La ngothanhmai sum

1 INTRODUCTION Rationale It is undeniable that the impressive economic growth, expanded population as well as vivid urbanization have been the overall picture of Vietnam in general and Hanoi in particular This context has put the municipal solid waste management (MSWM) system under the enormously challenging pressure of managing the increasing volume of waste Meanwhile, the capacity of the Government sector has been restricted due to the limitation of human, financial and facility resources Community-based management (CBM), therefore, has been unfolded as a new tendency which partly reduces the burden on the public sector, and at the same time promotes the role of the community in finding solutions to environmental problems In recent years, the Government of Vietnam has promulgated the policy of socialization in the field of environmental protection Hanoi is one of the localities which are pioneers advocating such judicious policy with the introduction of dozens of models based on community initiatives Socialization programs have shared the responsibility of MSWM with the Government and brought initial positive results Nevertheless, over a period of operation, the models of community services management exposed inadequacies in terms of finance, management mechanisms and policy institutions Analyzing and evaluating these models are essential for the Government to generate solutions in order to operate and improve the models in a sustainable manner Literature review on community-based municipal solid waste management 2.1 Previous studies related to municipal solid waste management On grand scale, studies on solid waste management (SWM) focus on two main contents, particularly: • Firstly, there has been research group concentrating on the index development to evaluate the sustainability of the MSWM model The remarkable effort in this regard belongs to UN-Habitat (2010) This is the starting point for Scheinberg (2010), Wilson et al (2015) to continue to improve and generate the “Baseline index set for integrated solid waste management in cities” • Secondly, there are quite a lot of studies assessing the willingness to pay (WTP) of households to improve the MSWM system Chuen-Khee and Othman (2010); Wang et al (2011) estimated the preference of households when improving solid waste management services in Malaysia and in China Nguyen Van Song et al (2011) identified the WTP for waste collection and disposal in Gia Lam district, Hanoi Similar studies were conducted by Nkansah E (2015) and Mya (2016) on household WTP to improve the MSWM system in Tema Metropolis, Ghana and in Yangon, Myanmar 2.2 Previous studies related to community-based solid waste management • The first content that studies on community-based solid waste management (CBSWM) generally consider is the involvement of the community Study results by David W Richardson (2003) and Sonwabo Perez Mazinyo (2009) show that the success of CBSWM models indeed belongs to the positive and active participation of the community After carrying out studies in Putrajaya, Malaysia, Nur Khaliesah Abdul Malika et al (2015) have proposed a number of measures to intensify community participation in solid waste recycling programs Yohanis Birhanu et al (2015) emphasized the role of communities in improving waste management activities in the town of Jigjiga, Somalia, Ethiopia • The second content that studies on CBSWM often refers to is summarizing of lessons learned from applying CBSWM models to communities Justine Anschütz (1996) analyzed and summarized five groups of constraints/challenges in implementing this model in Asia, Africa and South America Mansoor Ali et al (1999) summarized the lessons learned from studying community-based initiatives regarding solid waste collecting services in developing countries D.G.J.Premakumara (2012) analyzed practical lessons and innovations in CBSWM in Cebu, Philippines 2.3 General review on studies related to community-based municipal solid waste management and the research gaps • On the main study contents: (i) Most of the studies focus on evaluating levels of community participation in the community services management model; (ii) Identify and analyze several social and managerial difficulties when implementing this model • On the study methods used: Studies usually use methods as qualitative analysis, statistical analysis, description and comparison • Limitations and research gaps for this thesis: - Regarding study content: (i) There has been no set of indicators developed and proposed as the basis for assessing the sustainability of the community services management model; (ii) To Hanoi, studies have just analyzed several distinct aspects yet have not evaluated the whole model in order to provide a solution for sustainable model operation - Regarding study methodology: There has been no study conducted using the method of indicator development and calculating sustainability index to analyze the sustainability of the model With the gaps mentioned above, the study named “Community-based municipal solid waste management: a case study in Hanoi” is expected to cover part of such study gaps Objectives of study • General objectives of the study is to analyze sustainability of community-based municipal solid waste management model and policy recommendations aiming to improve the model in a sustainable manner • The study also aiming at resolving specific objectives as follows: (i) To propose indicators to analyze the sustainability of community-based municipal solid waste management (CBMSWM) model; (ii) To apply indicators to analyze the sustainability of the model; (iii) To carry out testing calculation in integrated sustainable indicators for case studies in Hanoi; (iv) To evaluate the willingness to pay of households to improve the CBMSWM system; (v) To recommend appropriate policies to perfect the CBMSWM model in Hanoi in a sustainable way Subjects and scope of study 4.1 Subjects of study Considering the process of managing, subjects of the study are the disposal segments Considering from the aspect of subjects involved, the study subjects are users and suppliers of municipal solid waste (MSW) services 4.2 Scope of study • Spatial scope: Ha Noi was chosen as the main study background with investigations and surveys of two (2) CBMSWM models • Time scope: The study chose the period of 2006 - 2016 to study This is the time before and after Hanoi expanded its administrative boundaries The model of community services management, thus, was applied quite popularly • Content scope: The study focuses on MSW with household disposal as its source for the fact that this one accounts for 2/3 of total MSW In the study, the author focuses on the segment of the collection as this is the one in which the community demonstrates their strongest involvement However, the thesis still provides an overview of other segments in the MSWM system namely transportation, disposing and recycling Structure of the thesis The thesis includes four chapters and an introduction, a conclusion, the reference and appendix Chapter 1: Theoretical framework on CBMSWM; Chapter 2: Research Methodology; Chapter 3: Current status of CBMSWM: Case Study in Hanoi; Chapter 4: Orientations and policy recommendations to improve the model of CBMSWM in a sustainable manner New contributions of the thesis 6.1 New contributions to academic and theoretical aspects The study has proposed a set of 17 indicators on four aspects: economy, sociality, environment and institution/management to analyze the sustainability of CBMSWM model The study quantifies the sustainability of the CBMSWM model by testing the sustainability intergrated index 6.2 Findings and suggestions drawn from study and survey of the thesis The results indicate that two (2) CBMSWM models in Hanoi are highly sustainable in terms of environment yet less sustainable regarding economic aspect The survey results on 504 households in Nhan Chinh ward and Sai Son commune (Hanoi) have determined that the average WTP of households are 35,000 VND/household/ month and 25,000 VND/household/month respectively This can be considered as a potential financial source to share the budgetary burden on Government as providing public services Through predictions on new context for Hanoi, policy recommendations are proposed by the author in order to improve the CBMSWM model in Hanoi impacted by the complex elements of the MSW 1.1.2 The concept and objectives of municipal solid waste management • The concept of municipal solid waste management (MSWM): According to Peter Schübeler (1996), “Municipal solid waste management includes activities as collecting, transporting, disposing, recycling, restoring resources and dealing with solid waste in the urban.” • The objectives of municipal solid waste management: (i) To protect the health of citizen, especially those with low incomes; (ii) To improve the quality of the environment; (iii) To support urban economic development 1.1.3 Theory of integrated and sustainable municipal solid waste management • Integrated and sustainable solid waste management means “a combination of individual components to form a favorable system, a combination of separate segments to create a complete management cycle, a combination of all individuals, organizations and companies in society regardless of religion or culture to create social capital for sustainable development” (According to Arnold van de Klundert et al., 2001) 1.2 Community-based management 1.2.1 The concept of community and community-based management • The concept of community: “A community is a group of citizens residing in a certain geographic area, cooperating with each other for the common benefits, sharing responsibility in solving problems related to life and development of the community” (Definition summarized by author of the thesis) • The concept of community-based management: “It is a form of management in which the community participates directly and benefits from such managing participation” (Pham Phuong Nam, 2015) 1.2.2 Characteristics and prerequisite of community-based management • Characteristics of community-based management: Firstly, the community must take responsibility to manage; the right to control and to make decisions; Secondly, the participation of the community is devilishly diverse depending on local conditions; Thirdly, the community plays a central and proactive role in management • Prerequisites of community-based management: Firstly, it is essential for the community to know what is involved in management and supervision; what benefits they would receive, what costs and risks they would face up with; Secondly, the community should have the right to be self-governing without compulsion; Thirdly, the community should be of their own free will and consensus when it comes to problem solving 1.2.3 Factors affecting the success of community-based management models • According to Steve R.Doe and M.Sohail Khan (2004), there are three basic groups that influence the success of the CBM model, including: (i) a group of factors related to community characteristics The (ii) a group of factors related to community participation, and (iii) a group of factors related to the ability of community pressure or perceived ownership In addition, the actual results show that a number of other factors also have a significant impact on the operation of the CBM model, such as: government policy, community capacity Thus, in order to create a successful foundation for the CBM model, the presence of these groups of factors is very important 1.2.3 Theory of community participation • Community participation is to take part in a work, a policy, a project that CHAPTER 1: THEORETICAL FRAMEWORK ON COMMUNITY-BASED MUNICIPAL SOLID WASTE MANAGEMENT 1.1 Municipal solid waste management 1.1.1 The concept and impacts of municipal solid waste management • The concept of municipal solid waste: MSW (also known as domestic waste) is the solid waste generated in daily life of people • Impacts of municipal solid waste: MSW puts its influence on water, land as well as air through the decomposition of microorganisms In addition, the health of waste collecting workers and exposed inhabitant communities are also potentially organizations and agencies set out in order to bring public benefits to all According to (M.Dower, 2004), community participation has been divided into five levels: (i) Level of being informed; (ii) Level of consultation; (iii) Level of collectively implementation; (iv) Level of partnership; and (v) Level of sponsorship 1.3 Community-based municipal solid waste management 1.3.1 The concept of community-based municipal solid waste management According to Anschutz, J., (1996), CBMSWM is “a circumstance in which the community has responsibility, power and perform activities of managing and maintaining municipal solid waste services to benefit its members” 1.3.2 Organizational structure of community-based municipal solid waste management model • Model of collaboration between private companies and community-based organizations (CBOs) • Model of collaboration between community-based organizations (CBOs) and local authorities • Model of collaboration between non-governmental organization (NGOs) and community-based organizations (CBOs) 1.3.3 Theory of Collective Action • Theory of Collective Action: According to Hardin (1965), community activities are requisites to reach a solution to the problem of solid waste management Ostrom (1992) proposed seven principles to organize community activities in a long run and effective way, including: (1) Demarcation of community boundaries; (2) Compatibility between the provisions on misappropriation and accommodation under specific local conditions; (3) Collective selection; (4) Supervision; (5) Sanction; (6) Mechanism of resolving conflicts; (7) Minimum recognition of rights Theory of waste management in a integrated and sustainable way RECOMMENDATIONS Theory of Collective Action Theory of community participation Criteria to analyze communitybased municipal solid waste management model CURRENT STATUS ANALYSIS LÝ THUYẾT THEORY CHAPTER 2: RESEARCH METHODOLOGY 2.1 Procedure of the study Determining the objectives of setting indexes Two case studies From economic aspect From social aspect From environmental aspect 2.2 Data source 2.2.1 Secondary data source • Secondary data source is collected mainly from official sources as: Firstly, Environmental reports by Ministry of Natural Resources and Environment (MONRE), by Urban and Environment Company, Hanoi (URENCO), Department of Construction of Hanoi and Natural Resources and Environment Division of Quoc Oai District Secondly, Vietnam Household Living Standard Survey (VHLSS), Hanoi Statistical Yearbook and socio-economic reports at ward/commune levels • Limitation of secondary data source: Statistical data on solid waste and municipal solid waste are nominal, inconsistent and discontinuous over time and space 2.2.2 Primary data source • Explanation on choosing Hanoi as case study: Firstly, Hanoi is the city which was early in carrying out and establishing policies to support the models of community services management to be applied in practice; Secondly, the models of communitybased municipal solid waste management in Hanoi are fully characterized by the model of the community services management reviewed by the Ministry of Natural Resources and Environment (MONRE) • Description of study sites: Two models of CBMSWM in Nhan Chinh and Sai Son were selected and conducted by the authors, in particular: (i) Nhan Chinh has a population of 40,722, corresponding to 10,773 households; and (ii) Sai Son has a population of 20,067, divided into 5,725 households • Subjects of information: (i) Households; (ii) Members of Thành Công cooperative and collecting team in Sai Son commune; (iii) Representatives of People's Committee of Nhan Chinh ward and People's Committee of Sai Son commune • Sample scale: Based upon Robert Slovin's formula, the samples were identified as 385 and 197 households in Nhan Chinh and Sai Son respectively fee recoverycreening the questionnaires, the number of valid votes in the two areas were 358 and 146 2.3 Data analysis and processing methods 2.3.1 Data analysis and processing methods to propose sustainability indicators of community-based household solid waste management Literature review on documents and selecting theoretical frame to analyze the model off community-based municipal solid waste management From institutional/mana gerial aspect Proposing matrix of indexes and consulting experts Selecting and proposing indexes Policy recommendations Indicators Figure 2.2: Procedure of indicator development Source: Compiled by the author After being set up as per process mentioned above, the set of indicators analyzing the sustainability of the community-based municipal solid waste management model is presented in the table below Table 2.3 Indicators analyzing the sustainability of community-based municipal solid waste management model Indicators Definition Economic indicators Proportion of fee recovery in The ratio of turnover to the total cost of MSW services MSW services Proportion of households Percentage of households paying fees in comparison with paying fees the total number of households receiving the MSWM services Fee suitability - The satisfaction of the households on the fee; - The satisfaction of households on charging methods Social indicators Employment opportunities for Percentage of local people in the labour force at the local people divisions provided MSWM services Income of local labourers at Average income of local people at the divisions provided the divisions provided MSWM MSWM services services Quality of MSWM services - Level of household satisfaction on MSW collection frequency; - Level of household satisfaction on MSW collection timing; - Level of household satisfaction on the quantity of collected MSW Community participation in - Community participation at level of receiving information; MSWM - Community participation at level of consultation on issues related to MSWM; - Community participation at level of discussing and commenting to make decisions related to the performance of MSWM; - Community participation at level of implementing decisions and sharing responsibilities in MSWM; - Community participation at level of self-construction, self-implementation in MSWM activities Community perception of the - Awareness of households about the importance of the potential impact of MSW MSWM system to the community - Levels of household interest in the impact of MSW on environmental components - Levels of household interest on the impact of MSW on public health Environmental indicators Proportion of collected MSW The percentage between the volume of MSW collected Definition and the total amount of total MSW discharged Proportion of The percentage between the volume of disposed municipal treated/disposed MSW solid waste and the total volume of MSW collected Proportion of households to be The percentage of households to be provided with MSW collection services on the total number of households in the area provided with MSWM services Proportion of households The percentage of households involved in recycling on involved in recycling MSW the total number of households in the area Institutional/managerial indicators Transparency There are legal documents clearly stipulating responsibilities, duties and rights of related parties Supervision - There are written supervising mechanism including clauses allowing households, CBOs and local authority to supervise the quality of services; - There are written supervising mechanism including clauses allowing the local authority, CBOs and suppliers to monitor the services user practices on regulations Sanction - Sanctions are expressed in legal documents, including penalties to households in case of not paying fees or not complying with regulations on MSWM - Sanctions are expressed in legal documents, including penalties to services suppliers in case of not fulfilling the tasks of providing MSW services Mechanism of resolving Ability to resolve conflicts between services suppliers and the conflicts community Legal documents system - There are national laws/strategies on SWM supporting CBM - There are Government laws/documents encouraging the participation of private companies and community in environmental protection - There are Government agencies to be directly responsible for implementing, coordinating and solving problems relating to SWM - There are laws/documents on CBMSWM Source: Compiled and proposed by author 2.3.2 Data analysis and processing method to calculate the integrated sustainable index of community-based municipal solid waste management model • Step 1: Indicators standardization: The indicators have been standardized according to the following formula (Nguyen Minh Thu, 2013) Actual value - Minimum value I = Maximum Value - Minimum Value • Step 2: Component index calculation: According to Nguyen Minh Thu (2013), the method of computing the average is suitable to calculate the component indicators In this study, since the qualitative indicators were assigned a value of or 1, the simple average formula was chosen to calculate the component indicators • Step 3: Sustainable Integrated Index Calculation: In order to ensure a balanced 10 and harmonious development in four sectors as the economy, society, environment, institution/management, sustainable integrated indicators are calculated by the simple average formula as follows: I TH = I KT + I XH + I MT + I QL 2.3.4 Data analysis and processing methods to assess households willingness to pay to improve the community-based municipal solid waste management system The Contingent Valuation Method (CVM) was used to quantify the WTP of households for positive changes in MSWM services in the two study sites Evaluation process is as follows: • 1) Group discussion: Firstly, to discuss with local authority representatives and services suppliers to identify difficulties and figure out solutions to improve MSWM quality Secondly, to discuss with households in each study site about the perception of households on the impacts of MSW; to evaluate the quality of local MSW services and suggest initial payments • (2) Investigation: The author has conducted a survey with 30 households in two study sites to complete the questionnaire and payment levels in payment card • (3) Model and factors influencing the willingness to pay: The Tobit model is used in the following form: WTPi = β0 + β1Lnthunhap + β2Genderi + β3Yrschooli + β4Sizei + β5Agei +ei Therein, WTP is a dependent variable limited between and 13; i is the index of the i th household in the survey sample; Lnthunhap is the logarithm of household income; Gender is a dummy variable that accepts if the respondent is female, if the respondent is male; yrschool is the years of schooling of the respondent, Size is the number of people in the household, Age is the age of the respondent • (4) Research hypotheses: Firstly, factors that have a positive influence on WTP include: Income, Education, Age, Gender Secondly, factors that have an counter effect on WTP are those as household size 2.3.5.Other methods of data analysis and processing • Data analysis and processing methods to analyze the current status of the municipal solid waste management system in Hanoi: On the basis of integrated and sustainable waste management theoretical framework, the author analyzed segments in the management system • Data analysis and processing methods to analyze the sustainability of community-based household solid waste management through two case studies in Hanoi: On the basis of indicators developed and by using the Likert scale, the durability of CBMSWM model in Hanoi is analyzed in detail • Data analysis and processing methods to propose policy recommendations to improve the community-based municipal solid waste management model: SWOT methodology was used to evaluate two CBMSWM models; thus, the policy recommendations were proposed to improve the CBMSWM model CHAPTER 3: CURRENT STATUS OF COMMUNITY-BASED MUNICIPAL SOLID WASTE MANAGEMENT IN HANOI 3.1 Socio-economic context in Hanoi 3.1.1 Economic growth Hanoi, the capital city, has been changing significantly in terms of economic growth and social welfare In the period of 2006-2016, the average annual economic growth rate of Hanoi has reached approximately 9.5% per year, 1.5 times higher than that of the whole country Such growth of Hanoi originates from the benefits of the economic internal modernization program and the Open Door policy of the city authority 3.1.2 Urbanization and population growth As of 2010, the urbanization rate in Hanoi has been 30-32% and it is projected to reach 55-65% by 2020 The population of Hanoi has grown rapidly with a population of million people in 1990 to 7.5 million in 2016, an increase of 3.7 fold 3.2 Current status of municipal solid waste Management in Hanoi 3.2.1 Volume of municipal solid waste generated According to URENCO, the volume of MSW generated in Hanoi in the period of 2006 - 2016 has increased in terms of both scale and per capita In terms of scale, in 2016, the volume of MSW in the city was approximately 2.5 million tons per year, equivalent to 6,400 tons per day, increasing three times in comparison to that of 2006 3.2.2.Composition of municipal solid waste Because of the urbanization as well as the change of living conditions and habits, the composition of MSW in Hanoi consists of different ratios in which the largest proportion belongs to organic component 3.2.3 Current status of municipal solid waste collecting segment • Parties performing waste collecting segment: Firstly, URENCO Hanoi is a performing party of competitive advantage; the performance of URENCO, however, has not met the demand of MSW of the whole city; Secondly, private companies, environmental services cooperativesư which formed a potential promising group bringing about changes in the market providing MSW collecting services Thirdly, the collecting teams which were formed on the consent of the community; however, due to lack of capital and technical investment, their professionalism and productivity is not high • Results of waste collecting segment: As per the Hanoi Department of Construction, in 2016, the household solid waste collecting rate of the entire city reached the point of 82.5%, equivalent to 5,300 tons per day This rate is relatively high compared to the national average 3.2.4 Current status of municipal solid waste transportation segment Transportation consists of vertical linkage with collecting segment bringing about stable revenue to the services suppliers Transportation services has been encountered with difficulties because the perfomance parties must have sufficient technical equipment and human resource at a certain skilled level to work out the supply At present, only the first two parties (URENCO and companies/Cooperatives) are capable to perform this segment 3.2.5 Current status of the municipal solid waste disposal segment • Parties involved in the waste disposal segment: The number of enterprises participating in this segment is relatively small, resulting in a group monopoly market for the fact that the waste disposal sites required an enormous investment, modern technology and skilled human resources Currently, URENCO has still been the main 11 12 performing party in this segment in the city • Results of the waste disposal segment: Incineration in open or controlled sites have been the main forms of waste disposal in Hanoi At present, the city has household solid waste disposal sites including five landfills and three incineration plants which are mainly invested by the Gorvenment 3.2.6 Current status of municipal solid waste recycling segment • Participating parties: Households, “junk” collectors and “junk” shop are the main parties in this segment • Performance results of waste recycling segment: According to Ferguson (1998), recyclability of MSW in Hanoi is approximately 20% Hanoi is considered to be potential to increase this rate 3.3 Community-based municipal solid waste management model in Hanoi 3.3.1 Socialization - the foundation policy of community-based initiatives Socialization is considered as a proper legitimate viewpoint on social policy system of the Vietnamese Government The first premise laying the groundwork for socialization is the Directive No.36 - CT/TW of the Party Central Executive Committee Since then, community-based initiatives have been formed and spread in a number of urban areas According to the Ministry of Natural Resources and Environment (2009), there are two CBMSWM models that have been implemented quite effectively in Hanoi in particular and in urban areas in general: (i) The model combined between community and enterprises/cooperatives providing environmental services; and (ii) The model of self-organized community with the support of local authorities 3.3.2 Current status of community-based municipal solid waste management model through 02 studies in Hanoi • The model combined between community and environmental services cooperative in Nhan Chinh ward, Thanh Xuan district, Hanoi Figure 3.6: Organizational structure of community-based municipal solid waste management model in Nhan Chinh ward Source: Compiled from investigation results by the author • Self-organized community model with the support of local authorities in Sai Son commune, Quoc Oai district, Hanoi Supervision Community + People's Committee of Nhan Chinh Ward Representatives Result report Thanh Cong cooperative Services Supply Paying Fees Community Feedback on service quality Coordination Commune People's Committee Community Representatives Selection Services Implementer Providing Services Paying Fees Community Figure 3.7: Organizational structure of CBMSWM model in Sai Son commune Source: Compiled from investigation results by the author 3.4 Analysis on the sustainability of community-based municipal solid waste management model through 02 studies in Hanoi 3.4.1 Indicator group on economic aspect • (1) Proportion of fee recovery: In Nhan Chinh, the rate of fee recovery in the collecting segment is quite low with only 0.70 This indicates that if considering only under the market perspective, it is obvious that consumer spending on services is not satisfactory, businesses lose their benefits when supplying this segment in the market In order to solve the problem of income, it is necessary for cooperatives to carry out the segments of waste transportation, waste compaction, etc Provided that all these activities are covered, the fee recovery would be just enough (1.02) However, in the long run, to reinvest and increase service quality, this fee recovery rate has not met the demand In the model of Sai Son, even though the fee recovery rate was approximately (0.997), just sufficient to cover the operating costs of the model, there are potential volatility problems due to the pressure of increasing salary for collectors and reinvesting in items after a long time of use Thus, from the economic aspect, the two models are likely to be unstable and unsustainable • (2) Proportion of households paying fees: The survey results show that the rate of households paying fees in Nhan Chinh and Sai Son is 80% and 86.3%, respectively • (3) Household satisfaction on sanitary fees: The interview results show that the rate of households are satisfied and very satisfied with the relatively high fees in the two study sites with 50% in Nhan Chinh and approximately 60% in Sai Son Although there is a difference in fee collecting methods between these two sites, satisfaction of 50% is a good status indication 3.4.2 Indicator group on social aspect • (1) Creating jobs for local people: Thanh Cong cooperative and the collection team in Sai Son have provided job opportunities to 37 and 28 out of 59 13 14 and 32 employees working in the area • (2) Income of laborers performing collection services: In the Nhan Chinh and Sai Son models, the average income of laborers is 5,100,000 VND per person per month and 1,600,000VND per person per month respectively which are equal to 60-70% monthly income per capita in two areas • (3) Community satisfaction with waste collecting services: The level of satisfaction of Nhan Chinh residents in terms of frequency, timing, and collecting volume is higher than that of residents in Sai Son This originates from the service quality provided by Thanh Cong Cooperative in Nhan Chinh with more advantages than the services provided by the team in Sai Son • (4) Community participation in the municipal solid waste management model - Being informed is the first level of household participation: Over 60% of households in Nhan Chinh and 70% of households in Sai Son regularly receive information on collection and transportation services Up to 15% of households in Nhan Chinh receives notice inconsistently This rate in Sai Son is less with around 12% Being uninformed will greatly affect household compliance with collection regulations - Household participation at the level of consultation: Nearly 70% of households in Sai Son are regularly consulted on MSWM services while that rate in Nhan Chinh is 50% The content of consultation in Sai Son is rather diverse and directly related to the services they use In Nhan Chinh, households said that they were rarely consulted because of the fact that the services were designed in agreement with the Hanoi Department of Construction, Thanh Cong Cooperative and CBOs - Household participation at the level of discussion and comments: The survey results show that 60% of households in Sai Son often discuss and have certain influence in the design/operation of the MSW services This is partly in contrast to the situation in Nhan Chinh where only 33% of households believe that they regularly discuss and exchange information to influence the collecting services - Household participation at the level of co-implementation and sharing responsibilities: There are about 50% of households in Nhan Chinh and Sai Son often strictly adhere to the schedule, rules, timing and paying collection fees as prescribed At times, this compliance could be hampered by infrastructure constraints and other objective factors - Household participation at the level of sharing responsibility and management: While in Sai Son, the community is indeed self-regulators with 33% of households responsible to implementing decisions; related rate in Nhan Chinh is only 20% The self-establishment and self-management role of the community in Nhan Chinh is rather weak because the activities of the municipal solid waste management are deeply influenced by local authorities • (5) Community awareness of the potential impacts of municipal solid waste on health and environment: Being asked about the importance of the solid waste management system, over 70% of households in Nhan Chinh highly appreciate the role of such system However, the rate in Sai Son is merely 50% A better picture of household perceptions has been recorded through statistics on the impact of MSW on health and environment in both two study sites The results show that roughly 80% of households in Nhan Chinh and 60% of households in Sai Son are interested in this issue 3.4.3 Indicator group on environmental aspect • (1) Proportion of municipal solid waste collected: The collection rates of 84.1% and 78.53% in Nhan Chinh ward and Sai Son commune are quite high in comparison with that of the whole country with estimated data of 80% regarding urban areas and 60-70% regarding suburban districts • (2) Proportion of municipal solid waste disposed and dumped: According to Thanh Cong Cooperative, the 90% of total volume of MSW collected in Nhan Chinh was disposed with sanitary landfill technologies In Sai Son commune, data from Xuan Mai Environmental Company indicates that only 60% of the MSW volume was transported to sanitary disposal site in Xuan Son and Son Tay • (3) Proportion of households provided with collecting services: Survey results show that 100% of households in two (2) study sites are provided with and accessible to collecting services • (4) Proportion of households engaged in waste sorting/recycling: According to the survey, the proportion of households involved in the recycling segment of MSW in Sai Son is 34.98%, higher than that of Nhan Chinh (26.70%) 3.4.4 Indicator Group on Institutional/Management aspect • (1) Transparency: In Nhan Chinh, the issue of transparency is clearly expressed in the contract stipulating rights, responsibilities and duties of related parties In the Sai Son model, there is a memorandum of the rights and duties of the parties which yet details the services characteristics that the team must provide That causes difficulties and overlaps for the parties when it comes to their duty performance • (2) Supervision: In the model of Nhan Chinh ward, the supervision mechanism toward services suppliers has been relatively propitious Thanh Cong Cooperative is under the supervision of Ward People's Committee, CBOs and especially the households However, in Nhan Chinh, the supervision mechanism of the regulation compliance of services users (households) has been almost left open In regard to Sai Son commune, the mechanism of supervising services beneficiaries and services suppliers has not been concretized in writing, but only at the level of comments for services suppliers and households in case of violations • (3) Sanction: In the Nhan Chinh model, sanctions for households have been issued; however, sanctions imposed on services suppliers have not yet been established This can be considered as a small weakness in the community services management model in Nhan Chinh In Sai Son commune, sanctions against households and services suppliers in case of violating regulations are left empty This is an enormous obstacle in the model, because without sanction, it is difficult for violators to change their behavior • (4) Conflict Resolving Mechanism: In Sai Son, whenever there is conflicts between related parties, the CBOs will be in charge of coordinating and settling disputes In regard to Nhan Chinh model, the conflict self-resolution mechanism in the community is relatively apparent Authorities have a voice, reputation and responsibility to regulate conflicts in the model • (5) Documentation system supporting community-based management: - National Laws/Strategies on Solid waste management: (i) Amended Law on Environmental Protection in 2014; (ii) Decree No.38/2015/NĐ-CP on “Waste and Junk Management”; (iii) “National Strategy of Integrated Solid Waste Management until 2025 with a vision to 2050” - Government Laws/Documents encouraging the participation of private 15 enterprises and community in environmental protection: (i) Decree No 69/2008/NĐCP; (ii) Decree 59/2014/NĐ-CP of the Government; (iii) Law on Environmental Protection of Vietnam in 2014 - The Government agency is responsible for the implementation, coordination and settlement of solid waste management: The duty of solid waste management would be performed by the cooperation of Ministry of Natural Resources and Environment, the Ministry of Construction and the Ministry of Health In addition, the Ministry of Finance, the Ministry of Planning and Investment, the People's Committees of the cities, districts and communes are also in charge of coordinating implementation - Specific regulations on community-based solid waste management: So far, the Government has not issued any specific legal documents defining the role of the community in the solid waste management system in general and the municipal solid waste management system in particular 3.5 Calculation testing the intergrated sustainable index of two community-based community-based solid waste management models in Hanoi 3.5.1 Calculation of separate index: With the methodology presented in Chapter 2, the first step in calculation is to standardize the norms to convert the index with different units to the same numeraire in terms of (0; 1) 3.5.2 Calculation of component index The component index of economic, social, environmental, and institutional/managerial factors are calculated by the simple average formula which means that each indicator is equally important to the sustainable development Table 3.17: Component index of the municipal solid waste management models in Nhan Chinh ward and Sai Son commune The model of The model Index Nhan Chinh of Sai Son Economic index 0.595 0.586 1.1 Proportion of fee recovery 0.480 0.402 1.2 Proportion of households paying fees 0.821 0.863 1.3 The suitability of the fees 0.485 0.494 Social index 0.605 0.629 2.1 Employment opportunities for local people 0.627 0.875 2.2 Generating income for the people 0.448 0.429 2.3 Community participation in municipal solid waste management 0.551 0.627 2.4 Community awareness of municipal solid waste effects 0.766 0.665 2.5 Quality of municipal solid waste management services 0.634 0.550 Environmental index 0.752 0.684 3.1 Proportion of municipal solid waste collected 0.841 0.785 3.2 Proportion of municipal solid waste disposed/dumped 0.900 0.600 3.3 Proportion of households provided with collecting services 1.000 1.000 3.4 Proportion of households engaged in waste recycling 0.267 0.350 Institutional/managerial index 0.750 0.550 4.1 Transparency 1.000 1.000 4.2 Supervision 0.500 0.000 4.3 Sanction 0.500 0.000 16 4.4 Conflict Resolution Mechanism 1.000 1.000 4.5 Legal documents system supporting community-based management 0.750 0.750 Source: Compiled from study results by author 3.5.3 Calculation of intergrated sustainable index Figure 3.8: Integrated sustainable index of the municipal solid waste management models in Nhan Chinh ward and Sai Son commune Source: Compiled from study results by author • The model of community-based municipal solid waste management models in Nhan Chinh ward: With the index of 0.752, the model of community services management in Nhan Chinh has peaked the highest environmental sustainability This resulted from the absolutely positive results of the component index The rate of collection, the rate of solid waste disposed in high-level sanitary landfills is a pleasing indicator of the effectiveness that the model brought about in the environmental viewpoint The second sustainable aspect of the Nhan Chinh model is of institutional/ managerial Analytical results demonstrate that the model is highly transparent and the rights, duties and tasks of each party are clearly defined, allowing the model to operate effectively The results of the index calculation also show the “dark side” of the MSW management model in Nhan Chinh ward, which belongs to the social and economic aspect On the social side, despite the advantages of job creation for local labourers, there have been two indicators showing the unsustainability as (i) income of labourer and (ii) community participation in the MSW management At the trough of the most unsustainable position in the model of Nhan Chinh ward is the economic aspect with a component index of 0.595 in which the proportion of fee recovery is the factor causing the unsustainability • The model of community-based municipal solid waste management models in Sai Son commune: 17 18 Environmental sustainability is a bright spot in the picture of the CBMSWM model in Sai Son High collection rate compared to that of suburban areas with 100% of households provided with collecting services and the high rate of households involved in recycling are positive factors showing that the model performs effectively in terms of environment The second factor contributing to sustainability is the social aspect This is the result from impressive contribution of two indicators namely “employment opportunities for local people” and “people perceptions” However, the social aspect in Sai Son also contains unsustainable factor as the service quality The largest weakness in the model of Sai Son is the lack of institutional sustainability which is due to the fact that the model has no supervision and sanction system This situaion, therefore, can lead to a range of challenges in controlling the quality of services provided and the compliance of services users 3.6 Evaluation on the willingness of the households to improve the quality of municipal solid waste services 3.6.1 Statistics describing the survey samples in two study sites With the scale of 358 households surveyed in Nhan Chinh, the average willingness to pay (WTP) of households was 35,000 VND/household/month Average income of household per month is VND 21,100,000 per month According to the survey, the average years of schooling of the householders was 8.98 years, the average age of the respondents was 35.63 and the number of female respondents was 42% In the study site of Sai Son, the survey results indicate that the average WTP of households is 25,000 VND / household/month The average household income is 9,799,000 VND/month (logarith 9,19) The average number of years of schooling of interviewees was 7.01 In the sample, 51% of respondents was female with the average age of respondents being 40.97 3.6.2 Model estimation results Table 3.21: Result of willingness to pay model estimation General Sai Son Nhan Chinh VARIABLES model model model Standard errors in parentheses *** p