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					                                          DANIDA




                           DEAT Report Number: 12/9/6
                                         Annexure I 6




NATIONAL WASTE MANAGEMENT STRATEGY
    IMPLEMENTATION SOUTH AFRICA




  WASTE INFORMATION SYSTEM


IMPLEMENTATION STRATEGY
       SCENARIO EVALUATION




            OCTOBER 2006
National Waste Management Strategy Implementation Project




         NATIONAL WASTE MANAGEMENT STRATEGY
             IMPLEMENTATION SOUTH AFRICA




              WASTE INFORMATION SYSTEM


         IMPLEMENTATION STRATEGY
                           SCENARIO EVALUATION




                                     OCTOBER 2006




Ref.No         104.Sydafrika.1.MFS.57-1
Report.No.     01                       Prepared by: LG
Edition        Draft Final              Checked by: OB, KM, EN
Date           Oct 2006                 Approved by: PMG


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                                                TABLE OF CONTENTS


1     Introduction ......................................................................................................................1
2     Background ......................................................................................................................1
3     Approach to implementation ............................................................................................1
4     Human resource requirements for implementation ..........................................................2
5     WIS Implementation: Scenarios.......................................................................................3
      5.1 Option 1 - Implementation from inside DEAT.......................................................3
            5.1.1 Summary .....................................................................................................4
      5.2 Option 2 - Implementation from outside DEAT.....................................................4
            5.2.1 Summary .....................................................................................................4
      5.3 Option 3 - Joint implementation .............................................................................5
      5.4 Summary .................................................................................................................5
6     SAWIC Implementation...................................................................................................7
7     Budget ..............................................................................................................................7
8     The role of DEAT.............................................................................................................8
      8.1 The role of DEAT as lead agent..............................................................................8
      8.2 The role of the Sub Directorate: Waste Information...............................................8
9     Conclusions ......................................................................................................................9
10    References ........................................................................................................................9


Annexure A: Implementation Scenarios
Annexure B: Draft Tender Specifications




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1      Introduction
       This report presents possible scenarios, with associated costing and resource
       requirements, for the Department of Environmental Affairs and Tourism (DEAT) to
       roll-out the national waste information system. Following consultation within DEAT,
       a recommended approach is provided.


2      Background
       As part of the implementation of the National Waste Management Strategy, DEAT
       recognised the need to develop and implement a national waste information system
       for South Africa. Development of the South African Waste Information System
       (SAWIS), under the National Waste Management Strategy Implementation Project
       (NWMSI) project, began in 2004 and will continue until the end of 2006.

       As part of the NWMSI project, a framework document (DEAT, 2005) was developed
       by the DEAT and approved by the Director General in June 2005. The framework
       document details the data providers and data requirements of the first 4 phases of
       implementation. It is envisaged that each phase will be rolled out after successful
       implementation nationally of the previous phase. This may be after a 2-3 year period
       of operation of the particular phase in each of the nine provinces.

       To support the implementation of the SAWIS, Danida has made funding available
       through the five year National, Provincial Urban Environmental Management
       Programme (NPUEM) (http://uem-southafrica.development-environment.net).


3      Approach to implementation
       Piloting of the SAWIS involved labour intensive, one-on-one, interactions with waste
       treatment and disposal facilities. For full scale implementation of the WIS, it is
       proposed that DEAT or a specialist company instead engage with facilities through
       group workshops, training courses and conferences, thereby reducing the burden on
       DEAT in ensuring that all provinces and facilities are capacitated to implement the
       SAWIS.

       Envisaged implementation functions include:
          • Preparation and running of routine training courses with provincial
              representatives in all / selected provinces
          • Preparation and running of routine training courses with facilities in all
              provinces
          • Regular visits to provinces
          • Regular visits to selected facilities (as required)

       This approach allows for (i) provinces to build sufficient capacity to further
       implement the WIS and (ii) DEAT to engage with facilities in larger numbers, thereby
       reducing the time consuming one-on-one interaction.




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4      Human resource requirements for implementation
       Based on experience gathered during the implementation of the SAWIS in the two
       pilot provinces, Mpumalanga and the Eastern Cape, it was thought that it would take
       approximately 120 non-consecutive working days(1) to implement Phase 1 of the SA
       WIS in a province such as Gauteng (based on the number of waste facilities currently
       operating in Gauteng). This would relate to one person, occupied half-time,
       implementing the WIS in one province per year.

       However, the piloting of the WIS in Mpumalanga and the Eastern Cape was a
       learning exercise for both DEAT and the Department's consultants. In addition, a
       labour intensive, one-on-one, approach was adopted during piloting. Now that
       guidelines have been developed and user manuals prepared it is estimated that
       implementation in a province would be quicker than that originally proposed, taking
       possibly half the original piloting time. These reduced time frames can be achieved if
       the Department focuses on (i) support training to provinces and (ii) combined training
       with facilities, e,g, workshops, conferences, seminars.


                                             Estimated days required for implementation
                                                       of SA WIS per province
                70
                                                                                   A total of 450 w orking days to implement
                60                                                                 Phase 1 of the WIS in all 9 provinces.

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       Figure 1. Time requirements for implementation of the WIS.

       It is proposed, that the WIS would require the following time investment for
       implementation in a province:
           • Highly urbanised provinces - 60 days/province/annum (Gauteng, KwaZulu-
              Natal, Western Cape)
           • Moderately urbanised provinces - 50 days/province/annum (Eastern Cape,
              Free State, Mpumalanga)
           • Remotely urbanised provinces - 40 days/province/annum (Limpopo,
              Northwest, Northern Cape)



                                                                                                                               2
       (1)
               Assuming 20 working days per month, 240 working days per annum.


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       Based on the above assumption, it is estimated that it would take approximately 450
       working days to implement Phase 1 of the SA WIS in all nine (9) provinces(2). This
       relates to, on average, 50 days per province per annum, or ~4 days per month (2 days
       preparation, 2 days training/implementation in province per month).

       Further phases (Phase 2-4) of implementation would require less time, as provinces
       would be fully capacitated to take ownership of implementation of future phases, with
       guidance provided by DEAT.


5      WIS Implementation: Scenarios
       To support DEAT in making an informed decision around the preferred approach to
       implementation of the SAWIS, various implementation scenarios have been prepared
       and are discussed below.

       There are three key questions which need to be answered by DEAT in providing
       guidance to the preferred implementation scenario. These are:
       1. Is it DEATs function to implement and/or operate the WIS ?
       2. Over what time period should the WIS be implemented ?
       3. What budget does DEAT have available to support implementation of the WIS ?

       The following scenarios look at a combination of these three questions, it an attempt
       to identify a preferred approach to implementation of Phase 1 of the SA WIS. The
       scenarios are unpacked based on question 1, with sub-options addressing questions 2
       and 3.

5.1    Option 1 - Implementation from inside DEAT

       Option 1 puts forward a number of possible scenarios whereby DEAT implements
       and operates the SA WIS from within the Sub-Directorate: Waste Information.

       In order to effectively implement the WIS from within DEAT, one would need a
       Deputy Director (DD) to manage the implementation process and one (or more,
       depending on the desired rate of implementation) Assistant Directors (ADs) and/or
       environmental officers (EOs).

       Implementation of Phase 1 of the WIS requires that the person work closely with both
       provinces and facilities in the province, resulting in that person being away from
       office and home for a large portion of the year. In addition, the repetitive nature of
       the implementation could result in staff becoming easily bored or frustrated during the
       process. As soon as Phase 1 is implemented in all 9 provinces, DEAT would need to
       begin the process again for implementation of Phase 2. As a result it may be
       preferred that implementation of the WIS be part of other existing work functions of
       the DEAT staff, to ensure that the person remains stimulated and challenged in their
       position within DEAT. As a result, scenarios are presented for 50% and 80% project
       attributable input by DEAT staff during implementation.


                                                                                            3
       (2)
             Excluding time required by provinces, municipalities and private facilities


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5.1.1   Summary

          Options         Staff implementing          % time on             Staff           Years to
                          Year 1      Year 2        implementation       maintaining       implement
         Option 1A          2            1                50                  2                3
         Option 1B          3            1                50                  2                2
         Option 1C          4            0                50                  2                1
         Option 1D          2            1                80                  1                2

        ** Based on assumption of, an average of 50 days per province to implement, 450 days required to
           implement Phase 1 of WIS in all 9 provinces.



5.2     Option 2 - Implementation from outside DEAT

        This scenario sees the outsourcing of the implementation and operation of the WIS to
        a specialist company, e.g. consulting company, parastatal organisation, academic
        institution, NGO, etc. This would be based on a set contract period of 3-4 years.

5.2.1   Summary

        Options (2A-C) for timeframes for implementation by a specialist company:

          Options            DEAT              % time on
                             staff           implementation
         Option 2             1-3                  33

          Options         Staff implementing          % time on             Staff           Years to
                          Year 1      Year 2        implementation       maintaining       implement
         Option 2A          2            1                50                  2                3
         Option 2B          3            1                50                  2                2
         Option 2C          4            0                50                  2                1

        ** Based on assumption of, an average of 50 days per province to implement, 450 days required to
           implement Phase 1 of WIS in all 9 provinces.

        In order to effectively implement the SAWIS by a specialist company, one would need
        a project manager to oversee the implementation process and liaise with DEAT, and
        one (Option 2-1) (or more, depending on the desired rate of implementation) project
        staff. DEAT would require one DD or AD (part function) to oversee the management
        of the process. This would allow staff within the Sub-Directorate: Waste Information
        to also focus on other functions and/or other means of waste data collection, and the
        collection of other types of data, as required by the Branch. A DD would be required
        to spend approximately 33% of their time (80 days per annum) on the management of
        the WIS, the review and finalisation of annual reports and the distribution of annual
        waste statistics.




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        Option 2-1                         Option 2-2                              Option 2-3


          DEAT                               DEAT                                    DEAT




        Specialist                          Specialist
        company                             company                   Specialist                 Specialist
                                                                      company                    company


                              Specialist                 Specialist                 Specialist
                              company                    company                    company




       Figure 1. Management options for possible outsourcing of the WIS.


       In implementing Option 2, DEAT would need to play a critical role in engaging with
       the provinces prior to roll-out and in ensuring coo-operation with provinces during
       training and capacity building. This would require support staff to the Deputy
       Director working closely with identified provinces.


5.3    Option 3 - Joint implementation

       A joint implementation programme between DEAT and a specialist company
       provides a third option. Here, particular provinces may be allocated to an outside
       organisation and others to DEAT, equally sharing the functions of system
       implementation, or DEAT and the company may work jointly within the same
       provinces, sharing the load. However, this option is not recommended, as it can result
       in confusion as to the roles and responsibilities of DEAT and the company in a
       province. As a result, details for this option have not been provided here.

       Instead, a joint option such as that proposed in Option 2, where DEAT takes on the
       public administrative functions of implementation, e.g. liaising with provinces,
       ensuring co-operative governance, identifying actions for policy/strategy etc., while
       the consultants take on much of the day-to-day technical implementation, training,
       data collection and verification role.


5.4    Summary

       Each of the scenarios will provide DEAT with different avenues for implementation
       of the WIS, with varying resource and cost requirements (Table 1).




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        Table 1. Total resource and cost requirements for implementation of Phase 1.

Time period          Scenario                 Total resource                  Cost requirements
                                            Requirements (**)                   (~ per annum)
                                          DEAT          Consultant          DEAT          Consultant
                     Option 1A             2-3               -             R610 000          R0
  3 years
                     Option 2A              1              2-3             R250 000        R830 000
                     Option 1B             2-3               -             R700 000          R0
  2 years            Option 1D             1-2               -             R470 000          R0
                     Option 2B              1              2-3             R250 000        R930 000
                     Option 1C             2-4               -             R740 000          R0
   1 year
                     Option 2C              1              2-4             R250 000        R970 000

        ** Total resource requirements include both implementing staff and maintaining staff.
        ** DEAT resource requirement for Option 2 is a part time position overseeing project management
        ** Costs are given per annum, but a 5 year contract with consultants is recommended.



        Each of the implementation scenarios of the WIS has an impact on the date of
        publication of the first 'State of Waste' report for South Africa.

              Scenario         Date of first
                                 report
            Option 1A, 2A          2010
            Option 1B, 2B          2009
            Option 1C, 2C          2008

        Retaining implementation within DEAT would cost between R470 000 – R740 000
        per annum, depending on the desired rate of implementation. Outsourcing the
        implementation of the WIS would cost DEAT between R1,080,000 – R1,220,000 per
        annum (combined DEAT and consultant costs). These costs include both HR and
        running costs.

        Each scenario carries with it pros and cons. These advantages and disadvantages are
        unpacked in Table 2:

        Table 2. Advantages and disadvantages of Options 1 and Options 2.

    Scenario                         Advantages                              Disadvantages
                      •     Costs are lower versus an            •    Increased risk of partial or total
                            outsourced option.                        system failure due to staff turnover
                                                                      within DEAT and slow staff
                                                                      recruitment process
                      •     DEAT responsible for hosting and     •    SAWIC and document hosting
Option 1: Internal
                            maintenance of SAWIC and                  subject to government approvals
                            SAWIS
                      •                                          •    Directorate: Waste Information
                                                                      reliant on DEAT for maintenance
                                                                      of SAWIC and SAWIS




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    Scenario                      Advantages                              Disadvantages
                     •   Reduced risk of system failure due    •   Possibility of reduced 'ownership'
                         to government staff resignation           of WIS without experienced
                                                                   project management. Important
                                                                   that DEAT still play a role in
                                                                   implementation through co-
                                                                   operative governance with
                                                                   provinces and local authorities.
                     •   Free DEAT staff to focus on other
                         aspects of waste information
Option 2: External       collection
                     •   Flexibility in maintaining SAWIS or
                         SAWIC software (will have IT
                         specialists contracted as part of
                         technical team).
                     •   Technical support in the validation
                         of waste data, assessment of
                         options for improved data capture,
                         and the preparation of the annual
                         state of waste reports.



        If outsourced, a minimum contract period with the consultants of 3-4 years is
        recommended. This is to allow for investment by the consulting company, stability in
        implementation, and the opportunity to establish a close, trusting, working
        relationship between provinces and the consultants.


6       SAWIC Implementation
        In addition to implementation of the SAWIS, implementation of SAWIC should form
        part of the implementation scenarios.

        Functions for implementation of SAWIC include:
           • maintaining design, function and content of the SAWIC web site
           • updating available reports and information to SAWIC
           • identifying and developing new system components to support the
               dissemination of waste information in Southern Africa
           • liaising with key stakeholders to collect and disseminate relevant waste
               information.

        Costing scenarios given in Section 5 above do not include input on implementation of
        SAWIC. It is proposed that an additional R500,000 per annum be budgeted for the
        implementation of the SAWIC. In summary, this relates to approximately
        R1,500,000 per annum to implement and maintain the SAWIS and SAWIC.


7       Budget
        Available budget for the implementation of the SAWIS and SAWIC is imperative in
        ensuring the sustainable operation of these two systems. The possibility of funding
        the implementation of the SAWIS and SAWIC from the Danida NPUEM 5 year


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       programme, in addition to the DEAT budget, should be explored. The Danida
       NPUEM programme made available a total budget of DKK4.5 million over the period
       2006-2010 for implementation of the Waste Management Act, which includes
       implementation of the WIS (http://uem-southafrica.development-environment.net).

       Should the SAWIS and SAWIC be outsourced, further funding (after 3-4 years)
       would need to be funded from the DEAT budget and in particular, the budget of the
       Sub-directorate: Waste Information.


8      The role of DEAT
8.1    The role of DEAT as lead agent

       The implementation of the SAWIS must be read within the context of the roles and
       responsibilities of the national Department of Environmental Affairs and Tourism,
       and the provincial Departments of Environment.

       The White Paper on Integrated Pollution and Waste Management (IP&WM) identifies
       the roles of DEAT as providing "leadership and guidance to enable other national
       departments, provincial environmental departments and municipalities to meet their
       executive obligations in respect of the environment", by ensuring that the following
       integrated pollution and waste management-related functions are undertaken:
           • Policy, strategy and legislation
           • Coordination
           • Enforcement
           • Dissemination of information
           • Participation and appeals
           • Monitoring, auditing and review
           • Capacity building

       DEAT is not seen as an "implementer" (DEAT, 2006) but rather a national department
       providing strategic leadership in the management of waste, supported through the
       dissemination of waste information.

8.2    The role of the Sub Directorate: Waste Information

       The role of the Sub Directorate: Waste Information is seen to be one of providing
       supporting data and information to the Chief Directorate: Pollution and Waste. The
       nature and extent of such supporting information will be defined by the needs of the
       Directorates. As such, the operation of the SAWIS is seen as only one function of the
       Sub Directorate. The roles of the Sub Directorate in supporting DEAT, need to be
       clearly defined in assessing the implementation scenarios of the SAWIS.




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9      Conclusions
       The following preliminary recommendation is made:
          • Outsourcing of the implementation of SAWIS and SAWIC on a 3 year
              contract, subject to termination if the terms of reference are not fulfilled
          • Option 2B – implementation of SAWIS over 2 years (2007-2008).

       Outsourcing is recommended to ensure sustainability of the SAWIS and SAWIC,
       however, it is recommended that the function of the National Administrator for the
       Central Registry and SAWIS remain a DEAT function, thereby facilitating ownership
       of both information systems.

       Option 2B with implementation over 2 years (2007-2008) is recommended. This will
       ensure that (i) momentum on the current pilot projects is not lost, and (ii) all provinces
       are capacitated prior to the promulgation of the Waste Bill(3) and supporting waste
       regulations which will enforce reporting to the SAWIS. The second preferred option,
       is Option 2A, which sees implementation over 3 years.


10     References
       Department of Environmental Affairs and Tourism (2000). White Paper on Integrated
            Pollution and Waste Management for South Africa. A Policy on Pollution
            Prevention, Waste Minimisation, Impact Management and Remediation.
            Government Gazette Vol. 417, No.20978, 17 March 2000. General Notice 227
            of 2000.

       Department of Environmental Affairs and Tourism (2006). Minutes of the DEAT
            Capacity Development Workshop, 30 March 2006. Draft Report.




                                                                                                        9
       (3)
             It has been suggested (pers comm., J Hall, 2006) that another 2 years is required before
             promulgation of the Waste Bill is realised.


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