Caste, mistrust and municipal inaction: The interwoven barriers for the integration of waste pickers in India

Kala K., Bolia N.B., Sushil

Abstract The informal sector is the backbone for sustainable waste management in a high population density country such as India. Moreover, the operations of the value chain of informal waste management provide direct or indirect benefits for the environment and human resource development. Unfortunately this sector has always been regarded as a fraudulent activity that sustains without paying taxes, creates unjust competition, and weakens unions and the regulatory structure of the government. These perceptions often lead India to pursue a policy that intentionally or inadvertently amounts to retributive measures. However, the alarming increase in the rate of waste generation has coerced the governments of several countries to incorporate the indispensable informal sector in their policy initiatives. Accordingly, this paper presents a pioneering system dynamics based model (using STELLA Architect software) to analyse the impact of the recent policies and decision strategies on the effectiveness of the informal waste management sector. The paper explores the case of Delhi, India to illustrate the model and provides valuable insights into the urban waste management process. The results of the model demonstrate that significant economic and environmental benefits can be realized by leveraging the natural strengths of the informal sector. Further, it is shown that efficient implementation of policies related to informal waste management can reduce the recyclable waste in the landfills dumped by municipal corporations or otherwise to zero. Also, waste recycling capacity can be increased from 39 percent to 100 percent by strengthening IRC (informal recycling coefficient, introduced in this paper) in a span of 30 years. This increase will have positive impact on land usage, environment degradation and operation cost used in the formal waste collection.

Mesdaghi B., Ghorbani A., de Bruijne M.

Climate adaptation measures are shaped and implemented through processes of governance, where the interactions and decision-making among actors lead to the creation and reinforcement of institutions. Institutions in this respect are the rules that shape the interactions of actors in different phases of climate adaptation. Currently there is no comprehensive method to systematically identify and map dependencies between institutions. This study proposes the Institutional Network Analysis (INA) approach that is based on the Institutional Grammar as a systematic and comprehensive tool to (1) visualise institutional dependencies, (2) identify points of concern in the institutional landscape such as conflicts and voids, and (3) provide quantitative insights into the centrality of actors, embeddedness of institutional outcomes, and dependencies between institutions. The approach is applied to the case of climate adaptation of transport infrastructures surrounding the Port of Rotterdam, the Netherlands. The analysis reveals a conflict in the use of risk assessment criteria, as parties in the Port may follow their own matrices in the presence of a shared decision-making framework. Nonetheless, the network metric analysis reveals that the criteria, whether shared or individual, build on the same source of risk analysis, suggesting that this duality may not be detrimental for climate adaptation efforts. Additionally, an institutional void is identified for financial responsibilities in locations where infrastructures overlap. Finally, the network metrics show high dependency between institutions in the risk dialogue phase, and reveal the centrality of infrastructure owners ProRail and RWS in the institutional landscape instead of local or regional governmental bodies. • Institutional network analysis is a new approach for identifying institutional dependencies. • Institutional network analysis used to identify institutional voids and conflicts. • Duality of assessment criteria hampers the effectiveness of common frameworks. • Institutional void for financial responsibilities leads to conflict where infrastructures overlap.

Calderón Márquez A.J., Silva de Souza Lima Cano N., Rutkowski E.W.

This article aims to identify and comprehend the challenges and strengths behind public policies on integrating waste pickers (WPs) within waste management systems in Colombia and Brazil. In both, WPs started to come together and found organisations and external agents such as NGOs began to support organised groups of WPs. After 10 years of judicial court actions in Colombia, WPs organisations were finally recognised in legislation, while in Brazil, they were recognised in 2007 in one of the national policies through lobby. Today, there are almost 700 WPs organisations formalised in Colombia and 1700 in Brazil. Their public policies’ main achievements and challenges are exposed to supply knowledge to other countries interested in this theme. A Roadmap for the organisation and formalisation of WPs within waste management systems was created. This constitutes a source of information for policymakers in other emerging economies to address this in their territories.

Bushouse B.K., Schweik C.M., Siddiki S., Rice D., Wolfson I.

Institutions—defined as strategies, norms and rules (Ostrom Understanding institutional diversity, Princeton University Press, Princeton, 2005)—are omnipresent in third sector contexts. In this paper, we present the Institutional Grammar (IG) as a theoretically informed approach to support institutional analysis in third sector research. More specifically, the IG coding syntax allows the researcher to systematically wade through rich text and (transcribed) spoken language to identify and dissect institutional statements into finer syntactical segments of interest to the researcher. It is a versatile method that can generate data for small- or large-N research projects and can be integrated with mixed-method research designs. After first introducing and describing the IG, we present a case study to illustrate how a IG-based syntactic analysis can be leveraged to inform third sector research. In the case, we ask: Do the rules embedded in regulatory text addressing the involuntary dissolution of charity organizations differ between bifurcated and unitary jurisdictions in the United States? Using IG’s ABDICO 2.0 syntax, we identify eleven “Activation Condition” (AC) categories that trigger action and assess variation among the 46 jurisdictions. We ultimately conclude that the rules do not differ between bifurcated and unitary jurisdictions, but that finding is not the primary concern. The case demonstrates IG as an important methodological advance that yields granular, structured analyses of rules, norms and strategies in third sector settings that may be difficult to identify with other methods. We then emphasize four areas of third sector research that could benefit from the addition of IG-based methods: analysis of (1) rule compliance, (2) inter-organizational collaboration, (3) comparative study of institutional design, and (4) the study of institutional change. We close the paper with some reflections on where IG-based analysis is headed.

Zolnikov T.R., Furio F., Cruvinel V., Richards J.

Informal waste picking is a common way for people to earn an income, especially in low-income countries; unfortunately, there are various occupational hazards and health outcomes associated with waste picking. This study focused on comprehensively identifying and exploring occupational hazards and health outcomes associated with informal waste picking. A systematic review of available relevant and peer-reviewed literature was completed to exhaustively analyze the full scope of these hazards and outcomes associated with informal waste picking; 58 papers were included. The results from this study provided insight and information related to the most common occupational hazards and negative health outcomes associated with informal waste pickers outlined in available literature. The most common reported occupational hazards were physical (77.6%), social (70.7%), biological (65.5%), chemical and safety (53.4%), ergonomic (34.5%) and mechanic (25.9%). Health outcomes appeared to include epidermal (50.0%), communicable disease (46.6%), musculoskeletal (44.8%), respiratory disease (41.4%), non-communicable diseases (39.7%), physiological (34.5%), gastrointestinal (31.0%) and waterborne diseases (17.2%). Physical hazards were often associated with slips, trips, and falls, which makes sense because of the unstable environment where waste pickers work. Health outcomes related to these hazards included bruises, cuts, and lacerations. This information also aligns with health outcomes, as epidermal outcomes were most reported in waste pickers (50.0% of data). It is clear that moving forward, additional research related to these occupational hazards and health outcomes associated with informal waste picking is needed to help create change in this affected population, as well as finding effective solutions to mitigate these hazards and outcomes. These hazards can be mitigated by simple, common control measures, like providing safety equipment, reducing hazards from the outside environment (e.g., less time in sun, breaks, etc.), and placing barriers between waste pickers and the hazards (e.g., covered stations, flat ground, etc.) or more complex engineering, administrative or work controls. Because of the breadth of health problems faced by workers, more research is needed to correctly assess health outcomes (e.g. use of health practitioners) in waste pickers across time to ensure accurate data and a focused answer to the far-reaching problem.

Gutberlet J.

• Organization is crucial for waste pickers to become integrated in waste management. • Pro-poor policy and political will are prerequisites to co-produce waste management . • Waste picker organizations are able to address multiple SDGs and reduce poverty. • Community-based research confirms waste pickers’ roles in creating sustainable cities. Worldwide waste pickers work under deplorable conditions and are not recognized for their environmental and community services, by recovering and diverting recyclable materials from waste. Brazil has accumulated experiences of international relevance, particularly between 2004 and 2015, due to institutional and policy support for the Social and Solidarity Economy and the creation of a National Waste Pickers’ movement. These conditions have favored the formation of new recycling cooperatives throughout the country. While there is still a wide spectrum of differences among these membership-based organizations, they also have many characteristics in common and share similar values and objectives. This research aims to demonstrate that when organized and supported by public policies and inclusive governance these groups are able to tackle several of the UN Sustainable Development Goals (SDGs). This article presents results of a case study, conducted over the period of 5 months in 2018, involving 21 waste picker cooperatives in the metropolitan region of São Paulo, Brazil. Data collection included the application of a questionnaire to the leaders of the 21 cooperatives and site visits to their facilities, including informal conversations with members. Data was collected at the cooperatives and involved note taking and voice recording. The data was transcribed and tabled for the subsequent content analysis. The results demonstrate the impacts of the work of organized waste pickers on SDGs (goals # 1, 5, 8, 11 and 12). The study shows how these groups address social, economic and environmental targets, how they build resilience and reduce vulnerabilities. Many cooperatives still operate under precarious conditions, suffering from weak government commitments and neglect or from the volatility of the economy. Public policies and participation in governance are instrumental in acknowledging waste picker organizations and remunerating their services to thus unlock their full potential to further the progress on the implementation of SDGs. Political will is paramount for waste pickers to become the champions in the transition to more sustainable development.

Jai Singh Rathore G.

Harvesting e-waste is a significant economic activity in India, largely carried out by the informal sector. However, waste governance and planning promote the implementation of technologically driv...

Gall M., Wiener M., Chagas de Oliveira C., Lang R.W., Hansen E.G.

The circular economy rationale is increasingly promoted as a means to move from a global plastic waste dilemma to a plastics economy that is aligned with the principles of sustainable development. However, any such effort will have to account for the socio-economic settings in low-income and middle-income countries of the global south which are the main entry points of mismanaged plastic wastes into the environment. Since waste management and recycling in these economies are characterized by a great degree of informality, there is an urgent need to find models for partnering with the informal recycling sector in an effective, scalable, and sustainable manner. In this work, we present the case of a for-profit company located in Nairobi, Kenya, that operates on the interface between formal and informal by processing post-consumer plastics sourced from local waste pickers through a fair-trade-like business model. Economic incentives, trust building measures, and a general willingness to learn and adapt were identified as prerequisites for establishing accountable supplier-buyer relationships. The combination of informed material pre-sorting by the individual waste picker and subsequent industrial scale sorting and washing resulted in recyclates that were comparable to commercially available benchmark recyclates from the sophisticated formal recycling system of a high-income country in terms of both composition and selected engineering properties. High-quality mechanical recycling of plastic wastes under informal conditions seems feasible and may even come along with socio-economic benefits for marginalized waste pickers when suitable modes of cooperation are put in place.

da Silva C.L., Weins N., Potinkara M.

The world population is becoming more urbanized, wealthier but also more wasteful. The resolution of the problem of ever increasing amounts of solid waste is not yet a priority in many developing countries where informal organization has managed to partially tackle the problem. In this article we explore the interface between formal and informal waste management in the BRICS countries (Brazil, Russia, India, China and South Africa). The aim of this article is to comparatively evaluate the main challenges of urban solid waste management for the BRICS from an institutional point of view. Based on a literature review, interviews with experts on the BRICS and a search for relevant legislation and formal institutions, evidence of informal institutions and the informal economy's role following New Institutional Economics was considered. The results indicate that while in Brazil and South Africa there is a state incentive to formalize scavenging for more efficient outcomes, Russia shows a significant blind-spot on the issue, China apparently awaits a technological solution to the problem, and India's cultural, ethnic and caste-based divide of society make recent policies aimed at improving waste pickers' conditions challenging to enforce. This research has shown that it is not as much an issue of enforcement of the (often recent) legislations, but rather one of cultural and informal organizational factors, that play into the issue of continued problems concerning waste management. For achieving waste management policy goals, we suggest a more open multi-stakeholder approach to the inclusion of informal organizations in public waste management.

Harriss-White B.

India’s waste is growing fast; so is its research, and so is the informal economy in which it is embedded. Here research on a small-town waste economy (WE) is situated in the literature on urban in...

Olivier T.

Collective-action problems affect the structure of stakeholder networks differently in policy settings (Berardo and Scholz 2010). However, interactions in policy settings do not usually occur in an institutional vacuum; instead, they are guided and constrained by agreed-on rules. Therefore, to better understand behavior in these settings, it is important to understand the parameters that guide and constrain it. Combining arguments from game theory and social network analysis, this paper focuses on how the nature of collective-action problems affect the design of formal institutional arrangements. The cases are two institutional arrangements for the provision of high-quality drinking water, in New York City and in Boston. The design of these arrangements is measured through Networks of Prescribed Interactions (NPIs), capturing patterns of interactions mandated by formal rules. NPI structures in each case are then compared analyzing their structural measures and applying exponential random graph models (ERGMs). By comparing these NPIs, the paper assesses the effects of collective-action problems on the design of formal institutional arrangements. Results show that cooperation problems are associated with designs prescribing redundant interactions that create a balanced distribution of responsibilities among the key actors to the agreement.

Marello M., Helwege A.

As informal workers, wastepickers gather recyclable material without adequate social benefits and occupational protection. In response to wastepicker demands for legalization and access to the waste stream, cities have created inclusion programs to improve livelihoods and promote recycling. While inclusion yields benefits for many participants, it brings challenges at each step of development. In the poorest countries, workers lack the skills, capital, and managerial experience to operate profitably, while projects in wealthier cities employ few wastepickers and face stiff competition from the formal sector. The most sophisticated municipal systems mechanize waste processing and threaten wastepickers’ livelihoods because capital-intensive methods yield few jobs. To realize genuine inclusion, policies to support wastepickers must enable workers to compete throughout the broader economy. Como trabajadores informales, los recolectores de basura se encargan de recoger materiales reciclables sin prestaciones sociales o protección laboral adecuadas. En respuesta a sus demandas de legalización y acceso al flujo de residuos, las ciudades han creado programas de inclusión para mejorar las condiciones de vida y promover el reciclaje. Mientras que dicha inclusión brinda beneficios a muchos participantes, también conlleva retos en cada etapa del desarrollo. En los países más pobres, los trabajadores carecen de las habilidades, capital y experiencia administrativa necesarias para operar de manera rentable, mientras que los proyectos en las ciudades más ricas emplean pocos recolectores que enfrentan una dura competencia por parte del sector formal. Los sistemas municipales más sofisticados mecanizan el procesamiento de los desechos y amenazan los medios de subsistencia de los recolectores dado que los métodos intensivos en capital generan pocos puestos de trabajo. Para que haya una genuina inclusión, las políticas de apoyo a los recolectores de basura deben permitir que dichos trabajadores compitan en el grueso de la economía.

ROGGERO M., BISARO A., VILLAMAYOR-TOMAS S.

AbstractAnalyses of climate adaptation seldom rely on the conceptual toolbox of institutional economics. Yet articles addressing institutions make up a large portion of the climate adaptation literature. With a wealth of institutionally relevant knowledge in the adaptation literature, organizing such knowledge in institutionally meaningful ways can advance the present understanding of the link between institutions and adaptation. Knowing which aspects of this link are well researched, and where in contrast research gaps lie, can provide guidance to institutional economists interested in adaptation. We contribute to this through a systematic review of the adaptation literature, assessing the consideration adaptation scholars give to different elements of the Institutional Analysis and Development framework. Results show a strong focus on collective choice and on adaptation by public actors, with an emphasis on rules in use, social interactions and, to a lesser extent, attributes of the community. Research gaps rather encompass operational and constitutional choice, private adaptation, physical interactions and biophysical conditions.

Coletto D., Bisschop L.

Purpose The purpose of this paper is to provide insights into the role and practices of informal waste pickers and the implications for waste management policy in urban contexts of the Global South. Design/methodology/approach Qualitative case studies were used, including interviews, observations and document analyses. The authors compared informal waste management in two cities of the Global South: Accra (Ghana) and Porto Alegre (Brazil). Findings The analysis points out that informal waste pickers play a crucial role in the implementation of waste policies in both cities, despite differing economic, social and institutional contexts. The study of the waste management system also points to multiple connections between informal and formal parts of the economy. Although the informal waste pickers are integral to the waste management systems, their economically disadvantaged position excludes them from the formal labour market. Faced with these challenges, they develop creative solutions to guarantee their livelihood and gain more effective collective voice. Research limitations/implications The comparison of two case studies, conducted about the same social phenomenon in two different economic, institutional and social contexts, has limited generalisability but is theoretically and practically important. Practical implications The findings are relevant to policy-makers who deal with urban waste management and for organisations who develop support actions for informal workers. Originality/value The authors draw on a comparison of qualitative case studies to explore the multidimensionality of the waste picker’s phenomenon. This paper sparks discussion among scholars and experts who study the informal economy from different perspectives, in this case bridging insights from sociology and victimology.

Aparcana S.

The Municipal Solid Waste Management (MSWM) sector represents a major challenge for low-and middle-income countries due to significant environmental and socioeconomic issues involving rapid urbanization, their MSWM systems, and the existence of the informal waste sector. Recognizing its role, several countries have implemented various formalization measures, aiming to address the social problems linked to this sector. However, regardless of these initiatives, not all attempts at formalization have proved successful due to the existence of barriers preventing their implementation in the long term. Along with this, there is a frequent lack of knowledge or understanding regarding these barriers and the kind of measures that may enable formalization, thereby attaining a win-win situation for all the stakeholders involved. In this context, policy- and decision-makers in the public and private sectors are frequently confronted with the dilemma of finding workable approaches to formalization, adjusted to their particular MSWM contexts. Building on the review of frequently implemented approaches to formalization, including an analysis of the barriers to and enabling measures for formalization, this paper aims to address this gap by explaining to policy- and decision-makers, and to waste managers in the private sector, certain dynamics that can be observed and that should be taken into account when designing formalization strategies that are adapted to their particular socioeconomic and political-institutional context. This includes possible links between formalization approaches and barriers, the kinds of barriers that need to be removed, and enabling measures leading to successful formalization in the long term.This paper involved a literature review of common approaches to formalization, which were classified into three categories: (1) informal waste workers organized in associations or cooperatives; (2) organized in CBOs or MSEs; and (3) contracted as individual workers by the formal waste sector. This was followed by the identification and subsequent classification of measures for removing common barriers to formalization into five categories: policy/legal, institutional/organizational, technical, social, and economic/financial. The approaches to formalization, as well as the barrier categories, were validated through the assessment of twenty case studies of formalization. Building on the assessment, the paper discussed possible links between formalization approaches and barriers, the 'persistent' challenges that represent barriers to formalization, as well as key enabling factors improving the likelihood of successful formalization.Regardless of the type of approach adopted to formalization, the review identifies measures to remove barriers in all five categories, with a stronger link between the approaches 1 and 2 and the existence of measures in the policy, institutional, and financial categories. Regarding persistent barriers, the review identified ones arising from the absence of measures to address a particular issue before formalization or due to specific country- or sector-related conditions, and their interaction with the MSWM context. 75% of the case studies had persistent barriers in respect of policy/legal issues, 50% of institutional/organizational, 45% of financial/economic, and 40%, and 35% of social and technical issues respectively.This paper concludes that independently of the formalization approach, the lack of interventions or measures in any of the five categories of barriers may lead formalization initiatives to fail, as unaddressed barriers become 'persistent' after formalization is implemented. Furthermore, 'persistent barriers' may also appear due to unfavorable country-specific conditions. The success of a formalization initiative does not depend on a specific approach, but most likely on the inclusion of country-appropriate measures at the policy, economic and institutional levels. The empowerment of informal waste-workers is again confirmed as a further key success factor for their formalization.

Heinrich V., Bansal H., Fröhling M.

Abstract India, as one of the world’s largest generators of electronic waste (e-waste), grapples with significant challenges in efficiently managing it, notably in emerging IT cities. In the city of Chandigarh, a substantial amount of e-waste is generated annually, of which informal collectors handle the majority with hazardous methods, perpetuating environmental and health risks. This case study aims at analysing and understanding the complex e-waste ecosystem on the urban level of Chandigarh for identifying potential challenges and deriving measures to further enhance closed resource cycles. Therefore, this study assesses the relevant literature in the field of e-waste management as a basis for conducting semi-structured interviews with involved stakeholders in Chandigarh. It reveals deficiencies in Extended Producer Responsibility policy enforcement, the informal sector's dominance in Chandigarh's e-waste ecosystem, and widespread circulation of counterfeit e-waste certificates. The study proposes mitigation measures to address these issues by highlighting the benefits of collaboration between the formal and informal sectors, promoting responsible recycling practices, and improving the status of the marginalized informal workers. This study contributes to the theoretical understanding of urban e-waste management systems in emerging economies by analysing the complex interplay of involved stakeholders offering insights into scalable solutions for other under-explored urban contexts.

Dinh C.L., Fujiwara T., Phu S.T.

AbstractRecently, the transition to the circular economy has become environmentally and economically urgent for every single nation in the world. Closing the loops of material is one of the key ideas behind the foundation of a circular economy (CE). The informal recyclable stations (IRSs) within the solid waste management (SWM) system play an important role as the reversed logistic system, being in charge of collecting and trading recyclable solid waste. This study aimed to comprehend the spatial nature of the system of IRSs in Danang city, Hue city, and Hoi An city as representative sites for the whole of central Vietnam and the nation. The integration of geographic information system (GIS), remote sensing, and statistical learning was performed to clarify spatial characteristics and dynamics of the system of IRSs as well as combat status of limitations of available data in developing countries. Results denoted that the system of IRSs was distributed in close proximity to transportation systems and residential areas with low vegetation coverage. Coverage ratios of the system of IRSs did not strongly fluctuate in case the number of IRSs decreased by 80% regarding the 3500 m distance covered. Negative binomial regression proved to be the most congruent model for understanding the prevalence of IRSs in central Vietnam. Population and normalized difference vegetation index were statistically related to prevalence of IRS. While linear regression depicted balance between variance and bias, support vector machine would be applied if prioritized aim is model performance. The results of this study are a scientific base for the management of the IRS system and the integration of this system into a formal SWM system as well as the transition to a CE.

Sorkun M.F., Özen Ş., Can S.