II STATE SOLID WASTE MANAGEMENT
PLAN
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Public Health Service Publication No. 2031
Library of Congress Catalog Card No. 70-607^66
For sale by the Superintendent of Documents, U.S. Government Printing Oflice
Washington, D.C., 20402 - Price 60 cents
ENVIRONMENTAL PROTECTION AGENCY
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FOREWORD
THIS DOCUMENT (SW-42ts) describes basic features of the planning
process and their utilization in the development of a State plan for its
solid waste management. Purpose of the publication is to aid States in
preparing comprehensive solid waste management plans. Intended for use
by any State solid waste agency, the publication's specific applicability
4i to any one unique situation is not necessarily assured; they are flexible
J enough, however, to serve every State in accordance with its own needs
ts.
-. and special conditions.
3
\ Developing State plans for solid waste management should include
the following objectives: (l) adoption of a sound planning process;
(2) furtherance of intergovernmental coordination; (3) application to
solid waste management of techniques and knowledge from the best of
organizational theory, financial management, cost control, and the
management sciences in general; (4) integration of the solid waste plan
with comprehensive State or areawide plans; (5) development of sound
action programs with the greatest promise for ultimate solution of solid
waste problems.
--RICHARD D. VAUGHAN, Director
Bureau of Solid Waste Management
i i i
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PREFACE
THIS DOCUMENT was prepared under the direction of Leander B. Lovel1,
Chief, Systems Management Branch, Division of Technical Operations,
Bureau of Solid Waste Management. Work on guidelines for solid waste
planning was initiated by M. DeVon Bogue, Solid Waste Management
Representative, Region IV, Atlanta, Georgia, and by Lee F. Hultgren,
former planner-engineer in the planning section of the Division of
Technical Operations in the Bureau of Solid Waste Management.
Grateful acknowledgment is given to members of an ad hoc panel,
who, from November 1968 through March 1969, contributed much time, effort,
and experience in reviewing preliminary and revised drafts on this
publication. Members of the ad hoc panel were: Donald R. Andres, Senior
Sanitary Engineer, Bureau of Vector Control & Solid Waste Management,
California Department of Public Health; James Austin, Director, Urban
Information and Technical Assistance, Georgia Municipal Association;
Paul Baldridge, Director of Planning, Ohio Department of Development;
Andy D. Briscoe, Director, Public Works, City of Boulder, Colorado;
0. William Caddy, Planning Analyst, Solid Wastes Program, Pennsylvania
Department of Health; Floyd Forsberg, Project Director, Solid Wastes
Program, Minnesota State Pollution Control Board; Herman Groseclose,
Senior Engineer, Solid Wastes Program, Oklahoma State Department of
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Health; Fred Kellow, Project Director, Solid Wastes Program, Michigan
Department of Public Health; Charles Kurker, Project Director, Solid
Wastes Program, Connecticut State Department of Health; 0. R. Lyons,
Project Director, Solid Wastes Program, West Virginia State Department
of Health; Roland J. Mross, Director of Planning, Division of Planning,
State of Indiana; Robert Nethercut, Director, Community Services,
Metropolitan Council, St. Paul, Minnesota; John R. Sheaffer, Center
for Urban Studies, University of Chicago, Chicago, Illinois; William
Wilkie, Project Director, Solid Wastes Program, New York State
Department of Health.
VI
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CONTENTS
PART ONE
The Planning Process 1
Definition ]
Application 2
Coordination 2
Basic Planning Model 3
Initial Planning 3
Problem Redefinition 5
Objectives 5
Emerging Alternatives and Decisions 5
Plan Establishment 6
PART TWO
Plan Report Outline 9
Brief Guide 9
Sample Plan Format 9
PART THREE
Plan Report Preparation 15
Summary 15
Background of the Planning Area & Existing Conditions . . 15
VI I
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Population 17
Physical Conditions (Man-Made and Natural) 17
Economic Base 18
Land Use Characteristics 19
Future Conditions (Projections) 20
Objectives 23
Recommendations for Solution 25
Implementation 27
Appendices 27
PART FOUR
Operational Planning Techniques 29
Organizing 29
Advisory Committees 30
Manpower Planning 31
Labor Relations 31
Maintaining Plan Currency 32
Community Evaluations 32
Management Techniques 3^
PART FIVE
Implementation 39
Statewide Legislation ^0
Technical Assistance ^1
Statewide Public Information Program ^
Statewide Training Activities ****
VI I I
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Coordination with Related Activities
Encourage New and Improved Technology
Acquisition of Facilities
Personnel Recruitment and Selection
Continuation of a Statewide Solid Waste
Planning Program
PART SIX
Def i n i t ions
FIGURES
1 Basic Planning Model ................... k
2 Sample Form to Forecast Requirements for Personnel .... 21
3 Sample Form to Forecast Requirements for Sanitary
Landfill Acreage ................... 22
4 Useful Graphic Devices .................. 2k
5 Sample Working Form to Develop Objectives ........ 26
6 Sample Planning Workform for Plan Development ...... 28
7 Sample Matrix for State Solid Waste Planning
Programs ....................... 33
8 Sample Form for Community Planning Profile ........ 35
IX
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DEVELOPING
A STATE SOLID WASTE MANAGEMENT PLAN
PART ONE: THE PLANNING PROCESS
Defi n i t ion
Planning is the conscious process for achieving future objectives
with rational and full consideration of any likely contingencies and
alternatives. A plan should guide intended action specifying the time
and priorities for accomplishing this intended action. The planning
process is a systematic method of: (1) recognizing that a general
situation or problem exists; (2) collecting and analyzing data about
this general situation or problem; (3) redefining the situation or
problem in light of the analyzed data; (4) establishing objectives,
the accomplishment of which will serve to change the situation or
correct the problem; (5) predetermining methods, timing, and priorities
for achieving objectives; (6) evaluation of the predetermined methods
in light of their success or failure in achieving objectives and
modification of the plan to meet changing conditions.
In requiring a systematic approach for achieving objectives,
planning for solid waste management at the State, regional, and local
levels is similar to planning for any activity. Although a plan can
and should be revised while underway to accommodate changing situations,
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it should be formalized for continuing reference. A State plan for
solid waste management, therefore, should be a written document outlining
the activities that the State intends to undertake during the life-span
of the plan. Moreover, it should be both a technical and policy statement
containing objectives for solution of solid waste management problems,
coupled with a set of directions for achieving those objectives. This
statement should then be framed within a time context and order of
priori ties.
Applicat ion
The State plan for solid waste management should adequately serve
three functions: (1) provide an internal technical and policy guideline
for carrying out the purposes of the State solid waste management agency;
(2) provide a State-directed framework of standards for local and
regional solid waste management planning and implementation; (3) provide
a legislative support document for furthering the improved management
of solid wastes in the State.
Coord i nat ion
The essence of planning is coordination. Planning requires resolution
of conflicting interests, allocation of available funds and other resources,
intergovernmental and interdepartmental cooperation, and establishment
of priorities. From the standpoint of the direction and overall needs
of State government, a solid waste management plan is one among several
functional plans, such as those dealing with highways, natural resources,
education, health, law enforcement, and recreation. State solid waste
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management plans, therefore, should relate to, and not conflict with,
other plans of the State. It is essential that State, regional, and
local solid waste management planning be included in the overall plan of
the jurisdiction that will ultimately implement it. In this way the solid
waste management agency will be able to compete effectively for funds,
personnel, and other resources and facility sites.
Basic Planning Model
The procedure for developing a State plan for solid waste management
can be explained by structuring the various steps normally taken in
formulation of a plan and can be shown in a simple 8-step model (Figure
1). The planning process is not static, as it may appear on paper, but
dynamic and continuous. The various steps in the planning process should
also be considered as capable of occurring simultaneously although in
preparing the written plan report some States may prefer to consider
each phase in sequence. Each step could, in fact, serve as a separate
chapter or section of a State plan report. A planning model should
provide feedback into the system from various planning process events
as these occur (Figure 1). The model itself has built-in controls to
allow for correction of errors discovered through feedback relationships.
Developments outside the planning process also cause corrections or
revisions. Social, legal, and environmental changes can affect the
plan and need to be considered.
Initial Planni ng
Awareness or recognition of a situation is the first step in the
planning process and is the catalyst that results in the second action:
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data collection and analysis. The data and their analysis will provide
the basic facts without which planning is impossible. Analysis of data
will also point up problem areas and situations requiring solution in
the plan (Figure 1, steps 1 and 2).
Problem Redefinition
As indicated by analysis of the data the next step is redefinition
of the problem and identification of such problems and conditions that
will be relevant in the future. This requires forecasting (Figure 1,
step 3).
Objectives and Consideration of Alternative Actions
Enough is now known about the problem that specific objectives may
be set and alternate methods for achieving these may be suggested (Figure
1, steps 3 and 4). The State solid waste management agency \s saying:
What situation should be changed and which problems corrected? Where
should modifications be made? Several alternatives might be available
to achieve objectives.
Emerging Alternatives and Decisions
Which alternative or alternatives should the State select to
accomplish the objectives set forth to solve its solid waste management
problems? The answer to this question will help establish the program
priorities. These decisions are subject to all sorts of influences
that must be considered when developing the State solid waste management
plan (Figure 1, steps 5 and 6). Such influences include political,
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legal, social, and financial factors, and available technology. Basic
among these are political and technical influences. Because of the
technical nature of the decisions, a specialized interdisciplinary
staff, the one that has been developing the plan to this point, should
continue to play a role in supplying information and expert evaluation
of alternative solutions and in implementing the plan. Evaluation of
existing State, regional, or local plans is an important part of this
step. Solid waste management plans should be compatible with existing
plans, assuming such plans take solid waste needs into account. Therefore,
decision-making for the State solid waste management plan will be based
to some extent upon political exigencies, specialized technical analysis,
and existing plans.
Those alternative solutions which appear feasible on the basis of
such consideration should be submitted to the appointed and elected
public officials and the public itself for review and possible adoption,
but not without adequate preparation for such a step. This means a
program of education of officials and the public--a vital and integral
part of the entire planning process. The agency conducting the planning
should have initiated an information and education program early in the
plan formulation stages, and the public information plan should continue
through implementation of the entire plan. News releases, films, articles,
and speakers, for example, can help develop public awareness and aid in
approval of solid waste management plans and programs.
Plan Establishment
Once the decision-making stage has been completed, decisions should
be translated into the recommendations and priorities that form the core
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of the plan (Figure 1, step 7). Although, at this point, a State plan
for solid waste management has emerged, the planning process has not
been completed. Planning will be continuous and proceed concurrently
with implementation of previously planned proposals (Figure 1, step 8).
Original plans will need reevaluation and modification to accommodate
changing situations. Earlier forecasts will require revision. This
evaluation and modification will provide new information and along with
the results of implementing the plan will be fed back into the planning
process, as indicated in the model.
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PART TWO: PLAN REPORT OUTLINE
Brief Guide
The basic planning model (Figure 1) can be translated into an
outline for reporting the established plan. Such a format communicates
the logic inherent in the planning procedure. Planning initiative
and innovation are desirable, however, and each State is expected
to formulate its own systematic outline and report, taking into
account its particular needs. The text in Part Three explains in
detail the elements that would be contained in a plan report conforming
to this out 1ine.
SAMPLE FORMAT FOR REPORTING THE PLAN
Corresponding steps r, . £ ,.
K, j , Elements of the Report
in the model
1 Foreword or Preface (or both)
Table of Contents
Section I Introduction
Purposes of the plan.
Section II Summary (Note: This section should
be the last section prepared in the plan
report and may come at the end of the report,
i f des i red.)
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Corresponding steps ,., ,. _, .
in the model Elements of the Report
Section III Background of the Planning Area
-I. Jurisdictions
*a. State
b. Regions
c. Planning areas
d. Metropolitan areas
e. Council of Governments (COG's)
jurisdictions
f. Counties
g. Municipalities
h. Special districts
i. Other
2. Physical Conditions
a. Environmental conditions
b. Geology and soiIs
c. Climatology
d. Drainage basins
e. Other
Section IV Existing Conditions
1. Arrange data according to specific needs
of the planning agency. Data collected for
the 1968 National Survey of Community Solid
Waste Praotiees is the basic source for this
plan section. But such data would have to be
augmented by other types of information.
2. Describe and analyze all existing conditions
affecting management of municipal, industrial,
agricultural, and mineral wastes, etc.
a. Storage, collection, and transportation
practices
b. Disposal and reduction facilities
c. Quantities of wastes collected, disposed
of, and generated, with generation rates
d. General management practices (e.g.,
utilization of manpower and equipment)
"Arabic enumerated and alphabetized items illustrate sample subject
matters.
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Corresponding steps .., , , n
. ;. j i Elements of the Report
in the model
e. Population (size and densities)
f. Housing (types and locations)
g. Land uses (residential, commercial,
industrial, agricultural, extractive,
recreational, and other relevant land
uses)
h. Transportation corridors
i. Levels of acceptability, service costs,
and other relevant State, regional, and
community conditions
j. Public awareness and knowledge about
solid waste problems and service
requi rements
k. Expenditures for solid waste management
1. Tax base (assessed valuations)
m. Tax rates
n. Public finance practices
o. Status of legislation
p. Economic base
q. Other
3 Section V Future Conditions and Problem Definition
1. Relevancy for the future (from the analysis of
the data of existing conditions accumulated in
sections III and IV, determine which conditions
will have a bearing on the future).
2. Future problems defined
a. Types
b. Locations
c. Extent
d. Persistence
e. Control difficulties
f. Other
3. All existing conditions and problems bearing
upon the future should be forecast at this stage.
5, & 6 Section VI Objectives
Objectives should be clearly stated and based
upon need to solve problems defined earlier. A
State might specify any of the following objectives
to solve its solid wastes problems:
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Corresponding steps .-, , .. ..
\_, j i Elements of the Report
in the model r
1. Acceptable methods of controlling
improper waste disposal
2. Acceptable collection and transportation
methods
3. Development of better trained solid waste
management personnel (operating and man-
agement levels)
k. Better informed public regarding solid
waste problems and service requirements
5. Provision of sufficient financial support
for solid waste management
6. Development of solid waste management
organizational structure
7. Other
7 & 8 Section VII Recommendations for Solution (The Plan)
1. This section should specify what the State
intends to accomplish in order to solve its solid
waste management problems. It should include
designation of the following:
a. Timing and priorities of intended action
(consider short- and long-term objectives)
b. Location of intended action
c. Who should act (i.e., agency, department)
d. Estimated costs
e. Problems that will be solved
f. Other
2. It is suggested that the following aspects be
considered as intended plan action. Proposals for
this action should be accompanied by procedures
for accomplishment and a schedule of initiation of
this action.
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Corresponding steps Elements of the Report
in the model
a. Legislation, rules, and regulations
b. Inspection and enforcement
c. Licensing of facilities
d. Training programs
e. Technical assistance to operating units
f. Certification of operating personnel
g. Public information and education program
h. Development of budgeting procedures,
financing, cost-effectiveness, special
charge features, and other operating
management features
i. Development of solid waste management
operating departments and jurisdictions
j. Recruitment, selection, and hiring of
solid waste management operating personnel
k. Other
Section VI I I Implementation (occurs outside the plan
document but is guided by it)
Append!ces
This section of the report should include supporting
materials and information used to develop the
analyses, objectives, and plan. Content of this
section might include:
a. Charts
b. Additional tables
c. References
d. Legislation and regulations
e. Definition of terms
f. Methodologies of research and analyses
g. Other
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PART THREE: PLAN REPORT PREPARATION
Much of the material presented in the foregoing outline is self-
explanatory. The content of the foreword or preface, the table of
contents, and the introduction wi]1 largely be suggested by the subject
matter included in the plan text. Thus, these guidelines will not dwell
on those aspects. Explanation will begin with Section II of the outline,
the summary, and proceed through the appendices.
Summary (Section II)
By summarizing the findings and recommendations for quick reference,
the plan report can be made more useful as a working document. This
summary is usually placed at the beginning of the report and should note
the pertinent page, paragraph, table, or appendix as the appropriate
reference for any summarized information. Furthermore, a good summary
section can be excerpted in its entirety from the plan report, separately
reproduced, and used for public information purposes. A special
condensation of the summary can be made into public relations materials
to gain citizen support.
Background of the Planning Area
and Existing Conditions (Sections III and IV)
The third and fourth sections of the plan document provide the
framework for planning and an appraisal of the existing situation. In
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the planning process this is characterized by collection of data, an
essential part of the planning process (Figure 1, step 2). Without
data it would be futile to attempt to forecast, determine needs, or
set objectives. Data and information will be diverse, of varying
quantity and quality, and only some will be useful for developing a
State plan for solid waste management. In developing its plan, each
State should be selective in its data. Data collected by the State
for the National Survey of Community Solid Waste Practices will be one
of the important sources of information. This source will provide much
data about solid waste handling practices and facilities in communities
throughout the State, including information on solid waste storage,
collection, reduction, and disposal methods related to particular areas,
types and locations of disposal and reduction facilities, budgets for
solid waste management, population, zoning, and other community
information. This information can be retrieved and analyzed for
planning on a local, regional, State, or national basis. More detailed
and precise data than that provided in the National Survey, however, is
required to plan for action programs. It is essential that information
about all solid waste sources and supporting management systems be
gathered to build the needed data base. Additional data about community
planning and development has become available in recent years. For more
detailed solid waste management planning, these sources should be tapped
for data on land uses, economics, population, and the physiography of
planning areas. The degree of State involvement in, or control over,
solid waste sites, facilities, and operations will determine whether a
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State should concern itself with these types of data in its planning.
This detailed data is, however, essential for local and regional planning.
A discussion of this aspect of planning is included for those States and
interstate agencies which have a responsibility for developing local and
regional solid waste management plans. Moreover, appropriate State
responsibility for community solid waste practices requires that States
know about such information.
Population. Determination of past, current, and future population
of a jurisdiction is an important planning consideration. When related
to solid waste generation rates, land uses, employment centers, and
other data, population information can help determine sources of solid
wastes, equipment needs, capacities and locations of reduction and
disposal facilities. Aspects of population which should be considered
include: total size (past, current, future), family size, age
distribution, densities (by either planning area, enumeration district,
or census tract), and growth rates.
A good deal of population data will be available in tabulated and
analyzed form from planning commissions, economic development commissions,
and chambers of commerce. If the data are not available from these
sources, U.S. Census publications contain considerable population data
which, however, will require organization and analysis.
Physical Conditions (Man-made and Natural). In locational analysis
for determining actual or potential solid waste reduction and disposal
sites, consideration should be given to physical and natural conditions.
Some data which should be collected and analyzed include: topographic
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features; general soils; groundwater, flood areas; oil, gas, and coal
resources; clay, shale, and rock deposits; timber; local climatology.
If these data are not already available from local, regional, or
State planning agencies the following sources can in most cases provide
the information: U.S. Geological Survey, U.S. Department of Agriculture,
U.S. Weather Bureau (ESSA), universities, State Geological Survey, and
State Natural Resources Departments. Consideration should be given to
the suitability of existing regional government configurations for
operation of solid waste management systems within their territories.
Planning should include proposals that suggest possible combinations of
governmental units into regional solid waste management systems.
Economic Base. Knowledge about the economy of a jurisdiction will
provide valuable insights about the existing and future generators of
solid wastes, competition for public funds, and the ability of the
jurisdiction to provide increasing revenues as demands for expenditures
grow. Factors that should be examined include: industrial composition,
employment groups, family income, retail trade, trade area, number of
retail establishments, import-export (local and regional), tax base
(assessed valuation), tax rates, and debt limitations.
Much of this data will be available from planning commissions,
economic development departments, chambers of commerce, banks,
universities, and U.S. Bureau of the Census in report form and complete
with analysis. In some cases further collection and analysis of
economic data will be required. Raw data is often available from the
same agencies as those that prepare reports indicated previously.
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Land Use Characteristics. The estimation of the total quantities
of solid wastes generated within the State may be a difficult process in
view of the scarcity of good data on collection and disposal quantities.
Municipal collections frequently account for only a part--sometimes a
very small partof the solid wastes generated in the community.
Substantial portions of industrial wastes are self-disposed of by
industry members and are usually not counted. Uncontrolled dumping
and open burning, where practiced, lead to further gaps in knowledge
about waste quantities.
One way to estimate waste quantities is to use detailed information
on varying land uses. For example, industrial waste production differs
from that of residential and commercial areas, and waste production
varies from one industry to another. Information is generally available
in the State on present and future land uses based on land use plans and
zoning. By relating generation rates to detailed land uses, reasonable
waste projections can be made for planning purposes.
The detail of land use classes surveyed and mapped will depend
upon the requirements of the jurisdictions. At least three basic
classifications should be recorded: residential, commercial, and
industrial. All zoning ordinances were originally based upon these
three basis classifications. Further classifications might be desired.
For example: residential may be single-family, two-family, or multi-
family. Commercial classification may be central business district,
shopping center, or highway strip. Industrial may be light, medium, or
heavy. Of course, further breakdown in classification may be needed.
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If land use data and maps are not available from planning offices,
maps should be prepared showing the land use classification of each lot,
tract, or parcel. Various colors or patterns can be used to designate
land uses.
Future Conditions (Projections, Section V)
To determine where, to what extent, and at what level of persistence
these conditions will prevail during the period of the plan, there must
be analysis of existing conditions in a future context. This requires
forecasting, the importance of which cannot be overemphasized. Correct
forecasts identify problems before they occur, permitting predetermined
solutions. This is one of the keys to successful planning. Lack of
forecasts, or worse, wrong forecasts, allows problems to appear without
warning, or solutions to be ready for the wrong problems. Statistically
correct procedures are important in making forecasts. Methodology
should, however, be tempered with good judgment. A forecast might be
statistically correct, but does it appear reasonable under the
ci rcumstances?
When making forecasts, as well as when presenting the forecast data,
it is often helpful to use working forms or tables, thus presenting
comparisons and trends and revealing similarities or differences (Figures
2 and 3). Such forms for forecasting may be used eventually as tables
in a plan document. Similar methods should be used for other data
forecast during the planning process.
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SAMPLE FORM TO FORECAST REQUIREMENTS FOR PERSONNEL
Solid Waste Management
State of
Classif i cation
Management
Admi n is trat i ve
Engi neers
Sani tarians
Other professionals
Enforcement officials
Licensing officials
Heavy-equipment operators
Incinerator operators
Transfer station operators
Packer truck operators
Other collection personnel
Street cleaning personnel
Existing
number
(year)
X
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Figure 2. In manpower planning, this form can be useful by
organizing position classifications according to current and future
needs .
21
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Illustrations can be of considerable aid to data presentation.
Relatively simple charts, graphs, and tables are suggested for this
purpose (Figure k). It makes little sense to complicate graphic
presentations when their basic purpose is to clearly convey information.
Objectives (Section VI)
The overall mission of a State solid waste management plan is to
solve the various problems connected with solid waste in the State.
Each State implicitly or explicitly adopted this mission before beginning
any planning. Indeed, the main reason for a State developing a plan at
all is its desire to achieve this basic mission.
Detailed objectives will emerge as a natural outgrowth of problem
definition while data is collected and analyzed during the early stages
of the planning process. Objectives and solutions for solid waste
problems are to be achieved through implementation of the plan. Objectives
should be carefully selected and planning directed accordingly. As a
formalized procedure, selection of objectives might proceed by examining
each significant solid waste problem discovered in the analysis of
existing data. The problem's relevance for the future should be given
along with a definitive statement of the objective and proposed solutions.
These solutions require implementation of a plan. The following examples
illustrate the procedure.
Problem discovered through analysis of the data (Example A). In 85
percent of the State's communities of 2,500 and less, the predominant
collection vehicle is an open dump-type truck. Objective. To provide
23
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USEFUL GRAPHIC DEVICES
Curve
Histogram
Map
Table
Pie Chart
Gantt-Chart
Figure k. Simple graphic devices are useful in depicting and
conveying information clearly and quickly.
-------
acceptable collection vehicles in communities of 2,500-and-less population.
Recommendation for Solution. Provide for health regulation which specifies
acceptable collection vehicles to apply statewide to all solid waste
management systems becoming effective July 1, 1971.
Public attitude discovered through analysis of data (Example B).
Most of the State's citizens are unaware of the need for solid waste
disposal facilities. Objective. To better inform the public about the
solid waste disposal requirements and the current efforts to provide
necessary facilities. Recommendation for Solution. Develop annual
public relations programs covering the next five years which consist
of news releases, newsletters, and a speaker's bureau to disseminate
information about the problems of solid waste and the measures being
taken to solve these problems.
Any objective developed should be directly related to a specific
recommendation for intended action in the plan. In developing objectives
it might be useful to actually tabulate problems, suggested objectives,
and possible planned action on a working form (Figure 5). The form
takes the approach used in Examples A and B and provides space for
inserting specific implementing actions designed to achieve objectives.
The Recommendations section or Plan will contain the specific actions.
Recommendations for Solution (Section VII)
This section of a plan report is essentially the plan itself. A
State's intentions for achieving objectives that will help solve its
solid waste management problems should be specifically stated and
25
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SAMPLE WORKING FORM TO DEVELOP OBJECTIVES
Planning Work Form
(1) Problem Definition:
(2) Objective:
(3) Alternative Solutions:
(a)
(b)
(c)
(4) Recommended Planned Solution:
Figure 5- It is helpful to systematically relate problems to
objectives and solutions if tabulated on a form like this.
26
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elaborated here. As suggested, a working form can be used advantageously
in developing this section of the planning report, since recommended
planned solutions to solid waste management problems have already been
related to objectives. In addition, however, the recommended solution
should be considerably elaborated with a view to designating
responsibilities, priorities, timing, locations, estimated costs, and
the problems that will be solved.
Planned action could be organized on a working form (Figure 6).
Such a form would simply structure and elaborate the recommended planned
solutions stated in an objectives development planning workform (Figure
5).
Implementation (Section VIM)
Implementation of a plan is the process of activating the
recommendations for solution. Descriptions of possible implementing
action are included in Part Five of this document.
Appendices. Supporting data, references, tables, maps, and
explanation of methodologies, should be placed in appropriate appendices
in order to avoid a cluttered plan text. References to this material
can be made in the text using notations or footnotes. This enhances
readability of the text and avoids the possibility that important
recommendations may be overlooked. In some States, both the plan text
and supporting data might be sufficiently voluminous to justify two
separate report volumes. One would contain data while the other would
serve as the plan text containing recommendations, priority listings,
and schedules.
27
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PART FOUR: OPERATIONAL PLANNING TECHNIQUES
Described in this section are management techniques and procedures
applicable to both local and regional solid waste agencies. These
should be included in the State plan. Those States (and interstate
agencies) that directly exercise local and regional planning
responsibilities should plan to install these management techniques
in their areas of jurisdiction. States that exercise only advisory
planning responsibility for local areas should include a discussion
of these techniques in order to guide local operating agencies in
their planning and implementation activities.
Organ!zing
Ultimate success or failure of any solid waste management system
will be realized at the operational level. Day-to-day implementation
of the available technology and public service objectives will require
an efficient and effective basic organization. The organization, in
order to be effective, must be staffed by qualified personnel and
provided with adequate resources. An organization must be not only
capable of responding to the needs of solid waste management, but must
have the strength and flexibility to initiate the changes that will
serve to improve the management system.
There are four crucial points in developing an organization to
manage any endeavor: (1) The organization should be designed to
-------
achieve planned objectives; (2) it should have authority and
responsibility appropriate to the task-at hand; (3) it should fit
both legally and logically into the overall jurisdiction of which it
is a part; (A) it must be staffed with adequate numbers of qualified
personnel.
Advisory Committees
Advisory committees have good potential for guiding and supporting
a solid waste management planning and implementation program at the
State, local, or regional levels. The specific purposes of the advisory
committee should be determined and criteria then established for
selecting members. An advisory committee might be formed to provide,
for example, only technical advice to the solid waste management
planning agency. If this is the purpose, then it is important that
advisory committee members be capable of providing technical expertise
in various aspects of solid waste management. However, an advisory
committee with broader responsibilities might serve the following
functions: (l) to provide technical insight; (2) to assure adequate
coordination with other public agencies, such as those concerned with
air, water, and State and regional planning; (3) to offer policy
di rection.
If possible, advisory committees should be limited to presentation
of recommendations and resolutions of approval. Disagreements should
be resolved or modified during sessions of the committee. Final decisions
ideally should reside with the responsible solid waste management agency.
30
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Manpower Planning
A manager of a solid waste management system, as with any operation
requiring large numbers of personnel, will find manpower needs and
management of personnel one of his largest concerns. In order to
reduce uncertainties about manpower needs for the future and to provide
continuity in the solid waste management system, a manpower plan should
be prepared. A plan for manpower need be nothing more than a listing
of all position classifications in the system, existing personnel in
each classification, an estimate of personnel required for these
positions during a future period, 3» 5, and 10 years hence, and
estimated personnel costs for these periods. Attrition and retirements
should be anticipated by determining ages of employees and application
of normal turnover rates. Planning will permit provision of adequate
numbers and kinds of personnel as well as chart paths of promotion of
personnel to insure continuity of the organization.
Labor Relations
An immediate challenge in many systems for solid waste management
will be the insistence of employees to assert employee rights by means
of work stoppages. Therefore, mechanisms should be adopted to help
minimize stoppages and to permit continued service to the public.
Methods have been available and successful for many years in the private
sector. These are: (1) acceptance and legal designation of a bargaining
agent and unit; (2) negotiation of a collective agreement or contract;
(3) grievance and arbitration procedures. Grievance procedures should
be designed to resolve issues early in order to avoid entering into
31
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arbitration. Arbitration, however, should be used in public labor
relations whenever possible in order to avoid work stoppages. The
public jurisdiction's collective bargaining team should include
representatives from the jurisdiction's legislative body, such as the
city council, or county commissioners, personnel office, legal
department, chief executive's office, and representatives from the
department in which the bargaining unit is employed. The collective
bargaining team should be aware of and give special attention to
presenting the jurisdiction's objectives in the contract, determining
key policies on management rights (public interest), work rules, job
security, and relationships to civil service or merit system provisions.
Maintaining Plan Currency
A scheduling matrix can be a useful aid in scheduling of the State's
planned activities over a broad time span (Figure 7). Each year the
intended activities would be updated by a year. For example, when
1970-71 becomes the operating year, the end of the Long Term period
would move from 1989 to 1990. With such a matrix the plan remains
current while continuing to provide a long-term guide. In actual
practice a State's scheduling matrix might be several pages long and
supported by explanatory text. In fact, it would become another
summary of the plan itself while providing the vehicle for plan revision.
Community Evaluations
In many States continuous planning activity will include the
development of regional and local plans for solid waste management.
32
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Procedurally, community plans have been formulated very much as are
State plans. Basic data is collected and analyzed, problems defined,
objectives stated, and suggested or planned solutions stipulated in
order to achieve objectives. In developing community plans it might
be helpful to organize a community planning profile. The workform
(Figure 8) will aid in organizing the basic problem-objective-
solution procedure for solid waste planning at the regional and local
level. Of course, all of the considerations for community planning
are not provided on this form. Other things, such as population,
economics, land use, finance, administration and organization, manpower,
zoning, comprehensive local plan provisions, and traffic patterns will
need to be examined as well.
Management Techniques
A number of quantitative management techniques are applicable to
the field of solid waste planning and management. These include
statistical methodologies which are appropriate for analysis and
forecasting of solid waste generation rates, population, economic
conditions, and future land uses. Other techniques aid in scheduling,
budgeting, and evaluation. For example, the techniques of PERT/CPM
and the methodologies of PPBS and operations research are receiving
increasing use among planners and managers in government and private
industry.
Program Evaluation and Review Technique and Critical Path Method
(PERT/CPM). These planning and control techniques lend themselves best
to project planning and are accomplished through time-event network
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SAMPLE FORM FOR COMMUNITY PLANNING PROFILE
(1) Name of Community
(2) Region of State
(3) Planning Jurisdiction
(A) Relevant Community Data (derived from specific data print-out for
the community from the National Survey of Community Solid Waste
Practi ces)
(5) Significant Problems
a. types
b. locations
c. extent and persistence
d. control difficulties
(6) Future Significance of Problems
(7) Objectives for Solution
(8) Specific Recommendations for Solution
a. facilities that will be provided
b. timing and priorities
c. location
d. responsibi1i ty
e. estimated costsoperating and capital
f. problems that will be solved
Figure 8. Although not providing indication of all community
planning considerations, this form does help organize solid waste aspects
into the probjem-objective-solution procedure familiar to users of this
gui deline.
35
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analysis. The initial development of a plan for solid waste management
could be scheduled by PERT/CPM. In order to apply PERT/CPM, three
basic questions about the project should be asked: (l) What tasks must
be finished before this task can begin; (2) What tasks can be accomplished
concurrently; (3) What tasks can begin after another task is partially
complete?
Planning-Programming-Budgeting-System (PPBS) . This is a management
tool that provides for a method of rational decision-making in government.
A characteristic of PPBS is that output measurement of a given unit of
effort is required (e.g., crimes prevented because of added policemen,
incidence of disease reduced because of immunization programs, or
reduction of open dumps because of added manpower units for inspection
and enforcement, etc.) rather than just input (i.e., money, manpower,
and time). The basic elements of PPBS include: (l) consideration of
future implications of any programmed effort; (2) identification of a
governmental unit's objectives and relating all activities, regardless
of organizational responsibility to these objectives; (3) consideration
of all pertinent costs (operating and capital); (4) systematic analysis
of alternatives for reaching objectives. This would include estimation
of total cost of each alternative as well as resulting major cost and
benefit tradeoffs involved with the alternatives.
In States installing PPBS, the planning and implementation activities
of the solid waste management agency should be designed to relate to
this system. Use of the planning procedures presented in these guidelines,
especially those aspects concerned with setting objectives, achieving
36
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those objectives, and measuring results in problems solved, will permit
the State plan to be readily adapted in PPBS.
Operations Research (OR). Basically, operations research is the
application of the scientific method to the study of possible alternatives
for the purpose of developing a quantitative basis for achieving an
optimal solution for the problems of functional and operating units in
terms of objectives. This definition would quite adequately fit the
planning process outlined in the present guidelines, since planning and
operations research employ similar analytical methods. Operations
research permits management to arrive at the best decisions and solutions
to operating problems. At the local and regional operating levels,
operations research can, for example, make possible the design of an
optimal collection network, or determine which combination of several
alternative locations for proposed transfer stations would be best.
Furthermore, the techniques of operations research have proven quite
useful in the development of comprehensive solid waste management
plans since OR is interdisciplinary and oriented to a total system.
37
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PART FIVE: IMPLEMENTATION
Although closely related to planning, implementation is a distinct
step marking the apparent end of planning and the beginning of action.
In actual practice, planning never ends, while action frequently
becomes necessary before the comprehensive plan is first completed.
In these guidelines, the concept of implementation will be confined
to program-type activities in contrast to the steps and procedures
already characterized as part of the planning process and described
in the Basic Planning Model.
Each State will share in making an appropriate distinction between
planning and program activities based in part upon the following
considerations: (l) the degree to which the State is able to conform
to the planning process as described by these guidelines and the basic
planning model (Figure 1); (2) characteristics of the State's solid
waste management system; (3) duties and responsibilities of the
designated State solid waste planning agency; (4) the scope and depth
of a State's planning activity as conducted under the solid waste planning
grant program and as actually practiced; (5) the depth of detail to
which the activity is undertaken, as measured by legislative activities,
advisory and training service contacts, evaluations and inspections
conducted, research activity engaged in, and degree of responsibility
39
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for physical plant. Activities considered critical to the implementation
of a State solid waste management plan would include statewide legisla-
tion, technical assistance, public information program, training activities,
coordination with related activities, encouragement of new and improved
technology, acquisition of facilities, and personnel recruitment and
selection.
Statewide Legislation. Principal implementing devices for solid
waste management at the State, regional, and local levels will be
enabling legislation by the State followed by the establishment of
administrative rules and regulations and local ordinances. The steps
leading to the development of effective legislation might be as follows:
(l) The first step, a review and evaluation of existing State legislation,
both enabling and regulatory, has already taken place in the collection
and analysis of data as part of the planning process. (2) An assessment
of the adequacy of existing legislation and a determination of legislative
needs should also have occurred in the planning process. This step is
predicated on the planning objectives with consideration for present
solid waste handling practices, future solid waste handling requirements,
established goals and priorities, resources available for complying with
proposed regulations and standards, and enforcement resources. (3) To
draft new legislation and administrative regulations (if required) is
the next step. Consideration should be given to the applicability of
the following: Federal recommendations; recommendations of (and
cooperation with) local and regional agencies; stated purpose of the
legislation; definition of terms; prohibitions and requirements; right
-------
of entry, inspections, and enforcement; penalties; appeals; authority
to plan for solid waste management; authority to approve new solid waste
management systems; authority to set administrative rules and regulations;
possible authority to tax and expend public funds. Specific technological
procedures and operating methods should not be included in legislation
since difficult-to-procure amendments to the law would be required for
even simple changes to take advantage of improved technology. Instead,
administrative rules and regulations permitted by the legislation should
be used for regulating specific operations of solid waste management.
(4) Take necessary steps to assist in the passage of recommended
legislation. This might include supplying of informational material
and attendance at public hearings. (5) Plan and/or implement a program
of enforcement. (6) Provide model solid waste management ordinances
for regional and local jurisdictions. The State solid waste planning
agency should consider this function as part of its advisory or
regulatory function. (7) Promulgation of legislation, rules and
regulations, and established standards through both official and popular
med i a.
Technical Assistance. A major implementing activity of the State
solid waste agency will be to assist all agencies and groups concerned
with solid waste handling within the State, whether they be urban, rural,
public, private, industrial, commercial, or agricultural. Assistance
to local and regional agencies will be oriented toward the development
and conduct of solid waste management plans and systems. Assistance
might include the following activities.
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Design and Operation Rating Procedures and Recommendations. The
State should provide local and regional agencies with guidelines on
rating procedures and recommendations for the design and operation of
sanitary landfills, incinerators, composting plants, auto salvage
lots, transfer systems, solid waste storage, and collection systems.
Performance standards will be an important tool in achieving this
objective.
Evaluating Alternative Systems. The State should provide agencies
with assistance in evaluating the choosing between alternative types of
collection and disposal systems.
Salvage and Reclamation Methods, Locations of Storage and Use, and
Materials Should be Examined. The State should encourage efforts and
aid private industry and the secondary materials industry to develop
methods and improve the economics of utilizing junked vehicles and
recycling of industrial solid wastes.
Leg!slation. Assistance should be provided for the development,
passage, and implementation or enforcement of local and regional
legislation. Such assistance might take the form of model ordinances,
recommended standards and regulations, and public information.
Management, Administrative, and Fiscal Assistance. The State
agency should help to develop and improve management and administration
capabilities at every level of government. It should propose methods
and priorities for obtaining financial assistance. The agency may
encourage the use of standardized cost accounting systems and the
adoption of capital improvement programs.
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Training. The State agency may wish to determine the status of
technical skills currently available in the conduct of solid wastes
management programs and to assess the need for increased technical
competencies to fulfill future needs. Pre-service training of students
in solid waste management might offer an approach for developing needed
knowledge and skills. Planning activities might include the development
of guidelines for providing technical and in-service training for solid
waste handling personnel and the development and application of standards,
or certification, for such personnel. University extension or
continuation education facilities might be used for this purpose.
Inspection and Evaluation. The State agency might be called upon
to inspect, evaluate, and make recommendations for the improvement of
existing solid waste handling operations. This activity should be
conducted on a periodic basis.
Regional Plans. Where advantageous, the State agency should
encourage the development of regional or areawide plans (e.g., county
or metropolitan areas). Existing urban and regional planning
jurisdictions should be examined as possible vehicles for this purpose.
The State agency can serve a coordinating function by bringing together
the various jurisdictions involved in the planning effort.
Public Information. The State agency should assist local and
regional agencies in the development of effective public information-
public education programs.
Reservation of Future Disposal Sites. The State agency should
encourage local and regional planning efforts to provide for the early
reservation of land for future disposal sites and facilities.
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Plan Development, Review, and Approval. In addition to providing
assistance for the development of local and regional solid wastes plans,
the State agency should develop a program for the review and approval
of all local and regional plans developed under other funding
arrangements. Plans for major solid waste disposal facilities and
sites should also be reviewed.
In addition to the assistance provided to local and regional
agencies, the State agency must give due consideration to problems not
amenable to solutions on a local or regional level. Many of the
problems of industry, mining, agriculture, and commerce fall into
this category.
Statewide Public Information Program. In addition to assisting
local and regional agencies in the development of their public
information programs, the State agency should develop and initiate
a statewide public information/education program. The following
activities might be included: (l) assembling information on solid
waste practices and environmental conditions; (2) obtaining and
developing informational materials, pamphlets, books, films, and
monographs; (3) providing for information dissemination by newspaper,
radio, and TV; (4) schedule talks and lectures.
Statewide Training Activities. Although solid waste training
should be oriented toward local and regional solid waste handling
agencies, a statewide training program should also be developed and
might include the following activities: (1) encouraging management
and technical training in colleges and universities (solid waste
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courses could be included in undergraduate, graduate, and extension
curricula); (2) arranging for field courses and demonstrations (such
as visiting a sanitary landfill in operation) for public officials,
operating personnel, and other interested parties.
Coordination with Related Activities. Solid waste planning should
be coordinated with activities of other related agencies. In most
jurisdictions other operating or planning agencies may have interests
that would overlap with those related to the development or implementation
of a planning program for solid waste disposal. These might include
official agencies such as the State planning agency, agriculture
department, highway department, industrial commission, air and water
pollution control agencies, as well as a variety of local or unofficial
agencies or groups. A major objective of the grant support authorized
by the 1965 Solid Waste Disposal Act is the coordination of solid waste
planning with other planning. Thus, the solid waste agency should not
only list the agencies with which planning will be coordinated but also
indicate the specific ways in which coordination will be assured.
Coordination is specifically required with air and water pollution
control planning and with planning activities supported with funds
provided by Section 701 of the Housing Act of 1954, as amended. Other
coordination may be required under Section 204, Demonstration Cities
and Metropolitan Development Act of 1966. (See Bureau of the Budget
circular A-95, September 30, 1969-) Comprehensive Health Planning
(PL 89-749) offers another opportunity for coordinative effort for
mutual solution of areawide problems. Coordination of solid waste
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disposal planning with the activities of other agencies within the
jurisdiction should be of considerable value to the State solid
waste disposal planning agency, not only in permitting the development
of regional and jurisdiction-wide plans but also in providing mutual
access to planning data and joint promotion of comprehensive plans.
The State solid waste planning agency should strive for complete
cooperation and coordination in the development and implementation of
all local, regional (SMSA, county, COG, and metropolitan-authority),
and State planning efforts. Although emphasis is needed on developing
regional or areawide plans, local plans should not be neglected. Rather,
they should be developed for inclusion in the larger regional plan.
Certain elements such as standards, legislation, and regulations should
be uniform within the region and State. In order to ensure the effective
coordination of all planning efforts throughout the State, the solid
waste planning agency should develop and implement the State plan with
the full support, knowledge, and assistance of local and regional
jurisdictions. Indeed, many of the activities carried out by the State
solid waste planning agency will require the support and assistance of
local and regional agencies. An example of this might be the testing
of a regional sanitary landfill coupled with the use of local transfer
stations. Such an activity would be apt to require interjurisdictional
management and financial support. Development of plans for large
jurisdictions may require assistance from the State solid waste planning
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agency in the form of special studies, the development and testing of
alternative solutions, and legal and financial reviews.
Encouragement of New and Improved Technology. The State agency
for solid waste management should encourage the research, development,
demonstration, and utilization of new and improved solid waste management
technology. This might include: (1) encouraging the development of
regional or areawide solid waste plans; (2) encouraging the demonstration
of new and improved technology, both "hardware" and "software"; (3)
encouraging the application of systems analysis and operations research
to solid waste management systems; (k) providing for the distribution
of information on new research and technology by means of available
information media. Consideration might be given to the development of
a statewide newsletter for disseminating this information.
Acquisition of Facilities. Implementation of a solid waste
management plan will at some point require acquisition and development
of facilities, which might include land, buildings, trucks, earthmoving
and other equipment. Estimates for equipment needs in the plan will
aid in acquiring the necessary equipment at the time of implementation.
The agency accepting responsibility for implementation must also arrange
for financing of facilities. Provision should be made for both capital
and operating expenditures.
Personnel Recruitment and Selection. Part of implementing solid
waste management plans is the recruitment and selection of personnel.
The provision of personnel can be guided by needs forecast in the plan.
Adequate methods of selection to assure qualified personnel should be
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used. After hiring, modern methods of personnel management and labor
relations should be applied.
Continuation of a Statewide Solid Waste Planning Program. A
significant part of the State solid waste management plan should be
aimed toward the development of a continuing planning program for
furthering effective solid waste management throughout the State.
Under this program there might be the following activities: (!)
periodic review and updating of State, regional, and local plans. On
the State level this might require the development of an inventory
system to regularly update the data and evaluate the status of current
solid waste management practices. It might also include the development
of some type of model to periodically update forecasts of future solid
waste handling requirements. At the local and regional levels, State
activities could probably be directed toward assistance in updating
local and regional solid waste plans. (2) Periodic assessment of the
implementation progress of State, local, and regional plans. This
activity would require the development of techniques for measuring
progress toward goals. (3) Periodic review of adoption and enforcement
activities of State, regional, and local legislation and standards.
This will require an enforcement activities information system as well
as a legislative reporting service. (4) Continuing technical, financial,
and legal consultation, guidance, and assistance to local and regional
solid waste management agencies. This service could also extend to
industry, agriculture, and commerce.
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PART SIX: DEFINITIONS
Alternatives, two or more possible solutions to solid waste management
problems.
Basic Planning Model, a depiction of the procedures and dynamics of the
actual planning process. See Basic Planning Model diagram, page k.
Councils of Governments (COG*s) , intergovernmental organizations of
local governments formed for the purpose of planning and sometimes
review of Federal grant expenditures.
Feedback, data representing reactions, results, and evaluations reentering
the planning process which will allow for plan modifications if
needed.
Implementation, the process of activating the plan to achieve solutions
to solid waste management problems.
National Survey of Community Solid Waste Practices, the extensive national
survey conducted by solid waste planning grantees and the Bureau of
Solid Waste Management concerning solid waste practices and conditions
Objectives, stated and specific goals which if achieved, solve specific
solid waste management problems.
Operating Agencies, refer to agencies which have the responsibility and
authority for actual operation of a solid waste management system,
including purchase and operation of equipment, and collection,
transportation, and disposal of solid wastes.
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OR, Operations Research. See page 37.
PERT/CPM, Program Evaluation and Review Technique/Critical Path Method.
See page 3^.
Planning Process, see page 1.
PPBS, Planning-Programming-Budget!ng-System. See page 36.
Standard Metropolitan Statistical Area (SMSA), is a U.S. Bureau of
the Census designation for the collection and analysis of urban
data. SMSA's are areawide in scope and use county boundaries.
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