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This publication (SW-101ts.l) was written by
RICHARD 0. TOFTNER
U.S. ENVIRONMENTAL PROTECTION AGENCY
1973
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An environmental protection publication
in the solid waste management series (SW-101ts.l)
For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402
Price 65 cents domestic postpaid or 45 cents QPO Bookstore
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FOREWORD
A key function of the Federal solid waste management program mandated by the Solid
Waste Disposal Act (Public Law 89-272) and its amendment, the Resource Recovery Act
of 1970 (Public Law 91-572), is to encourage solid waste planning.
Local governments, particularly, should begin to plan and implement comprehensive
systems to assure that their solid wastes are managed in a manner that does not create
pollution or threaten the community health. Although the Federal and State governments
should and do provide leadership, information, and assistance, the real fact of effective
solid waste management—the daily programs of waste handling—falls to the local or, in
many areas, the regional level.
The technical knowledge is available that will permit localities to adopt progressive
solid waste practices and upgrade their solid waste management systems. Yet the great
majority of these localities, for a variety of reasons-most of them political, financial, and
managerial, rather than technical-are not doing what we know how to do now , with
today's technology. As a result, they are suffering from high costs, inability to finance
adequate services, and environmental degradation. Or they are enmeshed in a web of
overlapping and conflicting jurisdictions that hamstring solutions.
A well conceived plan and planned follow-through can be a strong force in overcoming
institutional barriers. This guide contains recommendations for developing the local or
area wide plan.
-SAMUEL HALE, JR.
Deputy Assistant Administrator
for Solid Waste management
111
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PREFACE
Any activity develops best when it is well planned, and exploiting this axiom will allow
us in solid waste management—at any level of government—to achieve better integration
of our policies, programs, and expenditures.
This publication describes the basic features of the planning process and how a local or
regional agency may use these in developing a solid waste management plan and in
charting the way to early implementation of its plan. Because a variety of local or
regional operating or planning agencies may be called upon to prepare solid waste
management plans, the publication's approach is flexible. Each agency can be
discretionary in adapting it to its own needs and special conditions.
All comprehensive solid waste management plans, however, should premise and pursue
six objectives:
• Adopt a sound planning process.
• Establish a management system to implement optimum proposals for storage,
collection, transportation, disposal, processing, and resource recovery.
• Apply the techniques and knowledge from the best of organizational theory,
financial management, cost control, and the management sciences in general to solid
waste management.
• Coordinate solid waste plans with other governmental agencies and further
intergovernmental cooperation.
• Integrate the solid waste plan with comprehensive areawide plans.
• Develop sound action programs with greatest promise for ultimate solution of
solid waste problems. .. conservation of resources.. . protection of the environment.
-CLYDE J. DIAL, Director
Systems Management Division
Office of Solid Waste Management
Programs
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CONTENTS
PART ONE: THE PLANNING PROCESS 1
DEFINITION 1
APPLICATION 1
COORDINATION 1
BASIC PLANNING MODEL 2
Initial Planning 2
Redefining the Problem 2
Objectives and Consideration of Alternatives 2
Emerging Alternatives and Decisions 3
Establishing the Plan 3
PART TWO: BASE STUDIES 4
POPULATION 6
LAND USE 6
ECONOMICS 7
GOVERNMENT STRUCTURE 7
LAWS AND ORDINANCES 7
PUBLIC FACILITIES AND SERVICES 7
PHYSICAL CONDITIONS (MAN-MADE AND NATURAL) 8
TRANSPORTATION 8
CURRENT SOLID WASTE PRACTICES 8
BIBLIOGRAPHY 9
PART THREE: MANAGEMENT CONSIDERATIONS 10
ORGANIZATION 10
Appraisal 10
Design Consideration 10
Intergovernmental Mechanisms 11
Joint Operations 11
Contractual Service 11
Overall Operational Organizations 11
FINANCIAL PLANNING 12
MANPOWER PLANNING 12
INDUSTRIAL RELATIONS 14
PUBLIC EDUCATION 14
ADVISORY COMMITTEES 14
PROPERTY AND EQUIPMENT MANAGEMENT 14
CONTROL AND EVALUATION 15
BIBLIOGRAPHY 16
PART FOUR: MANAGEMENT TECHNIQUES 17
PROGRAM EVALUATION AND REVIEW TECHNIQUE
AND CRITICAL PATH METHOD (PERT/CPM) 17
vii
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PLANNING-PROGRAMMING-BUDGETING SYSTEM (PPBS) 17
LINEAR PROGRAMMING (LP) 17
QUEUING THEORY 18
MANAGEMENT INFORMATION SYSTEMS (MIS) 18
System Analysis 18
System Design 18
System Development 18
BIBLIOGRAPHY 19
PART FIVE: IMPLEMENTATION 20
ORGANIZATION 20
STAFFING 20
FINANCING 20
ACQUISITION OF FACILITIES 20
PROVIDING SERVICE 20
PUBLIC EDUCATION 21
TRAINING ,21
CONTINUED PLANNING
GENERAL MANAGEMENT AND CONTROL
BIBLIOGRAPHY
21
21
22
[
!
PART SIX: PLAN REPORT PREPARATION 23
SUMMARY (SECTION II) 23
BACKGROUND OF THE PLANNING AREA AND
EXISTING CONDITIONS (SECTIONS III AND IV) 23
FUTURE CONDITIONS (PROJECTIONS, SECTION V) (23
OBJECTIVES (SECTION VI) 23
RECOMMENDATIONS FOR ACTION (SECTION VII) 25
fypENT. ATION (SECTION VIII) 25
ENbiCES (FINAL SECTION) 25
PLAN REPORT OUTLINE 26
SAMPLE OUTLINE FOR REPORTING THE PLAN 27
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PART ONE: THE PLANNING PROCESS
DEFINITION
Planning is the conscious process for achieving
proposed objectives which rationally and fully considers
any likely contingencies and alternatives. The planning
process is a systematic method of: (1) recognizing that a
negative situation or problem exists; (2) collecting and
analyzing data about the situation or problem; (3)
redefining the situation or problem in light of the
analyzed data; (4) establishing objectives which, when
achieved, will remedy the situation or problem; (5)
predetermining methods, timing, and priorities for
achieving objectives; (6) evaluating the success of
predeterminate methods in achieving objectives and
modifying the plan to meet changing conditions. In
requiring this systematic approach, planning for solid
waste management is similar to planning for any activity
at all levels of Government—State, regional, and local.
Although a plan can and should be revised, while
underway, to accommodate changing situations, it
should be formalized for continuing reference. A local
and regional plan is intended to provide for direct
operations of a solid waste management system or to
provide the basis for design of solid waste facilities. A
State solid waste plan, conversely, is intended to provide
the broad framework of policies, regulations, standards,
and criteria by which local and regional planning can be
accomplished.
A solid waste management plan, therefore, should be
a written document and, at the local or regional level,
should outline the activities that the agency intends to
undertake during the lifespan of the plan. Moreover, it
should be both a technical and a policy statement
containing objectives for resolving solid waste
management problems coupled with a set of directions
for achieving these objectives. The statement should
then be framed within a time context and an order of
priorities. Further, short-term alternatives should be
followed through while the planning proceeds. This will
afford early impact in ameliorating certain problems,
lend credibility to the planning, and engender support
for long-term proposals.
APPLICATION
The local or regional plan for solid waste management
should adequately serve five functions. It should: (1)
provide an internal technical and policy guideline for
carrying out the purposes of the local or regional solid
waste management agency; (2) provide a public-directed
framework of standards for local and regional solid
waste management planning and implementation; (3)
provide for an integrated management system of
approved storage, collection, and transportation,
possible resource recovery, and final disposition of solid
waste through either direct operations, regulated
performance, or a combination of both; (4) establish
methods and procedures for translating the plan into
system design and direct operations; (5) serve as a
legislative support document for advancing improved
management of solid wastes within the jurisdiction.
COORDINATION
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 local or regional government, a solid
waste management plan is one among several functional
plans, such as those dealing with streets, sewerage and
water, education, health, public safety, and recreation.
Local and regional solid waste management plans,
therefore, should relate to, and not conflict with, other
plans of the jurisdiction. State regulations and required
performance standards and other provisions also must be
considered. And coordination with the private sector,
which provides much of the solid waste services in many
areas, is important. The public must be assured of a high
level of total service from the private operator at a
reasonable cost.
1
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BASIC PLANNING MODEL
The procedure for developing a local or regional plan
for solid waste management can be explained by
structuring the various steps normally taken in
formulating any plan. Figure 1 depicts a simple 8-step
model. The planning process is not, as it may appear in
the diagram, static but is dynamic and continuous. Also,
various steps in the planning process may occur
simultaneously, although, in preparing the written plan
report, some jurisdictions may prefer to consider each
phase in sequence. Each step could, in fact, serve as a
separate chapter or section of a plan report.
A planning model should provide for feedback from
various planning process events as they occur (Figure 1).
This model has built-in controls to accommodate
correcting errors discovered through feedback
relationships. Developments outside the planning process
also can effect corrections or revisions. Social, legal, and
environmental changes, for example, should be
considered.
Initial Planning
Recognizing that a bad situation or problem exists is
the first step in the planning process and the catalyst for
the second action-the data collection and analysis to
provide the basic facts essential to planning. Analysis of
data also will point up problem areas and circumstances
requiring consideration in the plan (Figure 1, steps 1 and
2).
Redefining the Problem
As dictated by data analysis, the next step is to
redefine the problem and identify those problems and
conditions that will be relevant in the future. This
requires forecasting (Figure 1, step 3).
Objectives and Consideration of Alternatives
Enough is now known about the problem to delineate
specific objectives and suggest alternative methods for
achieving these objectives (Figure 1, steps 3 and 4). The
local or regional solid waste management agency is
saying thetorically:
• "What situation should be changed and which
problem should be corrected?"
• "Where should modifications be made?"
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Emerging Alternatives and Decisions
Which alternative or alternatives should the local or
regional agency select to accomplish the objectives that
it has set forth for solving its solid waste management
problems? The answer here will help establish the
program priorities.
The agency's decision-making is subject to many
influences that must be considered when developing the
local or regional solid waste management plan (Figure 1,
steps 5 and 6). Such influences may be both constraints
and resources and include political, legal, social, and
financial factors, and available technology. Basic among
these are technical and political influences. Because of
the technical nature of the decisions, a specialized
interdisciplinary staff—the one which has been
developing the plan to this point—should continue to
play a role in supplying information and evaluating
alternative solutions and in implementing the plan.
Evaluating existing State, regional, or local plans is a
particularly important part of this step. Solid waste
management plans should be compatible with these
plans, assuming they take solid waste needs into
account. Thus decision-making for the solid waste
management plan will be based to some extent upon
political exigencies, specialized technical analysis, and
existing plans.
Those alternative solutions that appear feasible on the
basis of such considerations should be submitted to the
appointed and elected public officials and to the public
itself for review and possible adoption, but not without
adequate preparation. This means a program of
education for both officials and the public—a vital and
integral part of the entire planning process. The planning
agency should have initiated such an information and
education program in the early stages of the plan
formulation, and the public information program should
continue throughout implementation of the entire plan.
News releases, films, articles, and speakers, for example,
can help promote public awareness and aid in approval
of solid waste management plans and programs.
Establishing the Plan
Once the decision-making stage has been completed,
decisions should be translated into the recommended
strategies and priorities that form the core of the plan
(Figure 1, step 7). Although, at this point, a local or
regional plan for solid waste management has emerged,
the planning process has not been completed. Planning
will be continuous and will proceed concurrently with
implementation (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 this information, along with the
results of implementation, will be fed back into the
planning process (Figure 1).
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PART TWO: BASE STUDIES
As the term implies, base studies form a data basis for
succeeding analyses and recommendations. Base studies
help construct a logical framework for rational planning,
identify problems and limitations, and inventory
available resources.
In planning for local and regional solid waste
management systems essential basic information to be
assembled and analyzed usually will include data about
population; economics; land use; governmental
jurisdiction and structure; physical conditions; legal
framework; public facilities and services which compete
with or complement solid waste management;
transportation corridors and modes available; current
solid waste practices; and solid waste collection and
generation rates.
Much of this data is available from secondary sources.
Awareness of these sources eliminates the need for a
primary survey and conserves time in collecting and
analyzing. About one-fifth of the needed data can be
derived from the Office of Solid Waste Management
Programs' National survey of community solid waste
practices. Additional data are available from State solid
waste agencies, from other State agencies, such as-
departments of planning, natural resources, and
highways, and, on the local level, from city, county, and
regional planning departments. Indeed, solid waste
planning often will either be conducted by these
agencies or closely coordinated with them. Other sources
of information are banks, chambers of commerce, and
the U.S. Bureau of the Census for facts about population
and the economy.
Undoubtedly some primary data collection will be
necessary. Data about solid waste generation loads and
accurate breakdowns of solid waste components, for
example, generally are not available. Here a survey
sample must be taken to derive—through weighing and
separating the wastes-suitable planning figures. In
addition, collection practices and equipment, transfer
stations, land disposal sites, and incinerators must be
examined.
Often accurate financial base data for planning also is
lacking. Establishing useful figures for operational or
capital costs will require a careful analysis of aggregate
data to derive those figures pertaining only to solid
waste management. Fairly accurate estimates can
sometimes be established by tracing a path through the
systems and costing out critical components.
Departments of public works or sanitation can be
extremely helpful in this regard since these agencies are
usually the solid waste management operating agency.
Land use-solid waste generation can be refined further
to permit more precise planning where needed,
Residential land use, for example, might be subdivided
into single and multifamily dwellings. Commercial land
uses could be further defined into retail categories, such
as drug, food, hardware, and general merchandise
outlets. Solid waste generation might then be related to
sales volume and selling-floor square-footage of the store
and provide a predictor for commercial land uses in
other areas with similar characteristics. Industrial land
uses might be further classified according to the
Standard Industrial Code (SIC) categories, such as meat
packing, electrical housewares, and motor vehicle
production, and facilitate a determination of
characteristics of wastes from plants, bearing certain SIC
designations. Amounts of solid waste could be predicted
from a calculation of a plant's product units.
Precise locations (generation nodes) and amounts of
solid waste (generation) can then be readily used as
variables in a linear program allocation model for
optimal assignment to transfer stations, disposal and
reduction facilities, and resource recovery yards. This
allocation procedure is explained in Part Four
(Management Techniques). Depending upon the size area
being planned and complexity of the data, this
procedure can be adapted to either computer or manual
methods. In large, highly complex areas, computer
methods for data handling, optimal routing and
allocation, and map plotting might be necessary.
Forms 1 through 3 present a format for data array
and computation for the three major land use categories,
along with suggested breakdowns for more precise
planning. Subcategories selected should be appropriate
to each major subplanning area.
Transportation and final disposition of solid waste
will depend upon generation locations, types of solid
waste, and availability of sites for transfer stations,
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resource recovery yards, sanitary landfills, and
incinerators. All these considerations must be included
in planning the total system, and the sites particularly
should fit into the area's comprehensive plan. Indeed,
sites for solid waste management should become an
integral part of the comprehensive plan.
Sheet 1 of
FORM 1: URBAN SOLID WASTE GENERATION: RESIDENTIAL LAND USE CATEGORY
MAJOR PLANNING AREA
SUBPLANNING AREA
Subcategory
Mullif amily
2-Floor
3-10 Floor. .
Over 10 floors - •
Institutional
Correctional
Acreage
Population
Waste
characteristics"
(% each)
Reclamation
components
(% each)
Total
Waste generation
(tons)
Daily
Annual
'Waste characteristics: A-metal; B-paper; C-wood; D-plastics; E-food;
F-chemical; G-petroloum; H-radioactive; l-pathological; J-glass.
FORM 2: URBAN SOLID WASTE GENERATION: COMMERCIAL LAND USE CATEGORY
Sheet 1 of.
MAJOR PLANNING AREA
SUBPLANNING AREA
Subcategory'
Lumber, hardware,
farm equipment
General merchandise
Furniture & home
Apparel, accessories
Eating & drinking places .
Selling Floor
Area
(sq ft)
Sales
($000)
Waste
characteristics+
(% each)
Reclamation
components
(% each)
Waste generation
Itons)
Daily
Annual
•fWaite characteristics: A-melol; B-paper; C-wood; D-plostics; E-food; F-chemical;
G-petroleum; H-radioaclive; l-pathological; J-glass.
•Use U.S. Census of Business Classifications for subcategories whenever possible.
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FORM 3: URBAN SOLID WASTE GENERATION: INDUSTRIAL LAND USE CATEGORY
Sheet 1 ol .
MAJOR PLANNING AREA.
SUBPLANNING AREA
Subcategory
SIC* Activity
2037 Frozen fruits, juices
2522 Metal office furniture
2621 Paper mills
2653 Corrugated and solid
3711 Motor vehicles and parts .
3721 Aircraft
Units of
production
(% each)
Reclamation
components
(% each)
Total
"Standard Industrial Classification
-chemical;
!_..
Waste generation
(tons)
Daily
Annual
POPULATION
Past, current, and future population of a jurisdiction,
along with family size, age distribution, densities (by
either planning area, enumeration district, or census
tract), and growth rates, 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.
LAND USE
Land use considerations are the nucleus of local and
regional,. comprehensive plans and a prerequisite for
community plans concerned with transportation,
housing, and the full range of public facilities and
services. Local and regional land use planning focuses on
better arrangements and uses of land in accordance with
economy, public interest, convenience, health and
safety, and amenity. It is especially critical to solid waste
management, where land is needed for transfer, disposal,
reduction, and resource recovery facilities.
Usually these land needs must compete with other
land needs. More important, however, public acceptance
must be gained since reservation or acquisition of land
for solid waste purposes often engenders public
opposition manifested in angry protests at public
hearings, in unfavorable newspaper coverage, in political
pressures, and even in formalized local ordinance. Solid
waste land uses, for example, are often left out as a
permitted use in zoning ordinances or else specifically
prohibited. Land that is made available often is
unsuitable because of soil, geology, topography, water
pollution, potential, inadequate protection to natural
resources, or because it is so isolated from the service
area that it is uneconomical.
Effective land use planning for solid waste
management must weigh air, water, and land pollution
potential, transportation, economic location,
population, relationship to overall community plans, and
the ultimate use of the land. In considering these
elements for land use planning, solid waste must be
viewed in three basic stages—generation point,
transportation, and final disposition. *
For urban generation, solid waste should be identified
according to residential, commercial, and industrial land
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uses. If the community has a comprehensive planning
program, a land use survey usually has been completed
and data have been recorded and mapped. This land use
inventory should serve as the basis for relating solid
waste generation to specific land uses. For example, a
part of the existing land use will probably be residential.
Individuals in these residences generate a certain amount
of solid waste. By dividing the total residential acreage
into the total solid waste generated by residents living on
that acreage, for a given time period, the generation rate
can be derived. Assuming a generation rate that includes
a growth factor and examining projected figures and
plans for land use, a fairly realistic estimate of expected
solid waste generation can be developed for existing and
future residential areas. This approach has the advantage
of yielding total figures for solid waste generation, as
well as the location or nodes of generation. Zoning is
also an indicator of the potential solid waste load on the
system and a means of estimating spatial distribution.
Local and State planning agencies, economic
development agencies, and chambers of commerce can
provide much data, already tabulated and analyzed, on
population. If the data are not available from these
sources, U.S. Census publications contain considerable
population data; these, however, will require
organization and analysis.
ECONOMICS
Knowledge of the economy of a jurisdiction will
provide valuable insights into the existing and future
generators of solid waste the competition for public
funds, and the capability of the jurisdiction to provide
increasing revenues as demands for expenditures grow.
Relevant factors 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 and capacities. The potential
for materials recovery and their marketability also
should be examined.
Much of this data will be available from local and
State planning agencies, economic development agencies,
chambers of commerce, banks, universities, and the U.S.
Bureau of the Census in report form complete with
analysis. In some cases, additional economic data must
be collected and analyzed; or, often other raw data is
available from the agencies mentioned.
GOVERNMENT STRUCTURE
To determine the adequacy of jurisdictional
organization structures for solid waste management, or
to propose more effective alternatives in the plan, the
existing governmental structure should be clearly
understood. A regional planning area may involve several
individual jurisdictions, making the problem more
complex. Especially relevant will be the names, official
boundaries, powers and responsibilities of these
jurisdictions, and any functional relationships to solid
waste management. During the development of the plan,
close coordination must be maintained with all
governmental units in the planning area.
LAWS AND ORDINANCES
Since plans for solid waste management will both
affect and be affected by State laws and local
ordinances, a cognizance of existing laws and ordinances
and an inventory of all laws and ordinances pertinent to
solid waste management is necessary basic data.
Particularly relevant are those dealing with public health,
zoning, subdivision regulation, building codes, public
finance, intergovernmental agreements, air and water
pollution, planning, and, of course, those dealing
specifically with solid waste. Such an inventory will
provide both the legal framework for planning and the
basis for new laws and ordinances or for amendments
where existing laws are inadequate.
PUBLIC FACILITIES AND SERVICES
Often solid waste management will compete for funds
and other resources with various public facilities and
services in the area. Frequently, in fact, solid waste
management is a function carried on by these activities,
particularly in the case of public works and street
departments. In other cases, these facilities and services
can complement solid waste management. Existing
utilities, for example, might be restructured to include
solid waste management, or central garages and yards
might be used for transfer station sites or resource
recovery stations.
During the basic studies, survey information should
be developed to interrelate solid waste management and
the following public facilities and services:
• Government centers
• Public works
• Water and sewerage
• Service utilities
• Health facilities
• Schools
• Central garages and yards
• Shipping terminals
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PHYSICAL CONDITIONS (MAN-MADE AND
NATURAL)
Locational analysis of actual or potential solid waste
reduction and disposal sites should consider physical and
natural conditions, to assess suitability for solid waste
management and to provide adequate environmental
protection. Data should include: topographic features;
general soils; ground water, flood areas; oil, gas, and coal
resources; clay, shale, and rock deposits; timber; and
climatology. These data may already be available from
either local, regional, or State planning agencies; or from
the U.S. Geological Survey, the U.S. Department of
Agriculture, the National Weather Service (NOAA),
universities, State geological survey, and State natural
resources departments.
TRANSPORTATION
Transportation is vital to a solid waste management
plan; solid waste must be moved for disposal or for
resource recovery. A street or highway is the single most
important and common mode. Others, such as rail and
barge routes, are potentially significant however.
An inventory of transportation facilities should
evaluate these facilities in terms of present and future
application to collection routing, and hauls to transfer
stations, disposal and reduction facilities, and resource
recovery stations. Transportation facilities contained in
local or regional comprehensive plans should be related
to future solid waste management needs. Examples of
transportation information which should be collected
and analyzed are:
Streets Highways
Primary Freeway and expressway
Collector Primary
Local Collector
Railroads
Long-line
Short-line
Yards
Bargeways
Canals
Rivers
Locks
Terminals
Trucks
Rails
Barge
Specialized information regarding streets and highways
which might be useful in some instances includes:
• Travel-way width
• Number of traffic lanes
• Surface type
• Section length
• Present average daily traffic (ADT)
• Future ADT
• Peak hour percent of ADT
• Operating speed
• Load limits (Some vary with season.)
CURRENT SOLID WASTE PRACTICES
Collection and analysis of data about current solid
waste practices will require care and diligence. Accurate
and sufficient solid waste data generally is unavailable.
Yet a solid waste plan cannot be developed without it.
About one-fifth of the required data can be derived from
the Office of Solid Waste Management Programs'
National survey of community solid waste practices. The
remaining specific solid waste data will require surveys,
although carefully taken samples often will suffice.
Generally, current data needed in addition to that
described earlier will be concerned with the specifics of
storage, collection, transportation, transfer, disposal,
reduction, resource recovery, and various organizational
management aspects. Examples of planning
considerations and the kinds of data required follow:
Existing methods
Storage
Collection (type, frequency, quality)
Transporation (including transfer)
Disposal and/or reduction
Resource recovery and recycling
Waste generation (See land use base studies for related data.)
Location (tons generated and collected)
Political subdivisions
Major planning area
Subplanning area
Amounts (tons generated and collected)
Residential
Commercial
Industrial
Other
Types (Classify by components.)
Residential
Commercial
Industrial
Other
Equipment and property
Trucks (types, capacities, life)
Transfer stations (locations, types, capacities, life)
Land disposal (locations, types, capacities, life)
Incinerators (locations, types, capacities, life)
Resource recovery stations (locations, capacities, equipment,
life)
Management problems (See also Part Three, Management
Considerations.)
Overall evaluation
Environmental effects (air, water, population densities, noise)
Finance (capital, operating, fees, records)
Organization
Manpower
Industrial relations
Private/public systems (areas of responsibility)
Contractual arrangements
Regulation/enforcement
Public relations »
A complete analysis of the current and future effects of
these data-should be made.
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A jurisdiction planning profile (Form 4) will aid in
organizing the basic problem-objective-action procedure
for solid waste planning at the local or regional level.
Although the form does not take into account all
planning considerations, by using it the findings in the
base study evaluations will be more clearly focused and
related to action solutions.
FORM 4:)JURISDICTIONAL PROFILE
FOR SOLID WASTE PLANNING MANAGEMENT
Planning jurisdiction ^^___
Name of community(ies) affected .
Region of State „
Relevant community data*,
Significant problems
Tvpoi
Location*
Conlrol dillitultiis
Future significance of problems
Objectives for action
Specific recommendations for action
Facilities to bo provided
limins and prioritiei
Location
Roiponiibilily
Problem! to bo tolved
•Derive from specific data printout for (ho community from the
National Survey of Community Solid Wastes Practices.
BIBLIOGRAPHY
American Public Works Association. Municipal refuse
disposal. 3d ed. Chicago, Public Administration
Service, 1970. 538 p.
American Public Works Association. Refuse collection
practice. 3d ed. Chicago, Public Administration
Service, 1966. 525p.
Black, RJ., and A.M. Barnes. Effect of earth cover on
fly emergence from sanitary landfills. Public Works,
89 (2): 91-94, Feb. 1958.
Boyd, G.B. and M.B. Hawkins. Methods of predicting
solid waste characteristics. Washington, U.S.
Government Printing Office, 1971. 28 p.
Chapin, F. Urban land use planning. 2d ed. Urbana, 111.,
University of Illinois Press, 1965. 498 p.
Clark, R. M., and R. 0. Toftner. Land use planning and
solid waste management. Public Works, 103(3): 79-80,
98, Mar. 1972.
Cummins, R.L. Effects of land disposal of solid wastes
on water quality. [Cincinnati], U.S. Department of
Health, Education, and Welfare, 1968. 29 p.
Darnay, A. Recycling assessment & prospects for
success. Washington, U.S. Government Printing
Office, 1972. 14 p.
Davis, P. C., and R. J. Black. Effects of garbage grinding
on sewage systems and environmental sanitation.
APWA Reporter, 29(12): 16-18, Dec. 1962.
Hickman, H. L., Jr. Characteristics of municipal solid
wastes.Strap Age, 26(2):305-307, Feb. 1969.
Hickman, H. L., Jr. Planning comprehensive solid waste
management systems. Journal of the Sanitary
Engineering Division, Proc. ASCE,
94(SA6): 1147-1152, Dec. 1968.
International City Managers' Association. Principles and
practice of urban planning. Chicago, 1968. 621 p.
Investigation of planned refuse collection and disposal.
Journal of the Sanitary Engineering Division, Proc.
ASCE, 82(SA3): 1014-1 - 1014-13, June 1956.
Munich, A. J., A. J. Klee, and C. R. Hampel. 1968
National survey of community solid waste practices.
Public Health Service Publication No. 1866.
Washington, U.S. Government Printing Office, 1968.
53 p.
Munich, A. J., A. J. Klee, and P. W. Britton. Preliminary
data analysis; 1968 national survey of community
solid waste practices. Public Health Service
Publication No. 1867. Washington, U.S. Government
Printing Office, 1968. 483 p.
Planned refuse disposal; a report to the Directors of
County Sanitation Districts of Los Angeles County,
California. Joint Administrative Staff, Los Angeles
County Sanitation Districts, Sept. 1955. 117 p.
Toftner, R. O. Developing a state solid waste
management plan. Public Health Service Publication
No. 2031. Washington, U.S. Government Printing
Office, 1970. 50 p.
Vaughan, R. D. Reuse of solid wastes: a major solution
to a major national problem. Waste Age, 1(1):10,
14-15, Apr. 1970.
Vaughan, R. D. Solid wastes and air pollution.
[Cincinnati], U.S. Department of Health, Education,
and Welfare, 1969. 16 p.
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PART THREE: MANAGEMENT CONSIDERATIONS
A solid waste management plan would be incomplete
and largely inadequate without provisions for
operational activities, such as administration,
organization, finance and budgeting, manpower,
industrial relations, public relations and public input,
equipment and facilities management, and control and
evaluation.
Inadequate organization has been at the root of poor
solid waste management. A viable and adequate
organization, therefore, cannot be overemphasized in
planning an effective, efficient system. The relationship
of both the public and private sectors in solid waste
management also requires special consideration since
each has important responsibilities.
Manpower, another significant part of solid waste
management systems, must be considered carefully and
should include long-term staffing forecasts, recruitment
methods, training elements and procedures, occupational
health and safety standards, collective bargaining, and
grievance and arbitration arrangements. All position
classifications should be considered—including
equipment operators, clerks, administrators, and
professional personnel-to properly plan for short- and
long-term needs. Manpower planning will also help point
routes of promotion, provide for continuity in the
system, and indicate training program needs.
Physical resources should not be ignored. Equipment
and facilities needs, purchases, operating and capital
costs, maintenance and salvage procedures must be
planned and developed within the system.
Public acceptance of the needs and services of the
system is critical to its success. An active public relations
program must be a continuing part of the system's
activities. In addition, an advisory committee can afford
important support and direction for the system.
Operating and capital budgets must be prepared to
guide expenditures for the system for current and future
periods, and sources of revenue to support expenditures
must be identified. Regardless of the method or
combination of methods used, efforts should be made to
relate the actual cost of the integrated management
system to adequate charges for services provided.
Finally, to control the system effectively, accounting
procedures, with adequate records, should be installed to
measure not only financial aspects but also services
performed, safety performance, employee performance,
employee development and retention, and public
attitudes toward the service.
If private contractors are franchised or licensed to
provide the services for the operating jurisdiction, many
of the foregoing considerations will be their management
responsibility. Nevertheless, the responsible public
agency must insure that its contractors perform these
responsibilities efficiently and effectively to provide a
high level of uninterrupted service at a reasonable cost.
ORGANIZATION
The day-to-day implementation of technology and
public service objectives requires an efficient and
effective basic organization. Six points are crucial in
developing an organization for solid waste management:
(1) it should be designed to achieve planned objectives;
(2) it should have concomitant authority and
responsibility; (3) it should fit, both legally and
logically, into the overall jurisdiction of which it is a
part; (4) it must have adequate qualified personnel; (5) it
must have adequate capital and operating finances; (6) it
should propound an integrated system for storage,
collection, transportation, disposal, and possibly
resource recovery and reuse of solid waste materials.
Appraisal
Both existing and other alternative organizational
forms should be examined to determine their adequacy
for solid waste management—their advantages and
disadvantages, financing, establishment requirements,
possible service effects, for example. The objectives
desired for the solid waste management system should
then be compared with this appraisal to derive design
requirements for the system's organization.
Background information needed for this appraisal
should be developed in the base studies (Part Two,
Governmental Structure).
Design Consideration
Areawide or regional approaches will be important
organizational ppossibilities for the overall jurisdiction.
Operating forms, such as utilities, authorities, joint
10
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11
agreements, contractual arrangements, and agreements,
should be considered within the regional context. The
concept of maximum operational authority—which
essentially states that, wherever possible, a solid waste
management system be installed throughout an entire
region and operated universally on an integrated
management basis—should be observed. Everyone would
receive solid waste service. In a rural region of three
counties, for example, maximum operational authority
would mean that no person, business, city, or any entity
lacks an approved standard of collection and disposal
service. Charges for the service would apply universally
and accurately reflect the total cost of the service, but
would allow for varying charges for different levels of
service. In an urban region, the maximum operational
authority would encompass the entire metropolitan area.
Intergovernmental Mechanisms
To solve solid waste problems by planning and
implementing management systems within regional
configurations requires appropriate legal organizational
mechanisms that are oriented toward intergovernmental
cooperation and that serve to unify the numerous, and
often conflicting, individual jurisdictions. In addition,
the regional configuration selected should be conducive
to a solid waste management system that is established
on an integrated management basis with maximum
operational authority. The operating region should be
delineated to maximize the population that is served.
Incompatibility often may require a separate, but
adjoining, operating region. A county or group of
counties will often provide a convenient organizational
framework for a solid waste management system.
Important to policymakers and planners of
intergovernmental organizations for solid waste
management are the joint approach mechanisms
available, including administrative arrangements,
financing, management reporting, and areas of mutual
responsibility. The main intergovernmental mechanisms
are: (1) joint operation of a service facility by two or
more units; (2) provision of a service on a contractual
basis by one governmental unit to at least one other
governmental unit; (3) an overall operating district,
authority, or utility supervised by a board of
commissioners or directors with day-to-day operation
delegated to a manager and staff. All three can be
modified. Under each, the agency or operating authority
responsible for facilities or services may use its own staff
and facilities, those of the units receiving the service, or
those of private suppliers or contractors.
Joint Operations. In all States, local units of
government may agree under certain circumstances to
perform various public services jointly. Generally,
agreements can be used to undertake any functions and
responsibilities that each unit could undertake singly.
Typical services might include police and fire protection,
sanitation, public health, joint operation and occupancy
of public buildings, mass transportation, and water
supply. The joint efforts can involve an exercise of
powers or an agreement or contract for services. In
application to solid waste management, interest centers
on the contract or agreement among units of
government for the joint provision of a service.
The financing techniques used by a local government
acting alone usually can be converted for joint
operations. User charges might be levied to cover direct
operations and to retire revenue bonds. Or funds might
be provided from general revenues derived from tax
levies imposed by each participating governmental unit
or from special taxing powers of the solid waste
management jurisdiction. Exact methods would depend
upon State statutes or the preferences of the participants
to the joint agreement.
Contractual Service. Municipal services provided
under contract include those supplied by one
governmental unit to other units, by private operators,
or by a combination. Many States have enacted
legislation that enables their local units of government to
enter into such agreements. Among their many
advantages is the elimination of duplicate services, staffs,
and expenditures. Operations and budgets also are more
easily planned. If private contractors are used, the
governmental unit does not have to hire and maintain its
own employees. Furthermore, a contract with a private
operator will fix costs for a definite period and thus
provide a more positive planning base. To insure
high-level uninterrupted service, however, the contract
should be carefully drafted. In addition, to allow for
capital commitment for trucks, sites, and other
acquisitions and to provide a stable work-force, a
contract should be written for no less than 5 years.
Overall Operational Organizations. In a regional
solid waste management approach, intergovernmental
agreements might be further formalized by establishing
organizational entities that permit operations, possible
taxing or user fee assessment power, and incurring debt
through various bond mechanisms. The operational
organizations relevant to intergovernmental management
of solid waste—authorities, special districts, and
utilities-are usually established according to
specifications contained in each State's statutes.
Intergovernmental agreements or organizations at the
local level which cross State boundaries must be
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12
authorized by statute in each State affected—sometimes
by a constitutional provision. Congressional consent
usually is not required for a local interstate organization,
even though a type of interstate compact is involved.
Although there are advantages in a specific
organization with special powers, such as special districts
and authorities, this approach requires caution and
should be undertaken only after alternatives, such as an
intergovernmental or contractual agreement, have been
rejected. It has been far too easy to add layers of local
jurisdiction each time a new problem arises. A
satisfactory alternative, which combines certain
advantages of several approaches, would be to organize,
through an intergovernmental agreement, a regionwide
authority that operates as a utility with maximum
operational authority for an integrated solid waste
management system.
The authority-utility would be empowered to license
and regulate private contractors; to regulate local
government operations; or to undertake its own
collection, transportation, disposal, reduction, and
resource recovery operations and to establish and
enforce all standards for a specific region. Financing its
own facilities or leasing them to private contractors
could be equitably done with funds derived from user
charges and revenue bonds. Day-to-day management
would be the responsibility of a manager answering to a
board of directors.
A second example involves a division of authority and
responsibility among different governmental levels along
functional lines. For instance, operating under broad
State regulation, a regional agency would provide for the
capital investment and operation of transfer stations,
sanitary landfills, incinerators, resource recovery
stations, and other large facilities. Local jurisdictions
would conduct collection services and other strictly local
functions. Such an approach also would require
intergovernmental agreements governing operations,
financial arrangements, and designation of
responsibilities.
FINANCIAL PLANNING
Financing planning identifies and describes methods
for securing funds for acquiring and operating facilities
and equipment called for in a plan. Funds usually are
derived from a mixture of several sources, including
long- and short-term debt, revenues generated from
operations, tax levies, and sale of surplus assets. These
sources must be identified during planning. Several
questions are pertinent during planning to help provide
the basis for budgeting. Can capital funds be obtained
through general obligation or revenue bonds? What are
our debt capacities? Will general tax levies be applied
over the service area, or can revenue be generated by
direct service charges? Is pay-as-you-go financing
possible?
The budget is a plan showing how resources will be
acquired and used over a specified time. It is a
fundamental planning tool and one of the most effective
techniques used in government and business to
accomplish the objectives of management. A solid waste
management plan, therefore, should include both a
capital budget, which describes investments in capital
equipment and facilities, estimates of cost, and time of
acquisition over the life span of the plan, and an
operating budget, which shows estimated operating costs
for the first 1 or 2 years of the plan.
MANPOWER PLANNING
As in any operation requiring large numbers of
personnel, a manager of a solid waste management
system will find manpower needs and management of
personnel one of his largest concerns. To reduce
uncertainties about future manpower needs and to
provide continuity in the solid waste management
system, a manpower plan should be incorporated into
the local or regional solid waste management plan. It
should present a comprehensive listing of all position
classifications in the system, the existing personnel in
each classification, the estimated personnel required 5 or
10 years hence, and the projected estimated personnel
costs. Retirements and other attrition should be
anticipated by determining ages of employees and by
considering normal turnover rates. Reasonable estimates
of in and out transfers should be included in these
computations. Planning will provide for adequate
numbers and kinds of personnel as well as chart the
paths of promotion of personnel to insure continuity of
the organization.
Planning for manpower should also include training
needs and programs to prepare employees initially and
to maintain their knowledge and skills during
employment. Changing requirements for certain skills
should be anticipated in the plan and become part of a
retraining program. As emphasis shifts from disposal to
recycling, inspectors, for example, might need training in
the distribution and economics of secondary materials.
Forms 5 and 6 will aid in organizing and computing
manpower information.
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13
FORM 5: MANPOWER PLANNING IN A SOLID WASTE MANAGEMENT ORGANIZATION
Classification
Administrative .
Engineers . ...
Other professionals
S 't I dTII
Incinerator operators
Reclamation station operators..
Packer truck operators
Street cleaning personnel ....
lo" ears
Age groups
18-24
25-29
30-34
35-39
40-44
45-49
50-54
55-59
60-64
Total
all ages
FORM 6: SOLID WASTE MANAGEMENT ORGANIZATION: MANPOWER LOSSES*
(5- and 10-Year Estimates)
Classifications
Other professionals . • • •
Enforcement officials. . . .
Licensing officials
Heavy equipment
operators
Sanitary landfill
Incinerator Operators . . -
Transfer station
operators
Reclamation station
Packer truck operators • •
Other collection
Street cleaning personnel
Total
all ages
(present)
Scheduled
retirements
Transfers
(net)
Other
losses*
Total
losses
Estimated
available manpower
(5 yr)
(10 yr)
Manpower
requirements
(5 yr)
Estimated total personnel costs 5 years 1
10 years j
00 yr)
•From current monpower
•Hnctudes voluntary and forced terminations, disabilities, deaths, and early retirements
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14
INDUSTRIAL RELATIONS
An immediate challenge in many solid waste
management systems will be the insistence of employees
to assert employee rights through work stoppages.
Mechanisms should be adopted to help minimize such
stoppages and to permit continued service to the public.
Methods employed successfully for many years in the
private sector include: (1) acceptance and legal
designation of a bargaining agent and unit; (2)
negotiation of a collective agreement or contract; and
(3) grievance and arbitration procedures. Grievance
procedures should be designed to resolve issues early to
avoid entering into arbitration. Indeed, a fair hearing of
all grievances and demands in exchange for the public
employee's agreement not to strike is a public
responsibility. Strikes, nevertheless, are always a
possibility even if grievances are equitably heard by the
public employer. Arbitration should then be used in
public labor relations, whenever possible, to avoid work
stoppages. Voluntary arbitration is preferable; failing
this, however, compulsory arbitration should be used,
particularly in emergency situations where work
stoppages threaten to impair public health or welfare.
Although illegal in most public employment places,
strikes have been occurring with increasing frequency in
recent years. Thus a strike plan should be prepared to
carry on essential services if negotiations break down.
Such a plan should take into account (1) legal steps,
including the security of public property; (2)
information techniques that could be readily
implemented to communicate with both the public and
the strikers; and (3) procedures outlining initial steps to
take once the strike ends.
In contract negotiation, experienced union
negotiators with full power to make contract
commitments usually will represent the public
employees. Often this same power, or rather the lack of
it, to commit the public to contractual decisions
hampers the public's bargainers. The solid waste
management plan, therefore, should include procedures
for vesting authority for contract commitments in a
responsible group composed of both public legislators
and executives. The public jurisdiction's collective
bargaining team, for example, should include
representatives from the jurisdiction's legislative body,
such as the city council or county commissioners; the
chief executive's office (but not the chief executive
himself); personnel and legal departments; and the
department in which the bargaining unit is employed.
This 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.
PUBLIC EDUCATION
An active educational campaign during both planning
and implementation can create greater public
understanding of the need for proper solid waste
management. The public can be alerted to what is
considered the highest quality of solid waste
management and what it can do to achieve this quality.
Several techniques and methods are available: (1)
scheduling talks to lectures to service clubs, schools,
League of Women Voters, community action groups,
government officials and others; (2) disseminating
information through newspapers, radio, and TV media;
(3) assembling and disseminating available information
on local solid waste practices and environmental
conditions; and (4) developing and preparing special
information materials like pamphlets, books, films, and
monographs.
ADVISORY COMMITTEES
Advisory committees can guide and support solid
waste management planning and implementation at the
State, local, or regional levels. The specific purposes of
the advisory committee should be determined first and
criteria should then be established for selecting its
members. An advisory committee might be formed, for
example, to provide only technical advice to the solid
waste management planning agency, and, in this case,
advisory committee members must reflect technical
expertise in various aspects of solid waste management.
An advisory committee with broader responsibilities,
however, might serve to: (1) provide technical insight;
(2) assure adequate coordination with other public
agencies, such as those concerned with air, water, local
government, and State and regional planning; (3) provide
an interface between solid waste planning and operations
if these activities are part of different agencies; and (4)
offer policy direction.
If possible, advisory committee functions should be
limited to 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.
PROPERTY AND EQUIPMENT MANAGEMENT
The plan should incorporate specific provisions (1)
for acquiring equipment and other capital property on a
scheduled basis with full consideration of capital and
operating cost and source of revenues; and (2) for
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maintaining, protecting, retiring, and finally disposing of
all property. Form 7 suggests a capital property
acquisition schedule.
Physical protection of property against carelessness
and theft is important. Inventories of spare parts and
saleable reclaimed materials should be well controlled
through recordkeeping of incoming and outgoing items.
Adequately insuring properties and bonding employees
directly handling these properties, although not
preventing loss, provide for recovery after a loss in
incurred. Another, less obvious, property loss is the
consequence of little or no maintenance, which can
result in higher-than-planned operating costs, interrupted
solid waste services, and earlier-than-planned
replacement.
CONTROL AND EVALUATION
An important function of management is evaluation.
Too frequently, solid waste management performance is
not critically evaluated. Consequently, service often
deteriorates, inefficiency abounds, and costs increase
faster than necessary. But, what parts of solid waste
management need evaluation to possibly improve
performance?
Although solid waste management systems may
differ, there are some common factors which should be
appraised. Costs of manpower, equipment, supplies, and
facilities, as examples, are critical to the effective and
efficient operation of any system and must be identified
so that the manager can evaluate and control them.
Further, critical costs should be broken out into
manageable units, because when costs are aggregated it is
difficult to pinpoint problem areas.
A useful tool for evaluation of solid waste
management performance is the operating ratio. Ratios
15
are expressed as mathematical proportions between
major cost or resource expenditures and performance
elements in the management system. For example, in
considering the entire collection workforce, an
important relationship for controlling manpower costs
and scheduling route time might be the ratio of one
collector man-day to tons of solid waste' collected.
Suppose, for example, one collector is normally able to
collect 4 tons of solid waste in a task day as based on an
overall workforce mean average. The ratio value would
be 0.25 as shown in the equation:
1 collector man-day
4 tons solid waste ~ "• ^
A norm might be established at the 0.25 figure for the
entire collection workforce and related to the total
tonnagg collected. A variance from this norm would
indicate to the manager that a change in operation had
occurred; an unfavorable change in operation, for
example, could result in higher costs per ton collected. If
this variance persists, the manager should determine the
exact cause and take corrective action if needed. In using
ratios, however, system norms must be established based
upon method of operation and levels of service. In all
cases, accurate measurements must be made and
recorded to make reliable and valid evaluations.
Other ratios could be developed which would help
evaluate frequency of accidents or performance of
equipment during a working period. Business ratios are
useful in solid waste management too. An example is the
current ratio, the relationship of current
assets-to-current liabilities. This ratio generally depicts
the adequacy of the working capital of a company and
the company's ability to meet its day-to-day payment
obligations.
FORM 7: CAPITAL ACQUISITIONS SCHEDULE
Capital item
SLF lite No.2
Incinerator (HT) • • • •
Transfer station. • •
Reclamation yard- • •
Grinder Italian ....
Scalet (3)
Seal* equipment. . . .
Lowboy trailer (1) • •
Compactor) (2)
Track loaders (3). . .
Water fnicltl (2) ...
Packer uniti (10) • • •
Truck unill (20) ....
Estimated
total cost
$
Budget
1970,
$"
Budget
1971,
$
TOTAL 1970-1975 Short-range and 1974-1980 long-range prop<
Budget
1972,
$
Budget
1973,
$
Budget
1974,
$
Budget
1975,
J
Total
6-year program
Long-range
proposal) to 1980
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16
The use of operating ratios in solid waste
management, carefully selected and applied, can pro.vide
measurements which could make better management
easier. A higher level of service, at a more equitable cost
for the consumer, could well result.
BIBLIOGRAPHY
Clark, R.M., and R.O. Toftner. Financing municipal
solid waste management systems. Journal of the
Sanitary Engineering Division, Proc. ASCE,
96(SA4): 885-892, Aug. 1970.
Clark, R.M., R.O. Toftner, and T.W. Bendixen. Manage
solid wastes as a utility. American Gty, 86(2):45-47,
Feb. 1971.
Clark, R.M., R.O. Toftner, and T.W. Bendixen.
Management of solid waste-the utility concept.
Journal of the Sanitary Engineering Division, Proc.
ASCE, 97(SA1): 33-40, Feb. 1971.
Cooperative landfill—park project combines service of
seven jurisdictions. Western Gty, 37(7):47, July
1961.
The International City Managers' Association. Municipal
public works administration. Chicago, 1957. 449 p.
Kennedy, H.W. A new role for the urban county?—the
Lakewood plan. In Capitol, courthouse, and city hall.
Morlan, R.L., ed. Boston, Houghton Mifflin
Company, 1950. p. 224-227.
Miller, D.E. The meaningful interpretation of financial
statements. New York, American Management
Association, 1966. 238 p.
Minnesota. Sessions laws. An act creating a Metropolitan
Council for the counties of Anoka, Carver, Dakota,
Hennepin, Ramsey, Scott and Washington; providing
for the operation thereof, chap. 896, H.F. No. 1508,
1967. (Codified in Minnesota stat. annotated, chap.
473B. Metropolitan Council [new].)
Minnesota. Sessions laws. An act relating to the
Metropolitan Council; providing for the creation of a
sewer service board and prescribing its duties and
powers; providing for the collection, treatment and
disposal of sewage in the metropolitan area. chap.
449, S.F. No. 237, 1969. (Codified in Minnesota stat.
annotated, chap. 473C. Metropolitan Sewer Service
[new].)
Minnesota. Sessions laws. An act relating to the
Metropolitan Council; providing for county solid
waste plans to conform to the Metropolitan Council
plan. chap. 847. (Codified in Minnesota stat.
annotated, chap. 473D)
Moore, C.J., and R.K. Jaedicke. Managerial accounting.
2d ed. Cincinnati, South Western Publishing
Company, 1967. 722 p.
Sanitary landfill by contract. American Gty.
76(2): 104-105, Feb. 1961.
Seven New Jersey communities plan joint landfill
venture. Refuse Removal Journal, 6(12):28, Dec.
1963.
Toftner, R.O., and R.M. Clark. Intergovernmental
approaches to solid waste management. U.S.
Environmental Protection Agency. Washington, U.S.
Government Printing Office, 1970. 18 p.
Van Kleech, L.W. Safety practices at sanitary landfills.
Public Works, 90(8): 113, Aug. 1959.
Yoder, D. Personnel management and industrial
relations. 6th ed. Englewood Cliffs, N.J.,
Prentice-Hall, Inc. 1970. 784 p.
Zausner, E.R. An accounting system for incinerator
operations. Public Health Service Publication No.
2032. Washington, U.S. Government Printing Office,
1970. 17 p.
Zausner, E.R. An accounting system for sanitary landfill
operations. Public Health Service Publication No.
2007. Washington, U.S. Government Printing Office,
1969.18 p.
Zausner, E.R. An accounting system for solid waste
collection. Public Health Service Publication No.
2033. Washington, U.S. Government Printing Office,
1970.24 p.
Zausner, E.R. An accounting system for transfer
operations. Public Health Service Publication No.
2034. Washington, U.S. Government Printing Office,
1971. 20 p.
Zausner, E.R. An accounting system for solid waste
management in small communities. Public Health
Service Publication No. 2035. Washington, U.S.
Government Printing Office, 1971. 18 p.
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PART FOUR: MANAGEMENT TECHNIQUES
A number of quantitative management techniques are
applicable to solid waste planning and management.
Statistical methodologies are appropriate for analyzing
and forecasting solid waste generation rates, population,
economic conditions, and future land uses. Other
techniques aid in scheduling, budgeting, and evaluating.
The Program Evaluation and Review Technique and
Critical Path Method (PERT/CPM) and the
methodologies of the Planning-Programming—Budgeting
System (PPBS) and operations research, for example, are
increasingly used among planners and managers in
government and private industry. Further, the
continuing requirement for information to support
planning process systems has encouraged greater
attention to design and development of management
information systems (MIS).
The diversity of skills and knowledge required for
application of specialized management techniques, and
indeed for planning itself, demands a project team
approach-with interdisciplinary representation. An
interdisciplinary solid waste planning team might
typically include: an urban or regional planner, a
management specialist, an engineer, an economist, an
operations research specialist, a lawyer, and an ecologist.
The project manager might come from these on other
disciplines; primarily, he should be capable of effectively
directing the team through creative snythesis of its
special skills and knowledge.
PROGRAM EVALUATION AND REVIEW
TECHNIQUE AND CRITICAL PATH METHOD
(PERT/CPM)
These planning and control techniques—best suited to
initial development of a plan—are accomplished through
time-event network analysis. To apply PERT/CPM, three
basic questions about the project should be asked. What
tasks must be finished before this task can begin? What
tasks can be accomplished concurrently? What tasks can
begin after another task is partially complete?
Scheduling is flexible with PERT/CPM to the extent
that project activities may be either scheduled according
to their normal times of completion or speeded along a
crash or modified crash plan. Crashing will effect a
higher cost for the project, but the lowest increase in
cost is selected so that a reasonable trade-off between
increased cost and project length results.
PLANNING-PROGRAMMING-BUDGETING
SYSTEM (PPBS)
This management tool provides a method for rational
decisionmaking in government. A characteristic of PPBS
is that it requires output measurement of a given unit of
effort (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 basis elements of PPBS
include: (1) consideration of future implications of any
programmed effort; (2) identification of a governmental
unit's objectives and relevance of all activities, regardless
of organizational responsibility, to these objectives; (3)
consideration of all pertinent costs (operating and
capital); and (4) systematic analysis of alternatives for
reaching objectives, including estimated total cost of
each alternative as well as correlative major cost and
benefit tradeoffs.
In jurisdictions installing PPBS, the planning and
implementation activities of the solid waste management
agency should be designed to relate to this system. The
planning procedures presented in this guideline,
especially those concerned with setting objectives and
measuring results, will permit a plan to be readily
adapted to PPBS.
LINEAR PROGRAMMING (LP)
This mathematical technique, useful for finding the
best or optimum applications of limited resources, is
based on the linear or proportional relationship between
two or more variables. Linear programming has several
valuable applications in improved solid waste
management. For example, it can permit the design of
an optimal collection network; determine which
combination of several alternative sites for proposed
transfer stations would be best; or locate the best
disposal, reduction, or reclamation sites. Not only can
17
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18
the LP technique result in maximum solid waste service
to the community at minimum cost, it also may reveal
several alternative courses of action not apparent
otherwise.
The technique requires adequate data, derived from
effective accounting of costs and performance, for the
variables used in LP equations to express the LP
objectives of maximized system performance with
minimized cost.
QUEUING THEORY
This is a method for dealing with waiting lines in a
way that results in an optimum lowest cost for both the
waiting line and the service facility. If, for example, it
could be shown that having packer trucks waiting to
unload at a transfer station were more expensive than
providing an additional unloading bay, the latter's cost
would be justified. Construction of the bay would afford
lowered operating cost plus faster collection service since
the packer truck could return to its route more quickly.
This illustrates the essence of queuing theory applied to
solid waste management. Planning a system will reveal
several similar opportunities for its use.
MANAGEMENT INFORMATION
SYSTEMS (MIS)
Adequate, accurate, and current information is
necessary to support a solid waste planning and
management system. Minimum informational needs
depend upon the detail of planning and the level of
management. There must be sufficient information,
however, to develop a definitive plan as well as direct
and evaluate a management effort. Establishing a
management information system can be divided into
three main activities—system analysis, system design, and
system development.
System Analysis
This entails examination of the system to determine
how it works. What is the present informational flow?
How can this informational flow be harnessed to provide
continuing management data? Because systems analysis
requires a detailed knowledge of the organization,
department heads and operating personnel should be
called upon to participate at the project's beginning.
These people contribute to the informational flow of the
present system and will ultimately be served by the new
MIS.
System Design
In designing the system its purpose must be defined.
Why is the system necessary? How do we want the
system to work? Who will use the system? Objectives of
the system must be determined and stated with design
appropriate to achieve these objectives. Advantage
should be taken of the information generated by the
system. For example, informational flow should be
organized and gathered in a systematic way from daily
operations of managers and supervisors, from the
accounting procedures, from the licensing activity and
from the inspection and enforcement program. Other
useful sources of information may be revealed during the
system analysis.
Typical information needs might include locations
and conditions of disposal, reduction, and reclamation
facilities; routing schedules; accident types and
frequencies; equipment types and conditions;
maintenance schedules; costs of collection and
processing; inventories of reclaimed materials; and
personnel activities. Basically, information needs will
resemble the listing in the Plan Report Outline (Part
Six). In addition, models, linear programs, regression
analysis techniques, decision tree networks, decision
grids, and other management tools could be designed
into the system to provide it with a more ready-to-serve
capacity in everyday operations.
Because of the amounts and complexity of much of
the data, computer based systems should be considered
to facilitate storage, retrieval, and general data handling.
Often the planning or operating jurisdiction will have
unused time on its existing computer equipment that
can be applied to the solid waste management system. If
computers are not immediately available, computer time
can be purchased on a time-sharing basis from other
governmental agencies or from companies providing this
service.
System Development
Implementing the system after it is designed involves
establishing procedures for collecting and handling data,
purchasing machine or computer time, organizing files,
training operators, and any other action steps required.
System development can present a complex scheduling
and management problem which could be simplified
through the use of PERT.
The management information system should be
evaluated in terms of its contribution to the planning
process and management activity—the adequacy of
existing information, the need for further information,
and the possible deletion of extraneous information.
Although evaluations will occur concurrently with the
system's use, a general evaluation and inventory should
be conducted annually.
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19
BIBLIOGRAPHY
Cannella, A. A. Queuing analysis applied to a municipal
service. Paper, Tennessee Technological University,
Aug. 20, 1967. 17 p.
Clark, R. M. Economics of solid waste investment
decisions. Journal of the Urban Planning and
Development Division, Proc. ASCE, 96(UPI):65-79,
Mar. 1970.
Clark, R. M., and B. P Helms. Decentralized solid waste
collection facilities. Journal of the Sanitary
Engineering Division, Proc. ASCE,
96(SA5): 1035-1043, Oct. 1970.
Hartman, W., H. Matthes, and A. Proeme. Management
information systems handbook. New York,
McGraw-Hill Book Company, 1968.
Hatry, H. P., and J. F. Cotton. Program planning for
state, county, city. State-Local Finances Project.
Washington, George Washington University, Jan.
1967. 72 p.
Helmes, B. P., and R. M. Clark. Locational models for
solid waste management. Journal of the Urban
Planning and Development Division, Proc. ASCE,
97(UPI):l-13,Apr. 1971.
Klee, A. J., and G. A. Garland. Decision trees in solid
wastes planning. Public Works, 99(7):74-77, July
1968.
Meresman, S. J. PERT; concepts and application to solid
waste management. [Cincinnati], U.S. Department of
Health, Education and Welfare, 1970. 35 p.
Thierauf, R. Decision making through operations
research. Ed. by R. A. Grosse. New York, John Wiley
and Sons, Inc., 1970. 570 p.
Truitt, M. M., J. C. Liebman, and C. W. Kruse.
Mathematical modeling of solid waste collection
policies. 2 v. [Washington], U.S. Department of
Health, Education, and Welfare, 1970. 289 p.
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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 reality, planning never
ends, and implementation frequently is necessary and
indeed is desirable before the plan is first completed.
Therefore, as soon as officials have been prepared to
make implementing decisions, they should be
encouraged to do so. Making decisions during planning
increases interest and some results are immediately
apparent. In this document, the concept of
implementation will consist of actual program and
operating activities, in contrast to those steps and
procedures characterized as part of the planning process
and described in the Basic Planning Model. Activities
critical to implementation include: organization;
staffing; financing; acquisition, construction, and
management of facilities; acquisition and management of
equipment; providing service; public relations; training;
continuing planning; and general management and
control. Implementation should be carried out according
to a schedule and in an order of a priority.
Responsibility for action, estimated costs, and objectives
of the implementation should be specified.
ORGANIZATION
Essential to implementation of a solid waste plan is
an organization—an overall jurisdiction with operating
divisions and sections. This organization may take many
forms, but an areawide agency with maximum operating
authority would frequently be advantageous. Various
organizational mechanisms, such as utility or authority
forms, which offer maximum operating authority
characteristics and are readily adaptable to solid waste
management operations, should be considered. The
organization's divisions and sections should be designed
to provide necessary support functions and to carry on
an integrated approach to management of storage,
collection, transportation, reduction and disposal, and
reclamation. Implementing the organization also should
include policy and procedures development and
execution; contract management and legal affairs
activities; forms, records, and reporting system
installation; and establishment of a board of directors
and, possibly, an advisory committee. Operating
management, a chief executive or administrator and
division and section managers, should be appointed first
and then overall organizational staffing should proceed.
STAFFING
Present needs and those needs forecasted in the
manpower planning section of the plan can guide
personnel recruitment and selection. Both adequate
selection methods to assure hiring qualified personnel
and modern methods of personnel management and
industrial relations, after hiring, should be used.
FINANCING
Methods of capital and operating financing must be
established. Funds may be derived from debt
instruments, tax levy, revenue produced by operations,
or from a combination of these funding methods;
proposals for methods of obtaining financial assistance
from other agencies also should be included. Budgeting
procedures for both capital and operating needs must be
installed in the system to provide a long- and short-term
financial planning and management tool. Finally,
adequate record-keeping systems for financing and
budgeting must be installed and maintained. These
records should be subsidiaries of the overall accounting
system of the operating organization.
ACQUISITION OF FACILITIES
Implementing a solid waste plan will require
acquiring, and if necessary developing, facilities; these
may include land, buildings, trucks, earthmoving and
other equipment. Site location, architectural and
engineering design, and construction will be necessary;
acceptable equipment performance must be determined
and specified before its acquisition; and management
must be provided for all facilities and equipment.
PROVIDING SERVICE
Providing collection and disposal service is the
primary function of the solid waste organization. In
addition, services extend to specifying storage standards
and transporting solid waste. Objectives and
responsibilities of each operational agency will vary, but
additional services might include many of the following:
• Nonresidential wastes-generated by hospitals,
schools, correctional institutions, and industrial
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21
or commercial concerns-might be studied to
expand service to include their collection and
disposal.
• Areawide solid waste management
organizations might provide technical assistance
to participating local government, industry,^>r
commercial establishments.
• Equipment, facilities, and storage practices
might be inspected under the auspices of State
regulation or as part of the local regulatory
responsibility.
• Reclamation of materials and recycling might
be conducted or sponsored by the solid waste
management organization. Sale of reclaimed
materials could help offset operating costs or
retire debt, and, in either case, benefit the
consumer of solid waste services through lower
service costs.
PUBLIC EDUCATION
An active and imaginative public education program
is necessary throughout the implementation steps to
increase public understanding of and support for good
solid waste management practices. It should demonstrate
standards of high performance of solid waste
management so that the public becomes accustomed to
this high performance and continues to demand it;
finally, the education program should generally inform
the public about how solid waste management relates to
the quality of their total environment.
TRAINING
The solid waste operating agency may wish to assess
both technical skills currently available for solid waste
management and increased technical competencies
required in the future. Pre-service and in-service training
in solid waste management offers an apparatus for
developing needed knowledge and skills. A training
program might include such activities as: (1) encouraging
management and technical training in colleges and
universities (viz., solid waste management courses
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; (3) providing special training for
operating personnel to prepare them for certification
examinations.
CONTINUED PLANNING
A significant part of the local or regional solid waste
management plan should be aimed toward developing a
continuing planning program for advancing effective
solid waste management. Continuing planning should
not be used as a substitute for or a way to delay
implementation. This program might include:
« Periodically reviewing and updating the local
and regional plan. An inventory system may
have to be developed to regularly update the
data and evaluate the status of current solid
waste management practices. A management
information system (MIS) is extremely useful
here.
• Periodically assessing the implementation
progress of local or regional operations.
• Continuing technical, financial, and legal
consultation, guidance, and assistance to
participating solid waste management units in
the region. This service could also extend to
industry, agriculture, and commerce.
• Periodically evaluating the solid waste plan in
reference to the overall comprehensive plan of
the jurisdiction.
GENERAL MANAGEMENT AND CONTROL
The solid waste management organization will be
required to conduct various administrative functions,
and procedures should be established for these.
Functions typically will include accounting services and
billing, fiscal controls, performance evaluations,
certification of operators, licensing and franchising,
contract management, insurance administration, payroll
administration, personnel management, industrial
relations, and record-keeping.
General management activities also should include
drafting, considering, and sponsoring new legislation or
ordinances dealing with solid waste management. And
administering a planning process support system, such as
a management information system, should be part of
general management.
Coordination is an important general management
activity, and solid waste planning certainly should be
coordinated with other operating or planning agencies
whose interests or activities may overlap with those
related to the development or implementation of the
solid waste program. Agencies may include official
agencies such as the State or regional planning agencies,
the street or highway departments, an industrial
commission, and 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
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22
the 1965 Solid Waste Disposal Act and the 1970
amendment (Resource Recovery Act) is the
coordination of solid waste planning with other
planning. The solid waste agency not only should
consider 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 and land
use planning and with planning activities supported with
funds provided by Section 701 of the Housing Act of
1954, as amended. Other coordination is required under
Office of Management and Budget circular A-95. The
Comprehensive Health Planning law (PL 89-749) offers
still another opportunity for coordinative effort in
resolving areawide problems. Optimally, coordination
will aid in developing local or regional plans as well as
provide mutual access to planning data and joint
promotion of comprehensive plans.
Many State solid waste planning agencies have
developed capabilities to extend technical assistance to
local or regional solid waste agencies and to review their
plans. Although regional or areawide plans should be
emphasized, local plans should not be neglected but
rather should be tailored and coordinated for inclusion
into the larger regional plan. Certain elements, such as
operating standards, legislation, and regulations, should
be uniform within region and State. To ensure that all
planning efforts are effectively coordinated throughout a
jurisdiction, the solid waste planning agency should
develop and implement its plan with the full support,
knowledge, and assistance of pertinent local, regional,
and State jurisdictions. Indeed, many of the activities
carried out by a solid waste planning agency will require
the support and assistance of agencies within these
jurisdictions. Examples of coordinated operational
organizations were presented in Part Three, Management
Considerations.
BIBLIOGRAPHY
[Black, R. J.] Safe and sanitary home refuse storage.
Public Health Service Publication No. 183.
Washington, U.S. Government Printing Office.
Revised 1962, 1968. 6 p.
Brunner, D. R., and D. J. Keller. Sanitary landfill design
and operation. Washington, U.S. Government Printing
Office, 1972. 59 p.
Canadian Municipal Utilities Staff. Metro Toronto
landfill creates many new parks. Canadian Municipal
Utilities, 99(9): 28, Sept. 1961.
DeMarco, J., D. J. Keller, J. Leckman, and J. L. Newton.
Incinerator guidelines-1969. Public Health Service
Publication No. 2012. Washington, U.S. Government
Printing Office, 1969. 98 p.
[Gilbertson, W. E., R. J. Black, L. E. Crane, and P. L.
Davis.] Solid waste handling in metropolitan areas.
Public Health Service Publication No. 1554.
Washington, U.S. Government Printing Office, 1966.
41 p.
Gunnerson, C. G. Marine disposal of solid wastes off the
west coast. [Cincinnati], U.S. Department of Health,
Education, and Welfare, 1970. 32 p.
Sheaffer, J. R., B. vonBoehm, and J. E. Hackett. Refuse
disposal needs and practices in Northeastern Illinois
with refuse disposal policies for Northeastern Illinois.
Technical Report No. 3. Northeastern Illinois
Metropolitan Area Planning Commission, June 1963.
72 p.
Smith, C. D. Municipal refuse—a low-cost resource:
sanitary landfill to construct addition to park. Public
Works, 88(7):94, July 1957.
Sorg, T. J., and H. L. Hickman, Jr. Sanitary landfill
facts. 2d ed. Public Health Service Publication No.
1792. Washington, U.S. Government Printing Office,
1970. 30 p.
Toftner, R. O., D. D. Swavely, W. T. Dehn, and B. L.
Sweeney, comps. State solid waste planning grants,
agencies, and progress-1970; report of activities
through June 30, 1970. Public Health Service
Publication No. 2109. Washington, U.S. Government
Printing Office, 1971. 26 p.
Vaughan, R. D. Management of solid wastes from
hospitals: problems and technology. In Use and
disposal of single-use items in health care facilities;
report of a national conference, Dec. 4-5, 1968.
Monograph No. 6. Ann Arbor, Mich., National
Sanitation Foundation, 1969. p. 41-46.
Weaver, L., and D. Keagy. Mandan, N. D. tries
cold-weather operation of sanitary landfill. American
Gty, 67(9): 110-111, Sept. 1952.
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PART SIX: PLAN REPORT PREPARATION
Much of the material presented in the plan report
outline at the end of this report is self-explanatory. The
content of the foreword or preface, table of contents,
and the introduction will depend largely on the specific
plan. Thus, this guideline 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 a more useful
working document. The summary ideally is placed at the
beginning of the report and is self-contained so that it
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
serve as public relation materials to gain citizens support.
BACKGROUND OF THE PLANNING AREA
AND EXISTING CONDITIONS (SECTION III
AND IV) - BASE STUDIES
These sections of the plan document provide the
framework for planning and an appraisal of the existing
situation, which relies heavily on collection of data
(Figure 1, step 2). Attempting to forecast, to determine
needs, or to set objectives without data would be futile.
The data and information will be diverse and will vary in
quantity and quality; only some will be useful for
developing a plan. Base Studies (Part Two) outlines in
detail data generally required to develop a local or
regional solid waste plan. In developing its plan, each
jurisdiction should be selective in the data that it uses.
Data collection by the State for the National survey
of community solid waste practices will be one
important source of information about solid waste
handling throughout the State, including: information
on storage, collection, reduction, and disposal methods
related to particular areas; types and location of disposal
and reduction facilities; budgets for solid waste
management; population; zoning; and other community
information. The 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 essential to plan for
action programs. All information about solid waste
sources and supporting management systems must be
gathered to build the needed data base. Additional data
about community planning and development have
become available in recent years, and these sources
should be tapped for data on land use, economics,
population, finance, transportation, housing, air and
water quality, and the physiography of planning areas.
FUTURE CONDITIONS (PROJECTIONS,
SECTION V)
To determine which conditions will prevail—and to
what extent—during the period of the plan requires that
existing conditions be analyzed in a future context. The
importance of such forecasting cannot be
overemphasized. Correct forecasts which identify
problems before they occur and permit predetermined
solutions is one of the keys to successful planning. Lack
of forecasts, or worse, wrong forecasts allow problems to
appear without warning or solutions geared to 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 circumstances?
When making forecasts, as well as when presenting
the forecast data, working forms or tables, presenting
comparisons and trends and revealing similarities or
differences often are helpful (Form 8). Such forms for
forecasting may be used eventually as tables in a plan
document. Illustrations, relatively simple charts, graphs,
etc., can also aid data presentation considerably. More
complicated graphic presentations defeat the basic
purpose of conveying information clearly.
OBJECTIVES (SECTION VI)
The basic intent of a solid waste management plan is
to solve solid waste problems in the jurisdiction. Each
jurisdiction, before beginning any planning, implicitly or
explicitly, adopted this overall objective as the main
reason for developing a plan at all.
Detailed objectives will emerge as a natural outgrowth
of problem definition as data is collected and analyzed
during the early stages of the planning process.
Objectives—which represent, in effect, the solutions to
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FORM 8: PROJECTED REQUIREMENTS FOR SANITARY LANDFILL ACREAGE
County/ Region
Popu
current
(H
ation
projected
(yr)
Per capita generation
current
(yr)
projected
(yr)
Tons generated
current
projected
Estimated acre-It
current
projected
be achieved through implementation of the plan-should
be selected carefully and stated in measurable terms. As
a formalized procedure, objectives might be selected by
examining each significant solid waste problem
discovered in the analysis of existing data. The problem's
future relevance should be given, along with a definitive
statement of the objective and the proposed strategy (in
the form of a recommendation for solution). These
solutions require implementation of a plan. The
following examples illustrate the procedure.
EXAMPLE 1
Problem Definition. Sixty percent of the Regional
Solid Waste Utility's collection vehicle fleet will need
replacement during the next 2 years. Further, new
vehicles in the fleet experience serious maintenance
problems after only 2 years of operation.
Objective. To replace 60 percent of the present
collection fleet on a scheduled basis during the next 2
years as well as extend the useful life of new vehicles
beyond 2 years.
Constraints. (1) No equipment funds budgeted; (2)
no preventative maintenance program; (3) no equipment
replacement plan.
Resources. (1) Forty percent of the fleet will
remain operable during the next 2 years; (2) a change
from general obligation funding to adequate user charges
will provide partial funds; (3) existing packer truck
drivers can perform daily maintenance.
Recommendation for Action (Strategy). (1) Budget
(capital and operating) for acquisition and operations to
include collection vehicle replacement; (2) develop a
proposed user charge schedule; (3) develop a proposed
preventative maintenance program; (4) develop a
proposed schedule for providing 5-year life for vehicles;
(5) present budget proposals and strategy support
documents to the utility board of directors during the
next budget hearings.
EXAMPLE 2
Problem Definition. According to the solid waste
survey conducted during this jurisdiction's planning
program, only 15 percent of the jurisdiction's citizens
are aware of the need for solid waste disposal facilities.
Objective. Within 1 year, to increase to 60 percent
the public informed about the solid waste disposal
requirements and the current efforts to provide
necessary facilities.
Constraints. (1) No public information funds
budgeted; (2) no capability for conducting a public
information program; (3) no specific information to
disseminate.
Resources. (1) Information is being developed in
volume as part of the planning program; (2) three
television stations and five radio stations serving this area
probably will provide public service spots free-of-charge;
(3) some of the agency's professional staff have
experience in report writing.
Recommendations for Action (Strategy). (1)
Budget funds to carry out a 1-year public information
program using staff, public service spots in
communications media, and publication facilities of the
agency; (2) employ news release, newsletters, and a
speaker's bureau to disseminate information about the
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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 action in the plan.
Resources available for achieving objectives and
constraints hampering achievement should be identified
and assessed. Actually tabulating the problems, the
suggested objectives the assessment of constraints and
resources, and the possible planned action on a working
form might be useful (Form 9). The form takes the
approach outlined in examples 1 and 2 and provides
space for inserting specific implementing actions, which
organize into the recommendations section of the plan
report.
RECOMMENDATIONS FOR ACTION
(SECTION VII)
The recommendations are essentially the plan
strategy. A jurisdiction's intentions and its basic
methods for achieving objectives that will help solve its
solid waste management problems should be specifically
stated and elaborated here. As suggested, a working form
can assist in developing this section of the planning
report, since recommended solutions to solid waste
management problems already have been related to
25
objectives. In addition, however, the recommended
solution should be elaborated considerably, with a view
to designating major actions required, responsibilities,
priorities, timing, locations, estimated costs. A second
form (Form 10) would structure and briefly elaborate
the recommended planned actions stated in Form 9.
IMPLEMENTATION (SECTION VIII)
Implementation—the process of activating the
recommendations-is described in Part Five.
APPENDICES (FINAL SECTION)
To avoid a cluttered plan text, supporting data,
tables, maps, and explanation of methodologies should
be placed in appropriate appendices. The material can be
referenced in the text with notations or footnotes. This
format enhances readability of the text and avoids the
possibility that important recommendations may be
overlooked. In some jurisdictions, the combined plan
text and supporting data might justify two separate
report volumes: one would contain data; the other, the
plan text, would contain recommendations, priority
listings, and schedules. A list of references or a
bibliography follows the Appendices.
FORM 9: EVALUATION Of
SOLID WASTE MANAGEMENT PLAN OBJECTIVES
FORM 10: iSPECIFIC PROBLEM EVALUATION IN PLAN DEVELOPMENT
Problem definition:
Objective:
Constraints:
(1)
(2)
(3)
Rucommcndod action:
Resources:
(1)
(2)
(3)
Statement of Problem:
Recommended Action:
Timingi(year)
Priority
Jurisdictional responsibility
Location
Estimated costs
Related problems solved
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PLAN REPORT OUTLINE procedure. Initiative and innovation are desirable,
The basic planning model (Figure 1) can be translated however, and each jurisdiction is expected to formulate
into an outline for the plan text. The format which its own systematic outline and report which take into
follows illustrates the logic inherent in the planning account its particular needs.
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SAMPLE OUTLINE FOR REPORTING THE PLAN
[Subheadings illustrate representative and
not necessarily specific or comprehensive subjects]
Foreword or preface (or both)
Contents
(1)* I. Introduction (Purposes of the plan)
II. Summary (This section should be prepared last.)
(2) III. Background of the planning area (general)-Base studies
A. Jurisdictions
1. State
2. Regions
3. Planning areas
4. Metropolitan areas
5. Council of Government's (COG) jurisdictions
6. Counties
7. Municipalities
8. Special districts
9. Other
B. Physical conditions
1. Environmental conditions
2. Geology and soils
3. Climatology
4. Drainage basins
5. Other
(2) IV. Existing conditions (specific)—Base studies
A. Data arranged according to specific needs of the planning agency. (Data collected for the
National survey of community solid waste practices is the basic source for this plan section,
but must be augmented by other types of information.)
B. Description and analysis of all existing conditions affecting management of municipal,
industrial, agricultural, and mineral wastes, etc.
1. Storage, collection, and transportation practices
2. Disposal and reduction facilities
3. Quantities of wastes collected, disposed of, and generated, along with generation rates
4. General management practices (e.g., utilization)
5. Population (size and densities)
6. Housing (types and locations)
7. Land uses (residential, commercial, industrial, agricultural, extractive, recreational, and
other relevant land uses)
8. Transportation corridors
9. Levels of acceptability, service costs, and other relevant State, regional, and community
conditions
10. Public awareness and knowledge about solid waste problems and service requirements
11. Expenditures for solid waste management
12. Tax base (assessed valuations)
13. Tax rates
14. Public finance practices
15. Status of legislation
16. Economic base
17. Other
*Parenthetical arabic numerals refer to corresponding steps in the Basic Planning Model, Figure 1.
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(3) V. Future conditions and problem definition
A. Relevancy for the future. (From the analysis of the data on existing conditions
accumulated in sections III and IV, determine which conditions will have future
ramifications.)
B. Future problems defined
1. Types
2. Locations
3. Extent
4. Persistence
5. Control difficulties
6. Other
C. Forecast of all existing conditions and problems bearing upon the future
(4,5,6) VI. Clearly stated objectives based upon need to solve the problems defined earlier
A. Provision of acceptable methods of waste disposal
B. Acceptable collection and transportation methods
C. Development of better trained solid waste management personnel (operating and management
levels)
D. Better informed public regarding solid waste problems and service requirements
E. Provision of sufficient legal and financial support
F. Development of solid waste management organizational structure
G. Other
(7,8) VII. Recommendations for action (the plan)
A. What and how the jurisdiction intends to accomplish to solve its solid waste management
problems
1. Timing and priorities of intended actioni (short- and long-term
objectives)
2. Location of intended action
3. Who should act (i.e., agency, department)
4. Estimated costs
5. Problems that will be solved
6. Other
B. Aspects to be considered as intended plan action. (Proposals for action should be
accompanied by procedures for accomplishment and a schedule for initiation of action.)
1. Development of rules and regulations
2. Inspection and enforcement
3. Licensing of facilities
4. Training programs
5. Technical assistance to operating units
6. Design planning
7. Site location
8. Site acquisition
9. Transfer station construction
10. Incinerator construction
11. Sanitary landfill construction
12. Truck acquisition
13. Reclamation station development
14. Organizational formation
15. Certification of operating personnel
16. Public information and education program
17. Development of budgeting procedures, financing, cost-effectiveness, special charge
features, and other operating management features
18. Development of solid waste management operating departments and jurisdictions
19. Recruitment, selection, and hiring of solid waste management operating personnel
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(8) VIII. Implementation (occurs outside the plan document but is guided by it; see Part Five for a
description of implementing activities.)
Appendices (supporting materials and information, such as charts, additional tables, legislation and
regulations, definition of terms, or methodologies of research and analyses, used to develop the
analyses, objectives, and plan.)
References to the solid waste literature.
yo 72217s
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