The planning and implementation of SWM is guided by principles but bound by standards. This is the case in peaceful and disaster-free settings as well as in humanitarian response. Principles are approaches for the design of SWM interventions. They are non-binding and act as guidance and inspiration to plan, implement and execute context-adapted, reasonable, effective and efficient SWM interventions. Some of the SWM principles listed below are universal and can be applied in most settings, such as the principle of the waste management hierarchy or the proximity principle. Others, such as the polluter pays principle, may not be applicable in humanitarian settings. It is nevertheless advisable to consider them in the design of humanitarian interventions to help identify the most suitable SWM solution, plan the exit strategy or facilitate the establishment of chargeable basic services in development settings. 

On the other hand, standards specify how SWM interventions must be executed and define the targets to be achieved. In contrast to principles, standards define binding requirements in quality and quantity, work approaches and target values; they are based on relevant national regulatory frameworks X.1. National SWM standards are the highest-ranking requirement but may be complemented by international conventions. The Sphere Minimum Standards in Humanitarian Response (see segment below) should be used in the absence of national legislation.

Key SWM Principles 

The Principle of the Waste Management Hierarchy defines an overarching approach for SWM. It is based on waste prevention [P.1), the recovery of valuable and useful materials from waste for reuse and recycling and the safe disposal of the remaining waste. The waste management hierarchy ensures that resources are used in a circular economy approach and waste disposal volumes are minimised.

The Principle of Risk-Based Waste Management is a reminder that SWM is an important measure to protect public health and the environment. This principle establishes that while some waste fractions are of higher value or simpler to treat, reuse or recycle, the management priority of different waste materials is directly proportional to their risk potential. Waste types, or fractions with a high-risk potential for public health and the environment, must be managed before lower-risk fractions. This is particularly important in humanitarian settings where the available funds and capacities may be insufficient to manage all waste materials. 

The Precautionary Principle intends to prevent underestimating or falsely neglecting the potentially adverse impacts of solid waste. For instance, if the risk level or composition of the solid waste is uncertain or unknown, it must always be considered significant and a threat, and corresponding protective measures taken.

The Proximity Principle essentially states that solid waste should always be managed as closely as possible to the location of its generation. This prevents the shifting or disguising of SWM needs and issues to another location. Reduced transport distances also help to reduce costs and emissions and lower the risk of intentionally or unintentionally dropping waste during transport.

The Principle of Collaboration and Partnership intends that, whenever possible, SWM in humanitarian settings should work with existing actors, services and infrastructure P.4.

The Polluter Pays Principle is a common approach to funding SWM but is less applicable in humanitarian contexts where ensuring financially sustainable SWM operations and holding waste generators to account for their actions is less likely. Instead, SWM in humanitarian settings is primarily about the protection of public health and the environment. SWM funds are often provided by external donors as affected communities are unable to pay. Important polluter pays measures, such as limiting waste collection to official and chargeable waste bags or preventing the disposal of household waste in public litter bins, are therefore commonly not required in humanitarian responses but may have to be considered in longer-term programming. 

The Principle of a Circular Economy states that resources and products should be kept in circulation as long as possible to prevent or reduce waste generation. A circular economy starts with the design of products that enable their reuse, repair, refurbishment and recycling. Applying the principle of a circular economy can significantly reduce waste generation P.1 and the corresponding need for SWM.

The Principle of Do No Harm is a guiding principle for all humanitarian interventions. The planning and implementation of SWM in humanitarian settings must be guided by and adhere to the principle of Do No Harm. It demands organisations to be aware of the context they are working in, understand the interaction between their actions and the context and apply this understanding to minimise negative impacts while maximising positive impacts. For SWM in humanitarian settings, the Do No Harm principle applies in multiple ways. For instance, humanitarian aid should, whenever possible, resolve, rather than contribute to waste issues, or the generation of livelihoods or employment related to SWM must not jeopardise public health, environmental protection or the health of waste workers. 

National Standards

Regardless of the balance between national capacity and international support mobilised in response to a crisis, all parties must respect and observe the national regulatory environment X.1. This includes relevant national policies, laws and standards. Local regulations at the municipal level are unlikely to be familiar to external actors but must be understood and adhered to. This is of particular importance when transitioning to longer-term solutions during the stabilisation and recovery phases. While respecting national legislation, international support should also comply with potentially stricter or more detailed guidance, such as donor requirements or the Sphere minimum standards in humanitarian response. 

Sphere Minimum Standards in Humanitarian Response

National SWM standards may not exist or be easily adapted to crisis situations. In these cases, the Sphere Minimum Standards in Humanitarian Response should be referred to for guidance. Whenever possible, government stakeholders should be engaged in discussions about the application of emergency standards and indicators.

The Sphere Handbook provides a set of globally agreed, universal principles and standards in core areas of humanitarian assistance. With its rights-based and people-centred framework, Sphere aims to improve the quality of assistance provided to people affected by disasters and to enhance the accountability of the humanitarian system in disaster response. In the technical chapters, standards state the minimum to be achieved in any crisis for people to survive and re-establish their lives and livelihoods in ways that respect their voice and ensure their dignity. The solid waste management standards should be used in conjunction with the standards for the whole WASH chapter. They include promotive and preventive measures enabling individuals and communities to exercise their human right to life in dignity. These rights are translated into three specific SWM standards entitling everyone to access the means to reduce public health risks associated with solid waste and enable hygiene, health, dignity and well-being.

Quality Standards for Private Sector Engagement

When outsourcing services to private sector entities, or for engagement with the private sector in general, SWM service providers P.4 must ensure that these entities have the required qualifications. SWM service providers may define the qualifications, or they may be pre-defined by national standards (see above). References from completed, similar works, and relevant certificates can also be requested. Although less common in humanitarian response, these certificates are receiving more and more attention, partly because of the due diligence requirements of humanitarian actors. Below is an overview of potential standards and certificates:

• ISO 14001 of the International Organization for Standardization (on environmental management systems)
• ISO 45001 on management systems of occupational health and safety
• Waste-specific certificates confirming safe handling, disposal, and consideration of occupational safety (e.g. for e-waste: RIOS or R2, W.7)