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NITI AAYOG – UNDP
HANDBOOK ON
SUSTAINABLE URBAN PLASTIC
WASTE MANAGEMENT Disclaimer:
While care has been taken in the collection, analysis, and compilation of the data, NITI Aayog &
UNDP do not guarantee or warrant the accuracy, reliability or completeness of the information in this
handbook. The mention of specific companies or certain projects/products does not imply that they
are endorsed or recommended by the members of this publication. The authors accept no liability
whatsoever to any third party for any loss or damage arising from any interpretation or use of the
document or reliance on any views expressed herein.
Copyright@ NITI Aayog, UNDP, 2021
Photo credits to UNDP India/Abhir Avasthi, UNDP India/Raja Mani, UNDP India/Dhiraj Singh, UNDP
India/Gaurav Menghaney
Acknowledgements
UNDP would like to extend its sincere appreciation and gratitude to Vice Chairperson,
Dr Rajiv Kumar; CEO, Mr Amitabh Kant; and Special Secretary, Dr K. Rajeswara Rao
of NITI Aayog, for providing their valuable inputs and guidance while preparing this
handbook. UNDP would also like to thank members of the Managing Urbanization
vertical at NITI Aayog – Dr Biswanath Bishnoi, Deputy Advisor, and Mr Dhiraj
Santdasani, Young Professional, for their continuous support.
Our gratitude to UNDP Resident Representative, Ms Shoko Noda, UNDP Deputy
Resident Representative Ms Nadia Rasheed, and to the team of Plastic Waste
Management Programme – Mr Srikrishna Balachandran, Program Manager and
OIC, Ms Ankita Bhalla, Communications Officer, Ms Smera Chawla, Project Officer
– Strategy and Alliances, Ms Himani Kulshreshtha, Project Officer – Reporting and
Recycling, Mr Jaimon C Uthup, Policy Specialist – SDGs, Ms Rozita Singh, Head of
Solutions Mapping, Accelerator Lab India, Mr Digvijay Singh, Social Protection
Specialist, Ms Ruchi Tomar and Mr Rishabh Shrivastava, Consultants, for their
contribution towards developing this handbook and bringing out relevant insights
on plastic waste management. Message, Vice Chairperson, NITI Aayog
The clarion call of the Honourable Prime Minister to address the issue of single-use plastics on
the 73rd Independence Day triggered massive attention towards plastic waste management in
the country. It is encouraging to observe that India’s overall solid waste treatment capacity saw
a steep rise from 18 percent in 2014 to 70 percent in 2021. Over the past six years, the Central
Government, State Governments, urban local bodies, and most importantly, the citizens of the
country have shown remarkable coordination and dedication for Swachhta like never seen before.
The Swachh Bharat Mission received acclaim from around the globe for its impressive measurable
results achieved within a short period. However, while Swachhta is a continuous journey, we as a
nation need to move towards stricter implementation of the Reduce-Reuse-Recycle concept.
While urbanisation enables greater economic development in the country, the stress on urban local
bodies to deliver efficient urban services, including efficient urban waste management, remains
one of the significant challenges. It is towards meeting these challenges that NITI Aayog has
joined hands with the United Nations Development Programme (UNDP) to lay down ideas in the
form of a comprehensive handbook: ‘NITI Aayog-UNDP Handbook on Sustainable Urban Plastic
Waste Management’ can be adopted by urban local bodies to good effect.
To that end, this handbook aims to enable the capacity building of officials in urban local bodies
and other relevant stakeholders at the city level on plastic waste management. The learnings
documented here are based on multiple models, which reflect socially and financially inclusive
approaches towards plastic waste management in India.
The handbook also discusses national and international case studies across different components
of plastic waste management. The represented models have focused on the sustainability and
scalability of approaches in all Indian cities based on specific estimated parameters. I am hopeful
that the handbook will act as an essential knowledge resource for stakeholders in the waste
management sector.
I am also sure that this handbook will go a long way in achieving the broad objectives set out in
the Swachh Bharat Mission. I compliment the UNDP team and the Managing Urbanization vertical
at NITI Aayog led by Special Secretary, Dr K. Rajeswara Rao for conceptualizing and publishing this
handbook. His team comprising Deputy Advisor, Dr Biswanath Bishoi, and Young Professional, Mr
Dhiraj Santdasani also deserve due recognition for their efforts.
Dr Rajiv Kumar
Vice Chairperson
NITI Aayog Foreword, CEO, NITI Aayog
With the launch of the Swachh Bharat Mission (Urban) 2.0, India has taken a significant step
to further reinforce the Swachhta momentum achieved in the first phase of the mission. With
greater emphasis on source segregation, waste processing facilities, and phasing out of single-use
plastics, SBM 2.0 is set to fast-track country’s smooth transition to a circular economy. While India
generates about 3.4 million tonnes of plastic waste annually, urban local bodies across the country
have been facing tremendous pressure to manage this waste efficiently. In addition, India’s rapid
pace of urbanization has also contributed to the stress on urban services. However, even in such
a challenging environment, the dedication shown by the State Governments, urban local bodies,
private sector companies, organizations, and citizens, for implementing Swachh Bharat Mission in
the true spirit and making it a Jan Andolan is supremely remarkable.
The world is becoming more aware and more inclined towards effective patterns of resource
usage. Efficient plastic waste management provides a vast landscape to enable superior resource
efficiency in the manufacturing sector. Recycling or upcycling plastic waste offers a paradigm shift
from conventional techniques or incineration and landfilling by altering end-of-life products, scraps
and other types of plastic waste into valuable raw materials after the necessary value additions.
While many cities have implemented noteworthy models of plastic waste management, it is essential
that a robust knowledge repository is created to capture these best practices so that urban local
bodies across the country can learn, observe, adapt and replicate models as relevant. It is with this
vision that this handbook has been developed jointly by NITI Aayog and UNDP. The book provides
a comprehensive overview of managing plastic waste by representing and discussing components
of the entire plastic waste value chain. I believe that this handbook will certainly support all relevant
stakeholders in informing themselves about pertinent initiatives and the efficient ways to deal with
plastic waste.
I compliment the efforts of UNDP in development of this vital knowledge resource and for working
alongside numerous cities and other partners, helping them streamline plastic waste management
systems. My special appreciation goes to the Managing Urbanization vertical of NITI Aayog led by
Special Secretary, Dr K. Rajeswara Rao, for spearheading this important task, and his team involving
Deputy Advisor Dr Biswanath Bishoi, and Young Professional, Mr Dhiraj Santdasani.
Amitabh Kant
CEO
NITI Aayog Foreword, Special Secretary, NITI Aayog
In the past few years, India has achieved remarkable progress in its waste management sector under the
Swachh Bharat Mission (U). The fact that the country’s waste processing capacity has increased four times
since 2014 shows the scale and size of the mission and its meticulous implementation on the ground. The
next phase of Swachh Bharat Mission has further strengthened the clean India movement with an explicit
focus on waste source segregation, waste treatment, and phasing out of single-use plastics.
While Swachhta is a way of life and not an initiative bounded by time, we need to further build upon the
momentum achieved in these years and shift towards a more resource-efficient and circular economy in new
urban India. In this regard, efficient management of plastic waste has emerged as one of the key challenges
in the waste management sector, which needs dedicated focus from all sections of society. India generates
about 3.4 million tonnes of plastic waste per year, and about 70 percent of plastic packaging products are
converted into plastic waste within a short period.
Multiple cities and organisations across the country have implemented innovative, sustainable, and resource-
efficient models of plastic waste management. To achieve leapfrogging success in the sector nationally, it
is important that other urban local bodies study these business models and replicate them as relevant and
as applicable to their cities. This handbook is a knowledge repository containing 18 case studies across
four themes and has been developed to support stakeholders of the plastic waste management sector in
enhancing information and awareness.
The book covers several aspects of sustainable urban plastic waste management and will help urban local
bodies to develop efficient waste management plans for their cities based on their requirements and
guidelines. In process of developing this document, about 20 stakeholder consultations with different urban
local bodies, plastic waste recyclers, private players, NGOs/CSOs, academia, and on-ground discussions with
more than 14 Indian cities and 4 Southeast Asian cities (virtually) were conducted by UNDP. State Pollution
Control Boards being the key stakeholders, may refer to this handbook for relevant initiatives and may also
translate the book in regional languages for more effective use of all stakeholders as needed.
Last but not the least, I would like to compliment the efforts made by UNDP India team in the development
of this publication and their support to various cities in the area of plastic waste management. I also
express my deep sense of gratitude to the team of Managing Urbanisation vertical, especially Dr Biswanath
Bishoi, Deputy Advisor, and Mr Sanjay Gupta, Economic Officer. Mr Dhiraj Santdasani, Young Professional
deserves special appreciation for managing the publication and for his persistent efforts in finalization of
this document.
Dr K. Rajeswara Rao IAS
Special Secretary
NITI Aayog Foreword, Resident Representative, UNDP India
I am happy to present a new handbook ‘NITI Aayog-UNDP Handbook on Sustainable
Urban Plastic Waste Management,’ jointly developed by UNDP and NITI Aayog.
Two of the biggest environmental crises in the world today are climate change and
plastic pollution. According to a report by the Center for International Environmental
Law organization, globally the plastic production and disposal resulted in 850 million
tons of greenhouse gas emissions in 2019. The same may be responsible for up to 2.8
billion tons by 2050.
Sustainable plastic waste management can move plastic from ‘waste’ to a ‘renewable
resource’ and promote a circular plastics economy.
We have made a conscious effort to gather best practices and examples from cities
which face similar infrastructure and plastic waste challenges. The handbook covers
best practices of plastic waste management from India, including from countries in
Southeast Asia, like Indonesia and Vietnam.
This publication aims to provide practical and replicable solutions to the urban local
bodies across India to manage plastic waste in cities. The solutions are aligned with the
principles of Swachh Bharat (Clean India) Mission. I hope that the urban local bodies
will find this handbook a useful tool to help India achieve its vision of Swachh Bharat.
My special appreciation to NITI Aayog and UNDP India Plastic Waste Management team
for producing this handbook. My sincere thanks to our corporate partners for their
support of the Plastic Waste Management Programme.
Shoko Noda
Resident Representative
UNDP India Abbreviations
AIArtificial Intelligence
ADBAsian Development Bank
BCCBehaviour Change Communication
BMCBhubaneswar Municipal Corporation
BMTBillion Metric Tonnes
BPLBelow Poverty Line
BWGs Bulk Waste Generators
CECircular Economy
CIPET Central Institute of Petrochemicals Engineering & Technology
CKCL Clean Kerala Company Limited
COVID-19 Coronavirus
CPCB Central Pollution Control Board
CRRI Central Road Research Institute
CSECentre for Science and Environment
CSOs Civil Society Organizations
CSRCorporate Social Responsibility
DICDistrict Industries Centre
EPAEnvironmental Protection Agency
EPR Extended Producer Responsibility
FMCG Fast Moving Consumer Goods
FRPFibre Reinforced Plastic
GSTGoods and Services Tax
HDPE High-Density Polyethylene
IECInformation, Education and Communication
ILOInternational Labour Organization
IIM Indian Institute of Management
IITIndian Institute of Technology
IMCIndore Municipal Corporation
KITA Kitakyushu International Techno-cooperative Association
KYCKnow Your Customer LDPE Low-Density Polyethylene
L&TLarsen & Toubro
MoEFCC Ministry of Environment, Forests and Climate Change
MoHUA Ministry of Housing and Urban Affairs
MLPMulti-Layer Plastic
MRF Material Recovery Facility
MTMillion Tonnes
NGOs Non Governmental Organizations
PETPolyethylene Terephthalate
PMCPanaji Municipal Corporation/Pune Municipal Corporation
PPPolypropylene
PROs Product Responsibility Organizations
PSPolystyrene
PVBS Parisar Vikas Bhagini Sangh
PVCPoly-Vinyl Chloride
PWMPlastic Waste Management
RoCRegistrar of Companies
RUDA Regional and Urban Development Agency
RWAs Resident Welfare Associations
SHGs Self Help Groups
SJSRY Swarna Jayanti Shahri Rozgar Yojana
SMCSheet Moulding Compound/Surat Municipal Corporation
SMSStree Mukti Sangathana
SOPStandard Operating Procedure
SPCB State Pollution Control Board
SWMSolid Waste Management
TCSTata Consultancy Services
TISS Tata Institute of Social Sciences
TPD Tonnes Per Day ULBs Urban Local Bodies
UN United Nations
UNDP United Nations Development Programme
UNEP United Nations Environment Programme
UNICEF United Nations Children’s Fund
UNIDO United Nations Industrial Development Organization Contents
Message, Vice Chairperson, NITI Aayog
Foreword, CEO, NITI Aayog
Foreword, Special Secretary, NITI Aayog
Foreword, Resident Representative, UNDP India
Abbreviations
1. PL 1
1.1 P 1
1.2 C 5
1.3 S 6
1.4 Rules and guidelines – plastic waste management 7
2. IMPLEMENTATION OF PWM IN A CITY 9
2.1. C
and management 11
2.2 C 27
2.3 C 43
2.4 C 54 3. FINANCE AND SUSTAINABILITY OF A PWM WORKING MODEL 65
3.1 T 66
3.2 P 68
3.3 S 69
4. SOCIAL INCLUSION OF WASTE PICKERS 70
4.1 Existing vulnerabilities of waste pickers 71
4.2 Guiding framework for social protection of waste pickers 71
4.3 C 73
4.4 F 75
5. INTERNATIONAL CASE STUDIES CAPTURING THE PRACTICES 78
6. W 85
7. ANNEXURES 87
List of Tables
Table 1 Types and sizes of MRF based on criteria 29
Table 2 Waste processing equipment and their uses 34
Table 3 Overview of operations managed by CKCL in Kerala 41
Table 4 Recommendations for implementing various phases of the SHG creation 46
Table 5 Matrix mapping risks and opportunities in the project 48
Table 6 Type of waste and its constitution in the total waste generated
in Bengaluru 50
Table 7 List of one-time expenses for the project 67
List of Figures
Figure 1 Environmental, health and economic impact of plastic waste 3
Figure 2 Types of plastics and their applications 4
Figure 3 SDGs linkages through effective plastic waste management in a city 6 Figure 4 Characterization of Municipal Solid Waste 10
Figure 5 Municipal waste processing in India 11
Figure 6 Technical model for MRF waste eco-system 12
Figure 7 Categories of plastic 14
Figure 8 Panaji’s 16-way waste segregation approach 23
Figure 9 I 23
Figure 10 Waste logistics and traceability model 27
Figure 11 MRF material flow chart 28
Figure 12 Conceptual layout plan of MRF 30
Figure 13 Waste inflow sources and outflow process 32
Figure 14 Plastic segregation representation 32
Figure 15 Waste management cycle at an MRF 34
Figure 16 Mainstreaming of waste pickers 44
Figure 17 : Digital monitoring of data related to waste 54
Figure 18 Digital Waste Ecosystem of Recykal 56
Figure 19 An overview of operational expenses versus the operational
r 66
Figure 20 Vulnerabilities faced by waste pickers 71
Figure 21 Guiding framework for social protection of waste pickers 72
Figure 22 Three step model of SMS 74
Figure 23 Waste collection, recycling, and trading cycle in Vietnam 79
1.1 Plastics and their role in our lives
Plastic was first invented in 1907, and given that it was cheaper and more
convenient than other materials, it soon found use in varied ways in our daily
lives. Today, plastic is present in almost everything, from our money to electronic
appliances, and it is used across multiple sectors, including packaging, building,
construction, transportation, industrial machinery and health among others.
However, the lack of sustainable plastic waste management (PWM) poses a serious
threat to our environment and natural ecosystem globally. Data indicates that
while a large quantum of plastic waste is generated, low levels of it are sustainably
managed and discarded worldwide. From 1950 to 2015, around 8.3 billion metric
tonnes (BMTs) of plastic had been produced globally, and of this, 80 percent – 6.3
BMTs – was accounted as plastic waste. Of these 6.3 BMTs of waste, only 9 percent
PLASTICS AND THEIR ROLE IN OUR LIVES 1 was recycled, 12 percent incinerated and 79 percent dumped into landfills,
oceans or waterbodies. There are two primary ways to manage plastic waste.
The first is recycling or re-processing different categories of plastic waste into
secondary material. The second is the incineration of plastic waste. However,
incineration is expensive and causes pollution if not done using the right
equipment.
1.1.1 Challenges concerning plastic waste
Plastic waste has numerous implications on the environment and health.
The plastic waste dumped in landfills leaches into the ground and nearby
water systems causing land and water pollution and ultimately reaches the
food chain. The uncontrolled burning of the waste, including plastic, causes
air pollution. In addition, the clogged plastic waste in sewerage systems
further pollutes rivers and groundwater. The plastic in food and water can
cause severe health issues such as genetic disorders, and endocrine system
damage. According to the United States Environmental Protection Agency,
all the plastic waste ever generated is still present on Earth today, this makes
sustainable management of plastic waste important.
Single-use Plastic
1
The Plastic Waste Management Rules, amended in 2021, define single-
use plastic as plastic item intended to be used once for the same purpose
before being disposed of or recycled. The United Nations defines single-use
plastics, often referred to as disposable plastics, as being commonly used
for plastic packaging, including items intended to be used only once before
being thrown away or recycled. These include grocery bags, food packaging,
bottles, straws, containers, cups and cutlery.
2
Single-use plastic is the most
popular kind of plastic due to its easy access and high use. While it is cheap,
strong and hygienic for transporting goods, it is the most difficult to recycle.
Plastic carry bags are produced using less energy and water and generate
less solid waste than paper bags as they take up less space in landfills.
3
These salient features of single-use plastics make it a preferred material in
commercial use.
The adverse impacts of single-use plastic have created an alarming situation
across the globe with a call for countries to make commitments against
1 https://wedocs.unep.org/bitstream/handle/20.500.11822/9238/-
Valuingpercent20plasticcent3aper cent20theper cent20businessper cent20caseper
cent20forper cent20measuringper cent2cper cent20managingper cent20andper
cent20disclosingper cent20plasticper cent20useper cent20inper cent20theper
cent20consumerper cent20goodsper cent20industry-2014Valuingper cent20plasticsF.
pdf?sequence=8&isAllowed=y
2 UNEP (2018). SINGLE-USE PLASTICS:A Roadmap for Sustainability (Rev. ed., pp. vi; 6).
3 https://www.bagtheban.com/learn-the-facts/environment/
The UN defines
single-use plastics,
often also referred as
disposable plastics,
are commonly used for
plastic packaging and
include items intended
to be used only once
before they are thrown
away or recycled.
These include, among
other items, grocery
bags, food packaging,
bottles, straws,
containers, cups and
cutlery.
2NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management ENVIRONMENTAL IMPACT
The single use plastic is believed to take thousands of years to
decompose, which leads to soil and water contamination and can pose
hazards for land, water, and wildlife. In some cases, the existence of
single use plastic in water or food is leading to presence of plastics in
human body, and health issues.
HEALTH AND SOCIAL IMPACT
Instances of open burning of plastic waste leads to air
pollution. In some developing countries, plastic is burnt
for cooking or heating purposes causing health issues
in vulnerable groups such as women, children, and the
elderly. The littering at open spaces such as parks lead to
welfare losses which accounts as indirect social cost of
plastic pollution.
ECONOMIC IMPACT
The littering of plastic is visually unattractive and has
potential to impact GDP of countries dependent on tourism.
The plastic pollution in oceans has economic impact across
tourism, shipping, and fishing industries. Other than this
sustainable plastic waste management can move plastic from
‘waste’ to a ‘renewable resource’. Plastic pollution costs $13
billion per year as economic damage to marine ecosystem.
Figure 1 Environmental, health and economic impact of plastic waste
plastic pollution. The management of single-use plastic waste requires using an
integrated model that focuses on minimizing plastic waste generation, improving
waste management through improved collection services, a recycling industry
and ensuring the safe disposal of waste to controlled (scientific) landfills. To do
this, the model should focus on adopting a circular economy approach that looks
at recycling good quality plastics and different ways of minimizing the production
and usage of single-use plastic including plastic bags and styrofoam. The next
section looks at the opportunities and challenges of plastic waste recycling.
1.1.2 Plastic waste recycling
In India, the Plastic Waste Management Rules of 2016 and 2018 and the recently
announced amendment of 2021 focus on single-use plastics. The rules detail the
various categories of plastics and recommend recycling methods based on the
type of plastic polymer used. Additionally, as seen in figure 2, the Central Pollution
3NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Control Board (CPCB) has defined the numerous applications of these categories
under Guidelines for Disposal of Plastic Waste, 2017.
4
According to a Centre for Science and Environment (CSE) report titled ‘Managing
Plastic Waste in India’, the plastic in polystyrene (PS) and other categories are non-
recyclable and a threat to the environment. In addition, industries generating
plastic waste, commonly known as pre-consumer waste, need as much attention as
post-consumer waste. Various manufacturing industries across the globe produce
400 million tonnes of plastic waste per year, with the packaging industry being the
largest contributor. According to a report by FICCI, 40 percent of the packaging
needs in India are fulfilled using plastic.
5
The Plastic Waste Management Rules,
2016 and 2018, mention the extended producer responsibility (EPR) approach,
which gives producers substantial responsibility (financial and/or physical) for the
treatment and disposal of post-consumer plastic waste.
4. CPCB’
http://cpcb.nic.in/uploads/plasticwaste/Consolidate_Guidelines_for_disposal_of_PW.pdf
5 https://ficci.in/spdocument/20690/plastic-packaging-report.pdf
PET
HDPEOTHERS
LDPEPS
PVCPP
POLYETHYLENE
TEREPHTHALATE
Bottles, carry bags,
recycling bins, base
cups
HIGH-DENSITY
POLYETHYLENE
Various containers,
dispensing bottles,
wash bottles
LOW-DENSITY
POLYETHYLENE
Milk pouches, plastic bags,
water bottles, soft drink
bottles, food jars, plastic
films, sheets, furniture,
carpets, panelling
POLY-VINYL CHLORIDE
Pipes, hoses, sheets,
wire cable insulations,
multilayer tubes,
window profile, fencing,
lawn chairs
POLYPROPYLENE
Disposable cups,
bottle caps, straws,
auto parts, industrial
fibres
POLYSTYRENE
Disposable cups,
glasses, plates,
spoons, trays, CD
covers, cassette
boxes, foams
Thermoset plastics,
multilayer and
laminates, nylon
SMC, FRP, CD,
melamine plates,
helmets, shoe soles
Figure 2 Types of plastics and their applications. Source: MoEFCC Rules on PWM
4NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management For sustainable PWM, all stakeholders from the private and public sectors,
communities and other organizations need to adopt the circular economy
approach, thereby reducing and offsetting the plastic waste going into landfills
and posing serious threats to our environment, economy and health. The
next section will look at the conceptual framework of the circular economy,
including the business case for the plastic waste sector and enablers and
barriers in India for this concept.
1.2 Conceptual framework of a circular economy
Since the second industrial revolution, our economy has been linear, working
on take-make-use-dispose principles. On the one hand, this has resulted in
increased economic benefits and prosperity, but on the other hand, it has
also led to the overuse of resources by promoting a ‘use-and-throw’ approach.
According to the Circular Gap Report 2021
6
, 100 billion tonnes of different
materials enter the Earth every year. This model not only leads to environment
degradation and resource depletion, but it also increases the cost of products
by disturbing the material supply system. This results from fluctuating raw
material prices, low materials availability, geopolitical dependence on different
materials and increasing demand.
To address this issue, we need to focus on resource efficiency by adopting a
circular economy. The circular economy is defined as an alternative to the linear
‘take-make-waste’ approach. It seeks to design out waste, regenerate natural
ecosystems and keep materials and products in use for as long as possible.
To this end, resources are not consumed and discarded, destroying their
value. Rather, their value is retained by reusing, repairing, remanufacturing or
recycling.
7
The circular economy entails new business models, strategies and
innovations focusing on the optimization of processes and products. Adopting
a circular economy results in extended life of products and assets by recycling/
upcycling end-of -life products and closing the loop.
1.2.1 Enablers and barriers to circular economy
in India
In the Indian context, a circular economy can play a significant role in achieving environmental goals at the national and international levels, promoting
sustainable ways to do business and limiting the over-extraction of natural
resources.
The Indian Government has taken steps to mandate EPR under the Plastic Waste
Management Rules 2016. EPR incorporates circularity by making producers
responsible for the collection and processing of a product till the end of its
6 https://drive.google.com/file/d/1MP7EhRU-N8n1S3zpzqlshNWxqFR2hznd/edit
7 https://www.ellenmacarthurfoundation.org/circular-economy/what-is-the-circular-economy
The circular economy
is defined as an
alternative to the linear
‘take-make-waste’. It
seeks to design out
waste, regenerate
natural ecosystems
and keep materials
and products in use
for as long as possible.
To this end, resources
are not consumed and
discarded, destroying
their value. Rather,
their value is retained
by reusing, repairing,
remanufacturing or
recycling.
5NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management life. Organizations and industries are partnering with government stakeholders to
implement integrated models focusing on a circular economy. In addition, to support
the circular economy, emphasis has been laid on drafting policies and missions such as
the Swachh Bharat Mission and Solid Waste Management Rules 2016, which focus on
recycling resources.
For economies across the globe, adopting a circular economy can help achieve various
Sustainable Development Goals (SDGs) directly or indirectly.
1.2.2 SDGs linkage
Figure 3 SDGs linkages through effective plastic waste management in a city
Income of the waste
pickers increased
Empowering women waste pickers through inclusion
and improved
livelihoods
Circular economy of waste, innovation in technology, energy recovery, and promoting extended
producer’s responsibility
Reducing landfill,
reduction in greenhouse
gases, marine litter, and
safe handling of waste
Collaboration,
engagement,
partnership at
every level
Plastic waste management brings a unique cross-cutting
opportunity to contribute towards 14 of the 17 SDGs; bring more
integration of various stakeholders to mutually invest for the cost
to environment and natural capital.
1.3 S
scenario
Globally, plastic pollution has emerged as a serious menace in the absence of streamlined
PWM focusing on reuse, reduction, and recycling of plastic waste. The global recycling
6NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management percentage is low, only 9 percent, and this calls for immediate
and integrated actions to manage plastic globally and focus on
recycling or upcycling. All developed and developing countries
are individually taking actions to manage plastic waste, but the
onus is mainly on developing countries.
According to a report on PWM released by Ministry of
Housing and Urban Affairs
8
, the global average of plastic per
capita consumption is 28 kg and India has a per capita plastic
consumption of 11 kg. The CPCB Report (2019-20)
9
states that
3.4 million metric tonnes of plastic waste are generated in India
annually. 1.4 Rules and guidelines –
plastic waste management
To address the challenge of the mounting waste crisis in the country, India
started setting up its regulatory framework on waste management almost two
decades ago. In 2000, the Ministry of Environment, Forests and Climate Change
notified the first-ever law on waste management in the form of the Municipal
Solid Wastes (Management and Handling) Rules.
10
Since then, the country’s waste
management regulations have developed in several aspects and undergone a
massive transformation. RulesLink to Access
Municipal Solid
Waste Management
Rules, 2016
https://cpcb.nic.in/uploads/MSW/SWM_2016.pdf
Plastic Waste
Management Rules,
2016 and 2018
*Amendment 2021 yet
to be notified on CPCB
website
https://cpcb.nic.in/displaypdf.php
?id=cGxhc3RpY3dhc3RlL1BXTV9HYXpldHRlLnBkZg==
8 http://164.100.228.143:8080/sbm/content/writereaddata/SBM%20Plastic%20Waste%20Book.pdf
9 https://cpcb.nic.in/uploads/plasticwaste/Annual_Report_2019-20_PWM.pdf
10 Municipal Solid Waste ( Management and Handling) Rules 2000
The CPCB Report
(2019-20) states that
3.4 million metric
tonnes of plastic
waste are generated
in India annually.
7NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management WHAT IS EXTENDED PRODUCER RESPONSIBILITY?
EPR refers to the responsibility of producers and brand owners to manage the
disposal of products post use. It is a kind of reverse collection system ensuring
recycling for end of life, post-consumer waste. It is based on the famous and
important international environmental law principle of Polluter Pays, which implies
that the one who pollutes must pay for keeping the environment clean and intact.
EPR
WHAT ARE PROs?
PROs are professional organizations entrusted with the responsibility of managing plastic waste under the principles of EPR enshrined in the Plastic Waste Management Rules 2016. They must mandatorily register themselves with the
CPCB.
PROs
WHAT IS A BUY BACK MODEL?
Buyback is an emerging model for managing plastic waste where the original
seller of the goods buys them back post-consumer use.
BUY
BACK
The global recycling
percentage is only
9 percent. There
is an urgent need
for immediate and
integrated actions
to manage plastic
globally and focus
on recycling or
upcycling. To address
the challenge of
the mounting waste
crisis in the country,
India started setting
up its regulatory
framework on waste
management almost
two decades ago.
8NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Overview of municipal solid waste management in a city
The Solid Waste Management Rules 2016 have given an important responsibility
to urban local bodies (ULBs) to manage the municipal solid waste (MSW) at the
city level. The MSW is collected from different sources of generation: households,
offices, public institutions, and organizations. The waste is further divided into
different categories as seen in figure 4 with the available processing procedures.
IMPLEMENTATION OF PWM IN A CITY 2 Figure 4 Characterization of Municipal Solid Waste. Source: CPCB
This handbook focuses on the efficient management of plastic waste in Indian cities. The
process of setting up a PWM model has been divided into four components, and these
components together act as a step-wise guide for ULBs. Every component is supported
by case studies from across the country to provide a practical understanding of the
various operations. These components are as follows:
fComponent 1: Technical model for plastic waste recycling and management
fComponent 2: Material recovery facilities (MRFs) for improved PWM implementation
fComponent 3: Institutionalization of MRFs in governance bodies
fComponent 4: Information, education and communication (IEC) and digitalization
2.1. Component 1 : Technical model for plastic
waste recycling and management
This section discusses the decentralized dry waste management model, emphasizing PWM, and recycling. The door-to-door collection of municipal
solid waste is handled by authorized agencies or contractors from sources
such as households, condominiums, institutions, commercial buildings, etc.
The waste is then transferred to small collection points called decentralized
dry waste centres or transfer stations of ULBs. The waste at these transfer
points is finally sent to MRFs.
Incoming waste is segregated at the MRF into dry and wet waste. The wet
waste is processed and sent for composting, biogas generation and the
residue is dumped in landfills. The dry waste is further segregated into different
categories including plastics. Recyclable materials are sent for recycling and
non-recyclables are treated for the end-of-life cycle. The flow of the process is
depicted in figure.
CENTRALIZED TREATMENT
Controlled Incineration
CENTRALIZED TREATMENT
Controlled Incineration
• Used sanitary napkins
• Used diapers
HAZARDOUS HOUSEHOLD WASTE
• Solid waste generated from
hospitals and nursing homes.
BIOMEDICAL WASTE
MUNICIPAL
SOLID WASTE
CENTRALIZED
TREATMENT
—Composting
—Bio-methanation
CENTRALIZED
TREATMENT
Sorting,
Segregating &
Recycling
BIODEGRADABLE
MUNICIPAL WASTE
• Kitchen waste
• Cooked & uncooked waste
• Vegetable market rejects
• Garden waste
MUNICIPAL DRY
WASTE
• Paper
• Plastic
• Glass bottles
• Household rejects
• Post-consumer
packaging waste
• Old clothes
• Worn out shoes, belts etc.
10NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management 2.1. Component 1 : Technical model for plastic
waste recycling and management
This section discusses the decentralized dry waste management model,
emphasizing PWM, and recycling. The door-to-door collection of municipal
solid waste is handled by authorized agencies or contractors from sources
such as households, condominiums, institutions, commercial buildings, etc.
The waste is then transferred to small collection points called decentralized
dry waste centres or transfer stations of ULBs. The waste at these transfer
points is finally sent to MRFs.
Incoming waste is segregated at the MRF into dry and wet waste. The wet
waste is processed and sent for composting, biogas generation and the
residue is dumped in landfills. The dry waste is further segregated into different
categories including plastics. Recyclable materials are sent for recycling and
non-recyclables are treated for the end-of-life cycle. The flow of the process is
depicted in figure.
Figure 5 Municipal waste processing in India
HOUSEHOLDS, INSTITUTES, ORGANIZATIONS
SMALL COLLECTION POINT
TRANSFER STATION
MATERIAL RECOVERY FACILITY
DOOR-TO-DOOR COLLECTION
TRANSPORTATION
COMPOSTING BIOGAS LANDFILLSEGREGATION
RECYCLING
MARKET
LANDFILL
WET WASTEDRY WASTE
UNDP is implementing
an integrated model
to develop the MRF
waste eco-system in
the country. The model
promotes an inclusive
approach by involving
different stakeholders
and ensuring social
benefits to the waste
pickers.
Building on this process, UNDP is implementing an integrated model to develop
the MRF waste eco-system in India. The model promotes an inclusive approach
11NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management by involving different stakeholders and ensuring social benefits to waste
pickers. The schematic diagram of the model is detailed in figure 6. The details
of its development and implementation are covered in sections ahead.
Figure 6 Technical model for MRF waste eco-system
MATERIAL RECOVERY FACILITY WASTE ECO-SYSTEM
PWM INTERVENTIONS
MUNICIPAL WASTE VALUE CHAIN
Material Flow
Data Flow
Waste Generators
Institutions and
Organizations,
Schools & Colleges,
Municipality,
Community, Industries,
Hotels, Restaurants,
Commercial Places
Plastic
Consumers-Brand
Plastic Resins
Manufacturers
Municipal Waste
Collection with Registered
Waste Pickers
Informal Waste
Pickers
Decentralized
Waste Collection
Centres
INFORMAL WASTE VALUE CHAIN
Material
Recovery Facility
Kabadiwala
Scrap Yard
Pre-Consumer
Waste & Plastic
User Industries
RECYCLER
Wholesaler
Set up
MRF,
ensure
operations
Register
waste
pickers, social/
financial
inclusion
Data
management
and financial
inclusion of
kabadiwala/
scrap yard and
wholesaler
Set up
Material
Recovery
Facility
and ensure
operations
Data
management
reporting and
traceability
12NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management I. De
A baseline assessment would help assess the overall negative impacts (envir-
onmental and health) of plastic waste and look at the current practices and
gaps in achieving sustainable waste management. As a first step, cities need
to develop a baseline inventory (for the format see Annexure I) covering the
following components.
fInventory of different categories of plastic waste generated, such as PET, HDPE, LDPE, PP, PS, PVC. See figure 7 for the categories based on their
identification codes.
11
fDetailed mapping of the complete lifecycle of plastic waste up to the end-
of-life stage, starting from collection, segregation, recycling, and other
available options. This also includes situational analysis of the existing
system by including waste pickers and their value in the supply chain.
II. Enabling environments for the creation of plastic waste recycling at the
city level : Once the baseline study and assessment has been conducted, the second step involves enabling an environment for waste recycling.
fA waste management agency/organization should be chosen at the city level based on a pre-defined selection process by authorities. This
organization will be involved in the model as a key stakeholder as they
will facilitate the implementation of plastic recycling processes in the city.
fPost selection, training and exposure programmes for the shortlisted organization should be conducted utilizing training materials, including
key learnings and challenges.
fTraining and/or exposure programmes should be conducted for all
other stakeholders, including ULB officials, self-help groups (SHGs), state
pollution control boards (SPCBs) and communities etc. The training
programme should focus on adequate knowledge sharing to develop
implementation plans.
fExposure visits should be organized between government and private players to strengthen inter-institutional learning and knowledge exchange.
fULBs could provide the land to set up an MRF, which could be used by various industries to set up infrastructure for efficient PWM.
fIn addition, workshops could be conducted to ensure sustainability of effective plastic waste recycling practices adopted and encourage
knowledge sharing.
11 Most p
of plastic polymer types, identifiable by their resin content label. This label is referred to as RIC (Resin
Identification Code), and it represents the recyclability preference for each polymer. It is symbolized by
a number (depicting preference with 1 being the most preferred) and three “chasing arrows”.
MATERIAL RECOVERY FACILITY WASTE ECO-SYSTEM
13NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Figure 7 Categories of plastic. Source: American Chemistry Council
Note: Images are used for illustrative purposes only, and have been sourced via Google Images
OTHER
10 or 20 liters
reusable water
cans
Custom
packaging
OTHER
POLYPROPYLENE
Containers for takeout meals
Medicine bottles
Bottle caps
Yogurt containers
PP
POLYSTYRENE
Food service
items, cups,
plates, bowls,
cutlery, egg
cartons
PS
LOW DENSITY
POLYETHYLENE
Plastic bags for breads, frozen
foods. household
garbage
Squeezable
bottles
Coating for paper
milk cartons and
beverage cups
LDPE
POLYETHYLENE
TEREPHTHALATE
Plastic bottles for soft drinks, water, juice,
beer
Food jars for jelly and
jam
Microwavable food
trays
PET
POLYVINYL
CHLORIDE
Rigid packaging
like blister packs
Flexible
packaging like
blood bags.
medical tubes,
Food wrap,
vegetable oil
bottles
PVC
HIGH DENSITY
POLYETHYLENE
Bottles for milk,
cosmetics,
shampoo,
household
cleaners
Cereal box liners,
oil bottles
HDPE
14NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management III. S
T
formal partnerships.
fULBs with the support of multilateral agencies should conduct surveys to
identify and select stakeholders at the city level. The different stakeholders
include ULBs, waste management agencies/organizations, waste pickers, bulk
waste generators (BWGs), waste aggregators and back-end recyclers.
fBased on discussions between the waste management agency/organization, ULB and other relevant stakeholders, wards should be selected to pilot the
systemic approach, which can then be replicated across wards in the city. A
certain number of waste pickers should be linked to collect plastic waste in
every ward/city.
fThe agreements to be obtained will include:
~A signed agreement between the authorities and the waste management agency/organization to operate recycling activities (collection, segre-
gation, recycling, etc.) through waste pickers and manage transfer stations
and main recycling unit, i.e., the MRF.
~A signed agreement between recyclers/co-processing units and waste pickers for the collection and segregation of plastic waste at pre-defined
price rates.
~A signed agreement between implementing agencies and local munici-
palities to provide land and set up recycling centres on the availability of
resources like land, space, and machinery.
~Mutually signed agreements with different stakeholders involving end-of
life processors.
2.1.1 R
Below are recommended timelines for the completion of Component 1. The overall activity should be completed within four months.
Activities Month I Month 2 Month 3 Month 4
Development of a baseline system of
PWM at the city level
Enabling environments for the creation
of plastic waste recycling at the city
level
Stakeholder identification and
partnerships
15NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 2.1.2 Case Studies
NO LONGER GOING TO WASTE: MADHYA PRADESH SHOWS THE
WAY FOR INTEGRATED PWM
The city of Indore, which is home to almost 2 million people, generates 900–1,000
12
metric tonnes of waste every day, 14 percent of which is plastic, and this is enough to
fill five to seven shipping containers. The city of Bhopal generates around 800 metric
tonnes of waste per day. It is no surprise that urban waste management is one of the
top priorities of the Government of India, and that local and affordable innovations in
this sector are highly valued.
In this context, the concept of the ‘circular economy’ – an economic system intended to
12 https://www.smartcityindore.org/solid-waste/
1
16NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management eliminate waste and the ever-increasing use of resources – offers a pathway
to more sustainable resource management. It means reduced production,
use and disposal of plastics. Through the single, powerful objective of
reduce > reuse > recycle, waste collectors in Bhopal and Indore are working
to prevent cast-off plastic from entering the environment in the first place.
A plastic waste revolution
In Bhopal, ULBs in partnership with a local organization, have been working
with waste collectors since 2008 to streamline plastic waste collection
and sales to recyclers. The organization initially developed a sustainable
integrated waste management system for five wards in Bhopal, which
served as a model for the creation of a PWM policy at the state level in
2011. This model, now known as the ‘Bhopal model’, has been replicated
in all states across India (and even onwards to Bangladesh). This innovative
model recycles and processes plastic and reuses it in the construction of
roads, benefiting over two million people.
Waste pickers collect and hand over plastic waste to collection centres run
by the Bhopal Municipal Corporation. The plastic waste is scanned and
segregated, and most single-use plastics – which comprise half of all the
plastic in this waste stream – are shredded and baled.
The bales are then taken for co-processing at cement kilns or used to
build roads. It’s a win-win situation: for waste-collectors – one of the more
vulnerable communities in Indian society – because it doubles their wages
and ensures that something useful is done with the plastic litter. In 2010,
in close collaboration with the Bhopal Municipal Corporation, UNDP’s
Small Grants Project (SGP) provided an initial grant that enabled a local
organization to conduct focussed interventions in five wards. Part of the
interventions included organizing waste pickers into SHGs. In 2014, the local
organization was awarded another SGP grant to mobilize more than 2,000
unorganized waste pickers in 70 wards of Bhopal Municipal Corporation.
Lending legitimacy
A crucial element of the project’s success was the organization’s partnership
with the ULBs and local industries. Through the SHGs, the waste collectors
– many of whom are socially marginalized and illiterate women – were
organized and trained in waste collection and recycling activities.
The majority of these waste collectors have been provided with municipal
identity cards and uniforms through this project. While improving their
livelihoods and protecting the environment, these women contributed
approximately 10 tonnes of plastic waste collected at five recovery centres
in Bhopal every day, which was recycled by cement industries in and around
the city.
‘I’ve been sorting waste
for 15 years. Polythene
bags, glass, plastic,
and more: we pick
up all of this stuff of
the roads. We used
to collect dirty plastic
bags from the street
and the plastic traders
would offer us less
money per kilogram
because the bags
were dirty. And people
would stop us from
collecting trash and tell
us to leave their colony.
Now that we work with
the municipality, no
one tells us to stop. In
fact, they now ask us
to come and pick up
waste’
- Meera Gosai,
waste picker.
17NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management By the end of 2016, 646 waste pickers in Bhopal were organised into 42 SHGs.
More than 60 percent of these waste pickers are women, who earn a daily living
from selling plastic waste. Forty members from the various SHGs have also been
trained in making bags out of used polythene, which are sold in exhibitions across
India. The success of the Bhopal project led to the establishment of a pilot plastic
recovery centre in Indore, and as a result, 3,500 waste pickers were organized into
SHGs. In addition, given the occupational hazards involved, the local organization
also conducted regular health camps, and over 850 waste collectors are now
enrolled in health insurance schemes.
From waste collection to waste recovery
By collaborating with local government bodies, the Bhopal Municipal Corporation
allocated 230m
2
of land for waste collection centres. The Madhya Pradesh Pollution
Control Board facilitated waste transportation to cement kilns, and the Bhopal
Municipal Corporation provided 850 cycle rickshaws to the local organization to
enable easier waste collection.
In 2014, five plastic waste collection centres in Bhopal were upgraded to plastic
waste recovery centres. This included fitting the centres with plastic shredders,
compressor scrap baling machines, and other necessary machinery. The centres
are facilitated by the local organizations and managed by the women SHGs.
Approximately 10 tonnes of plastic waste are collected at these centres every
day. Around 45 tonnes of plastic waste is sold to cement industries in and around
The Bhopal Municipal Corporation
has a robust GPS-enabled vehicle
tracking system for door-to-door
collection of the waste. These
vehicles have been allocated unique
ID numbers and have designated
zones from which they collect waste
from households. This link is for the
page from where the movement of
vehicles can be tracked:
http://incubategps.in/bmc.html
Such initiatives ensure transparency,
efficiency, and accountability.
18NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Bhopal to be used as fuel in the furnaces. Around 60 tonnes of plastic waste is
sold to the Madhya Pradesh Rural Road Development Authority every month to
be used in road construction.
On the road
One of the most environmentally sensitive and economically useful means of
repurposing plastic waste is using it in road-making. Higher-grade polyethylene
is baled and sent to cement plants to be used as alternate fuel. These are
non-recyclable plastics and can burn with coal at temperatures >1,300°C. In
collaboration with the local organizations, the SHGs in Bhopal, who manage the
plastic recovery centres, constitute small enterprises via the sales of processed
plastic wastes to recyclers, road construction agencies and cement factories.
Roads made with mixed plastic are highly durable due to their high resistance to
water, which is significant for a region with an extended monsoon.
2
KARNATAKA: A TEXTBOOK MODEL FOR SUSTAINABLE PWM
Saahas Waste Management Pvt. Ltd. (Saahas Zero Waste, SZW) is a social enterprise, offering integrated waste management services to BWGs, corporations, apartments
and government institutions. SZW offers plastic waste services to corporations
through its EPR vertical.
The model currently provides consultancy services to help implement a holistic,
decentralized waste management system, enabling the recovery of maximum
value from waste. SZW has an ongoing project being implemented in these four
locations: Udupi, Ramanagara, Mangalore and Ballari. This project entails the
design and construction of an MRF, a semi-mechanized facility which receives and
processes dry waste from BWGs, gram panchayats and ULBs. The set-up of the MRF
entails capital expenditure, including investments in infrastructure, monitoring
devices, material handling and safety equipment etc. The operating expenditure is
recovered through collecting a user fee from waste generators, which is charged by
the municipal corporation. SZW engages with ULBs towards the implementation
of EPR by securing authorizations for collection of plastic waste pan-India.
Key highlights of the model
fEnd-to-end service: Sahaas offering holistic services including EPR
registration, design of action plan, implementation of EPR, quarterly project
report submission, reporting and fulfilling audit requirements.
fReverse logistics: Saahas has a well-defined reverse supply chain that allows
the effective transportation of post-consumer waste to the authorized end
destinations.
fRejected product collection services: SZW supports brands/producers in the
collection and safe disposal of their expired/damaged products.
19NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management IMPACT OF THE MODEL
• 20,300+ metric tonnes
(MTs) of waste diverted
from source to authorized
end destination.
• 37,000+ MTs of CO
2
emissions averted.
• 200,000 trees every year
saved due to recycling paper.
• 252 people employed
from lower socio-economic groups.
• F
management and inclusion of informal workers.
fTraceability tool: SZW has developed tools for traceability, data monitoring
and the digitization of data through software platforms and Internet of
Things and for the computer-assisted sorting of waste, etc.
fImpact measurement: SZW is a member of UNDP’s Business Call to Action,
through which impact metrics is demonstrated for each EPR plastic waste
collection centre. These impact metrics are aligned to the SDGs.
20NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Implementation process of the model
The stages of PWM implementation include:
fMapping the supply chain
fEnrolling waste pickers/scrap dealers/micro entrepreneurs and transporters
fIssuing purchase orders, SOPs and registering vendors with end destinations
fData capturing for waste collection
fDispatching plastic waste to authorized end destinations for recycling/co-
processing
fProviding data reconciliation and obtaining recycling/co-processing certi-ficates from end destinations
THE RECYCLING MODEL IN SURAT: ENSURING SUSTAINABLE
PWM WITH MULTI-STAKEHOLDER PARTNERSHIPS
Surat is one of the busiest and major commercial hubs in the country. As per
the Surat Municipal Corporation (SMC), the city has a population of more than
60 lakh people, and it generates almost 220 MTs of plastic waste every day. With
guidance from the SMC, Ecovision, an environmental resource management
consultancy firm, has been managing plastic waste in the city efficiently.
Working closely with the SMC, it has emerged as a single point of integration for
PWM initiatives in the city.
Ecovision manages nine MRFs in Surat and handles 65 to 70 MTs of plastic waste
every day. It has developed a strong network of collection channels with the
help of door-to-door agencies, residents’ welfare associations, waste pickers and
more. Ecovision has also set up nine separate collection centres at BWGs such as
commercial stores, shopping malls and airports. The Company’s collection rate has
increased from 10 tonnes per day (TPD) of plastic waste in 2019 to 70 TPD in 2020.
Ecovision has also partnered with academic institutions like the Indian Institute of
Management, Ahmedabad, Pandit Deendayal Energy University, Central Institute
of Petrochemicals Engineering & Technology (CIPET), etc. Ecovision is also working
on a tripartite community engagement model between educational institutes,
citizenry and corporates. With the help of these associations, Ecovision has been
designing artificial intelligence and digital-powered tools to clean waterbodies
and streets among several other initiatives.
It works with more than 400 waste pickers and is working to bring them all under
the ambit of the Workmen’s Compensation Insurance Scheme. It is also closely
coordinating with the SMC to ensure that these waste pickers have access to
social security schemes and benefits like healthcare, education facilities, etc.
During the pandemic, the organization also provided families of waste pickers
with cooked meals and is now helping them with COVID-19 vaccination.
3
21NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management IMPACT OF THE MODEL
1. T
of plastic waste to 70 TPD.
2. W
Ecovision ensures they are linked to social
protection schemes.
3. R
now active in other cities of Gujarat as well, managing 40 percent of Gujarat’s plastic waste.
PANAJI’S 16-WAY SEGREGATION APPROACH SHOWS A NEW
MODEL FOR SEGREGATION AT SOURCE
As an urban tourist city, Panaji generates around 42 TPD of waste. After segregation,
the wet waste is composted, while the recyclable dry waste is sent to recyclers and
the non-recyclables to cement factories as refuse-derived fuel for co-processing.
The city has implemented an innovative model for a 16-way segregation at
source. Once segregated, the waste goes through different streams of recycling
and resource recovery, therefore drastically reducing the waste that ends up in
landfills. This system is cheaper, requires minimal manual or mechanical sorting,
reduces the burden on the environment and the stretched waste system. More
importantly, this innovative system reduces the occupational health risks for waste
pickers who segregate the waste at MRFs.
4
22NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management ZERO WASTE TO LANDFILL
Mandatory
segregation
at source
Small residential, commercial
establishments - mixed dry
waste
COLLECTION AND
TRANSPORTATION
OF WASTE BY THE
CORPORATION OF
THE CITY OF PANAJI
Large residential, commercial
establishments -16 way
segregated dry waste
Transported
to Sorting
Stations
Transported
to MRF
16 -Way Dry waste
segregation (Paper, Plastic,
Glass, Metals etc.)
MATERIAL RECOVERY
FACILITY
Segregation into
32 fractions. Plastic
processing using
machine like shredders,
extruder.
Plastic waste sent
to recycling centre
in city to create new
products like masks,
helmets, furniture
RECYCLING CENTRE
DECENTRALIZED SORTING STATIONS
Non plastic fractions
sent to registered
aggreegators and
recyclers
Non-recyclables sent
to cement factories
for co - processing
So far 60 percent (101) BWGs and housing societies have been reached and sensitized on the 16-way model. Forty-two of them have completed or in process of implementing the model. The buy-back system has been started in 33 entities.
Figure 8 Panaji’s 16-way
waste segregation approach (Left) Source: Panaji Municipal Corporation
Figure 9
Implementation process
for 16-way segregation
(Down)
Source: Panaji
Municipal Corporation
23NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management The Panaji Municipal Corporation (PMC) in collaboration with the recycler, 21 Century
Polymers, Mineral Foundation of Goa (organizations) and UNDP has targeted and
onboarded 152 BWGs under the programme. Subsidies have been worked out with
ULBs to reduce the capital cost of the infrastructure required for 16 bins. A buy-back
system of dry waste has been introduced to incentivize those undertaking 16-way
segregation. This will help offset implementation costs and generate long-term
return on investment.
In October 2020, the PMC made 16-way segregation a part of the Solid Waste
(Management and Handling) bylaws of the city, making it mandatory for all BWGs to
follow the model.
DIVERTING 52 PERCENT OF PLASTIC WASTE AND SAVING RS 900
MILLION: WOMEN-LED SWACH REMAINS THE BEST EXAMPLE OF
THE INFORMAL SECTOR LEADING WASTE MANAGEMENT
Pune based SWaCH is one of the country’s oldest and first cooperatives owned by
a self-employed waste pickers association. With more than 3,000 members, SWaCH
has created a robust model that not only negotiates with the government as an
equal stakeholder but has also succeeded in securing livelihoods for Pune’s informal
waste workers.
It primarily focuses on providing the best waste collection services in compliance
with waste management laws and securing/upgrading the livelihoods of waste
workers. SWaCH workers go door-to-door to collect recyclable waste, engage in
manual segregation of recyclable waste at the premises of the waste generator and
then sell these recyclables to small and medium scrap shops, which recycle these
into new products.
The workers are entitled to a user fee from the waste generators for the waste
management services provided by them. The Pune Municipal Corporation also
provides these workers with health insurance and identity cards, a major step in
ensuring they have recognition and social protection.
SWaCH engages in behavioral communication and education activities with RWAs,
and it manages two helplines: one for members of the cooperative and the other for
the complaints by residents.
Women comprise over 80 percent of the organizational membership, and there
is strong representation from the scheduled castes and other backward classes.
The recognition provided by SWaCH has empowered cooperative members from
these communities and has minimized their exposure to social vulnerabilities like
exploitation and harassment.
Started with just 50,000 properties in 2005, SWaCH has served more than 640,000
properties with 3,076 members in Pune until 2018. Today, it collects 30,000 tonnes
of plastic waste every year, of which 15,000 tonnes are sorted and sent for recycling.
5
24NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 2.1.3 R
The below given figure illustrates the role of different stakeholders for completion
of Component 1.
The Urban
Local Bodies
will support
the model
by allocating
the land and
machinery
support.
The selected
local organization
will manage
the complete
management
of plastic waste
recycling from
collection
to recycling.
This will act
as the main
implementing
agency for
running the
various models.
The multilateral
can act as
facilitator of all
the activities
mentioned in
the component.
They will provide
knowledge and
technical support
for facilitation
of the process
with focus on
sustainability
and social
inclusion.
The brand
owners or
industries can
play a major role
by providing
the financial
investment and
support to set
up the MRF in
selected cities.
This can be
considered
under the EPR
of particular
industry or
company.
Waste pickers
will provide
support in
collection and
segregation of
the waste from
generators to
MRF.
The end
recyclers will
act as key
stakeholder to
bring market
driven approach
and producing
products based
on market
demand. The
end recyclers
will purchase
processed
material
from MRF for
recycling.
ULBs Organization MultilateralWaste Pickers End RecyclersPrivate Players
IMPACT OF THE MODEL
1. SW
tr
P
2. T
inc
25NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 2.1.4 Cross reference with PWM and SWM rules
of Government of India
Recommendations made under Component 1 are aligned to the Plastic Waste
Management Rules 2016 and 2018 and its amendments. Some of the key cross-
reference points can be accessed by referring to the following rules, and the page
numbers have been mentioned for easy reference.
fRule 5. Plastic waste management (page number 5)
fRule 6. Responsibility of local body (page number 5-6)
fRule 9. Responsibility of producers, importers and brand owners
(page number 7)
fRule 13. Registration of producers, recyclers and manufacturers (page number 9)
26NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Figure 10 Waste logistics and traceability model. Source: UNDP
Governance
Logistics Material Recovery Facility Logistics
Recycling partner
MunicipalityMRFOrganization
Organization
Segregation Collection
Organization
Community
engagement
Capacity building
of waste pickers
Secondary sorting
WASTE INFLOW
Re-aggregation Semi-processing
WASTE OUTFLOW
Organization
Recycling
Village panchayat
Municipality
Waste pickers
Citizens
2.2 Component 2: MRFs for improved PWM
implementation
MRFs are integrated waste management facilities required in a city to extract the
recyclables from the inflow of MSW. An MRF is powered by advanced machinery
and waste pickers to recycle all kinds of plastic waste along the value chain for
shipment to manufacturers or recyclers as raw material. The viability of the
process at the MRF completely depends on the quantum and market demand
of recyclables because it is both labour and energy-intensive. In an ideal waste
value chain system, an MRF plays a vital role in incorporating the circular economy
approach. Figure 10 represents the ideal logistical route of MSW from the source
of generation to an MRF to a recycling facility.
MRFs handle all kind of dry waste – separated at source and mixed – collected by
city municipal corporations/nagar nigams/nagar panchayats/BWGs or by waste pickers, aggregators, organizations and others. Recyclable materials received at
an MRF are sorted, cleaned, value added and transported to material-specific
recyclers. Non-recyclable low-grade plastic material are sent to end-of-life
processes. The dry waste generated at the household level or at municipal sources
will be collected through a door-to-door collection system and transported to an
27NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management MATERIAL RECOVERY FACILITY – MATERIAL FLOWCHART
COLLECTION OF WASTE
INFLOW OF MATERIALS (MIX DRY WASTE)
MUNICIPAL
COLLECTION SYSTEMS
WASTE PICKERS SWEEPERS
ITINERANT BUYERS
(AGGREGATORS)
PRIMARY SORTING OF MATERIALS (INTO 7 CATEGORIES)
MATERIAL RECOVERY FACILITY
MIXED PLASTIC
(HARD)
MIXED PLASTIC
(PANNI)
PAPER GLASS METAL
OTHER DRY
WASTE
REJECT
WASTE
SECONDARY SORTING OF MATERIALS (INTO 43 CATEGORIES)
KALA FUGA
MIXED
PLASTIC
(HARD)-I
WHITE
BOTTLE
GREEN
BOTTLE
COLORED
BOTTLE
BOPP
FUGA
KADAK
SOLE
MIXED
PLASTIC
(HARD)-II
PVC
TETRA
PAK
SILICON
SHEET
CLEAR
KADAK
COLOR
KODAK
CD
MIXED
PLASTIC
(PANNI)
HM
LD
PP WHITE
PP COLOR
BLACK PP
1 NO. LD
HD
LD MIX
MLP
PAPER
COLORED
WHITE
CARD-
BOARD
TISSUE
NEWS-
PAPER
METAL
GERMAN
ALUMINUM
DISH
ALUMINUM
CAN
ELECTRICAL
WIRES
E-WASTE
GLASS
BROWN
GREEN
WHITE
SHEET
MIX
OTHER DRY
WASTE &
REJECT
THERMOCOL
CLOTH
TYRE/TUBE
WAX
REJECT
WASTE
COLLECTION OF WASTE
COLLECTION OF WASTE
MUNICIPAL COLLECTION
SYSTEMS
WASTE PICKERSSWEEPERS
ITINERANT BUYERS
(AGGREGATORS)
Figure 11 MRF material flow chart. Source: CPCB
28NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management MRF. The segregated waste is then categorized in a wide range, and which will
then be recycled based on the quality of the waste.
MRFs have machinery and resources, which require efficient procedures for proper
operation, monitoring and evaluations. The manual and digital systems can be
used for weighing and recording incoming waste data daily. The waste is unloaded
at a designated point, and sorting takes place on a conveyor belt. The materials
recovered from the conveyor belt are further processed for value addition and
ease of transportation.
A. MRF designing criteria
MRFs are designed based on two important criteria which define processes and equipment.
i. P
ii. Q
S.No. Population Per day capacity of the MRF (max.)Required space
1 Less than 50,000 15 MTs of dry waste 2,000 sq. ft.
2 50,000 to 150,000 30 MTs of dry waste 3,000 sq. ft
3 Above 150,000 Centralized processing centre with multiple
decentralized dry waste collection centres
5,000 sq. ft and
above
Table 1 Types and sizes of MRF based on criteria
The conceptual layout plan for an MRF is shown in Figure 12 on next page. The
layout and design can be modified based on the city, population and the amount of
land available to construct the MRF. Cities with smaller populations can opt for one
MRF and cities with larger populations can build a centralized MRF with multiple
decentralized centres.
B. Site development, MRF construction and waste flows
For the site development of the MRF, the following steps need to be undertaken:
fSelection and allocation of location and site for the construction of MRF
fIdentification of waste logistics in the city and estimation of the quantum of dry waste
fCivil work specifications including preparation of design and drawings
fSelection of plant and machinery capacity for waste processing
29NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management
ÆCampus boundary
ÆShed boundary
ÆEntrance and exit
doors
ÆEmergency exit
ÆMachine layout (indicating machine input/output facing, placement of electric panel)
ÆWorking space
ÆPlatforms, working tables/benches, containers, etc. for all machineries as per process requirements
ÆForklift movement area (if required)
ÆElectric panel and layout
ÆOffice space
ÆClean space for waste pickers (lunch area and crèche)
ÆToilets
ÆHandwash area
ÆDrinking water cooler
ÆIncoming waste unloading area and a sorting area
Figure 12 Conceptual layout plan of MRF. Source: UNDP
8 8 88 8
8
8
8
6
15
15
15
444
4
12
12
12
10
10
25
30
10
12
Grill Gate-1
Drinking Water Filter
Cum Cooler
In Stock Storage 3
In Stock
Storage 2
In Stock
Storage 1
Office
Space
Out Stock
Storage 3
Out Stock
Storage 2
Out Stock
Storage 1
Alternate Grill Gate-2
Conveyor Belt
Phatka Machine
Fork Lift Movement Area
Common
Sitting &
Resting
Room
Gatta Machine
Aglo Machine
Shredder
Bailing Machine
Wash
Room
Wash
Room
Note: All dimensions in feet
...................... Machine Area
....................... Truck Loading-Unloading Area
MATERIAL RECOVERY FACILITY
110, 6
79, 19
Based on finalized design MRF construction includes:
30NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management
ÆStock storage and
description of storage
ÆFire extinguisher installation
ÆExhaust fan
ÆWeighbridge demarcation and
any other machines
expected in future
ÆWater/cooling
provision for gatta
(if required)
ÆInstallation of safety signages for the
location
ÆInstallation of MRF
information board
ÆInstallation of the dos and don’ts board
Once the infrastructure is completed, the estimation and linkage of waste inflows
and outflows need to be conceptualized and established. The waste inflow sources
and outflow process is represented in figure 13.
C. W
At an MRF, the inflow waste carrying vehicle is first weighed at the weighbridge
or weighing machine depending on the quantity of waste. The incoming waste is
recorded daily in manual and digital systems. The waste is unloaded at designated
points at the MRF and then sorted or segregated on a conveyor belt. The plastic is
segregated and separated based on the representation in figure 14.
31NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management • Municipal Collection
System
• Dry Waste Collection Centre
• Aggregators (Kabadiwala)
• Independent Waste Pickers
• Bulk Generators (Companies, Hotels, Markets, Shops)
• Pre-consumer Waste and Plastic User Industries
• Religious Places
• Educational Institutes
• Commercial Activities
• Baled PET
• PET recycler to yarns
• Shredded HDPE
• HDPE to Granules
• Shredded LDPE
• Road Laying Composite
• Gatta Material
• Agri-pipe Making Process
• Baled MLP, HDPE, IDPE
• Cement Kilns
Co-processing
• Rejects
• Safe Disposal to Landfill
• Other Dry Waste
• Connect to Appropriate
Recyclers
MATERIAL RECOVERY FACILITY
Figure 14 Plastic segregation representation. Source: CPCB Guidelines on Plastic Waste Management
PET
01
HDPE
02
Other
07
PS
06
LDPE
04
PP
05
PVC
03
Bottles
Trash Bags
Eyeglasses
Coffee Cup
Cling Wrap
Yogurt
Cups
Pipes
Jars
Shampoo
Bottle
CD/DVD
Food Box
Shopping
Bags
Disposable
Cups
Tote Bag
Medicine Jar
Soap Bottle
Baby Bottle
Plastic Cutlery
Flexible Bottle
Bottle Caps
Tile
Rope
HDPE Bucket
Frozen Food
Packaging
Tupperware
Shoes
PLASTIC
Figure 13 Waste inflow sources and outflow process
32NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management The sorted/segregated waste is cleaned using an air blower (phatka machine) to
remove the soil from the plastic. The cleaned plastic films/multi-layered plastics
(MLPs) are baled or shredded for value addition and for ease of storage and
transportation. The shredded plastic films are glued together and agglomerated
to form plastic lumps and then sold to recyclers as raw material for the manufacture
of various products. The baled plastic is stored or sent to cement kilns for co-
processing. The pictorial representation of the required equipment and the waste
management cycle at the MRF is shown in figure 15. The types and uses of the
equipment are given in table 2.
Equipment Uses
Conveyor Belt
A conveyor belt eases the process of segregation and reduces workload for
waste pickers.
Air Blower
An air blower is used to dry clean thin plastic/MLPs by removing dust and moisture. Air is blown through a channel to separate the dirty material and remove dust and moisture from the waste.
Shredder
Dry and dust-free thin plastic is shredded into 2–4 mm flakes. These shredders tear up the plastic into small pieces/flakes, preparing them for recycling into other products.
Agglomeration and
Extrusion
The material is agglomerated with frictional heat within a fraction of a second, right below the melting point, and this is a process of surface fusing. Valuable lightweight fused plastic particles are produced with minimum heat and thermo-
degradable damage.
Fused plastic produced from the agglomeration stage is fed through the feed
hopper into the barrel of the extruder. The material is gradually melted by the
heaters arranged along the barrel and is pushed forward by a mechanical screw
inside the barrel. The molten polymer is collected as a lump, cooled and stored.
Bailing Machine
A baling machine is used to compress high volumes of plastic waste/PET bottles into rectangular bales, which helps bind them. Bales are easy and safe to transport.
33NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Waste Inflow
Weighbridge
Conveyor Belt
Phatka Machine
Shredding
Machine
Aglo & Gatta
Machine
Bailing Machine
Forklift
Weighing
Machine
Resource
Outflow
Recycling
of Plastic/
Shredded
Plastic
Enterprises
Material
Recovery Facility
Figure 15 Waste management cycle at an MRF
Equipment Uses
Weighing Machine
This is a platform weighing scale with a built-in thermal printer and an auto
print facility. This means that this machine will provide a slip after weighing the
waste with the details fed by the operators (e.g., operator’s name/seller’s name/
product name along with the details of rate and cost).
Weighbridge
A weighbridge, or railroad scale, is a large set of scales, usually mounted permanently on a concrete foundation, used to weigh entire collected waste in the vehicle.
Table 2 Waste processing equipment and their uses
34NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management D. Elements of the MRF
For an MRF to be economically sustainable, it needs to be equipped with processes and
protocols which not only address dry waste management but also create a sustainable
ecosystem for resource efficiency, environment compliances, basic amenities, health and
safety and a socio-economic support system for key players such as waste pickers and
recyclers. The key elements to be considered at MRF are:
1) T
resource efficiency, reduced manual labour, environment-friendly practices and low rejects going to landfills.
2) D
and social management plan with a focus on:
—Fair wages, equality and justified working hours for waste pickers.
—A safe working environment including the provision of drinking water by installing a water purifier unit onsite, clean sanitation facilities for both male
and female workers, handwashing point with continuous water supply,
common rooms for changing clothes, and rest during breaks.
—Availability of a first-aid kit.
—Establishment of a children’s creche and safe play area at the site.
3) M
medical schemes such as:
—Ayushman Bharat Yojana
—Janani Shishu Suraksha Karyakaram
—Pradhan Mantri Matritva Vandana Yojana
4) D
—Safe workplace for women.
—Gender-inclusive workplace by involving women in management and leadership roles.
—Gender-responsive health education, including nutrition, pregnancy prevention and care.
—Menstrual health and hygiene.
—Prevention from gender-based violence.
5) F
a longer term by engaging in various schemes:
—Pradhan Mantri Jan Dhan Yojana (PMJDY)
—Pradhan Mantri Jeevan Jyoti Bima Yojana (PMJJBY)
—Pradhan Mantri Suraksha Bima Yojana (PMSBY)
—Atal Pension Yojana (APY)
35NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 2.2.1 S
The standard operating procedures (SOPs) listed in this handbook are indicative
and it is not mandatory for ULBs to follow the same pattern. Depending upon
the local conditions, ULBs may amend and implement the same.
SOP for waste management agency (Organization -
Responsibility & Working Conditions at MRF)
After allocation of the shed space to start an MRF, the organization needs to
ensure that the following tasks are completed.
Operational:
1. Onc
equipment can be finalized. The organization needs to set up the MRF with basic facilities like chairs, tables, etc. as soon as the MRF is handed
over for easy day-to-day operations.
2. S
3. S
4. Under
at least once a month.
5. A
(mukkadam) and five or six waste pickers after following a fair procedure
of selection.
6. T
and establishing the processes of the MRF, including record-keeping and planning and monitoring the overall operations. Setting up all the
necessary operations and systems with all production, dispatch and other
activities in place is their responsibility.
7. T
learn about the processes, machines and operations at the MRF. Training on recognizing the different grades of plastics for better segregation and,
in turn, better prices and recycling should be provided. The organization
should coordinate with respective stakeholders to schedule the training.
8. T
The norms and rates for different grades of plastics collected by the waste pickers should be agreed upon.
9. A plan to reach out to the various BWGs like schools, colleges, hotels,
RWAs, institutes etc. for the collection of dry waste. Organizations should make formal arrangements/letters of exchanges/agreements with these
BWGs for the periodic pick-up of dry waste.
36NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 10. Or
of the baled plastic waste, gatta (extruded plastic), etc. from the MRFs with
the recyclers.
11. C
plants and municipal corporations to supply shredded plastics for road construction.
12. A
level in a city during the collection of waste and other issues.
13. T
necessary approvals from the SPCB should be taken.
14. Each MRF must have boards displaying dos and don’ts, safety rules,
emergency contacts, information on gender equality, salary, insurance and other factors.
15. O
paper, glass, cloth, cardboard, wet waste and other medical waste if it comes. Similarly, recyclers needed to be finalized and rates agreed upon.
Occupational and Social:
1. A
insured by the organization.
2. T
They should also procure trunks and safes for the storage of documents and rolling money for the ease of operations at the MRF.
37NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 3. Childr
coverage.
4. I
healthy working environment. During the operation phase at the MRF, dust
emissions could be observed during the segregation and cleaning of thin
plastic waste. Proper exhaust ventilation needs to be designed and installed
at the MRF (especially near the phatka and gatta machines) to prevent the
dispersion of dust, fumes and gases into the air which will cause harmful
exposure. Such exhaust systems need to be designed so that dust, fumes or
gases are not drawn into the work area.
5. T
electric connection and fixtures, first-aid kits. Emergency contact numbers
should be properly displayed.
6. W
other related materials.
7. T
data should be collected and regular meetings should be conducted at least once in 15 days to assess, solve, and report issues faced by them.
8. F
bank accounts and register under social security schemes should be planned and conducted.
9. Nec
Data Monitoring:
1. R
entry registers, etc.
2. T
recorded separately in the bookkeeping. All sales and purchase data should be recorded separately.
SOP for documents for monitoring and record-keeping at
MRFs to be maintained by the organization
1. WThe weighbridge manufacturer (vendor) will provide the
software for generating the weighbridge slip.
i. T
operator after weighing vehicles.
ii. I
waste, waste quantity, source/area name from where waste was
brought, name of person/waste picker/institution that brought the
waste to the centre.
38NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management iii. T
signed by the weighbridge operator before handing over the original
weighing slip to the waste picker or the person bringing in the waste. The
second copy should be maintained at the MRF.
2. R
3. R
4. R
5. R
6. R
7. IFor every sale, a tax invoice should be raised at the time of
sale. The tax invoice will be in triplicate with the original given to the buyer, the second copy to the transporter, with the third copy being retained by the MRF
for verification.
8. OA gate pass must be maintained for the sale and dispatch
of processed products to the recyclers/ customers.
9. AA separate attendance register must be maintained for
the MRF staff and waste pickers.
10. The organizations/directors/officials concerned need to verify all the books being maintained at the MRF every week.
11. AA record of the breakdown of machinery and
preventive maintenance should be maintained by the organization. This record
can be maintained in a simple logbook/off-the-shelf-register onsite. The register
shall be maintained by the process in-charge/person concerned.
12. RAny accident at the MRF, fire incidences and safe man
working hours should be recorded. This record can be maintained in a simple
logbook/off-the-shelf register on-site. The register shall be maintained by the
process in-charge/person concerned.
a. G
vouchers numbered in files.
b. A
daily purchase of consumables/any payment to person/waste pickers or organization/waste aggregator must be recorded as per the format – on
daily basis (see Annexure III).
13. RAll expenditures should be logged by the organization.
a. P
dealer/waste collector in cash must be recorded accordingly.
b. I
scrap dealers/rejects/services, etc. must be recorded daily.
39NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management c. I
dealers, waste pickers and recyclers.
d. C
e. C
for different recyclers.
14. R
a. A general ledger should be maintained for revolving funds use and the timely
recovery/receipt of funds from recyclers so that purchases/sales are conducted
effectively.
b. T
organization in a separate account and is transparently managed.
c. T
expenditure can be taken from it.
d. Each organization should have a Goods and Services Tax (GST) number.
e. Or
supply (plastic scrap), and they should pay income tax on accrued incomes on a quarterly basis as per the national IT rules.
f. Or
proprietorship concerns in the Registrar of Companies (RoC).
SOPs for approaching BWGs
a. Iden
to dispose of the waste.
b. Upon acceptance, a letter of agreement between the organization and the BWG
should be exchanged and the BWG should be linked to the project.
c. D
arrange the collection from the BWG (on a weekly or monthly basis, etc.).
d. D
(if needed).
e. Issue a certificate (of plastic processing) to the BWG (if required).
2.2.2 R
of Component 2
Given below are the recommended timelines for the completion of Component 2. The overall activity should be completed within six months.
40NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Activities Month 1Month 2Month 3Month 4Month 5Month 6
Selection and identification
of location for setting up
MRF
Procurement of consent
forms and all legal
documentations
Site development and
construction
Procurement of machinery
and setting up systems as
per SOP
2.2.3 Case studies
TRIVANDRUM LEADS THE WAY TO STREAMLINE BULK WASTE
GENERATORS
An effort to manage solid waste generated by BWGs in Trivandrum was undertaken
by the Clean Kerala Company Limited (CKCL), who engaged in multiple discussions
6
Organization
Quantity of waste
managed (since the
date of agreement)
Types of materials managed
Machinery/
infrastructure
installed
Trivandrum
Central Railway
Station
127.27 tonnes
Food waste, food containers,
recyclable plastics, aluminium,
foil, paper cups, plastic
containers, newspapers, diapers,
brown cover, packaging (plastic
and paper), used clothes, glass
bottles etc.
Plastic shredding machine,
baling machine, air blower,
biodigester with conveyor
belt.
Government
Secretariat
194.7 tonnes
Plastics, e-waste, furniture,
particle board, metal, glass,
thermocol etc.
No machinery was
installed due to space
constraints. Materials are
aggregated regularly,
collected, and processed
in the district warehouse
maintained by CKCL.
Table 3 Overview of operations managed by CKCL in Kerala. Source: CKCL
41NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management with them to understand their challenges in PWM. Following this, the CKCL set up
a fully operational collection, segregation, storage and processing system in 2019.
As a pilot, CKCL started servicing three major BWGs in the city: the Vikram Sarabhai
Space Centre, the Trivandrum Central Railway Station and the Government
Secretariat. All three institutions generate large quantities of wet and dry waste,
most of which was either dumped in common grounds or burnt in open air.
CKCL entered formal partnerships with these organizations and implemented
decentralized, on-site waste management systems for them.
CKCL entered into agreements with private organizations as part of this model.
It manages operations and maintenance of the facility, and the organization bears
the finances of the programme (staff wages, stationery, safety equipment for staff,
etc.). This arrangement is mutually beneficial and involves sharing profits as well
as disposal costs.
Workforce requirements for CKCL initiatives are met by the Kudumbashree Mission,
the official poverty eradication mission launched by the Government of Kerala in
1998. CKCL’s waste management projects with these three BWGs has provided
decent livelihood opportunities for staff, especially women.
42NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 2.2.4 Role of stakeholders
This figure illustrates the role of different stakeholders in the completion of
Component 2
ULBs will
support the
model by
allocating land
and providing
machinery.
The local
organization
will manage
the complete
management
of plastic waste
recycling from
collection to
recycling. This
organization will
act as the main
implementing
agency for running
the various
models.
Multilaterals
can act as
facilitators for
all the activities
mentioned in
the component.
They will provide
knowledge and
technical support
for the facilitation
of the process
with a focus on
sustainability and
social inclusion.
The brand
owners or
industries can
play a major role
by providing
financial
investment and
support to set
up a MRF in
the selected
city. This can
be considered
under the EPR of
particular industry
or company.
Waste pickers
will provide
support in
collection and
segregation of
the waste from
generators to
MRF and within
MRF.
The end
recyclers will
act as key
stakeholder
to bring
market driven
approach and
producing
products based
on market
demand. The
end recyclers
will purchase
processed
material from
MRF for final
recycling.
ULBs Organizations Multilateral Private PlayersWaste Pickers End Recyclers
2.2.5 Cross reference with PWM and SWM rules of
Government of India
The suggestions made for implementation are cross-referenced with the Plastic
Waste Management Rules 2016 and 2018. Some of the key cross-reference points
can be accessed by referring to the following rules, and the page numbers have
been mentioned for easy reference.
f13. Registration of producer, recycler and manufacturer (Pages 9-10)
f5. Plastic waste management (Page 5)
f6. Responsibility of Local Body (Pages 5-6)
2.3 Component 3: Institutionalization of MRF in
governance bodies
Institutionalization of MRFs and waste pickers is important in order to make the model sustainable. Scalability, sustainability and self-sufficiency are the key pillars
contributing to the fulfilment of set targets. Additionally, the mainstreaming of
waste pickers results in improved recognition and socio-economic conditions
for them. In India, the responsibility of PWM lies with ULBs at the city level, and
43NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management MRFs and waste pickers need to be institutionalized by ULBs for long-term PWM
sustainability. The next section details the SOPs and guidelines, recommended
timelines, roles of different stakeholders and case studies focusing on the institu-
tionalization of MRFs and improved socio-economic conditions of waste pickers.
Achieving institutionalization of PWM into ULBs
As per the Solid Waste Management Rules, 2016, waste pickers are defined as
persons or groups of persons informally/formally engaged in the “collection
of reusable and recyclable solid waste” for sale to recyclers directly or through
intermediaries to earn their livelihood. The waste pickers in an informal set-up face
various challenges which can be resolved through their institutionalization. The
issues, process of mainstreaming and benefits incurred by waste pickers on their
institutionalization is represented in figure 16.
Figure 16 Mainstreaming of waste pickers
The complete list of activities to implement this component
includes:
fMainstreaming: Mainstreaming the services of waste pickers by linking
them with MRFs.
fCapacity building: Conducting capacity building workshops and training for
relevant stakeholders on material recognition and best practices for efficient
and safe working conditions in waste management.
fSocial inclusion: Enabling social inclusion and recognition by providing
waste pickers with government ID cards.
CHALLENGES
• Occupational issues
• Informal employment and
low wages
• Commence profession at early age of 8-10 years
• Low remuneration and unhygienic work environment
• Personal issues
• Socially and financially exploited
• Health hazard and low access to medical facility
• ID Cards
• Insurance
• Pension scheme
• Bank account
• Trainings
• SHG formation
• Children’s creche
POSSIBLE INTERVENTIONS
• Reduced vulnerability
• Increased collection and better quality of waste
• Predictable & increased income
• Dignified livelihood
• Fair price for recyclables
• Safe work environment
IMPACT
44NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management
fFinancial inclusion: Creating financial inclusion by supporting waste pickers
in opening bank accounts and linking the accounts to various social security
schemes as mentioned in previous chapters.
fSensitization: Educating and sensitizing waste pickers on the benefits of
banking services, savings and access to various microfinancing opportunities.
fMedical benefits: Providing waste pickers with health benefits as detailed
above.
fGender action plan: Creating and establishing a gender action as detailed
above.
fSafety equipment: Providing waste pickers with waste picking gear, gloves,
protective and sorting tools to ensure primary safety.
fSHGs: Creating SHGs for the waste pickers for financial support to assist
members in getting better livelihoods. Women SHGs can be formed and trained to be entrepreneurs for market-based items such as toys, rugs, bags,
handicrafts, etc. made using plastic and related waste. The formation of SHGs
goes through different phases as detailed below.
45NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management PhasesRate/ Duration
RECOMMENDED DURATION
Rs. 10/kg (as per the standing
government order)
PREPARATORY PHASE – Introducing the
concept in the waste pickers community
1-2 Months
GROUP INITIATION – Helping groups
formation and start meetings and savings
2-4 Months
GROUP STABILIZATION – Helping groups
manage credit activities using their own
savings
4-6 Months
GROUP CONSOLIDATION – Providing
working capital assistance and strengthening
groups (on-going process)
6-12 Months
SHG SELF-DEPENDENCE – Preparing groups
for functioning on their own
1-2 Years
Table 4 Recommendations for implementing various phases of the SHG creation
2.3.1. SOPs and guidelines
SOP for organizing waste pickers and onboarding
fInitiate regular discussions with waste pickers to find out their interest in
working with and within the MRF and inform them about the features of the
MRF.
fIdentify the issues waste pickers are facing related to their working conditions
and in the locations in which they work, such as landfills and streets.
fHold discussions with waste pickers about the process of formalizing them; those working with municipal officials should be provided ID cards.
fOrganize mass meetings of the waste pickers community and educate them about the features of the MRF and the benefits associated with working
directly or indirectly (through waste aggregators) with the MRF.
fTrain waste pickers regularly on book-keeping, accounting, livelihood-based
enterprises, women-related issues and hygiene issues. Additionally, expo-sure visits to similar initiatives and projects should be conducted to gain
confidence.
fMaintain a reward system by choosing the best waste picker every month to boost their confidence and motivation. Meetings can be conducted to share
uplifting stories and their experiences.
46NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management
fOrganize discussions with waste aggregators as many waste pickers work
with them. The waste aggregators should be enrolled with the MRF and be
provided with safety equipment, social safety schemes and other benefits.
fAll waste pickers should be enrolled with the MRF and provided with safety
equipment. Their phone numbers should be registered for regular updates
on health camps, trainings and meetings.
SOP for financial inclusion of waste pickers
fThe organization should identify a financial inclusion volunteer/employee
who will periodically focus on achieving the target of financial inclusion for
waste pickers.
fDevelop a timeline and strategy for financial inclusion for waste pickers in
every city.
fIdentify an easy to access bank, preferably with core banking facility along with zero balance account.
fIdentify a coordinator among the waste pickers who will, in coordination with the financial inclusion volunteer, address the queries of other waste
pickers and help them produce the documents required for Know Your
Customer (KYC) processes. For KYC requirements, waste pickers need to
furnish a few documents, such as Aadhar card, local address proof, a mobile
phone number and two photographs.
47NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 2.3.2 Risk matrix capturing failures and challenges
This table represents the risks associated with the institutionalization of MRF,
probability of occurrence, severity of risks and associated consequences.
Risks ProbabilitySeverityConsequences
No waste segregation at
generation point
High High
Increased environmental & health
challenges.
Waste pickers unwilling
to associate with Material
Recovery Facility
Low Medium
The collection and segregation of waste
becomes problematic.
Delay in allocation of
infrastructure and machinery
Medium High
Delay in setting up the Material
Recovery Facility and associated
activities resulting in various losses.
Delay in documentation and
institutionalization of waste
pickers
Medium High
Delay in benefits for waste pickers and
their socio-economic development.
Irregular monitoring and
compliance of Material
Recovery Facility
Low High
Without regular monitoring and
compliance mechanism the functioning
of Material Recovery Facility will disrupt
and result in various losses.
No regular data management Low High
Lack of appropriate data for regular
waste management.
Recyclers unwilling to
associate with Material
Recovery Facility
Medium High
Recycling market acceptance is
important and without this no model
can sustain long-term.
Table 5 Matrix mapping risks and opportunities in the project
Note: For the detailed risk matrix, see Annexure II.
2.3.3 R
Component 3
The table below represents the recommended timeline for completion of
Component 3. The activities should ideally be completed within four months.
48NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Activities Month 1 Month 2 Month 3 Month 4
Identification and mobilizing
the waste pickers in each city
Discussions and training on
association with MRF (directly
or indirectly)
Discussions with waste
aggregators on benefits of
linking with the MRF
Discussion and
institutionalization of waste
pickers by the ULBs
2.3.4 Case studies
7
A MODEL DRY WASTE COLLECTION APPROACH
Undertaken with guidance from the Bruhat Bengaluru Mahanagara Palike (BBMP),
the Hasiru Dala MRF has proved to be an efficient intervention in improving and
streamlining the plastic waste management process in the city of Bengaluru that
generates 160 grams (per capita) of dry waste every day.
PhasesRate
Type of wasteConstitution in the city’s total waste
Multi-layered plastic, Tetra Pak, thermocol,
highly recyclable material and material with
low recycling rates
30%
Paper20%
Reject14%
Glass10%
E-waste8%
49NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management PhasesRate
Type of wasteConstitution in the city’s total waste
Cloth7%
Metal 1%
Table 6 Type of waste and its constitution in the total waste generated in Bengaluru. Source: Hasiru Dala
10 percent* loss is accounted to leaks in the waste value chain
Most of the materials listed in table 6 have existing buyers and robust supply
chains except plastic which with low recycling rates. Further, tetrapak, multi-
layered plastic and thermocol, which constitute 15 percent of the total dry
waste, have their recycling or disposal systems in place.
The waste pickers have very little incentive to collect or buy material with
low recycling rates. Similarly, waste pickers do not have access to markets
that offer fair prices for both low recyclable material and highly recyclable
material. There are a few reliable buyers, who would take the material on
time. This aspect is especially relevant during pandemics and lockdowns
when most markets are shut.
The MRF fills that vacuum as it cross-subsidizes its collection by taking in
some high-value material like PET, HDPE, etc., thus, creating a business
model which serves as a cushion for waste pickers operating the dry waste
collection centres. They can now sell their material at a fairer price, higher
than the market, especially when plastic prices dip or markets are closed.
“During the second
lockdown, I had a lot
of difficulties. While all
the scrap aggregators
were closed, the BBMP
collected the MLP, but
I had no place to sell
the sorted plastic and
paper. At that time, I
was able to sell all the
recyclables to the MRF.
It was beneficial to me
as I have 10 people
working with me in the
center, and I was able
to pay their wages on
time.”
– Kumudha, Bengaluru
Some unique features of MRF
1. MRF
by qualified professionals, making the process very efficient.
2. It is mandatory to use protective gear while working at an MRF.
3. MRF is insured against any future damages. The employees go
through fire drills and other emergency preparation regularly.
4. A
sale, and all transactions are recorded. The material is sold only
to authorized or registered recyclers, who provide receipts
whenever required.
5. MRF
system: traceability and transparency.
50NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Hasiru Dala is also upgrading the system under which the MRF will enable
EPR compliance for those producers who require to fulfil EPR targets from the
waste collected and processed through the facility. This will trickle down to
dry waste collection centres and other waste-pickers. Hasiru Dala will reach
out to other actors in the informal waste supply chains, i.e., aggregators,
stockists and re-processors who are currently working on the margins and
involve them in upgrading their system so that traceability becomes possible
in a wider ecosystem.
8
BHUBANESHWAR CITY: A PWM MODEL ENABLING SOCIAL
PROTECTION FOR WASTE PICKERS
The Bhubaneswar Municipal Corporation (BMC) and UNDP have joined hands
to address PWM in the capital city of Odisha. Setting up an MRF has been
the main objective of this partnership, which aims at enhancing sustainable
PWM practices through a socio-technical model.
IMPACT OF THE MODEL
1. P
17–21 dry waste collection
centres.
2. P
plastic waste and sending it to registered recyclers.
3. 200 M
aggregators and downcyclers every month on an average.
4. P
over 40 MTs of mixed plastic waste.
5. Enabling social protection
to 20 workers who have been receiving regular wages and have access to a bank account.
6. C
with buyers and sellers online to ensure proper traceability.
“I have been employed
at the MRF for the
last one year. I have
a monthly salary now
with the benefits
of employee state
insurance and provident
fund. I don’t have to pick
waste from the streets
anymore, which was
earlier affecting my
health.”
– Laxmi, sorter at the
Hasiru Dala MRF
51NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management As per the BMC, Bhubaneswar generates around 540 MTs of waste daily, and a
lack of processing and dumping waste in landfills were the major challenges
for the city. A robust waste management mechanism, which would also enable
Bhubaneshwar to improve performance in Swachh Survekshan Index, motivated
the ULB to establish the centre.
The capacity of the MRF currently is 5 TPD. To segregate and process plastic waste,
the MRF is equipped with state-of-the-art machinery, and the MRF has been tagged
with 10 wards for daily collection. Channels for waste collection include door-to-
door collection by the BMC, waste pickers, BWGs, RWAs and micro-entrepreneurs
(kabadiwala). To help in daily collection, 12 high-bulk, low-cargo vehicles have
been deployed.
The collection takes place using a well-designed route map, which helps in efficient
resource allocation and mobilization. The collection vehicle is designed to keep
wet and dry waste separate in two different compartments. After collection, the
waste is unloaded at the MRF for primary manual segregation into plastic and non-
plastic items via waste pickers.
After primary segregation, all the plastic items are brought to the conveyor belt
in the MRF for secondary segregation. Once the segregation process is over,
the materials are sent to the baler or shredder or air-blower machine for further
IMPACT OF THE MODEL
1. S
processed more than
1,300 MTs of dry waste.
2. Onboar
400 waste pickers.
3. M
waste pickers now work as van drivers, collecting door-to-door waste.
4. I
segregation rate at the household level.
52NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management processing. After this, the processed materials are moved to a dedicated storage
space at the MRF. All the reject and inert waste is stored separately and sent to cement
factories for co-processing.
For traceability, data is recorded at every level daily.
The MRF also promotes livelihood opportunities for waste pickers by mainstreaming
them, and more than 400 waste pickers have been onboarded so far. The MRF
conducts health camps for waste pickers every quarter and links them with state
and central government social protection schemes. For fire safety purposes, fire
extinguishers have been installed at the MRF and all the workers have been trained in
fire safety protocols. PPE gear and project ID cards have also been distributed among
the workers.
2.3.5 Role of stakeholders
This figure illustrates the role of different stakeholders in the completion of
Component 3.
ULBs can
provide
support by
furnishing
government
ID cards for
waste pickers
identified
through the
MRF.
The local
organizations will
act as the main
implementing
agency for the
transparent
functioning of
MRF, ensuring
institutionalization
of waste pickers
by social and
financial inclusion.
Multilaterals
can act as
facilitators for
all the activities
mentioned in the
component.
Waste pickers
will provide
support in
collecting and
segregating
the waste from
generators to
the MRF by
linking with
the models
and availing
recognitions
provided by
government.
The end recyclers
will act as key
stakeholders to
bring a market-
driven approach
to the proces and
produce products
based on market
demand. The
end recyclers
will purchase
processed
material from MRF
for final recycling.
ULBsOrganizations Multilateral Waste Pickers End Recyclers
2.3.6 Cross-reference with PWM and SWM rules of
Government of India
The suggestions made for implementation are cross-referenced with the Plastic
Waste Management Rules 2016 and 2018. Some of the key cross-reference points
can be accessed by referring to the following rules, and the page numbers have
been mentioned for easy reference.
fResponsibility of local body. (Pages 5-6)
fResponsibility of waste generator. (Page 6)
53NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 2.4 Component 4: IEC and digitalization
For effective PWM, technology is an important cornerstone that covers traceability,
accountability and digital governance. Mobile phone apps can be developed
for this purpose and can be used by various stakeholders such as waste pickers,
recyclers, ULBs and citizens in order to integrate everyone into one digital cloud.
This would enable access of real-time data from the field to track the integrated
plastic waste supply chain right from point of collection to the end recycler. It
would also help address the PWM-compliance mandated by the CPCB and SPCBs.
Figure 17 : Digital monitoring of data related to waste
CITIZEN/ WASTE
GENERATOR
Citizen app for
awareness &
incentivization
COLLECTION
POINTS
Geofencing
for optimized
route
WASTE BANKS
QR code system
for error-free
scanning
MRF
Facility app
will be used
for stock mgmt
& material
sales
SEGREATION &
AGGREGATION
LOGISTICS TO
AUTHORIZED
RECYCLERS
Traceability of
plastic flow at
every stage
END RECYCLING
Overall recycling
& impact report
RECYCLED
PRODUCTS
MIS of entire
process
accessible to
Govt
54NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 2.4.1 R
of Component 4
The table below shows the recommended timeline for the completion of Component
4. The overall activity should be completed within four months, while the process of
knowledge management and exchange could be an on-going one.
Activities Month 1 Month 2 Month 3 Month 4
Identification of technology platform/
technical organization
Linking relevant stakeholders such as
BWGs, recyclers and waste pickers
Development of protocols for online
reporting, monitoring and information
exchange
2.4.2 Case studies
LEVERAGING TECHNOLOGY FOR A TRANSPARENT AND ACCOUNTABLE
WASTE VALUE CHAIN
Partnering with more than 67 ULBs directly, 100+ partner brands, 150+ recyclers, and
above 500+ aggregators, Recykal has successfully channelled and spread awareness on
effective waste management. Marketplace, Smart Centre solutions, and EPR Loop are
some of their major offerings. By the financial year 2025, they aim to channel more than 3
million MTs of plastic waste.
Using the support of ULBs, Recykal’s ecosystem of digital platforms connects the
fragmented waste management in India. Using platforms that bridge waste generators
with waste recyclers, they provide transparent, traceable, and efficient systems. With pan-
India operations, Recykal operates across 28 states and 6 Union Territories. Over the last
year, they have successfully channelled more than 20,000 MTs of waste every month and
aim to channel 30,000 MTs.
The five-step implementation process of the organization’s products has evolved over the
last couple of years. The following section is a generalized approach used to conceptualise
the product targeted towards specific stakeholders.
1. Empathize
The initial stage began when the pain points in the waste management industry were identified. One uniform pain point across all sectors was the lack of transparency and
traceability.
9
55NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management
fFor the recyclers and aggregators:
—The team observed the gap in the demand and supply of recyclable
plastic waste in the industry
—There was a lack of fair prices for sellers
—There was also a lack of access to quality material on the recyclers end
fGovernment authorities and municipalities faced challenges in monitoring the market and waste generation given a majority of the processes were
RECYKAL’S DIGITAL
WASTE ECOSYSTEM
Drop material at the collection centres
recykal
EPR platform
Manage EPA fulfillment digitally
• Plan creation
• Allocation
• Material Discovery
• Monitoring
• Compliance Management
Digital records,
Documentation
FMCG
Brands
Electronics
Brands
Brands
recykal
Consumer App
Enables material
channeluation
from consumers to
Recykal Point
recykaI
Business App
Enables material
channellnition front Waste generators to
Recykal Point
Recykal
Smart Centre
Digitize record
keeping, payments R
Settlements and brings
complete visibillity
In collectors centre
operations
Industrial
Waste
Bulk
Generators
Waste
Generators
Consumers
Informal Sector
Waste pickers,
Kabadiwalas
Recycling and
recovery
Recyders
Coprocessors
Waste to
Energy / Fuel
Collection,
Preprocessing
Recykal Points
DWCCs run
by ULBs
Aggregators
recykal
marketplace
Enables buying / selling
of recyclable: between
Aggregators. Recydea.
End to end logistics,
transaction support
Legend
Order Flaw
Material Flow
Incentive Flow
Documentation
Flow
Recykal’s Digital
Intervention
Drop material at the collection centres
Figure 18 Digital Waste Ecosystem of Recykal. Source: Recykal
56NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management informally carried out. The fragmented and offline nature of the transactions led to poor
data quality and a lack of monitoring tools.
fThe informal sector workers were unrecognized in India. With more than 4 million informal waste collectors in India, they amounted to 90 percent of the total of plastic recycling in
the country. There was an urgent need to formalize their livelihoods and help improve
their income.
fThere was also low participation of consumers and brands in recycling post-consumer use waste generated in households, schools and other institutions.
2. Define
The identified pain points needed to be addressed with ones with the largest impact being given priority.
fIndia generates 3.4 million tonnes of plastic waste every year, of which more than 40 percent goes uncollected. This is a significant number which needed to be addressed on
priority.
fThe other priority was the need to bridge the gap between the supply and demand of
recyclable plastic waste in the country. With recyclers and waste aggregators distributed
across the country, there was a gap in the system along with varying and questionable
quality. Deep marketing research and support from the ULBs gave the company an insight
into the problems of the industry and a direction to move forward to the next stage.
fThe introduction of EPR guidelines in India gave producers, importers and brand owners the responsibility of collecting and recycling the post-consumer waste generated in India.
3. Ideate
fWith a population of more than 1.3 billion people in India, consumers generate significant waste, which remains uncollected.
fThere was a need to bridging the gap across the country with quality material at their disposal.
fThere was also the need to bring 1,000+ brands in India under an umbrella tool to help them connect with recyclers, aggregators and government authorities.
Technology was the key. In the age of digital technology, Recykal decided to provide end-
to-end solutions for the key stakeholders in the ecosystem. With nearly every Indian using a
smartphone, creating a mobile application that is useable by all was the way forward.
For brands, a digital platform was considered as an option, and this worked as an extensive
database to track, monitor and organize their waste collection efforts. A SaaS-based solution
was proposed for the same described above specific to EPR.
4. Prototype
The first product was a consumer product, which catered to everyday consumers, who could
easily arrange a pick-up for their recyclable products from the comfort of their homes using the
mobile application.
57NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management To address the gap in demand and supply, the Recykal Marketplace was created. This
is a digital platform where recyclable waste sellers can create a listing of the material
they have, which can be booked by recyclers on the other end. EPR Loop took shape
as an online solution for producers, importers and brand owners to meet their EPR
requirements with the highest level of transparency and traceability.
5. T
Right from product ideation to development, there were continuous iterations of the products based on many brainstorming sessions and interviews with various
stakeholders.
The prototypes were constantly tested and deployed. Post-deployment, the product was
reiterated based on reviews by users and on the problems and challenges they faced.
IMPACT AND ADVANTAGES OF THE PRODUCT
• The advantages of technology have helped address key issues that gripped the waste
management industry including:
—Bridging the demand-supply gap.
—Ensuring transparency.
—Enabling source segregation.
—Creating material traceability.
—Collating data and actionable analytics.
58NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management It should be noted that based on market behaviour, the marketplace has taken a
new form with specific applications for buyers and sellers. In the weeks to come, all
the applications will be merged into a single application where sellers can list their
materials and buyers can directly place their orders.
Socio-economic advantages to stakeholders
fEmployment generation has increased, and approximately 10 percent of additional income opportunities, especially for the informal sector. The
organization accepts all types of plastic waste, which enables local waste
collectors to gain additional revenue.
fThe creation of accessible waste disposal methods led to the optimal use of resources. Recykal has channelled nearly 0.5 million tonnes of plastic waste
so far, which has saved energy, natural resources and created employment
opportunities.
fRecykal’s digital database has assisted local municipalities in making informed decisions.
INDORE: PROMOTING MASS AWARENESS WITH BEHAVIOUR
CHANGE CAMPAIGNS
Indore is one of the cleanest cities in the country and has consistently performed
well on the Swachh Survekshan Index. Persistent efforts to increase awareness and
citizen engagement have enabled the city to achieve its vision of Swachh Bharat.
The Indore Municipal Corporation (IMC) has worked closely with organizations
to create a holistic waste management framework through a systems approach.
With an extensive focus on IEC, the city has performed well on several parameters
including segregation and collection.
The IMC with the support of Basix introduced a sustainable waste picker enterprise
model in 2019 that conducted high-quality doorstep garbage collection from
households in wards and newly established residential colonies every day. Under
the model, almost 500 waste pickers were onboarded at the MRF, paper/cloth
bag production units and transfer stations as maintenance staff and caretakers at
compost units.
IMC with the support of a local organization went door-to-door in Indore to
motivate residents to participate in public meetings and encourage them to make
personal contributions to keeping the city clean and ensuring effective solid
10
Key highlights of the project by IMC and Basix:
1. More than 250 training programs organized for field staff of IMC on solid
waste management and behaviour change.
2. 200
source segregation.
59NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management waste management. The team also mapped BWGs in the city and implemented a
separate collection mechanism.
The increased levels satisfaction of the residents has been the biggest outcome
of the project. Residents of the city have been cooperating with IMC and local
organizations to segregate waste at source, educate others and proactively
participate in various IEC initiatives like nukkad nataks, signature drives, rallies, etc.
IMPACT OF THE MODEL
1. 100 per
collection system.
2. Daily doorstep awareness and monitoring introduced at 450,000 households in Indore.
3. W
meals two times for their kids.
4. W
protection drive.
5. 500 w
60NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 11
JAMMU: A HOLISTIC IEC CAMPAIGN TO PROMOTE
BEHAVIOURAL CHANGE ON WASTE MANAGEMENT
Behavioural change through citizen engagement and action is critical to
achieving better management of waste. Jammu has undertaken extensive citizen
engagement initiatives, including clean-up drives, river restoration projects,
nukkad nataks, segregation drives, Swachhta Rath (mobile messaging vehicle),
etc., as part of its IEC campaign that was launched in 2019.
The Jammu Municipal Corporation (JMC) engaged with Regional and Urban
Development Agency (RUDA), a consulting firm in Jammu supporting sustainable development, to plan an IEC campaign identifying the threats caused by improper
waste disposal like public health and environmental degradation. Additionally, the
JMC and RUDA mapped the stakeholders responsible for the waste management
process. They also focussed on BWGs while designing the campaign and devised a
special strategy to reach out to these institutions.
The JMC with the support of RUDA implemented the following IEC initiatives:
61NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management IEC initiativeAbout the initiative
Plastic Lao
Thaila Pao
Campaign
This campaign is a part of an ongoing effort to spread awareness of the need for
responsible plastic use and its disposal.
A mini material recovery stall has been set up in a prominent market location to
promote sustainable waste management practices as part of the campaign. Under the
campaign, citizens are encouraged to deposit their household plastic waste at the stall
in exchange for reusable & recycled cloth bags (1 kg of plastic waste = 1 cloth bag).
Save Tawi
Campaign
RUDA initiated a massive campaign, ‘Save Tawi’ at Har Ki Pauri temple, collaborating
with Jammu Municipal Corporation.
The purpose of the campaign was to sensitize people who visit the temple to offer
reverence in an eco-friendly manner and not throw plastics or other kinds of waste in
the Tawi river.
Volunteers were deputed to instruct people to follow physical distancing norms
and throw waste, basis the categories. Awareness was created through public
announcements and jingles in the temple premises.
The campaign collected 1,220 kg of dry waste.
Swachhta Rath
-Bin It Right
Campaign
A vehicle, mostly a three-wheeler, is fitted with a speaker playing jingles and runs
through the streets of Jammu to sensitize residents for segregation of their household
waste and motivating them to put the right waste in the right dustbin.
12
HYDERABAD: STREAMLINED PROCESSES THROUGH
DIGITIZATION AND STRONG DOCUMENTATION
Hyderabad generates 9,965 MTSs of waste per day from different sources, and
approximately 15 percent is plastic waste.
13
In the beginning, the city government
required support for more robust documentation with respect to waste
management. In 2018, realizing the role that technology and digitization can play
in managing waste, the Greater Hyderabad Municipal Corporation entered into
an agreement with the Ramky Foundation to document all waste transactions.
The Foundation believes that traceability and data management play a key role in
the circular economy. It also provides efficient solutions to ULBs for viable waste
collection methods and recovery solutions.
For transparency and traceability, new monitoring systems were introduced
to track data along the waste value chain. These monitoring systems included
record-keeping, data management and other improved documentation practices.
SOPs were implemented to streamline the data at every stage. This enabled the
tracking of waste inflow at every stage, including at the MRF. It also helped identify
the source of waste and the concerned waste pickers.
13 https://tspcb.cgg.gov.in/CBIPMP/MSWper cent20Annualper cent20reportper cent202017-18.pdf
62NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management The monitoring system at the MRF follows a three-step reporting process to ensure
the integrity of the entire system:
1. R
—Inward register: This register captures the inward volumes procured from various sources daily. The transactions are recorded in the
register and supported by the purchase invoices/bills.
—Outward register: This register captures data, which is processed and
further sent to recyclers, aggregators, etc. The data is recorded in the
register with supporting sale invoices/bills.
—Asset register: The details of the assets are captured in a specific
format and updated monthly.
—Waste picker register: This register records the onboarding of new waste pickers and is updated regularly.
IMPACT OF THE MODEL
1. 100 per
understanding of processes and a committed
team.
2. A
volumes of material.
3. A
of volumes of material. Such data is useful for effective planning of volumes and effective implementation of programmatic activities.
4. Ex
data provides for analytics and smart data management, empowering the MRF operations.
5. P
to waste pickers and other related details.
63NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management The ULBs
can provide
support in
implementing
a mobile-
based cloud
system
The organizations
can act as
the main
implementing
agency for
transparent
functioning of
MRF and ensuring
online data
management on a
daily basis.
Multilaterals
can act as
facilitators for
all the activities
mentioned in
the component.
They can provide
support in
creating tools
and platforms
for knowledge
exhange and
manangement.
Waste pickers
can provide
the quantum of
waste collected
and segregated
on a daily basis
and enable daily
monitoring of
PWM.
The end
recyclers will
also be linked
with the mobile
app to provide
and retrieve
the information
related to
sustainable
pricing system.
ULBsOrganizations Multilateral Waste Pickers End Recyclers
2. Da
3. R
shared and verified by the field team.
Digitizing the volumes of waste can help provide refined and accurate data for
EPR compliance. The data can also be tailored for center-wise waste collection,
irrespective of volumes being handled.
2.4.3 Role of stakeholders
The below given figure illustrates the role of different stakeholders for the
completion of Component 4.
2.4.4 Cross-reference with PWM and SWM
rules of Government of India
The suggestions made for implementation are cross-referenced with the Solid Waste Management Rules 2016 and 2018. Some of the key cross-reference points
can be accessed by referring to the following rules, and the page numbers have
been mentioned for easy reference.
fResponsibility of local body (page number 5-6)
64NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management The MRF model or DWCCs for PWM require to be funded and operated in the
public-private partnership mode. The private funding can be provided by
brand owners, producers, importers or CSR activities. The model is initially
funded by private players, supported by ULBs and operated by service providers
(local organizations/waste management agencies). The chapter will discuss the
economic feasibility, ways of achieving break-even point, the model’s profitability,
and self-sustainability.
FINANCE AND SUSTAINABILITY OF
A PWM WORKING MODEL 3 3.1 T
For the techno-economic feasibility, the model should include the following
components:
1) R
—Acquisition of land and building for setting up the MRF
—Power and water charges
—Transportation of plastic (solid) waste from DWCCs
2) C
Based on the target waste (TPD) every month, the components for opera-
tional revenue and expenses are to be considered.
OPERATIONAL
EXPENSES
— Monthly waste buying
amount
—Manpower cost (gap after
funding)
— Management fee (gap
after funding)
— Back-office support
— Utilities and consumables
— Vehicle fuel
— Vehicle maintenance/
repairs
— Reject waste disposal
— All other expenses
—Sales of processed materials
—Any other source of revenue
OPERATIONAL
REVENUE
VS
Figure 19 An overview of operational expenses versus the operational revenue
of the project. Source: UNDP’s on-ground learnings and analysis
W
and operational revenues, the model will start achieving profits from
approximately the 12th month of the project. After adjusting the finances
from funding, the gap shall be paid from the profit margins received by
deducting operational revenues from expenditures. The consolidated sample
sheet for calculating the cash flows is provided in Annexure VII.
3) OThe model requires investment
for machinery with support from ULBs and behaviour change communication.
A break-up of one-time expenses is detailed in the table below.
66NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Machinery by ULBsIEC Activities
Ð Weighing scale
Ð Baler
Ð Shredder
ÐWaste picker mobilization
Ð SHG formation
Ð One-time rolling fund for procurement
Ð Formation of RWA
Ð Meetings, trainings and workshops
Ð Provision of safety gear for waste pickers
Ð Awareness campaigns and rallies
Ð Insurance for plant and machinery
Ð Documentation of best practices
Machinery from Funding Support Other One-Time Expenses
Ð Weighing scale
Ð Phatka/air blower machine
Ð Baler
Ð Aglo machine
Ð Gatta/extruder machine
Ð Shredder
ÐCollection vehicle
Ð Office setup
Ð Biometric attendance
Ð Laptop/computer for office setup
Ð Fire extinguisher
Ð First-aid kit
Ð Uniforms & safety gears
Ð Drums, buckets
Ð Stationary & signboards
Ð Mobile phones
Table 7 List of one-time expenses for the project
4) Daily or monthly waste transactions: Every day or month, a certain amount of waste
is bought in for processing and is later sold based on average buying and selling
rates. The waste is processed across these categories:
fCategory 1: Soiled PET jars
fCategory 4: LDPE
fCategory 2: HDPE
fCategory 7: MLP, others
fMixed plastic
fCategory 3: PVC
fCategory 5: PP
fCategory 6: PS
Diff
the processed waste is further sold for recycling or upcycling to the recycling units.
GST as applicable is added to the total sales of the processed waste.
67NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management 3.2 Project break-even and profitability
The break-even point for any project is defined as the point where the cost of expenses
becomes equal to the amount of revenue. A project becomes profitable when the
revenues become more than the expenses. The model needs to consider various
components to reach the break-even point and later achieve profits. The components
include:
fFinancially viable monthly/daily targets of incoming plastic waste in the MRF
fFinancially viable buying rates for different waste categories to be processed in the MRF
fFinancially viable selling rates for different waste categories for recycling/upcycling
fProvision of important sources such as land, building and machinery by ULBs at preferably no cost
fLinkage with recycling/upcycling units by signing contract between recycling units and organizations.
68NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management The other components to be considered include manpower, market demand and
miscellaneous expenses which will depend on the population and size of MRF in
the city.
3.3
Self-sustainability of project
The self-sustainability of the MRF model is a key component for the successful
implementation of plastic waste management in a city. The financial availability
and profitability of the model play an important role in the success of this model
in the long run. For the self-sustainability of the model, the following components
need to be considered:
fFunding for an initial period of approximately five to six years, including the cost of setting up the MRF, manpower costs and other one-time expenses.
(Note: Financial details under Annexure VII)
fAllocation of land, machinery, initial support for power and water charges
and waste transportation from the DWCCs.
fInternational agencies such as the UNDP, GIZ, UNIDO and ADB to facilitate linkages with banks for extending payments to waste pickers for PWM
fLinkages with recycling units to create a market-driven and profitable model to achieve self-sustainability.
A city will achieve financial sustainability in approximately five to six years if a
dedicated amount of waste is processed and sold at feasible rates. Additionally,
financial and infrastructure support is to be provided for setting up MRFs.
69NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management UNDP defines social protection as “a set of nationally owned policies and
instruments that provide income support and facilitate access to goods and
services by all households and individuals at least at minimally accepted levels,
to protect them from deprivation and social exclusion, particularly during periods
of insufficient income, incapacity or inability to work.” Fifteen other multilateral
agencies, such as the International Labour Organization (ILO), World Bank, United
Nations Children’s Fund (UNICEF), define social protection differently. Some focus
SOCIAL INCLUSION OF WASTE PICKERS 4 on the building blocks by defining it as the aggregate of social protection or
insurances; others describe it as poverty and vulnerability reduction for individuals
and protection along with development. While the approaches and interventions
differ; the role of social protection in defining the policy framework is to address
poverty and vulnerability.
In plastic or solid waste management, waste pickers are the most important players.
They are also amongst the most vulnerable to health risks and occupational
hazards and have a lack of access to social protection. In this context, it is important
to understand social inclusion in the PWM process and its role in improving
access to social protection for waste pickers. To develop a social protection
framework, it is essential to understand the levels of existing vulnerabilities of
waste pickers in India.
4.1
Existing vulnerabilities of waste pickers
According to the Solid Waste Management Rules 2016, waste pickers are a formal
or informal group of people engaged in the collection and sorting/segregation
of waste to a living. Based on estimates, there are around 4 million waste pickers
making their livelihood from waste management in India. The informal waste
pickers in India face different vulnerability levels, and they operate in a hazardous
working environment leading to various health risks. The figure below details the
vulnerabilities faced by waste pickers.
4.2 Guiding framework for social protection of
waste pickers
The vulnerabilities faced by waste pickers need to be addressed through a
comprehensive and justifiable framework focusing on social protection. The
guiding framework for the social protection of waste pickers is represented
in the figure below.
SOCIAL
EXLUSION
OCCUPATIONAL
HEALTH RISKS
NO FIXED INCOME
LACK OF
BASIC HUMAN
RIGHTS
NO VOICE IN
DEVELOPMENT
VULNERABILITIES
Figure 20 Vulnerabilities faced by waste pickers
71NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Figure 21 Guiding framework for social protection of waste pickers
This framework can be achieved by taking steps as detailed out under component
2.2 D (Elements of the MRF ), with specific reference to points 4, 5 and 6.
4.2.1 Benefits of including social protection
for waste pickers
The adoption and implementation of a social protection framework can help achieve the goal of PWM and improve the socio-economic conditions of waste
pickers. The benefits include:
I. R
II. I
III. A
IV. L
V. En
Provision
of Social
Inclusion
Provision
of Basic
Human
Rights
Institutional-
ization
of Waste
Pickers
Provision
of Fixed
Income
and
Wages
Inclusion in
Development
Provision
of Health
Protection
and Safe
Working
Environment
GUIDING
FRAMEWORK
FOR SOCIAL
PROTECTION OF
WASTE PICKERS
72NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management 4.3 Case Studies
1
PROJECT UTTHAAN : HELPING WASTE PICKERS RISE WITH
RESILIENCE
Project Utthaan is a social protection project by UNDP, launched in October 2020,
in response to the COVID-19 pandemic. The project aims to strengthen access to
social protection schemes and increase livelihood opportunities for waste pickers.
The project conducted a baseline assessment of 9,302 waste pickers across 15
cities. The assessment evaluated the impact of COVID-19 on their livelihoods. The
key findings from the survey are as follows:
fAround 65 percent of respondents reported having no formal education. This percentage is higher among socially disadvantaged groups.
fThe average household size was around 4, with the number of family members ranging from 0 to 16.
fMore than half of the respondents were employed as itinerant waste pickers, street sweepers and waste pickers at a landfill, which are highly informal
employment categories. Further, socially disadvantaged groups and those
with no formal education were heavily concentrated in such informal jobs.
fOwnership of identification documentation varied across the sample:
—Around 90 percent indicated having of an Aadhar card.
—Around 63 percent reported having a voter card, with more women (as compared to men) owning voter cards.
—Less than 6 percent reported having a birth certificate.
—Ownership of other identification documents such as caste and income certificates was even lower, at around 0.5 percent across the
sample.
fAround 7 in 10 respondents reported having a monthly household income
of less than Rs. 10,000. Only 4 per cent of respondents reported earning more
than Rs. 20,000 a month.
fAround 67 percent individuals reported having a bank account. Three in 10
of these individuals reported that their bank accounts were linked with the
Jan Dhan scheme.
fOne in two individuals indicated the ownership of a beneficiary document
such as a ration card. On the other hand, only 4 percent of individuals owned
a health card.
Through Project Utthaan, UNDP has launched two social protection facilitation
centers in Panaji and Bhubaneshwar. The primary functions of the facilitation
centres include:
73NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Changing deep
ingrained attitiudes,
beliefs, and practices
of women members.
Empowering
waste workers at
an individual and
collective level.
Ensuring
institutional
representation
and strengthening
adovcacy and social
change efforts.
1. Iden
related to:
a. Health
b. Education
c. F
d. F
2. A
schemes and claim benefits.
3. P
4. Liasoning with ULBs and relevant departments.
FROM FAMILY COUNSELLING CENTRES TO MICRO CREDITING
SERVICES: TRANSFORMING THE LIVES OF INFORMAL WORKERS
IN MUMBAI
Established in 1975, Stree Mukti Sanghatana (SMS) has become the face of drastic
transformation in the lives of informal women waste workers in the maximum
city, Mumbai. SMS started organizing women workers, known as Parisar Bhaginis,
at the Deonar landfill site, and today serves apartments, government institutes,
educational campuses and more. Most importantly, SMS is no more just a waste
collection initiative, but a holistic social protection-based institute.
SMS has been working hard to provide microcredit, mental health, family
counselling, education, and public health support services to Parisar Bhaginis.
Improving the standard of living of women members, creating zero waste
communities, improving recycling rates and developing new technologies to
handle waste are some of the SMS core objectives. The organization believes
strongly in decentralized waste management systems and advocates for the same.
SMS follows a three-step model as detailed below:
2
Figure 22 Three step model of SMS. Source SMS
74NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management The SMS microcredit system is at the heart of the entire model. SMS created a
federation of groups of women waste pickers who were saving together in
2005 known as the Parisar Vikas Bhagini Sangh (PVBS). It was also registered as
a community development society with the Municipal Corporation of Greater
Mumbai (MCGM). Approximately 200 saving groups or bachat gats joined the
federation. Every gat comprised 10 members, and every group had to provide a
fixed-time membership fee of Rs. 500 and a monthly charge of Rs. 100.
PVBS further charges an interest rate of 1.5 percent of the total loan given to the
group and charges 2 percent to members. The federation internally discusses the
details of every group before disbursing loans.
If a gat has performed well for six consecutive months, a grant of Rs. 1,000 is given
to every member of the group, making a total of Rs. 10,000 per gat. This grant
is provided under the Swarna Jayanti Shahri Rozgar Yojana (SJSRY). This acts as
seed capital to set up a micro-enterprise. Of this Rs. 10,000, two components
are created – Rs. 5,000 goes to the federation and Rs. 5,000 to bachat gat.
This makes groups eligible to get a loan from the federation in case they need it.
Having a Below Poverty Line (BPL) card is mandatory to avail benefits of SJSRY.
PVBS helps bhaginis to get these BPL cards. Several benefits are also available
as part of the PVBS. Motorized vehicles for collecting waste and other necessary
equipment are provided. Women members also have secured access to waste,
sorting spaces, and recyclers. The federation collects waste from the women
members directly at market rates, removing the role of the middleman in the
process. Members are also eligible for a 4 percent bonus (amounting to Rs. 10,000
to 12,000) depending on the value of the waste collected in a year, and this bonus
is given out during Diwali.
PVBS manages two canteens at the Tata Institute of Social Sciences (TISS), eight
biogas plants and five sheds for sorting waste. They also have a dedicated and
specialized system for handling Tetra Pak waste. The federation uses it for station-
ery purposes, with tie-ups from companies like L&T, TCS, and Tata Power.
All of this has resulted in a positive impact on the lives of the bhaginis. The formal
training initiatives undertaken by SMS provide members with an opportunity to
get new and improved jobs. Due to source segregation and an efficient recycling
system, waste reaching the dump sites has also been reduced. SMS remains one
of the most inspiring and impactful examples of integrating the informal waste
sector in the country.
4.4 Financial models towards livelihood
enhancement of waste pickers
There are different financial models which can be adopted for the economic inclusion and livelihood enhancement of waste pickers. The section focuses on
three models based on various existing models and the learnings from them.
75NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Model 1: Development of entrepreneurial opportunities for
waste pickers
In this model, organizations working in the livelihood enhancement of waste
pickers play a key role in facilitating and implementing the financial model.
Organizations create an entrepreneurial environment for waste pickers, which
enables them to create business and employment opportunities. Within this
model, the waste pickers act as individual entrepreneurs and operate various
activities, including door-to-door collection of waste, managing collection points,
dry waste sorting centers and implementing app-based collection schemes.
The organizations, with guidance from the ULBs, train waste pickers, provide
collection vehicles, a collection route and a standard process to follow. The
organization can ensure quality by providing a manager with two or three waste
pickers and accessible avenues for clients to share their concerns over the services
provided. To successfully run a business, every entrepreneur should employ one
driver, two collection workers and sorters as per requirement, and they should
ensure the quality of the services provided.
The entrepreneurs will collect fees from households and the profits earned from
recyclers. After four years, truck ownership can be moved to the entrepreneurs,
which will require minimal maintenance and can be incentivized for their future
assets. In this model, entrepreneurs can take up more collection routes when they
are ready to expand their businesses. This model improves the livelihoods and
financial conditions of waste pickers and brings discipline, professionalism, and
social identity to their work lives as they are required to wear uniforms and safety
equipment all the time. This model has been implemented in Mumbai, New Delhi,
Bengaluru, etc.
Model 2: Development of waste pickers cooperatives to
build their own non-profit organization
In this model, a group of waste pickers can register themselves as a cooperative,
where their contributions can be divided as salaries at a flat rate or be based on
contributions. The model has proved to be more transparent and profitable for
waste pickers as they can also act as recyclers. Access to the public provident
fund and loan facilities can be added as advantages in this model. ULBs can help
cooperatives with land, infrastructure and the allocation of vehicles to transport
and transfer waste. The model works on a profit-sharing basis with fair prices based
on real-time market rates. Payments are made in cash without any delay, and cash
receipts are also provided to the waste pickers. The small cooperatives can also
join hands to become a larger entity based on the willingness and feasibility of
the model.
76NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Model 3: Development of a blended workforce combining
waste pickers and non-waste pickers
Organizations can engage waste pickers in two ways: as a flexible workforce (on a
per diem basis) and as a salaried workforce. The flexible workforce can be engaged
in sorting and segregating waste, which can be done on an individual basis and be
paid on a performance basis. This will benefit the waste pickers who like to work
individually. For roles that require specific knowledge, a regular schedule and
salaried workforce can be employed. The dual payment and employment method
gives organizations the freedom to carry out waste management at MRFs without
administrative formalities.
These are some examples of the existing financial models in India and other
countries. For every livelihood enhancement model, it is important to include
long-term livelihood sources which can bring about sustainability, feasibility, and
reliable transportation processes.
77NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 1
DA NANG, VIETNAM: A PIONEERING EXAMPLE IN PLASTIC WASTE
MANAGEMENT
Da Nang is a coastal city in Vietnam, and it is the fifth-largest city in the country with
a population of more than 1.2 million. Almost 88 percent of the population lives in
urban areas, whereas 12 percent reside in rural areas. The city generates more than
1,100 tonnes of solid waste per day, of which 150 tonnes per day is plastic waste (14
to 17 percent).
15
The absence of source segregation and holistic waste management
systems are the hurdles in ensuring sustainable management of waste in the city.
However, since 2016, the city has been implementing a community plastic waste
collection and recycling model. The model keeps women waste pickers at the centre
as they are engaged in core activities like household collection, sorting, recycling and
trading. These women waste pickers travel on their bicycles or rickshaws to cater to
households and businesses. The model has creatively utilized the force of women
waste pickers as specialized communicators on the issue of waste segregation,
collection, and recycling. This has transformed the role of waste pickers, adding more
value and respect to their role.
15 https://www.weforum.org/agenda/2020/01/viet-nam-is-building-its-first-zero-plastic-waste-city-heres-
how/
INTERNATIONAL CASE STUDIES
CAPTURING THE PRACTICES 5 These women go from door-to-door and educate households on waste
segregation and handling. They also collect waste from construction and
dumpsites. Women waste pickers collect high-value plastics and low-value
plastics such as plastic carry bags, straws, plastic cutlery, shampoo sachets, etc.
Figure 23 Waste collection, recycling, and trading cycle in Vietnam. Source: UNDP Vietnam
LEVEL 1
Collection Centers
(CLCs)
~Trade with IWWs or
businesses directly
~Typically have infrastructure
~Family-owned business
~Seperate waste types and aggregate
~Sell to consolidators
LEVEL 2
Consolidation
Centers (CSCs)
~Trade with multiple
collection centers
and often have a
truck for collection
-Trading large
volumes of waste
streams
~Selling to factories
~Fewer compared to collection centers
~Operating businesses
Informal waste
workers (IWWs)
~Recover tradeables
~Households.
business and
construction waste
~Sell to CLCs & CSCs
~Have strong relationships with stakeholders
LEVEL 0
Recyclers &
End-buyers
~Trade with multiple consolidation centers across
Vietnam
~Can be recyclers
producing granulate
or flakes (plastic)
~Can be metal or paper factories
~Typically found in North or South of Vietnam
LEVEL 3
The women waste pickers take their waste to small scrap aggregators, who have
a dedicated space or a shop to sort and recover the material. The material segre-
gation and recovery are based on the potential of the sellability of the materials
downstream.
Along with market linkages, the model emphasizes the social protection of
these women waste pickers. More than 1,000 women waste pickers have been
integrated with the Women’s Union, a socio-political organization that represents
and defends women’s legal rights and interests in Vietnam. This has provided
them with a livelihood, a stable income and social security benefits like health
care access, education for children, etc. Some women members have reported an
almost 10 percent increase in their income post their inclusion in the project.
“My income has increased to 5.300.00 VND from 4.700.00 VND
thanks to having access to more stable sorted waste resources.”
Ms. Nguyen Thi Bay, waste picker in
Son Tra district, Da Nang city
79NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 2
COMING TOGETHER TO BEAT PLASTIC POLLUTION IN PASIG
CITY, PHILIPPINES
Situated in Metro Manila, Pasig City is one of the most urbanized and the ninth-
most populated city in the country, with a population of around 800,000. The city
is situated on the Pasig River system, which is the world’s eighth-most polluted
river globally; around 65 percent of its water is polluted due to household waste.
The city generates 345.12 MTs of municipal waste daily, of which approximately 19
percent is plastic.
16
After pledging to reduce 20 percent of waste generation by 2025, the citizens
of Pasig have rallied behind the vision and efforts of Mayor Vico Sotto to make
it a ‘Green City.’ The government of Pasig City has collaborated with one of the
fast-moving consumer goods company to implement ‘Walastik na Pasig’, a plastic
collection programme.
16 https://www.who.int/water_sanitation_health/resourcesquality/wpccasestudy3.pdf
IMPACT OF THE MODEL: The model has encouraged 21,000 households, 31 schools, 200 hotels
and restaurant owners to commit to source segregation and plastic recycling. The Da Nang model
has become a leading example of how gender equity and combating plastic pollution can go
hand in hand.
80NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management As a part of the campaign, citizens collect, clean and
deposit single-use plastics, like shampoo sachets, carry
bags, chocolate wrappers and straws, in designated
junk shops located in their neighbourhood. In return,
a cash incentive based on per kilogram of properly
deposited waste is provided to the participating
households and shop owners.
This enables source segregation and community
recycling of single-use plastic, diverting it from
landfills and waterbodies. An extensive, behavioural
communication programme will soon follow the
campaign.
Pasig City is also partnering with multinational
corporations and supporting local circular economy
start-ups like Sari-cycling and Cloop. Sari-cycling
follows a similar model: three separate bins are
installed next to sari-sari shops (go-to neighbourhood
stores for low-income households providing items in small quantities, mostly
sachets, for their daily needs). Citizens segregate waste into three categories –
plastic, metal, and bottles. A cash incentive is provided to participating households
and shop owners.
81NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management The waste collected under this initiative is managed by Cloop, a local plastic
recycling and upcycling start-up. Cloop uses MRFs to not just sort and recover
materials but also for advocacy on PWM.
3
ZERO-WASTE CITY: SURABAYA, INDONESIA LEADS THE WAY
WITH WASTE BANKS
Surabaya is the second-largest city in Indonesia and is situated in the eastern
part of Java Island. The city generates 1,512 tonnes of solid waste per day, of
which (57 percent) is organic waste, and (16 percent) is plastic waste.
17
In 2001,
Surabaya peaked at 2,000 tons of solid waste generation in a day. At the same
time, one of the city’s landfills – Kpeutih – was also shut down, leading to massive
littering on the streets. This was a turning point in the history of the city.
In 2004, the city government prepared itself for the long fight against the
menace of solid waste and laid down an action plan. Surabaya launched a 3 Rs
(reduce, reuse, and recycle) community-based waste management programme,
also known as the Surabaya Green and Clean campaign. The campaign focussed
on educating citizens on waste management, planting trees and saving energy.
The primary challenge for the city government was to promote source
segregation amongst households. The city government collaborated with Japan-
based Kitakyushu International Techno-cooperative Association (KITA), who
17 https://wedocs.unep.org/bitstream/handle/20.500.11822/32898/NPWRSI.
pdf?sequence=1&isAllowed=y
82NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management worked with the city government to introduce quick, low-tech and inexpensive
means of household composting. This pushed households to start segregating
the waste at source.
By 2009, more than 20,000 households started practicing household composting
and 21 composting centres were established. The model reduced waste generation
by 30 percent. To ensure the sustainability and implementation of the campaign,
the Surabaya City government recruited approximately 420 facilitators and 28,000
environmental cadres to manage their community-based waste management
initiatives. The campaign also included neighbourhood competitions in which
the communities were judged based on cleanliness, tree plantation and waste
management efforts.
Complementing this was Surabaya’s other impactful initiative of installing ‘waste
banks,’ which started in 2009. The waste banks initiative was launched under the
Surabaya Clean and Green campaign to manage dry waste. It functions like a
formal bank system, and the savings are not financial but dry waste. The deposited
dry waste undergoes a weighing process, and accordingly, payment is made to
the account holder.
The waste bank is not just an environmental initiative but is also an economic
model. Citizens are paid to sort the waste at source and this ensures their
participation in the city’s waste management process. The waste collected by the
bank is further sold to large aggregators or recyclers, who use it to make other
recycled material. The model of the waste bank has ensured an increase in the
informal sector income.
As of today, the city has maintained sustinability of its models via various innovative
strategies. The city’s transportation system has been adapted to reduce plastics.
Bus units in Surabaya allows people to pay their fares using plastic bottles.
4
CUTTING LANDFILL WASTE IN VIETNAM BY 70 PERCENT: A
WOMEN-LED WASTE COLLECTION PROGRAMME IN HOI AN CITY:
A tourist and a port city, Hoi An in Vietnam witnesses a footfall of 20 million tourists
annually, and the city generates 27,000 tonnes of solid waste per year.
18
Initially, all
of it was beng dumped in landfills, waterbodies or streets, and residents and city
authorities had a tough time managing the waste.
In 2010, the Hoi An Women’s Union took charge of waste management in the
city. Under the project ‘Socialization of solid waste management in Hoi An’, the
Women’s Union prepared a long-term strategy to manage the waste crisis in the
city. Innovation and advocacy were the two central pillars of the project.
Implemented in close coordination with the Vietnam Office of Natural Resources
and Environment and the Public Works Agency, the project worked to sustainably
develop the city while preserving its cultural heritage. Hoi An is famous for its
18 https://undp.shorthandstories.com/gef-sgp-waste-not-waste-not/
83NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management pagodas, temples, ancient wells and tombs; improper waste management was a
big threat for the city.
Sorting waste at the source was a key idea behind the project. Recyclable,
biodegradable and persistent (organic pollutants) were the three categories
created for households to segregate their waste. The Women’s Union initiated an
exhaustive communication and education campaign via community radio, local
fairs, door-to-door outreach, etc., to make residents understand the importance
of source segregation.
The project made biodegradable waste
to compost at the household level, which
farmers later used in their fields. Recyclables
like plastic, metal, glass, etc., were collected
and sold for recycling. The persistent waste
was handed over to the city government
for disposal. The city authorities provided
their full cooperation and streamlined the
process by creating waste management
plans.
The project did not only enable source
segregation and channelize the collection
of the waste, but it also created income
support for women members. The project
devised a revolving credit scheme to
provide loans to them, ensuring that the
waste management programme became
self-sustainable and viable.
The union utilized these funds to purchase
necessary infrastructure like trolleys,
bicycles, uniforms, etc. The project helped
increase the quantity of recovered, recycled
waste and the income of women members.
Plastic waste has emerged as a threat in
IMPACT OF THE MODEL:
The efforts by the Hoi An Women’s Union resulted in a
70 percent diversion of the waste from the city’s landfill.
The model is an important example not only for plastic
recycling but also for gender equity and the social
protection of women waste pickers. The model is now
being scaled up at a provincial level.
84NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management WAY FORWARD AND CONCLUSION 6
recent years and needs different models for sustainable PWM. The adoption of
a circular economy in PWM will support the sustainable utilization of natural
resources and boost the economy.
In India, the Plastic Waste Management Rules were mandated in 2016, amended
in 2018 and 2021, to manage waste at the city level. There are different categories
of plastic waste defined by the CPCB, which should be processed and recycled
by recycling units. Single-use and multi-layered plastics can be considered the
most difficult to process or recycle. While there have been numerous policy
interventions to institutionalize PWM, managing solid waste, mainly plastic waste,
has been a challenge for ULBs across the country.
This handbook will provide a roadmap for a sustainable and inclusive PWM model
for the ULBs. The handbook details the MRF model, which the ULB can implement
in a public-private partnership mode. The brand owners or producers under EPR
or CSR activities can provide financial support to develop the infrastructure and
machinery required for the MRFs. Steps and processes to set up, operationalize
and make the model self-sustaining by becoming a profitable model have been detailed in this handbook. This model ensures compliance with regulations and
improves resource utilization. It not only focuses on managing plastic waste but
also on the social inclusion and protection of waste pickers by improving their
socio-economic conditions.
To successfully implement the model, all stakeholders need to be integrated and
institutionalize the complete process. The handbook details the role of different
stakeholders, such as ULBs, recyclers, service providers, brand owners and waste
pickers for each of the components. The segregation of waste at generation points
and the formalization of recycling units by registering as per CPCB rules are critical
to implementing the MRF model.
This handbook will act as an important tool for ULBs in the successful plastic waste
management in their respective cities.
86NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Annexures
1) ANNEXURE I : Baseline format for Municipal Solid (Plastic) Waste
Management including comprehensive questionnaire for capturing the
information on Solid (Plastic) Waste at the city or town level.
2) ANNEXURE II : Risk Matrix – Plastic Waste Management comprises different
risk matrix like operational, occupational, financial, and institutional and recycler linkages. The details captured for each risk include associated risks, degree of risk for MRFs as high/medium/low, impact, and action plans.
3) ANNEXURE III: Suggestive template for reporting & data monitoring comprises of six formats for the reporting and data monitoring purposes at MRF. The six formats mentioned in this annexure are Daily Inward Register, Daily Outward/Sale Register, Waste Picker Registration Details, Self-Help Group Details, Infrastructure Fixed Assets Details, and Recycler Details.
4) ANNEXURE IV: Checklist for recyclers (as per Plastic Waste Management Rules 2016, FORM II) includes the details for recyclers to set up and operate recycling units. The annexure also details the suggestive measures for recyclers while setting up and running their units.
5) ANNEXURE V : Checklist for ULBs (Framework for Entering into a City for Establishing Plastic Waste Management System) includes the details and prerequisites for setting up MRF. It consists of details starting from level 0 (City Review and Scope of Intervention) to level 6 (IEC and Awareness Activities). It is assumed that the PWM system needs to be established in the city from scratch; Level 0 considered as an initiation point.
6) ANNEXURE VI : Checklist for ULBs (Framework for partial establishment of Plastic Waste Management System in a city) includes details on the assumption that PWM system is partially established in the city and divided into activities already done and activities that are left to be done for setting up a comprehensive waste management system at the city level.
7) ANNEXURE VII: Templates for cash flows and maintaining financial
sustainability. NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Annexure I – Baseline Format for
Municipal Solid (Plastic) Waste
Name of City/Town and State
Population
Area in square kilometres
Name & address of the local body, contact details (email, phone)
Name of officer in-charge dealing with solid/plastic waste
management
Phone no./Fax/Email
Number of households in the city/town
Number of non-residential premises in the city
Number of election/administrative wards in the city
Total quantity of solid (plastic) waste generated
Estimated quantity of waste generated in the local body area per
day in metric tones
Quantity of waste collected per day
Per capita waste collected per year
Quantity of waste processed
Quantity of waste disposed at dumpsite/landfill
Status of waste management services:
Segregation and storage of waste at source
Whether waste is stored at source in domestic/commercial/
institutional bins. If yes,
Percentage of households practicing storage of waste at source in
domestic bins
Percentage of non-residential premises practicing
storage of waste at source
Percentage of household disposing or throwing waste on the
streets
Percentage of non-residential premises disposing or throwing
solid waste on the streets
Whether waste is stored at source in segregated form. If yes,
Percentage of premises segregating the waste at source
Door-to-door collection of solid (plastic) waste
Whether door-to-door collection is being done
in the city/town
88 Number of wards covered in door-to-door collection of waste
No. of households covered
No. of non-residential premises including commercial
establishments, hotels, restaurants, educational institutions/
offices etc. covered
Percentage of residential and non-residential premises covered in
door-to-door collection through:
wMotorized vehicle
wContainerized tricycle/handcart
wOthers
If not, method of primary collection adopted
wSweeping of streets
wLength of roads streets, lanes, bye lanes in the city
Tools used :
Manual sweeping%
Mechanical sweeping%
Whether long handle broom used by sanitation workers Yes/No
Whether each sanitation worker is given
handcart/tricycle for collection of waste
Yes/No
Whether handcart/tricycle is containerized
Whether the collection tool synchronizes with collection/waste
storage containers utilized
Secondary waste storage facilities
No. and type of waste storage depots in the city/town
wOpen waste storage sites
wMasonry bins
wCement concrete cylinder bins
wDhalaos/covered rooms/space
wCovered metals/plastic containers
wBin less city
No. capacity in m³
Ward wise details of waste storage depots :Frequency of collection of waste from the depots Frequency No. of bins
Number of bins clearedDailyAlternate dayTwice a weekOnce a weekOccasionally
89NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Whether storage depots have the facility for storage of
segregated waste in green, blue and black bins
Yes/No
(if yes, add details)
Whether lifting of solid waste from storage depots is manual or
mechanical. Give percentage
(%) of Manual lifting of solid waste(%)
(%) of Mechanical lifting(%)
If mechanical – specify the method used
Whether lifted from door to door and transported to
treatment plant directly in a segregated form
Yes/No
(If yes, specify)
Waste transportation per day
Type and number of vehicles used
wAnimal cart tractors
wNon tipping
wTruck
wTipping truck
wDumper placers
wRefuse
wCollectors
wOthers
wJCB/loader
Frequency of transportation of wasteQuantity of waste transported each day
Percentage of total waste transported daily
Waste treatment technologies used
Whether solid waste processed daily
If yes, quantity of waste processed daily tpd
Whether treatment is done by local body or through
an agency
Processing (in Hectares)
Land currently utilized for waste processing
Solid waste processing facilities in operation
Solid waste processing facilities under construction
Distance of processing facilities from City/Town boundary
90 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Details of technologies adopted
CompostingQty. r
Qty. final product produced
Qty. sold
Qty. waste landfilled
Vermi-compostingQty. r
Qty. final product produced
Qty. sold quantity of waste
landfilled
Bio-methanationQty r
Qty. final product produced
Qty. sold quantity of residual
w
Refuse derived fuelQty. r
Qty. final product produced
Qty. sold quantity of residual
waste landfilled
Waste to energy technology such as incineration, gasification,
pyrolysis or any other technology (give detail)
Qty. r
Qty. final product produced
Qty. sold quantity of residual
w
Co-processingQty. r
Combustible waste supplied to cement plant
Combustible waste supplied to solid waste based power plants
OtherQty.
Solid waste disposal facilities
No. of dumpsites available with the local body
No. of sanitary landfill sites available with the local body
Area of the site available for waste disposal sites
Distance of the dumpsite/landfill facility from city/town
Distance from the nearest habitation
Distance from water body
Distance from state/national highway
Distance from the airport
Distance from important religious place or historical
monuments
91 NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Whether it falls in flood prone area
Whether it falls in earthquake fault line area
Quantity of waste landfill each day
Whether landfill site is fenced
Whether landfill facility is available on site
Whether weighbridge facility available
Vehicles and equipment used at landfill (specify)
Manpower deployed at landfill site
Whether covering is done on daily basis
If not, frequency of covering the waste deposited at landfill
Cover material used
Whether adequate covering material is available. Provisions for
gas venting provided. Provisions for leachate collection. Whether
an action plan has been prepared for improving solid waste
management practices ? What separate provisions are made for ?
wDairy-related activities
wSlaughterhouse waste
wC&D waste (construction debris)
wDetails of post closure plan
How many slums are landfill and whether these are provided with waste management facilities:
(If yes, attach details)
Give details of
Local body’s own manpower deployed for collection including
street sweeping, secondary storage, transportation, processing
and disposal waste
Give details of
Contractor/concessionaire’s manpower deployed for collection
including street sweeping, secondary storage, transportation,
processing and disposal of waste
Mention briefly, the difficulties being experienced by the local
body in compliance with provisions of these rules
Mention briefly, if any innovative idea is being implemented to
tackle a problem to solid waste, which could be replicated by
other local bodies
92 NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Annexure II – Risk Matrix-Plastic Waste Management
S.No. Issue Risks
Degree of
risk (High/
Medium/
Low)
Impact Action Plan
Operational Risks - Collection System, Material Recovery Facility & Final Disposal/Processing
1Identification
of land and
obtaining
permission/
approvals with
local authorities
Delays in getting
land and necessary
approvals for
initiating the
operations
High Inability to establish
the PWM system in
place.
The land is allotted by
local authorities for
establishing Material
Recovery Facility.
Obtaining approvals
is a prerequisite for
initiating the operations
and establishing the
decentralised system
in the city. The local
authorities to fast track
the approval process
and designate area for
establishing Material
Recovery Facility
2Establishing
robust collection
system with daily
tonnage/target
The daily collection
system varies from
city to city depending
on generation and
the way it is collected
e.g. - door to door,
community based
etc. If a minimum
threshold of
collection target is
not met, then the
MRF cannot run at its
full capacity.
Medium Inability of meeting the
agreed pre-decided
timelines in setting
the system. The PWM
system will operate at
reduced capacity.
Planning & pre-deciding
the route map with local
authorities, creating
awareness, engaging
local communities, etc.
93 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management S.No. Issue Risks
Degree of
risk (High/
Medium/
Low)
Impact Action Plan
3Onboarding/
appointment
of waste
management
agency/partner
to operate
the Material
Recovery Facility
Availability of skilled
human resource
across cities. With
waste management
being an unorganized
and complex sector in
India, it is difficult to
find human resources
who have the skill
sets that match the
requirement of the
project both in the
teams and service
providers.
High Long-time taken by
project team and
service providers in
delivering the activity
outputs (results).
Transparent tendering
process with
experience-based
selection of the partner
agency. Regular
capacity building to be
undertaken.
4Channelization
of recyclable
plastic waste
fraction to
recyclers & their
linkages
Non-Compliance with
guidelines laid by
CPCB
High There is a lack of
registered recyclers
in the country and
as per CPCB 100%
channelization of
recyclable plastic waste
should happen to be
registered recyclers.
Encouraging small &
large aggregators to
register themselves with
SPCBs to create enough
infrastructure. Engaging
with registered recyclers
to be emphasised.
5Unprecedented
situations /
events outside
the control of
projects
Outbreak of a
pandemics (COVID)
and related events,
social unrest – Riots,
civil disobedience
movements. Natural
disasters, floods etc.
High
wInability of abiding
by the pre-decided
timelines and
results.
wHigh costs for recycling challenging the business model approaches.
wJobs, income of waste pickers is impacted, and school children are drop-outs.
Capacity building &
training in case of man-
made hazards. In case
of natural disasters, a
proper contingency
plan to be prepared &
adopted.
94 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management S.No. Issue Risks
Degree of
risk (High/
Medium/
Low)
Impact Action Plan
wDistress sale of
assets, domestic
violence increases,
indebtedness
increases, greater
drudgery for
women.
Implementation
partner runs into
losses due to higher
operational costs.
Occupational Risks at Material Recovery Facilities
1Physical hazardsThe most common
hazards include injury
from sharp items, use
of hand and power
tools, and material
handling, slips, and
falls, and temperature
extremes.
High Injury/loss of life Use of safety gears like
gloves, mask, boots
and proper clothing
will minimize the risk
and prevent potential
accidents at the site. A
safety briefing at the
project site should be
conducted every month
as a healthy practice
to prevent physical
hazards.
2Exposure to site
contaminants
Personnel could
contact waste and
the typical pathogens
contained therein
most notably is
tetanus.
Medium Water/food-borne
diseases
Site personnel should
be provided with
tetanus immunizations
before mobilizing to
the site. They will also
be required towash
their hands at the end
of work and before
handling food. It is
also suggested to
keep a workplace
uniform to maximize
the prevention of
contamination.
95 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management S.No. Issue Risks
Degree of
risk (High/
Medium/
Low)
Impact Action Plan
3Biological
hazards
During the operation
at the site, there
is potential for
workers to encounter
biological hazards
such as animals,
insects, and plants.
Animals such as
dogs, cats, rats, mice,
and snakes may be
encountered.
Medium InjuryWorkers shall be well
instructed to avoid all
contact with animals. If
these animals present a
problem, efforts will be
made to remove these
animals from the site by
contacting a licensed
animal control expert.
4Fire hazards Material recovery
facility deals with
dry waste there is a
potential hazard of
ignition of the dry
waste trough external
agents like flash,
electric spark, nearby
fire etc.
High InjuryInstallation of fire
extinguisher is must
at Material Recovery
Facility. Recommended
to have fire hydrant
system installed.
Financial Risks
1Sustainable
investments
in monitoring
and evaluation
systems in
project
Governance and
management level
issue
High The rate of change in
terms of social benefits,
empowerment is
compromised.
High management
costs and operational
inefficiencies not
addressed.
Robust planning &
scaling up of business
model for waste
management system.
2Higher cost
of material
& quality of
incoming
material
Net lossMedium Impact on operational
costs of the project.
Comparison with
multiple vendors and
select appropriate
vendor.
96 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management S.No. Issue Risks
Degree of
risk (High/
Medium/
Low)
Impact Action Plan
3Shortage of
material
Difficulty in meeting
target & processing
challenges
Medium Impact on operational
costs of the project.
Planning of pickup
of material as per the
availability of material.
4Increase in
logistics cost
spent per kg of
plastic waste
Effect on gross
margins
Medium Impact on operational
costs of the project.
Sending material to
region specific recyclers
for reducing logistics
cost.
Institutional Risks
1Policies, delayed,
change in
frameworks
in the
implementation
of Plastic Waste
Management
Rules/
Solid Waste
Management
Rules
Fluctuating oil
prices making virgin
plastics cheap than
the recycled plastics.
Leads to poor
linkages to markets,
recyclers resulting in
losses in recycling.
High
wInability of abiding
by the pre-decided
timelines of the
project.
wIncome of waste pickers is impacted.
wInvestments in the plastic waste have low rate of returns.
wLess interest by the private sector in the systematized investments by the private sector and ULBs.
Recycler Linkages
1Onboarding
recycler/
dismantler not
listed in CPCB list
Client disagreement
in approving the
onboarded recycler/
dismantler
Medium Non-Compliance with
the Rules
Verification of recyclers
2Onboarding a
non-compliant
recycler/
dismantler
Business loss Medium Non-Compliance with
the Rules
Training recyclers
on documentation
compliances
97 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management S.No. Issue Risks
Degree of
risk (High/
Medium/
Low)
Impact Action Plan
Social Risks
1Child labour in
centers
Risk of children
working below 18
years. Violation of
labour laws
High Violation of labour
laws, effect on
childhood, health and
emotional well being.
Material Recovery
Facility should establish
strict policies to address
child labour issues.
2Fair wages to all
working in the
center
Risk of not addressing
the gender parity and
equal wages to all
working in Material
Recovery Facilities
Medium Impact on equal
work opportunities
to men and women,
performance issues.
Internal policies/SOPS to
adhere to fair wages.
3Issuance of ID
cards to waste
pickers
Recognition to waste
pickers working at
Material Recovery
Facilities
Medium Impact on recognition
to waste pickers,
encouraging better
collection and dignity.
Internal policies/SOPs to
issue ID cards.
4Inclusion of
informal sector/
waste pickers
Risk of low
collections.
Medium Impact on collection
volumes, recognition
to waste pickers
Ensuring waste pickers
are integrated in the
system and benefitted
with various schemes
available.
5Migratory risks of
waste pickers
Risk of inconsistent
collection volumes
Medium Impact on collection
volumes.
Ensuring waste pickers
are integrated in the
system and benefitted
with various schemes
available.
98 NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Annexure III - Suggestive Template for
Reporting & Data Monitoring
a) Format for Register I Daily Inward Register - Material Recovery
Facility (City Name & Service Provider Name)
No.
Date dd/mm/yyyy
Name: Source of incoming
Type of Source
Name of waste picker / SHG / Bulk Generator /
ULB / First Point of Sale / Others
Ward Name / No
Vehicle No / Others (Handcart, Rickshaw, etc.)
Incoming waste (Kgs)
Type of waste
(Code ID)
Unit rate paid/
kg to SS / Others
Bill No. - by IP/Buyer
Total amount (Rs)
Mode of payment (by bank transfer/ cheque
or cash)
Weigh scale in-charge signature available in
registry
Receivers signature available in registry
1
2
b) Format for Register II Daily Outward/Sale Register - Material
Recovery Facility (City Name & Service Provider Name)
No.
Date dd/mm/yyyy
Recycler name/address
Vehicle no./others
Weighbridge slip no.
Net weight in kg
Type of product name
(Code ID)
Invoice no. & date
Rate/Kg
Invoice total
Amount (INR)
Account incharge
signature of service
provider
1
2
99 NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management c) Format for Register III Waste Picker Registration Details - Material
Recovery Facility (City Name & Service Provider Name)
No.
Name of the
SHG
Female waste
pickerss
Male waste
pickers
Total No of
members
Date of
formation
Bank name
Account no
Address
1
2
d) Format for Register IV Self Help Group Details - Material Recovery
Facility (City Name & Service Provider Name)
No.
Name of the
SHG
Female waste
pickers
Male waste
pickers
Total no of
members
Date of
formation
Bank name
Account no
Address
1
2
e) Format for Register V Infrastructure - Fixed Asset Details -
Material Recovery Facility (City Name & Service Provider Name)
No
Land area
(sq. ft)
Shed area
(sq. ft)
Owned by
Amount of rent paid (if any
in INR)
Sanctioned power (kW)
Facilities (Toilet, office
room, dress changing
room, etc)
Health, safety equipments
1
2
100 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management No.
Machinery
Location
Owned by
Operational
since (date)
Capacity
Number of
machines
Power (kW)
1Weighing scale
2Baler
3Conveyor belt
4Shredder
5Phatka
6Aglo Gatta
machine
7Mobile phone
8Trolley
9Sorting table
10Incinerator
11Extrusion
12Sewing machine
13Other
Format for Register VI Recycler Details - Material Recovery
Facility (City Name & Service Provider Name)
No.
Material
Name
Address
Distance from MRF
Recycler
Recycling capacity
(tons per month)
List of machineries
Recycling process
Certificate available
Registration number
Purchase rate
1
2
101 NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Annexure IV – Checklist for Recyclers (as per Plastic Waste
Management Rules 2016, FORM II)
Part I - Plastic Waste Management Rules 2016
S. No ItemDetail
Availability
Remarks
YesNo
1Name and address of the unit
2Contact person with designation
3Date of commencement
4Number of workers (including
contract labour)
5Consent validity i. W
Pollution) Act 1974
ii. A
Pollution) Act 1981
iii. EIA clearance (optional)
iv. Hazar
license
6Manufacturing process Please attach a flow diagram of the manufacturing process flow diagram for each product
7Products and installed capacity of production (MTA)
i. Products
ii. I
8Waste management:
i. W
plastic waste.
ii. W
transportation (attach details).
iii. W
iv. Provide details of the disposal
facility, whether the facility is
authorized by SPCB or CPCB.
102 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Part I - Plastic Waste Management Rules 2016
S. No ItemDetail
Availability
Remarks
YesNo
v. P
characterization of waste
generated (including leachate
test, if applicable).
9Details of plastic waste proposed to
be acquired through sale, auction,
contract or import as the case may
be, for the use of raw material.
i. Name
ii. Q
10Occupational safety and health aspects
i. Disast
mock drills etc.
ii. I
iii. EHS policy
iv. SOP
v. F
vi. C
environmental risk mitigation
control plan
vii. A
viii. A
approval, etc.
11Pollution control measures
i. W
pollution control systems or equipments to meet the standards of emissions or effluents.
ii. W
compliance with conditions laid down in the said rule.
iii. W
are like to exist of the material being handled or processed posing adverse immediate or delayed impacts on the environment.
103 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Part I - Plastic Waste Management Rules 2016
S. No ItemDetail
Availability
Remarks
YesNo
11iv. W
likely to exist of the material
being handled or processed
by any means capable of
yielding any other material (ex.
leachate) which may possess
eco-toxicity.
12List of enclosures as per rule.
13Recycling or processing of plastic
waste shall prepare and submit
an annual report in Form-IV to
the local body concerned under
intimation to the concerned SPCB
or Pollution Control Committee by
the April 30, of every year.
14Ensuring that no damage is caused
to the environment in recycling the
plastic waste.
15Details of machinery installed & its
operating capacity.
104 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Part II - Suggestive measures
S. NoItemDetail
Availability
Remarks
YesNo
1Incoming plastic waste register
2E-way bill and other transportation
documents
3Weighbridge receipts and pictures
of vehicles showing their registration
number
4Outgoing processed material register
from Material Recovery Facility
5Transaction details as proof of plastic
waste processing
6Certificate of recycling to be
obtained/generated
7Air/water/noise/soil monitoring
reports as per CTO - Air & Water Act
8Hazardous residues/waste safe
disposal proof such as TSDF
certificate
9Due diligence report
10ESIC liability insurance
11Legal compliance register, legal
notices or any ongoing legal
proceedings
12List of agreements with transporters,
PROs, channel partners etc.
13Business continuity and
developmental plans
105 NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Annexure V – Checklist for ULBs
(Framework for Entering into a City for Establishing Plastic
Waste Management System)
Level S. No ItemsDetail
Availability Remarks
YesNo
Level 0
1
City review and scope of
interventions
A
Establishing Plastic Waste
Management in new city for
project implementation, an initial
survey on inflow and outflow
of waste value chain to be
undertaken as a baseline.
B
Location of Material Recovery
Facility
CIdentification of wards
D
Routes for collection of plastic
waste & other collection
mechanism
E
Analysis of data on dry/plastic
waste from primary and secondary
sources, including bulk generators
like resident welfare associations
(RWAs), commercial and religious
establishments including schools,
hotels, etc.
Level 1
2
Urban Local Body (ULB)
engagement and approval
A
Engagement with Commissioner/
Secretariat of the city ULB/
Municipality/(SPCB) to set up the
Material Recovery Facility.
106 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level S. No ItemsDetail
Availability Remarks
YesNo
Level 1
B
Letter of approval for space, shed
etc.
C
Conduct meetings/workshops
with government officials, bulk
generators, industrial and hotel
associations, waste aggregators,
RWAs, etc. for collection/recycling
of all plastic/dry waste.
Level 2
3
Request for project
implementation in the city
A
Onboard an implementing/service
partner in the city
i. P
Reference for selection of
implementation/service
partner
ii. F
Proposal through local tendering process
iii. E
partner agency with technical & operational experience in waste management domain
iv. Engagement of Waste pickers
in the city for collection of plastic waste
v. C
agency on procurement, social inclusion and stakeholder engagement best practices.
Level 3
4
Set up infrastructure, plant &
machinery of Material Recovery
Facility
A
Site preparation for operational
and requisite construction with all
relevant infrastructure including
toilets, electricity etc.
107 Level S. No ItemsDetail
Availability Remarks
YesNo
Level 3
B
Implementation process and
ensure procurement/installation/
operation/maintenance of
machinery from selected vendors.
C
Requisite safety measures (fire
safety, first aid, etc.) to be ensured
in the centre
D
Operators of machinery and staff in
Material Recovery Facility trained
and exposure in operations,
maintenance, occupational safety
and best practices of running
Material Recovery Facility
E
Consent to establish
i. Sit
Industry
ii. D
which includes the details of
raw material, product to be
manufactured, the capital cost
of the unit (land, building,
and plant machinery), water-
balance, source of water, and
its required quantity
iii. Land documents such as
Registration deed/ Rent deed/Lease deed
iv. Details of Water Pollution
Control/Air Pollution Control instruments
i. W
& Control of Pollution) Act 1974
ii. A
& Control of Pollution) Act 1981
iii. EIA clearance
(optional)
v. MO
Consent to operate
i. C
ii. La
details of all manufacturing processes
108NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level S. No ItemsDetail
Availability Remarks
YesNo
Level 3
iii. La
waste, effluent, hazardous
wastes, and fuel gases
iv. C
duly attested by CA or CA certificate
v. D
effluent is discharged on land for percolation
vi. O
issued by Town & Country Planning Department, in case of building & construction projects/area development projects.
i. W
& Control of Pollution) Act 1974
ii. A
& Control of Pollution) Act 1981
F
vii. MOiii. EIA clearance
(optional)
G
Waste inflow and outflow plan i. T
(bailed PET, shredded HDPE, Ghatta material, rejects etc.)
ii. M
the sources (educational institutes, religious places, municipal system, aggregators, etc.)
H
Machinery installation and details
i. W
ii. C
iii. F
iv. Shr
v. A
vi. Bailing machine
vii. W
109NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level S. No ItemsDetail
Availability Remarks
YesNo
Level 3
I
List of processes at the MRF
i. M
conveyor belt
ii. Cleaning using air blower
method
iii. Shr
iv. Gr
v. A
shredded plastic
vi. Ex
plastic
vii. Bailing of the thin plastic
viii. U
J
Occupational safety and health
aspects:
i. Clean drinking water facility -
RO/UV
ii. S
EHS policy
iii. Clean sanitation facility
iv. C
clothes
v. Childr
area
vi. F
vii. P
equipments
5
Onboarding waste pickers and Inclusion interventions
A
Identify the waste picker communities, and register the waste pickers for the engagement
B
Regular meetings with waste pickers for the following
110 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level S. No ItemsDetail
Availability Remarks
YesNo
Level 3
Social protection measures:
i. Issuing occupational identity
cards for the waste pickers
ii. Issuing mandatory identity
cards for the waste pickers
(like ration cards, Aadhaar
card, voter ID etc.)
iii. Opening of bank accounts
iv. E
various government. schemes
v. F
vi. G
vii. F
viii. M
ix. A
x. ESIC liability insurance
xi. SHG f
xii. R
Key social protection
policies:
i. P
Dhan Yojana
ii. P
Jeevan Jyoti
Beema Yojana
iii. P
Suraksha Beema Yojana
iv. A
Yojana
v. A
Yojana
vi. Janani Shishu
Suraksha Yojana
vii. M
Indradhanush
Gender action plan
i. I
PoSH
ii. P
sensitive trainings
iii. Supporting
menstrual health and hygiene
iv. P
responding to gender-based violence
Level 4
6
Linkages to bulk generators &
recyclers
A
Identification of recyclers and bulk
generators of plastic waste in the
city for collection of segregated/
processed waste.
111 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level S. No ItemsDetail
Availability Remarks
YesNo
Level 4
B
Recyclers should be registered
and have appropriate approvals
and compliances to ensure
traceability of the waste collected
from Material Recovery Facility
(Refer the Annexure - Checklist for
Recyclers)
C
Collection & logistics for the
Material Recovery Facility
defined with the partners such
as ULB/ Municipality/ bulk
generators/ recyclers.
Level 5
7
Compliance system as per
PWM Rules, 2016 - collection,
reporting, bookkeeping and
accounts
AIncoming plastic waste register
B
E-way bill and other transportation
documents
C
Dharm Kanta receipts and
pictures of vehicles showing their
registration number
DOutgoing plastic waste register
E
Transaction details as proof of
plastic waste processing
FWaste pickers onboarding details
Level 6
8Awareness and IEC Activities
A
Continuous campaigns of
awareness activities for schools,
citizen and stakeholders’
sensitization to promote plastic
waste management best practices
such as source segregation.
112 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level S. No ItemsDetail
Availability Remarks
YesNo
Level 6
B
Engage with new media such as
digital platforms and bloggers/
influencers for placement
of stories .
C
Innovative media partnerships
with leading channels
DWorkshops/webinars/trainings
Assumption:The PWM system needs to be established in the city from scratch; Level 0 to be considered
as an initiation point.
113 NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Annexure VI – Checklist for ULBs (Framework for Partial
Establishment of Plastic Waste Management System in a City)
Level
S.
NoItemsDetail
Availability Remarks
YesNo
Level 0
1
City Review and scope of
interventions
AEstablishing Plastic Waste
Management in New city for
project implementation, an
initial survey on inflow and
outflow of waste value chain to
be undertaken as a baseline.
BLocation of Material Recovery
Facility
CIdentification of wards
DRoutes for Collection of Plastic
Waste & other Collection
Mechanism
EAnalysis of data on dry/plastic
waste from primary and
secondary sources, including
bulk generators like resident
welfare associations (RWAs),
commercial and religious
establishments including
schools, hotels etc
Level 1
2
Urban Local Body (ULB)
Engagement and Approval
AEngagement with
Commissioner/Secretariat of
the city ULB/ Municipality/State
Pollution Control Board (SPCB)
to set up the Material Recovery
Facility.
114 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level
S.
NoItemsDetail
Availability Remarks
YesNo
Level 2
BLetter of Approval for space,
shed etc.
CConduct meetings/workshops
with government officials, bulk
generators, industrial and hotel
associations, waste
aggregators, RWAs etc. for
collection/recycling of all
plastic/dry waste.
3
Request for Project
Implementation in the city
A
Onboard an implementing/
service partner in the city
i. P
Reference for selection of
Implementation/Service
Partner
ii. F
Proposal through local tendering process
iii. E
of Partner Agency with Technical & operational Experience in Waste management domain
iv. Engagement of Waste
pickers in the city for collection of plastic waste
v. C
agency on procurement, social inclusion and stakeholder engagement best practices.
115 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level
S.
NoItemsDetail
Availability Remarks
YesNo
Level 3
4
Set up Infrastructure, Plant
& Machinery of Material
Recovery Facility
ASite preparation for Operational
and Requisite Construction
with all relevant infrastructure
including Toilets, Electricity etc.
BImplementation process
and ensure procurement/
installation/ operation/
maintenance of machinery from
selected vendors.
CRequisite safety measures
(fire safety, first aid etc.) to be
ensured in the centre
DOperators of machinery and
staff in Material Recovery
Facility trained and exposure
in operations, maintenance,
occupational safety and best
practices of running Material
Recovery Facility
EConsent To Establish
i. Sit
the industry
ii. D
which includes the details
of raw material, product
to be manufactured, the
capital cost of the unit
(land, building, and plant
machinery), water-balance,
source of water, and its
required quantity
i. W
Control of Pollution) Act 1974
ii. A
of Pollution) Act 1981
iii. EIA clearance (optional)
116 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level
S.
NoItemsDetail
Availability Remarks
YesNo
Level 3
iii. Land documents such as
Registration deed/ Rent
deed/Lease deed
iv. D
Control/Air Pollution Control instruments
v. MO
FConsent To Operate
i. C
ii. La
details of all manufacturing processes
iii. La
of solid waste, effluent, hazardous wastes, and fuel gases
iv. C
duly attested by CA or CA certificate
v. D
effluent is discharged on land for percolation
vi. O
issued by Town & Country Planning Department, in case of Building & construction projects/area development projects.
vii. MO
i. W
Control of Pollution) Act 1974
ii. A
of Pollution) Act 1981
iii. EIA clearance (optional)
GWaste inflow and outflow plan i. T
PET, shredded HDPE, Ghatta material, rejects etc.)
ii. M
(educational institutes, religious places, municipal system, aggregators etc.)
117 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level
S.
NoItemsDetail
Availability Remarks
YesNo
Level 3
HMachinery installation and
details
i. W
ii. C
iii. P
iv. Shr
v. A
vi. Bailing Machine
vii. W
IList of processes at the MRF
i. M
conveyor belt
ii. Cleaning using air blower
method
iii. Shr
iv. Gr
v. A
shredded plastic
vi. Ex
agglomerated plastic
vii. Bailing of the thin plastic
viii. Use of forklifts
JOccupational safety and health aspects:
i. Clean drinking water facility
- RO/UV
ii. S
EHS policy
iii Clean sanitation facility
iv. C
clothes
v. Childr
play area
vi. F
vii. P
Equipments
118 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level
S.
NoItemsDetail
Availability Remarks
YesNo
Level 3
5
Onboarding Waste pickers and
Inclusion interventions
AIdentify the waste picker
communities, and register
the waste pickers for the
engagement
bRegular meetings with waste
pickers for the following -
Social protection measures:
i. Issuing occupational
identity cards for the waste
pickers
ii. Issuing mandatory identity
cards for the waste pickers (like ration cards, Aadhaar card, voter ID etc.)
iii. Opening of bank accounts
iv. E
various govt. schemes
v. F
vi. G
vii. F
viii. M
ix. A
x. ESIC liability insurance
xi. SHG f
xii. R
Key social protection policies:
i. P
Yojana
ii. P
Jyoti Beema Yojana
iii. P
Beema Yojana
iv. A
v. A
vi. Janani Shishu Suraksha
Yojana
vii. M
Gender action plan
i. I
ii. P
sensitive trainings
iii. Suppor
health and hygiene
iv. P
responding to gender-based violence
Level 4
6
Linkages to Bulk Generators,
Recyclers, Co - Processing/
Road Laying
AIdentification of Recyclers and Bulk Generators of plastic waste in the city for collection of segregated/processed waste.
119 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level
S.
NoItemsDetail
Availability Remarks
YesNo
BRecyclers should be registered
and have appropriate
approvals and compliances to
ensure traceability of the waste
collected from Material Recovery
Facility (Refer the Annexure -
Checklist for Recyclers)
CCollection & logistics for the
Material Recovery Facility
defined with the partners such
as ULB/ Municipality/ bulk
generators/ recyclers.
DLinkages with Coprocessing &
Road Laying Organizations for
final processing of plastic waste
Level 5
7
Compliance System as per
PWM Rules, 2016 - Collection,
Reporting, Bookkeeping and
Accounts
AIncoming plastic waste register
BE-way bill and other
transportation documents
CDharm Kanta receipts and
pictures of vehicles showing
their registration number
DOutgoing plastic waste register
ETransaction details as proof of
plastic waste processing
FWaste pickers Onboarding
Details
120 Level
S.
NoItemsDetail
Availability Remarks
YesNo
Level 5
GCertificates from Recyclers, Co
processing, Road Laying for
plastic waste processing
Level 6
8Awareness and IEC Activities
AContinuous campaigns of
awareness activities for schools,
citizen and stakeholders’
sensitization to promote plastic
waste
management best practices
such as source segregation
BEngage with new media such as
digital platforms and bloggers/
influencers for placement of
stories
CInnovative media partnerships
with leading channels
DWorkshops/Webinars/Training
Assumption:Represents those certain aspects of the items are already done/established
Represents those aspects that needs to be developed and established in the city Support sought from ULB
– Land and building
– Power and water charges
– Transportation of MLP from DWCCs
Annexure VII:
Material Recovery Facility – Cash Flow
Target Tons Per Day 3.2 3.3 3.4 3.5 3.6 3.7 3.8 4.04.1 4.2 4.3 4.5 4.6 4.7 4.9 5.0 5.2 5.3
Operational ExpensesMonth 1 Month 2 Month 3 Month 4 Month 5 Month 6 Month 7 Month 8Month 9Month 10Month 11Month 12Month 13Month 14Month 15Month 16Month 17Month 18
Monthly waste buying
amount
Manpower cost
(gap after funding)
Management fee (gap
after funding)
Back office support
Utilities & consumables
Vehicle fuel
Vehicle maintenance/
repairs
Reject waste disposal
All other expenses
Total GST per month
Total cost
Operational RevenueMonth 1 Month 2 Month 3 Month 4 Month 5 Month 6 Month 7 Month 8
Month 9Month 10Month 11Month 12Month 13Month 14Month 15Month 16Month 17Month 18
Sales of processed
materials
Any other source of
revenue
Total revenue
Monthly Revenue vs
Expenditure
122NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Target Tons Per Day 3.2 3.3 3.4 3.5 3.6 3.7 3.8 4.04.1 4.2 4.3 4.5 4.6 4.7 4.9 5.0 5.2 5.3
Operational ExpensesMonth 1 Month 2 Month 3 Month 4 Month 5 Month 6 Month 7 Month 8Month 9Month 10Month 11Month 12Month 13Month 14Month 15Month 16Month 17Month 18
Monthly waste buying
amount
Manpower cost
(gap after funding)
Management fee (gap
after funding)
Back office support
Utilities & consumables
Vehicle fuel
Vehicle maintenance/
repairs
Reject waste disposal
All other expenses
Total GST per month
Total cost
Operational RevenueMonth 1 Month 2 Month 3 Month 4 Month 5 Month 6 Month 7 Month 8
Month 9Month 10Month 11Month 12Month 13Month 14Month 15Month 16Month 17Month 18
Sales of processed
materials
Any other source of
revenue
Total revenue
Monthly Revenue vs
Expenditure
123 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Assumptions
Category of plastic
Expected monthly
quantity (Kg)
Expected daily
quantity (Kg)
Average buying rate
(INR/Kg)
Total daily buying
amount (INR)
Processing loss (%)
Quantity after
processing (Kg)
Average selling rates
INR)
Total daily selling
amount (INR)
Add GST as
applicable
Processing
Soiled PET
(Pickle Jars,
Oil Jars etc)
10,000 400 21 8,400 15% 340 32 10,880 1,958.40
Washed
and shred/
flaked
LDPE 10,000 400 25 10,000 15% 340 40 13,600 2,448.00
Washed,
shred and
gatta
HDPE 10,000 400 18 7,200 15% 340 26 8,840 1,591.20
Washed,
shred and
gatta
MLP 18,000 720 1 720 15% 612 2 1,224 220.32
Shred and
baled
Mix Plastic 12,500 500 18 9,000 15% 425 26 11,050 1,989.00 Bag filling
PVC 5,000 200 3 600 15% 170 4 680 122.40 Bag filling
PP 5,000 200 20 4,000 15% 170 29 4,930 887.40
Shred &
gatta
PS 5,000 200 2 400 15% 170 3 425 76.50 Baled
Others 5,000 200 4 800 15% 170 5 850 153.00 Baled
Total 80,500 3,220 ₹ 41,120₹ 52,479
₹ 9,446
Material Recovery Facility – Waste Transactions
Number of Working Days in a Month 25
Total rejects: 483
124 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Manpower cost on Project with Existing Funding and Gap
Monthly
salary per
person
No of Staff
employed
for 5 TPD
Manpower
Cost per
month
Funded as
applicable
Gap
1
Project manager &
overall in-charge
25,000 1 25,000 20,000 5,000
2Center In-charge 20,000 1 20,000 15,000 5,000
3Field supervisor 18,000 2 36,000 26,000 10,000
4Site executive 15,000 2 30,000 20,000 10,000
78,000 6 1,11,000 81,000 30,000
As per minimum
wages
5Drivers 15,000 2 30,000 - 30,000
6Machine operators 12,000 5 60,000 24,000 36,000
7Sorters 12,000 10 1,20,000 - 1,20,000
8Loaders 12,000 3 36,000 - 36,000
51,000 20 2,46,000 24,000 2,22,000
Total
Total
monthly
salary
Total number
of staff
employed for
5 TPD
Total
manpower cost
per month
Amount
funded as
applicable
Actual
monthly
gap
1,29,000 26 3,57,000 1,05,000 2,52,000
9Back office support 15,000 1 15,000 - 15,000
10Management fee 25,000 1 25,000 22,500 2,500
125 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Machinery by ULB / Others
No Machinery Amount Remarks
1 Weighing scale -
2 Baler 5,00,000
3 Shredder 5,00,000
4 Aglo machine 2,06,250
Total 12,06,250
Machinery by Project
No Machinery Amount
1 Weighing scale 1,00,000
2 Phatka/Air blower machine 2,00,000
3 Baler 4,50,000
4 Aglo machine 3,50,000
5 Ghatta/extruder machiner 7,00,000
6 Shredder 2,00,000
7 Vehicle 6,00,000
Total 26,00,000
Other one-time expenses
No Machinery Amount
1 Office setup 20,000
2 Biometric attendance 50,000
3 Laptop/computer for office setup 50,000
4 Fire extinguisher 10,000
5 First-aid kit 5,000
6 Uniforms & safety gears 10,000
7 Drums, buckets 10,000
8 Stationary & signboards 10,000
9 Mobile phones 25,000
Total1,90,000
Land & Building
No Land & Building Amount Remarks
1 Total land area -
2
Modifications to
Existing sheds
-
3 New building costs -
4
Advance/one-time
cost for shed
-
Total -
Material Recovery Facility – Assets and Infra
126 NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Material Recovery Facility – Operational Expenses
Monthly Operational Expenses
No Expected Expenses Amount
1 Reject waste disposal 36,225
2 Vehicle fuel 10,000
3 Vehicle maintenance 10,000
4 Tools & equipments 2,500
5 Utilities & consumables 10,000
6 Uniforms 2,500
7 Internet 5,000
8 Printing & stationery 5,000
9 Safety equiments 5,000
10 Miscellaneous 15,000
11 Adhoc hiring of vehicles 20,000
Total 1,21,225
IEC Expenses One-time cost
1Wastepicker mobilization 20,000
2SHG formation 20,000
3One-time rolling fund for procurement 3,50,000
4Formation of RWA 20,000
5Meetings, trainings & workshops 3,000
6Provision of safety gears to wastpickers -
7Awareness campaigns & rallies -
8Insurance for plant & machinery 20,000
9Documentation of best practices 25,000
Total 4,58,000
10Miscellaneous 15,000
11Adhoc hiring of vehicles 20,000
Total 1,21,225
127
HANDBOOK ON
SUSTAINABLE URBAN PLASTIC
WASTE MANAGEMENT Disclaimer:
While care has been taken in the collection, analysis, and compilation of the data, NITI Aayog &
UNDP do not guarantee or warrant the accuracy, reliability or completeness of the information in this
handbook. The mention of specific companies or certain projects/products does not imply that they
are endorsed or recommended by the members of this publication. The authors accept no liability
whatsoever to any third party for any loss or damage arising from any interpretation or use of the
document or reliance on any views expressed herein.
Copyright@ NITI Aayog, UNDP, 2021
Photo credits to UNDP India/Abhir Avasthi, UNDP India/Raja Mani, UNDP India/Dhiraj Singh, UNDP
India/Gaurav Menghaney
Acknowledgements
UNDP would like to extend its sincere appreciation and gratitude to Vice Chairperson,
Dr Rajiv Kumar; CEO, Mr Amitabh Kant; and Special Secretary, Dr K. Rajeswara Rao
of NITI Aayog, for providing their valuable inputs and guidance while preparing this
handbook. UNDP would also like to thank members of the Managing Urbanization
vertical at NITI Aayog – Dr Biswanath Bishnoi, Deputy Advisor, and Mr Dhiraj
Santdasani, Young Professional, for their continuous support.
Our gratitude to UNDP Resident Representative, Ms Shoko Noda, UNDP Deputy
Resident Representative Ms Nadia Rasheed, and to the team of Plastic Waste
Management Programme – Mr Srikrishna Balachandran, Program Manager and
OIC, Ms Ankita Bhalla, Communications Officer, Ms Smera Chawla, Project Officer
– Strategy and Alliances, Ms Himani Kulshreshtha, Project Officer – Reporting and
Recycling, Mr Jaimon C Uthup, Policy Specialist – SDGs, Ms Rozita Singh, Head of
Solutions Mapping, Accelerator Lab India, Mr Digvijay Singh, Social Protection
Specialist, Ms Ruchi Tomar and Mr Rishabh Shrivastava, Consultants, for their
contribution towards developing this handbook and bringing out relevant insights
on plastic waste management. Message, Vice Chairperson, NITI Aayog
The clarion call of the Honourable Prime Minister to address the issue of single-use plastics on
the 73rd Independence Day triggered massive attention towards plastic waste management in
the country. It is encouraging to observe that India’s overall solid waste treatment capacity saw
a steep rise from 18 percent in 2014 to 70 percent in 2021. Over the past six years, the Central
Government, State Governments, urban local bodies, and most importantly, the citizens of the
country have shown remarkable coordination and dedication for Swachhta like never seen before.
The Swachh Bharat Mission received acclaim from around the globe for its impressive measurable
results achieved within a short period. However, while Swachhta is a continuous journey, we as a
nation need to move towards stricter implementation of the Reduce-Reuse-Recycle concept.
While urbanisation enables greater economic development in the country, the stress on urban local
bodies to deliver efficient urban services, including efficient urban waste management, remains
one of the significant challenges. It is towards meeting these challenges that NITI Aayog has
joined hands with the United Nations Development Programme (UNDP) to lay down ideas in the
form of a comprehensive handbook: ‘NITI Aayog-UNDP Handbook on Sustainable Urban Plastic
Waste Management’ can be adopted by urban local bodies to good effect.
To that end, this handbook aims to enable the capacity building of officials in urban local bodies
and other relevant stakeholders at the city level on plastic waste management. The learnings
documented here are based on multiple models, which reflect socially and financially inclusive
approaches towards plastic waste management in India.
The handbook also discusses national and international case studies across different components
of plastic waste management. The represented models have focused on the sustainability and
scalability of approaches in all Indian cities based on specific estimated parameters. I am hopeful
that the handbook will act as an essential knowledge resource for stakeholders in the waste
management sector.
I am also sure that this handbook will go a long way in achieving the broad objectives set out in
the Swachh Bharat Mission. I compliment the UNDP team and the Managing Urbanization vertical
at NITI Aayog led by Special Secretary, Dr K. Rajeswara Rao for conceptualizing and publishing this
handbook. His team comprising Deputy Advisor, Dr Biswanath Bishoi, and Young Professional, Mr
Dhiraj Santdasani also deserve due recognition for their efforts.
Dr Rajiv Kumar
Vice Chairperson
NITI Aayog Foreword, CEO, NITI Aayog
With the launch of the Swachh Bharat Mission (Urban) 2.0, India has taken a significant step
to further reinforce the Swachhta momentum achieved in the first phase of the mission. With
greater emphasis on source segregation, waste processing facilities, and phasing out of single-use
plastics, SBM 2.0 is set to fast-track country’s smooth transition to a circular economy. While India
generates about 3.4 million tonnes of plastic waste annually, urban local bodies across the country
have been facing tremendous pressure to manage this waste efficiently. In addition, India’s rapid
pace of urbanization has also contributed to the stress on urban services. However, even in such
a challenging environment, the dedication shown by the State Governments, urban local bodies,
private sector companies, organizations, and citizens, for implementing Swachh Bharat Mission in
the true spirit and making it a Jan Andolan is supremely remarkable.
The world is becoming more aware and more inclined towards effective patterns of resource
usage. Efficient plastic waste management provides a vast landscape to enable superior resource
efficiency in the manufacturing sector. Recycling or upcycling plastic waste offers a paradigm shift
from conventional techniques or incineration and landfilling by altering end-of-life products, scraps
and other types of plastic waste into valuable raw materials after the necessary value additions.
While many cities have implemented noteworthy models of plastic waste management, it is essential
that a robust knowledge repository is created to capture these best practices so that urban local
bodies across the country can learn, observe, adapt and replicate models as relevant. It is with this
vision that this handbook has been developed jointly by NITI Aayog and UNDP. The book provides
a comprehensive overview of managing plastic waste by representing and discussing components
of the entire plastic waste value chain. I believe that this handbook will certainly support all relevant
stakeholders in informing themselves about pertinent initiatives and the efficient ways to deal with
plastic waste.
I compliment the efforts of UNDP in development of this vital knowledge resource and for working
alongside numerous cities and other partners, helping them streamline plastic waste management
systems. My special appreciation goes to the Managing Urbanization vertical of NITI Aayog led by
Special Secretary, Dr K. Rajeswara Rao, for spearheading this important task, and his team involving
Deputy Advisor Dr Biswanath Bishoi, and Young Professional, Mr Dhiraj Santdasani.
Amitabh Kant
CEO
NITI Aayog Foreword, Special Secretary, NITI Aayog
In the past few years, India has achieved remarkable progress in its waste management sector under the
Swachh Bharat Mission (U). The fact that the country’s waste processing capacity has increased four times
since 2014 shows the scale and size of the mission and its meticulous implementation on the ground. The
next phase of Swachh Bharat Mission has further strengthened the clean India movement with an explicit
focus on waste source segregation, waste treatment, and phasing out of single-use plastics.
While Swachhta is a way of life and not an initiative bounded by time, we need to further build upon the
momentum achieved in these years and shift towards a more resource-efficient and circular economy in new
urban India. In this regard, efficient management of plastic waste has emerged as one of the key challenges
in the waste management sector, which needs dedicated focus from all sections of society. India generates
about 3.4 million tonnes of plastic waste per year, and about 70 percent of plastic packaging products are
converted into plastic waste within a short period.
Multiple cities and organisations across the country have implemented innovative, sustainable, and resource-
efficient models of plastic waste management. To achieve leapfrogging success in the sector nationally, it
is important that other urban local bodies study these business models and replicate them as relevant and
as applicable to their cities. This handbook is a knowledge repository containing 18 case studies across
four themes and has been developed to support stakeholders of the plastic waste management sector in
enhancing information and awareness.
The book covers several aspects of sustainable urban plastic waste management and will help urban local
bodies to develop efficient waste management plans for their cities based on their requirements and
guidelines. In process of developing this document, about 20 stakeholder consultations with different urban
local bodies, plastic waste recyclers, private players, NGOs/CSOs, academia, and on-ground discussions with
more than 14 Indian cities and 4 Southeast Asian cities (virtually) were conducted by UNDP. State Pollution
Control Boards being the key stakeholders, may refer to this handbook for relevant initiatives and may also
translate the book in regional languages for more effective use of all stakeholders as needed.
Last but not the least, I would like to compliment the efforts made by UNDP India team in the development
of this publication and their support to various cities in the area of plastic waste management. I also
express my deep sense of gratitude to the team of Managing Urbanisation vertical, especially Dr Biswanath
Bishoi, Deputy Advisor, and Mr Sanjay Gupta, Economic Officer. Mr Dhiraj Santdasani, Young Professional
deserves special appreciation for managing the publication and for his persistent efforts in finalization of
this document.
Dr K. Rajeswara Rao IAS
Special Secretary
NITI Aayog Foreword, Resident Representative, UNDP India
I am happy to present a new handbook ‘NITI Aayog-UNDP Handbook on Sustainable
Urban Plastic Waste Management,’ jointly developed by UNDP and NITI Aayog.
Two of the biggest environmental crises in the world today are climate change and
plastic pollution. According to a report by the Center for International Environmental
Law organization, globally the plastic production and disposal resulted in 850 million
tons of greenhouse gas emissions in 2019. The same may be responsible for up to 2.8
billion tons by 2050.
Sustainable plastic waste management can move plastic from ‘waste’ to a ‘renewable
resource’ and promote a circular plastics economy.
We have made a conscious effort to gather best practices and examples from cities
which face similar infrastructure and plastic waste challenges. The handbook covers
best practices of plastic waste management from India, including from countries in
Southeast Asia, like Indonesia and Vietnam.
This publication aims to provide practical and replicable solutions to the urban local
bodies across India to manage plastic waste in cities. The solutions are aligned with the
principles of Swachh Bharat (Clean India) Mission. I hope that the urban local bodies
will find this handbook a useful tool to help India achieve its vision of Swachh Bharat.
My special appreciation to NITI Aayog and UNDP India Plastic Waste Management team
for producing this handbook. My sincere thanks to our corporate partners for their
support of the Plastic Waste Management Programme.
Shoko Noda
Resident Representative
UNDP India Abbreviations
AIArtificial Intelligence
ADBAsian Development Bank
BCCBehaviour Change Communication
BMCBhubaneswar Municipal Corporation
BMTBillion Metric Tonnes
BPLBelow Poverty Line
BWGs Bulk Waste Generators
CECircular Economy
CIPET Central Institute of Petrochemicals Engineering & Technology
CKCL Clean Kerala Company Limited
COVID-19 Coronavirus
CPCB Central Pollution Control Board
CRRI Central Road Research Institute
CSECentre for Science and Environment
CSOs Civil Society Organizations
CSRCorporate Social Responsibility
DICDistrict Industries Centre
EPAEnvironmental Protection Agency
EPR Extended Producer Responsibility
FMCG Fast Moving Consumer Goods
FRPFibre Reinforced Plastic
GSTGoods and Services Tax
HDPE High-Density Polyethylene
IECInformation, Education and Communication
ILOInternational Labour Organization
IIM Indian Institute of Management
IITIndian Institute of Technology
IMCIndore Municipal Corporation
KITA Kitakyushu International Techno-cooperative Association
KYCKnow Your Customer LDPE Low-Density Polyethylene
L&TLarsen & Toubro
MoEFCC Ministry of Environment, Forests and Climate Change
MoHUA Ministry of Housing and Urban Affairs
MLPMulti-Layer Plastic
MRF Material Recovery Facility
MTMillion Tonnes
NGOs Non Governmental Organizations
PETPolyethylene Terephthalate
PMCPanaji Municipal Corporation/Pune Municipal Corporation
PPPolypropylene
PROs Product Responsibility Organizations
PSPolystyrene
PVBS Parisar Vikas Bhagini Sangh
PVCPoly-Vinyl Chloride
PWMPlastic Waste Management
RoCRegistrar of Companies
RUDA Regional and Urban Development Agency
RWAs Resident Welfare Associations
SHGs Self Help Groups
SJSRY Swarna Jayanti Shahri Rozgar Yojana
SMCSheet Moulding Compound/Surat Municipal Corporation
SMSStree Mukti Sangathana
SOPStandard Operating Procedure
SPCB State Pollution Control Board
SWMSolid Waste Management
TCSTata Consultancy Services
TISS Tata Institute of Social Sciences
TPD Tonnes Per Day ULBs Urban Local Bodies
UN United Nations
UNDP United Nations Development Programme
UNEP United Nations Environment Programme
UNICEF United Nations Children’s Fund
UNIDO United Nations Industrial Development Organization Contents
Message, Vice Chairperson, NITI Aayog
Foreword, CEO, NITI Aayog
Foreword, Special Secretary, NITI Aayog
Foreword, Resident Representative, UNDP India
Abbreviations
1. PL 1
1.1 P 1
1.2 C 5
1.3 S 6
1.4 Rules and guidelines – plastic waste management 7
2. IMPLEMENTATION OF PWM IN A CITY 9
2.1. C
and management 11
2.2 C 27
2.3 C 43
2.4 C 54 3. FINANCE AND SUSTAINABILITY OF A PWM WORKING MODEL 65
3.1 T 66
3.2 P 68
3.3 S 69
4. SOCIAL INCLUSION OF WASTE PICKERS 70
4.1 Existing vulnerabilities of waste pickers 71
4.2 Guiding framework for social protection of waste pickers 71
4.3 C 73
4.4 F 75
5. INTERNATIONAL CASE STUDIES CAPTURING THE PRACTICES 78
6. W 85
7. ANNEXURES 87
List of Tables
Table 1 Types and sizes of MRF based on criteria 29
Table 2 Waste processing equipment and their uses 34
Table 3 Overview of operations managed by CKCL in Kerala 41
Table 4 Recommendations for implementing various phases of the SHG creation 46
Table 5 Matrix mapping risks and opportunities in the project 48
Table 6 Type of waste and its constitution in the total waste generated
in Bengaluru 50
Table 7 List of one-time expenses for the project 67
List of Figures
Figure 1 Environmental, health and economic impact of plastic waste 3
Figure 2 Types of plastics and their applications 4
Figure 3 SDGs linkages through effective plastic waste management in a city 6 Figure 4 Characterization of Municipal Solid Waste 10
Figure 5 Municipal waste processing in India 11
Figure 6 Technical model for MRF waste eco-system 12
Figure 7 Categories of plastic 14
Figure 8 Panaji’s 16-way waste segregation approach 23
Figure 9 I 23
Figure 10 Waste logistics and traceability model 27
Figure 11 MRF material flow chart 28
Figure 12 Conceptual layout plan of MRF 30
Figure 13 Waste inflow sources and outflow process 32
Figure 14 Plastic segregation representation 32
Figure 15 Waste management cycle at an MRF 34
Figure 16 Mainstreaming of waste pickers 44
Figure 17 : Digital monitoring of data related to waste 54
Figure 18 Digital Waste Ecosystem of Recykal 56
Figure 19 An overview of operational expenses versus the operational
r 66
Figure 20 Vulnerabilities faced by waste pickers 71
Figure 21 Guiding framework for social protection of waste pickers 72
Figure 22 Three step model of SMS 74
Figure 23 Waste collection, recycling, and trading cycle in Vietnam 79
1.1 Plastics and their role in our lives
Plastic was first invented in 1907, and given that it was cheaper and more
convenient than other materials, it soon found use in varied ways in our daily
lives. Today, plastic is present in almost everything, from our money to electronic
appliances, and it is used across multiple sectors, including packaging, building,
construction, transportation, industrial machinery and health among others.
However, the lack of sustainable plastic waste management (PWM) poses a serious
threat to our environment and natural ecosystem globally. Data indicates that
while a large quantum of plastic waste is generated, low levels of it are sustainably
managed and discarded worldwide. From 1950 to 2015, around 8.3 billion metric
tonnes (BMTs) of plastic had been produced globally, and of this, 80 percent – 6.3
BMTs – was accounted as plastic waste. Of these 6.3 BMTs of waste, only 9 percent
PLASTICS AND THEIR ROLE IN OUR LIVES 1 was recycled, 12 percent incinerated and 79 percent dumped into landfills,
oceans or waterbodies. There are two primary ways to manage plastic waste.
The first is recycling or re-processing different categories of plastic waste into
secondary material. The second is the incineration of plastic waste. However,
incineration is expensive and causes pollution if not done using the right
equipment.
1.1.1 Challenges concerning plastic waste
Plastic waste has numerous implications on the environment and health.
The plastic waste dumped in landfills leaches into the ground and nearby
water systems causing land and water pollution and ultimately reaches the
food chain. The uncontrolled burning of the waste, including plastic, causes
air pollution. In addition, the clogged plastic waste in sewerage systems
further pollutes rivers and groundwater. The plastic in food and water can
cause severe health issues such as genetic disorders, and endocrine system
damage. According to the United States Environmental Protection Agency,
all the plastic waste ever generated is still present on Earth today, this makes
sustainable management of plastic waste important.
Single-use Plastic
1
The Plastic Waste Management Rules, amended in 2021, define single-
use plastic as plastic item intended to be used once for the same purpose
before being disposed of or recycled. The United Nations defines single-use
plastics, often referred to as disposable plastics, as being commonly used
for plastic packaging, including items intended to be used only once before
being thrown away or recycled. These include grocery bags, food packaging,
bottles, straws, containers, cups and cutlery.
2
Single-use plastic is the most
popular kind of plastic due to its easy access and high use. While it is cheap,
strong and hygienic for transporting goods, it is the most difficult to recycle.
Plastic carry bags are produced using less energy and water and generate
less solid waste than paper bags as they take up less space in landfills.
3
These salient features of single-use plastics make it a preferred material in
commercial use.
The adverse impacts of single-use plastic have created an alarming situation
across the globe with a call for countries to make commitments against
1 https://wedocs.unep.org/bitstream/handle/20.500.11822/9238/-
Valuingpercent20plasticcent3aper cent20theper cent20businessper cent20caseper
cent20forper cent20measuringper cent2cper cent20managingper cent20andper
cent20disclosingper cent20plasticper cent20useper cent20inper cent20theper
cent20consumerper cent20goodsper cent20industry-2014Valuingper cent20plasticsF.
pdf?sequence=8&isAllowed=y
2 UNEP (2018). SINGLE-USE PLASTICS:A Roadmap for Sustainability (Rev. ed., pp. vi; 6).
3 https://www.bagtheban.com/learn-the-facts/environment/
The UN defines
single-use plastics,
often also referred as
disposable plastics,
are commonly used for
plastic packaging and
include items intended
to be used only once
before they are thrown
away or recycled.
These include, among
other items, grocery
bags, food packaging,
bottles, straws,
containers, cups and
cutlery.
2NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management ENVIRONMENTAL IMPACT
The single use plastic is believed to take thousands of years to
decompose, which leads to soil and water contamination and can pose
hazards for land, water, and wildlife. In some cases, the existence of
single use plastic in water or food is leading to presence of plastics in
human body, and health issues.
HEALTH AND SOCIAL IMPACT
Instances of open burning of plastic waste leads to air
pollution. In some developing countries, plastic is burnt
for cooking or heating purposes causing health issues
in vulnerable groups such as women, children, and the
elderly. The littering at open spaces such as parks lead to
welfare losses which accounts as indirect social cost of
plastic pollution.
ECONOMIC IMPACT
The littering of plastic is visually unattractive and has
potential to impact GDP of countries dependent on tourism.
The plastic pollution in oceans has economic impact across
tourism, shipping, and fishing industries. Other than this
sustainable plastic waste management can move plastic from
‘waste’ to a ‘renewable resource’. Plastic pollution costs $13
billion per year as economic damage to marine ecosystem.
Figure 1 Environmental, health and economic impact of plastic waste
plastic pollution. The management of single-use plastic waste requires using an
integrated model that focuses on minimizing plastic waste generation, improving
waste management through improved collection services, a recycling industry
and ensuring the safe disposal of waste to controlled (scientific) landfills. To do
this, the model should focus on adopting a circular economy approach that looks
at recycling good quality plastics and different ways of minimizing the production
and usage of single-use plastic including plastic bags and styrofoam. The next
section looks at the opportunities and challenges of plastic waste recycling.
1.1.2 Plastic waste recycling
In India, the Plastic Waste Management Rules of 2016 and 2018 and the recently
announced amendment of 2021 focus on single-use plastics. The rules detail the
various categories of plastics and recommend recycling methods based on the
type of plastic polymer used. Additionally, as seen in figure 2, the Central Pollution
3NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Control Board (CPCB) has defined the numerous applications of these categories
under Guidelines for Disposal of Plastic Waste, 2017.
4
According to a Centre for Science and Environment (CSE) report titled ‘Managing
Plastic Waste in India’, the plastic in polystyrene (PS) and other categories are non-
recyclable and a threat to the environment. In addition, industries generating
plastic waste, commonly known as pre-consumer waste, need as much attention as
post-consumer waste. Various manufacturing industries across the globe produce
400 million tonnes of plastic waste per year, with the packaging industry being the
largest contributor. According to a report by FICCI, 40 percent of the packaging
needs in India are fulfilled using plastic.
5
The Plastic Waste Management Rules,
2016 and 2018, mention the extended producer responsibility (EPR) approach,
which gives producers substantial responsibility (financial and/or physical) for the
treatment and disposal of post-consumer plastic waste.
4. CPCB’
http://cpcb.nic.in/uploads/plasticwaste/Consolidate_Guidelines_for_disposal_of_PW.pdf
5 https://ficci.in/spdocument/20690/plastic-packaging-report.pdf
PET
HDPEOTHERS
LDPEPS
PVCPP
POLYETHYLENE
TEREPHTHALATE
Bottles, carry bags,
recycling bins, base
cups
HIGH-DENSITY
POLYETHYLENE
Various containers,
dispensing bottles,
wash bottles
LOW-DENSITY
POLYETHYLENE
Milk pouches, plastic bags,
water bottles, soft drink
bottles, food jars, plastic
films, sheets, furniture,
carpets, panelling
POLY-VINYL CHLORIDE
Pipes, hoses, sheets,
wire cable insulations,
multilayer tubes,
window profile, fencing,
lawn chairs
POLYPROPYLENE
Disposable cups,
bottle caps, straws,
auto parts, industrial
fibres
POLYSTYRENE
Disposable cups,
glasses, plates,
spoons, trays, CD
covers, cassette
boxes, foams
Thermoset plastics,
multilayer and
laminates, nylon
SMC, FRP, CD,
melamine plates,
helmets, shoe soles
Figure 2 Types of plastics and their applications. Source: MoEFCC Rules on PWM
4NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management For sustainable PWM, all stakeholders from the private and public sectors,
communities and other organizations need to adopt the circular economy
approach, thereby reducing and offsetting the plastic waste going into landfills
and posing serious threats to our environment, economy and health. The
next section will look at the conceptual framework of the circular economy,
including the business case for the plastic waste sector and enablers and
barriers in India for this concept.
1.2 Conceptual framework of a circular economy
Since the second industrial revolution, our economy has been linear, working
on take-make-use-dispose principles. On the one hand, this has resulted in
increased economic benefits and prosperity, but on the other hand, it has
also led to the overuse of resources by promoting a ‘use-and-throw’ approach.
According to the Circular Gap Report 2021
6
, 100 billion tonnes of different
materials enter the Earth every year. This model not only leads to environment
degradation and resource depletion, but it also increases the cost of products
by disturbing the material supply system. This results from fluctuating raw
material prices, low materials availability, geopolitical dependence on different
materials and increasing demand.
To address this issue, we need to focus on resource efficiency by adopting a
circular economy. The circular economy is defined as an alternative to the linear
‘take-make-waste’ approach. It seeks to design out waste, regenerate natural
ecosystems and keep materials and products in use for as long as possible.
To this end, resources are not consumed and discarded, destroying their
value. Rather, their value is retained by reusing, repairing, remanufacturing or
recycling.
7
The circular economy entails new business models, strategies and
innovations focusing on the optimization of processes and products. Adopting
a circular economy results in extended life of products and assets by recycling/
upcycling end-of -life products and closing the loop.
1.2.1 Enablers and barriers to circular economy
in India
In the Indian context, a circular economy can play a significant role in achieving environmental goals at the national and international levels, promoting
sustainable ways to do business and limiting the over-extraction of natural
resources.
The Indian Government has taken steps to mandate EPR under the Plastic Waste
Management Rules 2016. EPR incorporates circularity by making producers
responsible for the collection and processing of a product till the end of its
6 https://drive.google.com/file/d/1MP7EhRU-N8n1S3zpzqlshNWxqFR2hznd/edit
7 https://www.ellenmacarthurfoundation.org/circular-economy/what-is-the-circular-economy
The circular economy
is defined as an
alternative to the linear
‘take-make-waste’. It
seeks to design out
waste, regenerate
natural ecosystems
and keep materials
and products in use
for as long as possible.
To this end, resources
are not consumed and
discarded, destroying
their value. Rather,
their value is retained
by reusing, repairing,
remanufacturing or
recycling.
5NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management life. Organizations and industries are partnering with government stakeholders to
implement integrated models focusing on a circular economy. In addition, to support
the circular economy, emphasis has been laid on drafting policies and missions such as
the Swachh Bharat Mission and Solid Waste Management Rules 2016, which focus on
recycling resources.
For economies across the globe, adopting a circular economy can help achieve various
Sustainable Development Goals (SDGs) directly or indirectly.
1.2.2 SDGs linkage
Figure 3 SDGs linkages through effective plastic waste management in a city
Income of the waste
pickers increased
Empowering women waste pickers through inclusion
and improved
livelihoods
Circular economy of waste, innovation in technology, energy recovery, and promoting extended
producer’s responsibility
Reducing landfill,
reduction in greenhouse
gases, marine litter, and
safe handling of waste
Collaboration,
engagement,
partnership at
every level
Plastic waste management brings a unique cross-cutting
opportunity to contribute towards 14 of the 17 SDGs; bring more
integration of various stakeholders to mutually invest for the cost
to environment and natural capital.
1.3 S
scenario
Globally, plastic pollution has emerged as a serious menace in the absence of streamlined
PWM focusing on reuse, reduction, and recycling of plastic waste. The global recycling
6NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management percentage is low, only 9 percent, and this calls for immediate
and integrated actions to manage plastic globally and focus on
recycling or upcycling. All developed and developing countries
are individually taking actions to manage plastic waste, but the
onus is mainly on developing countries.
According to a report on PWM released by Ministry of
Housing and Urban Affairs
8
, the global average of plastic per
capita consumption is 28 kg and India has a per capita plastic
consumption of 11 kg. The CPCB Report (2019-20)
9
states that
3.4 million metric tonnes of plastic waste are generated in India
annually. 1.4 Rules and guidelines –
plastic waste management
To address the challenge of the mounting waste crisis in the country, India
started setting up its regulatory framework on waste management almost two
decades ago. In 2000, the Ministry of Environment, Forests and Climate Change
notified the first-ever law on waste management in the form of the Municipal
Solid Wastes (Management and Handling) Rules.
10
Since then, the country’s waste
management regulations have developed in several aspects and undergone a
massive transformation. RulesLink to Access
Municipal Solid
Waste Management
Rules, 2016
https://cpcb.nic.in/uploads/MSW/SWM_2016.pdf
Plastic Waste
Management Rules,
2016 and 2018
*Amendment 2021 yet
to be notified on CPCB
website
https://cpcb.nic.in/displaypdf.php
?id=cGxhc3RpY3dhc3RlL1BXTV9HYXpldHRlLnBkZg==
8 http://164.100.228.143:8080/sbm/content/writereaddata/SBM%20Plastic%20Waste%20Book.pdf
9 https://cpcb.nic.in/uploads/plasticwaste/Annual_Report_2019-20_PWM.pdf
10 Municipal Solid Waste ( Management and Handling) Rules 2000
The CPCB Report
(2019-20) states that
3.4 million metric
tonnes of plastic
waste are generated
in India annually.
7NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management WHAT IS EXTENDED PRODUCER RESPONSIBILITY?
EPR refers to the responsibility of producers and brand owners to manage the
disposal of products post use. It is a kind of reverse collection system ensuring
recycling for end of life, post-consumer waste. It is based on the famous and
important international environmental law principle of Polluter Pays, which implies
that the one who pollutes must pay for keeping the environment clean and intact.
EPR
WHAT ARE PROs?
PROs are professional organizations entrusted with the responsibility of managing plastic waste under the principles of EPR enshrined in the Plastic Waste Management Rules 2016. They must mandatorily register themselves with the
CPCB.
PROs
WHAT IS A BUY BACK MODEL?
Buyback is an emerging model for managing plastic waste where the original
seller of the goods buys them back post-consumer use.
BUY
BACK
The global recycling
percentage is only
9 percent. There
is an urgent need
for immediate and
integrated actions
to manage plastic
globally and focus
on recycling or
upcycling. To address
the challenge of
the mounting waste
crisis in the country,
India started setting
up its regulatory
framework on waste
management almost
two decades ago.
8NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Overview of municipal solid waste management in a city
The Solid Waste Management Rules 2016 have given an important responsibility
to urban local bodies (ULBs) to manage the municipal solid waste (MSW) at the
city level. The MSW is collected from different sources of generation: households,
offices, public institutions, and organizations. The waste is further divided into
different categories as seen in figure 4 with the available processing procedures.
IMPLEMENTATION OF PWM IN A CITY 2 Figure 4 Characterization of Municipal Solid Waste. Source: CPCB
This handbook focuses on the efficient management of plastic waste in Indian cities. The
process of setting up a PWM model has been divided into four components, and these
components together act as a step-wise guide for ULBs. Every component is supported
by case studies from across the country to provide a practical understanding of the
various operations. These components are as follows:
fComponent 1: Technical model for plastic waste recycling and management
fComponent 2: Material recovery facilities (MRFs) for improved PWM implementation
fComponent 3: Institutionalization of MRFs in governance bodies
fComponent 4: Information, education and communication (IEC) and digitalization
2.1. Component 1 : Technical model for plastic
waste recycling and management
This section discusses the decentralized dry waste management model, emphasizing PWM, and recycling. The door-to-door collection of municipal
solid waste is handled by authorized agencies or contractors from sources
such as households, condominiums, institutions, commercial buildings, etc.
The waste is then transferred to small collection points called decentralized
dry waste centres or transfer stations of ULBs. The waste at these transfer
points is finally sent to MRFs.
Incoming waste is segregated at the MRF into dry and wet waste. The wet
waste is processed and sent for composting, biogas generation and the
residue is dumped in landfills. The dry waste is further segregated into different
categories including plastics. Recyclable materials are sent for recycling and
non-recyclables are treated for the end-of-life cycle. The flow of the process is
depicted in figure.
CENTRALIZED TREATMENT
Controlled Incineration
CENTRALIZED TREATMENT
Controlled Incineration
• Used sanitary napkins
• Used diapers
HAZARDOUS HOUSEHOLD WASTE
• Solid waste generated from
hospitals and nursing homes.
BIOMEDICAL WASTE
MUNICIPAL
SOLID WASTE
CENTRALIZED
TREATMENT
—Composting
—Bio-methanation
CENTRALIZED
TREATMENT
Sorting,
Segregating &
Recycling
BIODEGRADABLE
MUNICIPAL WASTE
• Kitchen waste
• Cooked & uncooked waste
• Vegetable market rejects
• Garden waste
MUNICIPAL DRY
WASTE
• Paper
• Plastic
• Glass bottles
• Household rejects
• Post-consumer
packaging waste
• Old clothes
• Worn out shoes, belts etc.
10NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management 2.1. Component 1 : Technical model for plastic
waste recycling and management
This section discusses the decentralized dry waste management model,
emphasizing PWM, and recycling. The door-to-door collection of municipal
solid waste is handled by authorized agencies or contractors from sources
such as households, condominiums, institutions, commercial buildings, etc.
The waste is then transferred to small collection points called decentralized
dry waste centres or transfer stations of ULBs. The waste at these transfer
points is finally sent to MRFs.
Incoming waste is segregated at the MRF into dry and wet waste. The wet
waste is processed and sent for composting, biogas generation and the
residue is dumped in landfills. The dry waste is further segregated into different
categories including plastics. Recyclable materials are sent for recycling and
non-recyclables are treated for the end-of-life cycle. The flow of the process is
depicted in figure.
Figure 5 Municipal waste processing in India
HOUSEHOLDS, INSTITUTES, ORGANIZATIONS
SMALL COLLECTION POINT
TRANSFER STATION
MATERIAL RECOVERY FACILITY
DOOR-TO-DOOR COLLECTION
TRANSPORTATION
COMPOSTING BIOGAS LANDFILLSEGREGATION
RECYCLING
MARKET
LANDFILL
WET WASTEDRY WASTE
UNDP is implementing
an integrated model
to develop the MRF
waste eco-system in
the country. The model
promotes an inclusive
approach by involving
different stakeholders
and ensuring social
benefits to the waste
pickers.
Building on this process, UNDP is implementing an integrated model to develop
the MRF waste eco-system in India. The model promotes an inclusive approach
11NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management by involving different stakeholders and ensuring social benefits to waste
pickers. The schematic diagram of the model is detailed in figure 6. The details
of its development and implementation are covered in sections ahead.
Figure 6 Technical model for MRF waste eco-system
MATERIAL RECOVERY FACILITY WASTE ECO-SYSTEM
PWM INTERVENTIONS
MUNICIPAL WASTE VALUE CHAIN
Material Flow
Data Flow
Waste Generators
Institutions and
Organizations,
Schools & Colleges,
Municipality,
Community, Industries,
Hotels, Restaurants,
Commercial Places
Plastic
Consumers-Brand
Plastic Resins
Manufacturers
Municipal Waste
Collection with Registered
Waste Pickers
Informal Waste
Pickers
Decentralized
Waste Collection
Centres
INFORMAL WASTE VALUE CHAIN
Material
Recovery Facility
Kabadiwala
Scrap Yard
Pre-Consumer
Waste & Plastic
User Industries
RECYCLER
Wholesaler
Set up
MRF,
ensure
operations
Register
waste
pickers, social/
financial
inclusion
Data
management
and financial
inclusion of
kabadiwala/
scrap yard and
wholesaler
Set up
Material
Recovery
Facility
and ensure
operations
Data
management
reporting and
traceability
12NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management I. De
A baseline assessment would help assess the overall negative impacts (envir-
onmental and health) of plastic waste and look at the current practices and
gaps in achieving sustainable waste management. As a first step, cities need
to develop a baseline inventory (for the format see Annexure I) covering the
following components.
fInventory of different categories of plastic waste generated, such as PET, HDPE, LDPE, PP, PS, PVC. See figure 7 for the categories based on their
identification codes.
11
fDetailed mapping of the complete lifecycle of plastic waste up to the end-
of-life stage, starting from collection, segregation, recycling, and other
available options. This also includes situational analysis of the existing
system by including waste pickers and their value in the supply chain.
II. Enabling environments for the creation of plastic waste recycling at the
city level : Once the baseline study and assessment has been conducted, the second step involves enabling an environment for waste recycling.
fA waste management agency/organization should be chosen at the city level based on a pre-defined selection process by authorities. This
organization will be involved in the model as a key stakeholder as they
will facilitate the implementation of plastic recycling processes in the city.
fPost selection, training and exposure programmes for the shortlisted organization should be conducted utilizing training materials, including
key learnings and challenges.
fTraining and/or exposure programmes should be conducted for all
other stakeholders, including ULB officials, self-help groups (SHGs), state
pollution control boards (SPCBs) and communities etc. The training
programme should focus on adequate knowledge sharing to develop
implementation plans.
fExposure visits should be organized between government and private players to strengthen inter-institutional learning and knowledge exchange.
fULBs could provide the land to set up an MRF, which could be used by various industries to set up infrastructure for efficient PWM.
fIn addition, workshops could be conducted to ensure sustainability of effective plastic waste recycling practices adopted and encourage
knowledge sharing.
11 Most p
of plastic polymer types, identifiable by their resin content label. This label is referred to as RIC (Resin
Identification Code), and it represents the recyclability preference for each polymer. It is symbolized by
a number (depicting preference with 1 being the most preferred) and three “chasing arrows”.
MATERIAL RECOVERY FACILITY WASTE ECO-SYSTEM
13NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Figure 7 Categories of plastic. Source: American Chemistry Council
Note: Images are used for illustrative purposes only, and have been sourced via Google Images
OTHER
10 or 20 liters
reusable water
cans
Custom
packaging
OTHER
POLYPROPYLENE
Containers for takeout meals
Medicine bottles
Bottle caps
Yogurt containers
PP
POLYSTYRENE
Food service
items, cups,
plates, bowls,
cutlery, egg
cartons
PS
LOW DENSITY
POLYETHYLENE
Plastic bags for breads, frozen
foods. household
garbage
Squeezable
bottles
Coating for paper
milk cartons and
beverage cups
LDPE
POLYETHYLENE
TEREPHTHALATE
Plastic bottles for soft drinks, water, juice,
beer
Food jars for jelly and
jam
Microwavable food
trays
PET
POLYVINYL
CHLORIDE
Rigid packaging
like blister packs
Flexible
packaging like
blood bags.
medical tubes,
Food wrap,
vegetable oil
bottles
PVC
HIGH DENSITY
POLYETHYLENE
Bottles for milk,
cosmetics,
shampoo,
household
cleaners
Cereal box liners,
oil bottles
HDPE
14NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management III. S
T
formal partnerships.
fULBs with the support of multilateral agencies should conduct surveys to
identify and select stakeholders at the city level. The different stakeholders
include ULBs, waste management agencies/organizations, waste pickers, bulk
waste generators (BWGs), waste aggregators and back-end recyclers.
fBased on discussions between the waste management agency/organization, ULB and other relevant stakeholders, wards should be selected to pilot the
systemic approach, which can then be replicated across wards in the city. A
certain number of waste pickers should be linked to collect plastic waste in
every ward/city.
fThe agreements to be obtained will include:
~A signed agreement between the authorities and the waste management agency/organization to operate recycling activities (collection, segre-
gation, recycling, etc.) through waste pickers and manage transfer stations
and main recycling unit, i.e., the MRF.
~A signed agreement between recyclers/co-processing units and waste pickers for the collection and segregation of plastic waste at pre-defined
price rates.
~A signed agreement between implementing agencies and local munici-
palities to provide land and set up recycling centres on the availability of
resources like land, space, and machinery.
~Mutually signed agreements with different stakeholders involving end-of
life processors.
2.1.1 R
Below are recommended timelines for the completion of Component 1. The overall activity should be completed within four months.
Activities Month I Month 2 Month 3 Month 4
Development of a baseline system of
PWM at the city level
Enabling environments for the creation
of plastic waste recycling at the city
level
Stakeholder identification and
partnerships
15NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 2.1.2 Case Studies
NO LONGER GOING TO WASTE: MADHYA PRADESH SHOWS THE
WAY FOR INTEGRATED PWM
The city of Indore, which is home to almost 2 million people, generates 900–1,000
12
metric tonnes of waste every day, 14 percent of which is plastic, and this is enough to
fill five to seven shipping containers. The city of Bhopal generates around 800 metric
tonnes of waste per day. It is no surprise that urban waste management is one of the
top priorities of the Government of India, and that local and affordable innovations in
this sector are highly valued.
In this context, the concept of the ‘circular economy’ – an economic system intended to
12 https://www.smartcityindore.org/solid-waste/
1
16NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management eliminate waste and the ever-increasing use of resources – offers a pathway
to more sustainable resource management. It means reduced production,
use and disposal of plastics. Through the single, powerful objective of
reduce > reuse > recycle, waste collectors in Bhopal and Indore are working
to prevent cast-off plastic from entering the environment in the first place.
A plastic waste revolution
In Bhopal, ULBs in partnership with a local organization, have been working
with waste collectors since 2008 to streamline plastic waste collection
and sales to recyclers. The organization initially developed a sustainable
integrated waste management system for five wards in Bhopal, which
served as a model for the creation of a PWM policy at the state level in
2011. This model, now known as the ‘Bhopal model’, has been replicated
in all states across India (and even onwards to Bangladesh). This innovative
model recycles and processes plastic and reuses it in the construction of
roads, benefiting over two million people.
Waste pickers collect and hand over plastic waste to collection centres run
by the Bhopal Municipal Corporation. The plastic waste is scanned and
segregated, and most single-use plastics – which comprise half of all the
plastic in this waste stream – are shredded and baled.
The bales are then taken for co-processing at cement kilns or used to
build roads. It’s a win-win situation: for waste-collectors – one of the more
vulnerable communities in Indian society – because it doubles their wages
and ensures that something useful is done with the plastic litter. In 2010,
in close collaboration with the Bhopal Municipal Corporation, UNDP’s
Small Grants Project (SGP) provided an initial grant that enabled a local
organization to conduct focussed interventions in five wards. Part of the
interventions included organizing waste pickers into SHGs. In 2014, the local
organization was awarded another SGP grant to mobilize more than 2,000
unorganized waste pickers in 70 wards of Bhopal Municipal Corporation.
Lending legitimacy
A crucial element of the project’s success was the organization’s partnership
with the ULBs and local industries. Through the SHGs, the waste collectors
– many of whom are socially marginalized and illiterate women – were
organized and trained in waste collection and recycling activities.
The majority of these waste collectors have been provided with municipal
identity cards and uniforms through this project. While improving their
livelihoods and protecting the environment, these women contributed
approximately 10 tonnes of plastic waste collected at five recovery centres
in Bhopal every day, which was recycled by cement industries in and around
the city.
‘I’ve been sorting waste
for 15 years. Polythene
bags, glass, plastic,
and more: we pick
up all of this stuff of
the roads. We used
to collect dirty plastic
bags from the street
and the plastic traders
would offer us less
money per kilogram
because the bags
were dirty. And people
would stop us from
collecting trash and tell
us to leave their colony.
Now that we work with
the municipality, no
one tells us to stop. In
fact, they now ask us
to come and pick up
waste’
- Meera Gosai,
waste picker.
17NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management By the end of 2016, 646 waste pickers in Bhopal were organised into 42 SHGs.
More than 60 percent of these waste pickers are women, who earn a daily living
from selling plastic waste. Forty members from the various SHGs have also been
trained in making bags out of used polythene, which are sold in exhibitions across
India. The success of the Bhopal project led to the establishment of a pilot plastic
recovery centre in Indore, and as a result, 3,500 waste pickers were organized into
SHGs. In addition, given the occupational hazards involved, the local organization
also conducted regular health camps, and over 850 waste collectors are now
enrolled in health insurance schemes.
From waste collection to waste recovery
By collaborating with local government bodies, the Bhopal Municipal Corporation
allocated 230m
2
of land for waste collection centres. The Madhya Pradesh Pollution
Control Board facilitated waste transportation to cement kilns, and the Bhopal
Municipal Corporation provided 850 cycle rickshaws to the local organization to
enable easier waste collection.
In 2014, five plastic waste collection centres in Bhopal were upgraded to plastic
waste recovery centres. This included fitting the centres with plastic shredders,
compressor scrap baling machines, and other necessary machinery. The centres
are facilitated by the local organizations and managed by the women SHGs.
Approximately 10 tonnes of plastic waste are collected at these centres every
day. Around 45 tonnes of plastic waste is sold to cement industries in and around
The Bhopal Municipal Corporation
has a robust GPS-enabled vehicle
tracking system for door-to-door
collection of the waste. These
vehicles have been allocated unique
ID numbers and have designated
zones from which they collect waste
from households. This link is for the
page from where the movement of
vehicles can be tracked:
http://incubategps.in/bmc.html
Such initiatives ensure transparency,
efficiency, and accountability.
18NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Bhopal to be used as fuel in the furnaces. Around 60 tonnes of plastic waste is
sold to the Madhya Pradesh Rural Road Development Authority every month to
be used in road construction.
On the road
One of the most environmentally sensitive and economically useful means of
repurposing plastic waste is using it in road-making. Higher-grade polyethylene
is baled and sent to cement plants to be used as alternate fuel. These are
non-recyclable plastics and can burn with coal at temperatures >1,300°C. In
collaboration with the local organizations, the SHGs in Bhopal, who manage the
plastic recovery centres, constitute small enterprises via the sales of processed
plastic wastes to recyclers, road construction agencies and cement factories.
Roads made with mixed plastic are highly durable due to their high resistance to
water, which is significant for a region with an extended monsoon.
2
KARNATAKA: A TEXTBOOK MODEL FOR SUSTAINABLE PWM
Saahas Waste Management Pvt. Ltd. (Saahas Zero Waste, SZW) is a social enterprise, offering integrated waste management services to BWGs, corporations, apartments
and government institutions. SZW offers plastic waste services to corporations
through its EPR vertical.
The model currently provides consultancy services to help implement a holistic,
decentralized waste management system, enabling the recovery of maximum
value from waste. SZW has an ongoing project being implemented in these four
locations: Udupi, Ramanagara, Mangalore and Ballari. This project entails the
design and construction of an MRF, a semi-mechanized facility which receives and
processes dry waste from BWGs, gram panchayats and ULBs. The set-up of the MRF
entails capital expenditure, including investments in infrastructure, monitoring
devices, material handling and safety equipment etc. The operating expenditure is
recovered through collecting a user fee from waste generators, which is charged by
the municipal corporation. SZW engages with ULBs towards the implementation
of EPR by securing authorizations for collection of plastic waste pan-India.
Key highlights of the model
fEnd-to-end service: Sahaas offering holistic services including EPR
registration, design of action plan, implementation of EPR, quarterly project
report submission, reporting and fulfilling audit requirements.
fReverse logistics: Saahas has a well-defined reverse supply chain that allows
the effective transportation of post-consumer waste to the authorized end
destinations.
fRejected product collection services: SZW supports brands/producers in the
collection and safe disposal of their expired/damaged products.
19NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management IMPACT OF THE MODEL
• 20,300+ metric tonnes
(MTs) of waste diverted
from source to authorized
end destination.
• 37,000+ MTs of CO
2
emissions averted.
• 200,000 trees every year
saved due to recycling paper.
• 252 people employed
from lower socio-economic groups.
• F
management and inclusion of informal workers.
fTraceability tool: SZW has developed tools for traceability, data monitoring
and the digitization of data through software platforms and Internet of
Things and for the computer-assisted sorting of waste, etc.
fImpact measurement: SZW is a member of UNDP’s Business Call to Action,
through which impact metrics is demonstrated for each EPR plastic waste
collection centre. These impact metrics are aligned to the SDGs.
20NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Implementation process of the model
The stages of PWM implementation include:
fMapping the supply chain
fEnrolling waste pickers/scrap dealers/micro entrepreneurs and transporters
fIssuing purchase orders, SOPs and registering vendors with end destinations
fData capturing for waste collection
fDispatching plastic waste to authorized end destinations for recycling/co-
processing
fProviding data reconciliation and obtaining recycling/co-processing certi-ficates from end destinations
THE RECYCLING MODEL IN SURAT: ENSURING SUSTAINABLE
PWM WITH MULTI-STAKEHOLDER PARTNERSHIPS
Surat is one of the busiest and major commercial hubs in the country. As per
the Surat Municipal Corporation (SMC), the city has a population of more than
60 lakh people, and it generates almost 220 MTs of plastic waste every day. With
guidance from the SMC, Ecovision, an environmental resource management
consultancy firm, has been managing plastic waste in the city efficiently.
Working closely with the SMC, it has emerged as a single point of integration for
PWM initiatives in the city.
Ecovision manages nine MRFs in Surat and handles 65 to 70 MTs of plastic waste
every day. It has developed a strong network of collection channels with the
help of door-to-door agencies, residents’ welfare associations, waste pickers and
more. Ecovision has also set up nine separate collection centres at BWGs such as
commercial stores, shopping malls and airports. The Company’s collection rate has
increased from 10 tonnes per day (TPD) of plastic waste in 2019 to 70 TPD in 2020.
Ecovision has also partnered with academic institutions like the Indian Institute of
Management, Ahmedabad, Pandit Deendayal Energy University, Central Institute
of Petrochemicals Engineering & Technology (CIPET), etc. Ecovision is also working
on a tripartite community engagement model between educational institutes,
citizenry and corporates. With the help of these associations, Ecovision has been
designing artificial intelligence and digital-powered tools to clean waterbodies
and streets among several other initiatives.
It works with more than 400 waste pickers and is working to bring them all under
the ambit of the Workmen’s Compensation Insurance Scheme. It is also closely
coordinating with the SMC to ensure that these waste pickers have access to
social security schemes and benefits like healthcare, education facilities, etc.
During the pandemic, the organization also provided families of waste pickers
with cooked meals and is now helping them with COVID-19 vaccination.
3
21NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management IMPACT OF THE MODEL
1. T
of plastic waste to 70 TPD.
2. W
Ecovision ensures they are linked to social
protection schemes.
3. R
now active in other cities of Gujarat as well, managing 40 percent of Gujarat’s plastic waste.
PANAJI’S 16-WAY SEGREGATION APPROACH SHOWS A NEW
MODEL FOR SEGREGATION AT SOURCE
As an urban tourist city, Panaji generates around 42 TPD of waste. After segregation,
the wet waste is composted, while the recyclable dry waste is sent to recyclers and
the non-recyclables to cement factories as refuse-derived fuel for co-processing.
The city has implemented an innovative model for a 16-way segregation at
source. Once segregated, the waste goes through different streams of recycling
and resource recovery, therefore drastically reducing the waste that ends up in
landfills. This system is cheaper, requires minimal manual or mechanical sorting,
reduces the burden on the environment and the stretched waste system. More
importantly, this innovative system reduces the occupational health risks for waste
pickers who segregate the waste at MRFs.
4
22NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management ZERO WASTE TO LANDFILL
Mandatory
segregation
at source
Small residential, commercial
establishments - mixed dry
waste
COLLECTION AND
TRANSPORTATION
OF WASTE BY THE
CORPORATION OF
THE CITY OF PANAJI
Large residential, commercial
establishments -16 way
segregated dry waste
Transported
to Sorting
Stations
Transported
to MRF
16 -Way Dry waste
segregation (Paper, Plastic,
Glass, Metals etc.)
MATERIAL RECOVERY
FACILITY
Segregation into
32 fractions. Plastic
processing using
machine like shredders,
extruder.
Plastic waste sent
to recycling centre
in city to create new
products like masks,
helmets, furniture
RECYCLING CENTRE
DECENTRALIZED SORTING STATIONS
Non plastic fractions
sent to registered
aggreegators and
recyclers
Non-recyclables sent
to cement factories
for co - processing
So far 60 percent (101) BWGs and housing societies have been reached and sensitized on the 16-way model. Forty-two of them have completed or in process of implementing the model. The buy-back system has been started in 33 entities.
Figure 8 Panaji’s 16-way
waste segregation approach (Left) Source: Panaji Municipal Corporation
Figure 9
Implementation process
for 16-way segregation
(Down)
Source: Panaji
Municipal Corporation
23NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management The Panaji Municipal Corporation (PMC) in collaboration with the recycler, 21 Century
Polymers, Mineral Foundation of Goa (organizations) and UNDP has targeted and
onboarded 152 BWGs under the programme. Subsidies have been worked out with
ULBs to reduce the capital cost of the infrastructure required for 16 bins. A buy-back
system of dry waste has been introduced to incentivize those undertaking 16-way
segregation. This will help offset implementation costs and generate long-term
return on investment.
In October 2020, the PMC made 16-way segregation a part of the Solid Waste
(Management and Handling) bylaws of the city, making it mandatory for all BWGs to
follow the model.
DIVERTING 52 PERCENT OF PLASTIC WASTE AND SAVING RS 900
MILLION: WOMEN-LED SWACH REMAINS THE BEST EXAMPLE OF
THE INFORMAL SECTOR LEADING WASTE MANAGEMENT
Pune based SWaCH is one of the country’s oldest and first cooperatives owned by
a self-employed waste pickers association. With more than 3,000 members, SWaCH
has created a robust model that not only negotiates with the government as an
equal stakeholder but has also succeeded in securing livelihoods for Pune’s informal
waste workers.
It primarily focuses on providing the best waste collection services in compliance
with waste management laws and securing/upgrading the livelihoods of waste
workers. SWaCH workers go door-to-door to collect recyclable waste, engage in
manual segregation of recyclable waste at the premises of the waste generator and
then sell these recyclables to small and medium scrap shops, which recycle these
into new products.
The workers are entitled to a user fee from the waste generators for the waste
management services provided by them. The Pune Municipal Corporation also
provides these workers with health insurance and identity cards, a major step in
ensuring they have recognition and social protection.
SWaCH engages in behavioral communication and education activities with RWAs,
and it manages two helplines: one for members of the cooperative and the other for
the complaints by residents.
Women comprise over 80 percent of the organizational membership, and there
is strong representation from the scheduled castes and other backward classes.
The recognition provided by SWaCH has empowered cooperative members from
these communities and has minimized their exposure to social vulnerabilities like
exploitation and harassment.
Started with just 50,000 properties in 2005, SWaCH has served more than 640,000
properties with 3,076 members in Pune until 2018. Today, it collects 30,000 tonnes
of plastic waste every year, of which 15,000 tonnes are sorted and sent for recycling.
5
24NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 2.1.3 R
The below given figure illustrates the role of different stakeholders for completion
of Component 1.
The Urban
Local Bodies
will support
the model
by allocating
the land and
machinery
support.
The selected
local organization
will manage
the complete
management
of plastic waste
recycling from
collection
to recycling.
This will act
as the main
implementing
agency for
running the
various models.
The multilateral
can act as
facilitator of all
the activities
mentioned in
the component.
They will provide
knowledge and
technical support
for facilitation
of the process
with focus on
sustainability
and social
inclusion.
The brand
owners or
industries can
play a major role
by providing
the financial
investment and
support to set
up the MRF in
selected cities.
This can be
considered
under the EPR
of particular
industry or
company.
Waste pickers
will provide
support in
collection and
segregation of
the waste from
generators to
MRF.
The end
recyclers will
act as key
stakeholder to
bring market
driven approach
and producing
products based
on market
demand. The
end recyclers
will purchase
processed
material
from MRF for
recycling.
ULBs Organization MultilateralWaste Pickers End RecyclersPrivate Players
IMPACT OF THE MODEL
1. SW
tr
P
2. T
inc
25NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 2.1.4 Cross reference with PWM and SWM rules
of Government of India
Recommendations made under Component 1 are aligned to the Plastic Waste
Management Rules 2016 and 2018 and its amendments. Some of the key cross-
reference points can be accessed by referring to the following rules, and the page
numbers have been mentioned for easy reference.
fRule 5. Plastic waste management (page number 5)
fRule 6. Responsibility of local body (page number 5-6)
fRule 9. Responsibility of producers, importers and brand owners
(page number 7)
fRule 13. Registration of producers, recyclers and manufacturers (page number 9)
26NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Figure 10 Waste logistics and traceability model. Source: UNDP
Governance
Logistics Material Recovery Facility Logistics
Recycling partner
MunicipalityMRFOrganization
Organization
Segregation Collection
Organization
Community
engagement
Capacity building
of waste pickers
Secondary sorting
WASTE INFLOW
Re-aggregation Semi-processing
WASTE OUTFLOW
Organization
Recycling
Village panchayat
Municipality
Waste pickers
Citizens
2.2 Component 2: MRFs for improved PWM
implementation
MRFs are integrated waste management facilities required in a city to extract the
recyclables from the inflow of MSW. An MRF is powered by advanced machinery
and waste pickers to recycle all kinds of plastic waste along the value chain for
shipment to manufacturers or recyclers as raw material. The viability of the
process at the MRF completely depends on the quantum and market demand
of recyclables because it is both labour and energy-intensive. In an ideal waste
value chain system, an MRF plays a vital role in incorporating the circular economy
approach. Figure 10 represents the ideal logistical route of MSW from the source
of generation to an MRF to a recycling facility.
MRFs handle all kind of dry waste – separated at source and mixed – collected by
city municipal corporations/nagar nigams/nagar panchayats/BWGs or by waste pickers, aggregators, organizations and others. Recyclable materials received at
an MRF are sorted, cleaned, value added and transported to material-specific
recyclers. Non-recyclable low-grade plastic material are sent to end-of-life
processes. The dry waste generated at the household level or at municipal sources
will be collected through a door-to-door collection system and transported to an
27NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management MATERIAL RECOVERY FACILITY – MATERIAL FLOWCHART
COLLECTION OF WASTE
INFLOW OF MATERIALS (MIX DRY WASTE)
MUNICIPAL
COLLECTION SYSTEMS
WASTE PICKERS SWEEPERS
ITINERANT BUYERS
(AGGREGATORS)
PRIMARY SORTING OF MATERIALS (INTO 7 CATEGORIES)
MATERIAL RECOVERY FACILITY
MIXED PLASTIC
(HARD)
MIXED PLASTIC
(PANNI)
PAPER GLASS METAL
OTHER DRY
WASTE
REJECT
WASTE
SECONDARY SORTING OF MATERIALS (INTO 43 CATEGORIES)
KALA FUGA
MIXED
PLASTIC
(HARD)-I
WHITE
BOTTLE
GREEN
BOTTLE
COLORED
BOTTLE
BOPP
FUGA
KADAK
SOLE
MIXED
PLASTIC
(HARD)-II
PVC
TETRA
PAK
SILICON
SHEET
CLEAR
KADAK
COLOR
KODAK
CD
MIXED
PLASTIC
(PANNI)
HM
LD
PP WHITE
PP COLOR
BLACK PP
1 NO. LD
HD
LD MIX
MLP
PAPER
COLORED
WHITE
CARD-
BOARD
TISSUE
NEWS-
PAPER
METAL
GERMAN
ALUMINUM
DISH
ALUMINUM
CAN
ELECTRICAL
WIRES
E-WASTE
GLASS
BROWN
GREEN
WHITE
SHEET
MIX
OTHER DRY
WASTE &
REJECT
THERMOCOL
CLOTH
TYRE/TUBE
WAX
REJECT
WASTE
COLLECTION OF WASTE
COLLECTION OF WASTE
MUNICIPAL COLLECTION
SYSTEMS
WASTE PICKERSSWEEPERS
ITINERANT BUYERS
(AGGREGATORS)
Figure 11 MRF material flow chart. Source: CPCB
28NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management MRF. The segregated waste is then categorized in a wide range, and which will
then be recycled based on the quality of the waste.
MRFs have machinery and resources, which require efficient procedures for proper
operation, monitoring and evaluations. The manual and digital systems can be
used for weighing and recording incoming waste data daily. The waste is unloaded
at a designated point, and sorting takes place on a conveyor belt. The materials
recovered from the conveyor belt are further processed for value addition and
ease of transportation.
A. MRF designing criteria
MRFs are designed based on two important criteria which define processes and equipment.
i. P
ii. Q
S.No. Population Per day capacity of the MRF (max.)Required space
1 Less than 50,000 15 MTs of dry waste 2,000 sq. ft.
2 50,000 to 150,000 30 MTs of dry waste 3,000 sq. ft
3 Above 150,000 Centralized processing centre with multiple
decentralized dry waste collection centres
5,000 sq. ft and
above
Table 1 Types and sizes of MRF based on criteria
The conceptual layout plan for an MRF is shown in Figure 12 on next page. The
layout and design can be modified based on the city, population and the amount of
land available to construct the MRF. Cities with smaller populations can opt for one
MRF and cities with larger populations can build a centralized MRF with multiple
decentralized centres.
B. Site development, MRF construction and waste flows
For the site development of the MRF, the following steps need to be undertaken:
fSelection and allocation of location and site for the construction of MRF
fIdentification of waste logistics in the city and estimation of the quantum of dry waste
fCivil work specifications including preparation of design and drawings
fSelection of plant and machinery capacity for waste processing
29NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management
ÆCampus boundary
ÆShed boundary
ÆEntrance and exit
doors
ÆEmergency exit
ÆMachine layout (indicating machine input/output facing, placement of electric panel)
ÆWorking space
ÆPlatforms, working tables/benches, containers, etc. for all machineries as per process requirements
ÆForklift movement area (if required)
ÆElectric panel and layout
ÆOffice space
ÆClean space for waste pickers (lunch area and crèche)
ÆToilets
ÆHandwash area
ÆDrinking water cooler
ÆIncoming waste unloading area and a sorting area
Figure 12 Conceptual layout plan of MRF. Source: UNDP
8 8 88 8
8
8
8
6
15
15
15
444
4
12
12
12
10
10
25
30
10
12
Grill Gate-1
Drinking Water Filter
Cum Cooler
In Stock Storage 3
In Stock
Storage 2
In Stock
Storage 1
Office
Space
Out Stock
Storage 3
Out Stock
Storage 2
Out Stock
Storage 1
Alternate Grill Gate-2
Conveyor Belt
Phatka Machine
Fork Lift Movement Area
Common
Sitting &
Resting
Room
Gatta Machine
Aglo Machine
Shredder
Bailing Machine
Wash
Room
Wash
Room
Note: All dimensions in feet
...................... Machine Area
....................... Truck Loading-Unloading Area
MATERIAL RECOVERY FACILITY
110, 6
79, 19
Based on finalized design MRF construction includes:
30NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management
ÆStock storage and
description of storage
ÆFire extinguisher installation
ÆExhaust fan
ÆWeighbridge demarcation and
any other machines
expected in future
ÆWater/cooling
provision for gatta
(if required)
ÆInstallation of safety signages for the
location
ÆInstallation of MRF
information board
ÆInstallation of the dos and don’ts board
Once the infrastructure is completed, the estimation and linkage of waste inflows
and outflows need to be conceptualized and established. The waste inflow sources
and outflow process is represented in figure 13.
C. W
At an MRF, the inflow waste carrying vehicle is first weighed at the weighbridge
or weighing machine depending on the quantity of waste. The incoming waste is
recorded daily in manual and digital systems. The waste is unloaded at designated
points at the MRF and then sorted or segregated on a conveyor belt. The plastic is
segregated and separated based on the representation in figure 14.
31NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management • Municipal Collection
System
• Dry Waste Collection Centre
• Aggregators (Kabadiwala)
• Independent Waste Pickers
• Bulk Generators (Companies, Hotels, Markets, Shops)
• Pre-consumer Waste and Plastic User Industries
• Religious Places
• Educational Institutes
• Commercial Activities
• Baled PET
• PET recycler to yarns
• Shredded HDPE
• HDPE to Granules
• Shredded LDPE
• Road Laying Composite
• Gatta Material
• Agri-pipe Making Process
• Baled MLP, HDPE, IDPE
• Cement Kilns
Co-processing
• Rejects
• Safe Disposal to Landfill
• Other Dry Waste
• Connect to Appropriate
Recyclers
MATERIAL RECOVERY FACILITY
Figure 14 Plastic segregation representation. Source: CPCB Guidelines on Plastic Waste Management
PET
01
HDPE
02
Other
07
PS
06
LDPE
04
PP
05
PVC
03
Bottles
Trash Bags
Eyeglasses
Coffee Cup
Cling Wrap
Yogurt
Cups
Pipes
Jars
Shampoo
Bottle
CD/DVD
Food Box
Shopping
Bags
Disposable
Cups
Tote Bag
Medicine Jar
Soap Bottle
Baby Bottle
Plastic Cutlery
Flexible Bottle
Bottle Caps
Tile
Rope
HDPE Bucket
Frozen Food
Packaging
Tupperware
Shoes
PLASTIC
Figure 13 Waste inflow sources and outflow process
32NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management The sorted/segregated waste is cleaned using an air blower (phatka machine) to
remove the soil from the plastic. The cleaned plastic films/multi-layered plastics
(MLPs) are baled or shredded for value addition and for ease of storage and
transportation. The shredded plastic films are glued together and agglomerated
to form plastic lumps and then sold to recyclers as raw material for the manufacture
of various products. The baled plastic is stored or sent to cement kilns for co-
processing. The pictorial representation of the required equipment and the waste
management cycle at the MRF is shown in figure 15. The types and uses of the
equipment are given in table 2.
Equipment Uses
Conveyor Belt
A conveyor belt eases the process of segregation and reduces workload for
waste pickers.
Air Blower
An air blower is used to dry clean thin plastic/MLPs by removing dust and moisture. Air is blown through a channel to separate the dirty material and remove dust and moisture from the waste.
Shredder
Dry and dust-free thin plastic is shredded into 2–4 mm flakes. These shredders tear up the plastic into small pieces/flakes, preparing them for recycling into other products.
Agglomeration and
Extrusion
The material is agglomerated with frictional heat within a fraction of a second, right below the melting point, and this is a process of surface fusing. Valuable lightweight fused plastic particles are produced with minimum heat and thermo-
degradable damage.
Fused plastic produced from the agglomeration stage is fed through the feed
hopper into the barrel of the extruder. The material is gradually melted by the
heaters arranged along the barrel and is pushed forward by a mechanical screw
inside the barrel. The molten polymer is collected as a lump, cooled and stored.
Bailing Machine
A baling machine is used to compress high volumes of plastic waste/PET bottles into rectangular bales, which helps bind them. Bales are easy and safe to transport.
33NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Waste Inflow
Weighbridge
Conveyor Belt
Phatka Machine
Shredding
Machine
Aglo & Gatta
Machine
Bailing Machine
Forklift
Weighing
Machine
Resource
Outflow
Recycling
of Plastic/
Shredded
Plastic
Enterprises
Material
Recovery Facility
Figure 15 Waste management cycle at an MRF
Equipment Uses
Weighing Machine
This is a platform weighing scale with a built-in thermal printer and an auto
print facility. This means that this machine will provide a slip after weighing the
waste with the details fed by the operators (e.g., operator’s name/seller’s name/
product name along with the details of rate and cost).
Weighbridge
A weighbridge, or railroad scale, is a large set of scales, usually mounted permanently on a concrete foundation, used to weigh entire collected waste in the vehicle.
Table 2 Waste processing equipment and their uses
34NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management D. Elements of the MRF
For an MRF to be economically sustainable, it needs to be equipped with processes and
protocols which not only address dry waste management but also create a sustainable
ecosystem for resource efficiency, environment compliances, basic amenities, health and
safety and a socio-economic support system for key players such as waste pickers and
recyclers. The key elements to be considered at MRF are:
1) T
resource efficiency, reduced manual labour, environment-friendly practices and low rejects going to landfills.
2) D
and social management plan with a focus on:
—Fair wages, equality and justified working hours for waste pickers.
—A safe working environment including the provision of drinking water by installing a water purifier unit onsite, clean sanitation facilities for both male
and female workers, handwashing point with continuous water supply,
common rooms for changing clothes, and rest during breaks.
—Availability of a first-aid kit.
—Establishment of a children’s creche and safe play area at the site.
3) M
medical schemes such as:
—Ayushman Bharat Yojana
—Janani Shishu Suraksha Karyakaram
—Pradhan Mantri Matritva Vandana Yojana
4) D
—Safe workplace for women.
—Gender-inclusive workplace by involving women in management and leadership roles.
—Gender-responsive health education, including nutrition, pregnancy prevention and care.
—Menstrual health and hygiene.
—Prevention from gender-based violence.
5) F
a longer term by engaging in various schemes:
—Pradhan Mantri Jan Dhan Yojana (PMJDY)
—Pradhan Mantri Jeevan Jyoti Bima Yojana (PMJJBY)
—Pradhan Mantri Suraksha Bima Yojana (PMSBY)
—Atal Pension Yojana (APY)
35NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 2.2.1 S
The standard operating procedures (SOPs) listed in this handbook are indicative
and it is not mandatory for ULBs to follow the same pattern. Depending upon
the local conditions, ULBs may amend and implement the same.
SOP for waste management agency (Organization -
Responsibility & Working Conditions at MRF)
After allocation of the shed space to start an MRF, the organization needs to
ensure that the following tasks are completed.
Operational:
1. Onc
equipment can be finalized. The organization needs to set up the MRF with basic facilities like chairs, tables, etc. as soon as the MRF is handed
over for easy day-to-day operations.
2. S
3. S
4. Under
at least once a month.
5. A
(mukkadam) and five or six waste pickers after following a fair procedure
of selection.
6. T
and establishing the processes of the MRF, including record-keeping and planning and monitoring the overall operations. Setting up all the
necessary operations and systems with all production, dispatch and other
activities in place is their responsibility.
7. T
learn about the processes, machines and operations at the MRF. Training on recognizing the different grades of plastics for better segregation and,
in turn, better prices and recycling should be provided. The organization
should coordinate with respective stakeholders to schedule the training.
8. T
The norms and rates for different grades of plastics collected by the waste pickers should be agreed upon.
9. A plan to reach out to the various BWGs like schools, colleges, hotels,
RWAs, institutes etc. for the collection of dry waste. Organizations should make formal arrangements/letters of exchanges/agreements with these
BWGs for the periodic pick-up of dry waste.
36NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 10. Or
of the baled plastic waste, gatta (extruded plastic), etc. from the MRFs with
the recyclers.
11. C
plants and municipal corporations to supply shredded plastics for road construction.
12. A
level in a city during the collection of waste and other issues.
13. T
necessary approvals from the SPCB should be taken.
14. Each MRF must have boards displaying dos and don’ts, safety rules,
emergency contacts, information on gender equality, salary, insurance and other factors.
15. O
paper, glass, cloth, cardboard, wet waste and other medical waste if it comes. Similarly, recyclers needed to be finalized and rates agreed upon.
Occupational and Social:
1. A
insured by the organization.
2. T
They should also procure trunks and safes for the storage of documents and rolling money for the ease of operations at the MRF.
37NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 3. Childr
coverage.
4. I
healthy working environment. During the operation phase at the MRF, dust
emissions could be observed during the segregation and cleaning of thin
plastic waste. Proper exhaust ventilation needs to be designed and installed
at the MRF (especially near the phatka and gatta machines) to prevent the
dispersion of dust, fumes and gases into the air which will cause harmful
exposure. Such exhaust systems need to be designed so that dust, fumes or
gases are not drawn into the work area.
5. T
electric connection and fixtures, first-aid kits. Emergency contact numbers
should be properly displayed.
6. W
other related materials.
7. T
data should be collected and regular meetings should be conducted at least once in 15 days to assess, solve, and report issues faced by them.
8. F
bank accounts and register under social security schemes should be planned and conducted.
9. Nec
Data Monitoring:
1. R
entry registers, etc.
2. T
recorded separately in the bookkeeping. All sales and purchase data should be recorded separately.
SOP for documents for monitoring and record-keeping at
MRFs to be maintained by the organization
1. WThe weighbridge manufacturer (vendor) will provide the
software for generating the weighbridge slip.
i. T
operator after weighing vehicles.
ii. I
waste, waste quantity, source/area name from where waste was
brought, name of person/waste picker/institution that brought the
waste to the centre.
38NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management iii. T
signed by the weighbridge operator before handing over the original
weighing slip to the waste picker or the person bringing in the waste. The
second copy should be maintained at the MRF.
2. R
3. R
4. R
5. R
6. R
7. IFor every sale, a tax invoice should be raised at the time of
sale. The tax invoice will be in triplicate with the original given to the buyer, the second copy to the transporter, with the third copy being retained by the MRF
for verification.
8. OA gate pass must be maintained for the sale and dispatch
of processed products to the recyclers/ customers.
9. AA separate attendance register must be maintained for
the MRF staff and waste pickers.
10. The organizations/directors/officials concerned need to verify all the books being maintained at the MRF every week.
11. AA record of the breakdown of machinery and
preventive maintenance should be maintained by the organization. This record
can be maintained in a simple logbook/off-the-shelf-register onsite. The register
shall be maintained by the process in-charge/person concerned.
12. RAny accident at the MRF, fire incidences and safe man
working hours should be recorded. This record can be maintained in a simple
logbook/off-the-shelf register on-site. The register shall be maintained by the
process in-charge/person concerned.
a. G
vouchers numbered in files.
b. A
daily purchase of consumables/any payment to person/waste pickers or organization/waste aggregator must be recorded as per the format – on
daily basis (see Annexure III).
13. RAll expenditures should be logged by the organization.
a. P
dealer/waste collector in cash must be recorded accordingly.
b. I
scrap dealers/rejects/services, etc. must be recorded daily.
39NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management c. I
dealers, waste pickers and recyclers.
d. C
e. C
for different recyclers.
14. R
a. A general ledger should be maintained for revolving funds use and the timely
recovery/receipt of funds from recyclers so that purchases/sales are conducted
effectively.
b. T
organization in a separate account and is transparently managed.
c. T
expenditure can be taken from it.
d. Each organization should have a Goods and Services Tax (GST) number.
e. Or
supply (plastic scrap), and they should pay income tax on accrued incomes on a quarterly basis as per the national IT rules.
f. Or
proprietorship concerns in the Registrar of Companies (RoC).
SOPs for approaching BWGs
a. Iden
to dispose of the waste.
b. Upon acceptance, a letter of agreement between the organization and the BWG
should be exchanged and the BWG should be linked to the project.
c. D
arrange the collection from the BWG (on a weekly or monthly basis, etc.).
d. D
(if needed).
e. Issue a certificate (of plastic processing) to the BWG (if required).
2.2.2 R
of Component 2
Given below are the recommended timelines for the completion of Component 2. The overall activity should be completed within six months.
40NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Activities Month 1Month 2Month 3Month 4Month 5Month 6
Selection and identification
of location for setting up
MRF
Procurement of consent
forms and all legal
documentations
Site development and
construction
Procurement of machinery
and setting up systems as
per SOP
2.2.3 Case studies
TRIVANDRUM LEADS THE WAY TO STREAMLINE BULK WASTE
GENERATORS
An effort to manage solid waste generated by BWGs in Trivandrum was undertaken
by the Clean Kerala Company Limited (CKCL), who engaged in multiple discussions
6
Organization
Quantity of waste
managed (since the
date of agreement)
Types of materials managed
Machinery/
infrastructure
installed
Trivandrum
Central Railway
Station
127.27 tonnes
Food waste, food containers,
recyclable plastics, aluminium,
foil, paper cups, plastic
containers, newspapers, diapers,
brown cover, packaging (plastic
and paper), used clothes, glass
bottles etc.
Plastic shredding machine,
baling machine, air blower,
biodigester with conveyor
belt.
Government
Secretariat
194.7 tonnes
Plastics, e-waste, furniture,
particle board, metal, glass,
thermocol etc.
No machinery was
installed due to space
constraints. Materials are
aggregated regularly,
collected, and processed
in the district warehouse
maintained by CKCL.
Table 3 Overview of operations managed by CKCL in Kerala. Source: CKCL
41NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management with them to understand their challenges in PWM. Following this, the CKCL set up
a fully operational collection, segregation, storage and processing system in 2019.
As a pilot, CKCL started servicing three major BWGs in the city: the Vikram Sarabhai
Space Centre, the Trivandrum Central Railway Station and the Government
Secretariat. All three institutions generate large quantities of wet and dry waste,
most of which was either dumped in common grounds or burnt in open air.
CKCL entered formal partnerships with these organizations and implemented
decentralized, on-site waste management systems for them.
CKCL entered into agreements with private organizations as part of this model.
It manages operations and maintenance of the facility, and the organization bears
the finances of the programme (staff wages, stationery, safety equipment for staff,
etc.). This arrangement is mutually beneficial and involves sharing profits as well
as disposal costs.
Workforce requirements for CKCL initiatives are met by the Kudumbashree Mission,
the official poverty eradication mission launched by the Government of Kerala in
1998. CKCL’s waste management projects with these three BWGs has provided
decent livelihood opportunities for staff, especially women.
42NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 2.2.4 Role of stakeholders
This figure illustrates the role of different stakeholders in the completion of
Component 2
ULBs will
support the
model by
allocating land
and providing
machinery.
The local
organization
will manage
the complete
management
of plastic waste
recycling from
collection to
recycling. This
organization will
act as the main
implementing
agency for running
the various
models.
Multilaterals
can act as
facilitators for
all the activities
mentioned in
the component.
They will provide
knowledge and
technical support
for the facilitation
of the process
with a focus on
sustainability and
social inclusion.
The brand
owners or
industries can
play a major role
by providing
financial
investment and
support to set
up a MRF in
the selected
city. This can
be considered
under the EPR of
particular industry
or company.
Waste pickers
will provide
support in
collection and
segregation of
the waste from
generators to
MRF and within
MRF.
The end
recyclers will
act as key
stakeholder
to bring
market driven
approach and
producing
products based
on market
demand. The
end recyclers
will purchase
processed
material from
MRF for final
recycling.
ULBs Organizations Multilateral Private PlayersWaste Pickers End Recyclers
2.2.5 Cross reference with PWM and SWM rules of
Government of India
The suggestions made for implementation are cross-referenced with the Plastic
Waste Management Rules 2016 and 2018. Some of the key cross-reference points
can be accessed by referring to the following rules, and the page numbers have
been mentioned for easy reference.
f13. Registration of producer, recycler and manufacturer (Pages 9-10)
f5. Plastic waste management (Page 5)
f6. Responsibility of Local Body (Pages 5-6)
2.3 Component 3: Institutionalization of MRF in
governance bodies
Institutionalization of MRFs and waste pickers is important in order to make the model sustainable. Scalability, sustainability and self-sufficiency are the key pillars
contributing to the fulfilment of set targets. Additionally, the mainstreaming of
waste pickers results in improved recognition and socio-economic conditions
for them. In India, the responsibility of PWM lies with ULBs at the city level, and
43NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management MRFs and waste pickers need to be institutionalized by ULBs for long-term PWM
sustainability. The next section details the SOPs and guidelines, recommended
timelines, roles of different stakeholders and case studies focusing on the institu-
tionalization of MRFs and improved socio-economic conditions of waste pickers.
Achieving institutionalization of PWM into ULBs
As per the Solid Waste Management Rules, 2016, waste pickers are defined as
persons or groups of persons informally/formally engaged in the “collection
of reusable and recyclable solid waste” for sale to recyclers directly or through
intermediaries to earn their livelihood. The waste pickers in an informal set-up face
various challenges which can be resolved through their institutionalization. The
issues, process of mainstreaming and benefits incurred by waste pickers on their
institutionalization is represented in figure 16.
Figure 16 Mainstreaming of waste pickers
The complete list of activities to implement this component
includes:
fMainstreaming: Mainstreaming the services of waste pickers by linking
them with MRFs.
fCapacity building: Conducting capacity building workshops and training for
relevant stakeholders on material recognition and best practices for efficient
and safe working conditions in waste management.
fSocial inclusion: Enabling social inclusion and recognition by providing
waste pickers with government ID cards.
CHALLENGES
• Occupational issues
• Informal employment and
low wages
• Commence profession at early age of 8-10 years
• Low remuneration and unhygienic work environment
• Personal issues
• Socially and financially exploited
• Health hazard and low access to medical facility
• ID Cards
• Insurance
• Pension scheme
• Bank account
• Trainings
• SHG formation
• Children’s creche
POSSIBLE INTERVENTIONS
• Reduced vulnerability
• Increased collection and better quality of waste
• Predictable & increased income
• Dignified livelihood
• Fair price for recyclables
• Safe work environment
IMPACT
44NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management
fFinancial inclusion: Creating financial inclusion by supporting waste pickers
in opening bank accounts and linking the accounts to various social security
schemes as mentioned in previous chapters.
fSensitization: Educating and sensitizing waste pickers on the benefits of
banking services, savings and access to various microfinancing opportunities.
fMedical benefits: Providing waste pickers with health benefits as detailed
above.
fGender action plan: Creating and establishing a gender action as detailed
above.
fSafety equipment: Providing waste pickers with waste picking gear, gloves,
protective and sorting tools to ensure primary safety.
fSHGs: Creating SHGs for the waste pickers for financial support to assist
members in getting better livelihoods. Women SHGs can be formed and trained to be entrepreneurs for market-based items such as toys, rugs, bags,
handicrafts, etc. made using plastic and related waste. The formation of SHGs
goes through different phases as detailed below.
45NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management PhasesRate/ Duration
RECOMMENDED DURATION
Rs. 10/kg (as per the standing
government order)
PREPARATORY PHASE – Introducing the
concept in the waste pickers community
1-2 Months
GROUP INITIATION – Helping groups
formation and start meetings and savings
2-4 Months
GROUP STABILIZATION – Helping groups
manage credit activities using their own
savings
4-6 Months
GROUP CONSOLIDATION – Providing
working capital assistance and strengthening
groups (on-going process)
6-12 Months
SHG SELF-DEPENDENCE – Preparing groups
for functioning on their own
1-2 Years
Table 4 Recommendations for implementing various phases of the SHG creation
2.3.1. SOPs and guidelines
SOP for organizing waste pickers and onboarding
fInitiate regular discussions with waste pickers to find out their interest in
working with and within the MRF and inform them about the features of the
MRF.
fIdentify the issues waste pickers are facing related to their working conditions
and in the locations in which they work, such as landfills and streets.
fHold discussions with waste pickers about the process of formalizing them; those working with municipal officials should be provided ID cards.
fOrganize mass meetings of the waste pickers community and educate them about the features of the MRF and the benefits associated with working
directly or indirectly (through waste aggregators) with the MRF.
fTrain waste pickers regularly on book-keeping, accounting, livelihood-based
enterprises, women-related issues and hygiene issues. Additionally, expo-sure visits to similar initiatives and projects should be conducted to gain
confidence.
fMaintain a reward system by choosing the best waste picker every month to boost their confidence and motivation. Meetings can be conducted to share
uplifting stories and their experiences.
46NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management
fOrganize discussions with waste aggregators as many waste pickers work
with them. The waste aggregators should be enrolled with the MRF and be
provided with safety equipment, social safety schemes and other benefits.
fAll waste pickers should be enrolled with the MRF and provided with safety
equipment. Their phone numbers should be registered for regular updates
on health camps, trainings and meetings.
SOP for financial inclusion of waste pickers
fThe organization should identify a financial inclusion volunteer/employee
who will periodically focus on achieving the target of financial inclusion for
waste pickers.
fDevelop a timeline and strategy for financial inclusion for waste pickers in
every city.
fIdentify an easy to access bank, preferably with core banking facility along with zero balance account.
fIdentify a coordinator among the waste pickers who will, in coordination with the financial inclusion volunteer, address the queries of other waste
pickers and help them produce the documents required for Know Your
Customer (KYC) processes. For KYC requirements, waste pickers need to
furnish a few documents, such as Aadhar card, local address proof, a mobile
phone number and two photographs.
47NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 2.3.2 Risk matrix capturing failures and challenges
This table represents the risks associated with the institutionalization of MRF,
probability of occurrence, severity of risks and associated consequences.
Risks ProbabilitySeverityConsequences
No waste segregation at
generation point
High High
Increased environmental & health
challenges.
Waste pickers unwilling
to associate with Material
Recovery Facility
Low Medium
The collection and segregation of waste
becomes problematic.
Delay in allocation of
infrastructure and machinery
Medium High
Delay in setting up the Material
Recovery Facility and associated
activities resulting in various losses.
Delay in documentation and
institutionalization of waste
pickers
Medium High
Delay in benefits for waste pickers and
their socio-economic development.
Irregular monitoring and
compliance of Material
Recovery Facility
Low High
Without regular monitoring and
compliance mechanism the functioning
of Material Recovery Facility will disrupt
and result in various losses.
No regular data management Low High
Lack of appropriate data for regular
waste management.
Recyclers unwilling to
associate with Material
Recovery Facility
Medium High
Recycling market acceptance is
important and without this no model
can sustain long-term.
Table 5 Matrix mapping risks and opportunities in the project
Note: For the detailed risk matrix, see Annexure II.
2.3.3 R
Component 3
The table below represents the recommended timeline for completion of
Component 3. The activities should ideally be completed within four months.
48NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Activities Month 1 Month 2 Month 3 Month 4
Identification and mobilizing
the waste pickers in each city
Discussions and training on
association with MRF (directly
or indirectly)
Discussions with waste
aggregators on benefits of
linking with the MRF
Discussion and
institutionalization of waste
pickers by the ULBs
2.3.4 Case studies
7
A MODEL DRY WASTE COLLECTION APPROACH
Undertaken with guidance from the Bruhat Bengaluru Mahanagara Palike (BBMP),
the Hasiru Dala MRF has proved to be an efficient intervention in improving and
streamlining the plastic waste management process in the city of Bengaluru that
generates 160 grams (per capita) of dry waste every day.
PhasesRate
Type of wasteConstitution in the city’s total waste
Multi-layered plastic, Tetra Pak, thermocol,
highly recyclable material and material with
low recycling rates
30%
Paper20%
Reject14%
Glass10%
E-waste8%
49NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management PhasesRate
Type of wasteConstitution in the city’s total waste
Cloth7%
Metal 1%
Table 6 Type of waste and its constitution in the total waste generated in Bengaluru. Source: Hasiru Dala
10 percent* loss is accounted to leaks in the waste value chain
Most of the materials listed in table 6 have existing buyers and robust supply
chains except plastic which with low recycling rates. Further, tetrapak, multi-
layered plastic and thermocol, which constitute 15 percent of the total dry
waste, have their recycling or disposal systems in place.
The waste pickers have very little incentive to collect or buy material with
low recycling rates. Similarly, waste pickers do not have access to markets
that offer fair prices for both low recyclable material and highly recyclable
material. There are a few reliable buyers, who would take the material on
time. This aspect is especially relevant during pandemics and lockdowns
when most markets are shut.
The MRF fills that vacuum as it cross-subsidizes its collection by taking in
some high-value material like PET, HDPE, etc., thus, creating a business
model which serves as a cushion for waste pickers operating the dry waste
collection centres. They can now sell their material at a fairer price, higher
than the market, especially when plastic prices dip or markets are closed.
“During the second
lockdown, I had a lot
of difficulties. While all
the scrap aggregators
were closed, the BBMP
collected the MLP, but
I had no place to sell
the sorted plastic and
paper. At that time, I
was able to sell all the
recyclables to the MRF.
It was beneficial to me
as I have 10 people
working with me in the
center, and I was able
to pay their wages on
time.”
– Kumudha, Bengaluru
Some unique features of MRF
1. MRF
by qualified professionals, making the process very efficient.
2. It is mandatory to use protective gear while working at an MRF.
3. MRF is insured against any future damages. The employees go
through fire drills and other emergency preparation regularly.
4. A
sale, and all transactions are recorded. The material is sold only
to authorized or registered recyclers, who provide receipts
whenever required.
5. MRF
system: traceability and transparency.
50NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Hasiru Dala is also upgrading the system under which the MRF will enable
EPR compliance for those producers who require to fulfil EPR targets from the
waste collected and processed through the facility. This will trickle down to
dry waste collection centres and other waste-pickers. Hasiru Dala will reach
out to other actors in the informal waste supply chains, i.e., aggregators,
stockists and re-processors who are currently working on the margins and
involve them in upgrading their system so that traceability becomes possible
in a wider ecosystem.
8
BHUBANESHWAR CITY: A PWM MODEL ENABLING SOCIAL
PROTECTION FOR WASTE PICKERS
The Bhubaneswar Municipal Corporation (BMC) and UNDP have joined hands
to address PWM in the capital city of Odisha. Setting up an MRF has been
the main objective of this partnership, which aims at enhancing sustainable
PWM practices through a socio-technical model.
IMPACT OF THE MODEL
1. P
17–21 dry waste collection
centres.
2. P
plastic waste and sending it to registered recyclers.
3. 200 M
aggregators and downcyclers every month on an average.
4. P
over 40 MTs of mixed plastic waste.
5. Enabling social protection
to 20 workers who have been receiving regular wages and have access to a bank account.
6. C
with buyers and sellers online to ensure proper traceability.
“I have been employed
at the MRF for the
last one year. I have
a monthly salary now
with the benefits
of employee state
insurance and provident
fund. I don’t have to pick
waste from the streets
anymore, which was
earlier affecting my
health.”
– Laxmi, sorter at the
Hasiru Dala MRF
51NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management As per the BMC, Bhubaneswar generates around 540 MTs of waste daily, and a
lack of processing and dumping waste in landfills were the major challenges
for the city. A robust waste management mechanism, which would also enable
Bhubaneshwar to improve performance in Swachh Survekshan Index, motivated
the ULB to establish the centre.
The capacity of the MRF currently is 5 TPD. To segregate and process plastic waste,
the MRF is equipped with state-of-the-art machinery, and the MRF has been tagged
with 10 wards for daily collection. Channels for waste collection include door-to-
door collection by the BMC, waste pickers, BWGs, RWAs and micro-entrepreneurs
(kabadiwala). To help in daily collection, 12 high-bulk, low-cargo vehicles have
been deployed.
The collection takes place using a well-designed route map, which helps in efficient
resource allocation and mobilization. The collection vehicle is designed to keep
wet and dry waste separate in two different compartments. After collection, the
waste is unloaded at the MRF for primary manual segregation into plastic and non-
plastic items via waste pickers.
After primary segregation, all the plastic items are brought to the conveyor belt
in the MRF for secondary segregation. Once the segregation process is over,
the materials are sent to the baler or shredder or air-blower machine for further
IMPACT OF THE MODEL
1. S
processed more than
1,300 MTs of dry waste.
2. Onboar
400 waste pickers.
3. M
waste pickers now work as van drivers, collecting door-to-door waste.
4. I
segregation rate at the household level.
52NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management processing. After this, the processed materials are moved to a dedicated storage
space at the MRF. All the reject and inert waste is stored separately and sent to cement
factories for co-processing.
For traceability, data is recorded at every level daily.
The MRF also promotes livelihood opportunities for waste pickers by mainstreaming
them, and more than 400 waste pickers have been onboarded so far. The MRF
conducts health camps for waste pickers every quarter and links them with state
and central government social protection schemes. For fire safety purposes, fire
extinguishers have been installed at the MRF and all the workers have been trained in
fire safety protocols. PPE gear and project ID cards have also been distributed among
the workers.
2.3.5 Role of stakeholders
This figure illustrates the role of different stakeholders in the completion of
Component 3.
ULBs can
provide
support by
furnishing
government
ID cards for
waste pickers
identified
through the
MRF.
The local
organizations will
act as the main
implementing
agency for the
transparent
functioning of
MRF, ensuring
institutionalization
of waste pickers
by social and
financial inclusion.
Multilaterals
can act as
facilitators for
all the activities
mentioned in the
component.
Waste pickers
will provide
support in
collecting and
segregating
the waste from
generators to
the MRF by
linking with
the models
and availing
recognitions
provided by
government.
The end recyclers
will act as key
stakeholders to
bring a market-
driven approach
to the proces and
produce products
based on market
demand. The
end recyclers
will purchase
processed
material from MRF
for final recycling.
ULBsOrganizations Multilateral Waste Pickers End Recyclers
2.3.6 Cross-reference with PWM and SWM rules of
Government of India
The suggestions made for implementation are cross-referenced with the Plastic
Waste Management Rules 2016 and 2018. Some of the key cross-reference points
can be accessed by referring to the following rules, and the page numbers have
been mentioned for easy reference.
fResponsibility of local body. (Pages 5-6)
fResponsibility of waste generator. (Page 6)
53NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 2.4 Component 4: IEC and digitalization
For effective PWM, technology is an important cornerstone that covers traceability,
accountability and digital governance. Mobile phone apps can be developed
for this purpose and can be used by various stakeholders such as waste pickers,
recyclers, ULBs and citizens in order to integrate everyone into one digital cloud.
This would enable access of real-time data from the field to track the integrated
plastic waste supply chain right from point of collection to the end recycler. It
would also help address the PWM-compliance mandated by the CPCB and SPCBs.
Figure 17 : Digital monitoring of data related to waste
CITIZEN/ WASTE
GENERATOR
Citizen app for
awareness &
incentivization
COLLECTION
POINTS
Geofencing
for optimized
route
WASTE BANKS
QR code system
for error-free
scanning
MRF
Facility app
will be used
for stock mgmt
& material
sales
SEGREATION &
AGGREGATION
LOGISTICS TO
AUTHORIZED
RECYCLERS
Traceability of
plastic flow at
every stage
END RECYCLING
Overall recycling
& impact report
RECYCLED
PRODUCTS
MIS of entire
process
accessible to
Govt
54NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 2.4.1 R
of Component 4
The table below shows the recommended timeline for the completion of Component
4. The overall activity should be completed within four months, while the process of
knowledge management and exchange could be an on-going one.
Activities Month 1 Month 2 Month 3 Month 4
Identification of technology platform/
technical organization
Linking relevant stakeholders such as
BWGs, recyclers and waste pickers
Development of protocols for online
reporting, monitoring and information
exchange
2.4.2 Case studies
LEVERAGING TECHNOLOGY FOR A TRANSPARENT AND ACCOUNTABLE
WASTE VALUE CHAIN
Partnering with more than 67 ULBs directly, 100+ partner brands, 150+ recyclers, and
above 500+ aggregators, Recykal has successfully channelled and spread awareness on
effective waste management. Marketplace, Smart Centre solutions, and EPR Loop are
some of their major offerings. By the financial year 2025, they aim to channel more than 3
million MTs of plastic waste.
Using the support of ULBs, Recykal’s ecosystem of digital platforms connects the
fragmented waste management in India. Using platforms that bridge waste generators
with waste recyclers, they provide transparent, traceable, and efficient systems. With pan-
India operations, Recykal operates across 28 states and 6 Union Territories. Over the last
year, they have successfully channelled more than 20,000 MTs of waste every month and
aim to channel 30,000 MTs.
The five-step implementation process of the organization’s products has evolved over the
last couple of years. The following section is a generalized approach used to conceptualise
the product targeted towards specific stakeholders.
1. Empathize
The initial stage began when the pain points in the waste management industry were identified. One uniform pain point across all sectors was the lack of transparency and
traceability.
9
55NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management
fFor the recyclers and aggregators:
—The team observed the gap in the demand and supply of recyclable
plastic waste in the industry
—There was a lack of fair prices for sellers
—There was also a lack of access to quality material on the recyclers end
fGovernment authorities and municipalities faced challenges in monitoring the market and waste generation given a majority of the processes were
RECYKAL’S DIGITAL
WASTE ECOSYSTEM
Drop material at the collection centres
recykal
EPR platform
Manage EPA fulfillment digitally
• Plan creation
• Allocation
• Material Discovery
• Monitoring
• Compliance Management
Digital records,
Documentation
FMCG
Brands
Electronics
Brands
Brands
recykal
Consumer App
Enables material
channeluation
from consumers to
Recykal Point
recykaI
Business App
Enables material
channellnition front Waste generators to
Recykal Point
Recykal
Smart Centre
Digitize record
keeping, payments R
Settlements and brings
complete visibillity
In collectors centre
operations
Industrial
Waste
Bulk
Generators
Waste
Generators
Consumers
Informal Sector
Waste pickers,
Kabadiwalas
Recycling and
recovery
Recyders
Coprocessors
Waste to
Energy / Fuel
Collection,
Preprocessing
Recykal Points
DWCCs run
by ULBs
Aggregators
recykal
marketplace
Enables buying / selling
of recyclable: between
Aggregators. Recydea.
End to end logistics,
transaction support
Legend
Order Flaw
Material Flow
Incentive Flow
Documentation
Flow
Recykal’s Digital
Intervention
Drop material at the collection centres
Figure 18 Digital Waste Ecosystem of Recykal. Source: Recykal
56NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management informally carried out. The fragmented and offline nature of the transactions led to poor
data quality and a lack of monitoring tools.
fThe informal sector workers were unrecognized in India. With more than 4 million informal waste collectors in India, they amounted to 90 percent of the total of plastic recycling in
the country. There was an urgent need to formalize their livelihoods and help improve
their income.
fThere was also low participation of consumers and brands in recycling post-consumer use waste generated in households, schools and other institutions.
2. Define
The identified pain points needed to be addressed with ones with the largest impact being given priority.
fIndia generates 3.4 million tonnes of plastic waste every year, of which more than 40 percent goes uncollected. This is a significant number which needed to be addressed on
priority.
fThe other priority was the need to bridge the gap between the supply and demand of
recyclable plastic waste in the country. With recyclers and waste aggregators distributed
across the country, there was a gap in the system along with varying and questionable
quality. Deep marketing research and support from the ULBs gave the company an insight
into the problems of the industry and a direction to move forward to the next stage.
fThe introduction of EPR guidelines in India gave producers, importers and brand owners the responsibility of collecting and recycling the post-consumer waste generated in India.
3. Ideate
fWith a population of more than 1.3 billion people in India, consumers generate significant waste, which remains uncollected.
fThere was a need to bridging the gap across the country with quality material at their disposal.
fThere was also the need to bring 1,000+ brands in India under an umbrella tool to help them connect with recyclers, aggregators and government authorities.
Technology was the key. In the age of digital technology, Recykal decided to provide end-
to-end solutions for the key stakeholders in the ecosystem. With nearly every Indian using a
smartphone, creating a mobile application that is useable by all was the way forward.
For brands, a digital platform was considered as an option, and this worked as an extensive
database to track, monitor and organize their waste collection efforts. A SaaS-based solution
was proposed for the same described above specific to EPR.
4. Prototype
The first product was a consumer product, which catered to everyday consumers, who could
easily arrange a pick-up for their recyclable products from the comfort of their homes using the
mobile application.
57NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management To address the gap in demand and supply, the Recykal Marketplace was created. This
is a digital platform where recyclable waste sellers can create a listing of the material
they have, which can be booked by recyclers on the other end. EPR Loop took shape
as an online solution for producers, importers and brand owners to meet their EPR
requirements with the highest level of transparency and traceability.
5. T
Right from product ideation to development, there were continuous iterations of the products based on many brainstorming sessions and interviews with various
stakeholders.
The prototypes were constantly tested and deployed. Post-deployment, the product was
reiterated based on reviews by users and on the problems and challenges they faced.
IMPACT AND ADVANTAGES OF THE PRODUCT
• The advantages of technology have helped address key issues that gripped the waste
management industry including:
—Bridging the demand-supply gap.
—Ensuring transparency.
—Enabling source segregation.
—Creating material traceability.
—Collating data and actionable analytics.
58NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management It should be noted that based on market behaviour, the marketplace has taken a
new form with specific applications for buyers and sellers. In the weeks to come, all
the applications will be merged into a single application where sellers can list their
materials and buyers can directly place their orders.
Socio-economic advantages to stakeholders
fEmployment generation has increased, and approximately 10 percent of additional income opportunities, especially for the informal sector. The
organization accepts all types of plastic waste, which enables local waste
collectors to gain additional revenue.
fThe creation of accessible waste disposal methods led to the optimal use of resources. Recykal has channelled nearly 0.5 million tonnes of plastic waste
so far, which has saved energy, natural resources and created employment
opportunities.
fRecykal’s digital database has assisted local municipalities in making informed decisions.
INDORE: PROMOTING MASS AWARENESS WITH BEHAVIOUR
CHANGE CAMPAIGNS
Indore is one of the cleanest cities in the country and has consistently performed
well on the Swachh Survekshan Index. Persistent efforts to increase awareness and
citizen engagement have enabled the city to achieve its vision of Swachh Bharat.
The Indore Municipal Corporation (IMC) has worked closely with organizations
to create a holistic waste management framework through a systems approach.
With an extensive focus on IEC, the city has performed well on several parameters
including segregation and collection.
The IMC with the support of Basix introduced a sustainable waste picker enterprise
model in 2019 that conducted high-quality doorstep garbage collection from
households in wards and newly established residential colonies every day. Under
the model, almost 500 waste pickers were onboarded at the MRF, paper/cloth
bag production units and transfer stations as maintenance staff and caretakers at
compost units.
IMC with the support of a local organization went door-to-door in Indore to
motivate residents to participate in public meetings and encourage them to make
personal contributions to keeping the city clean and ensuring effective solid
10
Key highlights of the project by IMC and Basix:
1. More than 250 training programs organized for field staff of IMC on solid
waste management and behaviour change.
2. 200
source segregation.
59NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management waste management. The team also mapped BWGs in the city and implemented a
separate collection mechanism.
The increased levels satisfaction of the residents has been the biggest outcome
of the project. Residents of the city have been cooperating with IMC and local
organizations to segregate waste at source, educate others and proactively
participate in various IEC initiatives like nukkad nataks, signature drives, rallies, etc.
IMPACT OF THE MODEL
1. 100 per
collection system.
2. Daily doorstep awareness and monitoring introduced at 450,000 households in Indore.
3. W
meals two times for their kids.
4. W
protection drive.
5. 500 w
60NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 11
JAMMU: A HOLISTIC IEC CAMPAIGN TO PROMOTE
BEHAVIOURAL CHANGE ON WASTE MANAGEMENT
Behavioural change through citizen engagement and action is critical to
achieving better management of waste. Jammu has undertaken extensive citizen
engagement initiatives, including clean-up drives, river restoration projects,
nukkad nataks, segregation drives, Swachhta Rath (mobile messaging vehicle),
etc., as part of its IEC campaign that was launched in 2019.
The Jammu Municipal Corporation (JMC) engaged with Regional and Urban
Development Agency (RUDA), a consulting firm in Jammu supporting sustainable development, to plan an IEC campaign identifying the threats caused by improper
waste disposal like public health and environmental degradation. Additionally, the
JMC and RUDA mapped the stakeholders responsible for the waste management
process. They also focussed on BWGs while designing the campaign and devised a
special strategy to reach out to these institutions.
The JMC with the support of RUDA implemented the following IEC initiatives:
61NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management IEC initiativeAbout the initiative
Plastic Lao
Thaila Pao
Campaign
This campaign is a part of an ongoing effort to spread awareness of the need for
responsible plastic use and its disposal.
A mini material recovery stall has been set up in a prominent market location to
promote sustainable waste management practices as part of the campaign. Under the
campaign, citizens are encouraged to deposit their household plastic waste at the stall
in exchange for reusable & recycled cloth bags (1 kg of plastic waste = 1 cloth bag).
Save Tawi
Campaign
RUDA initiated a massive campaign, ‘Save Tawi’ at Har Ki Pauri temple, collaborating
with Jammu Municipal Corporation.
The purpose of the campaign was to sensitize people who visit the temple to offer
reverence in an eco-friendly manner and not throw plastics or other kinds of waste in
the Tawi river.
Volunteers were deputed to instruct people to follow physical distancing norms
and throw waste, basis the categories. Awareness was created through public
announcements and jingles in the temple premises.
The campaign collected 1,220 kg of dry waste.
Swachhta Rath
-Bin It Right
Campaign
A vehicle, mostly a three-wheeler, is fitted with a speaker playing jingles and runs
through the streets of Jammu to sensitize residents for segregation of their household
waste and motivating them to put the right waste in the right dustbin.
12
HYDERABAD: STREAMLINED PROCESSES THROUGH
DIGITIZATION AND STRONG DOCUMENTATION
Hyderabad generates 9,965 MTSs of waste per day from different sources, and
approximately 15 percent is plastic waste.
13
In the beginning, the city government
required support for more robust documentation with respect to waste
management. In 2018, realizing the role that technology and digitization can play
in managing waste, the Greater Hyderabad Municipal Corporation entered into
an agreement with the Ramky Foundation to document all waste transactions.
The Foundation believes that traceability and data management play a key role in
the circular economy. It also provides efficient solutions to ULBs for viable waste
collection methods and recovery solutions.
For transparency and traceability, new monitoring systems were introduced
to track data along the waste value chain. These monitoring systems included
record-keeping, data management and other improved documentation practices.
SOPs were implemented to streamline the data at every stage. This enabled the
tracking of waste inflow at every stage, including at the MRF. It also helped identify
the source of waste and the concerned waste pickers.
13 https://tspcb.cgg.gov.in/CBIPMP/MSWper cent20Annualper cent20reportper cent202017-18.pdf
62NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management The monitoring system at the MRF follows a three-step reporting process to ensure
the integrity of the entire system:
1. R
—Inward register: This register captures the inward volumes procured from various sources daily. The transactions are recorded in the
register and supported by the purchase invoices/bills.
—Outward register: This register captures data, which is processed and
further sent to recyclers, aggregators, etc. The data is recorded in the
register with supporting sale invoices/bills.
—Asset register: The details of the assets are captured in a specific
format and updated monthly.
—Waste picker register: This register records the onboarding of new waste pickers and is updated regularly.
IMPACT OF THE MODEL
1. 100 per
understanding of processes and a committed
team.
2. A
volumes of material.
3. A
of volumes of material. Such data is useful for effective planning of volumes and effective implementation of programmatic activities.
4. Ex
data provides for analytics and smart data management, empowering the MRF operations.
5. P
to waste pickers and other related details.
63NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management The ULBs
can provide
support in
implementing
a mobile-
based cloud
system
The organizations
can act as
the main
implementing
agency for
transparent
functioning of
MRF and ensuring
online data
management on a
daily basis.
Multilaterals
can act as
facilitators for
all the activities
mentioned in
the component.
They can provide
support in
creating tools
and platforms
for knowledge
exhange and
manangement.
Waste pickers
can provide
the quantum of
waste collected
and segregated
on a daily basis
and enable daily
monitoring of
PWM.
The end
recyclers will
also be linked
with the mobile
app to provide
and retrieve
the information
related to
sustainable
pricing system.
ULBsOrganizations Multilateral Waste Pickers End Recyclers
2. Da
3. R
shared and verified by the field team.
Digitizing the volumes of waste can help provide refined and accurate data for
EPR compliance. The data can also be tailored for center-wise waste collection,
irrespective of volumes being handled.
2.4.3 Role of stakeholders
The below given figure illustrates the role of different stakeholders for the
completion of Component 4.
2.4.4 Cross-reference with PWM and SWM
rules of Government of India
The suggestions made for implementation are cross-referenced with the Solid Waste Management Rules 2016 and 2018. Some of the key cross-reference points
can be accessed by referring to the following rules, and the page numbers have
been mentioned for easy reference.
fResponsibility of local body (page number 5-6)
64NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management The MRF model or DWCCs for PWM require to be funded and operated in the
public-private partnership mode. The private funding can be provided by
brand owners, producers, importers or CSR activities. The model is initially
funded by private players, supported by ULBs and operated by service providers
(local organizations/waste management agencies). The chapter will discuss the
economic feasibility, ways of achieving break-even point, the model’s profitability,
and self-sustainability.
FINANCE AND SUSTAINABILITY OF
A PWM WORKING MODEL 3 3.1 T
For the techno-economic feasibility, the model should include the following
components:
1) R
—Acquisition of land and building for setting up the MRF
—Power and water charges
—Transportation of plastic (solid) waste from DWCCs
2) C
Based on the target waste (TPD) every month, the components for opera-
tional revenue and expenses are to be considered.
OPERATIONAL
EXPENSES
— Monthly waste buying
amount
—Manpower cost (gap after
funding)
— Management fee (gap
after funding)
— Back-office support
— Utilities and consumables
— Vehicle fuel
— Vehicle maintenance/
repairs
— Reject waste disposal
— All other expenses
—Sales of processed materials
—Any other source of revenue
OPERATIONAL
REVENUE
VS
Figure 19 An overview of operational expenses versus the operational revenue
of the project. Source: UNDP’s on-ground learnings and analysis
W
and operational revenues, the model will start achieving profits from
approximately the 12th month of the project. After adjusting the finances
from funding, the gap shall be paid from the profit margins received by
deducting operational revenues from expenditures. The consolidated sample
sheet for calculating the cash flows is provided in Annexure VII.
3) OThe model requires investment
for machinery with support from ULBs and behaviour change communication.
A break-up of one-time expenses is detailed in the table below.
66NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Machinery by ULBsIEC Activities
Ð Weighing scale
Ð Baler
Ð Shredder
ÐWaste picker mobilization
Ð SHG formation
Ð One-time rolling fund for procurement
Ð Formation of RWA
Ð Meetings, trainings and workshops
Ð Provision of safety gear for waste pickers
Ð Awareness campaigns and rallies
Ð Insurance for plant and machinery
Ð Documentation of best practices
Machinery from Funding Support Other One-Time Expenses
Ð Weighing scale
Ð Phatka/air blower machine
Ð Baler
Ð Aglo machine
Ð Gatta/extruder machine
Ð Shredder
ÐCollection vehicle
Ð Office setup
Ð Biometric attendance
Ð Laptop/computer for office setup
Ð Fire extinguisher
Ð First-aid kit
Ð Uniforms & safety gears
Ð Drums, buckets
Ð Stationary & signboards
Ð Mobile phones
Table 7 List of one-time expenses for the project
4) Daily or monthly waste transactions: Every day or month, a certain amount of waste
is bought in for processing and is later sold based on average buying and selling
rates. The waste is processed across these categories:
fCategory 1: Soiled PET jars
fCategory 4: LDPE
fCategory 2: HDPE
fCategory 7: MLP, others
fMixed plastic
fCategory 3: PVC
fCategory 5: PP
fCategory 6: PS
Diff
the processed waste is further sold for recycling or upcycling to the recycling units.
GST as applicable is added to the total sales of the processed waste.
67NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management 3.2 Project break-even and profitability
The break-even point for any project is defined as the point where the cost of expenses
becomes equal to the amount of revenue. A project becomes profitable when the
revenues become more than the expenses. The model needs to consider various
components to reach the break-even point and later achieve profits. The components
include:
fFinancially viable monthly/daily targets of incoming plastic waste in the MRF
fFinancially viable buying rates for different waste categories to be processed in the MRF
fFinancially viable selling rates for different waste categories for recycling/upcycling
fProvision of important sources such as land, building and machinery by ULBs at preferably no cost
fLinkage with recycling/upcycling units by signing contract between recycling units and organizations.
68NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management The other components to be considered include manpower, market demand and
miscellaneous expenses which will depend on the population and size of MRF in
the city.
3.3
Self-sustainability of project
The self-sustainability of the MRF model is a key component for the successful
implementation of plastic waste management in a city. The financial availability
and profitability of the model play an important role in the success of this model
in the long run. For the self-sustainability of the model, the following components
need to be considered:
fFunding for an initial period of approximately five to six years, including the cost of setting up the MRF, manpower costs and other one-time expenses.
(Note: Financial details under Annexure VII)
fAllocation of land, machinery, initial support for power and water charges
and waste transportation from the DWCCs.
fInternational agencies such as the UNDP, GIZ, UNIDO and ADB to facilitate linkages with banks for extending payments to waste pickers for PWM
fLinkages with recycling units to create a market-driven and profitable model to achieve self-sustainability.
A city will achieve financial sustainability in approximately five to six years if a
dedicated amount of waste is processed and sold at feasible rates. Additionally,
financial and infrastructure support is to be provided for setting up MRFs.
69NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management UNDP defines social protection as “a set of nationally owned policies and
instruments that provide income support and facilitate access to goods and
services by all households and individuals at least at minimally accepted levels,
to protect them from deprivation and social exclusion, particularly during periods
of insufficient income, incapacity or inability to work.” Fifteen other multilateral
agencies, such as the International Labour Organization (ILO), World Bank, United
Nations Children’s Fund (UNICEF), define social protection differently. Some focus
SOCIAL INCLUSION OF WASTE PICKERS 4 on the building blocks by defining it as the aggregate of social protection or
insurances; others describe it as poverty and vulnerability reduction for individuals
and protection along with development. While the approaches and interventions
differ; the role of social protection in defining the policy framework is to address
poverty and vulnerability.
In plastic or solid waste management, waste pickers are the most important players.
They are also amongst the most vulnerable to health risks and occupational
hazards and have a lack of access to social protection. In this context, it is important
to understand social inclusion in the PWM process and its role in improving
access to social protection for waste pickers. To develop a social protection
framework, it is essential to understand the levels of existing vulnerabilities of
waste pickers in India.
4.1
Existing vulnerabilities of waste pickers
According to the Solid Waste Management Rules 2016, waste pickers are a formal
or informal group of people engaged in the collection and sorting/segregation
of waste to a living. Based on estimates, there are around 4 million waste pickers
making their livelihood from waste management in India. The informal waste
pickers in India face different vulnerability levels, and they operate in a hazardous
working environment leading to various health risks. The figure below details the
vulnerabilities faced by waste pickers.
4.2 Guiding framework for social protection of
waste pickers
The vulnerabilities faced by waste pickers need to be addressed through a
comprehensive and justifiable framework focusing on social protection. The
guiding framework for the social protection of waste pickers is represented
in the figure below.
SOCIAL
EXLUSION
OCCUPATIONAL
HEALTH RISKS
NO FIXED INCOME
LACK OF
BASIC HUMAN
RIGHTS
NO VOICE IN
DEVELOPMENT
VULNERABILITIES
Figure 20 Vulnerabilities faced by waste pickers
71NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Figure 21 Guiding framework for social protection of waste pickers
This framework can be achieved by taking steps as detailed out under component
2.2 D (Elements of the MRF ), with specific reference to points 4, 5 and 6.
4.2.1 Benefits of including social protection
for waste pickers
The adoption and implementation of a social protection framework can help achieve the goal of PWM and improve the socio-economic conditions of waste
pickers. The benefits include:
I. R
II. I
III. A
IV. L
V. En
Provision
of Social
Inclusion
Provision
of Basic
Human
Rights
Institutional-
ization
of Waste
Pickers
Provision
of Fixed
Income
and
Wages
Inclusion in
Development
Provision
of Health
Protection
and Safe
Working
Environment
GUIDING
FRAMEWORK
FOR SOCIAL
PROTECTION OF
WASTE PICKERS
72NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management 4.3 Case Studies
1
PROJECT UTTHAAN : HELPING WASTE PICKERS RISE WITH
RESILIENCE
Project Utthaan is a social protection project by UNDP, launched in October 2020,
in response to the COVID-19 pandemic. The project aims to strengthen access to
social protection schemes and increase livelihood opportunities for waste pickers.
The project conducted a baseline assessment of 9,302 waste pickers across 15
cities. The assessment evaluated the impact of COVID-19 on their livelihoods. The
key findings from the survey are as follows:
fAround 65 percent of respondents reported having no formal education. This percentage is higher among socially disadvantaged groups.
fThe average household size was around 4, with the number of family members ranging from 0 to 16.
fMore than half of the respondents were employed as itinerant waste pickers, street sweepers and waste pickers at a landfill, which are highly informal
employment categories. Further, socially disadvantaged groups and those
with no formal education were heavily concentrated in such informal jobs.
fOwnership of identification documentation varied across the sample:
—Around 90 percent indicated having of an Aadhar card.
—Around 63 percent reported having a voter card, with more women (as compared to men) owning voter cards.
—Less than 6 percent reported having a birth certificate.
—Ownership of other identification documents such as caste and income certificates was even lower, at around 0.5 percent across the
sample.
fAround 7 in 10 respondents reported having a monthly household income
of less than Rs. 10,000. Only 4 per cent of respondents reported earning more
than Rs. 20,000 a month.
fAround 67 percent individuals reported having a bank account. Three in 10
of these individuals reported that their bank accounts were linked with the
Jan Dhan scheme.
fOne in two individuals indicated the ownership of a beneficiary document
such as a ration card. On the other hand, only 4 percent of individuals owned
a health card.
Through Project Utthaan, UNDP has launched two social protection facilitation
centers in Panaji and Bhubaneshwar. The primary functions of the facilitation
centres include:
73NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Changing deep
ingrained attitiudes,
beliefs, and practices
of women members.
Empowering
waste workers at
an individual and
collective level.
Ensuring
institutional
representation
and strengthening
adovcacy and social
change efforts.
1. Iden
related to:
a. Health
b. Education
c. F
d. F
2. A
schemes and claim benefits.
3. P
4. Liasoning with ULBs and relevant departments.
FROM FAMILY COUNSELLING CENTRES TO MICRO CREDITING
SERVICES: TRANSFORMING THE LIVES OF INFORMAL WORKERS
IN MUMBAI
Established in 1975, Stree Mukti Sanghatana (SMS) has become the face of drastic
transformation in the lives of informal women waste workers in the maximum
city, Mumbai. SMS started organizing women workers, known as Parisar Bhaginis,
at the Deonar landfill site, and today serves apartments, government institutes,
educational campuses and more. Most importantly, SMS is no more just a waste
collection initiative, but a holistic social protection-based institute.
SMS has been working hard to provide microcredit, mental health, family
counselling, education, and public health support services to Parisar Bhaginis.
Improving the standard of living of women members, creating zero waste
communities, improving recycling rates and developing new technologies to
handle waste are some of the SMS core objectives. The organization believes
strongly in decentralized waste management systems and advocates for the same.
SMS follows a three-step model as detailed below:
2
Figure 22 Three step model of SMS. Source SMS
74NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management The SMS microcredit system is at the heart of the entire model. SMS created a
federation of groups of women waste pickers who were saving together in
2005 known as the Parisar Vikas Bhagini Sangh (PVBS). It was also registered as
a community development society with the Municipal Corporation of Greater
Mumbai (MCGM). Approximately 200 saving groups or bachat gats joined the
federation. Every gat comprised 10 members, and every group had to provide a
fixed-time membership fee of Rs. 500 and a monthly charge of Rs. 100.
PVBS further charges an interest rate of 1.5 percent of the total loan given to the
group and charges 2 percent to members. The federation internally discusses the
details of every group before disbursing loans.
If a gat has performed well for six consecutive months, a grant of Rs. 1,000 is given
to every member of the group, making a total of Rs. 10,000 per gat. This grant
is provided under the Swarna Jayanti Shahri Rozgar Yojana (SJSRY). This acts as
seed capital to set up a micro-enterprise. Of this Rs. 10,000, two components
are created – Rs. 5,000 goes to the federation and Rs. 5,000 to bachat gat.
This makes groups eligible to get a loan from the federation in case they need it.
Having a Below Poverty Line (BPL) card is mandatory to avail benefits of SJSRY.
PVBS helps bhaginis to get these BPL cards. Several benefits are also available
as part of the PVBS. Motorized vehicles for collecting waste and other necessary
equipment are provided. Women members also have secured access to waste,
sorting spaces, and recyclers. The federation collects waste from the women
members directly at market rates, removing the role of the middleman in the
process. Members are also eligible for a 4 percent bonus (amounting to Rs. 10,000
to 12,000) depending on the value of the waste collected in a year, and this bonus
is given out during Diwali.
PVBS manages two canteens at the Tata Institute of Social Sciences (TISS), eight
biogas plants and five sheds for sorting waste. They also have a dedicated and
specialized system for handling Tetra Pak waste. The federation uses it for station-
ery purposes, with tie-ups from companies like L&T, TCS, and Tata Power.
All of this has resulted in a positive impact on the lives of the bhaginis. The formal
training initiatives undertaken by SMS provide members with an opportunity to
get new and improved jobs. Due to source segregation and an efficient recycling
system, waste reaching the dump sites has also been reduced. SMS remains one
of the most inspiring and impactful examples of integrating the informal waste
sector in the country.
4.4 Financial models towards livelihood
enhancement of waste pickers
There are different financial models which can be adopted for the economic inclusion and livelihood enhancement of waste pickers. The section focuses on
three models based on various existing models and the learnings from them.
75NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Model 1: Development of entrepreneurial opportunities for
waste pickers
In this model, organizations working in the livelihood enhancement of waste
pickers play a key role in facilitating and implementing the financial model.
Organizations create an entrepreneurial environment for waste pickers, which
enables them to create business and employment opportunities. Within this
model, the waste pickers act as individual entrepreneurs and operate various
activities, including door-to-door collection of waste, managing collection points,
dry waste sorting centers and implementing app-based collection schemes.
The organizations, with guidance from the ULBs, train waste pickers, provide
collection vehicles, a collection route and a standard process to follow. The
organization can ensure quality by providing a manager with two or three waste
pickers and accessible avenues for clients to share their concerns over the services
provided. To successfully run a business, every entrepreneur should employ one
driver, two collection workers and sorters as per requirement, and they should
ensure the quality of the services provided.
The entrepreneurs will collect fees from households and the profits earned from
recyclers. After four years, truck ownership can be moved to the entrepreneurs,
which will require minimal maintenance and can be incentivized for their future
assets. In this model, entrepreneurs can take up more collection routes when they
are ready to expand their businesses. This model improves the livelihoods and
financial conditions of waste pickers and brings discipline, professionalism, and
social identity to their work lives as they are required to wear uniforms and safety
equipment all the time. This model has been implemented in Mumbai, New Delhi,
Bengaluru, etc.
Model 2: Development of waste pickers cooperatives to
build their own non-profit organization
In this model, a group of waste pickers can register themselves as a cooperative,
where their contributions can be divided as salaries at a flat rate or be based on
contributions. The model has proved to be more transparent and profitable for
waste pickers as they can also act as recyclers. Access to the public provident
fund and loan facilities can be added as advantages in this model. ULBs can help
cooperatives with land, infrastructure and the allocation of vehicles to transport
and transfer waste. The model works on a profit-sharing basis with fair prices based
on real-time market rates. Payments are made in cash without any delay, and cash
receipts are also provided to the waste pickers. The small cooperatives can also
join hands to become a larger entity based on the willingness and feasibility of
the model.
76NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Model 3: Development of a blended workforce combining
waste pickers and non-waste pickers
Organizations can engage waste pickers in two ways: as a flexible workforce (on a
per diem basis) and as a salaried workforce. The flexible workforce can be engaged
in sorting and segregating waste, which can be done on an individual basis and be
paid on a performance basis. This will benefit the waste pickers who like to work
individually. For roles that require specific knowledge, a regular schedule and
salaried workforce can be employed. The dual payment and employment method
gives organizations the freedom to carry out waste management at MRFs without
administrative formalities.
These are some examples of the existing financial models in India and other
countries. For every livelihood enhancement model, it is important to include
long-term livelihood sources which can bring about sustainability, feasibility, and
reliable transportation processes.
77NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 1
DA NANG, VIETNAM: A PIONEERING EXAMPLE IN PLASTIC WASTE
MANAGEMENT
Da Nang is a coastal city in Vietnam, and it is the fifth-largest city in the country with
a population of more than 1.2 million. Almost 88 percent of the population lives in
urban areas, whereas 12 percent reside in rural areas. The city generates more than
1,100 tonnes of solid waste per day, of which 150 tonnes per day is plastic waste (14
to 17 percent).
15
The absence of source segregation and holistic waste management
systems are the hurdles in ensuring sustainable management of waste in the city.
However, since 2016, the city has been implementing a community plastic waste
collection and recycling model. The model keeps women waste pickers at the centre
as they are engaged in core activities like household collection, sorting, recycling and
trading. These women waste pickers travel on their bicycles or rickshaws to cater to
households and businesses. The model has creatively utilized the force of women
waste pickers as specialized communicators on the issue of waste segregation,
collection, and recycling. This has transformed the role of waste pickers, adding more
value and respect to their role.
15 https://www.weforum.org/agenda/2020/01/viet-nam-is-building-its-first-zero-plastic-waste-city-heres-
how/
INTERNATIONAL CASE STUDIES
CAPTURING THE PRACTICES 5 These women go from door-to-door and educate households on waste
segregation and handling. They also collect waste from construction and
dumpsites. Women waste pickers collect high-value plastics and low-value
plastics such as plastic carry bags, straws, plastic cutlery, shampoo sachets, etc.
Figure 23 Waste collection, recycling, and trading cycle in Vietnam. Source: UNDP Vietnam
LEVEL 1
Collection Centers
(CLCs)
~Trade with IWWs or
businesses directly
~Typically have infrastructure
~Family-owned business
~Seperate waste types and aggregate
~Sell to consolidators
LEVEL 2
Consolidation
Centers (CSCs)
~Trade with multiple
collection centers
and often have a
truck for collection
-Trading large
volumes of waste
streams
~Selling to factories
~Fewer compared to collection centers
~Operating businesses
Informal waste
workers (IWWs)
~Recover tradeables
~Households.
business and
construction waste
~Sell to CLCs & CSCs
~Have strong relationships with stakeholders
LEVEL 0
Recyclers &
End-buyers
~Trade with multiple consolidation centers across
Vietnam
~Can be recyclers
producing granulate
or flakes (plastic)
~Can be metal or paper factories
~Typically found in North or South of Vietnam
LEVEL 3
The women waste pickers take their waste to small scrap aggregators, who have
a dedicated space or a shop to sort and recover the material. The material segre-
gation and recovery are based on the potential of the sellability of the materials
downstream.
Along with market linkages, the model emphasizes the social protection of
these women waste pickers. More than 1,000 women waste pickers have been
integrated with the Women’s Union, a socio-political organization that represents
and defends women’s legal rights and interests in Vietnam. This has provided
them with a livelihood, a stable income and social security benefits like health
care access, education for children, etc. Some women members have reported an
almost 10 percent increase in their income post their inclusion in the project.
“My income has increased to 5.300.00 VND from 4.700.00 VND
thanks to having access to more stable sorted waste resources.”
Ms. Nguyen Thi Bay, waste picker in
Son Tra district, Da Nang city
79NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management 2
COMING TOGETHER TO BEAT PLASTIC POLLUTION IN PASIG
CITY, PHILIPPINES
Situated in Metro Manila, Pasig City is one of the most urbanized and the ninth-
most populated city in the country, with a population of around 800,000. The city
is situated on the Pasig River system, which is the world’s eighth-most polluted
river globally; around 65 percent of its water is polluted due to household waste.
The city generates 345.12 MTs of municipal waste daily, of which approximately 19
percent is plastic.
16
After pledging to reduce 20 percent of waste generation by 2025, the citizens
of Pasig have rallied behind the vision and efforts of Mayor Vico Sotto to make
it a ‘Green City.’ The government of Pasig City has collaborated with one of the
fast-moving consumer goods company to implement ‘Walastik na Pasig’, a plastic
collection programme.
16 https://www.who.int/water_sanitation_health/resourcesquality/wpccasestudy3.pdf
IMPACT OF THE MODEL: The model has encouraged 21,000 households, 31 schools, 200 hotels
and restaurant owners to commit to source segregation and plastic recycling. The Da Nang model
has become a leading example of how gender equity and combating plastic pollution can go
hand in hand.
80NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management As a part of the campaign, citizens collect, clean and
deposit single-use plastics, like shampoo sachets, carry
bags, chocolate wrappers and straws, in designated
junk shops located in their neighbourhood. In return,
a cash incentive based on per kilogram of properly
deposited waste is provided to the participating
households and shop owners.
This enables source segregation and community
recycling of single-use plastic, diverting it from
landfills and waterbodies. An extensive, behavioural
communication programme will soon follow the
campaign.
Pasig City is also partnering with multinational
corporations and supporting local circular economy
start-ups like Sari-cycling and Cloop. Sari-cycling
follows a similar model: three separate bins are
installed next to sari-sari shops (go-to neighbourhood
stores for low-income households providing items in small quantities, mostly
sachets, for their daily needs). Citizens segregate waste into three categories –
plastic, metal, and bottles. A cash incentive is provided to participating households
and shop owners.
81NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management The waste collected under this initiative is managed by Cloop, a local plastic
recycling and upcycling start-up. Cloop uses MRFs to not just sort and recover
materials but also for advocacy on PWM.
3
ZERO-WASTE CITY: SURABAYA, INDONESIA LEADS THE WAY
WITH WASTE BANKS
Surabaya is the second-largest city in Indonesia and is situated in the eastern
part of Java Island. The city generates 1,512 tonnes of solid waste per day, of
which (57 percent) is organic waste, and (16 percent) is plastic waste.
17
In 2001,
Surabaya peaked at 2,000 tons of solid waste generation in a day. At the same
time, one of the city’s landfills – Kpeutih – was also shut down, leading to massive
littering on the streets. This was a turning point in the history of the city.
In 2004, the city government prepared itself for the long fight against the
menace of solid waste and laid down an action plan. Surabaya launched a 3 Rs
(reduce, reuse, and recycle) community-based waste management programme,
also known as the Surabaya Green and Clean campaign. The campaign focussed
on educating citizens on waste management, planting trees and saving energy.
The primary challenge for the city government was to promote source
segregation amongst households. The city government collaborated with Japan-
based Kitakyushu International Techno-cooperative Association (KITA), who
17 https://wedocs.unep.org/bitstream/handle/20.500.11822/32898/NPWRSI.
pdf?sequence=1&isAllowed=y
82NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management worked with the city government to introduce quick, low-tech and inexpensive
means of household composting. This pushed households to start segregating
the waste at source.
By 2009, more than 20,000 households started practicing household composting
and 21 composting centres were established. The model reduced waste generation
by 30 percent. To ensure the sustainability and implementation of the campaign,
the Surabaya City government recruited approximately 420 facilitators and 28,000
environmental cadres to manage their community-based waste management
initiatives. The campaign also included neighbourhood competitions in which
the communities were judged based on cleanliness, tree plantation and waste
management efforts.
Complementing this was Surabaya’s other impactful initiative of installing ‘waste
banks,’ which started in 2009. The waste banks initiative was launched under the
Surabaya Clean and Green campaign to manage dry waste. It functions like a
formal bank system, and the savings are not financial but dry waste. The deposited
dry waste undergoes a weighing process, and accordingly, payment is made to
the account holder.
The waste bank is not just an environmental initiative but is also an economic
model. Citizens are paid to sort the waste at source and this ensures their
participation in the city’s waste management process. The waste collected by the
bank is further sold to large aggregators or recyclers, who use it to make other
recycled material. The model of the waste bank has ensured an increase in the
informal sector income.
As of today, the city has maintained sustinability of its models via various innovative
strategies. The city’s transportation system has been adapted to reduce plastics.
Bus units in Surabaya allows people to pay their fares using plastic bottles.
4
CUTTING LANDFILL WASTE IN VIETNAM BY 70 PERCENT: A
WOMEN-LED WASTE COLLECTION PROGRAMME IN HOI AN CITY:
A tourist and a port city, Hoi An in Vietnam witnesses a footfall of 20 million tourists
annually, and the city generates 27,000 tonnes of solid waste per year.
18
Initially, all
of it was beng dumped in landfills, waterbodies or streets, and residents and city
authorities had a tough time managing the waste.
In 2010, the Hoi An Women’s Union took charge of waste management in the
city. Under the project ‘Socialization of solid waste management in Hoi An’, the
Women’s Union prepared a long-term strategy to manage the waste crisis in the
city. Innovation and advocacy were the two central pillars of the project.
Implemented in close coordination with the Vietnam Office of Natural Resources
and Environment and the Public Works Agency, the project worked to sustainably
develop the city while preserving its cultural heritage. Hoi An is famous for its
18 https://undp.shorthandstories.com/gef-sgp-waste-not-waste-not/
83NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management pagodas, temples, ancient wells and tombs; improper waste management was a
big threat for the city.
Sorting waste at the source was a key idea behind the project. Recyclable,
biodegradable and persistent (organic pollutants) were the three categories
created for households to segregate their waste. The Women’s Union initiated an
exhaustive communication and education campaign via community radio, local
fairs, door-to-door outreach, etc., to make residents understand the importance
of source segregation.
The project made biodegradable waste
to compost at the household level, which
farmers later used in their fields. Recyclables
like plastic, metal, glass, etc., were collected
and sold for recycling. The persistent waste
was handed over to the city government
for disposal. The city authorities provided
their full cooperation and streamlined the
process by creating waste management
plans.
The project did not only enable source
segregation and channelize the collection
of the waste, but it also created income
support for women members. The project
devised a revolving credit scheme to
provide loans to them, ensuring that the
waste management programme became
self-sustainable and viable.
The union utilized these funds to purchase
necessary infrastructure like trolleys,
bicycles, uniforms, etc. The project helped
increase the quantity of recovered, recycled
waste and the income of women members.
Plastic waste has emerged as a threat in
IMPACT OF THE MODEL:
The efforts by the Hoi An Women’s Union resulted in a
70 percent diversion of the waste from the city’s landfill.
The model is an important example not only for plastic
recycling but also for gender equity and the social
protection of women waste pickers. The model is now
being scaled up at a provincial level.
84NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management WAY FORWARD AND CONCLUSION 6
recent years and needs different models for sustainable PWM. The adoption of
a circular economy in PWM will support the sustainable utilization of natural
resources and boost the economy.
In India, the Plastic Waste Management Rules were mandated in 2016, amended
in 2018 and 2021, to manage waste at the city level. There are different categories
of plastic waste defined by the CPCB, which should be processed and recycled
by recycling units. Single-use and multi-layered plastics can be considered the
most difficult to process or recycle. While there have been numerous policy
interventions to institutionalize PWM, managing solid waste, mainly plastic waste,
has been a challenge for ULBs across the country.
This handbook will provide a roadmap for a sustainable and inclusive PWM model
for the ULBs. The handbook details the MRF model, which the ULB can implement
in a public-private partnership mode. The brand owners or producers under EPR
or CSR activities can provide financial support to develop the infrastructure and
machinery required for the MRFs. Steps and processes to set up, operationalize
and make the model self-sustaining by becoming a profitable model have been detailed in this handbook. This model ensures compliance with regulations and
improves resource utilization. It not only focuses on managing plastic waste but
also on the social inclusion and protection of waste pickers by improving their
socio-economic conditions.
To successfully implement the model, all stakeholders need to be integrated and
institutionalize the complete process. The handbook details the role of different
stakeholders, such as ULBs, recyclers, service providers, brand owners and waste
pickers for each of the components. The segregation of waste at generation points
and the formalization of recycling units by registering as per CPCB rules are critical
to implementing the MRF model.
This handbook will act as an important tool for ULBs in the successful plastic waste
management in their respective cities.
86NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Annexures
1) ANNEXURE I : Baseline format for Municipal Solid (Plastic) Waste
Management including comprehensive questionnaire for capturing the
information on Solid (Plastic) Waste at the city or town level.
2) ANNEXURE II : Risk Matrix – Plastic Waste Management comprises different
risk matrix like operational, occupational, financial, and institutional and recycler linkages. The details captured for each risk include associated risks, degree of risk for MRFs as high/medium/low, impact, and action plans.
3) ANNEXURE III: Suggestive template for reporting & data monitoring comprises of six formats for the reporting and data monitoring purposes at MRF. The six formats mentioned in this annexure are Daily Inward Register, Daily Outward/Sale Register, Waste Picker Registration Details, Self-Help Group Details, Infrastructure Fixed Assets Details, and Recycler Details.
4) ANNEXURE IV: Checklist for recyclers (as per Plastic Waste Management Rules 2016, FORM II) includes the details for recyclers to set up and operate recycling units. The annexure also details the suggestive measures for recyclers while setting up and running their units.
5) ANNEXURE V : Checklist for ULBs (Framework for Entering into a City for Establishing Plastic Waste Management System) includes the details and prerequisites for setting up MRF. It consists of details starting from level 0 (City Review and Scope of Intervention) to level 6 (IEC and Awareness Activities). It is assumed that the PWM system needs to be established in the city from scratch; Level 0 considered as an initiation point.
6) ANNEXURE VI : Checklist for ULBs (Framework for partial establishment of Plastic Waste Management System in a city) includes details on the assumption that PWM system is partially established in the city and divided into activities already done and activities that are left to be done for setting up a comprehensive waste management system at the city level.
7) ANNEXURE VII: Templates for cash flows and maintaining financial
sustainability. NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Annexure I – Baseline Format for
Municipal Solid (Plastic) Waste
Name of City/Town and State
Population
Area in square kilometres
Name & address of the local body, contact details (email, phone)
Name of officer in-charge dealing with solid/plastic waste
management
Phone no./Fax/Email
Number of households in the city/town
Number of non-residential premises in the city
Number of election/administrative wards in the city
Total quantity of solid (plastic) waste generated
Estimated quantity of waste generated in the local body area per
day in metric tones
Quantity of waste collected per day
Per capita waste collected per year
Quantity of waste processed
Quantity of waste disposed at dumpsite/landfill
Status of waste management services:
Segregation and storage of waste at source
Whether waste is stored at source in domestic/commercial/
institutional bins. If yes,
Percentage of households practicing storage of waste at source in
domestic bins
Percentage of non-residential premises practicing
storage of waste at source
Percentage of household disposing or throwing waste on the
streets
Percentage of non-residential premises disposing or throwing
solid waste on the streets
Whether waste is stored at source in segregated form. If yes,
Percentage of premises segregating the waste at source
Door-to-door collection of solid (plastic) waste
Whether door-to-door collection is being done
in the city/town
88 Number of wards covered in door-to-door collection of waste
No. of households covered
No. of non-residential premises including commercial
establishments, hotels, restaurants, educational institutions/
offices etc. covered
Percentage of residential and non-residential premises covered in
door-to-door collection through:
wMotorized vehicle
wContainerized tricycle/handcart
wOthers
If not, method of primary collection adopted
wSweeping of streets
wLength of roads streets, lanes, bye lanes in the city
Tools used :
Manual sweeping%
Mechanical sweeping%
Whether long handle broom used by sanitation workers Yes/No
Whether each sanitation worker is given
handcart/tricycle for collection of waste
Yes/No
Whether handcart/tricycle is containerized
Whether the collection tool synchronizes with collection/waste
storage containers utilized
Secondary waste storage facilities
No. and type of waste storage depots in the city/town
wOpen waste storage sites
wMasonry bins
wCement concrete cylinder bins
wDhalaos/covered rooms/space
wCovered metals/plastic containers
wBin less city
No. capacity in m³
Ward wise details of waste storage depots :Frequency of collection of waste from the depots Frequency No. of bins
Number of bins clearedDailyAlternate dayTwice a weekOnce a weekOccasionally
89NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Whether storage depots have the facility for storage of
segregated waste in green, blue and black bins
Yes/No
(if yes, add details)
Whether lifting of solid waste from storage depots is manual or
mechanical. Give percentage
(%) of Manual lifting of solid waste(%)
(%) of Mechanical lifting(%)
If mechanical – specify the method used
Whether lifted from door to door and transported to
treatment plant directly in a segregated form
Yes/No
(If yes, specify)
Waste transportation per day
Type and number of vehicles used
wAnimal cart tractors
wNon tipping
wTruck
wTipping truck
wDumper placers
wRefuse
wCollectors
wOthers
wJCB/loader
Frequency of transportation of wasteQuantity of waste transported each day
Percentage of total waste transported daily
Waste treatment technologies used
Whether solid waste processed daily
If yes, quantity of waste processed daily tpd
Whether treatment is done by local body or through
an agency
Processing (in Hectares)
Land currently utilized for waste processing
Solid waste processing facilities in operation
Solid waste processing facilities under construction
Distance of processing facilities from City/Town boundary
90 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Details of technologies adopted
CompostingQty. r
Qty. final product produced
Qty. sold
Qty. waste landfilled
Vermi-compostingQty. r
Qty. final product produced
Qty. sold quantity of waste
landfilled
Bio-methanationQty r
Qty. final product produced
Qty. sold quantity of residual
w
Refuse derived fuelQty. r
Qty. final product produced
Qty. sold quantity of residual
waste landfilled
Waste to energy technology such as incineration, gasification,
pyrolysis or any other technology (give detail)
Qty. r
Qty. final product produced
Qty. sold quantity of residual
w
Co-processingQty. r
Combustible waste supplied to cement plant
Combustible waste supplied to solid waste based power plants
OtherQty.
Solid waste disposal facilities
No. of dumpsites available with the local body
No. of sanitary landfill sites available with the local body
Area of the site available for waste disposal sites
Distance of the dumpsite/landfill facility from city/town
Distance from the nearest habitation
Distance from water body
Distance from state/national highway
Distance from the airport
Distance from important religious place or historical
monuments
91 NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Whether it falls in flood prone area
Whether it falls in earthquake fault line area
Quantity of waste landfill each day
Whether landfill site is fenced
Whether landfill facility is available on site
Whether weighbridge facility available
Vehicles and equipment used at landfill (specify)
Manpower deployed at landfill site
Whether covering is done on daily basis
If not, frequency of covering the waste deposited at landfill
Cover material used
Whether adequate covering material is available. Provisions for
gas venting provided. Provisions for leachate collection. Whether
an action plan has been prepared for improving solid waste
management practices ? What separate provisions are made for ?
wDairy-related activities
wSlaughterhouse waste
wC&D waste (construction debris)
wDetails of post closure plan
How many slums are landfill and whether these are provided with waste management facilities:
(If yes, attach details)
Give details of
Local body’s own manpower deployed for collection including
street sweeping, secondary storage, transportation, processing
and disposal waste
Give details of
Contractor/concessionaire’s manpower deployed for collection
including street sweeping, secondary storage, transportation,
processing and disposal of waste
Mention briefly, the difficulties being experienced by the local
body in compliance with provisions of these rules
Mention briefly, if any innovative idea is being implemented to
tackle a problem to solid waste, which could be replicated by
other local bodies
92 NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Annexure II – Risk Matrix-Plastic Waste Management
S.No. Issue Risks
Degree of
risk (High/
Medium/
Low)
Impact Action Plan
Operational Risks - Collection System, Material Recovery Facility & Final Disposal/Processing
1Identification
of land and
obtaining
permission/
approvals with
local authorities
Delays in getting
land and necessary
approvals for
initiating the
operations
High Inability to establish
the PWM system in
place.
The land is allotted by
local authorities for
establishing Material
Recovery Facility.
Obtaining approvals
is a prerequisite for
initiating the operations
and establishing the
decentralised system
in the city. The local
authorities to fast track
the approval process
and designate area for
establishing Material
Recovery Facility
2Establishing
robust collection
system with daily
tonnage/target
The daily collection
system varies from
city to city depending
on generation and
the way it is collected
e.g. - door to door,
community based
etc. If a minimum
threshold of
collection target is
not met, then the
MRF cannot run at its
full capacity.
Medium Inability of meeting the
agreed pre-decided
timelines in setting
the system. The PWM
system will operate at
reduced capacity.
Planning & pre-deciding
the route map with local
authorities, creating
awareness, engaging
local communities, etc.
93 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management S.No. Issue Risks
Degree of
risk (High/
Medium/
Low)
Impact Action Plan
3Onboarding/
appointment
of waste
management
agency/partner
to operate
the Material
Recovery Facility
Availability of skilled
human resource
across cities. With
waste management
being an unorganized
and complex sector in
India, it is difficult to
find human resources
who have the skill
sets that match the
requirement of the
project both in the
teams and service
providers.
High Long-time taken by
project team and
service providers in
delivering the activity
outputs (results).
Transparent tendering
process with
experience-based
selection of the partner
agency. Regular
capacity building to be
undertaken.
4Channelization
of recyclable
plastic waste
fraction to
recyclers & their
linkages
Non-Compliance with
guidelines laid by
CPCB
High There is a lack of
registered recyclers
in the country and
as per CPCB 100%
channelization of
recyclable plastic waste
should happen to be
registered recyclers.
Encouraging small &
large aggregators to
register themselves with
SPCBs to create enough
infrastructure. Engaging
with registered recyclers
to be emphasised.
5Unprecedented
situations /
events outside
the control of
projects
Outbreak of a
pandemics (COVID)
and related events,
social unrest – Riots,
civil disobedience
movements. Natural
disasters, floods etc.
High
wInability of abiding
by the pre-decided
timelines and
results.
wHigh costs for recycling challenging the business model approaches.
wJobs, income of waste pickers is impacted, and school children are drop-outs.
Capacity building &
training in case of man-
made hazards. In case
of natural disasters, a
proper contingency
plan to be prepared &
adopted.
94 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management S.No. Issue Risks
Degree of
risk (High/
Medium/
Low)
Impact Action Plan
wDistress sale of
assets, domestic
violence increases,
indebtedness
increases, greater
drudgery for
women.
Implementation
partner runs into
losses due to higher
operational costs.
Occupational Risks at Material Recovery Facilities
1Physical hazardsThe most common
hazards include injury
from sharp items, use
of hand and power
tools, and material
handling, slips, and
falls, and temperature
extremes.
High Injury/loss of life Use of safety gears like
gloves, mask, boots
and proper clothing
will minimize the risk
and prevent potential
accidents at the site. A
safety briefing at the
project site should be
conducted every month
as a healthy practice
to prevent physical
hazards.
2Exposure to site
contaminants
Personnel could
contact waste and
the typical pathogens
contained therein
most notably is
tetanus.
Medium Water/food-borne
diseases
Site personnel should
be provided with
tetanus immunizations
before mobilizing to
the site. They will also
be required towash
their hands at the end
of work and before
handling food. It is
also suggested to
keep a workplace
uniform to maximize
the prevention of
contamination.
95 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management S.No. Issue Risks
Degree of
risk (High/
Medium/
Low)
Impact Action Plan
3Biological
hazards
During the operation
at the site, there
is potential for
workers to encounter
biological hazards
such as animals,
insects, and plants.
Animals such as
dogs, cats, rats, mice,
and snakes may be
encountered.
Medium InjuryWorkers shall be well
instructed to avoid all
contact with animals. If
these animals present a
problem, efforts will be
made to remove these
animals from the site by
contacting a licensed
animal control expert.
4Fire hazards Material recovery
facility deals with
dry waste there is a
potential hazard of
ignition of the dry
waste trough external
agents like flash,
electric spark, nearby
fire etc.
High InjuryInstallation of fire
extinguisher is must
at Material Recovery
Facility. Recommended
to have fire hydrant
system installed.
Financial Risks
1Sustainable
investments
in monitoring
and evaluation
systems in
project
Governance and
management level
issue
High The rate of change in
terms of social benefits,
empowerment is
compromised.
High management
costs and operational
inefficiencies not
addressed.
Robust planning &
scaling up of business
model for waste
management system.
2Higher cost
of material
& quality of
incoming
material
Net lossMedium Impact on operational
costs of the project.
Comparison with
multiple vendors and
select appropriate
vendor.
96 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management S.No. Issue Risks
Degree of
risk (High/
Medium/
Low)
Impact Action Plan
3Shortage of
material
Difficulty in meeting
target & processing
challenges
Medium Impact on operational
costs of the project.
Planning of pickup
of material as per the
availability of material.
4Increase in
logistics cost
spent per kg of
plastic waste
Effect on gross
margins
Medium Impact on operational
costs of the project.
Sending material to
region specific recyclers
for reducing logistics
cost.
Institutional Risks
1Policies, delayed,
change in
frameworks
in the
implementation
of Plastic Waste
Management
Rules/
Solid Waste
Management
Rules
Fluctuating oil
prices making virgin
plastics cheap than
the recycled plastics.
Leads to poor
linkages to markets,
recyclers resulting in
losses in recycling.
High
wInability of abiding
by the pre-decided
timelines of the
project.
wIncome of waste pickers is impacted.
wInvestments in the plastic waste have low rate of returns.
wLess interest by the private sector in the systematized investments by the private sector and ULBs.
Recycler Linkages
1Onboarding
recycler/
dismantler not
listed in CPCB list
Client disagreement
in approving the
onboarded recycler/
dismantler
Medium Non-Compliance with
the Rules
Verification of recyclers
2Onboarding a
non-compliant
recycler/
dismantler
Business loss Medium Non-Compliance with
the Rules
Training recyclers
on documentation
compliances
97 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management S.No. Issue Risks
Degree of
risk (High/
Medium/
Low)
Impact Action Plan
Social Risks
1Child labour in
centers
Risk of children
working below 18
years. Violation of
labour laws
High Violation of labour
laws, effect on
childhood, health and
emotional well being.
Material Recovery
Facility should establish
strict policies to address
child labour issues.
2Fair wages to all
working in the
center
Risk of not addressing
the gender parity and
equal wages to all
working in Material
Recovery Facilities
Medium Impact on equal
work opportunities
to men and women,
performance issues.
Internal policies/SOPS to
adhere to fair wages.
3Issuance of ID
cards to waste
pickers
Recognition to waste
pickers working at
Material Recovery
Facilities
Medium Impact on recognition
to waste pickers,
encouraging better
collection and dignity.
Internal policies/SOPs to
issue ID cards.
4Inclusion of
informal sector/
waste pickers
Risk of low
collections.
Medium Impact on collection
volumes, recognition
to waste pickers
Ensuring waste pickers
are integrated in the
system and benefitted
with various schemes
available.
5Migratory risks of
waste pickers
Risk of inconsistent
collection volumes
Medium Impact on collection
volumes.
Ensuring waste pickers
are integrated in the
system and benefitted
with various schemes
available.
98 NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Annexure III - Suggestive Template for
Reporting & Data Monitoring
a) Format for Register I Daily Inward Register - Material Recovery
Facility (City Name & Service Provider Name)
No.
Date dd/mm/yyyy
Name: Source of incoming
Type of Source
Name of waste picker / SHG / Bulk Generator /
ULB / First Point of Sale / Others
Ward Name / No
Vehicle No / Others (Handcart, Rickshaw, etc.)
Incoming waste (Kgs)
Type of waste
(Code ID)
Unit rate paid/
kg to SS / Others
Bill No. - by IP/Buyer
Total amount (Rs)
Mode of payment (by bank transfer/ cheque
or cash)
Weigh scale in-charge signature available in
registry
Receivers signature available in registry
1
2
b) Format for Register II Daily Outward/Sale Register - Material
Recovery Facility (City Name & Service Provider Name)
No.
Date dd/mm/yyyy
Recycler name/address
Vehicle no./others
Weighbridge slip no.
Net weight in kg
Type of product name
(Code ID)
Invoice no. & date
Rate/Kg
Invoice total
Amount (INR)
Account incharge
signature of service
provider
1
2
99 NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management c) Format for Register III Waste Picker Registration Details - Material
Recovery Facility (City Name & Service Provider Name)
No.
Name of the
SHG
Female waste
pickerss
Male waste
pickers
Total No of
members
Date of
formation
Bank name
Account no
Address
1
2
d) Format for Register IV Self Help Group Details - Material Recovery
Facility (City Name & Service Provider Name)
No.
Name of the
SHG
Female waste
pickers
Male waste
pickers
Total no of
members
Date of
formation
Bank name
Account no
Address
1
2
e) Format for Register V Infrastructure - Fixed Asset Details -
Material Recovery Facility (City Name & Service Provider Name)
No
Land area
(sq. ft)
Shed area
(sq. ft)
Owned by
Amount of rent paid (if any
in INR)
Sanctioned power (kW)
Facilities (Toilet, office
room, dress changing
room, etc)
Health, safety equipments
1
2
100 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management No.
Machinery
Location
Owned by
Operational
since (date)
Capacity
Number of
machines
Power (kW)
1Weighing scale
2Baler
3Conveyor belt
4Shredder
5Phatka
6Aglo Gatta
machine
7Mobile phone
8Trolley
9Sorting table
10Incinerator
11Extrusion
12Sewing machine
13Other
Format for Register VI Recycler Details - Material Recovery
Facility (City Name & Service Provider Name)
No.
Material
Name
Address
Distance from MRF
Recycler
Recycling capacity
(tons per month)
List of machineries
Recycling process
Certificate available
Registration number
Purchase rate
1
2
101 NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Annexure IV – Checklist for Recyclers (as per Plastic Waste
Management Rules 2016, FORM II)
Part I - Plastic Waste Management Rules 2016
S. No ItemDetail
Availability
Remarks
YesNo
1Name and address of the unit
2Contact person with designation
3Date of commencement
4Number of workers (including
contract labour)
5Consent validity i. W
Pollution) Act 1974
ii. A
Pollution) Act 1981
iii. EIA clearance (optional)
iv. Hazar
license
6Manufacturing process Please attach a flow diagram of the manufacturing process flow diagram for each product
7Products and installed capacity of production (MTA)
i. Products
ii. I
8Waste management:
i. W
plastic waste.
ii. W
transportation (attach details).
iii. W
iv. Provide details of the disposal
facility, whether the facility is
authorized by SPCB or CPCB.
102 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Part I - Plastic Waste Management Rules 2016
S. No ItemDetail
Availability
Remarks
YesNo
v. P
characterization of waste
generated (including leachate
test, if applicable).
9Details of plastic waste proposed to
be acquired through sale, auction,
contract or import as the case may
be, for the use of raw material.
i. Name
ii. Q
10Occupational safety and health aspects
i. Disast
mock drills etc.
ii. I
iii. EHS policy
iv. SOP
v. F
vi. C
environmental risk mitigation
control plan
vii. A
viii. A
approval, etc.
11Pollution control measures
i. W
pollution control systems or equipments to meet the standards of emissions or effluents.
ii. W
compliance with conditions laid down in the said rule.
iii. W
are like to exist of the material being handled or processed posing adverse immediate or delayed impacts on the environment.
103 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Part I - Plastic Waste Management Rules 2016
S. No ItemDetail
Availability
Remarks
YesNo
11iv. W
likely to exist of the material
being handled or processed
by any means capable of
yielding any other material (ex.
leachate) which may possess
eco-toxicity.
12List of enclosures as per rule.
13Recycling or processing of plastic
waste shall prepare and submit
an annual report in Form-IV to
the local body concerned under
intimation to the concerned SPCB
or Pollution Control Committee by
the April 30, of every year.
14Ensuring that no damage is caused
to the environment in recycling the
plastic waste.
15Details of machinery installed & its
operating capacity.
104 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Part II - Suggestive measures
S. NoItemDetail
Availability
Remarks
YesNo
1Incoming plastic waste register
2E-way bill and other transportation
documents
3Weighbridge receipts and pictures
of vehicles showing their registration
number
4Outgoing processed material register
from Material Recovery Facility
5Transaction details as proof of plastic
waste processing
6Certificate of recycling to be
obtained/generated
7Air/water/noise/soil monitoring
reports as per CTO - Air & Water Act
8Hazardous residues/waste safe
disposal proof such as TSDF
certificate
9Due diligence report
10ESIC liability insurance
11Legal compliance register, legal
notices or any ongoing legal
proceedings
12List of agreements with transporters,
PROs, channel partners etc.
13Business continuity and
developmental plans
105 NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Annexure V – Checklist for ULBs
(Framework for Entering into a City for Establishing Plastic
Waste Management System)
Level S. No ItemsDetail
Availability Remarks
YesNo
Level 0
1
City review and scope of
interventions
A
Establishing Plastic Waste
Management in new city for
project implementation, an initial
survey on inflow and outflow
of waste value chain to be
undertaken as a baseline.
B
Location of Material Recovery
Facility
CIdentification of wards
D
Routes for collection of plastic
waste & other collection
mechanism
E
Analysis of data on dry/plastic
waste from primary and secondary
sources, including bulk generators
like resident welfare associations
(RWAs), commercial and religious
establishments including schools,
hotels, etc.
Level 1
2
Urban Local Body (ULB)
engagement and approval
A
Engagement with Commissioner/
Secretariat of the city ULB/
Municipality/(SPCB) to set up the
Material Recovery Facility.
106 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level S. No ItemsDetail
Availability Remarks
YesNo
Level 1
B
Letter of approval for space, shed
etc.
C
Conduct meetings/workshops
with government officials, bulk
generators, industrial and hotel
associations, waste aggregators,
RWAs, etc. for collection/recycling
of all plastic/dry waste.
Level 2
3
Request for project
implementation in the city
A
Onboard an implementing/service
partner in the city
i. P
Reference for selection of
implementation/service
partner
ii. F
Proposal through local tendering process
iii. E
partner agency with technical & operational experience in waste management domain
iv. Engagement of Waste pickers
in the city for collection of plastic waste
v. C
agency on procurement, social inclusion and stakeholder engagement best practices.
Level 3
4
Set up infrastructure, plant &
machinery of Material Recovery
Facility
A
Site preparation for operational
and requisite construction with all
relevant infrastructure including
toilets, electricity etc.
107 Level S. No ItemsDetail
Availability Remarks
YesNo
Level 3
B
Implementation process and
ensure procurement/installation/
operation/maintenance of
machinery from selected vendors.
C
Requisite safety measures (fire
safety, first aid, etc.) to be ensured
in the centre
D
Operators of machinery and staff in
Material Recovery Facility trained
and exposure in operations,
maintenance, occupational safety
and best practices of running
Material Recovery Facility
E
Consent to establish
i. Sit
Industry
ii. D
which includes the details of
raw material, product to be
manufactured, the capital cost
of the unit (land, building,
and plant machinery), water-
balance, source of water, and
its required quantity
iii. Land documents such as
Registration deed/ Rent deed/Lease deed
iv. Details of Water Pollution
Control/Air Pollution Control instruments
i. W
& Control of Pollution) Act 1974
ii. A
& Control of Pollution) Act 1981
iii. EIA clearance
(optional)
v. MO
Consent to operate
i. C
ii. La
details of all manufacturing processes
108NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level S. No ItemsDetail
Availability Remarks
YesNo
Level 3
iii. La
waste, effluent, hazardous
wastes, and fuel gases
iv. C
duly attested by CA or CA certificate
v. D
effluent is discharged on land for percolation
vi. O
issued by Town & Country Planning Department, in case of building & construction projects/area development projects.
i. W
& Control of Pollution) Act 1974
ii. A
& Control of Pollution) Act 1981
F
vii. MOiii. EIA clearance
(optional)
G
Waste inflow and outflow plan i. T
(bailed PET, shredded HDPE, Ghatta material, rejects etc.)
ii. M
the sources (educational institutes, religious places, municipal system, aggregators, etc.)
H
Machinery installation and details
i. W
ii. C
iii. F
iv. Shr
v. A
vi. Bailing machine
vii. W
109NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level S. No ItemsDetail
Availability Remarks
YesNo
Level 3
I
List of processes at the MRF
i. M
conveyor belt
ii. Cleaning using air blower
method
iii. Shr
iv. Gr
v. A
shredded plastic
vi. Ex
plastic
vii. Bailing of the thin plastic
viii. U
J
Occupational safety and health
aspects:
i. Clean drinking water facility -
RO/UV
ii. S
EHS policy
iii. Clean sanitation facility
iv. C
clothes
v. Childr
area
vi. F
vii. P
equipments
5
Onboarding waste pickers and Inclusion interventions
A
Identify the waste picker communities, and register the waste pickers for the engagement
B
Regular meetings with waste pickers for the following
110 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level S. No ItemsDetail
Availability Remarks
YesNo
Level 3
Social protection measures:
i. Issuing occupational identity
cards for the waste pickers
ii. Issuing mandatory identity
cards for the waste pickers
(like ration cards, Aadhaar
card, voter ID etc.)
iii. Opening of bank accounts
iv. E
various government. schemes
v. F
vi. G
vii. F
viii. M
ix. A
x. ESIC liability insurance
xi. SHG f
xii. R
Key social protection
policies:
i. P
Dhan Yojana
ii. P
Jeevan Jyoti
Beema Yojana
iii. P
Suraksha Beema Yojana
iv. A
Yojana
v. A
Yojana
vi. Janani Shishu
Suraksha Yojana
vii. M
Indradhanush
Gender action plan
i. I
PoSH
ii. P
sensitive trainings
iii. Supporting
menstrual health and hygiene
iv. P
responding to gender-based violence
Level 4
6
Linkages to bulk generators &
recyclers
A
Identification of recyclers and bulk
generators of plastic waste in the
city for collection of segregated/
processed waste.
111 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level S. No ItemsDetail
Availability Remarks
YesNo
Level 4
B
Recyclers should be registered
and have appropriate approvals
and compliances to ensure
traceability of the waste collected
from Material Recovery Facility
(Refer the Annexure - Checklist for
Recyclers)
C
Collection & logistics for the
Material Recovery Facility
defined with the partners such
as ULB/ Municipality/ bulk
generators/ recyclers.
Level 5
7
Compliance system as per
PWM Rules, 2016 - collection,
reporting, bookkeeping and
accounts
AIncoming plastic waste register
B
E-way bill and other transportation
documents
C
Dharm Kanta receipts and
pictures of vehicles showing their
registration number
DOutgoing plastic waste register
E
Transaction details as proof of
plastic waste processing
FWaste pickers onboarding details
Level 6
8Awareness and IEC Activities
A
Continuous campaigns of
awareness activities for schools,
citizen and stakeholders’
sensitization to promote plastic
waste management best practices
such as source segregation.
112 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level S. No ItemsDetail
Availability Remarks
YesNo
Level 6
B
Engage with new media such as
digital platforms and bloggers/
influencers for placement
of stories .
C
Innovative media partnerships
with leading channels
DWorkshops/webinars/trainings
Assumption:The PWM system needs to be established in the city from scratch; Level 0 to be considered
as an initiation point.
113 NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Annexure VI – Checklist for ULBs (Framework for Partial
Establishment of Plastic Waste Management System in a City)
Level
S.
NoItemsDetail
Availability Remarks
YesNo
Level 0
1
City Review and scope of
interventions
AEstablishing Plastic Waste
Management in New city for
project implementation, an
initial survey on inflow and
outflow of waste value chain to
be undertaken as a baseline.
BLocation of Material Recovery
Facility
CIdentification of wards
DRoutes for Collection of Plastic
Waste & other Collection
Mechanism
EAnalysis of data on dry/plastic
waste from primary and
secondary sources, including
bulk generators like resident
welfare associations (RWAs),
commercial and religious
establishments including
schools, hotels etc
Level 1
2
Urban Local Body (ULB)
Engagement and Approval
AEngagement with
Commissioner/Secretariat of
the city ULB/ Municipality/State
Pollution Control Board (SPCB)
to set up the Material Recovery
Facility.
114 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level
S.
NoItemsDetail
Availability Remarks
YesNo
Level 2
BLetter of Approval for space,
shed etc.
CConduct meetings/workshops
with government officials, bulk
generators, industrial and hotel
associations, waste
aggregators, RWAs etc. for
collection/recycling of all
plastic/dry waste.
3
Request for Project
Implementation in the city
A
Onboard an implementing/
service partner in the city
i. P
Reference for selection of
Implementation/Service
Partner
ii. F
Proposal through local tendering process
iii. E
of Partner Agency with Technical & operational Experience in Waste management domain
iv. Engagement of Waste
pickers in the city for collection of plastic waste
v. C
agency on procurement, social inclusion and stakeholder engagement best practices.
115 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level
S.
NoItemsDetail
Availability Remarks
YesNo
Level 3
4
Set up Infrastructure, Plant
& Machinery of Material
Recovery Facility
ASite preparation for Operational
and Requisite Construction
with all relevant infrastructure
including Toilets, Electricity etc.
BImplementation process
and ensure procurement/
installation/ operation/
maintenance of machinery from
selected vendors.
CRequisite safety measures
(fire safety, first aid etc.) to be
ensured in the centre
DOperators of machinery and
staff in Material Recovery
Facility trained and exposure
in operations, maintenance,
occupational safety and best
practices of running Material
Recovery Facility
EConsent To Establish
i. Sit
the industry
ii. D
which includes the details
of raw material, product
to be manufactured, the
capital cost of the unit
(land, building, and plant
machinery), water-balance,
source of water, and its
required quantity
i. W
Control of Pollution) Act 1974
ii. A
of Pollution) Act 1981
iii. EIA clearance (optional)
116 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level
S.
NoItemsDetail
Availability Remarks
YesNo
Level 3
iii. Land documents such as
Registration deed/ Rent
deed/Lease deed
iv. D
Control/Air Pollution Control instruments
v. MO
FConsent To Operate
i. C
ii. La
details of all manufacturing processes
iii. La
of solid waste, effluent, hazardous wastes, and fuel gases
iv. C
duly attested by CA or CA certificate
v. D
effluent is discharged on land for percolation
vi. O
issued by Town & Country Planning Department, in case of Building & construction projects/area development projects.
vii. MO
i. W
Control of Pollution) Act 1974
ii. A
of Pollution) Act 1981
iii. EIA clearance (optional)
GWaste inflow and outflow plan i. T
PET, shredded HDPE, Ghatta material, rejects etc.)
ii. M
(educational institutes, religious places, municipal system, aggregators etc.)
117 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level
S.
NoItemsDetail
Availability Remarks
YesNo
Level 3
HMachinery installation and
details
i. W
ii. C
iii. P
iv. Shr
v. A
vi. Bailing Machine
vii. W
IList of processes at the MRF
i. M
conveyor belt
ii. Cleaning using air blower
method
iii. Shr
iv. Gr
v. A
shredded plastic
vi. Ex
agglomerated plastic
vii. Bailing of the thin plastic
viii. Use of forklifts
JOccupational safety and health aspects:
i. Clean drinking water facility
- RO/UV
ii. S
EHS policy
iii Clean sanitation facility
iv. C
clothes
v. Childr
play area
vi. F
vii. P
Equipments
118 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level
S.
NoItemsDetail
Availability Remarks
YesNo
Level 3
5
Onboarding Waste pickers and
Inclusion interventions
AIdentify the waste picker
communities, and register
the waste pickers for the
engagement
bRegular meetings with waste
pickers for the following -
Social protection measures:
i. Issuing occupational
identity cards for the waste
pickers
ii. Issuing mandatory identity
cards for the waste pickers (like ration cards, Aadhaar card, voter ID etc.)
iii. Opening of bank accounts
iv. E
various govt. schemes
v. F
vi. G
vii. F
viii. M
ix. A
x. ESIC liability insurance
xi. SHG f
xii. R
Key social protection policies:
i. P
Yojana
ii. P
Jyoti Beema Yojana
iii. P
Beema Yojana
iv. A
v. A
vi. Janani Shishu Suraksha
Yojana
vii. M
Gender action plan
i. I
ii. P
sensitive trainings
iii. Suppor
health and hygiene
iv. P
responding to gender-based violence
Level 4
6
Linkages to Bulk Generators,
Recyclers, Co - Processing/
Road Laying
AIdentification of Recyclers and Bulk Generators of plastic waste in the city for collection of segregated/processed waste.
119 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Level
S.
NoItemsDetail
Availability Remarks
YesNo
BRecyclers should be registered
and have appropriate
approvals and compliances to
ensure traceability of the waste
collected from Material Recovery
Facility (Refer the Annexure -
Checklist for Recyclers)
CCollection & logistics for the
Material Recovery Facility
defined with the partners such
as ULB/ Municipality/ bulk
generators/ recyclers.
DLinkages with Coprocessing &
Road Laying Organizations for
final processing of plastic waste
Level 5
7
Compliance System as per
PWM Rules, 2016 - Collection,
Reporting, Bookkeeping and
Accounts
AIncoming plastic waste register
BE-way bill and other
transportation documents
CDharm Kanta receipts and
pictures of vehicles showing
their registration number
DOutgoing plastic waste register
ETransaction details as proof of
plastic waste processing
FWaste pickers Onboarding
Details
120 Level
S.
NoItemsDetail
Availability Remarks
YesNo
Level 5
GCertificates from Recyclers, Co
processing, Road Laying for
plastic waste processing
Level 6
8Awareness and IEC Activities
AContinuous campaigns of
awareness activities for schools,
citizen and stakeholders’
sensitization to promote plastic
waste
management best practices
such as source segregation
BEngage with new media such as
digital platforms and bloggers/
influencers for placement of
stories
CInnovative media partnerships
with leading channels
DWorkshops/Webinars/Training
Assumption:Represents those certain aspects of the items are already done/established
Represents those aspects that needs to be developed and established in the city Support sought from ULB
– Land and building
– Power and water charges
– Transportation of MLP from DWCCs
Annexure VII:
Material Recovery Facility – Cash Flow
Target Tons Per Day 3.2 3.3 3.4 3.5 3.6 3.7 3.8 4.04.1 4.2 4.3 4.5 4.6 4.7 4.9 5.0 5.2 5.3
Operational ExpensesMonth 1 Month 2 Month 3 Month 4 Month 5 Month 6 Month 7 Month 8Month 9Month 10Month 11Month 12Month 13Month 14Month 15Month 16Month 17Month 18
Monthly waste buying
amount
Manpower cost
(gap after funding)
Management fee (gap
after funding)
Back office support
Utilities & consumables
Vehicle fuel
Vehicle maintenance/
repairs
Reject waste disposal
All other expenses
Total GST per month
Total cost
Operational RevenueMonth 1 Month 2 Month 3 Month 4 Month 5 Month 6 Month 7 Month 8
Month 9Month 10Month 11Month 12Month 13Month 14Month 15Month 16Month 17Month 18
Sales of processed
materials
Any other source of
revenue
Total revenue
Monthly Revenue vs
Expenditure
122NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Target Tons Per Day 3.2 3.3 3.4 3.5 3.6 3.7 3.8 4.04.1 4.2 4.3 4.5 4.6 4.7 4.9 5.0 5.2 5.3
Operational ExpensesMonth 1 Month 2 Month 3 Month 4 Month 5 Month 6 Month 7 Month 8Month 9Month 10Month 11Month 12Month 13Month 14Month 15Month 16Month 17Month 18
Monthly waste buying
amount
Manpower cost
(gap after funding)
Management fee (gap
after funding)
Back office support
Utilities & consumables
Vehicle fuel
Vehicle maintenance/
repairs
Reject waste disposal
All other expenses
Total GST per month
Total cost
Operational RevenueMonth 1 Month 2 Month 3 Month 4 Month 5 Month 6 Month 7 Month 8
Month 9Month 10Month 11Month 12Month 13Month 14Month 15Month 16Month 17Month 18
Sales of processed
materials
Any other source of
revenue
Total revenue
Monthly Revenue vs
Expenditure
123 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Assumptions
Category of plastic
Expected monthly
quantity (Kg)
Expected daily
quantity (Kg)
Average buying rate
(INR/Kg)
Total daily buying
amount (INR)
Processing loss (%)
Quantity after
processing (Kg)
Average selling rates
INR)
Total daily selling
amount (INR)
Add GST as
applicable
Processing
Soiled PET
(Pickle Jars,
Oil Jars etc)
10,000 400 21 8,400 15% 340 32 10,880 1,958.40
Washed
and shred/
flaked
LDPE 10,000 400 25 10,000 15% 340 40 13,600 2,448.00
Washed,
shred and
gatta
HDPE 10,000 400 18 7,200 15% 340 26 8,840 1,591.20
Washed,
shred and
gatta
MLP 18,000 720 1 720 15% 612 2 1,224 220.32
Shred and
baled
Mix Plastic 12,500 500 18 9,000 15% 425 26 11,050 1,989.00 Bag filling
PVC 5,000 200 3 600 15% 170 4 680 122.40 Bag filling
PP 5,000 200 20 4,000 15% 170 29 4,930 887.40
Shred &
gatta
PS 5,000 200 2 400 15% 170 3 425 76.50 Baled
Others 5,000 200 4 800 15% 170 5 850 153.00 Baled
Total 80,500 3,220 ₹ 41,120₹ 52,479
₹ 9,446
Material Recovery Facility – Waste Transactions
Number of Working Days in a Month 25
Total rejects: 483
124 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Manpower cost on Project with Existing Funding and Gap
Monthly
salary per
person
No of Staff
employed
for 5 TPD
Manpower
Cost per
month
Funded as
applicable
Gap
1
Project manager &
overall in-charge
25,000 1 25,000 20,000 5,000
2Center In-charge 20,000 1 20,000 15,000 5,000
3Field supervisor 18,000 2 36,000 26,000 10,000
4Site executive 15,000 2 30,000 20,000 10,000
78,000 6 1,11,000 81,000 30,000
As per minimum
wages
5Drivers 15,000 2 30,000 - 30,000
6Machine operators 12,000 5 60,000 24,000 36,000
7Sorters 12,000 10 1,20,000 - 1,20,000
8Loaders 12,000 3 36,000 - 36,000
51,000 20 2,46,000 24,000 2,22,000
Total
Total
monthly
salary
Total number
of staff
employed for
5 TPD
Total
manpower cost
per month
Amount
funded as
applicable
Actual
monthly
gap
1,29,000 26 3,57,000 1,05,000 2,52,000
9Back office support 15,000 1 15,000 - 15,000
10Management fee 25,000 1 25,000 22,500 2,500
125 NITI Aayog ? UNDP Handbook on Sustainable Urban Plastic Waste Management Machinery by ULB / Others
No Machinery Amount Remarks
1 Weighing scale -
2 Baler 5,00,000
3 Shredder 5,00,000
4 Aglo machine 2,06,250
Total 12,06,250
Machinery by Project
No Machinery Amount
1 Weighing scale 1,00,000
2 Phatka/Air blower machine 2,00,000
3 Baler 4,50,000
4 Aglo machine 3,50,000
5 Ghatta/extruder machiner 7,00,000
6 Shredder 2,00,000
7 Vehicle 6,00,000
Total 26,00,000
Other one-time expenses
No Machinery Amount
1 Office setup 20,000
2 Biometric attendance 50,000
3 Laptop/computer for office setup 50,000
4 Fire extinguisher 10,000
5 First-aid kit 5,000
6 Uniforms & safety gears 10,000
7 Drums, buckets 10,000
8 Stationary & signboards 10,000
9 Mobile phones 25,000
Total1,90,000
Land & Building
No Land & Building Amount Remarks
1 Total land area -
2
Modifications to
Existing sheds
-
3 New building costs -
4
Advance/one-time
cost for shed
-
Total -
Material Recovery Facility – Assets and Infra
126 NITI Aayog – UNDP Handbook on Sustainable Urban Plastic Waste Management Material Recovery Facility – Operational Expenses
Monthly Operational Expenses
No Expected Expenses Amount
1 Reject waste disposal 36,225
2 Vehicle fuel 10,000
3 Vehicle maintenance 10,000
4 Tools & equipments 2,500
5 Utilities & consumables 10,000
6 Uniforms 2,500
7 Internet 5,000
8 Printing & stationery 5,000
9 Safety equiments 5,000
10 Miscellaneous 15,000
11 Adhoc hiring of vehicles 20,000
Total 1,21,225
IEC Expenses One-time cost
1Wastepicker mobilization 20,000
2SHG formation 20,000
3One-time rolling fund for procurement 3,50,000
4Formation of RWA 20,000
5Meetings, trainings & workshops 3,000
6Provision of safety gears to wastpickers -
7Awareness campaigns & rallies -
8Insurance for plant & machinery 20,000
9Documentation of best practices 25,000
Total 4,58,000
10Miscellaneous 15,000
11Adhoc hiring of vehicles 20,000
Total 1,21,225
127