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AN EXAMINATION OF VIETNAM’S URBAN WASTE MANAGEMENT CAPACITY

by Adam D. Watson

A research paper submitted in conformity with the requirements for the degree of Master of Arts

Graduate Department of Geography & Institute for Environmental Studies
University of Toronto

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CONTENTS

Abstract

List of Tables and Figures

List of Acronyms

Chapter One: Introduction

Chapter Two: Capacity Building for the Provision of Public Services

Capacity of individuals to perform job tasks
Structure of the organization and task networks
Institutional context of the public sector and expansion of the task network
Decentralization as a means of increasing capacity
Research Questions

Chapter Three: Environmental Protection & Waste Management Capacity in the Vietnam Context

Present state of municipal solid waste management in major Vietnamese cities
Responsibilities for solid waste management in Vietnam
The development of environmental legislation in Vietnam
Capacity strengths and weaknesses in Vietnam’s waste management sector
Capacity building through waste management policy
Inter-agency cooperation
Fiscal and administrative decentralization in Vietnam

Chapter Four: Methodology

Literature review
Key informant interviews
Written questionnaires
Limitations

Chapter Five: Results & Analysis

Human Resources Capacity
. Job retention
. Adequate training
. Adequate technical assistance
Funding
Policy awareness & implementation
Inter-agency and intra-policy cooperation
. Jurisdictional authority
Decentralization of waste management authority
. Support for specific decentralized waste management initiatives

Chapter Six: Discussion & Recommendations

Implications for MONRE
Areas for Further Research

References

Appendix 1
Questionnaire for Waste-Econ training course participants
Strategy for Management of Solid Waste in Vietnamese Cities and Industrial Parks Till the Year 2020
Interview questions for government agency representatives

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ABSTRACT

Capacity building has long been a central focus in the debate around the provision of public services in developing countries. My research examined previously unexplored capacity strengths and weaknesses in urban solid waste management in Vietnam. Through interviews and a questionnaire survey of representatives from various agencies at different levels of government, I identified several key institutional capacity issues. Consistent with the capacity-building literature, financial and human resources and inter-ministry cooperation were found to be important limiting factors in the effectiveness of the waste management sector. In addition, the majority of respondents supported decentralization of national government authority by increasing various forms of local level involvement in waste management. I conclude by discussing the implications of these findings in light of the recent reorganization of state environmental management in Vietnam.

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CHAPTER ONE:
INTRODUCTION

The capacity for governments in lesser-developed countries to provide adequate environmental services in urban areas has been studied extensively in the development and public administration literature (Grindle, 1997; Friere & Stren, 2001). Capacity building has also become an important focus of international development conferences (UNDP, 1992) and multilateral development agencies such as the World Bank. The identification of the key capacity constraints faced by government, identification of the appropriate public sector groups to be targeted and the best methods of achieving improvements in capacity have been some of the important areas focused on by capacity building practitioners.

The adequate provision of urban environmental services, including waste management, has been one of the many focuses of capacity building initiatives (Grindle, 1997; Friere & Stren, 2001). Due to a rapid rate of economic development and urbanization, public sector agencies in developing nations, such as Vietnam, have faced increased strain on their ability to provide the necessary level of environmental services for its citizens. Over the past decade, Vietnam has seen the generation of municipal solid waste increase substantially, while the capacity to effectively collect these wastes has not kept pace.

Inadequate human resources, financial and administrative capacity have been recognized by numerous agencies within the Vietnamese government (Socialist Republic of Vietnam, 1993, 1997a, 2001), and policies and projects have been proposed to overcome these capacity weaknesses (Socialist Republic of Vietnam, 1997c, 1999 & 2001). Central to these initiatives has been the passage of national waste management strategies, which have identified key capacity weaknesses, proposed short and long-term waste management targets, and attempted to define the roles and guide in the collaboration of pertinent government agencies involved in the provision of waste management services.

Through the use of key informant interviews, written questionnaires and document analysis, this study investigates the present state of Vietnam’s urban waste management capacity and evaluates stakeholders’ opinions on the potential for alternative waste management approaches to overcome the existing capacity constraints. Using the capacity framework developed by Hildebrand & Grindle (1997), key issues were identified within each of the capacity areas studied. These include job retention, training and education and access to technical assistance as determinants of human resources capacity. With regards to financial capacity, the present system of budget allocation, waste management funding levels, and the current state of fee collection for waste management services in urban areas were investigated. Administrative capacity comprised the largest component of the study with a focus on the present state of Vietnam’s national waste management policy and its implementation. The evaluation of policy implementation also focused on capacity constraints that have affected its intended outcomes. Specifically, the existing waste management policies and present state of inter-agency cooperation on waste management issues were evaluated.

In addition to evaluating the present state of waste management capacity, this study also explored the potential for decentralization of waste management authority to both subnational government agencies, as well as increasing the level of engagement of local non-state actors in Vietnam. Projects initiated by national or subnational government agencies, which seek to increase the involvement of provincial/city government, as well as promote the role of community-based organizations, the informal waste sector, and private waste collection companies, are a potential means of overcoming some of the capacity constraints identified within urban areas.

Findings from this study highlight several key capacity issues and potential means for addressing present capacity constraints. These findings are presented along with a discussion of the implications in light of the recent transition of state environmental management in Vietnam.

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CHAPTER TWO:
CAPACITY BUILDING FOR THE PROVISION OF PUBLIC SERVICES

In recent years, development programs targeting improvements in the provision of public services in developing countries have increasingly focused on the capacity of state and non-governmental agencies to effectively carry out their responsibilities (Hildebrand & Grindle, 1997). Capacity building, defined as “improvements in the ability of public sector organizations, either singly or in cooperation with other organizations, to perform appropriate tasks” (Hilderbrand and Grindle, 1997; 34), has therefore become a prominent issue for both domestic governments and external aid agencies. The capacity framework of Hilderbrand & Grindle (1997) is used as a guide for this study, as it explicitly outlines capacity issues that are pertinent to Vietnam’s waste management sector.

Hilderbrand & Grindle’s framework outlines an ascending hierarchy of five factors that affect the capacity of an institution to deliver public services. These include;

1) the capacity of individuals to perform their job tasks;
2) considerations of the structure and culture characteristics of the organization and its leadership;
3) the task network of inter-organizational relations;
4) the institutional context of the public sector; and
5) the influence of the overall economic and political environment on a specific service sector. This study incorporated aspects of all five of these factors, but was adapted to focus closely on the first three factors in this hierarchy to increase the feasibility of the study.

The following sections outline key capacity issues pertinent to urban solid waste management in Vietnam and provides the rationale for including each of these themes in my research study. To assess the overall capacity of Vietnam’s waste management sector to provide adequate service in urban areas, both key institutional and human resources capacity issues are identified and evaluated.

The Capacity of Individuals to Perform Job Tasks

Environmental capacity building initiatives have not only stressed the importance of organizational and institutional strengths, but also the abilities of agents, the role of human capital, technical expertise and functional skills needed to carry out environmental protection measures (OECD, 1995, Janicke, 2002). Strengthening the efficacy of environmental protection through capacity building has therefore focused increasingly on improving the skills of individuals through various forms of training (Grindle, 1997). Babu (2000) highlights the importance of training programs to increase capacity for environmental policy analysis in developing nations. The importance of human resources capacity is also shared by Hirschman (1993) who claims that sustainable policy analysis capacity cannot be achieved without strengthening the ability of institutions and employees to carry out policy initiatives.

Structure of the Organization and Task Networks

The second factor in Hilderbrand and Grindle’s capacity framework is to consider the structure and culture characteristics of the organization and its leadership. For the purpose of this study, it was more important to examine how the structure of the organization relates to its task networks on a broader scale, both of which are key elements of institutional capacity. Thus, the framework was adapted to combine these factors. In evaluating Vietnam’s institutional capacity for waste management it was necessary to look at this through exploring four distinct, yet interrelated issues: the present level of cooperation between government agencies charged with waste management responsibilities; the present state of Vietnam’s solid waste management policy; efforts undertaken for its implementation and the level of cooperation between its implementing agencies; and the level of municipal government financial and decision-making autonomy for determining appropriate waste management options for their area.

In evaluating the first two institutional capacity issues, the concept of intra-policy cooperation will be utilized. Defined as “the internal coordination of environmental policy at different levels and jurisdictions within the political system” (Janicke, 2002, p. 10), the importance of a cooperative policy environment is seen as a prerequisite for effective policy integration into existing environmental protection practices (Janicke, 2002). Furthermore, in relation to capacity building, initiatives to improve intra-policy cooperation need to be undertaken to develop and strengthen networks and clusters in a broader policy environment, rather than focusing on a specific organization (Jackson & Gariba, 2002). Doberstein (2001) further supports this idea in relation to capacity building in Vietnam’s environmental assessment sector, claiming that capacity building should not be restricted to individual ministries and institutions, but rather the full range of actors, if fundamental improvements are to be achieved.

In order to gauge the level of policy cooperation specifically, and the extent of inter-agency cooperation in Vietnam’s waste management sector more generally, it is important to determine some of the major impediments to cooperation and coordination within government ministries. Efforts to design and implement sound environmental policy can generally be impeded by a lack of adequate government capacity (Babu 2000). More specifically, Jackson & Gariba (2002) claim that different organizational cultures, rigid attitudes of bureaucrats, and a traditionally insular organizational approach are major factors that inhibit effective cooperation between national level bodies. Furthermore, Crosby (1996) states that an important obstacle to effective policy design and implementation is that it:
“…requires collaboration of several institutions, but coordination is difficult and not particularly attractive. Officials may be asked to give up some degree of control over scarce resources and their organization’s activities to achieve a goal for which the coordinator will receive credit.”(p. 1407)

However, regardless of difficulties of ensuring institutional cooperation, effective policy implementation depends on the complementary actions of all involved agencies as well as the sharing of information and resources, which are commonly in short supply in developing nation governments (Crosby, 1996).

An important factor when assessing the level of policy cooperation is the issue of fragmentation. Fragmentation may result when individual ministries possess a degree of sovereignty within their operations, but where potentially conflicting operations and/or overlap with other related ministries exist (Sinkule & Ortolano, 1995). This may lead to a lack of coordination between related ministries responsible for implementing policy, resulting in ineffective implementation efforts (Sinkule & Ortolano, 1995). Also, fragmentation can result because central government decisions are followed to varying degrees in different regions of the country and are subject to local interpretation and modification (Sinkule & Ortolano, 1995).

Institutional Context of the Public Sector and Expansion of the Task Network

Sub-national government autonomy, including the ability to form partnerships with local non-state actors is seen for the purposes of this study as a combination of Hilderbrand & Grindle’s third factor, the task network with the fourth factor, the institutional context of the public sector. Expanding the task network refers to the set of organizations involved in providing public services, as well as the level of cooperation between government and non-governmental organizations and the private sector. In addition, an important component of the capacity of the waste management sector is decentralization, one component of which is the level of autonomy that subnational government actors have in establishing their own task networks.

Jorgensen & Jakobsen’s (1994) study of MSWM systems in four European and African countries documents important waste management policy inadequacies, and makes recommendations which are especially pertinent to Vietnam’s recent policy initiatives. Specifically, they state that new legislation objectives and standards must be matched to the available financial and human resources of the municipalities, and be introduced with a realistic time schedule, which is sensitive to the municipality’s capacity for implementation. By neglecting these considerations, a culture of non-compliance with environmental directives can develop, as well as creating resentment and frustration at the local-level. Therefore, in the case of Vietnam it is important to assess the degree to which individual cities have discretion in choosing waste management options, which are sensitive to the diverse social and economic realities throughout urban areas of the country.

Decentralization as a Means of Increasing Capacity

There is an extensive body of literature surrounding the decentralization of public services in developing nations, which is informative in determining the potential advantages and shortcomings in increasing sub-national government autonomy in waste management. Decentralization of central government authority to lower levels of government has received widespread attention as a predominant means of achieving effective administrative reform in the development and capacity building literature (Cohen & Stevenson, 1999). The rationale for decentralization has been attributed to the disillusionment with the results of central planning, and the recognition that development is a complex process, which cannot be effectively managed at the central level (Rondinelli & Cheema, 1983). More specifically, Cohen & Peterson (1999) highlight the widely held view that the centralized state lacks adequate capacity to provide the necessary level of urban governance and public services needed in developing countries.

The relationship between institutional capacity and decentralization has been explored extensively in the literature, with often opposing viewpoints. The conflicting views surrounding the efficacy of decentralization efforts has commonly been centered around the proponents’ theoretical rationale for decentralization, and opponents’ extensive case study evidence documenting decentralization failures (Jackson & Gariba, 2002, Turner, 2002). The theoretical argument sees a multitude of potential benefits from increasing local government, civil society and private sector involvement for providing public services in a more cost effective and responsive manner, while alleviating the administrative burden of the central government (Rondinelli & Cheema, 1983; Cohen & Stevenson, 1999). Furthermore, within the field of policy development and analysis, decentralized policy planning has been seen as an improved method of designing and implementing locality-specific environmental protection measures (Babu et al., 1996).

Most criticisms of decentralization cite the difficulty in transferring this theoretically sound idea to practice. Unsuccessful implementation principally stems from ill-designed reform initiatives which did not ensure adequate technical capacity, funding and accountability of lower level governments, all seen as necessary preconditions for transferring power from the center to the periphery (Rondinelli & Cheema, 1983; Larson, 2002; Jackson & Gariba, 2002).

In the area of fiscal decentralization Rao (2003) argues that in order for decentralization to be effective, it must be extended to the lowest possible government level. However, in order to ensure the potential benefits of increasing subnational financial powers, it is important to develop appropriate institutions at these levels, as well as build the appropriate level of capacity within these institutions.

Research Questions

In light of the current research on the human resources, financial and administrative capacity issues, and utilizing Hildebrand and Grindle’s capacity framework (1997), four major research questions are addressed in this study:

• What is the present state of capacity within Vietnam’s waste management sector, and what efforts have been employed to increase this capacity?

• What are the main institutional and human resources capacity constraints in the waste management sector, and what can be done to overcome these limitations?

• What is the present level of institutional, and specifically policy, cooperation within the various state agencies responsible for waste management in urban areas and what are the key limitations to improving the level of cooperation?

• What financial and administrative alternatives have been, or could be, pursued by Vietnam to increase its waste management capacity in urban areas?