DeviQOPING A LOCAL & RGGIOIW
SOLID Wd9T€ MdMGeMCNT PMN

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DGVieLOPING A  LOG4L & R€GIOIM
 9OLID Wd9T€ MdhdG€M€NT
           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
                           Vlll

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               D€VI€LOPIMG A  LOCAL &  RGGIOfM
                SOLID Wd9T€  MdMGGMeilT  PMM
               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
                                                   20

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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
                                                  23

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 24
                         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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26

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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                                                                                                          27

                           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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 28
(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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                                                                                                          29


(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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