Solid waste management in developing countries
a case study in Semarang, Indonesia
Bachelor thesis, Pieter Janssen, August 14th 2020
Picture 1. Waste in the Meja river, Jomblang. Source: Alvin
Colofon
Author:
Pieter Janssen
Student number:
S4622200
Concern:
Bachelor Thesis
Supporting institution:
Radboud University Nijmegen
Nijmegen school of management
the Netherlands
Program:
Bachelor Geography, Planning and Environment
Supervisors and first readers:
Dr. B.M.R. Van der Velde & A. Fajri
Second reader:
Dr. L. Smith
Photo rights:
Alvin
Date:
August 14th 2020
Preface
With great pleasure I hereby present the final version of my thesis about waste management in Semarang. For the last 7 months I have been working on it and I’m very proud of the result. Especially when I consider the fact that it has been quite a bumpy ride.
Originally the plan was to travel to Semarang, Indonesia, to collect empirical data by doing field-observations and conducting interviews with the local government, business sector, community based organizations, NGO’s, locals and scavengers.
Unfortunately, the Corona-virus threw a spanner in the works. In the run-up to the start of the fieldwork for this research, the virus entered the Netherlands. Also in Indonesia the virus made its entrance around that time. Not much later, more and more countries worldwide were forced to go in lockdown. Today, (the 8th of July 2020) while I am writing this specific paragraph of the thesis, already more than half a million people have died due to the Coronavirus (de Volkskrant, 2020). Obviously it would be unwise and morally reprehensible to proceed the original idea for data collection. Therefore, the ability to adapt to the new situation was severely tested. The decision was made to continue this research in a custom way that will be elaborated during the methodology chapter.
All together, this huge setback required some mental resistance and practical ability to adapt to the new situation. Some delay in the process has definitely been the result but in the end I am even prouder to have finished the research the way it is today. My father illustrated the “bumpy thesis ride” using an apt comparison to a football game: “The most valuable victories are those of the hardest fought matches. When you manage to win a hard-fought match, the satisfaction is even bigger” (Henk Janssen, august 14th, 2020).
This honorable quote of my father provides me a close link to express my appreciation for the ones that helped me during the process. I would especially like to thank my family and friends for their support during all these months. The little chats and discussions we have had helped me lift the research to a higher level. Mom, thanks for taking care of me. I would also like to thank my supervisors Martin van der Velde and Ainul Fajri for their support and their help. I would like to specifically speak out my appreciation for the way Martin van der Velde provided additional support when the Coronavirus had its impact on my research. Furthermore I would like to thank all my respondents for the informative, pleasant, kind and inspirational interviews we have had online.
Summary
Like many other developing countries, Indonesia is struggling with its solid waste
management. The consequences of the current waste management system are extremely harmful for the environment and for public health. Therefore, besides the contribution to the development of the waste management system of Semarang, this research also contributes to the living and working conditions of the people involved. Furthermore, this research specifically applies multiple aspects directly on the area of Jomblang, a kampong in Semarang, Indonesia. This means that this research specifically contributes to the waste management of this area. Furthermore, this research contributes to the existing scientific knowledge by using a unique approach, in which three different theoretical angles are put together to fill the gap of failing collaboration between different stakeholders of waste management systems in developing countries.
The goal of this research is to contribute to the development of waste management systems in developing countries by gaining an understanding on the roles and perspectives of
stakeholders of the waste management system, their awareness of their own and of each other’s perspectives and the enabling environment of the waste management system. Several sub-questions and a central research question have been composed that will help to reach the goal of this research:
1. What does the current waste management system in Semarang look like regarding the role of the involved stakeholders and ways of waste disposal?
2. What are the perspectives of the involved stakeholders on their own role in the waste management system?
3. What are the perspectives of the involved stakeholders on the role of other
stakeholders in the waste management system and what is the presumed external self-awareness of the other stakeholders on themselves?
4. How is the enabling environment affecting the waste management system in Semarang?
Central research question:
In what way are the involved stakeholders, their awareness on waste management and the enabling environment of the city of Semarang influencing the waste management system of Semarang?
In order to provide for some structure and a strong scientific foundation, a theoretical
framework will be used in which several important concepts form the pillars on which the rest of the research will be built. One of those theoretical concepts is the Integrated Solid Waste Management (ISWM) model. This model includes three dimensions of the waste
management system:
1. Involved stakeholders: government, local community, informal sector, NGOs, business sector
2. Technical elements: generation, separation, collection, treatment, transport 3. Enabling environments: environmental, technical, policy, socio-cultural,
The ISWM model is specifically suitable for waste management systems in developing countries because of its ability to design a tailor made waste management system. As the first dimension of the ISWM model already shows, different stakeholders are involved in the waste management system. Previous inquiries have shown that it is quite a challenge to make different stakeholders work together for a common purpose, despite their differences in interests and behavior. Common understanding of the perspectives of stakeholders is crucial in this sense. Furthermore, in order to improve a waste management system, a change in behavior of stakeholders has to be achieved. Therefore, this research includes a second theoretical concept, the concept of the transtheoretical model (TTM) of behavioral change. The TTM of behavioral change uses five stages of change. The stages of change represent the temporal, motivational, and developmental aspects of the process of change. An important element in specifically the first two stages of the TTM of behavioral change is the level of awareness an individual has. This brings us to the third theoretical concept that will be used in this research. Three different types of awareness are being applied, namely:
1. General awareness: concerns common knowledge about a social, scientific or political issues. In this research the issue in question is the waste problem.
2. Internal self-awareness: concerns a higher form of consciousness in which an individual is aware of oneself.
3. External self-awareness concerns the way other people view an individual in terms of those same factors.
This research is a qualitative case study in which the data is collected by conducting semi-structured long-distance interviews with waste management experts, community leaders of Jomblang and people from NGO Bintari. Furthermore, reports and inquiries conducted by NGO Bintari provided for important additional data on policies and the roles of stakeholders of the waste management system of Semarang. The conducted data is
transcribed, coded using Atlas.Ti and thereafter analysed.
The results that derived out of the data after analysis can be briefly described in relation to the following themes:
The internal self-awareness of the involved stakeholders
- The internal self-awareness of the government can be displayed as an overestimated perception of their contribution to the waste management system.
- From the perspective of the local community, their internal self-awareness can be described as that they are aware of the fact that they are not performing well enough in the waste management system. Nevertheless, they are arguing that they perform to their abilities.
- From the perspective of the informal sector, their internal self-awareness can be described as primitive. It seems as if scavengers are not in the position to consider their own performance in the waste management system, despite the fact that they do believe that they deliver the biggest contribution to the recycling of waste. - From the perspective of NGO Bintari, their internal self-awareness seems to be that
they are aware of the fact that they are in contact with all stakeholders of the waste
management system. However, it seems that the NGO is not totally aware of the crucial role they have as a communicator, a facilitator and a mediator between the different actors.
- From the perspective of the business sector, their internal self awareness can be described as that they are aware of the fact that they are a large producer of (plastic) waste. Due to Extended Producer Responsibility (EPR), they are taking back their plastic packaging. Furthermore, the business sector declares the fact that there is room for improvement according to their own performances in the waste
management system.
The external self-awareness of the involved stakeholders
The data collection resulted in specific themes on which stakeholders agree upon and themes on which they disagree upon.
All actors are aware of the bad circumstances in which scavengers are working and living. Nevertheless, except for NGO Bintari, all actors don’t have the intentions to actually recognize the role of scavengers into the system. Therefore, scavengers keep operating in the informal sector, leading to all kinds of consequences like public health issues, nuisances, pollution, etc. Furthermore, all actors acknowledge the importance of raising awareness on the waste problem among local communities. This approach is existentially being used by NGO Bintari. Due to a big feeling of responsibility, Bintari supports other actors in their needs to contribute to the waste management system. All actors also believe that the business sector should be more involved in the improvement of the waste management system. They are all open for collaborations with the business sector and the business sector on their turn is also open for collaboration. Additionally, all actors agree to the fact that communities should have a more dominant role in the improvement of the waste
management system. This might be in relation to the declining confidence that all actors have in the government, related to waste management.
Despite a lot of agreements among stakeholders on different topics, they also have some differences. For example, the government thinks she performs well while local communities and the business sector demand more leadership and support from the local government. However, the government itself and NGO Bintari don’t think this will be a part of the solution. They argue that local communities should have a more dominant role in the improvement of the waste management system. The government and local communities both argue that the business sector is a large contributor to the waste problem. NGO Bintari seems to have more ability to leap into the mind of the business sector and states that businesses are playing by the laws and rules mandated by the government in order to provide for food safety for example.
The way the enabling environment affects the waste management
system of Semarang:
- The social-cultural environment affects the negative image towards scavengers that is deeply rooted in society. Furthermore, the socio-cultural environment influences the strategy in which NGO Bintari connects to local communities.
- The results on the financial-economic environment mainly showed that the presence of a solid financial business model in relation to waste management is very important in order to create a financial incentive for stakeholders to participate and contribute to the improvement of the waste management system.
- The policy factor resulted in two main policies that influence the waste management system. The most important characteristics of those legislations were the extended producer responsibility and the social responsibility.
- From the institutional aspect, this research shows that due to its current state, in which there is a lack of organizational structure, this aspect has a negative influence on the performance of the waste management system in Semarang.
- The technical aspect resulted in the finding that more support in the form of
education and training on technical knowledge is needed among local communities. Due to a lack of knowledge and expertise on technical discipline, local communities are not able to maintain waste management systems after external support agencies have left the area.
- From the environmental aspect, this research shows that environmental awareness is a keystone in the process of behavioral change in order to improve the waste management system of Semarang.
The position of stakeholders in relation to the TTM model of behavioral
change
To continue on the previous paragraph, this research resulted in much more information regarding the position of stakeholders in the process of behavioral change.
The local communities of Semarang can be scaled under different stages of the TTM of behavioral change. Some communities are not aware of the waste problem, some are aware but not willing to change their behavior and some have shown a change in behavior but fell back into old habits after a while. Therefore, local communities can be scaled under the precontemplation state, some communities can be scaled under the contemplation state and some local communities have been able to reach the preparation or even the action stage.
Awareness among the business sector began to emerge. Some companies that are fulfilling their EPR can be scaled under the action stage of the TTM of change. They are aware of the waste problem, they considered their previous behavior and they decided to take action. Furthermore, they also performed and practiced this new desired behavior.
Except from the Environmental Agency, the other government sectors are rarely involved in the waste management system. The government is aware of the problem of waste but she can or will not change her behavior. Therefore, the government can be scaled under the contemplation state of the TTM of change.
With the current data of this research it is not possible to scale the informal sector in a specific stage of the TTM of change. Scavengers might have reached a desired behavior regarding waste recycling, without having any awareness on the problem of waste. In fact, they could be in any stage. Specific data needs to be collected in order to conclude on this. NGO Bintari can be scaled under the maintenance stage of the TTM of change. The NGO is very much aware of the problem of waste, she acknowledges it and is convinced that she needs to do something. The commitment of the NGO has increased remarkably and their behavior regarding waste management has changed rapidly by taking action, organizing discussions, providing for support and getting other stakeholders along with them. NGO Bintari has been active in this stage for more than a decade now and therefore has reached the maintenance stage in the TTM of change.
The conclusion of this research is that due to the fact that the government of Semarang is not taking responsibility for the waste management in the city, there is a gap in which no actor fulfils this leading, responsible role. Therefore, other actors seem to fill this gap. Especially NGO Bintari is now taking over the responsibility on improving the waste
management system. Bintari functions as a communicator and a mediator between different actors. When maximizing the communication and collaboration between different
stakeholders, the waste management system can be improved. For example, the business sector can collaborate with the local community in relation to waste banks. Furthermore, the informal sector should be recognized into the system. This will enable scavengers to
collaborate with other actors as well and visa versa.
In relation to the enabling environment, the social cultural environment is strongly related to the negative perspective towards scavengers that is deeply rooted in society. In order to change something in this, all actors need to have a certain level of awareness. As can be derived from the stakeholders’ position in the TTM of change, especially the government and the informal sector can be scaled in lower stages of the TTM of change. Furthermore, the importance of a strong economic model incorporated in the waste management system appeared to be crucial. People need incentives and this financial model that at the same time includes the improvement of the waste management system would be very successful. In terms of the environmental factor, environmental awareness seems to be a key ingredient of which all stakeholders acknowledged its importance in the improvement of the waste management system. From the institutional aspect, a lack of organizational coordination seems to influence the performance of the waste management system of Semarang in a negative way. The policy factor is also influencing the waste management system but in the case of Semarang the existing policies seem to provide sufficient possibilities for improving the system. In other words, this factor is not forming a constraint in this moment of time. For example, the regulation on EPR resulted in the increased involvement of the business sector. If the government would perform their law enforcement, these policies would have a bigger contribution. At last, the technical aspect seems to influence the waste management system of Semarang in a negative way currently. This can be concluded from the fact that a lot of waste banks are not active due to a lack of technical support, knowledge and
All together, this research gives a detailed understanding on how the involved stakeholders influence the waste management system by their perspective on their own role, their perspectives towards the other stakeholders of the system and their position in the TTM of behavioral change. Furthermore, this research provides a comprehensive view on the way the enabling environment influences the waste management system and the way specific stakeholders are influenced by this enabling environment.
Abbreviations
3R Reduce, reuse and recycle CBO Community-based organization
CBWM Community-based waste management CSR Social responsibility
EPR Extended producers responsibility FGD Focus group discussion
GEA Global eco-brick alliance
ISWM Integrated solid waste management NGO Non governmental organization NIMBY Not in my backyard
RT Rukun Tetangga or Neighborhood Unit RW Rukun Warga or Community Unit SWM Solid waste management
TTM Transtheoretical model
TPA Indonesian Final Disposal Sites (central open dump sites or landfills) TPS Indonesian Temporary Disposal or Dump Sites
WB Waste bank
Table of contents
Colofon………...……….…..2 Preface………..……….3 Summary………..…………..4 Abbreviations………...……...10 1. Introduction……….……...12 a. Project framework………....………12 b. Research aim……….…...12 c. Relevance………..……..…….13 d. Research framework………...………....15 2. Theory………..…………...16a. Conventional waste management assessments………...…..16
b. Integrated Solid Waste Management (ISWM)...18
c. The influence of human behaviour on waste management……….….….23
d. Awareness………...…..25 e. Conceptual model………....26 3. Methodology……….……..28 a. Research strategy………...………….28 b. Data collection……….…….29 c. Data analysis………..…………..31 4. Context……….……...32 a. Indonesia………....…………...32 b. Semarang………....…………..33 5. Data analysis………..……...36
a. Role of stakeholders in the waste management system………..…….36
b. Data analysis related to awareness……….…….48
i. General awareness………...……….48
ii. Internal self-awareness……….………..…..51
iii. External self-awareness………...……….56
c. Data analysis related to enabling environment……….……..61
6. Discussion……….….69 7. Conclusion………….…………...………..………...76 8. Recommendations………....83 9. Reflection………..………….………..…………..84 10. Bibliography………..….85 11. Appendix………..…..89 11
Introduction
Project framework
Does the picture on the front page of this document look familiar? Piles of garbage in neighbourhoods and streets or smelly, burning and polluting waste disposal sites.
Unfortunately, this is a frequent situation in developing countries, especially in towns and urban centers. Taking into account that the production of waste is increasing as the result of an expanding global economy and a growth in world population, the problems regarding waste management will become bigger and bigger. Around the world, waste generation rates are rising. In 2016, the world's cities generated 2.01 billion tonnes of solid waste, amounting to a footprint of 0.74 kilograms per person per day. With rapid population growth and urbanization, annual waste generation is expected to increase by 70% from 2016 levels to 3.4 billion tonnes in 2050 (The World Bank, 2019).
Countries with a failing waste management system, like Uganda, India and Indonesia are facing serious health, safety and environmental issues (The World Bank, 2019). Waste pickers working in miserable circonstances, openly burned waste, rivers of plastic waste and unregulated waste dumps, which are a breeding ground for disease vectors, are frequent images in countries struggling with their waste management (The World Bank, 2019). The lack of proper waste management is an overarching problem on which multiple issues can be linked to. For example social inequality, flooding and public health are affected by the consequences of a failing waste management system. As population growth increases and the amount of waste expands, the situation is expected to get worse if no measures are being taken. Around the world, waste generation rates are rising. In 2016, the world's cities generated 2.01 billion tonnes of solid waste, amounting to a footprint of 0.74 kilograms per person per day. With rapid population growth and urbanization, annual waste generation is expected to increase by 70% from 2016 levels to 3.40 billion tonnes in 2050 (The World Bank, 2019). Therefore, developments in waste management systems are essential.
Especially in developing countries, where the struggle in waste management can be seen in most serious forms. One major challenge in improving a waste management system is the collaboration between all the stakeholders involved. Collaboration between for example the government, local citizens, NGO’s and the private sector is needed. Previous cases have shown that this collaboration is challenging due to e.g. different interests, misunderstandings and miscommunication among the stakeholders involved. Therefore, this research will specifically be approached from the perspectives of stakeholders and the enabling environment of the waste management system.
Research aim
The aim of this research is to contribute to the development of waste management systems in developing countries. This contribution will be delivered by gaining an understanding on the roles and perspectives of stakeholders of the waste management system, their
awareness of their own and of each other’s perspectives and the enabling environment of the waste management system. All together, this sum of knowledge could function as a
guiding line for other cases that are aiming for the development of the waste management system. The overall process in which this research is conducted and the way in which theoretical elements are being applied and translated to situations in practice could be used as an example for other cases.
Scientific relevance
This research particularly contributes to the world of science by using a unique approach in which different theoretical aspects are combined and linked together. The combination of three main theoretical approaches construct a specific framework that provides the
opportunity to contribute to the development of waste management systems in developing countries.
The first theoretical element that is included in this framework is the Integrated Sustainable Waste Management (ISWM) model. The ISWM model identifies specific stakeholders and an enabling environment that are crucial in the performance of the waste management system. As will be elaborated further in the theory chapter, this model is specifically suitable for waste management systems in developing countries (Anschütz et al., 2004).
Second, it is believed that, in order to develop a successful waste management system, it is crucial that there is collaboration between all stakeholders (Troschinetz et. al, 2009). This belief is in line with the results of a previous study (Bintari, 2017) which stated that although there have been enough waste recycling efforts in the city of Semarang, they are not connected to each other. Also, Anschütz et al. (2004) mention the challenge of accomplishing successful waste management by getting all stakeholders to agree to cooperate for a common purpose, that of improving a waste system, despite the different interests and needs of those stakeholders (Anschütz et al., 2004). Furthermore, according to a research conducted by NGO Bintari, the extent of suitability, linkages, implementation, and opportunities for collaboration between the parties has not been adequately explored
(Bintari, 2017). This approach, emphasizing on the gap in collaboration between different stakeholders of the system, forms the second theoretical angle that contributes to the unique framework.
A third approach is the inclusion of awareness in relation to the involved stakeholders and the transtheoretical model of change (TTM). As will be elaborated further in the theory chapter, it is believed that awareness among stakeholders influences their behaviour (DiClemente & Scott, 1997). Therefore, in order to improve the waste management system in a developing country, a change in behaviour of stakeholders involved could be pursued. Stakeholders can be influenced by different types of awareness, namely; general
awareness, internal self-awareness and external self-awareness (Gandhi, 1986 & Bateson, 1972 & Eurich, 2018). The use of these different types of awareness provide the ability to gain an understanding of stakeholder’s general awareness towards waste, their own perspectives on waste management and their perspectives on other stakeholders in the system (Gandhi, 1986 & Bateson, 1972 & Eurich, 2018).
The following scheme briefly summarizes the unique approach of this thesis. By using the ISWM as a framework, in which the approach of awareness is being used. In combination with TTM to these elements fills the gap of collaboration between different stakeholders.
Scheme 1: overview of unique approach of this research, explaining scientific relevance. My own position in the research frontier has led to the combination of the three elements. By using this unique approach, in which three different angles are put together to fill the gap of failing collaboration between different stakeholders, this research contributes to the existing scientific knowledge.
Social relevance
This research is focussed on stakeholders of the waste management system of Semarang and the perspectives they have towards waste management and towards each other. Furthermore, it specifically focuses on the environment in which this waste management system is taking place. Outcomes of this research contribute to the ability to link activities, to search for opportunities for collaboration, to identify gaps in the system, to bring
stakeholders closer together and so on. Therefore, this research directly contributes to the improvement of the waste management system of Semarang. As mentioned in the beginning of this introduction chapter, the consequences of the current waste management system are extremely harmful for the environment and for public health. Beside the contribution of this research to the development of the waste management system of Semarang, it also contributes to the living and working conditions of the people involved.
In addition, this research will specifically focus on the district Jomblang. Jomblang is a kampong in Semarang that is known for its relatively successful waste management system (Schuurmans, 2016). The communities responsible for this local waste management even received environmental awards from the city government (p.c., Budiarti, 2020). Multiple
aspects of this research are directly applied to Jomblang, which means that this research specifically contributes to the waste management of this area.
All together, this research contributes to the development of waste management in developing countries, specifically Indonesia, specifically the city of Semarang and specifically the kampong Jomblang. This research is valuable to societies of previous mentioned areas and therefore is socially relevant.
Research framework
In order to reach for the aim of this research, a couple of scientific tools will be used that all together function as a framework that will be guiding through the process. One of those tools is the formulation of research questions.
The central question in this research is:
In what way are the involved stakeholders, their awareness on waste management and the enabling environment of the city of Semarang influencing the waste management system of Semarang?
The sub-questions in this research are:
1. What does the current waste management system in Semarang look like regarding the role of the involved stakeholders and ways of waste disposal?
2. What are the perspectives of the involved stakeholders on their own role in the waste management system?
3. What are the perspectives of the involved stakeholders on the role of other
stakeholders in the waste management system and what is the presumed external self-awareness of the other stakeholders on themselves?
4. How is the enabling environment affecting the waste management system in Semarang?
The formulation of the research questions has been done in a well considered thinking process. With the knowledge of the ISWM model, the sub questions are all related to each other, nevertheless complementary at the same time. They all cover specific parts of the ISWM model and all together they give a representative picture of the total ISWM model. Additionally, these research questions will be able to give an answer on the central research question. In the central question the perspective of stakeholders on other stakeholders of the waste management system is being mentioned. This is an element that is not directly
deriving from the ISWM model. This element has been added and forms an essential part of the research because, as mentioned in the scientific relevance, the collaboration between stakeholders is crucial for the working of a waste management system.
Sub-question one focuses on the context of the waste management system of Semarang, including the involved stakeholders, the enabling environments and the ways in which people currently handle their waste. Sub-question two focuses on the stakeholders involved in the waste management system. It compels knowledge on how stakeholders reflect on their own performance in the waste management system. E.g., whether they fulfill their
responsibilities, whether they perform along their capabilities and whether they are served in their needs. Furthermore, it includes the presumed external self-awareness from other stakeholders on themselves. E.g., whether scavengers are aware of the fact that local communities are having negative thoughts on them due to nuisance caused by the scavengers. Sub-question three conducts knowledge on how the involved stakeholders reflect on the performance of other stakeholders of the system. E.g. if they think other stakeholders are contributing enough to solve the waste problem, if they think other stakeholders are the very cause of the problem or if there is specific support that could be provided or needed in relation to other stakeholders. Sub-question four aims for knowledge on the way stakeholders presume the performance of other stakeholders of the system. E.g., the government presumes that the private sector is convinced of contributing along their abilities or visa versa. Sub-question 5 contributes to the collection of information on the effect that the environmental, policy, institutional, financial, socio-cultural and technical aspects have on the waste management system of Semarang. E.g., what are existing regulations regarding waste management or the environment in Semarang, what is the willingness to pay for environmental services by the community and what is the view of society towards scavengers?
In the end, this package of sub-questions will help to answer the central research question. In line with that, this approach will ensure that the aim of this research will be achieved;
to contribute to the development of waste management systems in developing countries by gaining an understanding on the roles and perspectives of stakeholders of the waste
management system, their awareness of their own and of each other’s perspectives and the enabling environment of the waste management system.
2. Theory
2.1 Theoretical framework
In order to collect suitable data that fit the research questions, it is important to gain theoretical knowledge on waste management. With a baseline, formed by this theoretical knowledge, more detailed data can be collected that precisely provides the information that is searched for and that can be related to this theory again. This chapter will be built up by first explaining how conventional waste management assessments are being conducted and why they are not suitable for the current research. Thereafter, the ISWM model will be elaborated in further detail as this is the model that will function as a framework during both the data collection and the data analysis. Furthermore, the transtheoretical model of change will be explained and last but not least, different types of awareness that are being applied on the current research will pass by.
2.1.1. Conventional solid waste management assessments
Waste is not something from the last decades. If for example human defecation would be labeled as waste, then waste has been around for as long as humans exist. Otherwise, if waste would be labeled as something that is abandoned and has no further use anymore, then the labeling of human defecation as waste could be argued, as the phosphate that
extracts from defecation forms a perfect element of nutrition for plants and trees. In this argument, defecation has an important function, it is not useless and therefore it can not be labeled as waste. This might be an unusual example but it shows two important things: First, the way we define waste can be arguable as waste can mean different things to different people in different periods of time. What was at one time considered waste
may no longer be considered so now, and what is waste today may not have been deemed so in the past (Barles, 2014). Especially nowadays, as we have more technical possibilities to use “waste” materials as a raw material for new products. This is in line with previous research by Bontoux & Leone (1997) who state that it is probably impossible to make a precise legal definition of what waste really is. As this research concerns waste management in Indonesia, the definition of waste defined by the Indonesian Law no 18 / 2008 will be used: waste is the rest in everyday human activities and natural processes (Anjani, 2011). Second, the example in the first paragraph of this section shows that waste has been around for thousands of years. This means that humans also handle waste for thousands of years already. For example, the Maya (ca. 300- 900 CE) had a monthly ritual in which people of the village gathered together and burned their waste in large dumps (Halperin & Foias, 2016).
The birth of waste in the form of abandoned junk and materials occurred after the industrial revolution (Barles, 2014). The amount of waste increased and the buildup caused a
deterioration of the quality of life (Nightingale, 1954). The first practices of an organized solid waste management system appeared in London in the late 18th century (Costas et al., 2009).
Ever since, different waste management systems have been developed and the last
decades a lot of waste management assessments have been done in order to improve many aspects of urban life (Anschütz et al., 2004). A lot of those assessments are done in cities in the south and in countries in transition because they more often are dealing with poor or inadequate management from households and businesses (Anschütz et al., 2004).
Nevertheless, Anschütz et al. (2004) state that most of those assessments are conventional and that they usually “end up in a drawer”. The assessments have several shortcomings. In most cases, the assessments are done by civil engineers that are external consultants, strangers to the area and very much focussed on technical and financial aspects. They rarely talk to households, business clients or the private sector and NGOs. They rarely analyse the interests or institutions and they don’t do any investigation on the cause behind the problem (Anschütz et al., 2004). The assessments mostly end up with the same
standard recommendations like a new landfill, more involvement of citizens, better collection equipment, etc. The assessment is presented to the mayor of the area, he agrees on it but doesn’t have the resources to implement it. The report ends up in an archive and will be read by the next consultant who will come along in five years to begin the process all over again (Anschütz et al., 2004). Most of those conventional waste management assessments use effectiveness and efficiency as indicators in order to judge the working of a waste
management system. It must be said that this kind of research is certainly useful but it is too narrow to form the basis of a sustainable solid waste management system. Important
aspects that fulfill a crucial role in the working and the successfulness of the waste management system are not included in those assessments (Ogawa, 2011). For that reason, in the mid-1990’s a new framework was developed by a group of practitioners in waste management, assembled under the name of Collaborative Working Group (CWG) (Anschütz et al., 2004). This framework, under the name of the Integrated Solid Waste Management (ISWM) will be used in the current research.
2.1.2. Integrated Solid Waste Management (ISWM)
Where conventional waste management assessments focus on efficiency and effectiveness, the ISWM framework focuses also on equity, fairness and sustainability. This means that the ISWM has five principles that can serve as indicators to judge the working of the system (Cointreau, 2001):
1. Efficiency: How much solid waste management is delivered for how much costs per ton of waste and how much unused capacity there is in the system.
2. Effectiveness: The extent to which households are served, waste is collected, the streets are clean, waste goes to disposal facilities, etc.
3. Equity: The system is designed to serve all, irrespective of a person’s social or economic status. The system gives everyone more or less what he or she needs. 4. Fairness: The costs of the system are distributed, based on the ability of the
stakeholders to bear those costs.
5. Sustainability: The system can operate on a stable level, replace its resources and maintain its operations without losing its potential to do so in the future.
Furthermore the ISWM model recognizes three different dimensions (Anschütz et al., 2004): 1. Stakeholders that are involved in and affected by waste management
2. Practical elements of the waste management system 3. Enabling environment of the local context
A visual presentation of the ISWM model is displayed below in figure 1. The three
dimensions form the core of the ISWM framework and therefore will be the bottom line for this thesis. The following sections will elaborate on the three dimensions.
Figure 1: the Integrated Solid Waste Management (ISWM) model. Source: (Anschütz et al., 2004)
2.1.2.1. Stakeholder involvement
One of the fundamentals of the ISWM framework is the stakeholder involvement. A stakeholder is a person or an organization that has an interest or a stake in (in this case) waste management (“A guide to the project management body of knowledge,” 2000). The presence of particular stakeholders can differ in each city, so they need to be mapped in the local context (Anschütz et al., 2004). A list of
stakeholders that are present in most situations is shown in the scheme on the right. The first stakeholder, the government, is involved in multiple levels of the waste management system. On both national and local level, the government has the authority to introduce legislation regarding waste management. Furthermore, the government has the power to enforce these legislations. Depending on her formal responsibilities, the
government is to some extent involved in the practical process of waste management (Ogawa, 2011).
The local community represents a stakeholder that plays an increasingly important role in the waste management system of developing countries (Anschütz et al., 2004). Locals are producers of waste and therefore directly involved in the waste management system. On the other hand, in favorable circumstances (e.g. good leadership, participation, environmental awareness, etc.) local communities have the ability to contribute in a positive way by designing their own waste management system (p.c., Budiarti, 2020). Multiple cases in which local communities have been able to gather and develop a common waste
management system will be discussed during the data analysis of this research.
A third stakeholder, the informal sector, is an actor that in many developing countries is not formally recognized into the system. This sector consists of waste pickers (also called scavengers), and waste collectors deriving from small to big businesses (Troschinetz et. al,
2009). People working in this informal sector often live and work in bad circumstances. Furthermore, they are often discriminated against and rejected by society, which puts them in a tight spot (p.c., Budiarti, 2020).
NGOs have the ability to provide support in multiple forms (financial, social, technical, etc.) and therefore also are stakeholders of the waste management system. The role of NGOs in waste management systems in developing countries is increasing over the last years (Anschütz et al., 2004). Due to the ability of NGOS to provide tailor made support for communities, this stakeholder has an important role in the system (p.c., Nani, 2020).
The fifth actor, the business sector, is involved in the system due to the production of waste by for example supermarkets or food industries (p.c., Inung, 2020). Furthermore, they can also play a role in the handling of waste. Waste recycling companies are in business in western countries for quite some time now but also in developing countries recycling industries began to pop up over the last few years (p.c., Inung, 2020). During the data analysis chapter, a good example of a startup in waste recycling services will be explained. The different stakeholders all have their personal interests and roles in relation to waste management. The challenge is to get the stakeholders together and make them agree to cooperate for a common purpose (Anschütz et al., 2004). This purpose should be to improve the waste management system. The current research will have an emphatically aim on this part of the framework. The extent of a common understanding and awareness of the perspectives of different stakeholders in the waste management system will form a key feature, as has emerged from the research questions.
The ISWM framework involves stakeholders early in the process in order to build
commitment. When the time for implementation has arrived, there is much more consensus about the desired results, the participants are ready and the resources are available
(Anschütz et al., 2004).
2.1.2.2. Practical elements of the waste management system
The waste system elements are often called the technicalcomponents of waste management and they refer to how solid waste is handled and where it ends up (Anschütz et al., 2004). The scheme on the right shows some of the most important practical elements. Especially this last has important environmental implications.
One of the most sustainable ways of dealing with waste is by using the 3 R concept (Baud et al., 2004). The 3 R's refer to the terms reduce, reuse and recycle and they are incorporated in the ISWM system. Applying the 3 R concept to waste management minimizes the amount of waste that ends up in landfills and is therefore a more sustainable way of handling waste. The 3 R concept is a way of avoiding waste and according to the waste hierarchy pyramid that can be seen in figure 2, the prevention of waste is the most optimal situation
(EuropeanCommission, 2015).
Figure 2: Waste hierarchy. Source: Bourguignon, 2017.
2.1.2.3. Enabling environment of the local context
The third dimension, the dimension of the enabling environment of the local context, is formed by six factors or lenses through which the waste management system can be seen (Anschütz et al., 2004). This dimension is what makes the ISWM framework different from other waste management assessments. The six lenses construct the bottom line for a much more comprehensive framework compared to the conventional assessments that have been discussed in the beginning of this chapter. Instead of a
narrow bottom line, based on just the technical and financial aspect, this sixfold perspective is providing a comprehensive view on the local context, resulting in a better understanding of the environment of the waste management system and making the system more likely to be sustainable and to succeed. An overview of the six lenses can be seen in the scheme on the right.
This dimension is what makes a big difference between
the ISWM framework and other waste management systems. The six factors will have a big contribution to this research and will function as a guiding line throughout the process. For that reason, this dimension will be explained further beneath.
The environmental aspects are focussing on the effects of the waste management system on water, air and land; on pollution control, public health concerns and the need for conservation of non renewable resources(Waterportal.net, n.d.).
Socio-cultural aspects are the result of social or cultural norms accepted by a specific society, depending on the country, city or area. Those norms have a strong influence on the social relationships between individuals and are important for developing and sustaining co-operative social interactions in social groups (Harrison, 2003). It affects ‘the ability of people to work together for common purposes in groups and organizations’, which is how Coleman (1988) defines social capital. As an ISWM system involves co-operation between individuals and groups, social capital is also an important element in the design of the system (Troschinetz et. al, 2009). The relations between groups and communities, between people of various ethnicity, age and sex affects the way society is functioning. For example, where society only allows a certain social class or group to deal with waste (in some
countries, directly handling human waste is a traditional taboo - Bintari, 2017), it has a big influence on the working of a waste management system (Ogawa, 2011). A lack of
understanding of such local cultures can cause failure in collaborative projects (Troschinetz et. al, 2009).
The financial-economic aspects include the budgeting and cost accounting within a waste management system, in relation to the international, national, regional and local economy (Waterportal.net, n.d.). The governments of developing countries often give a very low priority to solid waste management (Ogawa, 2011). As a result ,very limited funds are available for solid waste management. Existing data about people’s preferences between economy and the environment shows that the preference for the environment is stronger when the economy is good (Carlson, 2005). The amount of priority people or governments value to the environment strongly depends on their economic or financial situation.
Households that are financially healthy will be much more willing to pay for environmental services than households that are on short rations (Ogawa, 2011). This argument is pointing at the everlasting battle between economy versus ecology. Luckily more and more examples of the last decade, particularly in Western Europe, show that it is possible to gain economic growth whilst respecting the environment. For example Plastic Whale in Amsterdam, the first plastic fishing company in the world, is fishing plastics and other kinds of waste out of the canals of Amsterdam. This plastic waste is recycled and turned into boats that are used to sail the canals again. This is a good example of gaining financial profits out of a business that takes care of the environment. Also in Semarang more recycling companies have popped up in recent years. Despite this positive development, the argument that poorer households have less priority for paying for environmental services still holds (Saad, 2019). Beside the willingness to pay for environmental services, specific issues like privatisation, efficiency of solid waste management systems and how the recycling infrastructure is connected have an effect on the budgeting and cost accounting within waste management (Waterportal.net, n.d.).
Technical aspects refer to the selection of technologies that are available and will function with the quantities and composition of the waste produced (The Open University, 2016). For example, technology designed for composting one ton a day might not be
suitable for the handling of 10 tons per day. Furthermore, the reliability of the technology has to be taken into account. It has to fit the local context and environment, using local materials and people. In extension to this, locals also need to be able to work with this technology (The Open University, 2016). When for example external support agencies leave the area, the system has to be secured by the local population (Ogawa, 2011). Therefore, local know-how and training on technical aspects is required. Expertise and knowledge are both
elements that are closely related to the technical aspect of waste management (Bintari, 2019a).
Institutional aspects are related to the political and social structures which control and implement waste management. In this area you should think of the distribution of functions and responsibilities, organizational structures and the actors such as the private actor who could be involved (Waterportal.net, n.d.). A common constraint in developing countries is that different agencies at national level are involved in waste management but often no clear functions or roles are defined (Troschinetz et. al, 2009). In a lot of cases there is also no single agency or committee assigned in order to coordinate projects and activities (Ogawa, 2011). This lack of coordination results in a situation in which a lot of different projects are being executed spread all over the country but none of them knows what is happening in other projects. Efforts are duplicated, resources are wasted and the wheel is constantly reinvented (Ogawa, 2011). This shows that institutional disorder can affect the entire waste management system. For that reason, it is important to include the institutional lense in the mapping of the local context.
Political aspects address the boundary conditions in which the waste management system exists (Waterportal.net, n.d.). Examples of this are the basic decision making
process, the determination of roles and jurisdiction, setting goals and priorities and the legal and regulatory framework. An important part of this area is called the ‘umbrella’ or principle legal framework in which the system functions. policies, laws, regulations, incentives, disincentives, encouragements, sanctions for violating the law, etc. all follow from this framework.
2.1.3.The influence of human behavior on waste management
An important component of waste management is based on the choices of the stakeholders involved. For example, in order to create a sustainable, successful waste management system, households should be willing to collect the waste, businesses should be willing to reduce the amount of waste and the government should be willing to facilitate waste management facilities. The behavior of stakeholders, regarding the choices they make in relation to the handling of waste, affects the working of the system.
Numerous studies have been done, aiming for explanations in behavior and choices that people make. Why do we do things in a certain manner? What if this approach doesn’t end up in a desired result? What should we do to change human behavior in order to achieve a desired outcome?
In line with this, Prochaska and DiClemente (1984) have bundled different theories into the transtheoretical model of behavioral change, in which they explain how behavioral change can be achieved. Applied on waste management, this theory could be of help in order to think about changing the way people treat their waste. In this context, the way people treat their waste is the behavior that is intended to change, to come to a desired situation in which the waste is treated the right, sustainable, environmentally friendly way.
The ISWM model is a method of assessing a certain waste management system. The goal is to improve this system. The behavior of stakeholders is part of this system and therefore, in
order to improve the system, changes in behavior might be necessary. In other words, the improving of a waste management system also involves changing behavior of stakeholders. For this reason, this thesis uses the transtheoretical model of behavioral change. This theory will not function as a key concept but will be used as a complementary theory in order to answer the research questions better. The next paragraph presents a brief description of the transtheoretical model of behavioral change.
2.1.3.1.Transtheoretical model (TTM) of behavioral change
As presented in figure 3 on the next page, the TTM of behavioral change uses five stages of change. The stages of change represent the temporal, motivational, and developmental aspects of the process of change (DiClemente & Scott, 1997). In terms of waste
management, the process begins with the precontemplation state in which individuals are too unwilling, unable or unknown to acknowledge the problem or to seriously change their behaviour (Prochaska & DiClemente, 1984).
When individuals begin to consider their behavior and their contribution to the
waste problem, they enter the contemplation stage. In this stage they consider the pros and cons of their behavior and may decide that there is no problem; that there is a problem but they cannot or will not take action; or that there is a problem and they need to do something (DiClemente & Scott, 1997).
In the preparation stage individuals increase commitment, make the decision to take action and make a plan to modify their behavior (DiClemente & Scott, 1997). The preparation stage initiates the action stage of the process. Entering action does not guarantee long-term success. Therefore, movement from precontemplation through contemplation and preparation is required (DiClemente & Scott, 1997). In other words, the desired behavior needs to be practiced on a continuous basis in order to slide into the next stage. The next stage that arrives is maintenance, in which the long-term success can be measured and in which successful behavior change can be achieved.
2.1.4. Awareness
As the research questions have shown, the awareness of stakeholders of their own and of each other’s perspectives on successful waste management represents an essential part of this thesis. The term awareness can be understood differently, which is why clarification in this sense is desired.
The way in which the term awareness is used in this thesis can be derived from the previous paragraph about the TTM of behavioral change. The first two stages of this theory (the precontemplation and the contemplation stage) can be distinguished by the level of awareness an individual has. By raising the level of awareness, the attention of a wider group is focussed on a specific cause or condition (Gandhi, 1986). Common issues include conflicts, diseases and movements. For example, the term awareness raising is used in the Yogyakarta principles against discriminatory attitudes (The Yogyakarta Principles, Article 2, 9, 15).
Furthermore, different types of awareness are applicable to this thesis. The first form of awareness is described as “general awareness”, which is about common knowledge about a social, scientific or political issue (Gandhi, 1986). Applied to this thesis, the issue in question is the waste problem.
The second form of awareness is called self-awareness. According to Gregory Bateson (1972), self-awareness is crucial in the existence of self-organization in large complex living systems. A distinction can be made between internal and external self-awareness (Eurich, 2018). Internal self-awareness concerns a higher form of consciousness in which an individual is aware of oneself (Merriam-Webster, n.d.). Applied on this research, internal self-awareness specifically relates to the awareness of a stakeholders own perspective on waste management. The other type of self-awareness, external self-awareness, concerns the way other people view an individual in terms of those same factors (Eurich, 2018). Research shows that people who know how others see them are more skilled at showing empathy and taking others’ perspectives (Craemer, 2019). Especially the ability of being able to imaginatively leap into the mind of another plays an important role related to this thesis, as the central question explicitly mentions the way stakeholders reflect on the performance of other stakeholders in the system.
2.2. Conceptual model
The following will give a brief elaboration to the conceptual model that can be seen on page 19.
The Individual stakeholders are influencing the waste management system with the decisions they make and with their behaviour. Via the waste management system, the stakeholders also affect the way other actors are behaving. Therefore, the arrows that are drawn from the individual stakeholders to the waste management system & Awareness block have arrows on both sides of the line. Through the waste management system, all actors are indirectly influencing the other actors.
Furthermore, the waste management system and the awareness are also bilateral. The amount of awareness among society towards the waste problem influences the performance of the waste management system and the way the system is designed influences the
amount of awareness among society towards the waste problem.
Additionally, the enabling environment (the six factors at the bottom of the conceptual model) influence the performance of the waste management system. Also the other way around, the performance of the waste management system influences the enabling environment. For example, if the performance of the waste management system improves by increasing environmental awareness, there would be more willingness to pay for environmental services which would improve both the environmental factor and the waste management system again.
3. Methodology
In this chapter the methodology that is used in this research will be discussed. The research strategy, the data collection and the data analysis will be elaborated. Additionally, the train of thoughts that have led to the choices for those specific methods will pass by.
3.1 Research strategy
In order to meet the objective of this research and to answer the research questions, a qualitative research will be used. Qualitative research is best suitable for the current
research because this method enables us to gain understanding of a complex and detailed system issue where it is important to relate to different issues to different personal
circumstances (Ritchie & Lewis, 2003). The waste management system in Jomblang is a good example of such a complex system in which multiple stakeholders are involved. The methodological key in this sense is to develop a strong grasp of what it’s like for all of those stakeholders to be part of the waste management system of Jomblang. Qualitative research gives the opportunity to hear silenced voices by talking directly with people and allow them to tell stories (Creswell, 2013). For this reason, in order to investigate all stakeholders perspectives on successful waste management in Jomblang, qualitative research provides the best tools.
The approach to qualitative inquiry used in this research is phenomenology, which originates from psychology and philosophy. The basic purpose of phenomenology is to reduce
individual experiences with a phenomenon to a description of the universal essence (Creswell, 2013). In this sense, a qualitative researcher identifies a phenomenon or an object of human experience (van Manen, 1990). Plainly, the human experience is essential and therefore the phenomenological approach is very suitable for human geography studies that concern human experiences in order to understand relationships that people can have with each other and with their geographical environment (Seamon, Lundberg, 2019). In this end, the human experiences in this research are related to waste management. The
participants in this research are carefully chosen and represent the stakeholders of the waste management system that all experienced the same phenomenon. Creswell (2013) distinguishes two types of phenomenology; Hermeneutic phenomenology (van Manen, 1990) and psychological phenomenology (Moustakas, 1994). The difference between those two types of phenomenology is that van Manen’s hermeneutic phenomenology focuses not only on the description of the phenomenon but also on the interpretive process in which the researcher makes an interpretation of the meaning of the lived experience (Creswell, 2013). Applied to this research, the researcher first turned to the phenomenon of waste
management, which seriously interested him. During the process essential themes like social, economic or political environments, will be reflected on that constitute the nature of this lived experience. Additionally, a description of the phenomenon, maintaining a strong relation to waste management will be written. These elements of inquiry are all
characteristics of van Manen’s hermeneutic phenomenology.
An interesting example of qualitative research characteristics is the inductive-deductive logic process. Creswell (2013) explains this process as:
Qualitative researchers build their patterns, categories, and themes from the “bottom up,” by organizing the data inductively into increasingly more abstract units of
information. This inductive process involves researchers working back and forth between the themes and the database until they establish a comprehensive set of themes. It may also involve collaborating with the participants interactively, so that they have a chance to shape the themes or abstractions that emerge from the process. Researchers also use deductive thinking in that they build themes that are constantly being checked against the data. The inductive-deductive logic process means that the qualitative researcher uses complex reasoning skills throughout the process of research (Creswell, 2013, p. 38).
If applying this inductive-deductive process on the current research, both methods will be used in further reporting on the data. The conceptual model for example, is a good example of the deductive method as described above by Creswell. The themes, like the different environments affecting the impact of the waste management system, will constantly be checked against the data and they will be used as a guideline through the data collection (e.g. as a directive for interview guides). Furthermore, as the paragraph below about data analysis will discuss, the inductive method will be used by coding gathered data. This bottom up way of creating themes and patterns that causes back and forth movements between the data will end up in more overarching and comprehensive information (Creswell, 2013). The inductive-deductive method used in this research will help to create a comprehensive, holistic view on the phenomenon.
As is already divulged by the title of this thesis, the chosen design for this thesis is a case study. Creswell (2013) describes a case study as “a qualitative approach in which the investigator explores a bounded system or multiple bounded systems over time, through detailed, in-depth data collection involving multiple sources of information, and reports a case description and case-based themes. The aim of this research is to gain more in-depth information on the perspectives of stakeholders of a waste management system.
Furthermore, this research represents a bounded case that illustrates the issue that is focussed on which means that this inquiry uses a single instrumental case study (Stake, 1995). The waste management system of Jomblang will be used as a case that illustrates a relatively successful waste management system in a developing country.
3.2 Data collection
The data for this research will be gathered through long-distance interviews via Skype and Zoom and extended literature review on documents provided by informants. Using mixed methods a.k.a. triangulation improves the quality of this research by strengthening its validity.
In the empirical phase, data has been collected by conducting semi-structured long-distance interviews. This part of the data collection has been affected most by the change of plans due to the pandemic. Finding respondents for long-distance interviews from the other side of the world turned out to be quite a challenge. Soon could be concluded that it would not be
possible to get in contact with all the stakeholders that are represented by the ISWM model. Therefore, the choice has been made to conduct interviews with experts, community leaders of Jomblang and people from NGO Bintari. NGO Bintari is an important actor in both the waste management system of Semarang and in the data collection of this research. In this phase the snowball-effect has been used in order to find respondents. NGO Bintari in many cases functions as a kind of communicator between different actors of the waste
management system (Ratna Budiarti, p.c., 2020). They have been able to provide detailed information of perspectives of other important stakeholders which has led to the ability to develop a pretty holistic approach, despite the fact that adaptations to the research had to be made.
To present a little overview of the people that have been willing to do an interview, their functions and some additional background information is desirable:
- Benny Setianto Waste management expert and lecturer at UNIKA University in the empowerment of urban studies
- Ratna Budiarti Project coordinator waste management at NGO Bintari - Inung Manager for business development & knowledge
management at Bintari foundation. - Nani Youth leader in Jomblang, Semarang.
Additionally, NGO Bintari has been so kind to share reports and inquiries conducted by them in previous years. Those documents have provided the ability to picture a more
comprehensive image of the waste management system. The first document, called: Semarang City Recycling Policy Dialogue (Bintari, 2019a) provides a lot of information on the perspectives of different stakeholders on the waste management system of Semarang. The second document, called: Assessment of Semarang City Recycling Policy and Waste Recycling Groups (Bintari, 2019b) provides a lot of information of the existing policies in Semarang regarding waste management.
Furthermore, for the interpretation of the collected data it is important to keep in mind that most of the data regarding internal- and external self-awareness of stakeholders is collected through long-distance interviews with people from NGO Bintari and through reports and inquiry from NGO Bintari. This means that data on the perspective of the NGO is primary data from NGO Bintari as a respondent. Also the data on the perspective of local
communities is primary data from youth leader Nani as a respondent. Data on the other stakeholders is secondary data from NGO Bintari as an informant. Furthermore, additional data should be interpreted as secondary data coming from waste management experts like Mr Setianto and NGO Bintari.
