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WMR0010.1177/0734242X14542146Waste Management & ResearchSerrona et al.

Original Article

Waste Management & Research

Developing a monitoring and evaluation


114
The Author(s) 2014
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DOI: 10.1177/0734242X14542146

informal waste and recycling sector: wmr.sagepub.com

The case of the Philippine National


Framework Plan

Kevin Roy B Serrona1, Jeongsoo Yu2, Emelita Aguinaldo3 and


Leonardo M Florece4

Abstract
The Philippines has been making inroads in solid waste management with the enactment and implementation of the Republic Act
9003 or the Ecological Waste Management Act of 2000. Said legislation has had tremendous influence in terms of how the national
and local government units confront the challenges of waste management in urban and rural areas using the reduce, reuse, recycle and
recovery framework or 4Rs. One of the sectors needing assistance is the informal waste sector whose aspiration is legal recognition of
their rank and integration of their waste recovery activities in mainstream waste management. To realize this, the Philippine National
Solid Waste Management Commission initiated the formulation of the National Framework Plan for the Informal Waste Sector,
which stipulates approaches, strategies and methodologies to concretely involve the said sector in different spheres of local waste
management, such as collection, recycling and disposal. What needs to be fleshed out is the monitoring and evaluation component
in order to gauge qualitative and quantitative achievements vis-a-vis the Framework Plan. In the process of providing an enabling
environment for the informal waste sector, progress has to be monitored and verified qualitatively and quantitatively and measured
against activities, outputs, objectives and goals. Using the Framework Plan as the reference, this article developed monitoring and
evaluation indicators using the logical framework approach in project management. The primary objective is to institutionalize
monitoring and evaluation, not just in informal waste sector plans, but in any waste management initiatives to ensure that envisaged
goals are achieved.

Keywords
Waste management, monitoring and evaluation, informal waste sector, logical framework, indicators, objectives, goals,
participation

Introduction
The Philippines is continually faced with a wide array of social, Significant strides in SWM have been made by the Philippine
economic and environmental challenges, one of which is solid government in the area of SWM with the implementation of the
waste management (SWM). The countrys population as of 2012 Republic Act 9003 (National Solid Waste Management
was 96,706,764 million (World Bank, 2013a) with a national Commission, 2014) or the Ecological Solid Waste Management
waste generation rate estimated to be at 29,315 metric tonnes per Act of 2000. The legislation stipulates specific targets,
day (Hoornweg and Bhada-Tata, 2012). Per capita waste genera-
tion is 0.70kgday1 in urban areas and 0.30kgday1 in rural
1SEINAN Group, Hirosaki, Japan
areas. Metropolitan Manila, the National Capital Region, pro- 2Department of Interregional Environmental System, Tohoku
duces about 76207802 metric tonnes per day, which represent University, Aoba-ku, Japan
almost a quarter of the countrys solid waste generation (Alave, 3National Solid Waste Management Commission, Quezon City,

2011). With the Philippines experiencing economic growth of Philippines


4School of Environmental Science and Management, University of the
7.6% gross domestic product (GDP) in 2010 (World Bank, Philippines Los Banos College, Laguna, Philippines
2013b) and 7.8% in the first quarter of 2013 (National Statistical
Coordination Board, 2013), resource consumption and utilization Corresponding author:
Kevin Roy B Serrona, SEINAN Group, 4-5 Kanda 5-Chome, Hirosaki,
keep increasing at an alarming pace, and are expected to impact Aomori 036-8061, Japan.
on waste generation. Email: wastesoc@gmail.com

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2 Waste Management & Research

institutional, regulatory and financial arrangements, as well as a Table 1. Comparison of material recovery by formal and
penalties and rewards system that will improve and strengthen informal sector in six different cities.
SWM at the national and local levels. On the compliance side, City Formal sector Informal sector
local government units (LGUs) are mandated to comply with the
provisions of the law, e.g. closing of open dumpsites, waste segre- Tonnes % of total Tonnes % of total
gation, establishment of material recovery facilities (MRFs), etc., Cairo, Egypt 433,200 13% 979,400 30%
or face penalties. The National Solid Waste Management Cluj, Romania 8900 5% 14,600 8%
Commission (NSWMC), the agency tasked to oversee the imple- Lima, Peru 9400 0.3% 529,400 19%
mentation of the law, has been at the forefront of initiating and Lusaka, Zambia 12,000 4% 5400 2%
Pune, India 0% 117,900 22%
mentoring LGUs towards achieving the envisaged goals of RA
Quezon City, 15,600 2% 141,800 23%
9003. Among its functions include review, approval, coordination Philippines
and monitoring of local SWM plans at the provincial and city/
municipal levels. It is also tasked to provide technical and capabil- Source: Scheinberg etal. (2010).
ity building assistance to LGUs and conduct a sustained public
information campaign (Varey etal., 2003). of a representative from the junkshop owners association in the
There is a substantial number of informal waste sectors barangay (basic political unit) SWM committee. There is a pro-
(IWSs) in the Philippines, the majority of whom operate in urban vision in Section 48 of RA 9003 that bars unauthorized removal
areas where recyclable materials abound. In Metro Manila alone, of recyclable materials intended for collection by authorized per-
their number ranges from 5000 to 7000 based on estimates. They sons, which renders informal waste recovery as outside of the
are composed of waste reclaimers in the dumpsites, jumpers who legal system (RA 9003). In addition, waste picking and trading
climb up the garbage trucks to recover recyclable materials, gar- will be regulated in the transition period from open dumpsite into
bage crew, itinerant waste buyers and illegal junkshops that controlled dump and eventual eradication of informal waste
recover materials and divert solid waste materials from final dis- recovery in sanitary landfills. IWS activities in controlled dumps
posal (NSWMC, 2009). However, their economic and social con- are subject to the permission of owners or operator.
tributions remain unrecognized. The National Framework Plan In line with the national governments policy on inclusive
for the Informal Waste Sector describes the benefits gained from growth, the NSWMC, in partnership with the UNEP Regional
informal waste recovery, namely: reduction in terms of need to Resource Center for Asia and the Pacific, Advance Waste
extract raw materials and non-renewable materials, recovery is Management Project of the Japanese Government and the
less costly and less harmful than disposal and retrieval of waste Institute for Global Environmental Strategies, formulated the
materials from the waste stream reduces the public burden to col- National Framework Plan for the Informal Waste Sector, which
lect, transport, dispose and treat waste. In addition, it also pro- seeks to integrate the IWS in formal waste management systems
vides needed employment and stimulates the creation of small through provision of a favorable policy environment, skills
and medium scale enterprises. development and access to livelihood opportunities and social
Globally, there are more than two million informal waste pick- services, such as health, insurance and organizational affiliation
ers in the recycling industry engaged in various areas of waste (NSWMC, 2009). RA 9003 encourages the formation of cooper-
recovery (Hoornweg and Bhada-Tata, 2012). The sector has atives and associations that could serve as the venue for IWS
achieved considerable gains in terms of recycling rates to the tune participation in mainstream SWM. The Framework Plan defines
of 20% to 30% in low income countries and helped local govern- IWS as individuals, groups or small enterprises engaged in the
ment units or authorities save 20% in local waste management recovery of waste materials either on a full-time or part-time
expenses (Velis etal., 2012). This is exemplified in China where basis with income generation as the motivation. Their informal
approximately 20% of discards are collected by the informal character is owing to the fact that they are not registered with any
waste sector for recycling (Hoornweg etal., 2005). Recovery rate government agency and their working conditions are described
by the sector goes up to 80% because of the direct selling that as unhealthy and hazardous.
occurs to the people who depend economically from buying and Embedded in the said document is the strategic framework
selling recyclable materials (Gunsilius etal., 2011). Table 1 shows plan for the IWS, which stipulates key issues and challenges con-
select cities with the informal waste sector exercising greater con- fronting the IWS as well as vision, mission and goals. Also
trol of material recovery over the formal sector. In Quezon City, included are proposed interventions, actors and partners, as well
Philippines, the informal sector recovery was 23% in 2010 com- as key steps to implement the plan. However, there is a need to
pared with 2% that was recovered by the formal sector. The big establish a monitoring and evaluation (M&E) scheme to ensure
difference can be attributed to the fact that the IWS collects mate- that qualitative and quantitative targets are achieved, and recom-
rials directly from households, business establishments and dis- mendations and lessons fully identified for replication in future
posal facilities. This translates into substantial income for them. programs for the IWS. The goal is to build a M&E framework in
There is no specific provision for the IWS in RA 9003, but its the waste sector so that stakeholders across national and local
implementing rules and regulations (IRR) calls for the inclusion levels are conscious on how to gauge successes and failures in

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Serrona et al. 3

project implementation. This article attempts to establish a M&E 3500 waste pickers in five pilot sites at 750 waste picker per sites;
framework in the context of the Philippine National Framework provide sub-grants for LGUs for SWM investment purposes;
Plan for the Informal Waste Sector with the goal of institutional- training and technical assistance for members of recycling coop-
izing M&E systems at all levels of SWM interventions. eratives and employment and training with the private sector.
There will also be grants as a start-up capital amounting to $20,000
per grant. Project duration is two years from 18 June 2012 to 15
Research methodology
August 2014. Pilot sites are General Santos City, Legaspi City and
Interventions in SWM have expanded from the technical, institu- Albay Province, Bacolod City, Negros Occidental, Butuan City
tional, financial and public awareness perspectives. It is no longer and Cabanatuan City. Lead implementing agency is the Solid
confined to physical infrastructures; it has seriously considered Waste Association of the Philippines (SWAPP), a non-govern-
the valuable role of service delivery agents, private sector and ment organization. In addition, main documents reviewed and
local communities towards realizing successful waste manage- analyzed were RA 9003 and the National Framework Plan for the
ment programs. With institutions and community groups coming Informal Waste Sector.
into play, project management with accompanying M&E compo- The National Framework Plan spells out proposed interven-
nents have become indispensable to ensure that planned targets tions and potential partners in realizing the participation of the
are achieved, recommendations and lessons are identified and IWS in formal waste management. This is the main reference or
successful programs are replicated. derivative through which the proposed logical framework
As M&E is finely integrated in development programs, the (lograme) and the monitoring and evaluation framework (MEF)
results have become better and more attuned to the needs of part- were formulated, and which will be discussed in subsequent
ner communities. For example, the Independent Evaluation chapters. It should be noted that the Framework Plan is a pioneer-
Group of the World Bank conducts evaluation studies on various ing effort of the NSWMC in dealing directly with the IWS in a
themes, including environment, agriculture and rural develop- manner that gives guidance to LGUs on how to collaborate with
ment sectors. In its recent findings on climate adaptation, it found the said sector. It is, thus, important to discuss the policy and
out that the Bank needs to incorporate climate risk assessment in regulatory frameworks and M&E definitions and processes to
project design and appraisal based on experience in Kiribati, contextualize the discussions.
Colombia and the Caribbean (Independent Evaluation Group,
2013). Therefore, initial questions raised in this research were:
Does M&E aid in sustaining SWM programs for the informal
Definition of M&E
waste sector? What are the requirements to institutionalize M&E M&E is a reinforcing tool aimed at checking progress and evalu-
in SWM? A strong M&E system is one of the contributing factors ating outcomes. Generally, evaluation is defined as an assess-
in achieving sustainable SWM, which is the main argument why ment, as systematic and objective as possible, of an on-going or
the M&E framework for the IWS was developed. completed project, programme or policy, its design, implementa-
This research primarily takes data from the Philippine tion and results. The aim is to determine the relevance and fulfill-
National Framework Plan for the Informal Waste Sector, which ment of objectives, development efficiency, effectiveness, impact
carries the necessary narratives for the proposed IWS M&E and sustainability. It also provides information that is credible
framework. The framework plan was formulated based on a and useful, enabling the incorporation of lessons into the deci-
series of public consultations with the IWS, government and non- sion-making process of both recipients and donors (Organization
government organizations and other support agencies. Inventory for Economic Cooperation and Development Development
of existing junkshops and waste reclaimers associations and gov- Assistance Committee, 1991). Monitoring is defined as the ongo-
ernment agencies were also made. A situational analysis of the ing process by which stakeholders obtain regular feedback on the
IWS in the Philippines was likewise conducted. These were sup- progress being made towards achieving their goals and objec-
plemented with a review of existing studies related to the IWS. tives. On the other hand, evaluation is a rigorous and independent
Prior to finalizing the report, a validation workshop was made assessment of either completed or ongoing activities to determine
with key stakeholders (NSWMC, 2009). the extent to which they are achieving stated objectives and con-
In crafting the M&E framework, a combination of research tributing to decision making (United Nations Development
methods, namely desktop reviews, actual visits to IWS groups in Programme, 2009). In summary, Table 2 lists the M&E aims.
select cities and municipalities in the Philippines and interviews, M&E is also a participatory exercise, where key stakeholders
were utilized. A project entitled Social Inclusion and Alternative are involved not just as sources of information, but rather as
Livelihood for the Informal Waste Sector was taken as a refer- active players in the development process. Participatory monitor-
ence study. The project is being supported by the World Bank and ing and evaluation (PME) is defined as a process through which
the Japan Social Development Fund (WB/JSDF) in recognition of stakeholders at various levels engage in monitoring or evaluating
the National Framework Plan for the IWS. The objective is to a particular project or policy, share control over the content, the
develop and expand livelihood opportunities and integrate them process and the results of the M&E activity and engage in taking
into the fold of formal waste management. The goal is to organize or identifying corrective actions (World Bank, 2013c). In the

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4 Waste Management & Research

Table 2. Objectives of M&E.

Monitoring Evaluation
Assess progress against schedules and targets Is the project fulfilling its objectives?
Manage allocation of resources and funds What are the impacts? On beneficiaries? Community perceptions?
Compare actual inputs and expenditures What have been the outcomes of the project on service
against budget delivery?
Assess the quality of implementation Is it efficient in how it converts resources/funds of pilot activities?
Manage risks How to improve effectiveness/efficiency of pilot activities?
Are assumptions holding true and hypothesis valid?
What are the lessons for the longer-term program?

Source: Collete (2003).

Table 3. Logframe matrix.

Summary of objectives/ Objectively verifiable indicators Means of verification Important assumptions/risks


activities
Goals (broad national/ How the goals are to be measured, Source of info who, External influences beyond the
sector goal) including quantity, quality and time when, how projects direct control
Objectives (development How the objectives are to be Source of info who, If the objectives are achieved,
outcomes at project end) measured, including quality, when, how what assumptions must hold
quantity and time true to achieve the goals?
Expected outputs How the results are to be measured, Source of info who, If outputs are achieved, what
(tangible results) including quantity, quality, time when, how assumptions must hold true to
achieve the purpose?
Activities (tasks/work) Quantity, quality, time Source of info who, If activities are completed,
when, how what assumptions must hold
true to deliver the results?

Sources: Collete (2003) and European Commission (2004).

context of SWM, M&E plays an important role in determining discussed succinctly the necessity of having a M&E system in
the success of a SWM initiative and how it can be replicated or household waste prevention interventions to collect robust and
scaled up. SWM, being both social and technical in nature, needs high-quality data, come up with decision on where to prioritize
regular monitoring of a whole range of activities like waste gen- resources and ensure that waste preventions lead to behavior
eration, waste segregation, recycling, greenhouse gas emissions, change. Furthermore, participation, which is a highly qualitative
etc. Community participation is also an element that needs to be element, can be measured using appropriate tools and approaches.
measured, as successful waste reduction or recycling programs
hinge on this aspect.
Logical framework
RA 9003 requires LGUs to come up with SWM plans. A
monitoring program component is embedded in the prescribed The logical framework (logframe) is a tool in development pro-
SWM plan, which falls under the Implementation Strategy grams that prescribes a hierarchical approach to displaying how
and states that the monitoring program should provide accu- the project will be implemented to achieve its objectives. It shows
rate information and should show whether or not policies are the interrelationships between design elements, factors influenc-
succeeding and to monitor the performance of the SWM plan. ing success, indicators for project progress and impacts and
In addition, there is also a milestone component that highlights means of project monitoring (Collete, 2003). It was originally
success stories across waste management stages from source developed for the United States Agency for International
reduction to establishment of sanitary landfills (NSWMC, Development in 1969 as a tool to conceive a project and under-
2012). To operationalize this, an MEF needs to be established stand assumptions (World Bank, 2012). Based on experiences of
because of the variety of SWM approaches and strategies that the various bilateral and multilateral organizations, the logframe
LGUs will employ in complying with RA 9003. The richness approach has resulted in measuring progress and impacts from
of implementation models, recycling systems and disposal project design, implementation and post-implementation stages.
options in SWM implementation will only be captured through It is also the basis for coming up with a MEF. A standard matrix
a sound M&E system. for the logframe is shown in Table 3.
In general, the application of M&E in waste management is The vertical logic is a series of hypothesis linking the achieve-
considered necessary to measure progress, quantify costs and ment of activities through outputs to project objectives and goal.
assess impacts at the community level. Sharp etal. (2010) It consists of the intended goals, objectives, outputs and activities,

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Serrona et al. 5

Table 4. Planning matrix for monitoring.

Expected Indicators M&E activity Time or Responsi- Means of Resources Risks


results with data schedule and bilities verification
collection frequency
method
Obtained From results How is data to Level of detail Who is Systematic Estimate of What are the
from framework. be obtained? that can be responsible source and resources risks and
development Indicators should Example: included for location where required and assumptio
plan and also capture through a would organizing you would find committed ns for
results key priorities survey, a depend on the data the identified for carrying carrying out
framework. such as capacity review or the practical collection and necessary out planned the planned
development and stakeholder needs. and verifying data, such as a monitoring monitoring
gender. Risks need meeting, etc. data quality national institute activities. activities?
to be identified too. and source? or academe

Source: United Nations Development Programme, 2009

while the horizontal logic consists of the indicators, means of the management and the stakeholders to whom the project is
verifications (MOVs) and assumptions. The premise in logframe intended for. When linked with the project cycle, the logframe
is that project elements are interrelated and external factors like approach is embedded in each stage, such as project identifica-
environment, people, institutions, politics, climate, etc., play in tion, formulation, implementation and evaluation and audit.
project implementation. Thus, there is a column for assumptions,
which describe the external factors that will play in the achieve-
ment or non-achievement of the vertical elements. It also contains MEF
the perceived risks that will come along in project implementa- With the logframe identified in the planning stage, the next step
tion. The logframe aids in identifying resource requirements and is the formulation of the MEF in order to proceed with the moni-
costs (European Commission, 2004). toring and evaluation activities. Whereas the logframe provides a
The use of logframe has its own advantages and limitations. If structure for project implementation, the MEF provides the struc-
used properly, it is logical, concise and objective. It places the ture for all M&E activities. It describes the following:.
project into the larger context of a sectoral/program goal and is a
valuable tool for the management as it provides a summary of the 1. Requirements of users of the M&E information.
project in a standard format (Collete, 2003). On the other hand, 2. Description of the indicators and information to be
its limitations revolve around the use of a rigid or inflexible collected.
approach by organizations that restricts the flexibility of log- 3. Sources of information.
frame utilization. Result-oriented projects may ignore the pro- 4. Responsibilities for undertaking all the different aspects of
cess itself, which is a feature of the logframe. It is also policy M&E.
neutral when it comes to questions related to income distribution, 5. How M&E information is to be collected, reported and used
access to resources, local participation costs or effects on the (including schedules and frequency).
environment (World Bank, 2012). It is important to note that the
logframe approach is one of the tools in project planning and The MEF is derived from the logframe. It is likewise developed at
management, and complements other tools like institutional the planning stages and should be considered as a necessary ingre-
capacity assessment, gender analysis, environmental impact dient in project management (United Nations Development
assessment and economic and financial analysis (World Bank, Programme, 2009). It gives management the upper hand in deter-
2012: 58). As stated previously, it has to be done in a participa- mining where the project is headed to and what are the accompa-
tory manner, whereby project stakeholders are involved in the nying issues or problems. Moreover, it also allows an objective
whole process, e.g. identification of goals, outputs, activities and view of how the project is faring.
indicators among others. To achieve quality M&E, SMART indicators are the key as
The role of indicators in the logframe setting is crucial in stated previously. There is a wide array of qualitative and quanti-
measuring quantity and quality in relation to the achievement of tative collection methods that can be used in SWM, as can be
the design elements, namely goals, objectives, outputs and activi- seen in Table 5 (Bernstein, 2004).
ties. As such, determining the right indicators should posses the A combination of methods can be applied depending on
SMART qualities: simple easy to understand; measurable needs. Other methods apart from the ones mentioned above can
quantitative where possible; attributable directly relate to be used. MOVs could be reports, documentations, institutions
change measured; relevant to management needs; and timely and other platforms for validating information. One of the key
at the right time to support management (Collete, 2003). In result areas in a MEF is arriving at recommendations and les-
addition, indicators should emanate from the perspectives of both sons. M&E is done in three stages: pre, during and post stages of

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6 Waste Management & Research

Table 5. Quantitative and qualitative methods and tools.

Tools Brief description


Collection of Existing reports and documentations sourced from the provincial, city, municipal and barangay
secondary data LGUs, as well as from NGOs and international organizations.
Household survey Random or stratified sample of households and collecting information about perceptions, views
and suggestion on an existing or finished SWM project. Household information to be collected
across different social groups to reflect wide stakeholder base.
Socio-economic Aims to collect baseline information and gender-specific information on the target or beneficiaries
survey to assess the socio-economic benefits and establish indicators for measuring the impact of an
SWM project.
Semi-structured Utilize interview questionnaires to gage perceptions on SWM conditions and institutions, priority
interviews needs and willingness-to-pay. It could also be used to assess project impacts.
Focus group Held for each stakeholder group and based on income levels, gender, ethnicity and geographical
discussions location to draw experience and knowledge of issues in selection, preparation and implementation.
Willingness-to- Conducted to assess affordability by the beneficiaries or views on maintaining improved SWM
pay systems at the onset or end of a project.
Service Questionnaire intended for solid waste collection service providers to understand the nature of
monitoring survey their constraints in service delivery and to estimate the level, frequency and quality of service
emanating from SWM service improvements.
Participant Fieldwork technique to collect qualitative data and to deepen understanding of peoples
observation motivations, perceptions and attitudes.
Ocular inspection Fieldwork technique aimed at physically assessing improvements in SWM infrastructures in the
area of waste collection, hauling, disposal and recycling.
Participatory Fora for beneficiaries and implementers to present and validate findings of surveys, FGDs and
stakeholder interviews and other assessment activities. It also aims to capture information that is not gathered
workshops from other assessment activities. This could be a method in CBM&E to generate community
recommendations and lessons.

Source: Bernstein, 2004.


CBM&E: community-based monitoring and evaluation; LGU: local government unit; NGO: Non-government organization; SWM: solid waste
management.

a project. In the implementation stage, continuous monitoring especially on informal recycling rates. Given the circumstances
generates proposals or recommendations to improve project out- the IWS is in, there is little way to establish records of waste
comes. Recommendations, thus, are for immediate considera- recovery, which is very important considering their recovery
tion. On the other hand, lessons are generalizations arising from rate of 20% to 50%. The path to integrating the IWS should be
evaluations that are intended for subsequent projects or pro- accompanied by an M&E system that takes into account their
grams (Collete, 2003). In SWM, an example of a recommenda- contributions in waste recovery.
tion is to allow the IWS to work in composting plants. On the M&E is done in a hierarchy. Development projects initiated
other hand, the lesson would be that allowing them to work in all by the national government or with support from international
niches of waste recovery increases their visibility and income. organizations, and which utilize the logframe approach, usually
have a MEF that will guide the programs in conducting moni-
toring and assessments. At the community level, there is another
M&E in SWM level called community-based monitoring and evaluation
Doing M&E in SWM is not a novel idea or practice, but devel- (CBM&E), which is primarily used to assess impacts on the
oping a thorough M&E framework is a relatively new field of community and community perceptions (Collete, 2003). The
endeavor. SWM programs or projects have inherent focus on methodologies in CBM&E differs from the institutional or pro-
qualitative and quantitative indicators to gage success or fail- ject level M&E because the former deals directly with commu-
ure. Waste generation amounts, growing disposal costs and ris- nity members. Household surveys, informal meetings, ocular
ing tipping fees drive local planners to collect and analyze data inspections and community mapping are some of the desired
and adjust programs to be sustainable and impact-oriented methodologies. Indicator-setting is also a task accorded to the
(United States Environmental Protection Agency, 2012). Past community because they ought to define what success of failure
research works have shown the importance of M&E in SWM. for them is in SWM.
Sharp etal. (2010) emphasized the need to have robust and reli- In the case of the IWS inclusion, M&E should be incorporated
able M&E of household waste preventions to allow stakehold- in action plans. Waste pickers are to be involved in selecting
ers to collect high-quality data, ensure that waste prevention appropriate indicators, identifying frequency of data collection
initiatives are effective and creating behavior change and ensure and assessing progress. Indicators should be simple and data
prioritization of resources. Wilson etal. (2008) noted the lack sources readily accessible (Bernstein, 2004). In a nutshell,
of reliable SWM quantitative data in developing country cities CBM&E in IWS inclusion should be able to do the following.

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Serrona et al. 7

MEF
Indicators Indicators

Project 1 Project 2 Project 3


CBM&E CBM&E CBM&E

Lessons Lessons

Figure 1. MEF and CBM&E loop.


CBM&E: community-based monitoring and evaluation; MEF: monitoring and evaluation.

Understand the importance of M&E in SWM at the commu- financial and technical arrangements in SWM. The IWS situation
nity level. has not been addressed in previous legislations, although waste
Develop local monitoring indicators and evaluation picking activities in the Philippines commenced in the 1970s.
activities. Piecemeal programs like the cash for trash was launched in the
Utilize locally appropriate methodologies and techniques in 1980s, but failed because it tried to compete with the informal
data collection. system. In addition, they were tagged as squatters then, which
Feed M&E findings into larger SWM plans, e.g. municipal or led to the demolishment of their makeshift shelters and subse-
provincial SWM plans. quent relocation (Serrona, 2008). With RA 9003, the offshoots
Feed quantitative monitoring reports into the SWM are the National Framework Plan for the Informal Waste Sector
database. and the NSWMS, which are discussed in Table 6.
Translate M&E findings into improving their social and envi- The passage of RA 9003 facilitated the recognition of the sta-
ronmental conditions. tus of IWS and the identification of subsequent SWM regulations
with the purpose of emphasizing the crucial role that they play in
The MEF that was developed for the National Framework Plan addressing local waste problems. The National Framework Plan
feeds into the CBM&E by way of validating the identified indica- for the Informal Waste Sector enabled NSWMC to promote a
tors from the community perspective. Conversely, CBM&E shift of thinking at the LGU level towards members of the IWS.
facilitates community-identified indicators to be fed into the cen- There is now a conscious effort by LGUs to consider the plight of
tral MEF. This process mutually connects the loop between the the IWS in light of improving local SWM systems. An example
MEF and CBM&E. Figure 1 shows the loop that links MEF and would be in General Santos City in Southern Mindanao, where
CBM&E in a program. the IWS is organized and waste picking is regulated to allow
From Figure 1, SWM projects under the umbrella of a com- equal opportunity for the members to recover waste. Members
mon or central MEF can share lessons. Concretely, LGUs who were organized into groups and given specific days to collect
have SWM projects using the logframe approach communicate recyclable materials at the dumpsite. In the Payatas-controlled
with the NSWMC on existing and emerging indicators, while the dumpsite in Quezon City, members of the IWS sift through waste
latter documents and ensures that the MEF reflects realistic indi- materials on pre-determined days wearing LGU-issued identifi-
cators. It should also be noted that LGUs have their own MEFs cation cards. In other words, current legislations legitimized their
too, but aligned with the central MEF that the NSWMC manages. operations in disposal facilities and communities.
The role of CBM&E is to determine and assess local impacts that
are not fully captured in the regular M&E activities, such as the National Framework Plan for the
ones suggested in the MEF. It also provides an opportunity for Informal Waste Sector
the partner communities to independently provide feedback to
NSWMC or LGUs in terms of the issues, problems and resolu- This research endeavored to establish a logframe and MEF using
tions that are emerging on the ground. In the process, the MEF the National Framework Plan for the Informal Waste Sector as
will additionally build on the merits of CBM&E and gives an the pilot or reference document. A review of the said document
opportunity for local stakeholders to be truly involved. revealed the absence of a clear M&E component, which would
have played a significant role in managing, monitoring and cap-
turing recommendations and lessons down the line of implemen-
Results and discussions tation. It was rationalized that this is a good starting point for
introducing and integrating the logframe approach in any SWM
Laws and regulations initiatives regardless of the scale of the project. In the document,
The Philippines is replete with environmental laws and regula- there is a section detailing the strategic framework plan for the
tions pertaining to SWM. The major milestone was the passage IWS consisting of a summary of issues and challenges, vision,
of RA 9003, which comprehensively defined institutional, social, mission, goals, proposed interventions and critical actors and

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8 Waste Management & Research

Table 6. Philippine laws and regulations.

Legislation Salient provisions


Ecological Centerpiece legislation on SWM in the Philippines. Enacted by the Philippine Congress to adopt
Solid Waste a systematic, comprehensive and ecological waste management program. The law emphasizes
Management Act source reduction, composting, recycling and re-use, which provides more economic and social
of 2000 (RA 9003) opportunities for the IWS. Waste picking is acknowledged in the law and under Section 39 on
guidelines for controlled dumps, it says that waste picking and trading shall be controlled.
National Developed by NSWMC for the purpose of integrating the IWS in formal waste management
Framework Plan systems by supporting them to enter new service roles and niches in separate collection
for the Informal and recycling, access to sorting space and transfer stations and sanitary landfills, support
Waste Sector diversification of livelihood activities through cooperatives and associations and improve work
(2009) conditions and better social services.
National Identified policy gaps and ways to harmonize policies as a result of fragmented, overlapping and
Solid Waste contradicting provisions of existing environmental laws. The strategy addresses the plight of
Management the IWS by ensuring that waste management systems and infrastructures are disaster-proof to
Strategy (2012 avoid accidents at dumps and other related facilities. Monitoring of communities hosting SWM
2016) facilities will be done, including working conditions of IWSs to promote safety and protect health.
Local Government Devolved major functions from the national government to the local government units in areas,
Code of 1991 (RA such as solid waste collection and disposal. Cities and municipalities are responsible for solid
7160) waste disposal while barangays (smallest political unit) take care of waste collection. It also
empowers LGUs to levy fees and collect SWM fees or user fees.

IWS: informal waste sector; NSWMC: National Solid Waste Management Commission; SWM: solid waste management.

partners. The idea is that framework plans can be translated into the scope of the initiative. The MEF could be considered a
specific plans as well as M&E documents. Ideally, the MEF dynamic document because circumstances could change. The
should be made at the onset of project development, but there is important point to consider is the constant reference to the
no stopping from developing it as long as directions and activities expected results since it is the heart of the project.
are clearly laid out, such as the case of the framework plan. As stated previously, the participation of relevant stakeholders
The limitation of this article is its sole reliance on the frame- in the M&E process is crucial. Their perspectives should be taken
work plan. Therefore, this is a document in progress as the indi- in to consideration when assessing impacts. To do this, PME is
cators, assumptions and risks need to be validated with concerned used where qualitative and quantitative tools are employed (refer
stakeholders at the national and local levels of governance, to Table 7). The question is to what extent are project implement-
including IWS groups and private enterprises. Table 7 shows the ers, such as the NSWMC, willing to embrace PME considering
abbreviated logframe. The narrative column is taken from the that it involves lots of work, requires resources (money and tech-
framework plan. nical expertise) and time. It also requires reconciling timeframes
Table 7 reflects the hierarchical order of the logframe starting because PME cannot just be rushed to meet project deadlines. It
with the goals, objectives, outputs and activities. Again, the nar- has to adapt to the local implementation phase. Therefore, a pro-
rative column is sourced from the reference document while the ject design has to consider flexibility when setting targets that the
indicators, MOVs and assumptions are supplied by the authors. community will perform.
As explained earlier, the basis for the MEF is the logframe and, Recommendations and lessons are generated from various
therefore, the two are inextricably linked. For this research, a M&E tools, such as progress and evaluation reports that are pri-
detailed MEF is formulated with consideration of the availability marily anchored on the MEF. As explained in the MEF section,
of resources and the range of data collection methods that are the former refers to proposals related to project implementation
readily available for use. The MEF starts with the outputs down or management to improve project outcomes, while the latter
to the activities as they are the ones directly measured by the refers to generalizations designed for subsequent programs or
M&E activities. It elaborates on collection methods, frequency of projects. Lessons do not necessarily require immediate action for
data collection, responsible entities, MOVs, resources and risks. the current project (Collete, 2003). In Tables 8 and 9, lessons can
The M&E component can be primarily done by a unit within an be culled from the output level. For example, on adequate access
organization, but it does not mean that other units are exempted to basic services such as education and health and other social
from doing M&E. In fact, it is a function of all parties involved. services, potential lesson here could be the importance of hav-
The idea of having an M&E unit is to lead and consolidate M&E ing a geographical-based inclusion plan that will proactively
activities and also disseminate findings. Table 8 shows an abstract address the basic needs of specific IWS groups. The enforcement
of the proposed MEF. indicator here would be the compliance of LGUs to provide basic
The MEF is the main document of the organization in imple- services to marginalized groups such as the IWS.
menting M&E activities. In SWM projects, the indicators could In assessing performance vis-a-vis identified indicators, both
expand and include technical and social indicators depending on the qualitative and quantitative data that are collected should be

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Serrona et al. 9

Table 7. Logical framework for the National Framework Plan for the Informal Waste Sector.

Narrative Indicators Means of verification Assumptions


Goals
Formulate and enforce policies Number of well-established NSWMC, LGUs. High interest of LGUs in
that enable the informal waste local policies on IWS integrating IWS into their fold.
sector to be integrated in the integration in formal waste Clear local policies on IWS
formal SWM system. management. integration will be formulated.
Assist the informal waste sector Number of skills training TESDA, SWAPP, TESDA, SWAPP and other
to have access to employment identified and conducted for training NGOs are able to effectively
and alternative livelihood the IWS. documentations. identify appropriate livelihood
opportunities by providing skills programs for the IWS.
development and protection from
occupational hazards and risks.
Objectives
To integrate the informal sector No. of integrated support NSWMC, TESDA, Full realization of the
in the SWM system by providing services for the IWS LGUs. provisions in the National
them with a favorable policy identified. Framework Plan for Informal
environment, skills development Waste Sector is achieved.
and access to secured livelihood,
employment and social services.
No. of local IWS policies
passed.
Outputs
Effective supporting mechanisms Specific areas or niches LGUs, NSWMC, Adequate documentation of
in place for the sector to enter identified for IWS integration. SWAPP, UPLB new services and niches for
new service roles and niches in SESAM. IWS are done.
separate collection, recycling Sustainable support
and composting. mechanisms are put in place to
ensure IWS role in collection,
recycling and composting.
Assured structural access Access modes identified MOA with LGUs. Design for recycling and
to sorting space at transfer for IWS in the formal SWM disposal facilities take into
stations, materials recovery system. consideration the expected
facilities, composting facilities activities of IWS.
and sanitary landfills.

IWS: informal waste sector; LGU: local government unit; MOA: Memorandum of Agreement; NGO: Non-government organization; NSWMC: National
Solid Waste Management Commission; SWAPP: Solid Waste Association of the Philippines; SWM: solid waste management; TESDA: Technical
Education and Skills Development Authority; SUPLB: University of the Philippines - Los Banos, School of Environmental Science and Management.

analyzed in a way that will render them useful and beneficial for complement basic infrastructure investments related to modern-
project implementers (European Commission, 2004). Analytical izing the sector, like closure of landfill and establishment of mate-
methods are shown in Table 9. rial recovery facilities (Solid Waste Management Association of
With the logframe and MEF identified, the next step is valida- the Philippines, 2012). The project summary document outlines
tion with relevant stakeholders consisting of government agen- three development indicators, namely: number of informal recy-
cies, non-government organizations, community groups and IWS clers in the cities/municipalities employed in a formalized system
groups. This can be done through participatory workshops and with a quantified target of at least 25% of the participating infor-
series of consultation meetings to ensure that indicators follow mal sector recyclers in the cities/municipalities; number of recy-
the SMART guidelines. NSWMC plays an important role in this clers provided livelihood opportunities outside of the waste
endeavor as they will take the lead and guidance on implement- industry with a quantified target of at least 25% of the participat-
ing M&E activities. This complements their mandate of oversee- ing informal sector recyclers in the cities/municipalities; and
ing the implementation of RA 9003. increase in the average income of informal recyclers with a target
of at least a 25% increase for participating informal sector recy-
clers. The project has three key components, namely: participa-
Social inclusion and alternative tory strategic planning, social inclusion in waste management
livelihoods for the IWS project systems and alternative livelihood for the IWS. Table 10 shows an
The project aims to promote social inclusion and provide alterna- assessment of the projects components vi-a-vis the parameters set
tive livelihood for the informal waste sector in the Philippines to in National Framework Plan for the Informal Waste Sector.

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10

Table 8. MEF for the National Framework Plan for the Informal Waste Sector.*

Expected results Indicators M&E activity with Time or Responsibilities Means of Resources Risks
data collection schedule and verification
method frequency
Outputs
Effective supporting mechanisms Specific areas or niche Field visits and Twice a year NSWMC, SWAPP. Data and Travel and Lack or limited skills in
in place for the sector to enter new identified for IWS interviews LGU analysis of accommodation identifying new services for
service roles and niches in separate integration field research costs, workshop the IWS may hinder program
collection, recycling and composting costs replication or upscaling
Assured structural access to sorting Access modes identified Field visits, As the need NSWMC, LGU Data and Travel and Not all LGUs may be warm
space at transfer stations, materials for IWS in the formal project arises analysis of accommodation to the idea of IWS integration
recovery facilities, composting SWM system assessments, field research costs, workshop
facilities and sanitary landfills interviews costs
Activities
Provide skills training on value Quality trainings provided Training As the need NSWMC, SWAPP, Training Training costs Trainings provided may not
adding strategies/low cost on low-cost technologies assessments arises UPLB SESAM, reports suit to local conditions
technologies in waste recovery and in waste recovery DOST
recycling and composting Number of trainings
conducted

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*Table 8 does not include the whole MEF, but rather an excerpt of it.
DOST: Department of Science and Technology; IWS: informal waste sector; LGU: local government unit; NSWMC: National Solid Waste Management Commission; SWAPP: Solid Waste Association of
the Philippines; SWM: solid waste management; SESAM UPLB: University of the Philippines - Los Banos, School of Environmental Science and Management.
Waste Management & Research
Serrona et al. 11

Table 9. Performance evaluation methods.

Type of analysis Description


Planned vs actual Comparing original plan with actual achievements. For example, the program targeted 300
organized IWS groups, but only 150 were achieved. This would reflect a deficit of 150 and an issue
with implementation performance. If the whole budget was spent for this, the M&E activity has to
find out why this happened and what are the remedies to be introduced to address this issue.
Percentage/ratios Useful when comparing planned with actual performance. A 50% achievement, for example
when organizing IWS groups, shows low performance and needs to be analyzed and remedied.
Trends over time Data over different time periods are useful when analyzing project importance over time.
and comparison They can also be used to analyze activities done at the same time in previous time periods and
between periods project what could be expected in future activities. For example, organizing IWS groups across
a regional location can be compared based on time, resources and issues.
Geographic variance Projects implemented across a regional location, for example, can be assessed based on
success rate, implementation issues, cultural acceptance, etc. In the Philippines, some IWS
workers belong to indigenous groups.
Group variance Refers to monitoring and evaluating outcomes between different social groups, e.g. impact of
IWS programs for men, women, indigenous and other vulnerable groups. For example, skills
training for IWS groups should take a look at their distinct usability for men and women so
that appropriate trainings are identified and avoid gender bias.
Work-norms and Refer to service delivery activities that can be monitored by collecting information on work-
standards norms or standards. For example, processing time for formal registration of IWS groups,
approval time for IWS-initiated proposals and approval time for housing provisions for the IWS
can be monitored, analyzed and compared with normal processing standards.

Source: European Commission, 2004.


IWS: informal waste sectors.

Conclusions high with partnership mechanisms in place, such as the MEF.


Risk identification is another parameter, which is useful in antici-
SWM programs or projects do not only refer to the delivery of pating future issues and remediating them. A logframe approach
implementation requirements; it should also possess clear and in the SWM project development is essential, but it does not pre-
realistic M&E indicators, assumptions and activities. The ration- clude other tools from being applied in waste management.
ale is that built-in M&E systems allow programs to be flexible, In the case of the WB/JSDF project, the identified develop-
effective, impact-oriented and sustainable. The Philippines is in a ment outcome indicators are aligned with the National Framework
position where it is a trailblazer in policy development that rec- Plan for the Informal Waste Sector and it focuses on improving
ognizes the role of the IWS in economic development as stipu- access to formal waste management, livelihoods and laying the
lated in the Philippine Development Plan (20112016), which foundation for a strong IWS and private sector partnership with
envisions transformational leadership, institutional reform, eco- the government facilitating the process. In the Philippine context,
nomic stability and inclusive growth (National Economic the private sector plays an enormous role in local development
Development Authority, 2011). Institutionalizing M&E in SWM and, in fact, the government is promoting publicprivate partner-
is a challenge, but an opportunity for large- or small-scale pro- ships (PPP) because of the inherent limitations of government
jects to embrace the benefits of having to determine where the resources and the deep entrepreneurial bond that the private sec-
project is going, how far has it gone and what lessons are being tor possesses. Directly linking up the IWS with businesses will
learned in the process. allow the former to negotiate prices of recyclable materials and
The exercise of crafting a logframe and MEF is a tedious pro- new products, which would result in adequate incomes. It will
cess. Yet it enhances and strengthens a project as in the case of also facilitate the identification of appropriate skills, business
the IWS framework plan. The caveat is that the indicators must models and product demands.
not be universally applied but should depend on local circum- In summary, the indicators generated for the MEF can be
stances and current conditions. Data collection can be costly at broadly categorized in a way that reflect the overall M&E
times, especially field visits, but it is worth it when aiming for requirements for the IWS sector in the Philippines. They are not
first-hand information and actual interaction with stakeholders. It inclusive as more will emerge in the implementation process.
can also piggyback on regular activities to save on costs. A logframe approach in SWM-related projects benefits both
Responsibility centers are likewise necessary to institutionalize the implementers and the beneficiaries or partners. Theoretical
sharing of tasks. In the case of the NSWMC, it is composed of 14 underpinnings for this approach abound in the field of interna-
members from the government sector and three members from tional development and SWM is a logical recipient. This approach
the private sector, and the potential for close collaboration is very is relatively new in SWM and will certainly gain popularity with

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12 Waste Management & Research

Table 10. WB/JSDF Social Inclusion Project vis-a-vis National Framework Plan for the Informal Waste Sector.

Project components Relevance with proposed logframe and MEF for the Philippines National
Framework Plan for the Informal Waste Sector
Participatory Strategic Planning
Outputs:
Establish participatory structures and The framework plan stipulates organizing the IWS into association or
process for at least 3500 members cooperatives, which will pave the way for participatory processes to be
of the informal waste sector in five integrated in IWS integration in formal waste management. In addition,
municipalities and in 2000 members the WB/JSDF Project aligns itself with the framework plan in terms of
of recycling cooperatives. establishing a IWS waste management plan in the strategic SWM and yearly
action plans of LGUs.
Development of strategic plans for at Working with IWS requires participatory approaches as explained in Table
least 3500 members of the informal 5. Organizing them will consolidate their ranks and they will have greater
waste sector in five municipalities influence and negotiating power in waste recovery and recycling business.
and in 2000 members of recycling The project will integrate this character, but the challenge is how to sustain it
cooperatives. so that IWS groups become self-sustaining.
Social Inclusion in Waste The project will provide financial assistance to the IWS, which will be used
Management Systems towards the purchase of waste management equipment; formalization
of the sector, e.g. registration and contractual arrangements; training
Outputs: support and institution building; business and market development and
Sub-grants to support for social stakeholders meetings. The funds will also assist IWS groups during
inclusion, youth programs and the transition period of disposal facilities, such as food for work and
transitional support made available to subsidized pricing of recyclables. The framework plan clearly stipulates
3500 members of the informal waste the provision of skills training on value-adding strategies/low cost
sector in five municipalities. technologies in waste recovery, recycling and composting. It also aims to
integrate the sector in transfer stations and MRFs and link up with micro-
finance institutions.
Technical assistant for models to The aspect of financial management needs to be strengthened in IWS and the
improve income and empowerment ability to identify and develop local business concepts or models. The IWS is
provided to 2000 IWS members in an emerging sector in the Philippines and their ability to innovate and make a
recycling cooperatives difference hinges on appropriate capacity-building measures and institutional
networks.

Alternative Livelihood for Informal The project will link up with the private sector to train and hone
Waste Sector appropriate skills of the IWS in business development. It will facilitate
the identification of sound business concepts, which will emphasize the
Outputs: marriage of IWS and the business sector with innovative and sustainability
Employment training programs in mechanisms in place. The framework plan acknowledges the necessity
partnership with the private sector of mutually integrating the capacities of the IWS and the private sector in
made available to at least 3500 improving waste management systems through appropriate skills training,
members of the IWS. product design, cooperative development, employment provision outside of
the SWM, etc.
Facilitation and training for The projects inclination to tap the private sector is appropriate and timely as
entrepreneurial development made the IWS undertakings form part of an essential business flow, which supplies
available to at least 3500 members of raw materials to manufacturing industries. The framework plan recognizes
the IWS. the private sector as an important ally in empowering IWS, both economically
and socially.
Delivery of sub-grants for working
for viable business concepts in five
municipalities.

Source: SWAPP, 2012.


IWS: informal waste sector; LGU: local government unit; MRF: material recovery facility; SWM: solid waste management; WB/JSDF: World
Bank and the Japan Social Development Fund.

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Serrona et al. 13

Table 11. Summary of main indicators.

Key M&E areas for the IWS Summary of main indicators


Policies/guidelines National and local policies IWS Plan integration in LGU action plans
Capacity-building Skills training
Enterprise development
Alternative livelihoods
Networking
Support services Health insurance
Scholarships
Child care
Housing
Job fairs
Access modes Formal waste management system
Micro-financial institutions
International organizations
Institutional arrangements Cooperative
Association
Micro-enterprise
Incentives Provision of incentives for businesses, LGUs and stakeholders
providing jobs and supporting IWS programs
Communication mechanisms Formal and informal channels between IWS and LGUs, partners and
other stakeholders
Networking Vertical and horizontal partnerships
Public-private-IWS collaboration
South-to-South exchange of best practices
Monitoring systems Price of recyclable materials
IWS involvement in monitoring of SWM systems
Compliance with safety, labor and environmental laws

IWS: informal waste sector; LGU: local government unit; M&E: monitoring and evaluation.

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