waste management facilities such as sanitary landfills site, transfer stations and compost plants has been to build the capacity of municipalities in conducting the IEE efficiently.

SWMRMC - National Environmental Impact Assessment (NEIA). Guidelines for Solid Waste Management Project in the municipalities of Nepal

The overall objective of the EIA Guidelines for SWM projects is to improve urban environment through proper management of solid waste in a sustainable manner.

The guidelines address SWM issues in all stages of activities from strategic environmental assessment of SWM related policy, plan and programs to post evaluation and revision of environmental management guidelines

Solid Waste Management Technical Guidelines for Municipalities of Nepal

The guidelines have been prepared by the SWMTSC with the support of UN-HABITAT. The aim of the guidelines is to assist municipal solid waste managers as well as policy makers in establishing efficient and effective solid waste management systems in Nepalese municipalities.

Stakeholder Consultations and CommunicationStakeholder consultations

The key stakeholders in the OBA project include waste producers (households, hotels/restaurants, shops/retail, industry, hospitals, etc); Municipality; Tole Lane Organizations (TLOs), NGOs; government agencies (SWMTSC; TDF); waste pickers and private sector companies involved in waste collection. Stakeholder assessments were carried out during project preparation, and an overall strategy for stakeholder engagement has been outlined in the project operations manual at the operations stage of the project. Between March –September 2012, a series of consultations were held with the municipalities and other stakeholders, including TLOs, municipal officials, NGOs, and political representatives as a part of preparatory studies. In addition, extensive consultations were held in September 2012 in selected municipalities and at the central level during preparation of the draft ESMF. A report on all the consultations carried out to date is provided in Annex 9. These consultations confirmed the basic design of the OBA project, but also resulted in a number of improvements to the project design, including:

· inclusion of environmentally safe and acceptable waste disposal as a performance indicator under the project

· inclusion of a TA component to finance implementation support/technical assistance and training to municipalities in the following areas: (i) preparation of SWM-SIPs: (ii) establishing an operational manual for landfill and upgrading landfill operations and management expertise; (iii) design and implementation of awareness campaigns; (iv) design and implementation of 3R activities; (v) establishing the M&E and performance management systems for SWM services. This TA component complements (but does not duplicate) what is already provided for under the UGDP/ETP.

The draft ESMF and executive summary was disclosed in both the website of TDF (http://www.tdf.org.np/new/) and SWMTSC (http://swmtsc.gov.np) on Nov 2, 2012. The Nepali version of the executive summary has also been disclosed at the municipality level.

Communication

Communication is a cornerstone for the project, given the focus on service quality and cost recovery, and the need to engage with, and find support from many stakeholders. Early engagement with stakeholders is a key design element. A preliminary stakeholder assessment revealed the following broad categories of stakeholders:

Waste producers, who have need for solid waste collection services, but minimal interest in paying service fee and have the ability to strongly determine outcomes/ success of the OBA initiative;

Elected representatives, other appropriate Committees/ Executive Officer of municipality; government agencies, TLOs and donors all have a high interest in the OBA initiative and can strongly influence outcomes;

Municipal staff involved in solid waste / related services who would be concerned with possible increase in their work load and can adversely affect service delivery/ achievement of performance indicators;

Waste pickers dependent on solid waste for a living; and

NGOs and private sector companies involved in solid waste management

An overall strategy and plan for stakeholder consultations and communications will be prepared as part of the Project Operations manual. In the meantime, the following consultations and surveys have been carried out in two of the municipalities (Dhankuta and Tansen) during the planning and preparation phase of the project:

Assessment of user satisfaction with existing service. A number of interviews with households and small businesses have been conducted to assess their satisfaction with the existing solid waste management system with regard to the quality and regularity of collection service, interactions and communications with the municipality/service provider. This has been used to identify any specific problems users may have encountered, which has primed their perceptions of services provided by the local authorities;

Key stakeholders have been identified, their incentives for participating analyzed and a strategy for stakeholder relations during the OBA project preparation and implementation established;

Key stakeholders have been consulted about the proposed OBA interventions. The views of the key stakeholders regarding the proposed structure of the OBA scheme and the service improvements envisioned under the scheme have been discussed in interviews with the key stakeholders;

User’s willingness to pay (WTP) has been assessed. A household survey of target beneficiaries has been conducted in order to determine what they currently pay for solid waste services, their willingness and ability to pay for improved services, and their preferences regarding payment options;

A tariff analysis and sensitivity to collection ratio and OPEX has been carried out in order to assess the users affordability to pay (ATP) for improved solid waste management services. The social impacts of increased tariffs will be acceptable if the tariffs do not exceed 1-2% of the monthly average income for households in the lowest income deciles; and

SWMTSC has recently started conducting stakeholder workshop where the proposed OBA scheme and findings are being discussed and disseminated.

Annex 1: Key data for each Municipality in the Initial Pipeline and the Proposed OBA Interventions

Municipality

Dhankuta

District

Dhankuta

Population

27,572 (2011/12)

Household income

Income - CBS 2011 Living Standard Survey:

Lowest 20%NLR/year 99,115

MedianNLR/year 165,010

AverageNLR/year 202,374

Waste generation

0.236 kg/person/day

Waste collected

8 MT/day

Service level - collection

The solid waste collection in Dhankuta municipality is performed with two tractors with trailers. One drives two-three trips per day in the Dhankuta town area, the other drives one trip per day in the Hile town area 12 km from Dhankuta.

The households and shops place their waste in own bin, cardboard or pile along the collection route. The tractor blows its horn when slowly passing on the street and the collectors collect the waste and manually compress it.

The collection frequency (formally) is:

Urban market centre: 6/week

Urban other main roads: 2-3/week

Urban branch roads: 2/week

Rural and far from road: 1/week

Off branch roads: no service

Rural (ward 2, 3, 8 & 9): no service

Key issues identified in relation present waste collection service:

The actual service level provided is below the formal level

The Blue Tractor servicing Hile experiences extended periods of breakdown

There are un-serviced areas off the black top roads

Although some customers separate food waste, there are no formal source separation and waste reduction initiatives.

Service level - street sweeping

Responsibility of individual household and shop

Service level - disposal

New landfill outside Dhankuta town with four landfill cells, manual waste sorting/recycling and a composting facility.

It is assessed by the municipality that around 7 MT of waste per day comes to the new landfill outside Dhankuta town. The collected waste is assessed based on the capacity of the collection vehicles as the landfill does not have a weigh bridge. 75% of the waste is collected in Dhankuta and 25% origins in Hile

The original construction cost of the landfill was 26 million NR for an assessed capacity of around 66,000 MT waste. The remaining lifetime of the landfill on this basis is in the order of 20 years.

At the recycling facility at the new Dhankuta landfill, the following materials are hand sorted from the waste stream and sold to third parties in Nepal or India: paper, beer bottles, smaller glass bottles, plastic bottles, tin cans and iron. The recycling revenue in the first 6 months of operation (dry season) was NLR 27,000. The potential is assessed at NLR 50,000/6mth during dry season (paper is ruined during the wet season).

The key issues identified in relation to the present disposal are:

The landfill was not implemented according to recommended design (e.g. no leachate treatment has been constructed)

There is no operational manual

There is a lack of knowledge of landfill management practices

The actual capacity is below the original expectations

The composting facility is not operating due to lower than expected organic fraction in the received waste

Hazardous elements in the waste stream makes the manual sorting risky

Medical waste is not separated in collection from clinics

Tariff range for households

Urban centre: 700

Urban: 500

Residential: 250

Rural and far from road: 60

Agricultural areas: 25

Revenue collected (last available year)

6 Lakh (2011/2012)

Sanitation fee collected as part of the Integrated Property Fee

Public employees in SWM

Total: 18

Administration: 2

Collection: 1 supervisor + 2 drivers + 6 collectors

Street sweeping: no separate employees

Disposal: 1 engineer + 6 waste pickers

Average length of collection route

5 km (Hile +24 km roundtrip)

Distance from city to landfill

1 km

Cost of Municipal SWM operation (last available year)

35 Lakh (2011/12), of which:

Salary: 15

Fuel: 13,5

Maintenance: 5,5

Others: 1

Role of private and informal operators

No private or informal operators are active in the city.

TLOs established under the Rural Urban Partnership Program appear to be active and well functioning community based organizations that have proven track records in mobilizing their members.

Key institutional and financial issues

A number of challenges have been identified in the institutional set up for SWM in Dhankuta:

The municipality does not have an overall strategy for SWM (although one is under preparation, see below)

There is no single account responsibility for the SWM system

There is inadequate control of actual service delivery

There is no systematic collection of operational data

There is no activity based accounts for SWM

The TLO system could be better utilized as interface with customers.

Furthermore, the municipality faces financial challenges in relation to SWM:

The actual cost of service provision has more than doubled over the past 3 years from 15 Lakh in 2008/9 to 35 Lakh in 2011/12. This is due to a increase in the number of staff in connection with the opening of the new landfill, general increase in fuel cost and general increases in salary levels

The collected sanitation fee has over the same period increased from 2 Lakh in 2008/9 to an expected 6 Lakh in 2011/12. The sanitation fee has been collected annually as part of the Integrated Property Tax for the last 5 years and the municipality assesses that 65-70% of households pay.

The revenues from recycling only contribute marginally at 0.5 Lakh per year and the potential is not significantly higher.

The resulting cost recovery is in the order of 19% in 2011/12.

SWM Service Improvement Plan

The March 2012 Solid Waste Management Strategic Plan and Action Plan for Dhankuta Municipality[footnoteRef:11] provides an overview of the existing situation within Solid Waste Management (waste amounts and composition, waste handling and separation, waste collection systems, waste transport system, waste disposal, waste processing (composting and recycling) and special/hazardous waste management) and set out strategic issues, strategic objectives and action plan of the municipality. [11: Draft Final Report, Volume 2: Municipal Profiles, Strategic Plan and Action Plan, Annex-3: Dhankuta Municipality, March 2012, MULTI Disciplinary Consultants (P) Ltd., prepared under the SWMTSC project 'Preparation of Solid Waste Management Strategic Plan and Action Plan for 15 Municipalities'.]

The SWM strategy and action plan identifies the following Strategic Objectives in relation to waste management in Dhankuta:

· To implement effective collection and transportation of source segregated waste.

· To promote 3R principles (reduce, reuse and composting/ recycling).

· To safely manage non-recyclable waste.

· To formulate and enforce policies, by-laws, guidelines and code of practices.

· To enhance participation and responsibilities of stakeholders, particularly local communities and Private Sector.

· To facilitate management of special waste (Institutional Waste) in safe manner.

· To enhance operational and management capacity through institutional strengthening including establishment of dedicated unit, database system, M&E system and mechanism of Services delivery.

· To ensure financial sustainability by enhancing efficiency and promoting cost recovery mechanism.

In general the description of the existing system in the Strategic Plan and Action Plan is in line with the findings of COWI during the mission in March 2012 and the proposed OBA interventions (see below) are well in line with the intentions of the Strategic Plan and Action Plan and will support the implementation of the strategic plan and action plan.

Proposed OBA intervention


Actual delivery of the present formal service level in the existing urban and peri-urban service areas

Increase in service area to cover some of the presently un-serviced urban and peri-urban areas off the black top roads and possibly larger rural settlements close to the existing urban areas in Dhankuta and Hile

Provision of a higher service level through:

Kerbside collection along streets where the collection truck drives

Offer home composting bins to households with own land (pilot)

Three bin household separation in organic, inorganic and hazardous (pilot) and training households in waste separation

Litter bins in market area

Identified minimum investment needs

Procurement of:

1 New tractor and trailer

3,000 waste collection bins with lid

100 bins for home composting pilot

300 bins for three bin households collection pilot

100 litter bins in market area


Identified challenges

The proposed improvements in service provision under the OBA intervention require the up-front procurement of one new tractor and trailer.

Municipality

Tansen

District

Palpa

Population

23,299 (2011/12)

Household income


Lowest 20% NLR/year 99,115



Waste generation

0.18 kg/person/day (possibly underestimated)

Waste collected

6 MT/day


One truck and one tractor with trailer

900 blue waste bins distributed through TLOs

Under a pilot on household composting 80 composting bins were distributed through the TLOs.

The households carry the bins to the truck and hands it up to collector on the truck.

The collection and street sweeping frequency (formally) is:

Main streets: Daily collection and street sweeping

By-streets: 1-3 collections per week and no street sweeping

Peri-urban: No collection

The key issues identified in relation to the present collection services are:

There are un-served areas in ward 3, 9, 11, 14 with around 750 households that have stated that they would like service

It is not clear whether the formal service level is actually delivered

The potential for waste reduction through home composting is difficult to assess due to lack of monitoring of the implemented pilot

There is extensive littering outside central areas


In the central areas of Tansen the streets are swept daily by the municipality.


A new landfill outside the city has been constructed, but it has not started operation as 3 km of the access road has not been completed due to lack of funds

The municipality is temporarily using an open dump in a forest area 1.5 km from the city.

The original construction cost of the new landfill was 36 million NR for a capacity of around 23 million MT waste. The estimated remaining lifetime of the landfill is in the order of 11 years.

The key issues identified in relation to the present disposal are:

The existing dumpsite is unacceptable from an environmental and safety point of view

Completion of the missing access road upgrading to the new landfill should be top priority

At the new landfill leachate collection is not divided in sections which may result in over float of treatment facility during the first years of operation

Furthermore, gas venting is insufficient for semi-aerobic method or collection of gas

Finally, the new landfill has no operations manual and there is a lack of knowledge of landfill management practices in the municipality.


Main streets: 300

By streets: 120

Peri-urban: 0


2.3 Lakh (2011/12) but expected to increase to 9 Lakh (2012/13)


Total: 23

Administration: 1

Collection: 1 supervisor + 3 drivers + 9 collectors

Street sweeping: 10 sweepers

Disposal: None prior to opening of new landfill


5 km


1 km (existing dump)

5 km (new landfill)


54 Lakh (2011/12) , of which:

Salary: 45

Fuel: 5

Maintenance: 1

Others: 4


No private or informal operators are active in the city.

TLOs established under the Rural Urban Partnership Program appear to be active and well functioning community based organizations that have proven track records in mobilizing their members.

Key institutional and financial issues

A number of challenges have been identified in the institutional set up for SWM in Tansen:

The municipality does not have an overall strategy for SWM (although one is under preparation, see below)

There is no single account responsibility for the SWM system

The registration of operational data could be better (e.g. registration of waste amounts, customers by category, control of fuel consumption, etc.)

There is no computerized billing system for SWM

There is no activity based cost accounting for SWM

The TLO system is however working well in Tansen and could be used even more in relation to SWM.

Furthermore, the municipality faces financial challenges in relation to SWM:

The actual cost of service provision which has been kept fairly stable in recent years (by a reduction in the number of street sweepers) is expected to increase to 54 Lakh in 2011/12 (higher salaries and fuel costs) and will increase further when the new landfill becomes operational (increased fuel consumption due to 4 km increase in routes and increased salary costs due to additional staff at landfill, although some street sweepers are expected to be relocated there).

The collected sanitation fee is only expected to be 2.3 Lakh in 2011/12 but it is expected to increase to 9 Lakh in 2012/13 as the fee level has recently been increased. The sanitation fee is only about one year old and has been collected in parallel with (but not as part of) the Integrated Property Tax. The municipality assesses that 60% of households pay.

Low and late collection of the sanitation fee is endemic as the billing of sanitation fee (and IPT) is based on voluntary show up at municipality for other purposes (i.e. no bill is sent out).

The resulting cost recovery is in the order of 5% in this year and 15% next year at unchanged tariff and collection ratio.

SWM service improvement plans

The March 2012 Solid Waste Management Strategic Plan and Action Plan for Tansen Municipality[footnoteRef:12] provides an overview of the existing situation within Solid Waste Management (waste amounts and composition, waste handling and separation, waste collection systems, waste transport system, waste disposal, waste processing (composting and recycling) and special/hazardous waste management) and set out strategic issues, strategic objectives and action plan of the municipality. [12: Draft Final Report, Volume 2: Municipal Profiles, Strategic Plan and Action Plan, Annex-9: Tansen Municipality, March 2012, MULTI Disciplinary Consultants (P) Ltd., prepared under the SWMTSC project 'Preparation of Solid Waste Management Strategic Plan and Action Plan for 15 Municipalities']

The SWM strategy and action plan identifies the following Strategic Objectives in relation to waste management in Tansen:

1. To promote source segregation, recycling, end-use and composting of solid waste at municipal level.

· To implement the provision made in existing acts, bylaws and guidelines and establish mechanism for monitoring the effective management of solid waste.

· To enhance the public private partnership aspect in solid waste management.

· To mobilize TLOs, CBOs, local clubs and for raising awareness, and engage the community themselves for waste management.

· To enhance the institutional capacity, human resources, facilities and equipments of municipality to address the solid waste problems at municipal level.

· To initiate periodic research and development activities, and adopt sustainable technologies for solid waste management.

· To establish functional coordination and linkage with line government agencies, international/national non-government sectors, donors and other stakeholders.

The Strategic Plan and Action Plan fails to mention the blue boxes provided to many of the households for storage of waste prior to collection, only mentions the home composting pilot project briefly, and has not identified the difficult accessible access road to the new landfill facility as a major problem.

Nevertheless, in general the description of the existing system in the Strategic Plan and Action Plan is in line with the findings of COWI during the mission in March 2012 and the proposed OBA interventions (see below) are well in line with the intensions of the Strategic Plan and Action Plan and will support the implementation of the strategic plan and action plan.



Extending services into the non-serviced areas in wards 3, 9, 10, 11, 14 where households have stated interested and willingness to pay

Piloting TLOs as customers in these areas to facilitate customer responsive service and high tariff collection ratio

Increase coverage of the existing well functioning blue bin system through purchase of 2-3,000 new bins

Extend home composting pilot to reduce waste to landfill, but support with both training upon inception and monitoring during implementation

Identified minimum investment needs

Procurement of:

2,000 bins for kerbside collection

200 bins for extension of the home composting pilot


Identified challenges

The proposed improvements in service provision under the OBA intervention require the new landfill becoming operational, which in turn will require an upgrade of the remaining 3 km of the access road.

Municipality

Lalitpur Sub-Metropolitan City (LSMC)

District

Lalitpur

Population

400,000 (163,000 in 2001 census) annual growth 5%+

Household income


Lowest 20% NLR/year 99,115



Waste generation

0.23 kg/person/day (2008 waste composition survey) of which 72% organic, 6% paper and 10% plastic.

Waste collected

65 MT/day of which 40% or around 25 MT/day is collected by NGOs


The Municipal operator LSMC Environmental and Sanitation Department performs street collection (passing truck blows horn and households throw waste directly in vehicle) and from containers. This is performed with 12 tippers, 4 big trucks, 2 tractors and 2 loaders. Street sweeping is provided in the same areas.

LSMC Environmental and Sanitation has more or less formally (some times on a contractual basis and sometimes on a no objection basis) accepted that about 10 private/NGO operators provide a higher quality waste collection service in Lalitpur.

The largest private/NGO operator (NEPCEMAG) performs door to door collection for 17,000 households in Lalitpur with 7 tractors, 3 trucks and 40 tricycles. NEPCEMAG also performs street sweeping of 12 km streets in the same areas, has pilot on source segregation with 5-600 households, runs two composting plants in Central Zoo and Chobhar and performs regular awareness raising and training.

Other large private/NGO operators are WEPCO, NEPCO and CEPC who each perform door to door collection from 2,000 households as well as composting, dual collection pilots and training


Most of the areas of Lalitpur are swept daily by the municipal or private operators


The waste is reloaded from smaller to larger vehicles at informal transfer stations where some manual separation of plastic, paper and metal also occurs.

The residual waste is transferred to disposal at Sisdol landfill site (jointly operate between Kathmandu and Lalitpur). Recently, the municipality has however also authorized waste disposal a semiofficial dump site on the riverside closer to city.


No tariff charged in areas covered by municipal operator

NRS 30-300 pr month per household charged in areas covered by private operators (NGOs)


No sanitation fee is collected by the municipality. However, a fee of 21 NRS/square foot charged for new construction is partly justified by waste collection. This fee is reportedly 20 Lakh (2012/13).

NEPCEMAG monthly collects NRS 1,100,000 in waste collection tariffs + 100,000 in revenues from sale of compost + 100,000 in revenues from sale of segregated recyclables


Municipal operator (195, of which 20 drivers, 150 collectors/sweepers, 25 management and administration)

NEPCEMAG (80 drivers, collectors and tariff collectors), NEPCO (22), Other NGOs (around 50)

On the top of this come the informal waste pickers and waste pickers hired on contract by the public and private operators.


12 km


30 km


Total cost of municipal operator: 61,220,000

Of which:

Salary: 30 million

Fuel: 15 million

Maintenance: 5 million

Others (Lalitpur share of landfill operation): 10 million


Out of 65 metric ton per day of waste generation 25 metric ton is collected by the private sector.

The private operators (NGOs) play a very important and accepted role and the municipality has a clear for increasing the role of door to door collection by private operators from presently 40% of households to 75% in the longer term.



Clear contractual framework for private operators combined with professional monitoring function in the municipality

Higher

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