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
management and plastic pollution is a reflection of
our unsustainable lifestyles. We are consuming andproducing at a rate that boggles the mind.
With 2 billion people lacking access to solid waste
collection and 3 billion people without access tocontrolled solid waste disposal facilities, urban dwellers,
especially in low to middle income countries, areexposed to severe threats to public health due to themismanagement of solid waste. However, if our waste
is managed appropriately and effectively, it will be aresource for a prosperous circular economy, creating
green jobs and enhancing the livelihood and income forthe urban poor. At the same time, we can reduce the useof natural resources and protecting our environment.
Knowing the risks of mismanaging solid waste andthe potential of sustainable waste management, many
cities are eager to find solutions for the ever-increasing
mountains of waste. That is why I launched the Waste
Wise Cities programme on World Habitat day 2018
together with His Excellency, President Uhuru Kenyatta
of Kenya, with a call to action to address the global
waste management challenges and strive towards
the Sustainable Development Goals (SDGs). In thepast two years more than 170 cities have taken up thecall and dedicated themselves to sustainable waste
management.
However, without basic data on municipal solid waste
generation and management, many cities and countries
are not able to make evidence-based decisions. I recall
that when I was Mayor of Seberang Perai in Malaysia,
about 40% of the municipal revenues were goingtowards waste management. This meant that we could
not allocate funds for parks, road works, healthcare,or public transport. Once we were able to map andunderstand better where waste was generated and how
it was managed, we were able to reduce the overall
cost of waste management. Eventually, we managed
to reduce the share of the city’s budget to 20% as therate of recycling increased from 15% to 56%. Data is key
to allow cities to identify effective policy interventions
and allocate limited resources to build the right kind of

infrastructure. In Nairobi, Kenya, the host city of UNHabitat headquarters, we have worked with Nairobi CityCounty Government in applying the Waste Wise Cities
Tool – which led to the development of the Nairobi CityCounty Sustainable Waste Management Action Plan
2020-2022.
The 2030 Agenda and the SDGs highlight waste
management with different targets and indicators
measuring the waste management performance both atmunicipal and national level (SDGs 11.6, 12.3, 12.4, 12.5
and 14.1). Measuring SDG Indicator 11.6.1, “Proportionof municipal solid waste collected and managed incontrolled facilities out of total municipal solid waste
generated, by the city”, provides critical informationand parameters to establish better waste and resource
management strategies that will help cities to createbusiness, employment and livelihood opportunities, andtransition towards a circular economy.
UN-Habitat is mandated to develop the monitoring
methodology for SDG indicator 11.6.1 and has worked
closely with relevant UN agencies such as UN Statistics
Division and UN Environment, as well as prominent waste
management experts and environmental statisticiansfrom all over the world. These common efforts have
led to the development of the Waste Wise Cities Tool, adiagnostic tool that cities apply to assess their municipal
solid waste management performance and use as basis
for sustainable solid waste management planning.
This publication will be valuable for policy makers,municipal engineers, independent service providers,planners, consultants, researchers and otherprofessionals engaged in designing solid waste
management systems in cities lacking up-to-date data.
It is my hope that fact-based data on municipal solid
waste assessed with this tool will guide evidence-basedplanning and lead to effective and efficient solid waste
collection systems, enhanced local resource recovery
and controlled waste disposal, thereby improving thequality of life for urban residents and eventually achieve
the New Urban Agenda as well as the SDGs in the waste
sector.

Ms. Maimuna Mohd Sharif
Executive Director, UN-Habitatiii

Waste Wise Cities Tool

Acknowledgements
Preparation of this publication was funded by the
Ministry of the Environment, Japan through African
Clean Cities Platform, the German Federal Ministry for
the Environment, Nature Conservation and Nuclear
Safety’s International Climate Initiative (IKI) through the
Urban Pathways Project, and the Norwegian Agency for
Development Cooperation through the UN Environment
Programme and the Global Partnership on Marine Litterfor the Marine Litter Hotspot Identification and Waste
Management Infrastructure Gap Identification project.
The substantive preparation was led by UN-Habitat’s
waste team within the Urban Basic Services Section
working with experts from Wasteaware, Eawag, andthe University of Leeds. Principal authors/editors are
Nao Takeuchi (UN-Habitat), Imanol Zabaleta (Eawag)
and Andrew Whiteman (Wasteaware). Andre Dzikus(UN-Habitat), Debashish Bhattacharjee (UN-Habitat)
and Graham Alabaster (UN-Habitat) provided overall
guidance for the publication. Authors were supported
by contributors and reviewers comprising of Donatien
Beguy (UN-Habitat), Steffen Blume (GIZ), Francesca
Calisesi (UN-Habitat), Dr Josh Cottom (University ofLeeds), Eric DesRoberts (USAID), Kartik Kapoor (UNHabitat), Nele Kapp (UN-Habitat), Hiroshi Kato (EXRI),
Kosuke Kawai (National Institute for Environmental
Studies, Japan), Kishori Kedlaya (USAID), Joyce Klu(Wasteaware), Eiko Kojima (JICA), Laurie Krieger(USAID), David Marquis (RWA), Ikuo Mori (EXRI), Robert
Ndugwa (UN-Habitat), David Newby (DNA), Clementine
O'Connor (UNEP), Setsuko Oya (USAID), Dr Tom Quested(WRAP), Dr Anne Scheinberg, (Springloop CooperativeU.A.), Vijdan Şengör (Wasteaware), Dr Costas Velis(University of Leeds), Professor David. C. Wilson(Imperial College London/independent consultant), andDr Christian Zurbrügg (Eawag).

iv

The draft methodology was piloted in Nairobi, Mombasa,
Kenya and Mahé, Seychelles with a strong support fromlocal government officials including: Veska Kangogo(Nairobi City County Government), Isaac Muraya (Nairobi
City County Government), Hibrahim Nyakach (Nairobi
City County Government), Patricia Akinyi (Nairobi CityCounty Government), Dr Godffrey Nato (Mombasa
County Government), Dr June Mwajuma (Mombasa
County Government), Moses Mkalla (Mombasa County
Government), Amar Jumaan (Mombasa County
Government), Flavien Joubert (Government of Republicof Seychelles), Rahul Mangroo (Government of Republicof Seychelles) Michael Labonte (Government of Republicof Seychelles) and Brian Quarte (Government of Republicof Seychelles).
This publication benefited from consultations withand reviews by eminent researchers and solid waste
management experts including: Kees Baldé (UNU),
Steffen Blume (GIZ), Karin Blumenthal (EU), Jillian
Campbell (UNEP), Ludgarde Coppens (UNEP), Diana
Gheorghiu (Green Partners/RWA), Ellen Gunsilius (GIZ),
Myriam Linster (OECD), David Marquis (UNEP), Michael
Nagy (UNECE), Marcus Newbury (UNSD), Aditi Ramola(ISWA), Reena Shah (UNSD), Reka Soos (Green Partners/
RWA) and Tatiana Terekhova (BRS Secretariat).
This publication is dedicated to the memory of Manus
Coffey, a thinker, designer, creator and innovator inmunicipal solid waste management. Manus wasprincipal author of the UN-Habitat 2010 publication
Collection of Municipal Solid Waste in Developing
Countries, which remains to this day essential readingfor practitioners working towards the Sustainable
Development Goals.

Waste Wise Cities Tool

Contents
Forewordiii

Acknowledgementsiv

List of AcronymsviSummary

1

Introduction
The Problem
Waste Wise Cities – Supporting Cities to Achieve SDGs related to Waste
The Sustainable Development Goals and Waste Management
Waste Wise Cities Tool and the SDG indicator 11.6.1
What the Waste Wise Cities Tool can achieve:

3
3
4
4
6
7

Key Definitions

10

Parameters for MSWM Assessment for SDG indicator 11.6.1
Concept Model
FormulasData points
Additional data points

18
18
19
19
21

Step-by-Step Guide to Assess SDG 11.6.1 Indicator
Waste Wise Cities Tool’s 7 Steps
Step 1: Preparation
Step 2: Household MSW Generation and Composition
Step 3: Non-Household MSW Generation
Step 4: MSW Received by Recovery Facilities and Control Level of Recovery Facilities
Step 5: MSW Received by Disposal Facilities and Control Level of Disposal Facilities
Step 6: Waste Composition at Disposal Facilities
Step 7: Calculating food waste, recycling, plastic leakage, greenhouse gas emissions andair pollution

23
23
24
30
40
44
48
52

References

57

Annexes59

54v

Waste Wise Cities Tool

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 Organizationvi

Waste Wise Cities Tool

Summary
Waste Wise Cities Tool (WaCT) guides readers through 7 steps tocollect data on municipal solid waste (MSW) generated, collected, andmanaged 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 ofwaste management facilities in a city.
Chapter 1 introduces the global challenge of
waste management touching upon the necessity ofstandardized methodology to assess municipal solid
waste management performance and increasing
capacity development needs in data collection at
the municipal level especially in the low and middleincome countries. It also introduces what can beachieved through the application of Waste Wise Cities
Tool, showing the case study in Mombasa, Kenya.
Chapter 2 provides definitions of key terminologies
and new concepts used for the calculation of the SDG
indicator 11.6.1. It also provides the ‘ladder of control
level’ of waste management facilities, which will bea guideline for operational improvements of different
waste management facilities. The ‘ladder of waste
collection services’ introduced here also is a newconcept to measure population with ‘access to waste
collection services’ an important indicator in relation
to poverty eradication.

Chapter 3 takes readers through the parameters andformulas for MSWM assessment for SDG indicator
11.6.1. The chapter explains the conceptual model
behind the methodology and it also outlines thenecessary data points with formulas.
Chapter 4 takes the readers through the 7 steps ofthe Waste Wise Cities Tool: preparation; household
MSW generation and composition; non-household
MSW; MSW received by recovery facilities and control
level of recovery facilities; MSW received by disposal
facilities and control level of disposal facilities; waste
composition at disposal facilities; calculating foodwaste, recycling, and plastic leakage..
Data forms and tools are available to support eachstep. Collected data can be entered into an automated
WaCT Data Collection Application (DCA) workbook
and submitted to UN-Habitat’s Waste Wise Cities
Programme.

1Waste Wise Cities Tool

2

Waste Wise Cities Tool

Introduction
2 Billion
Tonnesof municipal solid waste
were generated in 2015

the wastesector8-10%
is predicted to accountof global anthropogenic GHG
emissions by 2025 underbusiness as usual scenario
number is expected to grow to

3.5 Billion
Tonnesby 2050

8 Million
Tonnesof plastic find its way into theworld’s oceans every year

The Problem
The global scale of urbanization and economic growth
are creating a potential “time-bomb” regarding thewaste we generate in the world. If not addressed now,the significant negative impact on human health andthe environment will be felt by nations at all levels ofdevelopment. An estimated 2 billion tonnes of municipal
solid waste (MSW) are being generated annually, and thisnumber is expected to grow to 3.4 billion tonnes by 2050
under a business-as-usual scenario (World Bank, 2018).
Uncontrolled disposal sites are already a major sourceof Greenhouse Gases (GHG), and if we continue on thecurrent path the waste sector, particularly food waste, ispredicted to account for 8-10% of global anthropogenic
GHG emissions by 2025. Additionally, every year at least
8 million tonnes of plastic find its way into the world’s
oceans (Jambeck et al., 2015).

The quantity of waste generated grows with socioeconomic development, and as the population in cities
become denser, acute public health and environmental
problems become more commonplace. Poor waste
management results in agglomeration of uncollected
waste, the build-up of rodent and insect populations,open waste burning with concomitant impacts on publichealth and pollution of air, soil and water. Furthermore,unmanaged and mismanaged waste is the main sourceof marine plastic pollution.
On the other hand, waste management offers great
opportunities: resource recovery lessens the dependency
on resource imports and reduces natural resource
extraction; it enhances livelihoods and income for theurban poor through new business models; and improves
quality of life for urban citizens.

3

Waste Wise Cities – Supporting
Cities to Achieve SDGs related to
Waste
UN-Habitat launched Waste Wise Cities on World Habitat
Day in 2018 with a call to action to tackle the global
challenge of waste management. Waste Wise Cities
has four key action areas namely: 1) knowledge andbest practice sharing; 2) waste data and monitoring; 3)
education and advocacy and 4) finance and bankability
support. Waste Wise Cities aims to support cities
and local governments in achieving the Sustainable
Development Goals related to waste and as well as in
implementing the New Urban Agenda.

The Sustainable Development
Goals and Waste Management
The 2030 Agenda for Sustainable Development and its
17 Sustainable Development Goals (SDGs) were adopted
by the United Nations in September 2015. Several targets
were set out to address waste management, material
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
dumping to improve water quality (Target 6.3.), municipal
solid waste management (Target 11.6), food waste(Target 12.3), chemicals and hazardous waste, including
e-waste (Target 12.4), recycling (Target 12.5), and marine

litter (14.1). In addition, two closely related targets lookat domestic material consumption and material footprint(8.4 and 12.2). Consequently, a sustainable waste
management can contribute to the achievement of anumber of SDGs.
A variety of indicators exist to monitor progress towards
achieving each SDG target. Each indicator was assigned
a so-called custodian agency, as well as partner
agencies. Custodian agencies are United Nations bodies(and in some cases, other international organizations)
responsible for compiling and verifying country data
and metadata, and for submitting the data, along with
regional and global aggregates, to the United Nations
Statistics Division (UNSD). UN-Habitat is for example thecustodian agency of SDG Indicator 11.6.1 “Proportionof municipal solid waste collected and managed incontrolled facilities out of total municipal solid waste
generated, by the city”. UN-Habitat has worked on thedevelopment of the monitoring methodology for thisindicator coherent with other waste statistics systems
in the world. This has crystalized into the current “Waste
Wise Cities Tool” (WaCT).

17

16

1

2

15
14

3
4

Waste
Management

13

5
6

12
11

7
10

4

9

8

Waste Wise Cities Tool

5

Waste Wise Cities Tool

Waste Wise Cities Tool and the SDG indicator 11.6.1
Assessing and monitoring SDG indicator 11.6.1“Proportion of municipal solid waste collected andmanaged in controlled facilities out of total municipal
solid waste generated, by the city”, provides criticalinformation for cities and countries to establish better
waste and resource management strategies. So
far, reliable data and information on municipal solid
waste generation and management is lacking globally,
especially in low- and middle-income country cities.
Where data exists, it is often generated based oninternational comparisons, without having been validated
in the local context.
A global data collection and publication system throughthe UNSD/UNEP Questionnaire on Environment Statistics
has collected data on MSW collection and treatment
for about 20 years. Data has been received from about
160 to 170 countries, covering both national and citylevels. However, the response rate for the UNSD/
UNEP questionnaire is hovering around 50% and data
completeness and quality remain a challenge, especiallyfor developing countries. This indicates that it is criticalto improve the availability and accessibility of waste
statistics and increase training for collection of data andcapacity development on the ground.
This paucity of evidence-based data hinders thedevelopment of waste management strategies andconstrains investment decision-making in infrastructureand service expansion, leading in many countries toinsufficient or absent MSW management services. Poor
MSW collection and management trigger severe threats
to public health and pollute air and water. Furthermore,
uncollected, and mismanaged waste is the main sourceof marine plastic pollution.

6

SDG indicator 11.6.1 quantifies parameters that will
help cities and countries to better manage resources,
mitigate and prevent environmental pollution, createbusiness, employment and livelihood opportunities, andshift towards a circular economy. The methodology tomonitor SDG indicator 11.6.1 provides guidelines for
ladders for MSW collection services and control levelof waste management facilities, and aims to bringstandardized definitions, nomenclature and techniques
to MSW data collection.
Waste Wise Cities Tool - Step by Step Guide toAssess a City’s MSWM Performance through SDG
indicator 11.6.1 Monitoring guides readers through thesteps to assess the environmental performance of amunicipal solid waste management (MSWM) system(SDG 11.6.1), food waste generation (SDG 12.3.1) andresource recovery systems (SDG 12.5.1) in cities.
The Waste Wise Cities Tool (WaCT) consists of sevensteps to guide cities on how to collect data on MSW
generated, collected, and managed in controlled
facilities. The tool provides a household survey guidefor estimating total MSW generation, a questionnaire toinvestigate the MSW recovery chain and criteria to checkthe environmental control level of waste management
facilities in the city. In the last step onward linkages toother SDG indicators are elaborated and an assessment
using a Waste Flow Diagram (WFD) is introduced. The
WFD is a separate but complementary methodology
to the Waste Wise Cities Tool. It uses rapid andobservation-based assessment for mapping waste flows
and quantifying plastic leakage from MSW management
systems (GIZ et al., 2020).

Waste Wise Cities Tool

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% ismanaged 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Waste Wise Cities Tool

The assessment was followed by a local stakeholders workshop, which identified key intervention areasand 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, andmany more. The following figure shows the future waste flow envisioned by participants during the workshop in
Mombasa.
Future Waste Flow in Mombasa
Source Separation andEnvironmental AwarenessRaising and Education

Collection capacity
expansion (more vehicles
and introduction oftransfer stations)
Licensing of CBOs

Composting or
anaerobic digestion

Wet Waste
60% (530t)

Mombasa County & Private
Collection Companies

Waste Generators

880 t/day

Dry Waste

Infrastructure Investment (composting, MRFs, RDFs, etc)

Soil Improvement and gas

Un-recoverable fraction of MSW
100t

Private Recycling
Companies

Cleaning CBOs

Products and raw material

50t

40% (350t)

Fuel

Material Recovery Facilities
Refuse Derived Fuel Factory

300t

8

Disposal operation
improvement

Cement Companies

Waste Wise Cities Tool

9

Waste Wise Cities Tool

Key Definitions

MSW

Generation

Collection

Municipal Solid Waste includes waste generated from: households, commerce andtrade, small businesses, office buildings and institutions (schools, hospitals, governmentbuildings). It also includes bulky waste (e.g. white goods, old furniture, mattresses) andwaste 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 frommunicipal sewage network and treatment, municipal construction and demolition waste..

Total MSW Generated by the City is the total MSW generated by the population and theireconomic activities within the defined system boundary.

Total MSW Collected refers to the amount of MSW generated that is moved from the pointof 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

Waste Wise Cities Tool

Figure 1: What MSW collected means in SDG 11.6.1

Point of Generation

Point of Recovery & Disposal

Specific addresses
Recovery facilities
Residue

Designatedcollection
pointsRecyclables

Disposal facilities

MSW
MSW
Residue
Proportion
Table 1: The definition of the sub-indicator ladderof service
level. received byreceivedbyfromof MSW
recoverydisposal
recoverycollected
facilities
facilities Definitionfacilities
Service Level

Full

Improved

Door-to-door

A designated collection point»»»»

Basic frequency and regularity

Limited

No

Within 200m distance

Point
of
Generation»»
Without
major litteringof Recovery
Disposal»Point»Basicfrequency&andregularity»»

Separation in three or more fractions»»»»

Separation in three or more fractions»»

Basic frequency and regularity»»

Within 200m distance»»Without major littering»»»»

Separation in two fractions»»

Basic frequency and regularityLevel»»

Basic frequency and regularity»»»»

Without major littering»»»»

No Separation
Designated»»Without major littering»»

No Separation»»

Within 200m distance but no basic
frequency and regularity or»»

Further than 200m distance.

»»

ResidueWithmajor littering
recoveredSpecific addresses

»»
Basic

Recyclables
recoveredfromdisposalfacilities

collection
points»»Without basic frequency and regularity.

»»

With major littering

Proportionof MSW»»collected

MSW
MSW
received byreceived byReceiving norecovery
waste collection disposal
servicefacilities
facilities

Point of Generation

Without major littering

Control

Recoveryfacilities
Withoutmajor
littering

Separation in two fractions

Residue

Recyclables

Within 200m distance served

Basic frequency and regularity
Disposal facilities

Recyclables

fromrecoveryfacilities

fromdisposalfacilities

Point of Recovery & Disposal

Specific addresses
Recovery facilities
Residue

Recyclables

11

Waste Wise Cities Tool

RecoveryRecovery means any operation the principal result of which is waste serving a useful purposeby replacing other materials which would otherwise have been used to fulfil a particularfunction, 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 ofdifferent activities and facilities that are undertaking recovery processes.

Point of entry into recovery system is the first discernible location where a facility within therecovery system receives waste containing potentially recoverable materials. It excludes thetransfer 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 thatcombines 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 plantsi.e., at the place of generation should be excluded.” For the purpose of consistency with theBasel 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Waste Wise Cities Tool

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 thewaste stream until it will be reprocessed into products, materials or substances that havemarket 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 toapex traders.
Apex traders receive materials from intermediate traders or directly from both formal andinformal recyclable collection systems (including waste pickers), store and prepare thesematerials for onward trading to end-of-chain recyclers/recoverers.
End of chain recycler/recoverer receives materials from apex traders or direct from bothformal and informal MSW collection systems and processes them into materials andproducts 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)
FormalEnd-of-Chain
Recyclers/Recovers

Apex TradersIntermediate Traders

Waste Pickers
Informal13

Waste Wise Cities Tool

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 orenergy.

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. Suchsites 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 unrecognizedplaces 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.

Controllevelof MSW
recoveryanddisposalfacilities

14

MSW Managed in Controlled Facilities refers to MSW collected and transported to recovery
and disposal facilities that are operated under basic, improved or full control according to theLadder of waste management facilities’ control level (Table 2). The Ladder can be used asa checklist for assessing the level of control of a particular recovery or disposal facility. The
facility should be classified by going through the decision-making tree attached in Annex 7.
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)
standard is not regarded as a controlled facility.

Waste Wise Cities Tool
Table 2: Ladder of control level for landfill sites

CONTROL
LEVEL

FullControl

Improved
ControlCategory

Landfill Site

Security»» Physical boundary surrounding the site and supervised access control 24/7

Water and leachate
control»» Site engineering preventing surface and groundwater ingress into the landfill»» Functioning leachate containment and management

Slope stabilization»» Slopes stabilized, including erosion control, to mitigate risk of landslide

Waste handling,
compaction andcover»» Waste deposited in clearly defined operational areas with strict management
control»» Waste layered and compacted promptly»» Daily and intermediate cover applied

Fire control»» Zero evidence of burning of waste on the surface of the landfill

Landfill gas
management»» Landfill gas controlled with utilization where practicable

Staffing»» Site staffed full-time with professionally qualified personnel

Recording»» Functional weighbridge in use with recording waste quantities by waste types

Environment Healthand Safety (EHS)_»» EHS measures implemented in accordance with professional risk assessmentand operating plan»» Showering and sanitary facilities»» Environmental monitoring system in place with annual reporting capability

Site planning»» Site development and operational filling plan in place»» Post closure plan in place

Security»» Physical boundary surrounding the site and supervised access control

Water and leachate
control»» Site engineering preventing surface water ingress into the landfill»» Measures taken to prevent seepage of untreated leachate into surface andgroundwater

Slope stabilization»» Slopes stabilized, mitigating risk of landslide

Waste handling,
compaction a ndcover»» Waste deposited in supervised operational area»» Waste layered and compacted promptly»» Waste periodically covered

Fire control»» Zero evidence of burning of waste on the surface of the landfill

Landfill gas
management»» Landfill gas controlled, including venting or flaring

Staffing»» Site staffed with trained personnel

Recording»» Functional weighbridge in use with data for each delivered waste load
recorded in a register

EHS»» Procedures in place to ensure heath and safety of workers»» Toilets and hand washing stations»» Environmental monitoring system in place with annual reporting capability

Site planning»» Operational filling plan in place

15

Waste Wise Cities Tool

Basic
Control

LimitedControl

No
Control

16

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 handling,
compaction andcover»» Waste trucks directed to specific operational area of disposal»» Heavy mechanical equipment reliably available»» Waste layered and compacted within the specific operational area»» Some use of cover material

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

EHS»» Basic personal protective equipment in use»» 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 andcompaction»» Heavy mechanical equipment available for minimum levelling andcompaction

Fire control»» Limited evidence of burning of waste on the surface of the landfill

Staffing»» Staff checking the site regularly

Recording»» Waste deliveries recorded

EHS»» Basic personal protective equipment in use

Security»» No access control

Waste handling andcompaction»» No mechanical equipment»» No levelling and compaction

Fire control»» Site on fire

Staffing»» No staff

Recording»» No recordingWaste Wise Cities Tool
Table 3: Ladder of control level for incineration

CONTROL
LEVEL

FullControl

Improved
Control

Incineration (with or without Energy Recovery)
Identity»» Registered and licensed/permitted facility»» Clearly marked boundaries

Security»» Physical boundary surrounding the site and supervised access control 24/7

Standards»» Engineered facilities with process control»» Continuous monitoring and recording of operating parameters and emissions»» Flue gas controls compliant with applicable environmental 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

Circularity»» Facility has energy recovery and utilization

Residues»» Effluents are managed in compliance with applicable environmental
standards when effluents are generated»» De-ashing and flue gas treatment residues managed in compliance withapplicable environmental standards

Fire control»» Fire prevention and control measures in place

Staffing»» Staffed with professionally qualified personnel

EHS»» EHS measures implemented in accordance with professional risk
assessment and operating plan»» Showering and sanitary facilities

Records»» Incoming and outgoing materials weighed and recorded in a register

Identity»» Registered facilities»» Clearly marked boundaries

Security»» Physical boundary surrounding the site and supervised access control

Standards»» Facility is engineered with process control»» Continuous monitoring of operating parameters and emissions»» Facility have flue gas treatment system»» Monitoring systems routinely calibrated»» Maintenance plan or documented maintenance schedules in place»» Evidence that equipment is well maintained

Circularity»» Facility has energy recovery and utilisation

Residues»» Effluents are discharged to a permitted discharge point when effluent isgenerated»» 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»» EHS measures implemented for all people on site»» Toilets and washing stations

Records»» Incoming and outgoing materials weighed and recorded in a register

17

Waste Wise Cities Tool

Identity»» Registered facilities»» Distinguishable boundaries

Standards»» Facility is engineered with process control»» Operating parameters (temperature, smoke etc) are continuously monitored
and recorded»» Facility has some form of flue gas control»» Monitoring systems are occasionally calibrated»» Evidence that equipment is well maintained

Residues»» Effluents are discharged to a permitted discharge point when effluent isgenerated»» Solid residues are disposed at facility designated for incineration residues
disposal

EHS»» Personal protective equipment in use»» Water for hand washing

Identity»» Distinguishable boundaries

Standards»» Operating parameters are logged»» Some evidence that equipment is maintained

EHS»» Personal protective equipment in use»» Water for hand washing

Identity»» Unregistered facilities with no distinguishable boundaries

Standards»» No operation standards in place»» No evidence that equipment is maintained

EHS»» No EHS measures in place

Basic
Control

LimitedControl

No
Control

Table 4: Ladder of control level for other recovery facilities

CONTROL
LEVEL

FullControl

18

Other Recovery Facilities
Identity»» Registered/licensed facility»» Clearly marked boundaries

Security»» Physical boundary surrounding the site and supervised access control 24/7

Standards»» Engineered facilities with process control»» Environmental pollution control compliant to applicable environmental
standards

Circularity»» Extracted materials delivered into recycling/recovery markets»» Nutrient value of biologically treated materials utilized in agriculture/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»» EHS measures implemented in accordance with professional risk
assessment and operating plan»» Showering and sanitary facilities

Records»» Incoming and outgoing materials weighed and recorded in a registerWaste Wise Cities Tool

Improved
Control

BasicControl
LimitedControl
No Control

Identity»» Registered facilities

Security»» Clearly marked boundaries»» Physical boundary surrounding the site and supervised access control

Standards»» Engineered facilities with process control»» Some measures taken to control environmental pollution

Circularity»» Extracted materials delivered into recycling/recovery markets

Residues»» Residues disposed of into the city MSW system

Fire control»» Fire extinguishers available on site

Staffing»» Staffed with trained personnel

EHS»» EHS measures implemented for all people on site»» Toilets and washing stations

Records»» Incoming and outgoing materials weighed and recorded in a register

Identity»» Registered facilities»» Distinguishable boundaries

EHS»» Personal protective equipment in use»» Water for hand washing

Identity»» Distinguishable boundaries

EHS»» Personal protective equipment in use»» Unregistered facilities with no distinguishable boundaries»» No EHS measures in place

19

Waste Wise Cities Tool

Formalityof MSWM

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
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 andoperating waste management; that is, organisations or individuals registered as economic
units with government authorities and assumed to generally abide by local laws andregulations 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

Waste Wise Cities Tool

Parameters for MSWM Assessment
for SDG indicator 11.6.1

Concept Model
Figure 3 summarizes the elements measured by SDG
indicator 11.6.1. The MSW generated by the city iseither collected or uncollected, and the collected MSW
is delivered to recovery or disposal facilities. Recovery
facilities generate residues that are sent to disposal
facilities. In many cities, recyclables are also recoveredfrom disposal facilities and brought back into therecycling value chain.

Recovery or disposal facilities can be categorized
as either ‘controlled’ or ‘uncontrolled’ depending on
the operational measures put in place to minimize
the environmental, health and safety impacts fromthe facilities. When both recovery and disposal occur
within the same facility, it is necessary to evaluate thecontrol level of the recovery and disposal operations
independently of each other.

MSW received by
CONTROLLED recovery
facilities
Residue

MSW received by
UNCONTROLED
recovery facilities

Residue

MSW Received by Disposal
Facilities

MSW Received by
Recovery Facilities

Total MSW Collected

To t al M SW G e n e rat e d b y t h e cit yFigure 3: Concept figure of SDG indicator 11.6.1

MSW received by
CONTROLLED disposal
facilities

Recyclables
recovered from
disposal facilities

MSW received by
UNCONTROLLED
disposal facilities

Recyclables
recovered from
disposal facilities

Uncollected waste

21Waste Wise Cities Tool

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 ( % )Total MSW generated ( t/ day )The calculation of SDG indicator 11.6.1. is broken down to two sub-indicators:
SDG 11.6.1. a =Total MSW collected ( t/ day )Total MSW generated ( t/ day )X 100 ( % )SDG 11.6.1. b = Total MSW collected and managed in controlled facilities ( t/ day ) X 100 ( % )Total MSW generated ( t/ day )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 detailis 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.
City Recovery Rate=

Total recovered materials ( t/ day )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 withadditional 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:

22»

Total MSW generated by the city»

Total MSW collected»

Total MSW managed in controlled facilities

Waste Wise Cities Tool

These data also help cities to identify the proportion of
MSW that remains uncollected.
A.

Total MSW generated by the city

MSW is waste generated by households, as well as
similar waste from non-household sources, such as
businesses, schools, offices, supermarkets, restaurants,
hotels, hospitals, etc. It also includes bulky waste (e.g.
old furniture, mattresses) and wastes from selectedmunicipal services, e.g. park and garden maintenance,and street cleaning services (street sweepings, thecontent of litter containers, market cleansing waste).
MSW does not include waste from municipal sewage
networks and wastewater treatment facilities, as wellas construction and demolition waste from commercial
building contractors.
For cities that do not yet have reliable data on MSW
generation from households, it can be estimated throughthe multiplication of the total population by per capita
MSW generation from households. Non-household MSW
generation also needs to be estimated. The detailed
methodology for doing this is provided in Steps 1, 2 and 3.
B.

Total MSW collected

Total MSW collected is the amount of MSW generated
that is moved from the point of generation, such as
specific addresses or designated collection points, tofacilities where the waste is recovered or disposed.
When measuring total MSW collected there is a risk of
double counting concerning the residue or rejects fromrecovery facilities, and the amount of waste reclaimed
from disposal facilities going to recovery. Therefore,
these amounts need to be deducted from the sum ofwaste received by both recovery and disposal facilities.
The residue from recovery facilities is assumed to go toeither disposal facilities or other recovery facilities.

Equation 1: Total MSW1 collected

Total MSW collected

MSW
received byrecoveryfacilities

MSW
received bydisposalfacilities

Residuefromrecoveryfacilities

Proportionn
of MSWcollected

Recyclables
recoveredfromdisposalfacilities

100 (%)
Total
Population

PCGR of
HH waste

Non household
MSW
generation

Total MSW Generated

Steps 4 and 5 provide detailed methodology on how tocollect this data.
C.

Total MSW managed in controlled facilities

MSW managed in controlled facilities refers to MSW
collected and transported to recovery and disposal
facilities with basic, improved or full control according to
the Ladder of waste management facilities' control level.
The Ladder can be used as a checklist for assessing
the level of control of a particular recovery or disposal

1

facility. The facility’s control level is the category (full,
improved, basic, limited and none) where it checks themost boxes. Note that the emphasis is on operational
control rather than engineering/design control. A facility
that is engineered and constructed to a high standard,
but not operated in compliance with Level 3 (or above)
standard is not regarded as a controlled facility.
Steps 4 and 5 provide detailed methodology on how tocollect this data.

Note that MSW collected for recovery includes mixed MSW, commingled recyclables or recoverable fractions extracted from MSW

23

Waste Wise Cities Tool
Equation 2: Total MSW managed in controlled facilities

MSW
Managed inControlled
Facilities

MSW
received bycontrolled
recoveryfacilities

MSW received
by controlled
disposalfacilities

Additional data points
The SDG 11.6.1 indicator assessment provides threefurther MSWM data points:»»»

Per capita MSW generation rate
MSW composition
Uncollected waste

Although they are not necessary for the calculation of
the SDG indicator values, these figures are of particularimportance for the identification of service/infrastructure
gaps, and formulation of strategies.
D.

Per capita MSW generation rate

A very relevant parameter that can be derived from theprevious formula is the “total per capita MSW generation
rate”. Steps 2 and 3 explain how to calculate this throughwaste sampling from households for cities, if no reliable
or updated data is available.
This is especially recommended for cities where a large
amount of MSW remains uncollected. Data on per capita
waste generation also enables optimization of collection
system performance, an exercise that can potentiallygenerate significant budgetary savings for the city.

Residue fromcontrolled
recoveryfacilitiesE.
MSW Composition
The WaCT assessment characterizes waste at the
point of generation (i.e. households) and at the pointof disposal. Understanding MSW composition at the
beginning and end of the MSW service chain is a useful
exercise for several reasons: understanding composition
helps identify how the existing recovery/recycling sector
is functioning, it enables further recovery facilities to be
identified and planned, and overall helps to triangulate(i.e. test validity and reliability) of the collected data.
Note that MSW also includes waste from non-household
sources. In Step 3, the quantities of MSW generated
from commercial and institutional sources, as well asfrom public spaces, is estimated. However, specificcomposition analysis on MSW from non-household
sources is beyond the scope of this tool as it is complex
and resource intensive.
F.

Total uncollected waste

Total uncollected MSW can be calculated by subtracting
the total MSW regularly collected from the total MSW
generated.

Equation 3: Total uncollected MSW

Total
Uncollected
MSW

24

Total MSW
Generated

Recyclables
recovered fromcontrolled disposal facilities

Total MSW
Collected

Waste Wise Cities Tool

25

Waste Wise Cities Tool

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
are divided into seven steps, following the waste
management chain from generation to recovery anddisposal. Additional steps will also be described in thischapter to identify the ‘Access to Basic Municipal Solid
Waste Collection Services’ in relation to SDG indicator
1.4.1, and to identify the potential plastic emissions to
the environment.
The steps a city needs to implement can be determined
depending on the data available. UN-Habitat
recommends cities to go through all the steps if thecity has large amounts of uncollected waste or illegal
dumping and has never done a waste amounts andFigure 4: Waste Wise Cities Tool’s 7 Steps

26

composition survey (WACS) from households toestimate waste generation per capita, or if such a survey
was conducted more than 5 years ago. In this context,
it is important to understand that the waste received
at recovery and disposal facilities sometimes does not
represent the total MSW generated, especially in cities
with large amounts of uncollected waste.
Cities that are confident about the accuracy of their
total MSW generation data, are recommended to go
through Steps 4 and 5 to identify the environmental andoperational control level of their waste management
facilities.

Waste Wise Cities Tool

STEP 1: PREPARATION
1.1 Gain political and senior management endorsement
and support
It is important to gain the city’s Mayor or top officials’
support for the assessment. This will facilitate thedifferent approval procedures and necessary resource
mobilization within the city government. Make sure theintended purpose and significance of the assessment
for the improved environmental management in thecity is well communicated and gain political andsenior management endorsement before starting theassessment.

The following points should be taken into account whenestablishing the expert team:»»Language: make sure that at least one personfrom the expert team speaks the main local
language/dialect fluently, and that the survey
helpers cover the range of local languages/
dialects prevalent in the survey area.

»»

Mobility: ideally most survey helpers should bebased in the local areas where the assessment
will be conducted.

»»

Field visits: the expert team, possibly
accompanied by City officials, will have to
conduct field visits to waste management
facilities (recovery and disposal). Distance,
accessibility and comfort of travel can greatly
vary.

»»

Environmental health and safety: make surethat the survey team is briefed from the outset
on EHS safeguards and procedures andprovide the necessary tools, including personal
protective equipment (PPE). --1.2 Establish a working team
The whole assessment requires waste sampling from
10 households for 8 days in 9 survey areas (15 survey
areas for mega cities2), which means waste from 90
households (150 households for mega cities) needs
to be collected for 8 days. To implement this operationsmoothly, establish a working team of 20-30 survey
helpers who are dedicated full-time for 8-10 days, led
by 2-3 well trained experts dedicated for a combined
total of about 6 working weeks per city. Membersof the expert team need to be trained and familiarize
themselves with the methodological steps, and shouldhave a good understanding of MSWM systems, bothconcepts and flows.
A 1 or 2-day workshop should be organized to train theselected 20-30 survey helpers on the methodologicalsteps, the purpose and importance of the assessment,
the detailed survey requirements and environment,
health and safety (EHS) procedures.

1.3 Prepare tools and equipment
The assessment requires waste sampling throughvisits to 10 households each from 3 survey areas (5survey areas for mega cities) from 3 income groups (orhousehold types), as well as waste composition analysis
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

Waste Wise Cities Tool

PREPARATIONBUDGET FOR AND ORGANIZE FOR

hiring anexpertteamfor 6 working

equipment

tools

weeks

transport/
fuel

28

human
resources

for mobilizing 20-30
peopleWaste Wise Cities Tool
1.4 Identify key stakeholders and partnerships
Stakeholders include individuals and entities involvedin the MSWM system in the city; those either providing,monitoring or receiving the service. Successful
implementation of the assessment depends on
identifying and obtaining information from the key
stakeholders. The goal is to obtain as much accuratequantitative data as possible on MSW generated,collected, recovered and disposed. Gaining a clear
understanding of the city’s MSWM system is an
essential basis for identifying key intervention areas for
improvement.

•

Formal private recovery or disposal service
providers: registered or licensed entities involvedin waste processing, recovery, and disposal. They
have a business case to run their operations, needto adhere to regulations and are often supported
by contract payments, gate fees or incentives fromthe city or national government.

•

Community-based organisations (CBOs): e.g.
organisations engaged in self-help activities orin providing services in and to communities.

Key stakeholders can include:•

Non-governmental organisations (NGOs):
organisations acting as intermediaries
between governments and local communities,
sometimes involved in solid waste service
provision and/or providing support of informal
collection/ recycling service providers.

•National Ministries or environmental regulatory
authorities include the policy making, regulatory
authorities, responsible for setting framework
conditions, licensing/permitting, inspecting,and enforcing requirements for MSW collection,
recovery, and disposal activities•

Waste generators: members of households,
commercial units, institutions (schools, offices,etc.), industries, etc.

•

City waste management office andother departments: Cities have statutory
responsibilities for a wide range of MSWM
service provisions. Different departments of themunicipality besides the waste management
department may need to be involved, including
urban development authorities, business permit
sections, environmental departments, public
works departments and public health/hygiene
departments•

Public collection service providers: often
operated and supervised by the respective
municipal department•

Formal private collection service providers:often collection services are outsourced toformal private companies or NGOs/CBOs
which, in this case, are accountable tothe municipality. Formal private collection
companies may also be hired and paid directlyby the waste generators (e.g. generators suchas institutions, commercial units, industry).

••

Informal collection service providers:organizations or individuals providing thecollection service informally. These includes
informal organizations or individuals providingcollection services, picking recyclablesfrom waste and/or collecting (or buying)recyclables from waste generators.
Informal and formal value chain enterprises:businesses and enterprises based in thecity that are involved in recyclables trading,including intermediate and apex traders.

Stakeholder identification and analysis is typically aniterative process where, in interviews with stakeholders,
information about other important stakeholders
is obtained. Effective collaboration between key
stakeholders is very beneficial. The waste management
department needs to take the lead role as they will
facilitate many steps of the process (contacting operators,
accessing waste generators and community-basedorganizations, providing a list of waste collection, recovery
and disposal companies operating in the city, etc.).
1.5 Prepare workflow and budget
The table below is an example workflow and lists theminimum human resources required from Step 2 toStep 7 put within 40 calendar days. Many of thesesteps and activities can take place in parallel if the sizeof the working team allows it, so the schedule can becompressed.

29

Waste Wise Cities Tool

Preparation is of critical importance for the smooth
conduct of the survey. The budget items required include
hiring an expert team for a combined total period of

approximately 6 working weeks, human resources cost formobilizing 20-30 people for an 8-10 day survey, as well as
tools, equipment and transport/fuel for survey activities.

Table 5: Typical workflow from Step 1 to Step 7

Activities

DAYS
1

10

Step 1: Preparation

20

Minimum
Human Resource
Required30

40

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
2.1 Preparation
2.2 Waste sampling and waste composition
analysis
2.3 Calculate per capita household solid waste
generation
Step 3: Non Household MSW Generation
3.1 Using the proxy for non-household MSW
3.2 Identify premises to interview
3.3 Interview selected premises and eachcontracted collection company

3 experts tosupervise
2 persons per
survey are (18people) for
waste sampling
1 person per
survey area
to visit andinterview
different
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
4.1 Identify recovery facilities
4.2 Arrange visits and interviews with key
recovery facilities
4.3 Evaluate the level of control of recovery
facilities

1-2 core
members
to establish
contactswith recovery
facilities

4.4 Compile the collected information
Step 5: MSW Received by Disposal Facilities and Control Level of Disposal Facilities
5.1 Identify disposal facilities
5.2 Arrange visits and interviews with identified
disposal facilities

1-2 persons tovisit disposal
facilities tocollect data

5.3 Evaluate the level of control of disposal
facilities
5.4 Compile the collected information
Step 6: Waste Composition at Disposal Facilities

1-2 experts

6.1 Preparation

5-10 persons
for wastecomposition
survey6.2 Waste sampling and composition analysis
Step 7: Calculating food waste, recycling, plastic leakage, greenhouse gas emissions and air pollution
7.1 Food waste
7.2 Recycling
7.3 City Plastic Leakage
7.4 Greenhouse gas emissions and air polution30

1-2 experts toobserve different
aspects of swm
chainWaste Wise Cities Tool
1.6 Obtain necessary data from statistics office
The data necessary for the survey includes:•

Population of the city, if possible broken down inincome categories; and•Business licensing permit data (for non-household
MSW estimation).

Population
Determining the population of the city can be done by thefollowing sub-steps:
1. Find the official population census and check theyear. If the data is not older than 5 years, use thedata as it is. If the data is outdated, go to the next
sub-step.
2. Check if an official population projection for yourcity is available from the national statistics office.
If yes, use the data for the year you conduct thesurvey. If there is no official population projection
data for the subject city, go to the next sub-steps.
3. If your city has more than 300,000 inhabitants,‘Population of Urban Agglomerations with
300,000 Inhabitants or More’ data is available
every two years from ‘Urban Agglomerations’page at UN Department of Economic and Social
Affairs Population Dynamics’ World Urbanization
Prospects website.

4. If your city has less than 300,000 inhabitants,‘Average Annual Rate of Change of the Urban
Population’ data is available from UN Departmentof Economic and Social Affairs Population
Dynamics’ World Urbanization Prospects website.
Use this urban growth rate to estimate the current
population in your city.
5. Additional to the overall population, find out if thecity’s or national statistics office have data on the
distribution and share of high, middle and lowincome groups in your city.
Business licensing data
Business licensing data may provide the number of units
for different businesses and premises in the city, such as
the number of beds for hospitals, chairs for restaurants,
floor space for supermarkets, students for schools, etc.
This data is essential to estimate MSW generation from
non-household sources. Check if the data is available
from the municipal or city statistics office for the systemboundary and if the data is up to date (not older than 5
years).
If the data is neither available nor up to date, use theproxy to determine MSW generation from non-household
sources (see Step 3).

31

Waste Wise Cities Tool

32

Waste Wise Cities Tool

STEP 2: HOUSEHOLD MSW GENERATION AND COMPOSITION
This step explains how to assess per capita household
solid waste generation and average household waste
composition. Apply this step if there is no up-to-date
data on MSW generation and composition in your city.
For this assessment waste samples are needed from agiven number of randomly selected households. Whenselecting households, the following points need to beconsidered:

Waste generation differs according to thehousehold’s income-level or housing type,therefore waste samples should be collectedfrom different income groups (or housing types)
in the city;

consistent with your method. This means, maintaining
the same sample size and the same calculation
methods. This will allow comparison of results at a laterstage.
Waste characterization will be conducted in conjunction
with waste sampling from households, and thisinformation will give you a clearer understanding on theamounts of recyclables in your city’s household waste.
This information is essential, especially for expanding
resource recovery efforts, and as first step towards
establishing an urban circular economy.
2.1 Preparation
1.

Define sample size: the sample size will
determine the statistical significance of theresults obtained. This is reflected by thestatistical confidence level and margin of error.
In a city with the population size of 10,000 –10,000,000, at least 370 to 384 households need
to be sampled in order to achieve the normally
recommended values of a confidence level of
95% with a margin of error of 5%. However, inmany situations, it may be unfeasible and costly
to collect waste samples from 384 households
for 7 days for a city, therefore this guide suggests
to sample 90 households (10 households
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
megacities, which is still in the same confidence
level, but with a margin of error of 10%.

2.

Select survey areas and households: select 3 (5for megacities) representative high, middle andlow-income neighbourhoods4 in your city and 10
households from each neighbourhood randomly.
In cities where there is an updated and reliable
digital census of households, the following
methods could be used for simple random
selection:

Waste generation from households fluctuates
depending on weekdays and weekends,
therefore waste must be obtained daily
throughout an entire week (7 days).

Human beings generate waste, not households.
It is important to record the number of people
actually living in the house, rather than taking
the official average number of family members.

Waste generation varies seasonally, as well as
during festive periods. It is important to take
into account those local variables that may
affect waste generation during the time of thesurvey.
Where large seasonal variations can be expected (very
distinct dry and wet seasons for example), if possible,
repeat the WaCT assessment. Keep in mind that every
time the assessment is repeated, it is crucial to be3

Or alternatively from three different housing types (e.g. low-income/slum dwellings, apartment blocks, individual houses.

4

Ibid.

33

Waste Wise Cities Tool•

Option A: the simplest way is the lottery
method, where each household in the income
group is assigned a unique number and thesample households are selected from thisthoroughly mixed list. This way, each household
has an equal chance of being selected as
subject.

•

Option B: let a computer do a random selection
from your list of all households in the selectedneighbourhood.

•

Option C: obtain a map of the city with larger
scale than 1:2,500 and overlay a grid of 1cm x
1 cm over the map. Each cell represents a 25m x 25 m piece of land on the map. Assign one
number to each cell and randomly select 30
cells per survey area. One household per eachcell 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

nearest to the top left corner of the cell andvisit ground floor upwards in the case of highstorey buildings. If not successful, move to thenext door and so on, always making sure you
do not exit the cell of the grid.
•

Option D: in the case of cities where
households with different income levels areinterspersed and it is difficult to clearly identify“areas” of low, middle and high income, use
housing types to stratify your sampling areas
instead. Obtain a map with the scale of 1:5,000
and overlay a 1cm x 1cm grid over the map.
Select 30 cells randomly and identify one
household per income level according to the
housing types indicated in the table below.

Table 6: Housing types and income levels

Income Level

Housing Type Example

High

Luxury condominium, single detached house with garden, sophisticated alarm systems.

MiddleApartments , single detached house without garden.

Low/ informal
settlements

Slums, apartments with single rooms (apartments mud house,
Rent less than 5% of GDP per capita

Figure 5: Household sampling34

Waste Wise Cities Tool

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. Thiscan 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 teammembers, 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(average city)

15 survey areas(mega-city)

Survey team

2-3 people

18-27 people

30-45 people

Transportation for waste collection

1 collection vehicletrips

9 collection vehicle
trips

15 collection vehicle trips

Liner bags (vol: 60L)

80

720

1200

Identification tape (tag bags)

1

9

15

Pens

3

27

45

Markers1

915

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

915

Spades1

915

Brooms1

915

Camera/ Smart Phone

1

9

15

Reporting sheets

1

9

15

Informed consent letters (with space for signingand dating) for each sample member

10

90

150

The following table provides the list of compulsory personal protective equipment (PPE) required to conduct thewaste composition survey. This is a basic requirement, and the list can be added to according to the specificsituational requirements. The use of PPE is particularly important when the survey is conducted in a COVID-19
situation.

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Waste Wise Cities Tool

Table 8: Necessary PPEThings to Prepare

Quantity
1 Survey area

9 survey areas(average city)

15 survey areas(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 andsurvey area. The bag will contain the waste generated in that household on the written date. Do not note thehouseholder’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 thisdocument and download the WaCT Data Collection Application (DCA) and Data Collection Manual (DCM) fromthe 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 thevolume 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 andoffer protection from pests.

36Waste Wise Cities Tool

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 withthe 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 toparticipate, ask them to store all the waste generated that day at home in the respective bag andnot 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:

WeekendDay 3:

WeekendDay 4:The survey teams collect the bags of day 1, 2 and 3 (filled) while distributing the two liner bagsof 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 distortthe 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 bagfrom each sample weight. Remember, there is no need to weigh the bags from day 1, andthese 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. Other37

Waste Wise Cities Toolc.

After making sure that the individual sample weights per household per day have beenrecorded, open the bags and spread the waste on the plastic sheet. You can mix thesamples 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 weightof 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, andconduct 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 7: Use this day to follow-up and cross check on the household sampling, overcome any problem or gaps, andconduct non-household waste survey (Step 3)
Day 8: Use this day to follow-up and cross check on the household sampling, overcome any problem or gaps, andconduct non-household waste survey (Step 3)
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

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Waste Wise Cities Tool

The schedule is summarized in the table below for reference:
Table 9: Schedule for MSW generation survey

Day noSurvey Teams

Households

Day 0Distribute bags for day 1, 2, 3 and 4 to households
Ask the number of people staying at households

Provide the number of people staying athouseholdDay 1

Use the day for non-household waste survey (Step 3)

Fill the bag of day 1

Day 2

WeekendFill the bag of day 2
Store the bag of day 1

Day 3

WeekendFill 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
Distribute empty bags for day 5 and 6
Discard the waste bag from day 1, do not weigh it or include it in thecomposition survey
Weigh and conduct waste composition survey for waste bags fromday 2 and 3
Insert data in the reporting sheet

Provide waste of day 1, 2 and 3
Fill the bag of day 4

Day 5

Use the day for non-household waste survey (Step 3)

Fill the bag of day 5
Store the bag of day 4

Day 6

Collect the waste bags from day 4 and 5
Distribute empty bags for day 7 and 8
Weigh and conduct waste composition survey on waste bags fromday 4 and 5
Insert data in the reporting sheet

Provide waste sample of day 4 and 5
Fill the bag of day 6

Day 7

Use the day for non-household waste survey (Step 3)

Fill the bag of day 7
Store the bag of day 6

Day 8

Use the day for non-household waste survey (Step 3)

Fill the bag of day 8
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
8Note:
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 thehousehold can be properly captured.

39

Waste Wise Cities Tool

In some cases, you might need to collect the generated waste every day from the households. For such cases, use thefollowing schedule:
Table 10: Model waste sampling schedule for every day

Day noSurvey Teams

Households

Day 0Distribute empty bags for day 1 and 2 to households
Ask the number of people staying at households

Provide the number of people staying
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 conductcomposition survey on bags from day 1.
Distribute empty bags for day 3

Provide waste bag from day 1
Fill the bag for day 2

Day 3

Collect the waste bags from day 2
Distribute empty bags for day 4
Weigh and conduct waste composition survey for bags from day 2
Insert data in the reporting sheet

Provide waste bag from day 2
Fill the bag for day 3

Day 4

Collect the waste bags from day 3
Distribute empty bags for day 5
Weigh and conduct waste composition survey for bags from day 3
Insert data in the reporting sheet

Provide waste bag from day 3
Fill the bag for day 4

Day 5

Collect the waste bags from day 4
Distribute empty bags for day 6
Weigh and conduct waste composition survey for bags from day 4
Insert data in the reporting sheet

Provide waste bag from day 4
Fill the bag for day 5

Day 6

Collect the waste bags from day 5
Distribute empty bags for day 7
Weigh and conduct waste composition survey for bags from day 5
Insert data in the reporting sheet

Provide waste bag from day 5
Fill the bag for day 6

Day 7

Collect the waste bags from day 6
Distribute empty bags for day 8
Weigh and conduct waste composition survey for bags from day 6
Insert data in the reporting sheet

Provide waste bag from day 6
Fill the bag for day 7

Day 8

Collect the waste bags from day 7
Weigh and conduct waste composition survey for bags from day 7
Insert data in the reporting sheet

Provide waste bag from day 7
Fill the bag for day 8

Day 9

Collect the waste bags from day 8
Weigh and conduct waste composition survey for bags from day 8
Insert data in the reporting sheet

Provide waste bag from 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Waste Wise Cities Tool

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 throughthe 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 sumof 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, thenthe automated excel sheet will provide total household solid waste generation in your city. This is calculated bymultiplying 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

Waste Wise Cities Tool

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Waste Wise Cities Tool

STEP 3: NON-HOUSEHOLD MSW GENERATIONHousehold 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

Total
Population

MSW
Generated

HotelsMarkets

Restaurants

Schools

Per Capita
MSW
Generationfrom HH

OfﬁcesNon household
MSW
generation

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
MSW sources through random sampling,similar to the household waste survey. Thisapproach yields more accurate results, but it ismore resource intensive.

If there are no reliable business licensing
data available or no resources to conduct acomprehensive survey, use a proxy to estimate
the MSW generation from non-household
sources. This guide recommends the use of aproxy 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 ofgenerated waste. This approach is lessresource intensive, but the results are lessaccurate than option a) and it is recommended
to take when you have reliable businesslicensing 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

Waste Wise Cities Tool

3.1 Using the proxy for non-household MSW
Where the proxy is being used for estimation of thetotal waste from non-household sources, the following
formulas can be used.

a) Total MSW= 70% from households+30% from nonhousehold sourcesb) Total MSW =Total MSW from households
70%

If you have decided to conduct an interview-based
survey to gain a more comprehensive and accurate
estimate of the non-household MSW apply the following
steps.
3.2 Identify premises to interview
1. Choose “unit” for calculation: Household waste
is normally calculated through multiplying “percapita household waste generation” with total
population. However, this unit cannot be used for
MSW from hon-household sources. A different
unit should be selected according to the type ofpremises and based on the business license data
available in your city. The table below provides
some examples. For public spaces, ask the urban

2. Identify premises for interview: After selecting
the 9 survey areas (15 for mega cities) for thehousehold survey in Step 2, identify 2 hotels,
2 restaurants, 2 schools, 2 offices, 1 shopping
mall/supermarket, 1 market and 1 hospitalper survey area. Choose premises that are
representative of the survey area.
3. Prepare questionnaire for interview: Both thepremises generating MSW, as well as theircontracted collection companies need to beinterviewed. You can find model questionnaires
in Annex 5.
3.3 Interview selected premises and each contracted
collection company
4. Schedule visits to selected premises: Visit
selected premises on the days not needed for thehousehold survey, as described in Step 2. Ask the
manager, where they store the waste generated
from the premise, note the volume, and if
possible, weigh the waste. Waste generated
from markets are typically difficult to estimate,
therefore it is recommended to organize a weightmeasurement if there is a weighbridge in yourcity. Ask the market operator when the waste
is collected and bring it to the weighbridge
to measure the waste weight, so that waste
generation per stall per day can be calculated.

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

44

Tonnes collected will be divided by the sqm of servedareasWaste Wise Cities Tool

5. Interview waste collection service providers:
When interviewing premises, ask which waste
collection service providers they have contracted.
Interview these collection companies (per phone
is sufficient) and ask how much waste theycollect from the said premise. You can find model
questionnaires in Annex 5.
3.4 Obtain waste data from public spaces
1. Identify responsible entity/department for public
space cleaning: Identify responsible entity or
department for public space cleaning in your city.
2. Obtain data related to waste from public
spaces including: 1) average collected tonnageof waste daily, 2) approximate square metersof the cleaned area for the collected tonnageof waste. Also obtain the total sqm of public
spaces in the city.

3.5 Calculate MSW generated by non-household sources
1. Calculate per unit waste generation fromdifferent premises: Once the data from all thepremise types and public spaces is collected,
enter data into the WaCT DCA.
2. Estimate total MSW generated by nonhousehold sources: Enter the total numberof units (chairs, rooms, students, employees,
stalls, beds, square metres) derived from thebusiness licensing data and public space data
into WaCT DCA to obtain total MSW generation
per day from each premise and total MSW
generated from non-household sources.

45

Waste Wise Cities Tool46

Waste Wise Cities Tool

STEP 4: MSW RECEIVED BY RECOVERY FACILITIES AND CONTROL LEVELOF RECOVERY FACILITIES
Some of the MSW collected from households or
non-household sources will be delivered to recovery
facilities. It is important to identify this amount, since
it is an essential part of the Total MSW collected. It
is also a very important exercise to understand how
much recovery capacity your city has compared to thequantity of recyclables in the MSW stream, and how therecyclable material moves through the recovery chain.
This will directly inform
national
policy with regards
Pointof Generation
to establishing a circular economy including extended
producer responsibility systems, deposit refund
schemes, bans of non-essential single use plastics,
etc. This step also helps
local addresses
governments and waste
Specificmanagement operators to optimise their operations, andplan waste management interventions in an inclusive
manner.
If possible, it is recommended to extend the survey
area for this step beyond the system boundaries for the
Designatedcity assessment. Representative datacollected at thecollection
pointsFigure 8: Information to be collected in Step 4

Proportionof MSWcollected

MSW
received byrecoveryfacilities

national level can also be used for reporting on SDG
indicator 12.5.1 National recycling rate and amount ofmaterial recycled.
The diagram below shows the data to be collected
through this step, which includes MSW received byrecovery facilities and residue from recovery facilities(both marked in light grey). Data is obtained throughinterviews Point
with identified
recoveryfacilities that receiveof Recovery& Disposal
MSW.
4.1 Identify recovery facilities
1. Make a list of major recovery facilities: throughbusiness licensing data, identify and list recycling
Recoveryfacilities
and recovery
facilities
who deal with MSW
generated in your city. It is possible that businessResidue
Recyclables
licensing only covers the larger formal operators,
so it is recommended to ask some of them whoelse is involved in the waste recovery chain inyour city. Add those facilities to the list.
Disposal facilities

MSW
received bydisposalfacilities

Point of Generation

Residuefromrecoveryfacilities

Recyclables
recoveredfromdisposalfacilities

Point of Recovery & Disposal

Specific addresses
Recovery facilities
Residue

Designatedcollection
points

Proportionof MSWcollected

MSW
received byrecoveryfacilities

Point of Generation

Control
Level

Recyclables

Disposal facilities

MSW
received bydisposalfacilities

Residuefromrecoveryfacilities

Recyclables
recoveredfromdisposalfacilities

Point of Recovery & Disposal

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Waste Wise Cities Tool

2. Categorise the recovery facilities in the list:
according to the key definitions of recovery,
identify “Intermediate Traders”, “Apex traders”
and “End of Chain Recyclers/Recoverers”. It is
possible that there are no end of chain recyclers/
recoverers for specific materials in the city, withapex traders exporting the material for further
processing.
3. Determine the system boundary and priority
interviews: sketch out the recovery system inthe city identifying each of the recovery facilities
that you would like to interview. Note that thefocus of data collection (for the purposes of the
WaCT) is on the facilities that are the first pointof entry into the recovery system for each of
the MSW/materials streams. Depending on thecomplexity of the recovery system in the city, andthe time (and budget) you have available for theassessment, select a number of interviews to key
recovery facilities that will allow you to profile therecovery system in sufficient detail.
4.2 Arrange visits and interviews with identified
recovery facilities
1. Establish contact with the key recovery facilities
through phone call or email and set up an
appointment for a site visit and an interview.
Permission from the authorities may be requiredfor visiting the recovery facilities, and whenon-site the survey team should comply with thenecessary health and safety procedures. Make
sure you plan for this in advance.
2. Interview identified recovery facilities face-toface using the questionnaire in Annex 6. The
focus is on identifying how much recyclable
material is entering the recovery system, and the48

Waste Wise Cities Toollevel of control of the recovery facilities at the
point of entry of materials into recovery facilities.
Ask the facility managers what quantities ofdifferent materials they receive from the MSW
stream daily, from where they receive thematerials, whether from multiple small operators,
collection systems, or other recovery facilities. If
the answer is another recovery facility then you
can be sure that you have not yet identified thefirst point of entry into the recovery system, andyou need to go and interview the other recovery
facility identified. Note that in some cases arecovery facility may be the first point of entry forsome materials, but not for others, so make sureto keep your data sets for different materials andbuild up a comprehensive picture of the recovery
system.
3. Quantifying rejects from the recovery system:
Not all the materials that enter the recovery
system will be recycled or recovered; some“rejects” will leave the system and need to bedisposed of as waste. The WaCT uses a proxyestimate for materials loss within the recovery
system of 10%. A proxy estimate is sufficient forthe purpose of the WaCT assessment because
a more detailed and accurate assessment
can take considerable time (and budget) anddistracts attention away from understanding thequantities and level of control at the point of entry
into the recovery system. If you have sufficient
resources to profile the materials losses throughthe whole recovery system (value chain) thenthat information will help you identify detailed
interventions. ,However, for the purpose of the
WaCT assessment this level of detail is notstrictly necessary.

Waste Wise Cities Tool

4.3 Evaluate the level of control of recovery facilities
1. Evaluate the control level of the recovery
facilities: After interviewing the recovery facility,
check its operations and processes as well as
environmental control level according to theladder of control. The subject recovery facility has
the level of control where you have checked themost boxes.
4.4 Compile the collected information
1. Input of the collected data: After interviewing
the recovery facilities using the questionnaire inAnnex 6 and determining their level of control,
compile the information for the WaCT DCA.
2. Assessing the recovery system in a city can be achallenging task. Remember that the focus of the
WaCT assessment is to identify the amounts ofmaterials going into the recovery system at thefirst discernible point of entry.

Waste Wise Cities Tool

3. The WaCT DCA has been designed to help avoid
double counting errors, and also includes a proxyof 10% for ‘rejects’ that come out of the recovery
system as waste. The data on the quantity ofmaterials entering the recovery system will help
you to understand both the quantity of MSW
collected for recovery, and also the recycling/
recovery rate. Note that these two numbers willbe 10% different, the effect of using the proxy, so
double check your outcomes.
4. Read the instructions in the WaCT Data Collection
Manual (DCM) as to how to fill in the WaCT DCA
carefully and check on the Waste Wise Cities
website for training videos, frequently asked
questions, and updates.

49

Waste Wise Cities Tool40%
Dumpsites receiveof World’s Waste

50

Point of Generation
Waste Wise Cities
Tool

Point of Recovery & Disposal

Waste Wise Cities Tool

Specific addresses
Recovery facilities
Residue

Recyclables

STEP 5: MSW RECEIVED BY DISPOSAL FACILITIES AND CONTROL LEVELOF DISPOSAL FACILITIESDesignatedcollection
points

Disposal facilities

Globally, uncontrolled disposal sites receive 40% ofThis Step includes a methodology to measure theworld’s waste and serve about 3-4 billion people. As
MSW amounts received by disposal facilities, the levelurbanization and population growth continues, withoutof control of such facilities and how
to estimate the
Recyclables
MSW could
MSW
Residue from disposal facilities to the
Proportion
urgent intervention
it is expected that situation
recyclables
recovered
recovered
received byreceived by
from
from
MSW
worsen, mainly in of
low-and-middle
incomecities.
recovery chain recovery(marked in orange in
Figure 9).
recoverydisposalcollected

facilities

facilities

Uncontrolled disposal facilities offer no protection towater, soil and air pollution. Under the business-asusual scenario uncontrolled disposal will account for
Point of Generation
8-10% of global anthropogenic GHG emissions by 2025.
Uncontrolled disposal is the major source of plastic
pollution emissions to the environment. As these sites
are often accidentally Specificor purposely
set on fire, they are aaddresses
major source of local air pollution that acutely affects thehealth of neighbouring communities, as well as further
contributes black carbon GHG emissions. Leachate
emitted from disposal facilities have the potential topollute waterways, and uncontrolled landfill gas emission
represent health and safety as well as environmental
Designatedconcerns.

MSW
received byrecoveryfacilities

Point of Generation

disposalfacilities

Step 5 is extremely important for cities to protect theenvironment from pollution from uncontrolled disposal
facilities. The focus of Step 5 is to understand thePoint of Recovery & Disposal
current status of operational control of each disposal
facility, so that measures can be identified, designed
and implemented to bring these facilities up to at least
to basic levels of control. For those cities that haveControlalready achieved basic level of control over their disposal
Levelfacilities, further steps
canfacilities
be taken to upgrade the
Recoveryfacilities to improved and full control as indicated in the
Residue
Recyclables
ladder of control
level.

collection
pointsFigure 9: Information to be collected in Step 5

Proportionof MSWcollected

facilities

Disposal facilities

MSW
received bydisposalfacilities

Residuefromrecoveryfacilities

Recyclables
recoveredfromdisposalfacilities

Point of Recovery & Disposal

Specific addresses
Recovery facilities
Residue

Designatedcollection
pointsPoint de productiondu déchet

Recyclables

Control
Level
Disposal facilities

Point de récupération oud’élimination du déchet

51

5.1

Identify disposal facilities
1. Identify all disposal facilities receiving MSW
generated from the city according to thedefinitions under disposal. It is important toinclude disposal facilities that might not belegally approved (or licensed/permitted), butnevertheless are acknowledged by the local
authority. Even when disposal facilities arelocated outside of the city, include them if theyreceive MSW generated from the city.

5.2 Arrange visits and interviews with identified
disposal facilities
1. Arrange a visit for the identified disposal
facilities: once all the disposal facilities havebeen identified, arrange site visits to each ofthem. 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
procedures. Make sure you plan for this inadvance.
2. Obtain records of waste received by the disposal
facilities: quantitative data of waste arriving at
the disposal facility can be obtained through thefollowing three approaches:
Weighbridge: check whether there isa functioning weighbridge at the site.
If yes, request the recorded weightsof received waste for a period of two
weeks. If the climate of the city underassessment has very marked seasonalvariations, try to obtain recorded
amounts for a period of two weeks per
season. Use the obtained records tocalculate the daily average amount ofwaste received by the site. In case there
is no weighbridge, explore the possibilityof renting one for a period of a week.

52

Vehicle counting: if no weighbridge isavailable, an alternative method is counting
the number of trucks coming to the site fora period of 5-7 days. The surveyor sits at
the entrance and counts the trucks entering
the landfill. In addition, whenever possible,
two parameters should be assessed foreach truck: maximum capacity (volume
in m3) and load (the degree to which theload reaches the capacity, in %). These
parameters can be obtained throughobservation, or if possible, by interviewing
the disposal facility operator or truck driver.
These data should be supplemented by thewaste density measurement described in
Figure 10 below.

Interview the operator: interview thedisposal facility manager to obtain thesame information referred to above (i.e.
number of trucks arriving per day at thesite(s), the maximum capacity (volume,e.g. m3) and the load (%). This approachis recommended in cities with a reduced
number of collection service providers, orin cities where it is not possible to visit thedisposal facility.

When conducting b) and c) above, measure the densityof waste. This can be easily combined together with thewaste characterization in Step 6.

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

3. Interview waste pickers: Ask waste pickers
working at the disposal site for the averagequantity of materials they collect and sell weekly
or monthly from the disposal site, thus estimating
the average amount collected andrecovered to33
the recycling value chain. Also4m
find out the total4m
100% chargé
80% chargé
number of waste pickers working
at the disposal
site.

5.3 Evaluate the level of control of disposal facilities
1.

Evaluate the level of control of the facilities: thevisits to find out the amount of waste delivered
to the disposal sites should also be used toevaluate the level of controlof the disposal
3
4m3
4m3
facilities.
Check its operations and 4m
processes as
60% chargé
120% chargé
70% chargé
well
as environmental
control levelaccording to
the ladder of control. The subject disposal facility
is assigned the level of control where you havechecked the most boxes.

SI LE SITE N’EST PAS ÉQUIPÉ D’UN PONT-BASCULE

4. Estimate total waste materials diverted fromthe disposal facility to the recovery chain: By
5.4 Compile the collected information
multiplying the average daily amount of waste
3
4 + 4x0.8+ 4x1.2
4x0.6 + 4x0.7
17.2m
1. Inputthe+collected
data:=After
visiting thecollected by waste pickers with the total number
disposal facilities, interviewing their siteof waste pickers working in the disposal site,managers, and determining their level of control,
estimate the total waste materials collected fromenter the obtained information into the WaCTthe disposalsite
andbrought
intotherecoveryDensité des déchets:
DCA.750kg/m3 x 17.2m3 = 12,900kg = 12.9t
chain. 100 poubelles pleines de déchets prèsent 75kg.
:
75kg –100
litres (0.1m3) = 750kg/m3

53

Waste Wise Cities Tool

file:///C:/Users/Lusaba/Downloads/shutterstock_1276551055.jpg file:///C:/Users/Lusaba/
Downloads/shutterstock_1276551055.jpg

54

STEP 6: WASTE COMPOSITION AT DISPOSAL FACILITIESThis step provides the instructions to measure thecomposition of waste at disposal facilities. The waste
composition survey takes one or two days.
6.1 Preparation
1. Recruit and train workers: for the composition
survey around 15 workers are needed. If there aremany waste pickers working at the disposal site,
consider hiring some of them. All workers shouldbe trained properly on the aim of the composition
survey, the main steps and the health andsafety procedures. Since sorting waste can be
hazardous, personal protective equipment (i.e.
gloves, masks and boots) must be used, avoid
dehydration and take adequate breaks. Giveclear instructions that if any medical or otherhazardous waste is spotted in the sample, thesorting procedure must immediately stop.
2. Acquire necessary equipment: Table 12shows the main items that are required forcharacterizing the waste at a disposal site. This
includes a basic PPE requirement which canbe added according to the specific situational
requirements. The use of PPE is particularly
important when the survey is conducted in a
COVID-19 situation. Check with the disposal
facility in advance whether they have some or allof these items, and whether there are additional
requirements for fluorescent jackets, protective
hats, and protective shoes (e.g. steel toe cap andsoled boots).When working on a disposal facility,
always take great care to ensure that your survey
team strictly follows health and safety protection
requirements.
Table 12: Items required for a waste composition survey per survey group
Items

Quantity

Pencil and notebook

At least one person
notingRecording sheet

3Standing/ hanging weigh scale (upto 100 kg)

1

Shovels

8

Thick plastic sheet (at least 5 x 5)m2

Waste containers or bags (60 L)

24

Scissors

2

Brooms2

Camera/smart phone

1

Table 13: Necessary PPE Composition Analysis Disposal Site
Items

Quantity

Hat or cap (sun and dirt
protection)

1 per survey team member

Glasses (eye protection)

1 per survey team member

Masks

1 per survey team member
per dayLong sleeve shirts

1 per survey team member

Thick gloves

1 pair per survey teammemberApron (stomach protection)

1 per survey team member

Long pants

1 per survey team member

Rubber boots

1 pair per survey teammemberHand sanitizer

2

Disinfectant

2

Soap

2

First aid kit, including eyebath

1

3. Prepare site for the survey: find a place where
you can store and handle a sample of around 200– 300 kg of waste. Ideally, this site should be flatand covered, have enough space, be accessible
to vehicles, and have access to water for drinking
and washing purposes and offer protection frompests. Cover the surface with a thick tarpaulin, on
top of which the waste sample will be deposited.
6.2 Waste sampling and composition analysis
1. Number of samples: for this assessment
a minimum of 3 trucks per income level(low, medium and high) service areas (orcorrespondingly from different household-typeservice areas) needs to be sampled.

55

2. Select trucks for waste sampling: before
selecting a truck for sampling, check with thetruck drivers (or the disposal facility manager)
from which area the truck is delivering the waste.
Make sure only trucks containing purely MSW
are sampled. Take a 200-300kg sample from thetruck. Direct the driver to safely park alongside
the tarpaulin. Deposit (either through hydraulicor manual unloading) the sample on top of thetarpaulin. Be extremely careful to ensure that thetruck emptying process is safely completed, andthat no one is in proximity to the falling waste as
it is being unloaded.
3. Quartering technique: once you accumulated theMSW sample of 200-300 kg you need to derive a
representative sample of around 50-70 kg for the
analysis. The most commonly used technique forthis is called “The Quartering Technique”:• First mix the waste sample as thoroughly
as possible. You can use your shovels for
this.
• Then spread out the waste on the surface
so that it forms a flat layer.

Figure 11: Quartering technique (left) and sorting (right)

56• Divide the waste layer into four parts:
ABCD (see Figure 11 left).
• From those four portions, discard two
opposing quarters, say B and D.
• Mix the remaining two quarters.
• Repeat the quartering process once more.
The derived sample will be approximately
one quarter of the size of the original
sample, around 50-70 kg.

4. Sort the waste: Prepare labelled containers andsort the sample of 50-70 kg into 12 categories in
the respective container (see Figure 11 right):
1. Kitchen/canteen

7. Glass

2. Garden/park

8. Textiles/shoes

3. Paper & cardboard

9. Wood

4. Plastic – film

10. Special wastes

5. Plastic – dense

11. Composite products

6. Metals

12. Other

5. Weigh the waste fractions: weigh each fraction in
their containers and record the weight. Remember
to subtract the weight of the empty containerfrom your results.

Waste Wise Cities Tool

An estimated 820
million people do nothave 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
with other waste SDGs (12.3 on food waste and 12.5 on
recycling). Additionally, the WaCT has been developedin parallel with the Waste Flow Diagram (WFD) for theestimation of potential plastic leakage from the MSWM
systems. The WaCT also generates input for assessmentof air pollution and greenhouse gas emissions with the
Solid Waste Emissions Estimation Tool (SWEET).
This step introduces these different SDG indicators, theWFD and SWEET, for which data produced by WaCT and
SDG indicator 11.6.1 can be utilised.
7.1 Food waste
Food waste is one of the core global issues for us toachieve sustainable production and consumption patternby 2030. Currently, total food waste for the edible partsof “primary product equivalents” amounts to 1.3 billion
tonnes (FAO,2013), while an estimated 820 million
people do not have enough to eat (WHO, 2018). Not
only are the resources that went into creating uneaten
food wasted, but when food waste goes to landfill sites,
it decomposes without access to oxygen and creates
methane, which is 24 times powerful in greenhouse gas
effect than CO2.
SDG 12.3 calls for a halving of food waste at retail andconsumer level and reduce food losses along production
and supply chains. SDG target 12.3 has two components,
food loss and food waste that should be measured by

two separate indicators. Sub-indicator 12.3.1.a, food loss
index, focuses on food losses that occur from production
up to (and not including) the retail level. It measures thechanges in percentage losses for a basket of 10 maincommodities by country in comparison with a baseperiod. Sub-indicator 12.3.1.b, food waste index, focuses
on retail and consumption levels.
Data collected for the assessment of SDG indicator
11.6.1 can contribute to estimate SDG indicator 12.3.1.b
Food Waste Index, by providing household food waste
generation per capita through the below formula..
Per capita household food waste generation=

Per capita MSW generation rate (kg/cap/d) x proportion of food waste

7.2 Recycling
Recycling is a central pillar in the transition towards
a circular economy which governments and private
sector work together in order to create long term,
sustainable economies. In many ways, recycling is seen
as a final effort to effectively utilize resources after
people try to both reduce their consumption and findmore efficient processes in production. Recycling is avital way to reduce the environmental impact of natural
resource extraction, which is rapidly damaging natural
ecosystems. By investing in recycling and transforming
already extracted resources, economies can makesignificant strides in decoupling economic growth fromresource use.

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Waste Wise Cities Tool

Step 4, which collects data on the quantity of materials
entering the recovery system through interviews withrecovery facilities, can provide data necessary for SDG
indicator 12.5.1 National Recycling Rate.
The recovery system combines different types ofrecovery activity, including recycling, incineration
with energy recovery and other recovery processes.
Recycling is a recovery process that is defined as “Anyreprocessing of waste material in a production processthat diverts it from the waste stream, except reuse asfuel”. Thus the materials destined for recycling can bedifferentiated from the materials destined for recovery,
by understanding the destination of those materials.
For the purpose of consistency with the Basel
Convention reporting and correspondence withEUROSTAT reporting system, Recovery operations R2
to R12 listed in Basel Convention Annex IV, are to beconsidered as ‘Recycling’. The questionnaire for recovery
facilities in the Annex 6 can be integrated into national
recycling monitoring system by national government,
which can in turn to be used to report on SDG 12.5.1, by
providing city recovery rate.

City Recovery Rate=

Total recovered materials ( t/ day )x 100 (%)
Total MSW Generated(t/day)

7.3 City Plastic Leakage
The Waste Flow Diagram (WFD) is a rapid andobservation-based assessment tool visualizes the MSW
flows applying material flow analysis. Hence it calculates
the total potential plastic leakage into the environment
from the MSW system and determines the eventual
fate of this uncontrolled waste. Additionally, the WFD
enables scenario building, forecasting how proposedinterventions may impact the solid waste management
system and plastic pollution. When applied at different
stages of a project it helps to monitor the effectivenessof applied interventions. Results allow benchmarking andcomparison between plastic pollution of different cities.

58

Both, the WaCT and the WFD, were developed inharmony. The data collected in Steps 1-6 provides
direct input for the WFD. The WFD was developed incooperation by GIZ, the University of Leeds, EawagSandec and Wasteaware. The tool and detailed guidance
are available here: https://plasticpollution.leeds.ac.uk/
toolkits/wfd/
7.4 Greenhouse Gas Emissions and Air Pollution
Municipal solid waste is a significant source of methaneand black carbon, two short-lived climate pollutants. As
the third largest man-made source of methane, waste
contributes to climate change and ozone pollution. Open
waste burning and the use of polluting collection vehicles
emit black carbon, a key component of particulate matter(PM2.5) air pollution. When unsustainably managed,
waste is also a breeding ground for toxins and microbesthat contaminate the air, soil, and water.
The emissions of methane and black carbon from acity can be quantified using the Solid Waste Emissions
Estimation Tool or SWEET. Information collected using
the WaCT can be used to populate SWEET.
SWEET is an Excel-based tool that quantifies emissionsof methane, black carbon, and other pollutants fromsources in the municipal solid waste sector. The tool
provides emissions and emissions reduction estimatesat the project-, source-, and municipality-level. Cities canuse this information for multiple purposes, including
establishing a baseline scenario, comparing a baseline
scenario to as many as four alternative scenarios,
analyzing specific projects for potential emissions
reductions, estimating the contribution of activities in thewaste sector to overall city emissions reduction goals,
and tracking progress over time, among other things.
SWEET was developed by the U.S. Environmental
Protection Agency with support from Abt Associates andSCS Engineers on behalf of the Climate and Clean Air
Coalition Municipal Solid Waste Initiative. SWEET and its
manual are available here: https://www.ccacoalition.org/
en/resources/solid-waste-emissions-estimation-toolsweet-version-31

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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)

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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 ashared blueprint for peace and prosperity for people and the planet, now andin 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 theadverse 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 “proportionof Municipal Solid Waste collected and managed in a controlled facility outof total Municipal Solid Waste generated, by cities” was set, and [name oforganisation/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 forassessing SDG indicator 11.6.1.
Sincerely,

Name of signatory
Position
Name of organisation/local
government

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Annex 2: Recording sheet for household waste samplingThis 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 ofthese sheets for each survey area (total 9 sheets), and for the disposal facility composition survey (total 3 sheets).
Survey Area:
Categories

Composition
analysis 1(kg)

Composition
analysis 2(kg)

Composition
analysis 3
(kg)

Sum
(kg)

Average(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

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Annex 4: Sorting guideline
Waste shall be sorted in the following categories:
1

Kitchen/ canteen waste

Cooked or uncooked food, organic waste from food preparation2

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

MetalsFerrous 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, metaland 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.

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3Paper & cardboard
Brochures, magazines, newspapers; cereal packets, noodle boxes;
Fast Food Paper bags/wrapping; Cards, books, wallpapers; Paperbags, 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

MetalsPackaging 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.

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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 anddrinking 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)

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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 ofsize 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))

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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			EPS 			

Other plastics		

Paper or Cardboard		

Metal			Organic waste		

Mixed waste

LDPE & Films
Glass

Other (Specify: 					)Q3. For each of these recoverable/recyclable materials you receive from the MSW stream(s), please provide howmuch you source from which suppliers and/or cities. (use a separate line for every combination of material,
trader and source city):
Table Q3
Recyclable
material

Name of supplier(where applicable)

Type of supplier*Amount you
source (kg/d)

Source City

Point of entry into
recovery system (Y/N)*** “Type of supplier” includes 1) MSW collection system, 2) Many small suppliers (e.g. waste pickers), 3) Intermediate tradersand 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 alreadyincluded 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.

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Q4. For each of these recoverable/recyclable materials you receive from non-MSW stream (s), please provide howmuch 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%				

60% - 79%			

80% - 100%				

40% -59%		

*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%				

60% - 79%			

80% - 100%40% -59%		

Q7. Please tell us how much residue/rejects are generated during your recovery process in tonnes per day andwhere the residue is transported.
Table Q7
Material description

Q8. What is your current spare capacity?

Destination

Amount you generate (t/d)

			t/d69

Waste Wise Cities Tool
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

F1

Is there a physical boundary surrounding the site andsupervised access control 24/7

F2

I1

F2

Does site engineering prevent surface and groundwater
ingress into the landfill

F3

I2

F3

Is there functioning leachate containment andmanagement

F4

I3

F4

Are the slopes stabilised, including erosion control, tomitigate risk of landslide

F5

I4

F5

Is waste deposited in clearly defined operational areas
with strict management control

F6

I5

F6

Is waste layered and compacted promptly

F7

B5

F7

Is daily and intermediate cover applied to waste

F8

I7Fire control

F8

Is their zero evidence of burning of waste on the surfaceof the landfill

F9

L3

Landfill gas
management

F9

Is landfill gas controlled, including utilisation wherepracticable

F10

I9

Staffing

F10

Is it staffed full time with professionally qualified
personnel

F11

I10

Records

F11

Does the site have a functional weighbridge in use,
recording waste quantities by waste types

F12

L3

F12

Are EHS measures implemented in accordance with aprofessional risk assessment and operating plan

F13

I12

F13

Are there showering and sanitary facilities

F14

I13

F14

Is an environmental monitoring system in place withannual reporting capability

F15

B13

F15

Is there a site development and operational filling planin place

F16

I15

F16

Is there a post closure plan in place

End >> Full Control

End >> Improved
control

I1

Is there a physical boundary surrounding the site andsupervised access control

I2

B1

I2

Does site engineering prevent surface water ingress into
the landfill

I3

B2

I3

Are measures taken to prevent seepage of untreatedleachate into surface and groundwater

I4

B3

I4

Are the slopes stabilised, mitigating risk of landslide

I5

L2

Security
Water andleachate control
Slope stabilisation
Waste handling,
compaction andcover

Environment,
Health and Safety(EHS)

Site planning

Security
Water andleachate control
Slope stabilisation

70

I5

Is waste deposited in a supervised operational area

I6

B4

I6

Is waste layered and compacted promptly

I7

B6

I7

Is waste periodically covered

I8

B7

Fire control

I8

Is their zero evidence of burning of waste on the surfaceof the landfill

I9

L3

Landfill gas
management

I9

Is landfill gas controlled, including venting or flaring

I10

B9

Staffing

I10

Is the site staffed with trained personnel

I11

B9

I11

Functional weighbridge in use with data for eachdelivered waste load recorded in a register

I12

B10

I12

Are procedures in place to ensure the health and safetyof workers

I13

B11

I13

Are there toilets and hand washing stations

I14

L5

I14

Is an environmental monitoring system in place withannual reporting capability

I15

B13

Site planning

I15

Is there an operational filling plan in place

End >> Improved
control

B13

Security

B1

Is there boundary and access control allowing single
point of supervised access

B2

L1

Water control

B2

Is there any perimeter drainage maintained around the
site

B3

L2

Slope stabilisation

B3

Are the slopes stabilised, mitigating risk of landslide

B4

L2

B4

Are waste trucks directed to a specific operational areaof disposal

B5

L2

B5

Is there heavy mechanical equipment reliably available

B6

L2

B6

Is waste layered and compacted within the specificoperational area

B7

L2

B7

Is there some use of cover material

B8

L2Fire control

B8

Is their zero evidence of burning of waste on the surfaceof the landfill

B9

L3

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

B12

Are basic personal protective equipment in use

B13

End >> No control

Other

B13

Is there a site drawing showing the landfill boundary andfilling area

End >> BasicControl

End >> Limited
Control

Security

L1

Is there some level of access control to limit
unauthorised dumping

L2

End >> No control

Waste handling,
compaction and
cover

L2

Is there heavy mechanical equipment available forminimum levelling and compaction

L3

End >> No control

L3

Is there only limited evidence of burning of waste on thesurface of the landfill

L4End >> No control

Staffing

L4

Do staff check the site regularly

L5

End >> No control

Records

L5

Are waste deliveries recorded

L6

End >> No control

EHS

L6

Are basic personal protective equipment in use

End >> Limited
Control

End >> No control

Waste handling,
compaction andcover

Records

EHS

Waste handling,
compaction and
cover

EHS

OTHER RECOVERY FACILITIESQuestion
Identity
Security

Next Question
Yes

No

F1

Is the facility registered/licensed

F2

I1

F2

Does the site have clearly marked boundaries

F3

B2

F3

Is there a physical boundary surrounding the site andsupervised access control 24/7

F4

I3

F4

Is the facility engineered with process control

F5

B3

F5

Does the facility have environmental pollution control
compliant with applicable environmental standards

F6

I5

F6

Are materials extracted being delivered into recycling/
recovery markets

F7a

B3

F7a

Does the facility process organic waste

F7b

F8

F7b

Is the nutrient value of biologically recovered materials
utilized in agriculture/horticulture

F8

I6

Residues

F8

Are residues managed in accordance with applicable
environmental standards

F9

I7

Fire control

F9

Are fire prevention and control measures in place

F10

I8

Staffing

F10

Is it staffed full time with professionally qualified
personnel

F11

I9

F11

Are EHS measures implemented in accordance with aprofessional risk assessment and operating plan

F12

I10

F12

Are there showering and sanitary facilities

F13

I11

F13

Are incoming/outgoing materials weighed and recorded
in a register

End >> Full control

End >> Basic
control

I1

Is the facility registered

I2

L1

I2

Does the site have clearly marked boundaries

I3

L1

I3

Does the site have boundary and supervised access
control

I4

B3

I4

Is the facility engineered with process control

I5

B3

I5

Are some environmental pollution control measures
taken

I6

B3

Circularity

I6

Are materials extracted being delivered into recycling or
recovery markets.

I7

B3

Residues

I7

Residues disposed of into the city MSW system

I8

B3Fire 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

I11

Are there toilets and hand washing stations

I12

B3

I12

Are incoming/outgoing loads weighed and recorded ina register

End >> Improved
control

End >> Basic
control

B1

Is the facility registered

B2

L1

Standards

Circularity

EHS
Records
Identity
SecurityStandards

EHS
Records
Identity

B2

Does the site have distinguishable boundaries

EHS

B3

Is there personal protective equipment in use and water
for hand washing

Identity

L1

Does the site have distinguishable boundaries

EHS

L2

Is there personal protective equipment in use and water
for hand washing

B3

End >> No control

End >> Basic
control

End >> No control

L2

End >> No control

End >> Limited
control

End >> No control

INCINERATION
Question
Identity
Security

Next Question
Yes

No

F1

Is the facility registered and licensed/permitted

F2

I1

F2

Does the site have clearly marked boundaries

F3

B2

F3

Is there a physical boundary surrounding the site andsupervised access control 24/7

F4

I3

F4

Is the facility engineered with process control

F5

L3

F5

Is there continuous monitoring and recording ofoperating parameters and emissions

F6

I5

F6

Does the facility have flue gas controls compliant withapplicable environmental standards

F7

I6

F7

Are process controls and instrumentation systems
routinely calibrated

F8

I7

F8

Are there asset management and maintenance plans in
place

F9

I8

F9

Is there evidence of maintenance according to themaintenance plan

F10

I9

F10

Are emissions periodically sampled and tested byexternal laboratories

F11

I10

F11

Does the facility have energy recovery and utilisation

F12

B8

F12

If effluents are generated, are they managed incompliance with applicable environmental standards

F13

I11

F13

Are de-ashing and flue gas treatment residues managed
in compliance with applicable environmental standards

F14

I12

Fire control

F14

Are fire prevention and control measures in place

F15

I13

Staffing

F15

Is it staffed full time with professionally qualified
personnel

F16

I14

F16

Are EHS measures implemented in accordance with aprofessional risk assessment and operating plan

F17

I15

F17

Are there showering and sanitary facilities

F18

I16

F18

Are incoming/outgoing materials weighed and recorded
in a register

End >> Full control

End >> Basic
control

I1

Is the facility registered

I2

L1

I2

Does the site have clearly marked boundaries

I3

B2

I3

Does the site have boundary and supervised access
control

I4

B3

I4

Is the facility engineered with process control

I5

L2

I5

Is there continuous monitoring of operating parametersand emissions

I6

B4

I6

Does the facility have flue gas treatment system

I7

B5

I7

Are monitoring systems routinely calibrated

I8

B6

I8

Is there a maintenance plan or documented
maintenance schedules

I9

B7

I9

Is there evidence that equipment is well maintained

I10

L3

I10

Does the facility have energy recovery and utilisation

I11

B8

I11

If effluents are generated, are they discharged to apermitted discharge point

I12

L5

I12

Are solid residues disposed at facility designated forincineration residues disposal according to applicable
environmental standards

I13

L5

I13

Are fire extinguishers available on site

I14

B10

I14

Does site have sufficient number of trained staff for levelof operation

I15

B10

I15

Are EHS measures implemented for all people on site

I16

B11

Standards

Circularity
Residues

EHS
Records
Identity
SecurityStandards

Circularity

Residues

Fire control
Staffing
EHS
Records
IdentityStandards

I16

Are there toilets and hand washing stations

I17

Are incoming/outgoing loads weighed and recorded ina register

I17

B11

End >> Improved
control

End >> Basic
control

B1

Is the facility registered

B2

L1

B2

Does the site have distinguishable boundaries

B3

End >> No control

B3

Is the facility engineered with process control

B4

L2

B4

Are operating parameters (temperature, smoke etc)
continuously monitored and recorded

B5

L2

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

Waste Wise Cities Tool

B8

If effluents are generated, are they discharged to apermitted discharge point

B9

L4

B9

Are solid residues disposed at facility designated forincineration residues disposal according to applicable
environmental standards

B10

L4

Staffing

B10

Does facility have a trained supervisor and staff on site
during operating hours

B11

L4

EHS

B11

Is there personal protective equipment in use and water
for hand washing

End >> Basic
control

End >> No control

Identity

L1

Does the site have distinguishable boundaries

IL2

End >> No control

L2

Are operating parameters logged

IL3

End >> No control

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

EHS

L5

Is there personal protective equipment in use and water
for hand washing

End >> Limited
control

End >> No control

Residues

Standards

X1

FULL CONTROLX2

IMPROVED CONTROL

X3BASIC CONTROL

X4

LIMITED CONTROLX5NO CONTROL

74

Waste Wise Cities Tool

75

Waste Wise Cities Tool

P.O. Box 30030, Nairobi 00100, Kenya
T: +254-20-76263120
E: unhabitat-info@un.org