Waste Wise Cities Tool

WASTE WISE CITIES TOOL
Step by Step Guide to Assess a City’s Municipal Solid Waste

Management Performance through SDG indicator 11.6.1 Monitoring
Waste Wise Cities Tool
Foreword
In our rapidly urbanizing world, the crisis in waste infrastructure. In Nairobi, Kenya, the host city of UN-
management and plastic pollution is a reflection of Habitat headquarters, we have worked with Nairobi City
our unsustainable lifestyles. We are consuming and County Government in applying the Waste Wise Cities
producing at a rate that boggles the mind. Tool – which led to the development of the Nairobi City
County Sustainable Waste Management Action Plan
With 2 billion people lacking access to solid waste 2020-2022.
collection and 3 billion people without access to
controlled solid waste disposal facilities, urban dwellers, The 2030 Agenda and the SDGs highlight waste
especially in low to middle income countries, are management with different targets and indicators
exposed to severe threats to public health due to the measuring the waste management performance both at
mismanagement of solid waste. However, if our waste municipal and national level (SDGs 11.6, 12.3, 12.4, 12.5
is managed appropriately and effectively, it will be a and 14.1). Measuring SDG Indicator 11.6.1, “Proportion
resource for a prosperous circular economy, creating of municipal solid waste collected and managed in
green jobs and enhancing the livelihood and income for controlled facilities out of total municipal solid waste
the urban poor. At the same time, we can reduce the use generated, by the city”, provides critical information
of natural resources and protecting our environment. and parameters to establish better waste and resource
management strategies that will help cities to create
Knowing the risks of mismanaging solid waste and business, employment and livelihood opportunities, and
the potential of sustainable waste management, many transition towards a circular economy.
cities are eager to find solutions for the ever-increasing
mountains of waste. That is why I launched the Waste UN-Habitat is mandated to develop the monitoring
Wise Cities programme on World Habitat day 2018 methodology for SDG indicator 11.6.1 and has worked
together with His Excellency, President Uhuru Kenyatta closely with relevant UN agencies such as UN Statistics
of Kenya, with a call to action to address the global Division and UN Environment, as well as prominent waste
waste management challenges and strive towards management experts and environmental statisticians
the Sustainable Development Goals (SDGs). In the from all over the world. These common efforts have
past two years more than 170 cities have taken up the led to the development of the Waste Wise Cities Tool, a
call and dedicated themselves to sustainable waste diagnostic tool that cities apply to assess their municipal
management. solid waste management performance and use as basis
for sustainable solid waste management planning.
However, without basic data on municipal solid waste
generation and management, many cities and countries This publication will be valuable for policy makers,
are not able to make evidence-based decisions. I recall municipal engineers, independent service providers,
that when I was Mayor of Seberang Perai in Malaysia, planners, consultants, researchers and other
about 40% of the municipal revenues were going professionals engaged in designing solid waste
towards waste management. This meant that we could management systems in cities lacking up-to-date data.
not allocate funds for parks, road works, healthcare,
or public transport. Once we were able to map and It is my hope that fact-based data on municipal solid
understand better where waste was generated and how waste assessed with this tool will guide evidence-based
it was managed, we were able to reduce the overall planning and lead to effective and efficient solid waste
cost of waste management. Eventually, we managed collection systems, enhanced local resource recovery
to reduce the share of the city’s budget to 20% as the and controlled waste disposal, thereby improving the
rate of recycling increased from 15% to 56%. Data is key quality of life for urban residents and eventually achieve
to allow cities to identify effective policy interventions the New Urban Agenda as well as the SDGs in the waste
and allocate limited resources to build the right kind of sector.
Ms. Maimuna Mohd Sharif

Executive Director, UN-Habitat
iii
Acknowledgements
Preparation of this publication was funded by the The draft methodology was piloted in Nairobi, Mombasa,
Ministry of the Environment, Japan through African Kenya and Mahé, Seychelles with a strong support from
Clean Cities Platform, the German Federal Ministry for local government officials including: Veska Kangogo
the Environment, Nature Conservation and Nuclear (Nairobi City County Government), Isaac Muraya (Nairobi
Safety’s International Climate Initiative (IKI) through the City County Government), Hibrahim Nyakach (Nairobi
Urban Pathways Project, and the Norwegian Agency for City County Government), Patricia Akinyi (Nairobi City
Development Cooperation through the UN Environment County Government), Dr Godffrey Nato (Mombasa
Programme and the Global Partnership on Marine Litter County Government), Dr June Mwajuma (Mombasa
for the Marine Litter Hotspot Identification and Waste County Government), Moses Mkalla (Mombasa County
Management Infrastructure Gap Identification project. Government), Amar Jumaan (Mombasa County
Government), Flavien Joubert (Government of Republic
The substantive preparation was led by UN-Habitat’s of Seychelles), Rahul Mangroo (Government of Republic
waste team within the Urban Basic Services Section of Seychelles) Michael Labonte (Government of Republic
working with experts from Wasteaware, Eawag, and of Seychelles) and Brian Quarte (Government of Republic
the University of Leeds. Principal authors/editors are of Seychelles).
Nao Takeuchi (UN-Habitat), Imanol Zabaleta (Eawag)
and Andrew Whiteman (Wasteaware). Andre Dzikus This publication benefited from consultations with
(UN-Habitat), Debashish Bhattacharjee (UN-Habitat) and reviews by eminent researchers and solid waste
and Graham Alabaster (UN-Habitat) provided overall management experts including: Kees Baldé (UNU),
guidance for the publication. Authors were supported Steffen Blume (GIZ), Karin Blumenthal (EU), Jillian
by contributors and reviewers comprising of Donatien Campbell (UNEP), Ludgarde Coppens (UNEP), Diana
Beguy (UN-Habitat), Steffen Blume (GIZ), Francesca Gheorghiu (Green Partners/RWA), Ellen Gunsilius (GIZ),
Calisesi (UN-Habitat), Dr Josh Cottom (University of Myriam Linster (OECD), David Marquis (UNEP), Michael
Leeds), Eric DesRoberts (USAID), Kartik Kapoor (UN- Nagy (UNECE), Marcus Newbury (UNSD), Aditi Ramola
Habitat), Nele Kapp (UN-Habitat), Hiroshi Kato (EXRI), (ISWA), Reena Shah (UNSD), Reka Soos (Green Partners/
Kosuke Kawai (National Institute for Environmental RWA) and Tatiana Terekhova (BRS Secretariat).
Studies, Japan), Kishori Kedlaya (USAID), Joyce Klu
(Wasteaware), Eiko Kojima (JICA), Laurie Krieger This publication is dedicated to the memory of Manus
(USAID), David Marquis (RWA), Ikuo Mori (EXRI), Robert Coffey, a thinker, designer, creator and innovator in
Ndugwa (UN-Habitat), David Newby (DNA), Clementine municipal solid waste management. Manus was
O'Connor (UNEP), Setsuko Oya (USAID), Dr Tom Quested principal author of the UN-Habitat 2010 publication
(WRAP), Dr Anne Scheinberg, (Springloop Cooperative Collection of Municipal Solid Waste in Developing
U.A.), Vijdan Şengör (Wasteaware), Dr Costas Velis Countries, which remains to this day essential reading
(University of Leeds), Professor David. C. Wilson for practitioners working towards the Sustainable
(Imperial College London/independent consultant), and Development Goals.
Dr Christian Zurbrügg (Eawag).
iv
Contents
Foreword iii
Acknowledgements iv
List of Acronyms vi
Summary 1
Introduction 3
The Problem 3
Waste Wise Cities – Supporting Cities to Achieve SDGs related to Waste 4
The Sustainable Development Goals and Waste Management 4
Waste Wise Cities Tool and the SDG indicator 11.6.1 6
What the Waste Wise Cities Tool can achieve: 7
Key Definitions 10
Parameters for MSWM Assessment for SDG indicator 11.6.1 18

Concept Model 18
Formulas 19
Data points 19
Additional data points 21
Step-by-Step Guide to Assess SDG 11.6.1 Indicator 23

Waste Wise Cities Tool’s 7 Steps 23
Step 1: Preparation 24
Step 2: Household MSW Generation and Composition 30
Step 3: Non-Household MSW Generation 40
Step 4: MSW Received by Recovery Facilities and Control Level of Recovery Facilities 44
Step 5: MSW Received by Disposal Facilities and Control Level of Disposal Facilities 48
Step 6: Waste Composition at Disposal Facilities 52
Step 7: Calculating food waste, recycling, plastic leakage, greenhouse gas emissions and
air pollution 54
References 57
Annexes 59
v
List of Acronyms
BRS Basel, Rotterdam and Stockholm Convention

CBOs Community-based organisations
DCA Data Collection Application
DCM Data Collection Manual
EHS Environment, Health and Safety
FAO Food and Agriculture Organization of the United Nations
GHG Greenhouse Gases
GIZ Deutsche Gesellschaft für Internationale Zusammenarbeit
HDPE High-Density Polyethylene
HH Household
LDPE Low-Density Polyethylene
MBT Mechanical Biological Treatment
MRF Material Recovery Facility
MSW Municipal Solid Waste
MSWM Municipal Solid Waste Management
NGO Non-Governmental Organisation
OECD Organisation for Economic Co-operation and Development
PET Polyethylene Terephthalate
PP Polypropylene
PPE Personal Protective Equipment
PVC Polyvinyl chloride
SDGs Sustainable Development Goals
UN DESA United Nations Department of Economic and Social Affairs
UNEP United Nations Environment Programme
UN-Habitat United Nations Human Settlements Programme
UNSD United Nations Statistics Division
WACS Waste Amounts and Composition Survey
WaCT Waste Wise Cities Tool
WEEE Waste Electric and Electronic Equipment
WFD Waste Flow Diagram
WHO World Health Organization
vi
Summary
Waste Wise Cities Tool (WaCT) guides readers through 7 steps to

collect data on municipal solid waste (MSW) generated, collected, and
managed in controlled facilities. The tool provides a household survey
guide for total MSW generation, a questionnaire to identify the MSW
recovery chain and criteria to check the environmental control level of
waste management facilities in a city.
Chapter 1 introduces the global challenge of Chapter 3 takes readers through the parameters and
waste management touching upon the necessity of formulas for MSWM assessment for SDG indicator
standardized methodology to assess municipal solid 11.6.1. The chapter explains the conceptual model
waste management performance and increasing behind the methodology and it also outlines the
capacity development needs in data collection at necessary data points with formulas.
the municipal level especially in the low and middle-
income countries. It also introduces what can be Chapter 4 takes the readers through the 7 steps of
achieved through the application of Waste Wise Cities the Waste Wise Cities Tool: preparation; household
Tool, showing the case study in Mombasa, Kenya. MSW generation and composition; non-household
MSW; MSW received by recovery facilities and control
Chapter 2 provides definitions of key terminologies level of recovery facilities; MSW received by disposal
and new concepts used for the calculation of the SDG facilities and control level of disposal facilities; waste
indicator 11.6.1. It also provides the ‘ladder of control composition at disposal facilities; calculating food
level’ of waste management facilities, which will be waste, recycling, and plastic leakage..
a guideline for operational improvements of different
waste management facilities. The ‘ladder of waste Data forms and tools are available to support each
collection services’ introduced here also is a new step. Collected data can be entered into an automated
concept to measure population with ‘access to waste WaCT Data Collection Application (DCA) workbook
collection services’ an important indicator in relation and submitted to UN-Habitat’s Waste Wise Cities
to poverty eradication. Programme.
1
2
Introduction
2 Billion the waste
Tonnes sector
is predicted to account
8-10%
of municipal solid waste
were generated in 2015
of global anthropogenic GHG

emissions by 2025 under
business as usual scenario
number is expected to grow to
3.5 Billion 8 Million

Tonnes
by 2050 Tonnes
of plastic find its way into the
world’s oceans every year
The Problem
The global scale of urbanization and economic growth The quantity of waste generated grows with socio-
are creating a potential “time-bomb” regarding the economic development, and as the population in cities
waste we generate in the world. If not addressed now, become denser, acute public health and environmental
the significant negative impact on human health and problems become more commonplace. Poor waste
the environment will be felt by nations at all levels of management results in agglomeration of uncollected
development. An estimated 2 billion tonnes of municipal waste, the build-up of rodent and insect populations,
solid waste (MSW) are being generated annually, and this open waste burning with concomitant impacts on public
number is expected to grow to 3.4 billion tonnes by 2050 health and pollution of air, soil and water. Furthermore,
under a business-as-usual scenario (World Bank, 2018). unmanaged and mismanaged waste is the main source
Uncontrolled disposal sites are already a major source of marine plastic pollution.
of Greenhouse Gases (GHG), and if we continue on the
current path the waste sector, particularly food waste, is On the other hand, waste management offers great
predicted to account for 8-10% of global anthropogenic opportunities: resource recovery lessens the dependency
GHG emissions by 2025. Additionally, every year at least on resource imports and reduces natural resource
8 million tonnes of plastic find its way into the world’s extraction; it enhances livelihoods and income for the
oceans (Jambeck et al., 2015). urban poor through new business models; and improves
quality of life for urban citizens.
3
Waste Wise Cities – Supporting litter (14.1). In addition, two closely related targets look
Cities to Achieve SDGs related to at domestic material consumption and material footprint
(8.4 and 12.2). Consequently, a sustainable waste
Waste management can contribute to the achievement of a
UN-Habitat launched Waste Wise Cities on World Habitat number of SDGs.
Day in 2018 with a call to action to tackle the global
challenge of waste management. Waste Wise Cities A variety of indicators exist to monitor progress towards
has four key action areas namely: 1) knowledge and achieving each SDG target. Each indicator was assigned
best practice sharing; 2) waste data and monitoring; 3) a so-called custodian agency, as well as partner
education and advocacy and 4) finance and bankability agencies. Custodian agencies are United Nations bodies
support. Waste Wise Cities aims to support cities (and in some cases, other international organizations)
and local governments in achieving the Sustainable responsible for compiling and verifying country data
Development Goals related to waste and as well as in and metadata, and for submitting the data, along with
implementing the New Urban Agenda. regional and global aggregates, to the United Nations
Statistics Division (UNSD). UN-Habitat is for example the
The Sustainable Development custodian agency of SDG Indicator 11.6.1 “Proportion
of municipal solid waste collected and managed in
Goals and Waste Management controlled facilities out of total municipal solid waste
generated, by the city”. UN-Habitat has worked on the
The 2030 Agenda for Sustainable Development and its development of the monitoring methodology for this
17 Sustainable Development Goals (SDGs) were adopted indicator coherent with other waste statistics systems
by the United Nations in September 2015. Several targets in the world. This has crystalized into the current “Waste
were set out to address waste management, material Wise Cities Tool” (WaCT).
efficiency and the impact of waste on the environment.
Many SDGs directly relate to waste management. These

include: access to basic services (Target 1.4), eliminate
17 1
dumping to improve water quality (Target 6.3.), municipal 16 2
solid waste management (Target 11.6), food waste
15 3
(Target 12.3), chemicals and hazardous waste, including
e-waste (Target 12.4), recycling (Target 12.5), and marine 14 4
Waste
13 Management 5
12 6
11 7
10 9 8
4
5
Waste Wise Cities Tool and the SDG indicator 11.6.1
Assessing and monitoring SDG indicator 11.6.1 SDG indicator 11.6.1 quantifies parameters that will
“Proportion of municipal solid waste collected and help cities and countries to better manage resources,
managed in controlled facilities out of total municipal mitigate and prevent environmental pollution, create
solid waste generated, by the city”, provides critical business, employment and livelihood opportunities, and
information for cities and countries to establish better shift towards a circular economy. The methodology to
waste and resource management strategies. So monitor SDG indicator 11.6.1 provides guidelines for
far, reliable data and information on municipal solid ladders for MSW collection services and control level
waste generation and management is lacking globally, of waste management facilities, and aims to bring
especially in low- and middle-income country cities. standardized definitions, nomenclature and techniques
Where data exists, it is often generated based on to MSW data collection.
international comparisons, without having been validated
in the local context. Waste Wise Cities Tool - Step by Step Guide to
Assess a City’s MSWM Performance through SDG
A global data collection and publication system through indicator 11.6.1 Monitoring guides readers through the
the UNSD/UNEP Questionnaire on Environment Statistics steps to assess the environmental performance of a
has collected data on MSW collection and treatment municipal solid waste management (MSWM) system
for about 20 years. Data has been received from about (SDG 11.6.1), food waste generation (SDG 12.3.1) and
160 to 170 countries, covering both national and city resource recovery systems (SDG 12.5.1) in cities.
levels. However, the response rate for the UNSD/
UNEP questionnaire is hovering around 50% and data The Waste Wise Cities Tool (WaCT) consists of seven
completeness and quality remain a challenge, especially steps to guide cities on how to collect data on MSW
for developing countries. This indicates that it is critical generated, collected, and managed in controlled
to improve the availability and accessibility of waste facilities. The tool provides a household survey guide
statistics and increase training for collection of data and for estimating total MSW generation, a questionnaire to
capacity development on the ground. investigate the MSW recovery chain and criteria to check
the environmental control level of waste management
This paucity of evidence-based data hinders the facilities in the city. In the last step onward linkages to
development of waste management strategies and other SDG indicators are elaborated and an assessment
constrains investment decision-making in infrastructure using a Waste Flow Diagram (WFD) is introduced. The
and service expansion, leading in many countries to WFD is a separate but complementary methodology
insufficient or absent MSW management services. Poor to the Waste Wise Cities Tool. It uses rapid and
MSW collection and management trigger severe threats observation-based assessment for mapping waste flows
to public health and pollute air and water. Furthermore, and quantifying plastic leakage from MSW management
uncollected, and mismanaged waste is the main source systems (GIZ et al., 2020).
of marine plastic pollution.
6
What the Waste Wise Cities Tool can achieve:
The Waste Wise Cities Tool has been field-tested in Nairobi (Kenya), Mombasa (Kenya) and Mahé Island (Seychelles).
It has been developed in parallel with the Waste Flow Diagram, a tool which enables estimation of plastic waste
emissions to the environment.
The first figure below depicts the results from the SDG 11.6.1 assessment in Mombasa, a Kenyan coastal city of 1.2
million inhabitants. Results show that about 708 t/day of MSW is generated, of which 56% is collected and 5% is
managed in controlled facilities. Around 308 t/day remain uncollected.
Based on this data and using the WFD plastic leakage is estimated to be 3.7 kg per person/year. The second figure
below breaks down and categorises the sources and pathways of plastic leakage as identified with the two tools.
7
The assessment was followed by a local stakeholders workshop, which identified key intervention areas
and service/infrastructure investment gaps. Workshop attendees included stakeholders from the waste
management chain such as local government officials, environmental regulators, collection service operators,
disposal facility managers, formal and informal recyclers, representatives of manufacturers and residents, and
many more. The following figure shows the future waste flow envisioned by participants during the workshop in
Mombasa.
Future Waste Flow in Mombasa
Source Separation and Collection capacity Infrastructure Investment (composting, MRFs, RDFs, etc) Disposal operation
Environmental Awareness expansion (more vehicles improvement
Raising and Education and introduction of
transfer stations)
Licensing of CBOs
Composting or
Wet Waste anaerobic digestion Soil Improvement and gas
60% (530t) Un-recoverable fraction of MSW
100t
Mombasa County & Private
Collection Companies
Private Recycling
Waste Generators Cleaning CBOs Companies
880 t/day Dry Waste 50t Products and raw material
40% (350t)
Fuel
Material Recovery Facilities
Cement Companies
Refuse Derived Fuel Factory
300t
8
9
Key Definitions
MSW Municipal Solid Waste includes waste generated from: households, commerce and
trade, small businesses, office buildings and institutions (schools, hospitals, government
buildings). It also includes bulky waste (e.g. white goods, old furniture, mattresses) and
waste from selected municipal services, e.g. waste from park and garden maintenance,
waste from street cleaning services (street sweepings, the content of litter containers,
market cleansing waste), if managed as waste. The definition excludes waste from
municipal sewage network and treatment, municipal construction and demolition waste..
Generation Total MSW Generated by the City is the total MSW generated by the population and their
economic activities within the defined system boundary.
Collection Total MSW Collected refers to the amount of MSW generated that is moved from the point
of generation, such as specific addresses or designated collection points, to facilities where
the waste is recovered or disposed, regardless of collection modality (e.g., by municipal
governments, non-state actors or informal sector). The remaining share of MSW generated
is considered “uncollected”.
The proportion of Population with Access to Basic MSW Collection Services is the
proportion of the population who receive waste collection services that are either basic,
improved or full, defined by the service ladder of MSW collection service. It considers
aspects of frequency, regularity and proximity of the collection points (Table 1). This aspect
is measured under the SDG indicator 11.6.1 assessment but it is reported through a different
indicator, SDG 1.4.1. on access to basic services.
10
Figure 1: What MSW collected means in SDG 11.6.1
Point of Generation Point of Recovery & Disposal
Specific addresses
Recovery facilities
Residue Recyclables
Designated
collection
points Disposal facilities
Recyclables
Proportion MSW MSW Residue
recovered
Table 1: The definition of the sub-indicator ladder of service
received by level. received by from
of MSW from
recovery disposal recovery
collected disposal
Service Level facilities facilities Definitionfacilities
facilities
Door-to-door A designated collection point
Full »» Basic frequency and regularity »» Within 200m distance
Point
»» of Generation
Without major littering »Point
» of Recovery
Basic frequency&and
Disposal
regularity
»» Separation in three or more fractions »» Without major littering
»» Separation in three or more fractions
Improved »» Basic frequency and regularity »» Within 200m distance
Specific addresses Control
»» Without major littering »» Basic frequency and regularityLevel
»» Separation in two fractions »» Recovery
Without facilities
major littering
»» Separation in two fractions
Residue Recyclables
Basic »» Basic frequency and regularity »» Within 200m distance served
»» Without major littering »» Basic frequency and regularity
»» No Separation
Designated »» Without major littering
collection »» No Separation
Limited »» Without basic frequency and regularity. »» Within 200m distance but no basic
»» With major littering frequency and regularity or
»» Further than 200m distance.
Recyclables
Proportion MSW MSW »» Residue
With major littering
recovered
received by received by from
of MSW from
No »» Receiving norecovery
waste collection disposal
service recovery
disposal
collected facilities facilities facilities
facilities
Specific addresses
Recovery facilities
11
Residue Recyclables
Recovery Recovery means any operation the principal result of which is waste serving a useful purpose
by replacing other materials which would otherwise have been used to fulfil a particular
function, or waste being prepared to fulfil that function, in the facility or in the wider economy
Recovery system is, for the purposes of the WaCT assessment, a grouping of a number of
different activities and facilities that are undertaking recovery processes.
Point of entry into recovery system is the first discernible location where a facility within the
recovery system receives waste containing potentially recoverable materials. It excludes the
transfer of materials between recovery facilities within the system.
Recovery facilities include any facilities with recovery activities defined below including
recycling, composting, incineration with energy recovery, materials recovery facilities (MRF),
mechanical biological treatment (MBT) facilities, etc.
Material Recovery Facility (MRF; or materials reclamation facility, materials recycling facility,
multi re-use facility) is a specialized recovery facility that receives, separates and prepares
recyclable materials for marketing to further processors or end-user manufacturers.
Mechanical Biological Treatment (MBT) facilities are a type of recovery facility that
combines an MRF with a form of biological treatment such as composting or anaerobic
digestion.
Incineration is the controlled combustion of waste with or without energy recovery.
Incineration with Energy Recovery is the controlled combustion of waste with energy
recovery.
Recycling is defined under the UNSD/UNEP Questionnaire and further for the purpose of
these indicators as “Any reprocessing of waste material in a production process that diverts
it from the waste stream, except reuse as fuel. Both reprocessing as the same type of
product, and for different purposes should be included. Recycling within industrial plants
i.e., at the place of generation should be excluded.” For the purpose of consistency with the
Basel Convention reporting and correspondence with EUROSTAT reporting system, Recovery
operations R2 to R12 listed in Basel Convention Annex IV, are to be considered as ‘Recycling’
under the UNSD reporting for hazardous waste.
12
Recovery chain usually involves several steps of the recycling industry which purchase,
process and trade materials from the point a recyclable material is extracted from the
waste stream until it will be reprocessed into products, materials or substances that have
market value. In many low and low-to-middle income countries, this involves waste pickers,
intermediate traders, apex traders and end-of-chain recyclers/recoverers.
Waste pickers extract recyclable materials from the waste stream to support their livelihood,
selling materials into the recovery system.
Intermediate traders receive materials from both formal and informal recyclable collection
systems (including waste pickers), store and prepare these materials for onward trading to
apex traders.
Apex traders receive materials from intermediate traders or directly from both formal and
informal recyclable collection systems (including waste pickers), store and prepare these
materials for onward trading to end-of-chain recyclers/recoverers.
End of chain recycler/recoverer receives materials from apex traders or direct from both
formal and informal MSW collection systems and processes them into materials and
products that have value in the economy either through recycling, incineration with energy
recovery, or other recovery process.
Figure 2: Complexity in the recovery chain (plastic example)
Formal
End-of-Chain
Recyclers/Recovers
Apex Traders
Intermediate Traders
Waste Pickers
Informal
13
Disposal Disposal means any operation whose main purpose is not the recovery of materials or energy
even if the operation has as a secondary consequence the reclamation of substances or
energy.
Disposal Facilities refer to sites which are regularly used by the public authorities and private
collectors, regardless of their level of control and legality, for the disposal of waste. Such
sites may or may not have an official recognition, a permit or a license. Disposal sites may be
managed in either a controlled or uncontrolled manner. The definition excludes unrecognized
places where waste is deposited occasionally in small amounts which public authorities may
clean up from time to time.
Landfill is the deposit of waste into or onto land. It includes specially engineered landfill
sites and temporary storage of over one year on permanent sites. The definition covers
both landfills at internal sites, i.e. where a generator of waste is carrying out its own waste
disposal at the place of generation, and at external sites.
Control MSW Managed in Controlled Facilities refers to MSW collected and transported to recovery
level and disposal facilities that are operated under basic, improved or full control according to the
Ladder of waste management facilities’ control level (Table 2). The Ladder can be used as
of MSW a checklist for assessing the level of control of a particular recovery or disposal facility. The
recovery facility should be classified by going through the decision-making tree attached in Annex 7.
and Note that the emphasis is on operational control rather than engineering/design. A facility
that is constructed to a high standard, but not operated in compliance with Level 3 (or above)
disposal standard is not regarded as a controlled facility.
facilities
14
Table 2: Ladder of control level for landfill sites
CONTROL
Category Landfill Site
LEVEL
Security »» Physical boundary surrounding the site and supervised access control 24/7
Water and leachate »» Site engineering preventing surface and groundwater ingress into the landfill
control »» Functioning leachate containment and management
Slope stabilization »» Slopes stabilized, including erosion control, to mitigate risk of landslide
»» Waste deposited in clearly defined operational areas with strict management
Waste handling,
control
compaction and
»» Waste layered and compacted promptly
cover
»» Daily and intermediate cover applied
Fire control »» Zero evidence of burning of waste on the surface of the landfill
Full
Control Landfill gas
»» Landfill gas controlled with utilization where practicable
management
Staffing »» Site staffed full-time with professionally qualified personnel
Recording »» Functional weighbridge in use with recording waste quantities by waste types
»» EHS measures implemented in accordance with professional risk assessment
Environment Health and operating plan
and Safety (EHS)_ »» Showering and sanitary facilities
»» Environmental monitoring system in place with annual reporting capability
»» Site development and operational filling plan in place
Site planning
»» Post closure plan in place
Security »» Physical boundary surrounding the site and supervised access control
»» Site engineering preventing surface water ingress into the landfill
Water and leachate
»» Measures taken to prevent seepage of untreated leachate into surface and
control
groundwater
Slope stabilization »» Slopes stabilized, mitigating risk of landslide
Waste handling, »» Waste deposited in supervised operational area
compaction a nd »» Waste layered and compacted promptly
cover »» Waste periodically covered
Improved Fire control »» Zero evidence of burning of waste on the surface of the landfill
Control Landfill gas
»» Landfill gas controlled, including venting or flaring
management
Staffing »» Site staffed with trained personnel
»» Functional weighbridge in use with data for each delivered waste load
Recording
recorded in a register
»» Procedures in place to ensure heath and safety of workers
EHS »» Toilets and hand washing stations
»» Environmental monitoring system in place with annual reporting capability
Site planning »» Operational filling plan in place
15
Security »» Boundary and access control allowing single point of supervised access
Water control »» Perimeter drainage maintained around the site
Slope stabilization »» Slopes stabilized, mitigating risk of landslides
»» Waste trucks directed to specific operational area of disposal
Waste handling,
»» Heavy mechanical equipment reliably available
compaction and
»» Waste layered and compacted within the specific operational area
cover
Basic »» Some use of cover material
Control Fire control »» Zero evidence of burning of waste on the surface of the landfill
Staffing »» Site staffed during operational hours
Recording »» Functional weighbridge in use
»» Basic personal protective equipment in use
EHS
»» Toilets and hand washing stations
Site planning »» Site drawing showing landfill boundary and filling area in place
Security »» Some access control to limit unauthorised dumping
Waste handling and »» Heavy mechanical equipment available for minimum levelling and
compaction compaction
Limited Fire control »» Limited evidence of burning of waste on the surface of the landfill
Control
Staffing »» Staff checking the site regularly
Recording »» Waste deliveries recorded
EHS »» Basic personal protective equipment in use
Security »» No access control
Waste handling and »» No mechanical equipment

compaction »» No levelling and compaction
No
Control Fire control »» Site on fire
Staffing »» No staff
Recording »» No recording
16
Table 3: Ladder of control level for incineration
CONTROL
Incineration (with or without Energy Recovery)
LEVEL
»» Registered and licensed/permitted facility
Identity
»» Clearly marked boundaries
»» Engineered facilities with process control
»» Continuous monitoring and recording of operating parameters and emissions
»» Flue gas controls compliant with applicable environmental standards
Standards »» Process controls and instrumentation systems routinely calibrated
»» Asset management and maintenance plans in place
»» Evidence of maintenance according to the maintenance plan
»» Emissions periodically sampled and tested by external laboratories
Full Circularity »» Facility has energy recovery and utilization
Control
»» Effluents are managed in compliance with applicable environmental
standards when effluents are generated
Residues
»» De-ashing and flue gas treatment residues managed in compliance with
applicable environmental standards
Fire control »» Fire prevention and control measures in place
Staffing »» Staffed with professionally qualified personnel
»» EHS measures implemented in accordance with professional risk
EHS assessment and operating plan
»» Showering and sanitary facilities
Records »» Incoming and outgoing materials weighed and recorded in a register
»» Registered facilities
Identity
Security »» Physical boundary surrounding the site and supervised access control
»» Facility is engineered with process control
»» Continuous monitoring of operating parameters and emissions
»» Facility have flue gas treatment system
Standards
»» Monitoring systems routinely calibrated
»» Maintenance plan or documented maintenance schedules in place
»» Evidence that equipment is well maintained
Improved Circularity »» Facility has energy recovery and utilisation
Control
»» Effluents are discharged to a permitted discharge point when effluent is
generated
Residues
»» Solid residues are disposed at facility designated for incineration residues
disposal
Fire control »» Fire extinguishers available on site
Staffing »» Site has sufficient number of trained staff for level of operation
»» EHS measures implemented for all people on site
EHS
»» Toilets and washing stations
17
Identity
»» Distinguishable boundaries
»» Facility is engineered with process control
»» Operating parameters (temperature, smoke etc) are continuously monitored
and recorded
Standards
»» Facility has some form of flue gas control
Basic »» Monitoring systems are occasionally calibrated
Control »» Evidence that equipment is well maintained
»» Effluents are discharged to a permitted discharge point when effluent is
generated
Residues
»» Solid residues are disposed at facility designated for incineration residues
disposal
»» Personal protective equipment in use
EHS
»» Water for hand washing
Identity »» Distinguishable boundaries
»» Operating parameters are logged
Limited Standards
»» Some evidence that equipment is maintained
Control
»» Personal protective equipment in use
EHS
Identity »» Unregistered facilities with no distinguishable boundaries
No »» No operation standards in place
Standards
Control »» No evidence that equipment is maintained
EHS »» No EHS measures in place
Table 4: Ladder of control level for other recovery facilities
CONTROL
Other Recovery Facilities
LEVEL
»» Registered/licensed facility
Identity
Standards »» Environmental pollution control compliant to applicable environmental
standards
»» Extracted materials delivered into recycling/recovery markets
Full Circularity »» Nutrient value of biologically treated materials utilized in agriculture/
Control horticulture when organic waste is processed
Residues »» Residues managed in accordance with applicable environmental standards
Fire control »» Fire prevention and control measures in place
Staffing »» Staffed with professionally qualified personnel
»» EHS measures implemented in accordance with professional risk
EHS assessment and operating plan
»» Showering and sanitary facilities
18
Identity »» Registered facilities

Security
»» Physical boundary surrounding the site and supervised access control
Standards
»» Some measures taken to control environmental pollution
Improved Circularity »» Extracted materials delivered into recycling/recovery markets

Control Residues »» Residues disposed of into the city MSW system
Fire control »» Fire extinguishers available on site
Staffing »» Staffed with trained personnel
»» EHS measures implemented for all people on site
EHS
»» Toilets and washing stations
Identity
Basic »» Distinguishable boundaries
Control »» Personal protective equipment in use
EHS
Limited Identity »» Distinguishable boundaries
Control EHS »» Personal protective equipment in use
»» Unregistered facilities with no distinguishable boundaries
No Control
»» No EHS measures in place
19
Formality The Formality of MSWM activities is an important aspect to take into consideration when
conducting the SDG 11.6.1 assessment. MSWM activities are carried out by formal and informal
of MSWM economic units, both public and private, and by generators for the purpose of the prevention,
collection, transportation, recovery and disposal of waste.
Formal waste management relates to waste management activities undertaken by units

working within the context of the formal governmental or non-state actors regulating and
operating waste management; that is, organisations or individuals registered as economic
units with government authorities and assumed to generally abide by local laws and
regulations related to wastes and their management.
Informal waste management refers to individuals or enterprises who are involved in private
sector recycling and waste management activities which are not sponsored, financed,
recognised, supported, organised or acknowledged by the formal solid waste authorities,
or which operate in violation of or in competition with formal authorities (Scheinberg et al.,
2010). Informal units are assumed to abide by local waste-related laws and regulations when
it is in their interests to do so.
20
Parameters for MSWM Assessment

for SDG indicator 11.6.1
Concept Model
Figure 3 summarizes the elements measured by SDG Recovery or disposal facilities can be categorized
indicator 11.6.1. The MSW generated by the city is as either ‘controlled’ or ‘uncontrolled’ depending on
either collected or uncollected, and the collected MSW the operational measures put in place to minimize
is delivered to recovery or disposal facilities. Recovery the environmental, health and safety impacts from
facilities generate residues that are sent to disposal the facilities. When both recovery and disposal occur
facilities. In many cities, recyclables are also recovered within the same facility, it is necessary to evaluate the
from disposal facilities and brought back into the control level of the recovery and disposal operations
recycling value chain. independently of each other.
Figure 3: Concept figure of SDG indicator 11.6.1
MSW received by
CONTROLLED recovery
Recovery Facilities
MSW Received by
facilities
Residue
MSW received by
UNCONTROLED
To t al M SW G e n e rat e d b y t h e cit y
recovery facilities
Total MSW Collected
Residue Recyclables
MSW received by
recovered from
CONTROLLED disposal disposal facilities
facilities
MSW Received by Disposal
Facilities
MSW received by Recyclables

recovered from
UNCONTROLLED disposal facilities
disposal facilities
Uncollected waste
21
Formulas
SDG indicator 11.6.1 is calculated as follows:
SDG 11.6.1 = Total MSW collected and managed in controlled facilities ( t/ day ) X 100 ( % )
Total MSW generated ( t/ day )
SDG 11.6.1 = Total MSW collected and managed in controlled facilities ( t/ day ) X 100 ( % )
The calculation of SDG indicator 11.6.1. is broken down to two sub-indicators:
Total MSW collected ( t/ day )

SDG 11.6.1. a = X 100 ( % )
SDG 11.6.1. b = Total MSW collected and managed in controlled facilities ( t/ day ) X 100 ( % )
Data collected for the assessment of SDG indicator 11.6.1 can contribute to estimating SDG indicator 12.3.1.b on
Food Waste Index, by providing household food waste generation per capita, through the below formula. Further detail
is elaborated in Step 7.
Per capita household food waste generation=

Per capita MSW generation rate (kg/cap/d) x proportion of food waste
Step 4, which maps the material recovery flow through interviews with recovery facilities, can provide input data for
SDG indicator 12.5.1 National Recycling Rate, by providing the city's recovery rate.
Total recovered materials ( t/ day )

City Recovery Rate= x 100 (%)
Total MSW Generated(t/day)
Data collected for SDG indicator 11.6.1 can also be used to estimate a city’s plastic leakage when combined with
additional field observations guided by the WFD (GIZ et al., 2020), introduced in Step 7.
City Plastic Leakage = Total plastic leakage to water systems ( kg/ year )
Total Population
Data points
The data points required to calculate SDG indicator 11.6.1 include:
» Total MSW generated by the city
» Total MSW collected
» Total MSW managed in controlled facilities
22
These data also help cities to identify the proportion of the multiplication of the total population by per capita
MSW that remains uncollected. MSW generation from households. Non-household MSW
generation also needs to be estimated. The detailed
A. Total MSW generated by the city
methodology for doing this is provided in Steps 1, 2 and 3.
MSW is waste generated by households, as well as
B. Total MSW collected
similar waste from non-household sources, such as
businesses, schools, offices, supermarkets, restaurants, Total MSW collected is the amount of MSW generated
hotels, hospitals, etc. It also includes bulky waste (e.g. that is moved from the point of generation, such as
old furniture, mattresses) and wastes from selected specific addresses or designated collection points, to
municipal services, e.g. park and garden maintenance, facilities where the waste is recovered or disposed.
and street cleaning services (street sweepings, the
content of litter containers, market cleansing waste). When measuring total MSW collected there is a risk of
MSW does not include waste from municipal sewage double counting concerning the residue or rejects from
networks and wastewater treatment facilities, as well recovery facilities, and the amount of waste reclaimed
as construction and demolition waste from commercial from disposal facilities going to recovery. Therefore,
building contractors. these amounts need to be deducted from the sum of
waste received by both recovery and disposal facilities.
For cities that do not yet have reliable data on MSW The residue from recovery facilities is assumed to go to
generation from households, it can be estimated through either disposal facilities or other recovery facilities.
Equation 1: Total MSW1 collected
Total MSW collected
Recyclables
MSW MSW Residue
recovered
from
disposal
facilities facilities facilities
facilities
Proportionn
of MSW 100 (%)
collected
Non -
Total PCGR of household
Population HH waste MSW
generation
Total MSW Generated
Steps 4 and 5 provide detailed methodology on how to facility. The facility’s control level is the category (full,
collect this data. improved, basic, limited and none) where it checks the
most boxes. Note that the emphasis is on operational
C. Total MSW managed in controlled facilities
control rather than engineering/design control. A facility
MSW managed in controlled facilities refers to MSW that is engineered and constructed to a high standard,
collected and transported to recovery and disposal but not operated in compliance with Level 3 (or above)
facilities with basic, improved or full control according to standard is not regarded as a controlled facility.
the Ladder of waste management facilities' control level.
Steps 4 and 5 provide detailed methodology on how to
The Ladder can be used as a checklist for assessing collect this data.
the level of control of a particular recovery or disposal
1
Note that MSW collected for recovery includes mixed MSW, commingled recyclables or recoverable fractions extracted from MSW
23
Equation 2: Total MSW managed in controlled facilities
MSW MSW Recyclables

MSW received Residue from
Managed in received by recovered from
by controlled controlled
Controlled controlled controlled dis-
disposal recovery
Facilities recovery posal facilities
facilities facilities
facilities
Additional data points E. MSW Composition

The WaCT assessment characterizes waste at the
The SDG 11.6.1 indicator assessment provides three point of generation (i.e. households) and at the point
further MSWM data points: of disposal. Understanding MSW composition at the
beginning and end of the MSW service chain is a useful
» Per capita MSW generation rate exercise for several reasons: understanding composition
» MSW composition helps identify how the existing recovery/recycling sector
» Uncollected waste is functioning, it enables further recovery facilities to be
identified and planned, and overall helps to triangulate
Although they are not necessary for the calculation of (i.e. test validity and reliability) of the collected data.
the SDG indicator values, these figures are of particular
importance for the identification of service/infrastructure Note that MSW also includes waste from non-household
gaps, and formulation of strategies. sources. In Step 3, the quantities of MSW generated
from commercial and institutional sources, as well as
D. Per capita MSW generation rate
from public spaces, is estimated. However, specific
A very relevant parameter that can be derived from the composition analysis on MSW from non-household
previous formula is the “total per capita MSW generation sources is beyond the scope of this tool as it is complex
rate”. Steps 2 and 3 explain how to calculate this through and resource intensive.
waste sampling from households for cities, if no reliable
F. Total uncollected waste
or updated data is available.
Total uncollected MSW can be calculated by subtracting
This is especially recommended for cities where a large the total MSW regularly collected from the total MSW
amount of MSW remains uncollected. Data on per capita generated.
waste generation also enables optimization of collection
system performance, an exercise that can potentially
generate significant budgetary savings for the city.
Equation 3: Total uncollected MSW
Total
Uncollected Total MSW Total MSW
MSW Generated Collected
24
25
Step-by-Step Guide to Assess SDG

11.6.1 Indicator
Waste Wise Cities Tool’s 7 Steps

The steps required to report SDG indicator 11.6.1 composition survey (WACS) from households to
are divided into seven steps, following the waste estimate waste generation per capita, or if such a survey
management chain from generation to recovery and was conducted more than 5 years ago. In this context,
disposal. Additional steps will also be described in this it is important to understand that the waste received
chapter to identify the ‘Access to Basic Municipal Solid at recovery and disposal facilities sometimes does not
Waste Collection Services’ in relation to SDG indicator represent the total MSW generated, especially in cities
1.4.1, and to identify the potential plastic emissions to with large amounts of uncollected waste.
the environment.
Cities that are confident about the accuracy of their
The steps a city needs to implement can be determined total MSW generation data, are recommended to go
depending on the data available. UN-Habitat through Steps 4 and 5 to identify the environmental and
recommends cities to go through all the steps if the operational control level of their waste management
city has large amounts of uncollected waste or illegal facilities.
dumping and has never done a waste amounts and
Figure 4: Waste Wise Cities Tool’s 7 Steps
26
STEP 1: PREPARATION
1.1 Gain political and senior management endorsement
and support The following points should be taken into account when
establishing the expert team:
It is important to gain the city’s Mayor or top officials’
support for the assessment. This will facilitate the »» Language: make sure that at least one person
different approval procedures and necessary resource from the expert team speaks the main local
mobilization within the city government. Make sure the language/dialect fluently, and that the survey
intended purpose and significance of the assessment helpers cover the range of local languages/
for the improved environmental management in the dialects prevalent in the survey area.
city is well communicated and gain political and
senior management endorsement before starting the »» Mobility: ideally most survey helpers should be
assessment. based in the local areas where the assessment
will be conducted.
1.2 Establish a working team
The whole assessment requires waste sampling from »» Field visits: the expert team, possibly
10 households for 8 days in 9 survey areas (15 survey accompanied by City officials, will have to
areas for mega cities2), which means waste from 90 conduct field visits to waste management
households (150 households for mega cities) needs facilities (recovery and disposal). Distance,
to be collected for 8 days. To implement this operation accessibility and comfort of travel can greatly
smoothly, establish a working team of 20-30 survey vary.
helpers who are dedicated full-time for 8-10 days, led
by 2-3 well trained experts dedicated for a combined »» Environmental health and safety: make sure
total of about 6 working weeks per city. Members that the survey team is briefed from the outset
of the expert team need to be trained and familiarize on EHS safeguards and procedures and
themselves with the methodological steps, and should provide the necessary tools, including personal
have a good understanding of MSWM systems, both protective equipment (PPE). --
concepts and flows.
1.3 Prepare tools and equipment
A 1 or 2-day workshop should be organized to train the The assessment requires waste sampling through
selected 20-30 survey helpers on the methodological visits to 10 households each from 3 survey areas (5
steps, the purpose and importance of the assessment, survey areas for mega cities) from 3 income groups (or
the detailed survey requirements and environment, household types), as well as waste composition analysis
health and safety (EHS) procedures. at the points of waste generation and disposal. The items
to be made available are listed in Step 2 and Step 6.
² Urban agglomerations having over 10 million inhabitants, "World Urbanization Prospects, The 2018 Revision" (PDF). UN DESA. Last access 18 June 2020. p. 55
27
PREPARATION
BUDGET FOR AND ORGANIZE FOR
hiring an tools
expert equipment
team
for 6 working
weeks
human
resources
for mobilizing 20-30
transport/ people
fuel
28
1.4 Identify key stakeholders and partnerships

Stakeholders include individuals and entities involved • Formal private recovery or disposal service
in the MSWM system in the city; those either providing, providers: registered or licensed entities involved
monitoring or receiving the service. Successful in waste processing, recovery, and disposal. They
implementation of the assessment depends on have a business case to run their operations, need
identifying and obtaining information from the key to adhere to regulations and are often supported
stakeholders. The goal is to obtain as much accurate by contract payments, gate fees or incentives from
quantitative data as possible on MSW generated, the city or national government.
collected, recovered and disposed. Gaining a clear
understanding of the city’s MSWM system is an • Community-based organisations (CBOs): e.g.
essential basis for identifying key intervention areas for organisations engaged in self-help activities or
improvement. in providing services in and to communities.
Key stakeholders can include: • Non-governmental organisations (NGOs):

organisations acting as intermediaries
between governments and local communities,
• City waste management office and sometimes involved in solid waste service
other departments: Cities have statutory provision and/or providing support of informal
responsibilities for a wide range of MSWM collection/ recycling service providers.
service provisions. Different departments of the
municipality besides the waste management • National Ministries or environmental regulatory
department may need to be involved, including authorities include the policy making, regulatory
urban development authorities, business permit authorities, responsible for setting framework
sections, environmental departments, public conditions, licensing/permitting, inspecting,
works departments and public health/hygiene and enforcing requirements for MSW collection,
departments recovery, and disposal activities
• Public collection service providers: often • Waste generators: members of households,

operated and supervised by the respective commercial units, institutions (schools, offices,
municipal department etc.), industries, etc.
• Formal private collection service providers:

often collection services are outsourced to
formal private companies or NGOs/CBOs Stakeholder identification and analysis is typically an
which, in this case, are accountable to iterative process where, in interviews with stakeholders,
the municipality. Formal private collection information about other important stakeholders
companies may also be hired and paid directly is obtained. Effective collaboration between key
by the waste generators (e.g. generators such stakeholders is very beneficial. The waste management
as institutions, commercial units, industry). department needs to take the lead role as they will
facilitate many steps of the process (contacting operators,
• Informal collection service providers: accessing waste generators and community-based
organizations or individuals providing the organizations, providing a list of waste collection, recovery
collection service informally. These includes and disposal companies operating in the city, etc.).
informal organizations or individuals providing
1.5 Prepare workflow and budget
collection services, picking recyclables
from waste and/or collecting (or buying) The table below is an example workflow and lists the
recyclables from waste generators. minimum human resources required from Step 2 to
Step 7 put within 40 calendar days. Many of these
• Informal and formal value chain enterprises: steps and activities can take place in parallel if the size
businesses and enterprises based in the of the working team allows it, so the schedule can be
city that are involved in recyclables trading, compressed.
including intermediate and apex traders.
29
Preparation is of critical importance for the smooth approximately 6 working weeks, human resources cost for
conduct of the survey. The budget items required include mobilizing 20-30 people for an 8-10 day survey, as well as
hiring an expert team for a combined total period of tools, equipment and transport/fuel for survey activities.
Table 5: Typical workflow from Step 1 to Step 7
Activities DAYS Minimum

Human Resource
Required
1 10 20 30 40
Step 1: Preparation 2-3 experts

1.1 Gain political and senior management
endorsement and support
1.2 Establish a working team
1.3 Prepare tools and equipment
1.4 Identify key stakeholders and partnerships

1.5 Prepare workflow and budget
1.6 Obtain necessary data from statistics office

Step 2: Household MSW Generation and Composition 3 experts to
2.1 Preparation supervise
2.2 Waste sampling and waste composition 2 persons per

analysis survey are (18
people) for
2.3 Calculate per capita household solid waste waste sampling
generation
Step 3: Non Household MSW Generation 1 person per
3.1 Using the proxy for non-household MSW survey area
to visit and
3.2 Identify premises to interview interview
3.3 Interview selected premises and each different
contracted collection company premises
3.4 Obtain waste data from public spaces
3.5 Calculate MSW generated by non-household

sources
Step 4: MSW Received by Recovery Facilities and Control Level of Recovery Facilities 1-2 core
4.1 Identify recovery facilities members
to establish
4.2 Arrange visits and interviews with key contacts
recovery facilities with recovery
4.3 Evaluate the level of control of recovery facilities
facilities
4.4 Compile the collected information
Step 5: MSW Received by Disposal Facilities and Control Level of Disposal Facilities 1-2 persons to
5.1 Identify disposal facilities visit disposal
facilities to
5.2 Arrange visits and interviews with identified collect data
disposal facilities
5.3 Evaluate the level of control of disposal
facilities
Step 6: Waste Composition at Disposal Facilities 1-2 experts
6.1 Preparation 5-10 persons
6.2 Waste sampling and composition analysis for waste
composition
survey
Step 7: Calculating food waste, recycling, plastic leakage, greenhouse gas emissions and air pollution 1-2 experts to
7.1 Food waste observe different
aspects of swm
7.2 Recycling chain
7.3 City Plastic Leakage
7.4 Greenhouse gas emissions and air polution
30
1.6 Obtain necessary data from statistics office

4. If your city has less than 300,000 inhabitants,
The data necessary for the survey includes: ‘Average Annual Rate of Change of the Urban
Population’ data is available from UN Department
• Population of the city, if possible broken down in of Economic and Social Affairs Population
income categories; and Dynamics’ World Urbanization Prospects website.
Use this urban growth rate to estimate the current
• Business licensing permit data (for non-household population in your city.
MSW estimation).
5. Additional to the overall population, find out if the
Population
city’s or national statistics office have data on the
Determining the population of the city can be done by the distribution and share of high, middle and low-
following sub-steps: income groups in your city.
Business licensing data

1. Find the official population census and check the
year. If the data is not older than 5 years, use the Business licensing data may provide the number of units
data as it is. If the data is outdated, go to the next for different businesses and premises in the city, such as
sub-step. the number of beds for hospitals, chairs for restaurants,
floor space for supermarkets, students for schools, etc.
2. Check if an official population projection for your This data is essential to estimate MSW generation from
city is available from the national statistics office. non-household sources. Check if the data is available
If yes, use the data for the year you conduct the from the municipal or city statistics office for the system
survey. If there is no official population projection boundary and if the data is up to date (not older than 5
data for the subject city, go to the next sub-steps. years).
3. If your city has more than 300,000 inhabitants, If the data is neither available nor up to date, use the
‘Population of Urban Agglomerations with proxy to determine MSW generation from non-household
300,000 Inhabitants or More’ data is available sources (see Step 3).
every two years from ‘Urban Agglomerations’
page at UN Department of Economic and Social
Affairs Population Dynamics’ World Urbanization
Prospects website.
31
32
STEP 2: HOUSEHOLD MSW GENERATION AND COMPOSITION

This step explains how to assess per capita household consistent with your method. This means, maintaining
solid waste generation and average household waste the same sample size and the same calculation
composition. Apply this step if there is no up-to-date methods. This will allow comparison of results at a later
data on MSW generation and composition in your city. stage.
For this assessment waste samples are needed from a
given number of randomly selected households. When Waste characterization will be conducted in conjunction
selecting households, the following points need to be with waste sampling from households, and this
considered: information will give you a clearer understanding on the
amounts of recyclables in your city’s household waste.
This information is essential, especially for expanding
Waste generation differs according to the resource recovery efforts, and as first step towards
household’s income-level or housing type, establishing an urban circular economy.
therefore waste samples should be collected
2.1 Preparation
from different income groups (or housing types)
in the city; 1. Define sample size: the sample size will
determine the statistical significance of the
results obtained. This is reflected by the
statistical confidence level and margin of error.
Waste generation from households fluctuates In a city with the population size of 10,000 –
depending on weekdays and weekends, 10,000,000, at least 370 to 384 households need
therefore waste must be obtained daily to be sampled in order to achieve the normally
throughout an entire week (7 days). recommended values of a confidence level of
95% with a margin of error of 5%. However, in
many situations, it may be unfeasible and costly
to collect waste samples from 384 households
Human beings generate waste, not households. for 7 days for a city, therefore this guide suggests
It is important to record the number of people
actually living in the house, rather than taking to sample 90 households (10 households
the official average number of family members. from 3 survey areas from high, middle and low
income groups each3) for average cities and 150
households (10 households from 5 survey areas
in high, middle and low income groups each) for
Waste generation varies seasonally, as well as megacities, which is still in the same confidence
during festive periods. It is important to take level, but with a margin of error of 10%.
into account those local variables that may
affect waste generation during the time of the
2. Select survey areas and households: select 3 (5
survey.
for megacities) representative high, middle and
low-income neighbourhoods4 in your city and 10
Where large seasonal variations can be expected (very households from each neighbourhood randomly.
distinct dry and wet seasons for example), if possible, In cities where there is an updated and reliable
repeat the WaCT assessment. Keep in mind that every digital census of households, the following
time the assessment is repeated, it is crucial to be methods could be used for simple random
selection:
3 Or alternatively from three different housing types (e.g. low-income/slum dwellings, apartment blocks, individual houses.
4 Ibid.
33
• Option A: the simplest way is the lottery nearest to the top left corner of the cell and
method, where each household in the income visit ground floor upwards in the case of high-
group is assigned a unique number and the storey buildings. If not successful, move to the
sample households are selected from this next door and so on, always making sure you
thoroughly mixed list. This way, each household do not exit the cell of the grid.
has an equal chance of being selected as
subject. • Option D: in the case of cities where
households with different income levels are
• Option B: let a computer do a random selection interspersed and it is difficult to clearly identify
from your list of all households in the selected “areas” of low, middle and high income, use
neighbourhood. housing types to stratify your sampling areas
instead. Obtain a map with the scale of 1:5,000
• Option C: obtain a map of the city with larger and overlay a 1cm x 1cm grid over the map.
scale than 1:2,500 and overlay a grid of 1cm x Select 30 cells randomly and identify one
1 cm over the map. Each cell represents a 25 household per income level according to the
m x 25 m piece of land on the map. Assign one housing types indicated in the table below.
number to each cell and randomly select 30
cells per survey area. One household per each
cell will be the random sample of household.
Once in the field, be consistent on how you
select your sample household from each cell.
For example, always start from the households
Table 6: Housing types and income levels
Income Level Housing Type Example

High Luxury condominium, single detached house with garden, sophisticated alarm systems.
Middle Apartments , single detached house without garden.
Low/ informal Slums, apartments with single rooms (apartments mud house,
settlements
Rent less than 5% of GDP per capita
Figure 5: Household sampling
34
3. Prepare informed consent letter from municipal government explaining the purpose of the survey, how
the information will be used and requesting the consent of households to participate in the survey. This
can be shown, read to and signed by the selected households for waste sampling to obtain their consent,
understanding and cooperation. Annex 1 provides an example letter.
4. Prepare the survey team, equipment, and transport: The below table shows the number of survey team
members, transport for collected waste samples and other items needed per survey area and in total.
Table 7: Necessary tools and resources for household waste sampling
Things to Prepare Quantity

1 Survey area 9 survey areas 15 survey areas
(average city) (mega-city)
Survey team 2-3 people 18-27 people 30-45 people
Transportation for waste collection 1 collection vehicle 9 collection vehicle 15 collection vehicle trips
trips trips
Liner bags (vol: 60L) 80 720 1200
Identification tape (tag bags) 1 9 15
Pens 3 27 45
Markers 1 9 15
Hanging Weighing scale (up to 60 kg) 1 9 15
Thick plastic sheet (at least 4 x 4 metres) 1 9 15
Waste containers or bags (60 L) 12 89 180
Scissors 1 9 15
Spades 1 9 15
Brooms 1 9 15
Camera/ Smart Phone 1 9 15
Reporting sheets 1 9 15
Informed consent letters (with space for signing 10 90 150
and dating) for each sample member
The following table provides the list of compulsory personal protective equipment (PPE) required to conduct the
waste composition survey. This is a basic requirement, and the list can be added to according to the specific
situational requirements. The use of PPE is particularly important when the survey is conducted in a COVID-19
situation.
35
Table 8: Necessary PPE
Things to Prepare Quantity

1 Survey area 9 survey areas 15 survey areas
(average city) (mega-city)
Hat or cap (sun and dirt protection) 2-3 18-27 30-45
Glassess (eye protection) 2-3 18-27 30-45
Masks 2-3 18-27 30-45
Long sleeve shirts 2-3 18-27 30-45
Thick gloves 2-3 pairs 18-27 pairs 30-45 pairs
Apron (stomach protection) 2-3 18-27 30-45
Long pants 2-3 18-27 30-45
Rubber boots 2-3 pairs 18-27 pairs 30-45 pairs
Hand sanitizer 1 9 15
Disinfectant 1 9 15
Soap 1 9 15
First aid kit, including eye bath 1 9 15
5. Mark each liner bag with the house number and letter denoting the neighbourhood, the survey date and
survey area. The bag will contain the waste generated in that household on the written date. Do not note the
householder’s name, in order to protect the confidentiality of the people who have kindly agreed to participate
in your survey.
6. Print recording sheets and prepare the WaCT Data Collection Tool: Print the forms included in Annex 2 of this
document and download the WaCT Data Collection Application (DCA) and Data Collection Manual (DCM) from
the Waste Wise Cities website. Check for updated versions and make sure you are using the latest version.
Carefully read the instructions on how to access and use the WaCT DCA so you can open and use the file.
7. Find a location for the waste amounts and composition measurement: According to the estimate of the
volume of daily collected waste from the households, choose a site where you can store waste and conduct
the measurement of waste as well as the composition survey. Ideally, this site should be flat and covered,
have enough space, be accessible by vehicle, have access to water for drinking and washing purposes and
offer protection from pests.
36
2.2 Waste sampling and waste composition analysis

The following is a suggested schedule for household waste sampling and composition survey, taking weekend days
into consideration. Conduct the following exercise in all survey areas.
Day 0: Deploy survey team for each survey area with marked liner bags, and distribute four linerbags with
the dates of day 1, 2, 3 and 4 to each household. It is important to gain the household’s consent
and cooperation by explaining the purpose of the survey. Once the householder has agreed to
participate, ask them to store all the waste generated that day at home in the respective bag and
not to give any materials (e.g. recyclables) to anyone outside the home.
Day 1: Use this day to check whether all the survey households have been identified, to overcome any
problems or gaps, and to initiate the non-household waste survey (Step 3)
Day 2: Weekend
Day 3: Weekend
Day 4: The survey teams collect the bags of day 1, 2 and 3 (filled) while distributing the two liner bags
of day 5 and 6 to each household. Bring the collected waste to the identified location for sample
measurement. Before beginning with the weighing and sorting, it is important to discard the day 1
samples, as these might contain waste generated before the start of the survey, which would distort
the data. Measure the weight of waste generated on day 2 and 3 separately, following the below
steps:
a. First, weigh the collected bags from each household (for each day) separately and record
the weight in the sheet (Annex 2). Weigh an empty bag and deduct the weight of the bag
from each sample weight. Remember, there is no need to weigh the bags from day 1, and
these should already have been set aside.
b. Prepare the buckets labelled with the 12 sorting categories around the thick plastic sheet.
1. Kitchen/canteen 7. Glass
2. Garden/park 8. Textiles/shoes
3. Paper & cardboard 9. Wood (processed)
4. Plastic – film 10. Special wastes
5. Plastic – dense 11. Composite products
6. Metals 12. Other
37
c. After making sure that the individual sample weights per household per day have been
recorded, open the bags and spread the waste on the plastic sheet. You can mix the
samples together at this point, as the composition is an average for the whole sample (i.e.
not per household per day).
d. Sort the waste into the 12 categories. Annex 4 contains a sorting guideline.
e. Weigh each fraction and record it in the sheet (Annex 3). Remember to subtract the weight
of the empty container from the total weight.
Day 5: Use this day to follow-up and cross check on the household sampling, overcome any problem or gaps, and
conduct non-household waste survey (Step 3)
Day 6: The survey teams collect the bags of day 4 and day 5 (filled) and provide the labelled bags for day 7 and 8
to each household. Process the collected waste following the same steps done on Day 4.
Day 9: The survey team collects the bags of day 6, 7 and 8 (filled) and repeats the same steps as on Days 4 and 6
38
The schedule is summarized in the table below for reference:
Table 9: Schedule for MSW generation survey
Day no Survey Teams Households

Day 0 Distribute bags for day 1, 2, 3 and 4 to households Provide the number of people staying at
Ask the number of people staying at households household
Day 1 Use the day for non-household waste survey (Step 3) Fill the bag of day 1
Day 2 Weekend Fill the bag of day 2
Store the bag of day 1
Day 3 Weekend Fill the bag of day 3
Store the bag of day 1 and 2
Day 4 Collect the waste bags from day 1, 2, and 3 Provide waste of day 1, 2 and 3
Distribute empty bags for day 5 and 6 Fill the bag of day 4
Discard the waste bag from day 1, do not weigh it or include it in the
composition survey
Weigh and conduct waste composition survey for waste bags from
day 2 and 3
Insert data in the reporting sheet
Day 6 Collect the waste bags from day 4 and 5 Provide waste sample of day 4 and 5
Distribute empty bags for day 7 and 8 Fill the bag of day 6
Weigh and conduct waste composition survey on waste bags from
day 4 and 5
Store the bags of day 6 and 7
Day 9 Collect bags of day 6, 7, and 8 Provide waste samples of day 6, 7 and 8
Weigh and conduct waste composition survey for bags of day 6, 7 and
8
Note:
If the climate does not allow households to store the waste for three days, arrange more frequent waste
collection to obtain the 8 days waste samples. Make sure to discard the 1st sample.
Important:
Remind households not to sell or take out recyclables so that the genuine total waste generation in the
household can be properly captured.
39
In some cases, you might need to collect the generated waste every day from the households. For such cases, use the
following schedule:
Table 10: Model waste sampling schedule for every day
Day no Survey Teams Households

Day 0 Distribute empty bags for day 1 and 2 to households Provide the number of people staying
Ask the number of people staying at households at household
Day 1 Use the day for non-household waste survey (Step 3 Fill the bag for day 1
Day 2 Collect and discard the waste bags for day 1. Do not weigh or conduct Provide waste bag from day 1
composition survey on bags from day 1. Fill the bag for day 2
Distribute empty bags for day 3
Day 3 Collect the waste bags from day 2 Provide waste bag from day 2
Distribute empty bags for day 4 Fill the bag for day 3
Weigh and conduct waste composition survey for bags from day 2
Weigh and conduct waste composition survey for bags from day 7 Fill the bag for day 8
Note: if you are able to store the collected samples in a cool and secure area, protected from flies, pests and animals,
you may be able to weigh bags and conduct the waste composition surveys in accordance with the three times weekly
schedule (Table 9) while still collecting waste bags daily from households.
40
2.3 Calculate per capita household solid waste generation

1. Calculate average per capita household waste generation rate: Enter the data into the WaCT DCA. The figure
below shows how the per capita household waste generation is calculated from the data collected through
the waste sampling. First, it is important to discard the sample from Day 1, as people tend to put waste in the
bag which has been accumulating at their home, making the sample not representative. Second, take the sum
of the results from the other 7 days and divide it by the number of days and the number of people residing in
the household.
Figure 6: How to estimate household MSW generation per capita for a household
2. Add population data for each income group: Enter population data for each income group into WaCT DCA, then
the automated excel sheet will provide total household solid waste generation in your city. This is calculated by
multiplying the calculated per capita household waste generation per income level, by the population of each
income level. All these are summed up to calculate the total household waste generation.
41
42
STEP 3: NON-HOUSEHOLD MSW GENERATION

Household waste is only one part of the total MSW generated in a city. Commercial establishments (e.g. markets,
restaurants, shops, hotels, etc.) and institutions (e.g. schools, administrative buildings, offices, etc.) as well as public
spaces (e.g. parks and streets) also contribute considerably to the total amount of MSW generated.
Figure 7: Types of non-household MSW Generation sources
Per Capita Non -

MSW Total MSW household
Generated Population Generation MSW
from HH generation
Hotels Markets Restaurants Schools Ofﬁces Shopping malls Public spaces
Three approaches can be used to calculate the amount of MSW generated by non-household sources, option b) will
be explained in more detail in this step.
Conduct waste sampling from non-household If there are no reliable business licensing
MSW sources through random sampling, data available or no resources to conduct a
similar to the household waste survey. This comprehensive survey, use a proxy to estimate
approach yields more accurate results, but it is the MSW generation from non-household
more resource intensive. sources. This guide recommends the use of a
proxy of 30%5 to estimate MSW generated by
non-household sources. See more details in sub
step 3.1.
Conduct interviews with non-household MSW
sources and their waste collection service
providers to get approximate amounts of
generated waste. This approach is less
resource intensive, but the results are less
accurate than option a) and it is recommended
to take when you have reliable business
licensing data. See more details from sub step
3.2 to 3.5.
5 UN-Habitat conducted a research on the proportion between household and non-household waste generation using the historical data of OECD countries. This suggested about 30% of total
MSW is generated by non-household sources and 70% by households. However, further study is needed to improve the sensitivity of this proxy to different City situations.
43
3.1 Using the proxy for non-household MSW 2. Identify premises for interview: After selecting
the 9 survey areas (15 for mega cities) for the
Where the proxy is being used for estimation of the household survey in Step 2, identify 2 hotels,
total waste from non-household sources, the following 2 restaurants, 2 schools, 2 offices, 1 shopping
formulas can be used. mall/supermarket, 1 market and 1 hospital
per survey area. Choose premises that are
representative of the survey area.
a) Total MSW= 70% from households+30% from non
household sources 3. Prepare questionnaire for interview: Both the
premises generating MSW, as well as their
contracted collection companies need to be
Total MSW from households interviewed. You can find model questionnaires
b) Total MSW =
70% in Annex 5.
3.3 Interview selected premises and each contracted

collection company
If you have decided to conduct an interview-based
survey to gain a more comprehensive and accurate 4. Schedule visits to selected premises: Visit
estimate of the non-household MSW apply the following selected premises on the days not needed for the
steps. household survey, as described in Step 2. Ask the
manager, where they store the waste generated
3.2 Identify premises to interview from the premise, note the volume, and if
possible, weigh the waste. Waste generated
1. Choose “unit” for calculation: Household waste from markets are typically difficult to estimate,
is normally calculated through multiplying “per therefore it is recommended to organize a weight
capita household waste generation” with total measurement if there is a weighbridge in your
population. However, this unit cannot be used for city. Ask the market operator when the waste
MSW from hon-household sources. A different is collected and bring it to the weighbridge
unit should be selected according to the type of to measure the waste weight, so that waste
premises and based on the business license data generation per stall per day can be calculated.
available in your city. The table below provides
some examples. For public spaces, ask the urban
Table 11: Suggested units for aggregation of generations rates in premises and institutions
planning department in your city for the data.
Generator Recommended Unit Comment

Hotel # of beds If there is a shopping centre or restaurant, assess
separately
Restaurant # of tables/chairs
Schools # of pupils If there is a canteen, assess separately as restaurant
Offices # of employees; Square meters If there is a canteen, assess separately as restaurant
Markets # of stalls; type of goods (vegetable
market vs electronics market)
Hospitals # of beds
Public spaces Square meters Tonnes collected will be divided by the sqm of served
areas
44
5. Interview waste collection service providers: 3.5 Calculate MSW generated by non-household sources
When interviewing premises, ask which waste
collection service providers they have contracted. 1. Calculate per unit waste generation from
Interview these collection companies (per phone different premises: Once the data from all the
is sufficient) and ask how much waste they premise types and public spaces is collected,
collect from the said premise. You can find model enter data into the WaCT DCA.
questionnaires in Annex 5.
2. Estimate total MSW generated by non-
3.4 Obtain waste data from public spaces
household sources: Enter the total number
1. Identify responsible entity/department for public of units (chairs, rooms, students, employees,
space cleaning: Identify responsible entity or stalls, beds, square metres) derived from the
department for public space cleaning in your city. business licensing data and public space data
into WaCT DCA to obtain total MSW generation
2. Obtain data related to waste from public per day from each premise and total MSW
spaces including: 1) average collected tonnage generated from non-household sources.
of waste daily, 2) approximate square meters
of the cleaned area for the collected tonnage
of waste. Also obtain the total sqm of public
spaces in the city.
45
46
STEP 4: MSW RECEIVED BY RECOVERY FACILITIES AND CONTROL LEVEL

OF RECOVERY FACILITIES
Some of the MSW collected from households or national level can also be used for reporting on SDG
non-household sources will be delivered to recovery indicator 12.5.1 National recycling rate and amount of
facilities. It is important to identify this amount, since material recycled.
it is an essential part of the Total MSW collected. It
is also a very important exercise to understand how The diagram below shows the data to be collected
much recovery capacity your city has compared to the through this step, which includes MSW received by
quantity of recyclables in the MSW stream, and how the recovery facilities and residue from recovery facilities
recyclable material moves through the recovery chain. (both marked in light grey). Data is obtained through
This will directly inform national
Point policy with regards
of Generation interviews Point
with identified recovery
of Recovery facilities that receive
& Disposal
to establishing a circular economy including extended MSW.
producer responsibility systems, deposit refund
4.1 Identify recovery facilities
schemes, bans of non-essential single use plastics,
etc. This step also helps local addresses
Specific governments and waste 1. Make a list of major recovery facilities: through
management operators to optimise their operations, and business licensing data, identify and list recycling
plan waste management interventions in an inclusive and recoveryRecovery facilities
facilities who deal with MSW
manner. generated in your city. It is possible that business
Residue Recyclables
licensing only covers the larger formal operators,
If possible, it is recommended to extend the survey so it is recommended to ask some of them who
area for this step beyond the system boundaries for the else is involved in the waste recovery chain in
Designated
city assessment. Representative data collected at the your city. Add those facilities to the list.
collection
Figure 8: Information to be collected in Step 4
Recyclables
recovered
of MSW from
collected disposal
facilities
Specific addresses Control

Level
Recovery facilities
Residue Recyclables
Designated
collection
Recyclables
recovered
of MSW from
collected disposal
facilities
47

Waste Wise Cities Tool Waste Wise Cities Tool
2. Categorise the recovery facilities in the list: level of control of the recovery facilities at the
according to the key definitions of recovery, point of entry of materials into recovery facilities.
identify “Intermediate Traders”, “Apex traders” Ask the facility managers what quantities of
and “End of Chain Recyclers/Recoverers”. It is different materials they receive from the MSW
possible that there are no end of chain recyclers/ stream daily, from where they receive the
recoverers for specific materials in the city, with materials, whether from multiple small operators,
apex traders exporting the material for further collection systems, or other recovery facilities. If
processing. the answer is another recovery facility then you
can be sure that you have not yet identified the
3. Determine the system boundary and priority first point of entry into the recovery system, and
interviews: sketch out the recovery system in you need to go and interview the other recovery
the city identifying each of the recovery facilities facility identified. Note that in some cases a
that you would like to interview. Note that the recovery facility may be the first point of entry for
focus of data collection (for the purposes of the some materials, but not for others, so make sure
WaCT) is on the facilities that are the first point to keep your data sets for different materials and
of entry into the recovery system for each of build up a comprehensive picture of the recovery
the MSW/materials streams. Depending on the system.
complexity of the recovery system in the city, and
the time (and budget) you have available for the 3. Quantifying rejects from the recovery system:
assessment, select a number of interviews to key Not all the materials that enter the recovery
recovery facilities that will allow you to profile the system will be recycled or recovered; some
recovery system in sufficient detail. “rejects” will leave the system and need to be
disposed of as waste. The WaCT uses a proxy
4.2 Arrange visits and interviews with identified
estimate for materials loss within the recovery
recovery facilities
system of 10%. A proxy estimate is sufficient for
1. Establish contact with the key recovery facilities the purpose of the WaCT assessment because
through phone call or email and set up an a more detailed and accurate assessment
appointment for a site visit and an interview. can take considerable time (and budget) and
Permission from the authorities may be required distracts attention away from understanding the
for visiting the recovery facilities, and when quantities and level of control at the point of entry
on-site the survey team should comply with the into the recovery system. If you have sufficient
necessary health and safety procedures. Make resources to profile the materials losses through
sure you plan for this in advance. the whole recovery system (value chain) then
that information will help you identify detailed
2. Interview identified recovery facilities face-to- interventions. ,However, for the purpose of the
face using the questionnaire in Annex 6. The WaCT assessment this level of detail is not
focus is on identifying how much recyclable strictly necessary.
material is entering the recovery system, and the
48
4.3 Evaluate the level of control of recovery facilities

3. The WaCT DCA has been designed to help avoid
1. Evaluate the control level of the recovery double counting errors, and also includes a proxy
facilities: After interviewing the recovery facility, of 10% for ‘rejects’ that come out of the recovery
check its operations and processes as well as system as waste. The data on the quantity of
environmental control level according to the materials entering the recovery system will help
ladder of control. The subject recovery facility has you to understand both the quantity of MSW
the level of control where you have checked the collected for recovery, and also the recycling/
most boxes. recovery rate. Note that these two numbers will
be 10% different, the effect of using the proxy, so
double check your outcomes.
1. Input of the collected data: After interviewing
the recovery facilities using the questionnaire in 4. Read the instructions in the WaCT Data Collection
Annex 6 and determining their level of control, Manual (DCM) as to how to fill in the WaCT DCA
compile the information for the WaCT DCA. carefully and check on the Waste Wise Cities
website for training videos, frequently asked
2. Assessing the recovery system in a city can be a questions, and updates.
challenging task. Remember that the focus of the
WaCT assessment is to identify the amounts of
materials going into the recovery system at the
first discernible point of entry.
49
40%
Dumpsites receive
of World’s Waste
50
Specific addresses
Recovery facilities
Residue Recyclables
STEP 5: MSW RECEIVED BY DISPOSAL FACILITIES AND CONTROL LEVEL

OF DISPOSAL FACILITIES
Designated
collection
Globally, uncontrolled disposal sites receive 40% of This Step includes a methodology to measure the
world’s waste and serve about 3-4 billion people. As MSW amounts received by disposal facilities, the level
urbanization and population growth continues, without of control of such facilities and how to estimate the
Recyclables
urgent intervention MSW could
it is expected that situation
Proportion MSWrecyclables Residue from disposal facilities to the
recovered recovered
worsen, mainly in of MSW
low-and-middle income cities.
recovery recovery chain recovery
disposal (marked in orange in from
Figure 9).
collected disposal
facilities
Uncontrolled disposal facilities offer no protection to Step 5 is extremely important for cities to protect the
water, soil and air pollution. Under the business-as- environment from pollution from uncontrolled disposal
usual scenario uncontrolled disposal will account for facilities. The focus of Step 5 is to understand the
8-10% of global anthropogenic GHG emissions by 2025. current status of operational control of each disposal
Uncontrolled disposal is the major source of plastic facility, so that measures can be identified, designed
pollution emissions to the environment. As these sites and implemented to bring these facilities up to at least
are often accidentally Specific
or purposely set on fire, they are a
addresses
to basic levels of control. For those cities that have
major source of local air pollution that acutely affects the
Control
already achieved basic level of control over their disposal
Level
health of neighbouring communities, as well as further facilities, further steps canfacilities
Recovery be taken to upgrade the
contributes black carbon GHG emissions. Leachate facilities to improved and full control as indicated in the
emitted from disposal facilities have the potential to ladder of controlResidue
level. Recyclables
pollute waterways, and uncontrolled landfill gas emission
represent health and safety as well as environmental
concerns. Designated
collection
Figure 9: Information to be collected in Step 5
Recyclables
recovered
of MSW from
collected disposal
facilities
Specific addresses
Recovery facilities
Residue Recyclables
Designated
Control
collection Level
Point de production Point de récupération ou 51

du déchet d’élimination du déchet
5.1 Identify disposal facilities
Vehicle counting: if no weighbridge is
1. Identify all disposal facilities receiving MSW available, an alternative method is counting
generated from the city according to the the number of trucks coming to the site for
definitions under disposal. It is important to a period of 5-7 days. The surveyor sits at
include disposal facilities that might not be the entrance and counts the trucks entering
legally approved (or licensed/permitted), but the landfill. In addition, whenever possible,
nevertheless are acknowledged by the local two parameters should be assessed for
authority. Even when disposal facilities are each truck: maximum capacity (volume
located outside of the city, include them if they in m3) and load (the degree to which the
receive MSW generated from the city. load reaches the capacity, in %). These
parameters can be obtained through
5.2 Arrange visits and interviews with identified
disposal facilities observation, or if possible, by interviewing
the disposal facility operator or truck driver.
1. Arrange a visit for the identified disposal These data should be supplemented by the
facilities: once all the disposal facilities have waste density measurement described in
been identified, arrange site visits to each of Figure 10 below.
them. Permission to visit these facilities may
be required from the city waste management
department, and while on-site the survey
team should comply with the necessary EHS Interview the operator: interview the
procedures. Make sure you plan for this in disposal facility manager to obtain the
advance. same information referred to above (i.e.
number of trucks arriving per day at the
2. Obtain records of waste received by the disposal site(s), the maximum capacity (volume,
facilities: quantitative data of waste arriving at e.g. m3) and the load (%). This approach
the disposal facility can be obtained through the is recommended in cities with a reduced
following three approaches: number of collection service providers, or
in cities where it is not possible to visit the
Weighbridge: check whether there is disposal facility.
a functioning weighbridge at the site.
If yes, request the recorded weights
of received waste for a period of two When conducting b) and c) above, measure the density
weeks. If the climate of the city under of waste. This can be easily combined together with the
assessment has very marked seasonal waste characterization in Step 6.
variations, try to obtain recorded
amounts for a period of two weeks per
season. Use the obtained records to
calculate the daily average amount of
waste received by the site. In case there
is no weighbridge, explore the possibility
of renting one for a period of a week.
52
Figure 10: waste density measurement method
IF THE SITE DOESN’T HAVE A WEIGHBRIDGE

3
4m 4m3 4m3 4m3 4m3
100% load 80% load 120% load 60% load 70% load
4 + 4x0.8 + 4x1.2 + 4x0.6 + 4x0.7 = 17.2m3
750kg/m3 x 17.2m3 = 12,900kg = 12.9t
5.3 Evaluate the level of control of disposal facilities

3. Interview waste pickers: Ask waste pickers
working at the disposal site for the average 1. Evaluate the level of control of the facilities: the
quantity of materials they collect and sell weekly visits to find out the amount of waste delivered
SI LE SITE N’EST PAS ÉQUIPÉ D’UN PONT-BASCULE
or monthly from the disposal site, thus estimating to the disposal sites should also be used to
the average amount collected and 3
recovered to evaluate the level of control of the disposal
4m3
the recycling value chain. Also4m
find out the total4m 4m3
Check its operations and 4m
3 3
facilities. processes as
100% chargé 80% chargé 120% chargé 60% chargé 70% chargé
number of waste pickers working at the disposal well as environmental control level according to
site. the ladder of control. The subject disposal facility
is assigned the level of control where you have
4. Estimate total waste materials diverted from checked the most boxes.
the disposal facility to the recovery chain: By
multiplying the average daily amount of waste
collected by waste pickers with the total number 4 + 4x0.8 + 4x1.2
1. Input the+collected
4x0.6 + 4x0.7 17.2m
data:=After
3
visiting the
of waste pickers working in the disposal site, disposal facilities, interviewing their site
estimate the total waste materials collected from managers, and determining their level of control,
the disposal site and brought
Densité des déchets: into the recovery enter the obtained information into the WaCT
chain. 100 poubelles pleines de déchets prèsent 75kg. DCA.750kg/m3 x 17.2m3 = 12,900kg = 12.9t
:
75kg –100 litres (0.1m3) = 750kg/m3
53
file:///C:/Users/Lusaba/Downloads/shutterstock_1276551055.jpg file:///C:/Users/Lusaba/
Downloads/shutterstock_1276551055.jpg
54
STEP 6: WASTE COMPOSITION AT DISPOSAL FACILITIES
This step provides the instructions to measure the Thick plastic sheet (at least 5 x 5)m 2
composition of waste at disposal facilities. The waste
Waste containers or bags (60 L) 24
composition survey takes one or two days.
Scissors 2
6.1 Preparation Brooms 2
1. Recruit and train workers: for the composition Camera/smart phone 1
survey around 15 workers are needed. If there are
many waste pickers working at the disposal site, Table 13: Necessary PPE Composition Analysis Disposal Site
consider hiring some of them. All workers should Items Quantity
be trained properly on the aim of the composition Hat or cap (sun and dirt 1 per survey team member
survey, the main steps and the health and protection)
safety procedures. Since sorting waste can be Glasses (eye protection) 1 per survey team member
hazardous, personal protective equipment (i.e.
Masks 1 per survey team member
gloves, masks and boots) must be used, avoid per day
dehydration and take adequate breaks. Give
Long sleeve shirts 1 per survey team member
clear instructions that if any medical or other
Thick gloves 1 pair per survey team
hazardous waste is spotted in the sample, the
member
sorting procedure must immediately stop.
Apron (stomach protection) 1 per survey team member
2. Acquire necessary equipment: Table 12 Long pants 1 per survey team member
shows the main items that are required for Rubber boots 1 pair per survey team
characterizing the waste at a disposal site. This member
includes a basic PPE requirement which can Hand sanitizer 2
be added according to the specific situational Disinfectant 2
requirements. The use of PPE is particularly Soap 2
important when the survey is conducted in a
First aid kit, including eye 1
COVID-19 situation. Check with the disposal bath
facility in advance whether they have some or all
of these items, and whether there are additional 3. Prepare site for the survey: find a place where
requirements for fluorescent jackets, protective you can store and handle a sample of around 200
hats, and protective shoes (e.g. steel toe cap and – 300 kg of waste. Ideally, this site should be flat
soled boots).When working on a disposal facility, and covered, have enough space, be accessible
always take great care to ensure that your survey to vehicles, and have access to water for drinking
team strictly follows health and safety protection and washing purposes and offer protection from
requirements. pests. Cover the surface with a thick tarpaulin, on
top of which the waste sample will be deposited.
Table 12: Items required for a waste composition survey per survey group
6.2 Waste sampling and composition analysis
Items Quantity
1. Number of samples: for this assessment
Pencil and notebook At least one person
a minimum of 3 trucks per income level
noting
(low, medium and high) service areas (or
Recording sheet 3
correspondingly from different household-type
Standing/ hanging weigh scale (up 1 service areas) needs to be sampled.
to 100 kg)
Shovels 8
55
2. Select trucks for waste sampling: before • Divide the waste layer into four parts:
selecting a truck for sampling, check with the ABCD (see Figure 11 left).
truck drivers (or the disposal facility manager)
from which area the truck is delivering the waste. • From those four portions, discard two
Make sure only trucks containing purely MSW opposing quarters, say B and D.
are sampled. Take a 200-300kg sample from the
truck. Direct the driver to safely park alongside • Mix the remaining two quarters.
the tarpaulin. Deposit (either through hydraulic
or manual unloading) the sample on top of the • Repeat the quartering process once more.
tarpaulin. Be extremely careful to ensure that the The derived sample will be approximately
truck emptying process is safely completed, and one quarter of the size of the original
that no one is in proximity to the falling waste as sample, around 50-70 kg.
it is being unloaded.
3. Quartering technique: once you accumulated the 4. Sort the waste: Prepare labelled containers and
MSW sample of 200-300 kg you need to derive a sort the sample of 50-70 kg into 12 categories in
representative sample of around 50-70 kg for the the respective container (see Figure 11 right):
analysis. The most commonly used technique for
1. Kitchen/canteen 7. Glass
this is called “The Quartering Technique”:
2. Garden/park 8. Textiles/shoes
• First mix the waste sample as thoroughly 3. Paper & cardboard 9. Wood
as possible. You can use your shovels for 4. Plastic – film 10. Special wastes
this. 5. Plastic – dense 11. Composite products
6. Metals 12. Other
• Then spread out the waste on the surface
so that it forms a flat layer. 5. Weigh the waste fractions: weigh each fraction in
their containers and record the weight. Remember
to subtract the weight of the empty container
from your results.
Figure 11: Quartering technique (left) and sorting (right)
56
An estimated 820
million people do not
have enough to eat
(WHO, 2018)
STEP 7: CALCULATING FOOD WASTE, RECYCLING, PLASTIC LEAKAGE,

GREENHOUSE GAS EMISSIONS AND AIR POLLUTION
Parameters of SDG indicator 11.6.1 are closely linked two separate indicators. Sub-indicator 12.3.1.a, food loss
with other waste SDGs (12.3 on food waste and 12.5 on index, focuses on food losses that occur from production
recycling). Additionally, the WaCT has been developed up to (and not including) the retail level. It measures the
in parallel with the Waste Flow Diagram (WFD) for the changes in percentage losses for a basket of 10 main
estimation of potential plastic leakage from the MSWM commodities by country in comparison with a base
systems. The WaCT also generates input for assessment period. Sub-indicator 12.3.1.b, food waste index, focuses
of air pollution and greenhouse gas emissions with the on retail and consumption levels.
Solid Waste Emissions Estimation Tool (SWEET).
Data collected for the assessment of SDG indicator
This step introduces these different SDG indicators, the 11.6.1 can contribute to estimate SDG indicator 12.3.1.b
WFD and SWEET, for which data produced by WaCT and Food Waste Index, by providing household food waste
SDG indicator 11.6.1 can be utilised. generation per capita through the below formula..
Per capita household food waste generation=
7.1 Food waste Per capita MSW generation rate (kg/cap/d) x proportion of food waste
Food waste is one of the core global issues for us to
achieve sustainable production and consumption pattern
7.2 Recycling
by 2030. Currently, total food waste for the edible parts
of “primary product equivalents” amounts to 1.3 billion Recycling is a central pillar in the transition towards
tonnes (FAO,2013), while an estimated 820 million a circular economy which governments and private
people do not have enough to eat (WHO, 2018). Not sector work together in order to create long term,
only are the resources that went into creating uneaten sustainable economies. In many ways, recycling is seen
food wasted, but when food waste goes to landfill sites, as a final effort to effectively utilize resources after
it decomposes without access to oxygen and creates people try to both reduce their consumption and find
methane, which is 24 times powerful in greenhouse gas more efficient processes in production. Recycling is a
effect than CO2. vital way to reduce the environmental impact of natural
resource extraction, which is rapidly damaging natural
SDG 12.3 calls for a halving of food waste at retail and ecosystems. By investing in recycling and transforming
consumer level and reduce food losses along production already extracted resources, economies can make
and supply chains. SDG target 12.3 has two components, significant strides in decoupling economic growth from
food loss and food waste that should be measured by resource use.
57
Step 4, which collects data on the quantity of materials Both, the WaCT and the WFD, were developed in
entering the recovery system through interviews with harmony. The data collected in Steps 1-6 provides
recovery facilities, can provide data necessary for SDG direct input for the WFD. The WFD was developed in
indicator 12.5.1 National Recycling Rate. cooperation by GIZ, the University of Leeds, Eawag-
Sandec and Wasteaware. The tool and detailed guidance
The recovery system combines different types of are available here: https://plasticpollution.leeds.ac.uk/
recovery activity, including recycling, incineration toolkits/wfd/
with energy recovery and other recovery processes.
Recycling is a recovery process that is defined as “Any
7.4 Greenhouse Gas Emissions and Air Pollution
reprocessing of waste material in a production process
that diverts it from the waste stream, except reuse as Municipal solid waste is a significant source of methane
fuel”. Thus the materials destined for recycling can be and black carbon, two short-lived climate pollutants. As
differentiated from the materials destined for recovery, the third largest man-made source of methane, waste
by understanding the destination of those materials. contributes to climate change and ozone pollution. Open
waste burning and the use of polluting collection vehicles
For the purpose of consistency with the Basel emit black carbon, a key component of particulate matter
Convention reporting and correspondence with (PM2.5) air pollution. When unsustainably managed,
EUROSTAT reporting system, Recovery operations R2 waste is also a breeding ground for toxins and microbes
to R12 listed in Basel Convention Annex IV, are to be that contaminate the air, soil, and water.
considered as ‘Recycling’. The questionnaire for recovery
facilities in the Annex 6 can be integrated into national The emissions of methane and black carbon from a
recycling monitoring system by national government, city can be quantified using the Solid Waste Emissions
which can in turn to be used to report on SDG 12.5.1, by Estimation Tool or SWEET. Information collected using
providing city recovery rate. the WaCT can be used to populate SWEET.
SWEET is an Excel-based tool that quantifies emissions

Total recovered materials ( t/ day )
City Recovery Rate= x 100 (%) of methane, black carbon, and other pollutants from
Total MSW Generated(t/day)
sources in the municipal solid waste sector. The tool
7.3 City Plastic Leakage provides emissions and emissions reduction estimates
at the project-, source-, and municipality-level. Cities can
The Waste Flow Diagram (WFD) is a rapid and use this information for multiple purposes, including
observation-based assessment tool visualizes the MSW establishing a baseline scenario, comparing a baseline
flows applying material flow analysis. Hence it calculates scenario to as many as four alternative scenarios,
the total potential plastic leakage into the environment analyzing specific projects for potential emissions
from the MSW system and determines the eventual reductions, estimating the contribution of activities in the
fate of this uncontrolled waste. Additionally, the WFD waste sector to overall city emissions reduction goals,
enables scenario building, forecasting how proposed and tracking progress over time, among other things.
interventions may impact the solid waste management
system and plastic pollution. When applied at different SWEET was developed by the U.S. Environmental
stages of a project it helps to monitor the effectiveness Protection Agency with support from Abt Associates and
of applied interventions. Results allow benchmarking and SCS Engineers on behalf of the Climate and Clean Air
comparison between plastic pollution of different cities. Coalition Municipal Solid Waste Initiative. SWEET and its
manual are available here: https://www.ccacoalition.org/
en/resources/solid-waste-emissions-estimation-tool-
sweet-version-31
58
59
References
1. Jambeck et al (2015) Plastic waste inputs from land into the ocean. Science 13 Feb 2015: Vol. 347, Issue 6223,
pp. 768-771
2. GIZ, University of Leeds, Eawag-Sandec, Wasteaware (2020). User Manual: Waste Flow Diagram (WFD): A rapid
assessment tool for mapping waste flows and quantifying plastic leakage. Version 1.0. Principal Investigator:
Velis C.A. Research team: Cottom J., Zabaleta I., Zurbruegg C., Stretz J. and Blume S. Eschborn, Germany. Obtain
from: https://plasticpollution.leeds.ac.uk/toolkits/wfd/
3. UN Environment (2015) Global Waste management Outlook
4. Wilson et al. (2015) ‘Wasteaware’ benchmark indicators for integrated sustainable Waste management in cities.
Waste Management 35, 329–342.
5. Wilson et al (2014) User Manual for Wasteaware ISWM Benchmark Indicators Supporting Information to: Wilson
et al., 2014 – doi: 10.1016/j.wasman.2014.10.006
6. World Bank (2018) What a Waste 2.0: A Global Snapshot of Solid Waste Management to 2050
7. UN-Habitat (2010) Solid Waste Management in World Cities
8. Framework for the Development of Environment Statistics (FDES) (https://unstats.un.org/unsd/environment/

FDES/FDES-2015-supporting-tools/FDES.pdf)
9. Manual on the Basic Set of Environment Statistics (https://unstats.un.org/unsd/envstats/fdes/manual_

bses.cshtml): Generation and Management of Waste (https://unstats.un.org/unsd/environment/FDES/
MS_3.3.1_3.3.2_Waste.pdf)
10. UNSD/UNEP Questionnaire on Environment Statistics (waste section) (https://unstats.un.org/unsd/envstats/

questionnaire)
11. UNSD Indicator Tables (waste) (https://unstats.un.org/unsd/envstats/qindicators)
60
61
Annexes
Annex 1: Sample introduction letter
LETTER OF INTRODUCTION
Dear Madame, Sir,
We are glad to inform you that [name of organisation/local government] is

conducting a survey to collect data on the Sustainable Development Goal
indicator 11.6.1 in [name of city/municipality]. This includes collecting
information and waste from households and institutions.
Background of the study is the 2030 Agenda for Sustainable Development,

adopted by all United Nations Member States in 2015, which provides a
shared blueprint for peace and prosperity for people and the planet, now and
in the future. At its heart are the 17 Sustainable Development Goals (SDGs),
which are an urgent call for action to all countries in a global partnership.
SDG 11 aims at “making cities and human settlements inclusive, safe,

resilient and sustainable”. Target 11.6 intents “by 2030, [to] reduce the
adverse per capita environmental impact of cities, including by paying special
attention to air quality and municipal and other waste management”.
To monitor the progress towards this target, an indicator 11.6.1 “proportion

of Municipal Solid Waste collected and managed in a controlled facility out
of total Municipal Solid Waste generated, by cities” was set, and [name of
organisation/local government] would like to obtain information to assess
this. The data obtained from the survey will be used to develop strategies
and plans to improve waste management and achieve better urban living
environment for residents in [name of the city].
We would appreciate your collaboration in allowing [name of organisation/

local government] staff to collect the information and material necessary for
assessing SDG indicator 11.6.1.
Sincerely,
Name of signatory
Position
Name of organisation/local
government
62
Annex 2: Recording sheet for household waste sampling

This form should be used for each survey area.
Survey Area: HH1 HH2 HH3 HH4 HH5 HH6 HH7 HH8 HH9 HH10
Number of residents
Weight of bag (in kg)
Day 2, Date:
Day 3, Date:
Day 4, Date:
Day 5, Date:
Day 6, Date:
Day 7, Date:
Day 8, Date:
Annex 3: Recording sheet for waste composition analysis
This form should be used for both household surveys (Step 2) and disposal facility surveys (Step 6). Print one of
these sheets for each survey area (total 9 sheets), and for the disposal facility composition survey (total 3 sheets).
Survey Area: Composition Composition Composition Sum Average
analysis 1 analysis 2 analysis 3 (kg) (kg)
Categories (kg) (kg) (kg)
1.Kitchen/ canteen waste
2. Garden/ park waste
3. Paper & cardboard
4. Plastics - film
5. Plastics - dense
6. Metals
7. Glass
8. Textiles & shoes
9. Wood (processed)
10. Special wastes
11. Composite products

12. Other
Total
63
Annex 4: Sorting guideline

Waste shall be sorted in the following categories:
1 Kitchen/ canteen waste Cooked or uncooked food, organic waste from food preparation
2 Garden/ park waste Non-food biodegradable materials resulting from landscaping
3 Paper & cardboard Paper & cardboard packaging, paper & cardboard products
4 Plastics - film Thin plastic used in packaging and for other purposes
5 Plastics - dense Hard plastics used in packaging and for other purposes
6 Metals Ferrous and non-ferrous metals packaging and products
7 Glass Glass packaging and products
8 Textiles & shoes Clothes and other textiles, as well as shoes
9 Wood (processed) Untreated and treated processed wood
10 Special wastes Waste electric and electronic equipment (anything with a cable), batteries/
accumulators, other hazardous waste
11 Composite products Products that are made of more than one of the above, for example drink
containers (“tetra pack”), products made of a combination of plastic, metal
and glass and similar.
12 Other Anything that cannot be classified in one of the above categories
Remarks for sorting:
• Packaged food
Separate as far as possible,
e.g. eggshells in plastic packaging: put the egg shells to “1: Kitchen/canteen waste” and the plastic packaging to
“5: Plastics – Dense”
• Hazardous waste
Handle with care! Do not drain! Keep in packaging and classify content and packaging as “10: Special Wastes”
Empty packaging is not any longer considered hazardous, thus classify it according to the packaging material.
1 Kitchen/ canteen waste
Bread, coffee grinds, cooked or uncooked food items, food leftovers,

fruit and vegetables, meat and fish, pet foods, tea bags, peels, skins,
shells, pips and stones,
etc.
2 Garden/ park waste
Flowers; Fruit and vegetable garden waste; Grass Cuttings;

Hedge trimmings; Leaves; Pruning; Tree branches; Weeds,
etc.
64
3 Paper & cardboard
Brochures, magazines, newspapers; cereal packets, noodle boxes;

Fast Food Paper bags/wrapping; Cards, books, wallpapers; Paper
bags, tissue boxes, wrapping paper, tissue paper, Writing paper,
printouts, envelopes, folders, files, letters, directories, tickets,
etc.
4 Plastics - film
Biscuit wrappers; Cling film; Frozen food bags; Packaging plastic film;
Cellotape; Garden sheets; Non-packaging film; Plastic bags; waste
liner bags;
etc.
5 Plastics - dense
All plastic bottles/jars;

Appliance packaging; Egg boxes; Food packaging trays; Plastic lids;
Ready meal trays; Bank/credit cards; Buttons; CDs; music cassettes;
Cosmetic/glue/paint applicators; lighters; pens;
etc.
6 Metals
Packaging for carbonated drinks;
Shoe polish cans; Tinned food; Aerosols (deodorant, perfume,
hairspray); Aluminium foil sheets;
Other food/non-food/pet food containers;
Bike parts; Building materials; Car parts; Cutlery; Keys; Metal shelves;
Nails; Paper clips; Plumbing; Pots and pans; Radiators; Ring pulls;
Safety pins; Screws; Tools; Locks;
etc.
7 Glass
Alcoholic and non-alcoholic drinks bottles/jars;Food jars;

Medicine bottles;Cookware;Flat glass (e.g. table top, window, mirrors,
reinforced, windscreens);Mixed broken glass;
etc.
65
8 Textiles & shoes
Clothes
Balls of wool; Blankets; Carpets; Cloths; Cords; Curtains;
Household soft furnishings and upholstery; Mats; Pillow cases; Rags;
Ropes; Rugs; Sheets; Threads; Towels;
Shoes (incl. flip-flops);
etc.
9 Wood (processed)
Bottle corks, Cork packaging,: Pallets;

Solid timber and timber fragments;
Particle board (e.g. chipboard, plywood, mdf)
Wood fencing; Wooden furniture; Wood work tops;
etc.
10 Special wastes
All Waste Electric and Electronic Equipment, such as clocks, toaster,

electric tools, hair dryer, telephones, Laptops, PCs, printers, screens,
smoke detector, etc;
Batteries/Accumulators (e.g. Lead acid, Nickel cadmium, Lithium Ion);
Other Hazardous Waste such as Asbestos; Fire extinguishers;
chemicals; Glues and solvents; Medicines; Paint products, etc.;
Used face masks and gloves
11 Composite products
Composite Packaging, such as Aluminium-foil coated card and

drinking containers (“tetrapack”);
Products made out of different materials, e.g. Scissors, knifes, razors,
umbrellas, etc.
12 Other
e.g.
inert (Boulders; Bricks; Gravel; Pebbles; Sand; Soil; Stones; Ceramics,
Clay plant pots; Crockery; Stone/ceramic floor and wall tiles; Vases);
Nappies/diapers;
Rubber;
Light bulbs (all kinds)
66
Annex 5: Questionnaire for non-household waste generation

Surveyors name :
Survey area :
Questions for premises
Name of the premise :
Type of business and size (tick the box on the left and provide the size (add other categories and change the unit of
size depending on your business permit system)
Type Size
Hotels # of rooms
Restaurant # of chairs/customers
Supermarket Sqm
Shop Sqm
Market # of stalls
Shopping malls Sqm
School # of pupils
Office # of employee
Hospital # of beds
Q1. How much MSW do you generate per day (especially important in hospitals, we don’t need to know biomedical or
hazardous waste)?
kg/day
Do not know
Q2. Who collects your waste?
City government
Commercial waste collector Name: ________________________________
contact number: )
Questions for waste collector
Name of the waste collector :
Q1. How much waste do you collect from the above premise and how often?
( kg per day(s))
67
Annex 6: Recovery survey questionnaire

Facility / Company Name :

Location :

Contact Person :
Telephone / Email :
Q1. Which category in the recovery value chain below best describes your operation?
End-of-chain recycler/recoverer who receives materials from apex traders or directly from both formal
and informal MSW collection systems and processes them into materials and products that has value
in the economy either through recycling, incineration with energy recovery, or other recovery process.
Apex trader who receive materials from intermediate traders or directly from both formal and informal
recyclable collection systems (including waste pickers), store and prepare these materials for onward
trading to end-of-chain recyclers/recoverers .
Intermediate trader who receive materials from both formal and informal recyclable collection
systems (including waste pickers), store and prepare these materials for onward trading to apex
traders.
Q2. Which recyclable material(s) do you handle? Please tick all that apply.
PET HDPE PP PVC LDPE & Films
EPS Other plastics Paper or Cardboard Glass
Metal Organic waste Mixed waste
Other (Specify: )
Q3. For each of these recoverable/recyclable materials you receive from the MSW stream(s), please provide how
much you source from which suppliers and/or cities. (use a separate line for every combination of material,
trader and source city):
Table Q3
Recyclable Name of supplier Type of supplier* Amount you Source City Point of entry into
material (where applicable) source (kg/d) recovery system (Y/N)**
* “Type of supplier” includes 1) MSW collection system, 2) Many small suppliers (e.g. waste pickers), 3) Intermediate traders
and 4) Apex traders
** “Point of entry into recovery system” is YES (Y) if the material is received from any person, trader or facility that is NOT
itself being included in the survey programme. If the person, trader or facility that the materials have come from is already
included in the survey programme then the answer to the “Point of Entry” query should be NO (N). If NO is checked here,
please ensure that for this material, the actual point of entry to the recovery system has been identified. This column should
be filled by surveyor, not answered by recovery facilities.
68
Q4. For each of these recoverable/recyclable materials you receive from non-MSW stream (s), please provide how
much you source from which companies.
Table Q4
Recyclable material Name of supplying company Amount you receive (kg/d)
Q5. From the total amount you receive, how much do you estimate has been collected informally*?
0% - 19% 20% - 39% 40% -59%
60% - 79% 80% - 100%
*The informal sector refers to individuals or enterprises who are involved in private sector recycling and waste management
activities which are not sponsored, financed, recognised, supported, organised or acknowledged by the formal solid waste
authorities, or which operate in violation of or in competition with formal authorities (Scheinberg et al., 2010)
Q6. What share of the total material recovered in your city do you reckon you process?
0% - 19% 20% - 39% 40% -59%
60% - 79% 80% - 100%
Q7. Please tell us how much residue/rejects are generated during your recovery process in tonnes per day and
where the residue is transported.
Table Q7
Material description Destination Amount you generate (t/d)
Q8. What is your current spare capacity? t/d
69
Annex 7: Decision making tree for determining control level of waste management facilities
To determine the level of control of your waste management facilities you can use the following decision-making
trees.
1. Answer the questions below one-by-one, starting from the top.
2. If the answer is “Yes” jump directly to the question number indicated. If the answer is “No” jump directly
to the question immediately below.
3. Continue until you arrive at a determination of the level of control.
LANDFILL
Question Next Question
Yes No
Is there a physical boundary surrounding the site and
Security F1 F2 I1
supervised access control 24/7
Does site engineering prevent surface and groundwater
F2 F3 I2
Water and ingress into the landfill
leachate control Is there functioning leachate containment and
F3 F4 I3
management
Are the slopes stabilised, including erosion control, to
Slope stabilisation F4 F5 I4
mitigate risk of landslide
Is waste deposited in clearly defined operational areas
F5 F6 I5
Waste handling, with strict management control
compaction and
F6 Is waste layered and compacted promptly F7 B5
cover
F7 Is daily and intermediate cover applied to waste F8 I7
Is their zero evidence of burning of waste on the surface
Fire control F8 F9 L3
of the landfill
Landfill gas Is landfill gas controlled, including utilisation where
F9 F10 I9
management practicable
Is it staffed full time with professionally qualified
Staffing F10 F11 I10
personnel
Does the site have a functional weighbridge in use,
Records F11 F12 L3
recording waste quantities by waste types
Are EHS measures implemented in accordance with a
F12 F13 I12
professional risk assessment and operating plan
Environment,
Health and Safety F13 Are there showering and sanitary facilities F14 I13
(EHS)
Is an environmental monitoring system in place with
F14 F15 B13
annual reporting capability
Is there a site development and operational filling plan
F15 F16 I15
in place
Site planning
End >> Improved
F16 Is there a post closure plan in place End >> Full Control
control
Security I1 I2 B1
supervised access control
Does site engineering prevent surface water ingress into
I2 I3 B2
Water and the landfill
leachate control Are measures taken to prevent seepage of untreated
I3 I4 B3
leachate into surface and groundwater
Slope stabilisation I4 Are the slopes stabilised, mitigating risk of landslide I5 L2
70
I5 Is waste deposited in a supervised operational area I6 B4
Waste handling,
compaction and I6 Is waste layered and compacted promptly I7 B6
cover
I7 Is waste periodically covered I8 B7
Fire control I8 I9 L3
of the landfill
Landfill gas
I9 Is landfill gas controlled, including venting or flaring I10 B9
management
Staffing I10 Is the site staffed with trained personnel I11 B9
Functional weighbridge in use with data for each
Records I11 I12 B10
delivered waste load recorded in a register
Are procedures in place to ensure the health and safety
I12 I13 B11
of workers
EHS I13 Are there toilets and hand washing stations I14 L5
Is an environmental monitoring system in place with
I14 I15 B13
annual reporting capability
End >> Improved
Site planning I15 Is there an operational filling plan in place B13
control
Is there boundary and access control allowing single
Security B1 B2 L1
point of supervised access
Is there any perimeter drainage maintained around the
Water control B2 B3 L2
site
Slope stabilisation B3 Are the slopes stabilised, mitigating risk of landslide B4 L2
Are waste trucks directed to a specific operational area
B4 B5 L2
of disposal
Waste handling, B5 Is there heavy mechanical equipment reliably available B6 L2
compaction and
cover Is waste layered and compacted within the specific
B6 B7 L2
operational area
B7 Is there some use of cover material B8 L2
Fire control B8 B9 L3
of the landfill
Staffing B9 Are staff on site during operational hours B10 L4
Records B10 Is there a functional weighbridge in use B11 L5
B11 Are there toilets and hand washing stations B12 L6
EHS
B12 Are basic personal protective equipment in use B13 End >> No control
Is there a site drawing showing the landfill boundary and End >> Basic End >> Limited
Other B13
filling area Control Control
Is there some level of access control to limit
Security L1 L2 End >> No control
unauthorised dumping
Is there heavy mechanical equipment available for
Waste handling, L2 L3 End >> No control
minimum levelling and compaction
compaction and
cover Is there only limited evidence of burning of waste on the
L3 L4 End >> No control
surface of the landfill
Staffing L4 Do staff check the site regularly L5 End >> No control
Records L5 Are waste deliveries recorded L6 End >> No control
End >> Limited
EHS L6 Are basic personal protective equipment in use End >> No control
Control
OTHER RECOVERY FACILITIES

Yes No
F1 Is the facility registered/licensed F2 I1
Identity
F2 Does the site have clearly marked boundaries F3 B2
Security F3 F4 I3
F4 Is the facility engineered with process control F5 B3
Standards Does the facility have environmental pollution control
F5 F6 I5
compliant with applicable environmental standards
Are materials extracted being delivered into recycling/
F6 F7a B3
recovery markets
Circularity F7a Does the facility process organic waste F7b F8
Is the nutrient value of biologically recovered materials
F7b F8 I6
utilized in agriculture/horticulture
Are residues managed in accordance with applicable
Residues F8 F9 I7
environmental standards
Fire control F9 Are fire prevention and control measures in place F10 I8
Staffing F10 F11 I9
personnel
F11 F12 I10
EHS professional risk assessment and operating plan
F12 Are there showering and sanitary facilities F13 I11
Are incoming/outgoing materials weighed and recorded End >> Basic
Records F13 End >> Full control
in a register control
I1 Is the facility registered I2 L1
Identity
I2 Does the site have clearly marked boundaries I3 L1
Does the site have boundary and supervised access
Security I3 I4 B3
control
I4 Is the facility engineered with process control I5 B3
Standards Are some environmental pollution control measures
I5 I6 B3
taken
Are materials extracted being delivered into recycling or
Circularity I6 I7 B3
recovery markets.
Residues I7 Residues disposed of into the city MSW system I8 B3
Fire control I8 Are fire extinguishers available on site I9 B3
Staffing I9 Is the site staffed with trained personnel I10 B3
I10 Are EHS measures implemented for all people on site I11 B3
EHS
I11 Are there toilets and hand washing stations I12 B3
Are incoming/outgoing loads weighed and recorded in End >> Improved End >> Basic
Records I12
a register control control
B1 Is the facility registered B2 L1
Identity
B2 Does the site have distinguishable boundaries B3 End >> No control
Is there personal protective equipment in use and water End >> Basic
EHS B3 End >> No control
for hand washing control
Identity L1 Does the site have distinguishable boundaries L2 End >> No control
Is there personal protective equipment in use and water End >> Limited
EHS L2 End >> No control
INCINERATION
Yes No
F1 Is the facility registered and licensed/permitted F2 I1
Identity
F2 Does the site have clearly marked boundaries F3 B2
Security F3 F4 I3
F4 Is the facility engineered with process control F5 L3
Is there continuous monitoring and recording of
F5 F6 I5
operating parameters and emissions
Does the facility have flue gas controls compliant with
F6 F7 I6
applicable environmental standards
Are process controls and instrumentation systems
F7 F8 I7
Standards routinely calibrated
Are there asset management and maintenance plans in
F8 F9 I8
place
Is there evidence of maintenance according to the
F9 F10 I9
maintenance plan
Are emissions periodically sampled and tested by
F10 F11 I10
external laboratories
Circularity F11 Does the facility have energy recovery and utilisation F12 B8
If effluents are generated, are they managed in
F12 F13 I11
compliance with applicable environmental standards
Residues
Are de-ashing and flue gas treatment residues managed
F13 F14 I12
in compliance with applicable environmental standards
Fire control F14 Are fire prevention and control measures in place F15 I13
Staffing F15 F16 I14
personnel
F16 F17 I15
EHS professional risk assessment and operating plan
F17 Are there showering and sanitary facilities F18 I16
Are incoming/outgoing materials weighed and recorded End >> Basic
Records F18 End >> Full control
in a register control
I1 Is the facility registered I2 L1
Identity
I2 Does the site have clearly marked boundaries I3 B2
Does the site have boundary and supervised access
Security I3 I4 B3
control
I4 Is the facility engineered with process control I5 L2
Is there continuous monitoring of operating parameters
I5 I6 B4
and emissions
I6 Does the facility have flue gas treatment system I7 B5
Standards
I7 Are monitoring systems routinely calibrated I8 B6
Is there a maintenance plan or documented
I8 I9 B7
maintenance schedules
I9 Is there evidence that equipment is well maintained I10 L3
Circularity I10 Does the facility have energy recovery and utilisation I11 B8
If effluents are generated, are they discharged to a
I11 I12 L5
permitted discharge point
Residues Are solid residues disposed at facility designated for
I12 incineration residues disposal according to applicable I13 L5
Fire control I13 Are fire extinguishers available on site I14 B10
Does site have sufficient number of trained staff for level
Staffing I14 I15 B10
of operation
I15 Are EHS measures implemented for all people on site I16 B11
EHS
I16 Are there toilets and hand washing stations I17 B11
Are incoming/outgoing loads weighed and recorded in End >> Improved End >> Basic
Records I17
a register control control
B1 Is the facility registered B2 L1
Identity
B2 Does the site have distinguishable boundaries B3 End >> No control
B3 Is the facility engineered with process control B4 L2
Are operating parameters (temperature, smoke etc)
B4 B5 L2
continuously monitored and recorded
Standards
B5 Does the facility have some form of flue gas control B6 L3
B6 Are monitoring systems occasionally calibrated B7 L3
B7 Is there evidence equipment is well maintained B8 L3
If effluents are generated, are they discharged to a

B8 B9 L4
permitted discharge point
Residues Are solid residues disposed at facility designated for
B9 incineration residues disposal according to applicable B10 L4
Does facility have a trained supervisor and staff on site
Staffing B10 B11 L4
during operating hours
Is there personal protective equipment in use and water End >> Basic
EHS B11 End >> No control
Identity L1 Does the site have distinguishable boundaries IL2 End >> No control
L2 Are operating parameters logged IL3 End >> No control
Standards
L3 Is there some evidence equipment is maintained IL4 End >> No control
Staffing L4 Does facility have staff on site during operational hours IL5 End >> No control
Is there personal protective equipment in use and water End >> Limited
EHS L5 End >> No control
X1 FULL CONTROL
X2 IMPROVED CONTROL
X3 BASIC CONTROL
X4 LIMITED CONTROL
X5 NO CONTROL
74
75
P.O. Box 30030, Nairobi 00100, Kenya

T: +254-20-76263120
E: unhabitat-info@un.org

Waste Wise Cities Tool - en 3

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Step by Step Guide to Assess a City’s Municipal Solid Waste

Ms. Maimuna Mohd Sharif

Parameters for MSWM Assessment for SDG indicator 11.6.1 18

Step-by-Step Guide to Assess SDG 11.6.1 Indicator 23

BRS Basel, Rotterdam and Stockholm Convention

Waste Wise Cities Tool (WaCT) guides readers through 7 steps to

of global anthropogenic GHG

number is expected to grow to

3.5 Billion 8 Million

Many SDGs directly relate to waste management. These

Waste Wise Cities Tool and the SDG indicator 11.6.1

What the Waste Wise Cities Tool can achieve:

Future Waste Flow in Mombasa

Figure 1: What MSW collected means in SDG 11.6.1

Point of Generation Point of Recovery & Disposal

Point of Generation Point of Recovery & Disposal

Incineration is the controlled combustion of waste with or without energy recovery.

Figure 2: Complexity in the recovery chain (plastic example)

Table 2: Ladder of control level for landfill sites

Waste handling and »» No mechanical equipment

Table 3: Ladder of control level for incineration

Table 4: Ladder of control level for other recovery facilities

Identity »» Registered facilities

Improved Circularity »» Extracted materials delivered into recycling/recovery markets

Formal waste management relates to waste management activities undertaken by units

Parameters for MSWM Assessment

Figure 3: Concept figure of SDG indicator 11.6.1

MSW received by Recyclables

The calculation of SDG indicator 11.6.1. is broken down to two sub-indicators:

Total MSW collected ( t/ day )

Per capita household food waste generation=

Total recovered materials ( t/ day )

» Total MSW generated by the city

» Total MSW collected

» Total MSW managed in controlled facilities

Equation 1: Total MSW1 collected

Total MSW collected

Total MSW Generated

Equation 2: Total MSW managed in controlled facilities

MSW MSW Recyclables

Additional data points E. MSW Composition

Equation 3: Total uncollected MSW

Step-by-Step Guide to Assess SDG

Waste Wise Cities Tool’s 7 Steps

Figure 4: Waste Wise Cities Tool’s 7 Steps

1.4 Identify key stakeholders and partnerships

Key stakeholders can include: • Non-governmental organisations (NGOs):

• Public collection service providers: often • Waste generators: members of households,

• Formal private collection service providers:

Table 5: Typical workflow from Step 1 to Step 7

Activities DAYS Minimum

Step 1: Preparation 2-3 experts

1.3 Prepare tools and equipment

1.4 Identify key stakeholders and partnerships

1.6 Obtain necessary data from statistics office

2.2 Waste sampling and waste composition 2 persons per

3.5 Calculate MSW generated by non-household

1.6 Obtain necessary data from statistics office