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Preliminary social impact assessment for the
proposed involvement of Waste for Life in the
Western Province of Sri Lanka
Toby Stephen
Supervisors: Winthrop Professor Caroline Baillie & Randika Jayasinghe
School of Environmental Systems Engineering
Faculty of Engineering, Computing and Mathematics
The University of Western Australia
June 2012
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This thesis is presented in partial fulfilment of the requirements of the Bachelor of Engineering
(Environmental) at The University of Western Australia.
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Abstract
Waste pickers are workers within the informal sector who collect, clean and sell discarded
recyclable waste gathered from open dumpsites, streets and various other locations. The
current flow of materials from seller to buyer is inherently limiting because waste pickers can
only sell directly to middlemen from whom they obtain enough income to barely survive.
Despite these unfavourable conditions faced by waste pickers, who create intangible
economic and environmental benefits from their recycling activities, they remain one of the
most invisible, socially marginalised groups within the Western Province of Sri Lanka.
Waste for Life (WfL) is a not-for-profit organisation which aims to develop and apply
poverty-reducing solutions to waste problems in order to improve the livelihoods of such
individuals. This has been achieved in Buenos Aires, Argentina, where a low-cost
manufacturing machine called a hotpress has been implemented to convert recovered plastics
and fibres into composite (reinforced plastic) material products to sell in order to assist local
waste pickers to become more autonomous. WfL is currently investigating the potential for a
similar composite-based project in the Western Province.
Historical criticisms of such development projects imply an intrinsic Western bias that fails to
embody the needs and concerns of those affected most. In this study a critical social impact
assessment methodology is adopted to highlight the positive and negative impacts that could
arise through WfL’s involvement in the Western Province. The use of previous assessments
coupled with the attainment of primary data aims to counter this Western bias by remaining
cognisant of asymmetries of privilege and status that may exist.
Qualitative data was acquired from waste experts and members of the informal sector through
various interviews and questionnaires. Analysis of the data reveals a total of 51 potential
social impacts, of which 40 were deemed positive and 11 negative. Each impact was assessed
based on a set of criteria developed which was deemed to best suit local needs, with
mitigative techniques identified and recommended for each potentially negative impact.
Results of the study indicate a strong willingness to participate from all interviewees with
recommendations including a thorough market analysis and further profiling to be completed
regarding location and suitability of the potential beneficiary.
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Acknowledgments
I would firstly like to thank my supervisors, Caroline Baillie and Randika Jayasinghe, for
their untiring assistance and patience throughout the project. Each contributed significant
first-hand knowledge, advice and support and provided nothing but encouragement and
constructive feedback. Caroline provided unique insight into Waste for Life and the
importance of framing the study through a social justice lens. Randika was an invaluable
source of local knowledge and I thank her for the constant support, the obtaining of data and
the translations provided.
I would also like to acknowledge the guidance provided by staff members from the School of
Environmental Systems Engineering, particularly Rita Armstrong who was instrumental to
my understanding of post-development theory among many other things.
To SESE friends, thanks for the support and good times along the journey.
Finally to my parents, Graeme and Julie, thank you for your endless support throughout my
time spent at university and for being unfailing sources of constructive feedback, criticism
and direction.
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Contents
Abstract ...................................................................................................................................... 3
Acknowledgments ...................................................................................................................... 4
List of Figures ............................................................................................................................ 9
List of Tables .............................................................................................................................. 9
Abbreviations ........................................................................................................................... 10
1. Introduction .......................................................................................................................... 11
1.1 Project Aims ................................................................................................................... 12
2. Literature Review ................................................................................................................. 13
Social Impact Assessment ........................................................................................................ 13
2.1 Introduction to SIA ......................................................................................................... 13
2.2 Conventional SIA Limitations ....................................................................................... 14
2.3 Technocratic and Participatory Approaches .................................................................. 16
2.4 Defining and Assessing Social Impacts ......................................................................... 18
2.5 Comparison of Methodologies ....................................................................................... 21
2.6 Benefits of SIA ............................................................................................................... 23
2.7 Sources of Information ................................................................................................... 24
2.7.1 Expert Judgment ...................................................................................................... 25
2.7.2 Local Knowledge .................................................................................................... 25
2.7.3 Errors ....................................................................................................................... 26
2.7.4 Lack of Quantitative Data ....................................................................................... 26
Study Area ................................................................................................................................ 27
2.8 The Western Province, Sri Lanka .................................................................................. 27
2.8.1 Current Waste Management Profile ........................................................................ 30
2.8.2 Informal Waste Collection ...................................................................................... 30
2.8.3 Formal Waste Collection ......................................................................................... 36
2.8.4 Legislation ............................................................................................................... 40
Waste for Life and Post-Development Theory ........................................................................ 42
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2.9 About Waste for Life ...................................................................................................... 42
2.9.1 Principles of WfL .................................................................................................... 42
2.9.2 Materials Selection .................................................................................................. 44
2.9.3 Manufacturing Equipment ....................................................................................... 44
2.9.4 WfL and the Western Province ............................................................................... 44
2.10 Social Justice and Post-Development Theory .............................................................. 45
3. Approach and Methodology ................................................................................................. 47
3.1 Approach ........................................................................................................................ 47
3.2 Methodology Development ............................................................................................ 48
3.3 Description of Steps ....................................................................................................... 52
3.3.1 Scoping .................................................................................................................... 52
3.3.2 Establish Policy Objectives ..................................................................................... 53
3.3.3 Profiling ................................................................................................................... 54
3.3.4 Understanding Transmission Channels ................................................................... 55
3.3.5 Assess Institutions ................................................................................................... 56
3.3.6 Projection of Impacts .............................................................................................. 57
3.3.7 Estimate Indirect and Cumulative Impacts ............................................................. 57
3.3.8 Impact Assessment .................................................................................................. 57
3.3.9 Assess Risks ............................................................................................................ 60
3.3.10 Evaluation .............................................................................................................. 60
3.3.11 Mitigation .............................................................................................................. 61
3.3.12 Report Findings ..................................................................................................... 61
3.4 Data Collection ............................................................................................................... 62
4. Results .................................................................................................................................. 65
4.1 Scoping ........................................................................................................................... 65
4.2 Establish Policy Objectives ............................................................................................ 65
4.3 Profiling .......................................................................................................................... 66
4.3.1 Stakeholder Analysis ............................................................................................... 66
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4.3.2 Social Profiling ........................................................................................................ 67
4.3.3 Economic Profiling ................................................................................................. 75
4.4 Understanding Transmission Channels .......................................................................... 76
4.5 Assess Institutions .......................................................................................................... 78
4.6 Projection of Impacts ..................................................................................................... 79
4.7 Estimate Indirect and Cumulative Impacts .................................................................... 82
4.8 Impact Assessment ......................................................................................................... 83
4.9 Assess Risks ................................................................................................................... 88
4.10 Evaluation ..................................................................................................................... 88
4.11 Mitigation ..................................................................................................................... 89
4.11.1 Decrease in Income ............................................................................................... 89
4.11.2 Disintegration of Existing Co-operative ............................................................... 89
4.11.3 Decrease in Social Standing .................................................................................. 89
4.11.4 Misuse of Microloan/Credit .................................................................................. 90
4.11.5 Decrease in Government Support ......................................................................... 90
4.11.6 Exploitation of Co-operative ................................................................................. 90
4.11.7 Misuse of Increased Income .................................................................................. 90
4.11.8 More Travel Distance ............................................................................................ 90
4.11.9 Injuries from Hotpress ........................................................................................... 91
4.11.10 Low Market Demand for End Product ................................................................ 91
4.11.11 Abandonment of WfL Project ............................................................................. 91
4.12 Report Findings ............................................................................................................ 91
5. Discussion ............................................................................................................................ 93
5.1 Assumptions ................................................................................................................... 93
5.2 Limitations ..................................................................................................................... 95
5.2.1 Time/Resource Constraints ..................................................................................... 95
5.2.2 Lack of Quantitative Data ....................................................................................... 95
5.2.3 Conservative Approach ........................................................................................... 95
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6. Conclusions .......................................................................................................................... 96
7. Recommendations ................................................................................................................ 98
8. References ............................................................................................................................ 99
Appendix A – Omitted Assessment Steps.............................................................................. 104
Appendix B – Summary of Audio Interviews ........................................................................ 106
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List of Figures
Figure 1: Map of Sri Lanka and the Western Province (Department of Census and Statistics,
Colombo 2005) ......................................................................................................................... 27
Figure 2: Population density of Sri Lanka (Department of Census and Statistics n.d.) ........... 29
Figure 3: Poverty map of Sri Lanka (Department of Census and Statistics n.d.) .................... 29
Figure 4: Hierarchy of informal sector recycling (Adapted from Wilson et al. 2006) ............ 31
Figure 5: Quantities of MSW handled daily by an individual labourer (Mannapperum &
Basnayake 2007) ...................................................................................................................... 37
Figure 6: Formal and informal elements of Colombo’s SWM system (Van Horen 2004) ...... 39
Figure 7: Fundamental principles for SIA (Adapted from Vanclay 2003) .............................. 51
Figure 8: Profiling considerations (EESC 2010)...................................................................... 54
Figure 9: Map of recyclers and co-operative locations (Google Inc 2012) ............................. 78
Figure 10: Theoretical time of impact occurrence ................................................................... 81
List of Tables
Table 1: Comparison of technical and participatory approaches to SIA (Fenton 2005) .......... 17
Table 2: Summary of key principles for assessing social impacts (Newcastle City Council
1999) ......................................................................................................................................... 18
Table 3: Comparison of Interorganizational Committee social assessment variables ............. 19
Table 4: General methodology for social impact assessment (Wolf 1983) ............................. 22
Table 5: Unemployment rate by age group and gender (Department of Census and Statistics
2009) ......................................................................................................................................... 29
Table 6: Ways of adding value to recovered waste materials (Wilson et al. 2006) ................. 34
Table 7: Recovered materials, quantities and prices from the Katunayake dump yard
(Jayasinghe et al. 2009) ............................................................................................................ 35
Table 8: Distribution of councils and populations of the districts within the Western Province
(CLGF n.d., except #
from Department of Census and Statistics, Colombo 2005) .................. 36
Table 9: Summary of steps employed in SIA methodology (Kent 2010) ................................ 48
Table 10: Transmission channels and details (Adapted from Kasmann 2009) ........................ 56
Table 11: Impact criteria and classification (Adapted from Kent 2010, Vanclay 1999) ......... 59
Table 12: Informal sector participant information ................................................................... 63
Table 13: Franklin plot for WfL in the Western Province ....................................................... 66
Table 14: Informal sector profiling interview .......................................................................... 70
Table 15: Informal sector product opinion interview ............................................................... 74
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Table 16: Identification of transmission channels .................................................................... 77
Table 17: List of social impacts and associated considerations ............................................... 84
Table 18: Negative impact classification ................................................................................. 88
Abbreviations
CBO – Community-Based Organisation
CEA – Central Environmental Authority
CMC – Colombo Municipal Council
LA – Local Authority
MC – Municipal Council
MSW – Municipal Solid Waste
NGO – Non-Government Organisation
PS – Pradeshiya Sabha
SIA – Social Impact Assessment
SWM – Solid Waste Management
UC – Urban Council
WfL – Waste for Life
WPC – Western Provincial Council
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1. Introduction
Solid waste management in the Western Province of Sri Lanka has increased significantly due
to rapid economic growth experienced in recent times (UNEP 2001), and current disposal
practices are unable to cope with the increased waste associated with affluence. While waste
management is still a function of the Local Authorities within the Western Province, many
struggle to meet the bludgeoning demand for waste collection which is aggravated by illegal
dumping and a lack of basic waste separation techniques at household level. Resource
recovery has been practiced informally for some time in the Western Province whereby
scavengers or waste pickers collect discarded items and sell them to waste buyers (Bandara
2008). While the valuable role of waste pickers is recognised for its environmental and
economic contribution (Moreno-Sanchez & Maldondo 2006), they remain some of the most
vulnerable members of society and confront harassment and marginalisation while enduring
exceedingly unfavourable working conditions. The laborious efforts of waste pickers are often
unrewarded due to the exploitative nature of waste buyers or middlemen who “claim the
additional value potential if the collected waste materials are developed into end-consumer
products” (Baillie et al. 2011, p5).
Waste for Life (WfL) is a multi-disciplinary, international network of professionals and
students which aims to develop and apply poverty-reducing solutions to waste problems
(Baillie et al. 2010). Engineers play a key role in this group through the design of low-cost
technologies to convert potentially harmful materials with very low value to higher-value
products, improving the livelihoods of some of the poorest members of society (Baillie et al.
2010). WfL is investigating how to assist waste pickers to become more autonomous and
economically self-sufficient by processing the waste they collect prior to selling to a
middleman, from which they can obtain enough money to survive only (Perera 2003).
Ideas of modernisation and development have come under scrutiny (Sachs 1992, Ferguson
1994) as a result of their western bias towards industrialisation and subsequent attempts to
meet ‘local needs’ through feeble offerings of knowledge, technology and money. Despite a
spate of development projects aimed at both industry and agriculture in the so-called ‘third
world’, the divide between rich and poor nations has increased rather than decreased (Sachs
1992). To this extent, WfL operates under more of a post-development framework because its
focusses on improving livelihood and autonomy by addressing real local needs through
community involvement and empowerment processes rather than attempting to impose
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western modules of ‘sustainable development’ which have the potential to negatively impact
on society and the environment.
Social Impact Assessment (SIA) is the process of estimating, in advance, the likely social
impacts to arise from a proposal such as that of WfL (Barrow 2000). By gaining a
comprehensive understanding of the social arena in question, WfL proposes to implement a
similar project in the Western Province to those it has undertaken in Maseru (Lesotho) and
Buenos Aires (Argentina). As with these previous cases, the potential involvement with
communities in the Western Province must be done so in a way that is cognisant of
asymmetries of privilege and status (Baillie et al. 2010), and which gives foremost priority to
the ‘development’ of human potentials through education and creation of self-autonomy.
1.1 Project Aims
An investigation of the potential social impacts of a WfL option in the Western Province of
Sri Lanka is the major motivation for this study. The specific aims are:
1. To investigate and predict the social impacts of a proposed WfL program in The Western
Province on all stakeholders, including individuals, groups and potentially involved
organizations; and
2. To develop recommendations based on the outcomes of these social impacts in a manner
that is consistent with the fundamental principles and objectives of WfL.
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2. Literature Review
Social Impact Assessment
2.1 Introduction to SIA
Social Impact Assessment (SIA) is the measurement and projection of social impacts arising
from a proposed project or development (Becker at al. 2001). Social impacts include all social
and cultural consequences to human populations of any public or private actions that alter the
ways in which people live, work, play, relate to one another, organise to meet their needs, and
generally cope as members of society (Burdge and Vanclay 1995). SIA has gradually
unfolded into a type of policy orientated social research that is applied in all sectors of society
(Becker et al. 2001).
It was originally seen as being the ex-ante prediction of the negative social impacts of a
planned intervention or development proposal within a regulatory framework (Vanclay
2005a), although it was considered that this understanding of SIA was inherently limiting in
that it presumed an adversarial regulatory system (Vanclay 2002, 2005b). Awareness of the
limitations of this traditional SIA approach has been growing in the discipline (Vanclay
2005a) and the definition of SIA has gradually changed to “the process of analysing,
monitoring and managing the unintended social consequences, both positive and negative, of
planned interventions (policies, programs, plans, projects) and any social change processes
invoked by those interventions (IAIA 2003, p2). Further, in the new understanding of SIA, the
goal is to bring about a more ecologically, socio-culturally and economically sustainable and
equitable environment (Vanclay 2005a).
In attempting to address the notion of who wins and who loses (Burdge & Vanclay 1995,
Kent 2010), SIA should also provide direction in:
• Understanding, managing and controlling change;
• Predicting probable impacts from change strategies or development projects that
are to be implemented;
• Identifying, developing and implementing mitigation strategies in order to
minimise potentially negative social impacts;
• Developing and implementing monitoring programs to identify unanticipated
social impacts that may develop as a result of the social change;
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• Developing and implementing mitigation mechanisms to deal with unexpected
impacts as they develop; and
• Evaluating social impacts caused by earlier developments, projects, technological
change, specific technology, and government policy.
Since the focus of SIA is not only to mitigate negative or unintended outcomes but to take a
proactive stance to development and improving development outcomes, this direction can be
applied to a wide range of projects and interventions, although it must remain dynamic
enough to adapt to the subsequent social environment and processes affecting it, which are
forever changing (Vanclay 2003). Instigating SIA in the early conceptual stages of a proposal
is often advantageous as it can minimise costs and enhance the benefits for communities and
developers alike (The Interorganizational Committee 1994; Lane et al. 1997).
2.2 Conventional SIA Limitations
Despite the positive intentions of SIAs, they have been historically critiqued for having “a
regulatory compliance mindset, rather than a social development approach”, and “a focus on
individual property rights (do no harm), rather than a goal-oriented approach concerned about
social development (do good)” (EESC 2010, p32). Fenton (2005) also acknowledges that
while SIAs are well needed in many planning and development contexts, they are often little
more than descriptive profiles of communities based on analysis of secondary data.
Measurability is never exact and a mixed methods approach in SIA, as in most social
research, is useful to compensate for each method’s weaknesses (EESC 2010). In attempting
to combine the shortcomings of SIAs, The Interorganizational Committee (2003, p233)
outlined six principles which inform a total of 16 guidelines:
Achieve extensive understanding of local and regional settings to be affected by the action or
policy.
- Identify and describe interested and affected stakeholders and other parties;
- Develop baseline information (profiles) of local and regional communities;
Focus on key elements of the human environment.
- Identify the key social and cultural issues related to the action or policy from the community
and stakeholder profiles;
- Select social and cultural variables which measure and explain the issues identified;
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Identify research methods, assumptions and significance
- Research methods should be holistic in scope, i.e. they should describe all aspects of social
impacts related to the action or policy;
- Research methods must describe cumulative social effects related to the action or policy;
- Ensure that methods and assumptions are transparent and replicable;
- Select forms and levels of data collection analysis which are appropriate to the significance
of the action or policy;
Provide quality information for use in decision-making
- Collect qualitative and quantitative social, economic and cultural data sufficient to usefully
describe and analyse all reasonable alternatives to the action;
- Ensure that the data collection methods and forms of analysis are scientifically robust;
- Ensure the integrity of collected data;
Ensure that any environmental justice issues are fully described and analysed
- Ensure that research methods, data, and analysis consider underrepresented and vulnerable
stakeholders and populations;
- Consider the distribution all impacts (whether social, economic, air quality, noise, or
potential health effects) to different social groups (including ethnic/racial and income groups);
Undertake evaluation/monitoring and mitigation
- Establish mechanisms for evaluation and monitoring of the action, policy or program;
- Where mitigation of impacts may be required, provide a mechanism and plan for assuring
effective mitigation takes place;
- Identify data gaps and plan for filling these data needs;
While the development of such international guidelines provides a systematic framework for
SIA, the idea of following guidelines is in itself inherently limiting. Given the vast differences
from one social setting to another in terms of regulatory context, cultural/religious context and
socioeconomic frameworks, emphasising the adherence to guidelines is a flawed concept
which is often enhanced by the lack of community involvement or absence of a participatory
approach (Vanclay 2003). Vanclay (2006) expands this by noting the importance of “capacity
building, good governance, community engagement and social inclusion” (p13) which can be
overshadowed by too much emphasis on preventing negative impacts.
It is essential that a thorough understanding of the extent of a problem and its many
dimensions is the first step of the analysis (Finsterbusch 1985), from which can stem the
recognition of adverse impacts and their subsequent directionality. A key feature of the
methodology developed by Kent (2010) is the flexibility it allows for the practitioner to adapt
it to a specific situation. Tailoring a general SIA methodology to a particular application is an
applicable and valid framework (Carley 1983) which will be complemented in this instance
through emphasis on individual and community needs and by adhering to core principles, not
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guidelines, as recommended by Vanclay (2003). Private SIA consultancies have also noted
that methodologies need to be adaptive, noting that “the social pillar of impact assessment
work has received little attention to date” (Ecorys Research and Consulting 2008, p16).
The requirement for SIAs to integrate new concepts, approaches and methodologies is as
great now as ever (Vanclay 2006). As such, a review of various SIAs will be completed for
this assessment and the recognised flaws within methodologies considered and, where
relevant, incorporated to build upon those recommendations from Kent (2010). This will be
enhanced by comparisons with similar case studies and reports such as those previously
conducted by WfL.
2.3 Technocratic and Participatory Approaches
There is considerable pressure to quantify social impacts in the SIA process, however the
ability to do so is heavily conditioned by the inherent measurability of the impact variables in
question (Ecorys Reseach and Consulting 2008). If it can be demonstrated that meaningful
indicators and data are not available for predicted impacts, qualitative approaches are not only
justified, but the only available options (Ecorys Research and Consulting 2008). A
participatory, qualitative approach to SIA should emphasize the principal functional groups in
the community, their interaction patterns, the distribution of positive and negative effects on
the different groups, and the response of the groups to the project and its impacts.
(Finsterbusch 1985; Flynn & Flynn 1982).
The participatory approach can be seen as a process approach which avoids a blueprint or top-
down approach to development, and as a method which has arisen in response to the
ineffectiveness of previous methods to achieve development goals in diverse and complex
environments (Bond & Hulme 1999). It is important to highlight that participation is only a
means of gaining information about the potential impacts of a proposal, and should not be
seen as a process for gaining consent from the affected community (Newcastle City Council
1999). A comparison the different approaches to SIA can be found in Table 1.
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Table 1: Comparison of technical and participatory approaches to SIA (Fenton 2005)
Technical Approach Participatory Approach
State or agency centred Community centred
Technical knowledge Local community knowledge
Assessment of objective impacts Assessment of perceived impacts
Quantitative/numeric/modelling approach Qualitative/discourse analysis
Natural science emphasis Social science emphasis
Planning solution based on science Planning solutions based on negotiation
Planner/Scientist as expert Planner/Scientists as facilitator
Recognises a 'public' Recognition of multiple 'publics'
Informing and consulting Involving and participating
No focus on language and communication Focus on language and communication
A participatory approach differs from the more objective and quantitative technical approach
in that it utilizes interactive methodology to achieve better socio-economic results (Akpofure
& Ojile 2003). This way, it is much more possible to assess community needs and
expectations, identify priorities for development activities and successfully implement project
execution strategies (Akpofure & Ojile 2003), implying that SIA can no longer be regarded as
a technocratic process determined by centralized decision making authorities (Lane et al.
1997). By emphasizing community concerns the participatory approach uses the knowledge
and experiences of those most affected by the proposed development as the basis for
determining impacts (Becker & Vanclay 2003; Kent, 2010). As there can be a large degree of
unknown at the start of a project, community-level interaction ensures lends itself to an SIA
which is built-up and not simply bought into (Bond & Hulme 1999). This interaction is an
invaluable tool as it has the ability to integrate local values and knowledge into the
assessment, thereby ensuring the research is both accountable and, to a much greater extent,
responsive to local communities (Lane 1997).
Technical approaches to SIA methods emphasise a positivist way of thinking and work under
the assumption that, given sufficient data, accurate predictions can be made by a neutral
observer (Becker et al. 2004). While this method is more popular in practice, the quantitative
nature of this approach creates the potential for social factors to be ignored or misrepresented,
factors which are critical to determining a project’s success (Macfarlane 1999). Further, in a
technical approach, there is little if any community participation in the assessment process
and this contrasts the WfL approach which aims to ensure that community needs are
adequately met and acted upon (Baillie et al. 2010).
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2.4 Defining and Assessing Social Impacts
Broadly, a social impact can be defined as any change, resulting from development practices
or other activities, that affects people’s way of life, their culture and their community
(Summerville et al. 2006). The types of impacts that can be anticipated, such as changes in
quality or quantity of employment, working patterns, household income, working conditions
or organisation of the labour market are inherently diverse, complicated and strongly
connected with economic and environmental impacts (European Commission 2009). In the
social arena it is crucial not only to take into account the intended effects of a proposal but
also to identify and analyse effects which might occur unintentionally, whether positive or
negative. Any issues affecting people, either directly or indirectly, pertain to SIA and should
also be investigated (Vanclay 2003). A distinction between short and long term impacts
should also be made to indicate the timeframe of the impact in question.
In the end the assessment should arrive at a net or overall effect, although the SIA make the
different components visible and show how this conclusion has been reached. To achieve a
useful and appropriate framework for assessing social impacts, a number of key principles are
important, as outlined by the Newcastle City Council (1999) and summarised in Table 2.
Table 2: Summary of key principles for assessing social impacts (Newcastle City Council 1999)
Principle Relevance
Minimum
necessary
information
The minimum necessary information needs to be provided to ensure an
adequate assessment. This is relevant for all levels of assessment since the
purpose of assessing these impacts is to provide focussed, relevant details
only.
Positive and
negative impacts
It is essential to consider both positive and negative social aspects of
developments as to quantify who benefits and who loses.
Participation Participation is a means of gaining information about the potential impacts of
a proposal. Persons and groups that may be affected by the proposal should be
consulted.
Practical and
action focussed
It is essential to consider how the social effects of change can best be
managed. Practical measures should try to enhance positive impacts and limit
any negative social impacts.
Intergenerational
equity
Consideration should be given to the effects of the development on present
and future generations.
Although social impacts have been considered in different contexts throughout history
(Burdge and Vanclay 1995), Vanclay (2002a) acknowledges that it is impossible to detail all
dimensions of social impact since social change has an inherent way of creating other
changes. Moreover, most of the changes are situation specific and depend on the context of
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the community in question, thus making impacts unique to each case and validating the
acknowledgement that methodologies can and should be tailored to specific situations. The
Interorganizational Committee (1994) notes that one of the most important aspects of SIA is
to understand the meanings, perceptions, or social significance of changes to the community
in question. The variables used to understand these meanings and perceptions evolve and in
2003 The Interorganizational Committee refined its assessment variables to include two
further variables that its previous publishing (1994) failed to, as highlighted in Table 3.
Table 3: Comparison of Interorganizational Committee social assessment variables
Interorganizational Committee Social Assessment Variables
1994 2003
Population change
Population change Population size density & change
Ethnic and racial distribution Ethnic and racial composition and distribution
Relocated populations Relocating people
Influx or outflows of temporary workers Influx or outflows of temporaries
Seasonal residents Presence of seasonal residents
Community & institutional structures
Voluntary associations Voluntary associations
Interest group activity Interest group activity
Size and structure of local government Size and structure of local government
Historical experience with change Historical experience with change
Employment/income characteristics Employment/income characteristics
Employment equity of minority groups Employment equity of disadvantaged groups
Local/regional/national linkages Local/regional/national linkages
Industrial/commercial diversity Industrial/commercial diversity
Presence of planning and zoning activity Presence of planning and zoning
Political & social resources
Distribution of power and authority Distribution of power and authority
- Conflict newcomers and old-timers
Identification of stakeholders Identification of stakeholders
Interested and affected publics Interested and affected publics
Leadership capability and characteristics Leadership capability and characteristics
- Interorganizational co-operation
Individual & family changes
Perceptions of risk, health and safety Perceptions of risk, health and safety
Displacement/relocation concerns Displacement/relocation concerns
Trust in political and social institutions Trust in political and social institutions
Residential stability Residential stability
Density of acquaintanceship Density of acquaintanceship
Attitudes toward policy/project Attitudes toward proposed action
Family and friendship networks Family and friendship networks
Concerns about social well-being Concerns about social well-being
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Community resources
Change in community infrastructure Change in community infrastructure
Native American tribes Indigenous populations
Land use patterns Changing land use patters
Effects on cultural, historical and
archaeological resources
Effects on cultural, historical, sacred and
archaeological resources
Importantly, the inclusion of these two variables and the changes to various definitions
highlights the dynamic and evolving nature of the SIA field. The Interorganizational
Committee (2003) suggests that these variables are intended to provide a beginning point only
for the assessor as Table 3 doesn’t necessarily represent all SIA variables that may be of
interest for any given project. Although the outlined variables acts as a guide only, Vanclay
(2002) notes that closely adhering to such guides should be avoided to circumvent the
development of a checklist mentality. Additional critique in Vanclay (2005b) states that the
list provided by The Interorganizational Committee does not constitute social impact
variables, rather a list of indicators that should be considered as a base to which social
impacts in a particular community can be determined. Fenton (2005) notes that “While it is
also most likely the case that a definitive list of social impacts will be somewhat elusive, the
lists of social impacts that have been developed at least provide an illustration of the scope of
social impacts that may be investigated with a SIA” (p. 12). It would appear that a trade-off
exists between using such guidelines to potentially enhance the assessment or ignoring them
and possibly overlooking relevant social impacts. Although the understanding of social
processes is relatively limited as it is based largely on conceptual and theoretical frameworks,
it is important to decide on a framework that best enhances this understanding (Fenton 2005).
The task of actually measuring impacts gives rise to a second level of complexity
(Summerville et al. 2006). Social impacts have a number of dimensions that may require
some type of measurement or evaluation (Wolf & Vanclay, cited in Vanclay 1999, p307),
which include:
• Directionality: some impacts may be positive for some people, while the same impact
may be negative for other people;
• Certainty: the likelihood or probability of occurrence of impact;
• Frequency: how often the impact will occur;
• Severity: the magnitude and/or strength of impact;
• Chronicity: over what time period;
• Locality: area of impact;
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• Susceptibility and vulnerability: how susceptible the community/environment is to
impact;
• Mitigability: the potential of the impact to be mitigated; and
• Intractability: symbiotic and/or catalytic potential with other impacts and cumulative
potential.
Difficulties pertaining to measuring and assessing impacts are particularly linked to those that
involve people’s culture, identity, values and/or perceptions (Summerville et al. 2006), and
can be magnified when the role of the community members in the SIA process is
undervalued. Thus, while there exists much literature relating to the assessment of social
impacts, the current perception is that the existing lists are inadequate, contradictory and
containing a strong Western orientation (Vanclay 2005b).
2.5 Comparison of Methodologies
Given that SIA addresses consequences of a current or future action, whereby the action is
initialized to mitigate a problem, the problem itself can be defined as “the discrepancy
between a desired situation or process and an actual situation or process” (Becker 2001,
p313). It is important to not only acknowledge the entire range of potential impacts that can
occur but to understand and analyse the influence these impacts may have on all relevant
stakeholders (European Commission, 2009). The methodology itself comprises a series of
steps which are conducted to complete the SIA and aims to address these impacts, as well as
the idea of who wins and who loses from the actual project (Kent, 2010). Fundamental SIA
methodologies include scoping, profiling, formulation of alternatives, projection, evaluation,
mitigation and monitoring (Kent 2010; Becker and Vanclay 2003; Barrow 2000; Finsterbusch
et al. 1990; Fenton 2005). Depending on the context of the SIA, several steps may overlap or
be undertaken concurrently and each stage may be accorded a different level of detail or
significance, and additional stages may also be introduced to the framework to supplement the
core stages (Fenton 2005).
It is also acknowledged that much can be attained from making use of ex-post (completed)
evaluations of related or relevant initiatives, particularly for identification of indirect and
unintended impacts (Ecorys Research and Consulting 2008). This can be applied to the
methodology component whereby although there may not exist defined steps, it is acceptable
to tailor the methodology based on previous, relevant initiatives. Wolf’s (1983) outline of a
general methodology is based on the ten steps presented in Table 4.
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Table 4: General methodology for social impact assessment (Wolf 1983)
Assessment Steps Analytic Operations
1. Scoping Set level(s) of assessment
How big a problem is it? Determine impact area boundaries
How much is enough? Establish time horizons
Develop study design
2. Problem identification Formulate policy goals, planning objectives
What is the problem? Identify publics and concerns
What is causing it? Perform needs assessment
Determine evaluative criteria
3. Formulation of alternatives? Define set of "reasonable" alternatives
What are the alternatives? Determine change agents, instruments
Characterize and describe technical systems
Analyse economic and environmental impacts for
secondary social impacts
4. Profiling Dimensionalise impact categories
Who is being affected? Select impact categories
Assign impact indicators
Perform indicator measurements
Compile social profile
5. Projection Explain "state of society" assumptions
What is it causing? Perform trend impact analysis
Construct dynamic system models
Estimate impact indicator values for alternative plans
6. Assessment Perform sensitivity analysis for alternative outcomes
What difference does it make? Perform cross-impact analysis
Describe and display "significant" outcomes
7. Evaluation Re-identify publics and concerns
How do you like it? Reformulate evaluative criteria
Rank and weight preferences for alternatives
Perform trade-off analysis
Identify preferred alternative
8. Mitigation Review unavoidable adverse impacts
What can you do about it? Identify possible mitigation measures
Perform sensitivity analysis for possible measures
9. Monitoring Measure actual versus predicted impacts
How good are your guesses? Provide feedback of measurements to policy makers and
public
10. Management Devise management plan
Who is in charge here? Adjust planning objectives, operating procedures, design
specifications
(Bottom Line) (All of the above)
Who benefits and who loses?
Scoping is usually the first and one of the most important stages in the SIA process because it
identifies the most important issues that need to be addressed, and significantly, begins to
identify the potential social impacts (Fenton 2005). Ecorys Research and Consulting (2008)
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recommends the use of causal chain analysis for which such impacts, whether direct or
indirect, can be predicted and as well as observation of the inter-relationship that may exist
between these. This must occur in the scoping phase so that any clear causal links may be
observed as it “can be a valuable way to allow stakeholders to be involved in the
identification of possible impacts, while at the same time, it allows economic, social and
environmental impacts to be assessed in conjunction with each other” (Ecorys Research and
Consulting 2008, p12). The Interorganizational Committee (1994) states that this can be
achieved through reviews of existing social science literature, public scoping, public surveys
and public participation techniques.
After initial scoping, social impacts can be selected for further assessment whereby
consideration needs to be devoted to both “impacts perceived by the acting agency and to
those perceived by affected groups and communities” (The Interorganizational Committee
1994, p13). Profiling is a critical step in to enhance this understanding and often involves
establishing baseline conditions (Fenton 2005), to which the incurred changes or potential
impacts can be measured against. Ecorys Research and Consulting (2008) notes that the
estimation of impacts, particularly with regards to community involvement processes, is an
underperformed step in terms of both process and methods and needs to be better explained.
While this estimation process is difficult due to the potential for unforeseen changes occurring
between estimating impacts and actual project implementation, inclusion of this step remains
beneficial as it directs the focus of the SIA towards one with more consideration and
consultation with the community in question (Kent 2010).
Prediction of impacts is undertaken after the completion of the scoping and profiling phases
and must occur after an understanding of the individuals and communities affected by these
impacts is obtained (The Interorganizational Committee 1994). Use of relevant literature can
enhance the prediction of potential impacts, although this should be met with caution to avoid
the assessment becoming too much of a desktop analysis (Fenton 2005).Recommendations for
mitigation techniques based on the predicted impacts should address any cumulative impacts
and flow-on impacts and describe the likelihood, magnitude and distribution of these impacts
(Fenton 2005).
2.6 Benefits of SIA
Quality SIA is founded on the “recognition of the complexity and heterogeneity of society,
and how the impacts of developments benefit and disadvantage different components of
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society in different ways” (Vanclay 2002, p70). Assessing social impacts is rarely a clear-cut
process that is wholly amenable to the traditional methods used and the complexity associated
with identifying, measuring, and evaluating social impacts is widely documented (Vanclay
2002; Vanclay 2005b; Finsterbusch 1985). Summerville et al. (2006) note, however, that this
should not be a deterrent for undertaking or endorsing SIA as a legitimate and constructive
component of the development assessment process.
The process should be seen as synonymous with community-led development in which the
role of external agents and resources should be minimised (Bond & Hulme 1999). By direct
consultation and involvement of locals, the legitimacy of the SIA is enhanced as it captures
the knowledge and concerns of those who know their community best (Burdge & Vanclay
1995; Becker et al. 2003). This can assist the SIA practitioner as it may give rise to opinions
or impacts that were previously unconsidered or simply provide a more thorough
understanding of the area in consideration, from which more informed mitigation techniques
can be provided.
While SIA ultimately aims to reach a definitive or overall outcome, whether favourable or
unfavourable, it is of equal importance that the SIA makes the various components visible as
to demonstrate how this conclusion was attained (European Commission 2009). It is
important to acknowledge that despite the critique that exists regarding the methods used to
reach this conclusion, the end result is one that, if completed properly, can provide telling
insight into the social feasibility of a project. For small scale, community-driven projects like
those of WfL which aim to improve the livelihoods of marginalised groups and individuals,
SIA can provide both a detailed understanding of the social context for the proposed project
as well as community-level concerns associated with the effect of the project.
2.7 Sources of Information
For assessments that adhere to a participatory approach, the predictive stages associated with
impact assessment are largely based on obtaining background information from interviews
with the local population, for which reviews of similar projects can be used to improve the
identification of potential impacts. This can also include the use of case studies, documents,
and reports that describe impacts in a context similar to the one being investigated (Fenton
2005). As there in an inherent judgement component to SIA that usually revolves around the
‘expert’ or SIA practitioner being the key decision-maker, it would make good sense that the
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use of previous literature and subsequent recommendations can assist the practitioner in
making more informed decisions.
2.7.1 Expert Judgment
Vanclay (2002) is critical of SIA practitioners using ‘expert judgment’ to specify likely
impacts without involving the public to determine locally important issues. Becker et al.
(2004) contrast this by noting that while there is concern associated with controlling
adequately for individuals’ biases and their subsequent vested interests, SIA remains a
process in which “peoples’ biases cannot be entirely divorced from the projection of impacts”
(p2). From this it can be stipulated that it is reasonable to complement expert judgment with
public involvement, as long as this local knowledge is coupled with appropriate care to ensure
accuracy, particularly when used to predict impacts.
2.7.2 Local Knowledge
It is widely suggested that the process of involving locals and local knowledge is of great
benefit to the SIA process (Burdge & Vanclay 1996; Vanclay 2003). Local knowledge is
defined by Baines et al (2003, p26) as “information and understanding about the state of the
biophysical and social environments that has been acquired by the people of a community
which hosts (or will host) a particular project or programme”. The role of local knowledge in
the SIA process however is one that raises many issues about the extent and validity of
knowledge and opinion of local communities, and about their right to determine their own
communities’ destinies independent of outside interference (Burdge & Vanclay 1996).
Burdge & Vanclay (1996) identify two lines of thought associated with local knowledge that
are likely to be of concern in the SIA process: one where the community is opposed to the
project despite its ensuing benefits; the other where the community is in favor of the project
even if the problems outweigh the benefits. It may well occur, however, that the general
community doesn’t necessarily know what the likely effects of a project or proposal will be.
The SIA progression is best described by Vanclay (2003) as more of a building process on
local knowledge, which should in turn emphasise participatory processes to incorporate and
analyse the concerns of affected parties. Incorporating these concerns should therefore give
consideration of the level of knowledge of the person(s) providing information, as well as
whether the person(s) reflect individual interests only or those of the entire community should
be given (Finsterbusch et al. 1993).
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2.7.3 Errors
Given the role of an SIA is to make judgments regarding positive and negative outcomes, an
apparent dichotomy exists in reaching the ‘right’ outcome or at least minimizing the
perceived error. Mixed opinions on methodologies, principles and objectives of SIA are
prevalent and, while the need for SIA is as great now as ever (Vanclay 2005b), the field is still
relatively new and under researched. It would appear that a well compiled SIA would be one
that hones in on as many collective methodologies as possible whilst at the same time
attempting to expand on the flaws and limitations of previous literatures. Kent (2010) notes
that while use of local knowledge and expert opinion may introduce errors into the data, these
are subjective yet informative views that should be incorporated as to remain consistent with
the participatory approach.
Further, when assessing social impacts, if the evidence for a potential impact cannot be
definitively shown in either direction, then this impact cannot be ruled out with complete
confidence (The Interorganizational Committee 1994). The Interorganizational Committee
(1994) highlights that “it is better to be roughly correct on important issues than to be
precisely correct on unimportant issues” (p23), illustrating that more emphasis should be
placed on actually identifying the social impacts as opposed to precisely quantifying them.
2.7.4 Lack of Quantitative Data
Difficulties associated with projection of impacts in SIA methodology coupled with
disciplinary preferences for quantitative methods has led to a tendency of assessments to
ignore the ways in which people are affected and instead emphasise technical and economic
considerations (Burningham 1995). While there is merit in both qualitative and quantitative
methods, maintaining sensitivity to social impacts may be more significant than the ability to
precisely identify or measure them, particularly in community-driven projects like those of
WfL. Fenton (2005) notes that while quantitative analysis isn’t by nature inappropriate, there
needs to be recognition that this is restrictive as “the use of non-numeric, or qualitative
approaches are widely used in human geography, anthropology and sociology and focus on
discourse and meaning” (p5). It would therefore seem that if important impacts are difficult or
impossible to quantify numerically, then qualitative methods (such as surveys or interviews)
are the only option for acquiring the necessary information to assess these impacts (Ecorys
Research and Consulting, 2008).
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Study Area
2.8 The Western Province, Sri Lanka
Sri Lanka represents a newly industrialised nation where rapid economic changes resulting
from the introduction of more liberal, industrial and expansive growth policies during the last
two decades have not been balanced by necessary investments in urban infrastructure
facilities (UNEP 2001). Acute waste problems arisen from urbanization in Sri Lanka are
confined mostly to Colombo and surrounding areas of the Western Province (Jayaratne 1996).
These areas have an extensive waste economy, based on the activities of itinerant waste
buyers, waste pickers, small waste shops, second-hand markets, dealers, transporters, and a
range of recycling industries (Ali 1996), who survive by collecting recyclable or reusable
waste. The Western Province is one of the nine provinces of Sri Lanka, with an area of 3552
sq. km. and an estimated population for 2006 of 5,648,000 (including Colombo Municipal
Council) which is 28% of the total population of Sri Lanka and a population density of 1590
persons per square kilometre (Department of Health Services, n.d.). The Western Province
consists of the Colombo, Gampaha and Kalutara districts, as shown in Figure 1.
Figure 1: Map of Sri Lanka and the Western Province (Department of Census and Statistics, Colombo 2005)
Waste management is a function of Local Authorities (LAs), many of which struggle to deal
with the health and sanitation issues aggravated by environmental pollution, and the fledgling
system is particularly visible in densely populated urban areas like Colombo (Bandara 2008).
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Accordingly, formulation of environmentally and economically sustainable waste
management practices has become of high significance for local and central government
agencies to alleviate this growing pressure. Jayaratne (1996) notes that community groups and
non-government organisations (NGOs) “have gained an increased recognition as capable
institutions to find sustainable solutions for the solid waste problem in urban areas” (p2),
inferring that the lack of adequate solid waste management has inadvertently opened the door
for parties that may not have been considered previously.
Less than half of all municipal solid waste (MSW) is collected and as a result illegal dumping
and burning of waste is commonplace due to the free availability of degraded land (Bandara
2010). The collected recyclables from illegal dumpsites include plastics, polythene, fabric
pieces, corrugated boxes, cardboard, paper and regifoam (Jayasinghe et al. 2009). According
to the lower poverty line, 3.3 million out of 17.5 million Sri Lankans (excluding the
population of the North-Eastern Province) were classified as ‘poor’ in 1996/1997
(SEVANATHA 2002). In 2002 there was an estimated poverty headcount ratio of 6%, 11%
and 20% in the districts of Colombo, Gampaha and Kalutara respectively (Department of
Census and Statistics, Colombo 2005). In 1996, provincial poverty level ranged from 55% of
all households in Uva Province (worst) to 23% of the households in the Western Province
(SEVANATHA 2002). Although only 23% of the households in the Western Province are
classified as ‘poor’ in absolute numbers, it has the largest concentration of underprivileged
owing to almost one third of the population living in this province (Bulankulame et al. 2000).
Illustrated in Figure 3 is the poverty distribution of Sri Lanka, with the Western Province
highlighted, with Figure 2 indicating the population density for comparative purposes.
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Notably, there is a higher poverty distribution within the more rural areas of the Western
Province, with Gampaha and Kalutara exhibiting unemployment rates of 4.1% and 3.7%
respectively, as opposed to the 3.3% observed in Colombo (Department of Census and
Statistics 2009). While the respective unemployment rates in the Western Province all fall
below the 2010 nation-wide rate of 4.9%, of concern is the unemployment rate by age group,
particularly for 15 - 24 as highlighted in Table 5.
Table 5: Unemployment rate by age group and gender (Department of Census and Statistics 2009)
Age
Group Total
Gender
Male Female
15 - 24 19.4 16.3 24.7
25 - 29 9.2 4.7 17.8
30 - 39 3.1 1.7 5.8
Over 40 1 0.8 1.4
Total 4.9 3.5 7.7
While a portion of this represents full-time students, there remains a discernible quantity of
this age bracket neither employed nor studying who consequently favour informal sector
employment (Gunatilaka et al. 2010). Social and cultural issues underlie the labour
institutions and education systems and can prevent the youth of Sri Lanka access to both
education and jobs, whereby unequal treatment of youth is prevalent particularly regarding
ethnicity, class, caste and gender (Gunatilaka et al. 2010). As noted by Medina (2007), waste
picking is regarded as a genuine livelihood to many who lack formal education or job
Figure 2: Population density of Sri Lanka
(Department of Census and Statistics n.d.) Figure 3: Poverty map of Sri Lanka (Department of
Census and Statistics n.d.)
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experience, rendering the young, uneducated and unemployed much more vulnerable to
taking on waste picking due to the absence of alternate choice.
2.8.1 Current Waste Management Profile
The primary cost involved with solid waste management in Sri Lanka has historically been for
the collection and transport of waste, as the most common practice of open dumping does not
cost anything. This unacceptable disposal of solid waste is one of the biggest environmental
issues faced by the country at present (Bandara, 2008). Infrastructure and waste collection
resources are lacking in most parts of the country as well as improper facilities for final
disposal of the majority of solid waste (Van Zon & Siriwardena, 2000). Densely populated
urban areas such as Colombo are facing a severe crisis, with Colombo alone having to deal
with the disposal of around 1500 tonnes of solid waste material per day (Perera, 2003). While
integrated solid waste management has been targeted by the Ministry of Environment, the
Central Environmental Authority (CEA) and various other governmental and NGOs
(Bandara, 2008), the scale is not yet adequate enough to match the size of the waste problem
which remains prevalent. Despite local authorities being the responsible organisations for
collection and safe disposal of MSW, almost all use open dumping as the primary method of
waste disposal in the Western Province (Mannapperuma & Basnayake 2007).
2.8.2 Informal Waste Collection
Informal resource recovery, whereby small time vendors and scavengers collect and sell
paper, glass, metal and other recyclables, has been practiced informally for some time in the
Western (Bandara 2008). Moreno-Sanchez & Maldondo (2006) identify that these waste-
pickers are “incorporated in an integrated dynamic model of production, consumption,
disposal and recycling of waste” (p372) and recommend that their role should be encouraged
through economic incentives as they generate positive impacts to the environment and to
society. This economic incentive is clearly lacking in the Western Province where the primary
task of waste pickers is to separate or sort materials and sell them to a scrap dealer or
middleman. The resulting hierarchy within the informal sector is shown in Figure 4, with
waste pickers and loosely organised co-operatives at the very bottom obtaining the least value
for their sorting activities due to their inability to process the waste themselves.
Although poor urban areas and inaccessible rural areas are plagued by pollution from the lack
of waste infrastructure systems, many inhabitants of the Western Province depend upon waste
recovery to meet their basic needs for shelter, food and employment (Furedy, 1993). In most
cases waste pickers sell their collections to dealers who assemble the waste into large bales
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and sell them to wholesalers (Jayasinghe et al. 2009). After having been assembled by
category, the waste is then sold to recycling plants. The dependence of waste pickers on these
middle buyers is recognised in the Western Province (Jayasinghe et al. 2009), and is a
common problem worldwide whereby they are unable to “claim the additional value potential
if the collected waste materials are developed into end-consumer products” (Baillie et al.
2005, p5). By circumventing the intermediate dealers, the income of waste pickers can be
significantly increased and their activities more legitimised and socially acceptable (Wilson et
al. 2006).
Figure 4: Hierarchy of informal sector recycling (Adapted from Wilson et al. 2006)
Jayasinghe et al. (2009) also note the numerous health and safety issues associated with waste
picking and acknowledge that “most of the occupational health and injury problems that
confront waste collectors could be minimised by implementing simple and cost-effective
safety procedures” (p14). It has been estimated that over 55% of waste pickers have
respiratory problems, and that they are particularly vulnerable due to their constant exposure
to dust when handling garbage and the distinct lack of hygienic measures in place (Bhuiya
2007). The centrality of waste collection in the lives of the informal sector is profound, most
Manufacturers • Highest
Value
Brokers, wholesalers and other processors
Middlemen, craftsmen
Recycling and scavenger co-
operatives
Family-type units involved in waste collection or scavenging/
picking
Individual waste
scavengers/ pickers
• Least Value
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of whom have a limited education and are unable to find employment in other labour markets
(Jayasinghe et al. 2009), forcing them to pick through rubbish in the streets and landfill sites
for recyclable materials to sell.
2.8.2.1 Social Perception
Workers in the informal sector are also highly vulnerable to adverse perceptions from society
and other workers. Wilson et al. (2006) reveal that “the attitude of the formal waste sector to
informal recycling is often very negative, regarding it as backward, unhygienic and generally
incompatible with a modern waste management system” (p798). Waste picking, however,
arises as an adaptive response to the inadequate performance of the formal waste sector and
such criticisms raise a large degree of hypocrisy. Condemnations and calls to prevent waste
picking also counter what can be a rather efficient recycling system (Wilson et al. 2006), one
which is based on the presence of markets for recovered materials and has “well-recognised
environmental, economic, and social benefits” (Moreno-Sanchez & Maldondo 2006, p373).
Besides social marginalisation, waste pickers and their families are also subject to economic
insecurity, health risks, lack of access to normal social services and social security, and
inadequate equipment and storage places for their waste once it has been recovered
(Schubeler 1996). Despite the significant contribution of waste pickers to the recovery and
recycling process, their impact is scarcely acknowledged and their activity is either banned or
ignored when designing solid waste management policies (Medina 2000). Wilson et al. (2006)
observe that many countries have allowed their earlier informal recycling systems to
disappear, and have subsequently struggled to establish formal recycling systems that can
aptly match the previously observed recycling percentages. Informal waste collection systems
such as those observed in the Western Province reduce the cost of formal waste management
systems as they reduce the amount of waste for collection, resulting in less time and money
spent on collection and transport (Wilson et al. 2006). Since the collection and transport of
waste materials accommodate for the majority of MSW management budget in the Western
Province (Bandara 2008), without the intangible economic benefits of the informal waste
sector, these costs would rise even further. The informal sector provides a steady, reliable
supply of secondary raw materials for the local manufacturing industry which can replace
more expensive imported raw materials, as well as stimulating the manufacture of low-cost,
affordable products made from recyclable materials (Wilson et al. 2006).
Despite the unfavourable conditions associated with waste picking, it does provide
employment and income-earning capacity to those who may not be able to enter formal sector
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employment due to poor education or physical disability (Wilson et al. 2006), although the
inability to enter more conventional occupations and subsequent marginalisation can lead to
harassment by authorities and police (Jayasinghe et al. 2009). Wilson et al. (2006)
recommend “interventions that attempt to change the role and working practices associated
with informal recycling” (p803) which should aim to simultaneously improve awareness,
equality and working conditions. In Buenos Aires, for example, legislation was established to
provide credentials, health and safety equipment such as gloves, tunics and vaccinations and
ban children under 15 from collecting waste (Baillie et al. 2010a; Kent 2010).
2.8.2.2 Adding Value to Waste
Institutional weaknesses, lack of social responsibility and environmental accountability,
inadequate financial resources, lack of technical competency, improper choice of technology
and public apathy towards solid waste management are all factors that have rendered this
service sub-standard within the Western Province (Ministry of Environment 2007). Generally,
very little sorting of waste is done at the generation source and garbage is often left on streets
and footpaths or in drains and water bodies (Ministry of Environment 2007). Potential profit
margin is the main selection criteria for materials targeted by waste pickers, although this also
depends on accessibility, convenience, ease of transporting and handling. Once collected,
waste materials can be increased in value by sorting, cleaning, altering the physical shape to
facilitate transport or by aggregating materials (Wilson et al. 2006). Table 6 provides a
summary of potential methods to add value to recovered waste materials.
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Table 6: Ways of adding value to recovered waste materials (Wilson et al. 2006)
Extracting and adding
value processes Explanation
Collection
Identification and picking of items or collecting mixed waste
allows the sector to acquire the waste and turn it into a resource.
Most primary materials recovered from refuse, such as paper,
plastics, rags, metal, glass, and food leftovers, constitute a
commodity as they all have a market price.
Sorting
Main process that increases the value of the waste recovered.
The deeper the sorting differentiation, the higher the value of
waste. For instance, if plastic is grouped into one major category,
its value is lower than when it is further separated into sub-
categories of hard and soft, then HDPE, PET, LDPE, etc. Sorting
according to colour, size, shape and potential use or re-use of the
materials so as to meet the end-users quality specifications.
Accumulation of
volume
Additional volume adds value: larger volumes command higher
per-unit prices. The greater the quantity, the better bargaining
power the trader has. For small quantities, transactions costs,
such as checking quality, arranging transport and paying the
seller, reduce the profit margin.
Pre-processing For instance: washing, changing in shape-cutting, granulating,
compacting and bailing.
Small manufacturing
craftsmanship
Creation of micro-enterprises that use the special skills of
informal recyclers to transform recyclates into articles traded
directly to the community in an affordable manner.
Market intelligence
Proximity to markets where informal recyclers and traders
conduct business allows for the flow of information which
allows decisions to be made on accurate market prices,
competitors, trading partners, etc.
Trading
In informal or formal markets. Links to the secondary materials
network are crucial. Traders should be financially capable to add
and conserve value of recyclates. Difference between buying and
selling should also provide buffer against risk.
While the Ministry of Environment (2007) believes that this waste should be treated as a
commodity that has an economic value rather than a worthless resource, the many efforts of
waste pickers to add value to recovered materials are often futile without proper processing
technology. The processing required to produce a recycled plastic from which new products
can be produced is extensive and often requires significant infrastructure, whereby shredding,
washing, extrusion (melting down the plastic) and pelletising are processing steps required
before the final small pellets can be sold to a waste manufacturer (Jayasekara 2010). This
often limits waste pickers to collection and sorting activities only, although washing the
material is considered an important step in Sri Lankan recycling and is usually done by hand
in small organisations (Jayasekara 2010). Without technology to process waste or even the
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required storage space to accumulate volume, the resulting income is usually enough to get by
only with most waste pickers acknowledging that “savings are rare” (Jayasinghe et al. 2009,
p10).
2.8.2.3 Material Value
A survey conducted at the Katunayake dump yard in the Western Province revealed the type
of collected waste collected by local waste pickers, quantity per day (on average) and unit
price as indicated in Table 7.
Table 7: Recovered materials, quantities and prices from the Katunayake dump yard (Jayasinghe et al. 2009)
Collected items Quantity per day/ kg Unit Price / Rs.
Fabric pieces 10 – 100 2
Polythene 1 – 20 35
Plastics 1 – 50 35
Corrugated boxes 10 – 100 2
Card board 10 – 50 2
Paper 10 – 50 2
Fabric poles 10 – 100 5
Yarn cone 1 – 5 25
Cotton 1 – 2 5
Labels 1 – 3 2
Wire pieces 1 - 5 -
Almost anything that has recyclable value is collected and daily hauls can vary from 100-
200kg per person, with most collectors stating that this activity is their sole source of income
(Jayasinghe et al. 2009). The average daily earnings of a waste collector can vary from Rs.
100 to Rs. 1000 (US $0.91 to US $9.10 as at 10/11/11), whereas that of middlemen can vary
from Rs. 1000 to Rs. 5000 (US $9.10 to US $45.37 as at 10/11/11) (Jayasinghe et al. 2009).
These informal waste pickers are usually restricted to the base of the secondary materials
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trade hierarchy (see Figure 4), which significantly reduces their income and makes them
much more dependent on intermediate dealers (Wilson et al. 2006).
2.8.3 Formal Waste Collection
Sri Lanka is a unitary democratic republic with three levels of government: central, provincial
and local (CLGF n.d.). In general, Municipal Councils (MCs) are established for cities and
large towns, Urban Councils (UCs) for less urbanized areas and Pradeshiya Sabhas (PSs) for
rural areas. The distribution of councils and populations within the Western Province can be
observed in Table 8.
Table 8: Distribution of councils and populations of the districts within the Western Province (CLGF n.d., except #
from Department of Census and Statistics, Colombo 2005)
Number of Local Authorities
District Population MC UC PS Total
Colombo 2,235,000#
5 5 3 13
Gampaha 2,063,684#
2 5 12 19
Kalutara 1,066,299#
- 4 12 16
- 5,364,983 7 14 27 48
Except for the municipality of Colombo which has partially privatised its collection activities,
formal waste collection within the Western Province remains a function of the public sector
(Bandara 2008). Figures indicate the total quantity of MSW collected in the Western Province
to be approximately 2300 T/day of a generated 3500 T/day (Mannapperuma & Basnayake
2007), with Figure 5 indicating the average quantity of MSW handled by labourers from the
various LAs.
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Figure 5: Quantities of MSW handled daily by an individual labourer (Mannapperum & Basnayake 2007)
While Table 8 indicates a significant amount less MCs than UCs and PSs, Figure 5 suggests
that comparatively, MCs still achieve high daily averages of MSW collection. Mannapperuma
& Basnayake (2007) indicate that this is due to MCs having comparatively higher facilities
and infrastructure in place for waste management, and reiterates the need for more
administrative, institutional SWM to effectively distribute resources. Recent policies aimed at
reducing the solid waste burden included a three-year implementation plan to share waste
management responsibilities between national government bodies, LAs, the private sector and
the general public (Van Zon & Siriwardena 2000), although there are doubts as to whether
this policy was actually implemented (R. Jayasinghe 2012, pers. comm., 3 May). Van Zon &
Siriwardena (2000) indicate that “waste reduction is mostly envisaged through public
awareness and regulation" (p13), owing heavily to the fact that “many people do not seem
aware of the (potential) environmental problems caused by disposal of solid waste” (p13).
In addition to the under-resourced system and lack of public awareness regarding effective
waste management strategies, there are often points of conflict between the formal MSW
management and the informal sector which, if addressed properly through integration of
formal and informal waste collection, could be mutually beneficial (Wilson et al. 2006).
When both parties separate recovered waste, for example, this increases time and reduces
efficiency of the recovery process. Likewise for the presence of waste pickers at open dump
sites which can cause interference with vehicle movements, creating safety hazards and again
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reducing efficiency (ISWA 2002). The solid waste management structure within all three
districts of the Western Province was investigated in this study as each was considered an
area for potential WfL activity.
2.8.3.1 Waste Profile: Colombo District
The Colombo Municipal Council outsources waste management to private sector firms yet
SWM remains inadequate due to lack of accountability, political corruption and lack of
governance (Environmental Foundation 2007). While the CMC area boasts a collection
capacity of 700 tonnes per day, the existing waste collection infrastructure struggles to
provide anything close to an acceptable daily collection and disposal service (Environmental
Foundation 2007). The existing system of solid waste collection in Colombo was classified by
Jayaratne (1996) as follows:
• Door-to-door collection: where the collector enters the premises and the householder
is not involved in the collection process;
• Communal storage: where collection is from a point to which households carry and
deposit their waste;
• Curbside collection: where each householder either dumps waste on the curb or places
it in disposal bags or bins at separate points on the curb; and
• Block collection: where the householder delivers the waste to the vehicle at the time of
collection.
According to municipal law, municipal vehicles and labourers are prohibited from entering
private roads and premises for waste collection and, since nearly 1500 low-income
settlements throughout the municipal area are considered as private properties, this results in a
distinct lack of waste collection from such areas (Jayaratne 1996). All collected waste is
dumped at an untreated landfill at Bloemendhal (in Colombo), which has already long
exceeded its capacity (Van Horen 2004). Additionally, a huge opportunity is lost with respect
to recycling and composting, whereby even though 80% of waste in the CMC is
biodegradable, less than 4% of this is actually composted (Van Horen, 2004). The structure of
Colombo’s solid waste system is illustrated in Figure 6.
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Figure 6: Formal and informal elements of Colombo’s SWM system (Van Horen 2004)
Since the informal collectors are also involved at the very first point of collection from
households, this is mutually beneficial as the households receive payment for those goods
sold to collectors and collectors then receive payment once the recovered waste is sold to
buyers of recycled items (Van Horen 2004). As this scenario is preferable for both household
and informal collector, this further undermines the role of the formal sector and demonstrates
the benefit of the informal sector.
2.8.3.2 Waste Profile: Gampaha District
Similar waste management problems dominate the Gampaha District whereby infrastructure
and resources for waste collection are distinctly lacking and dumping of garbage is
widespread. Household collection is better organised as it encourages families to collect
organic materials, plastics and others separately into three polythene bags (Van Zon &
Siriwardena 2000). Only waste that would normally be discarded is collected which prevents,
to an extent, selling to house-to-house buyers or other forms of re-use. In the more urban
areas of the Gampaha District where roadside collection takes place, most households simply
dump their garbage by the side of the road from which it becomes the responsibility of the
cleaners, which consists of both private and public workers (Van Zon & Siriwardena 2000).
No regulations or guidelines have been implemented to govern the dumping of solid waste by
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private companies or industries and LAs usually dump their collected waste on privately
owned lands, which are becoming increasingly problematic due to waste accumulation and
health hazards (Van Zon & Siriwardena 2000).
2.8.3.3 Waste Profile: Kalutara District
In Kalutara, requirement for alternative dumping grounds and malpractice of re-usable waste
have been identified as critical waste management issues (Karunasena et al. 2009). There are
14 local authorities in the Kalutara district and approximately 100 tons of municipal solid
waste is generated in the district each day. The Urban Council of Kalutara is promoting
integrated waste management in the UC area and as a promotional measure has distributed
home composting barrels to households within this UC area. This is a positive step in the right
direction as the organic waste generated at household level is taken care of at the source of
generation to some extent, although large amounts of other types of waste are still collected
by the UC for disposal in dumpsites (Randika Jayasinghe 2012, pers. comm., 10 May 2012).
2.8.4 Legislation
The Western Provincial Council (WPC) has independently studied its solid waste
management problem and in 1999 passed a statute to establish its own SWM authority,
allowing the council to contribute toward SWM (Bhuiya 2007). The authority addresses all
trans-boundary and common problems of the LAs and attempts to give rise to technical
solutions. Some of the proposed actions have been to improve operations at all open dumps to
reduce pollution, where possible convert the existing dumps to controlled landfills until a
long-term solution is found, to share the land facilities among neighbouring LAs, and to
develop semi-engineered landfills (Bhuiya 2007).
2.8.4.1 Pradeshiya Sabha Act
The SWM provisions of the Pradeshiya Sabha Act, and the urban and municipal council
ordinances are as follows (from Bhuiya 2007):
• All street refuse, house refuse, night soil, or other similar matter collected by the
local authorities shall be the property of the council, and the council shall have the
full power to sell or dispose of such matter.
• Every Pradeshiya Sabha, urban council, and municipal council shall, from time to
time, provide places convenient for the proper disposal of all street refuse, house
refuse, night soil, and similar matter removed in accordance with the provisions of
the law, and for keeping all vehicles, animals, implements, and other things
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required for that purpose and shall take all such measures and precautions as may
be necessary to ensure that no such refuse, night soil, or similar matter is removed,
in accordance with the provisions of the law, and is disposed of in such a way as
not to cause a nuisance.
While the emergence of PSs was to incorporate community level decision making, they have
been criticised for being supressed by the influence of the central government in Sri Lanka,
leading to further calls for more integrated SWM plans (Bandara 2008). Moreover, Bandara
& Hettiararchi (2010) acknowledge that “the required basis for integrated solid waste
management is provided by the present policies, strategies and legal provisions” (p20),
however the dislocation arises through lack of policy implementation and community
involvement. Thus, despite the positive intentions of the PS act, the informal sector is still
restricted in its activities while scavenging and waste picking are regulated.
2.8.4.2 The First National SWM Policy (2000)
The Ministry of Environment developed further strategies to alleviate the growing pressure on
SWM problem and the process revealed that the policies needed to be formulated to
encourage SWM practices through waste avoidance, reduction, reuse and recycling, and for
final disposal to be completed in an environmentally sound manner (Ministry of Environment
and Natural Resources 2007). It was aimed at improving activities involving waste
avoidance/reduction, composting, re-use of waste, energy recovery, recycling of waste, biogas
utilisation and final disposal (Bhuiya 2007). Criticisms arose, however, due to lack of
direction and implementation by LAs (Environmental Foundation 2007), resulting in a second
policy designed to better incorporate the views of NGOs and the informal sector. Van der Wel
& Post (2007) identify that “One of the major difficulties faced by Local Authorities is the
lack of infrastructure facilities for SWM” (p25), recognising that while this shortfall remains
between policy and required infrastructure, there will continue to be waste picking and
scavenging.
2.8.4.3 The Second National SWM Policy (2007)
The revised SWM policy embodies the following objectives (from Ministry of Environment
and Natural Resources 2007):
• Ensure environmental accountability and social responsibility of all waste
generators, managers and service providers.
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• Involve individuals and all institutions in integrated environmentally sound SWM
practices.
• Maximise resource recovery of waste to minimise the volume to be disposed.
• Minimise adverse environmental impacts of waste disposal to ensure health and
wellbeing of the people and ecosystems.
Clearer direction in the new policy also incorporates to a much greater extent the voice of
those in the informal sector, whom Van der Wel & Post (2007) describe as “essential
stakeholders (…) in solid waste management” (p47). At this early stage it is too soon to tell
whether the activities will be successful in the long run, although an emphasis on shifting
from simply dumping waste on unauthorised sites to a more managed process whereby waste
is increasingly segregated and recycled appears much more suitable than previous policies
(Environmental Foundation 2007; Visvanathan & Norbu 2006).
Waste for Life and Post-Development Theory
2.9 About Waste for Life
As generators of waste, the public must be aware of the hazards posed by ineffective
management of refuse. Hence, the government, environmental organisations and other groups
have a key role in creating a keen interest amongst the community for shouldering
responsibilities and instilling a sense of ownership among individuals. Waste for Life (WfL)
is a multi-disciplinary, international network of professionals and students which aims to
develop and apply poverty-reducing solutions to waste problems (Baillie et al. 2010).
Engineers play a key role in this group through the design of low-cost technologies to convert
potentially harmful materials with very low value to higher-value products, improving the
livelihoods of some of the poorest members of society (Baillie et al. 2010). Understanding
how such a dislocation can exist between waste pickers and society and assisting to improve
the asset base of these individuals, through a WfL approach, are added motivation for this
study.
2.9.1 Principles of WfL
Although the idea of using technology to assist in development projects is not a new concept,
WfL’s deeply-rooted focus on education, solidarity and social justice differ significantly to
commonly-held views of what these ‘development’ projects actually mean (see Section 2.10).
The most important deliverables of WfL projects are non-technical in nature, whereby
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democratisation, social inclusion and the strategic use of technology and entrepreneurship to
alleviate poverty are all of high priority (Lee 2011). WfL’s work is supported by teams from
various educational institutes and dozens of individuals with the same commitment to finding
innovative ways of challenging social and ecological injustices (WfL n.d.). Before any form
of development takes place, WfL aims to conduct a relevant needs analysis (Kent 2010;
Smythe 2011) to work in a participatory way with local residents who would ultimately
benefit from the project (Baillie et al. 2010).
Through previous implementation of projects in Maseru, Lesotho and Buenos Aires,
Argentina, local co-operatives together with WfL are creating processes for transforming
waste materials into natural fibre composites for products such as insulating roof tiles and
wallets. While the technology used by WfL is in itself a driver for change, the process of
strategically providing access to credit, entrepreneurial know-how and design and
manufacturing opportunity is even more important (Lee 2011). This aims to not only alleviate
poverty and increase livelihood, but to encourage the formation of a social enterprise and to
“balance economic, social and environmental impacts for the groups we (WfL) are focusing
on” (Baillie et al. 2010, p91). Hence, the fundamental ideas of WfL projects are best
summarised by Lee (2011, p42) and aim to:
• increase social inclusion for waste pickers;
• create opportunities for shifts in what co-operative members feel is possible for
themselves–a key shift in creating effective and lasting reductions in poverty;
• decrease poverty–not necessarily limited to increasing income;
• divert plastic from landfills;
• create networks for increasing social justice;
• increase awareness in professional and educational communities;
• support the co-operative movement (worker-owned enterprises);
• maintain a high level of ethical responsibility; and
• minimize bureaucracy and control structures.
A WfL project would aim to supplement, not replace, the earnings of waste pickers and
provide an opportunity to increase their income through processing what are widely regarded
as unprofitable materials. In working with a loosely joined co-operative or small-scale
recycling organisation, the intended benefits of the project can be conveyed to a larger
audience than by working directly with individuals
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2.9.2 Materials Selection
To date, WfL has worked mostly with polymer composites whereby plastics are pressed with
fibres to reinforce and up-cycle the plastic into a product that can have advantages over
conventional materials due to lower cost, lower weight and increased bio-degradability
(Smythe 2011). The plastics also need to be thermoplastics which soften when heated and
harden when cooled, making them ideal for suitable for mechanical recycling (Jayasekara
2010; Smythe 2011) and thus compatible with the WfL hotpress. Baillie et al. (2011) indicate
that this up-cycling process yields materials with “mechanical properties comparable to
products made with more complex processing” (p2) and, through previous projects, WfL has
been able to develop several unique natural-fibre composites (Smythe 2011).
2.9.3 Manufacturing Equipment
WfL proposes that in acquiring the relevant processing technology, this could enable the co-
operative or organisation in question to remain independent and economically autonomous
(Baillie et al. 2011). The compression moulds (or hotpresses) designed by WfL for its
previous projects are each based upon the first model developed by the organisation, the
‘Kingston Hotpress’, designed at Queen’s University in Kingston by Darko Matovich (Baillie
et al. 2011). This machine was designed to maintain pressures of up to 6 MPa (requiring a
total force approximately 2 MN) and temperatures of up to 200°C (Baillie et al. 2011).
Importantly, the hotpress performs the same task as similar commercial equipment but at only
4% of the cost, whereby WfL provides the hotpress design to local groups that can in turn
source materials locally (C Baillie 2012, pers. comm., 24 May).
2.9.4 WfL and the Western Province
Smythe (2011) identified that WfL could apply the hotpress in the Western Province to types
of plastics which are not currently recycled by conventional means, including plastic bags,
rice husk, sawdust, textile waste, supermarket wrapping, and high and low density
polyethylene. The local groups WfL intends on working with have neither strong voice nor
negotiation strength with city authorities who control the city’s resources which only adds to
their detriment. Under the current SWM system in the Western Province, mounting waste and
a distinct lack of adequate infrastructure has opened the door to parties which may not have
been considered previously to provide assistance. Segments of the civil society, community
groups and NGOs have gained impetus in finding sustainable solutions to such waste
management problems (Jayaratne 1996), which affords communities the chance to design,
implement and manage these projects. Increased recognition that these parties are potential
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solution providers and the acknowledgment that local government is progressively unable to
provide the required services are seeming indicators to the potential of novel livelihood
projects like those of WfL in the Western Province, although this requires further verification.
As such, environmentally friendly waste disposal techniques which place strong emphasis on
reduction, re-use and recycling concepts must be pursued as realistic solutions to the current
predicament (Van der Wel & Post 2007).
2.10 Social Justice and Post-Development Theory
The fundamental ideas supporting mainstream development programs to alleviate poverty
have come under criticism since the 1980s and 1990s (see for example Sachs 1992, Escobar
1995, Esteva (1992) and Ferguson 1994). Sachs explained that ‘development’ was “the idea
which oriented emerging nations in their journey through post-war history” (1992, p1) but
that the idea was now in ruins. He, and many others, repudiated mainstream post-war
development theories for the following reasons:
• It arose out of the assumption that industrialized economies are superior (even
though these economies subsequently generated enormous ecological damage);
• It was a political tool in which to garner allegiance to the Unites States (a now
defunct strategy as market forces have shifted power across the globe to India and
China); and
• Despite a spate of development projects aimed at both industry and agriculture in
the so-called ‘third world’, the divide between rich and poor nations has increased
rather than decreased.
Post-development theorists were not content with simply critiquing western approaches; they
also discussed other ways of dealing with problems of poverty and inequality within the so-
called Global South. They wish to move away from the entire development paradigm if it is
defined by the flow of knowledge, technology or money from North to South. They do not
believe that concepts “such as 'sustainable development', a 'basic needs' approach or other
'improvements' are a cause for hope, insisting that what is needed is to 'dethrone' development
and 'leave it behind in pursuit of radically alternative visions of social life'” (O'Connor &
Arnoux, 1993 cited in Matthews 2004, p376).
Framing a lens through which to view a project such as Waste for Life (WfL) and its potential
social impact is thus of primary importance. As such, a post-development stance has been
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taken for the purpose of this study to enable the situation in the Western Province to be
viewed from a more bottom-up, socially informed approach. Commonly held notions of
‘development’ projects would tend to view the location of this project as underdeveloped,
thus creating a burden of assumptions that this view can carry (Sachs 1992). For the
underprivileged and those to whom the term ‘development’ and development projects are
aimed, the word is a reminder, in many ways, of what they are not, and infers an undesirable,
undignified condition (Sachs 1992).
Further, the idea that the Western Province is ‘less developed’ brings together two possible
interpretations of development as outlined by Ferguson (1994):
• In the first sense, this speaks of development as a progression toward a known end
point, usually modern industrial capitalism; and
• The second refers to improvement in quality of life or living standards by
eliminating or alleviating poverty.
While the second interpretation is a more holistic one which is much more aligned to the aims
of WfL, this interpretation must also be applied from a standpoint cognisant of asymmetries
of privilege and status (Baillie et al. 2010). It is thus through giving high priority to the
‘development’ of human potentials, through social and environmental equity, and through a
bottom-up approach that the lens for this study has been framed.
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3. Approach and Methodology
A significant component of SIA hinges on the selection of which approach to take and the
subsequent steps that follow. Since no two development projects are the same given the
significant differences arising from one social setting to the next, in many contexts there
arises the need for a mixed-method approach if the subject matter is to be suitably addressed
(Fenton 2005). The approach and methodology informing this assessment is shaped by:
• The choice of participatory approach supported by most SIA practitioners; and
• Post-development theory which fits with participatory SIA approach and with WfL
goals.
3.1 Approach
As the first formal SIA for both a composite-based project and for WfL in the Western
Province of Sri Lanka, this study draws largely on qualitative material. This was necessary in
assisting the selection of steps completed within the SIA methodology as well as in the
subsequent understanding of impacts and their significance to the stakeholders in question.
Text-based reviews of government and NGO reports were also used to enhance the
understanding of the Western Province, whereby perception surveys like that of Jayasinghe et
al. (2009) were particularly useful for providing insight into the activities of waste pickers
from a Sri Lankan context. Previous WfL publications (Baillie et al. 2010; Kent 2010) also
provided an understanding of how WfL operates within communities, from which the
suitability of a WfL project could be attained based on the end results of the SIA completed in
this study. As well as the text-based review, primary qualitative data was obtained regarding
waste collection and processing activities within the Western Province, which was used to
capture community-level concerns and to inform the SIA through a participatory approach
(see Section 2.3). Collaboration and meaningful engagement with waste experts, members of
the informal sector and small-scale recycling organisations also assisted in the identification
of key stakeholders in waste management within the Western Province and this further
enhanced recommendations made regarding the suitability of a WfL project.
The participatory approach taken to this study combined with the review of existing literature
is validated by The World Bank (2003, p49), which lists the objective of these two methods
for impact analysis as:
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• Secondary literature review: A secondary literature review is an essential
methodological step in establishing what we already know from existing social,
economic, and political research about the distributional impacts of similar policy
decisions. The aim of a systematic review method of secondary literature review is
to develop an answerable question, search for relevant research (and other
evidence), and/or produce a summary of what the existing evidence tells us. This
is particularly important in a PSIA context where discussions take place in
advance of a policy decision, and might help save on time and need for primary
research; and
• Participatory methods: Participatory research, such as qualitative research, tends to
use more contextual methods and elicit more qualitative and interpretive
information. However, participatory methods bring with them an important
additional philosophical commitment to respect local knowledge and facilitate
local ownership and control of data generation and analysis. In this way,
participatory research can be empowering for different groups of stakeholders.
3.2 Methodology Development
It is important to consider the relevance and necessity of each particular step before its
subsequent inclusion in the methodology. Kent (2010) conducted a review of published SIA
methodologies in order to compile a general framework to SIA from which relevant steps
could be selected. A total of 21 steps guide this general methodology and these are outlined in
Table 9, with the highlighted steps, 12 in total, indicating those chosen for this study.
Table 9: Summary of steps employed in SIA methodology (Kent 2010)
No. Step Description
1 Scoping Identify potentially impacted people; identify
limits; decide on methodology, variables and data
sources (Barrow 2000; Finsterbusch et al. 1983;
Wolf, 1983)
2 Problem Identification Perform needs assessment (Finsterbusch et al.
1983)
3 Establish policy objectives Develop specific, measureable, achievable,
realistic and time-dependent objectives (Nicaise
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and Holman 2008)
4 Public involvement plan Ensure all interested and affected stakeholders are
involved (The Interorganizational Committee
1994)
5 Profiling Determine who is likely to be impacted
(stakeholders), establish current social profile and
baseline data (Barrow 2000)
6 Understand transmission
channels
Delineate channels by which project is expected
to impact stakeholders (The World Bank 2003)
7 Assess institutions Analysis of market structure and implementing
agencies. Analysis of other relevant governments
and organisations (The World Bank 2003)
8 Identification of alternatives Develop reasonable alternatives to proposal
(Barrow 2000)
9 Projection of estimated impacts Project what may happen, who is affected.
Identify cause effect linkages and feedbacks
(Barrow 2000)
10 Estimate indirect and
cumulative impacts
Predict indirect and cumulative impacts of direct
impacts (The Interorganizational Committee
1994)
11 Changes to alternatives Recommend changed alternatives to proposal and
estimate the resulting impacts (The
Interorganizational Committee 1994)
12 Impact Assessment Determine magnitude and effect of impacts;
determine potential for avoidance/mitigation
(Barrow 2000) Determine significance of
identified impacts (The Interorganizational
Committee 1994)
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13 Contemplate enhancement and
compensation
Consider direct compensatory measures where
adverse impacts are unavoidable (The World
Bank 2003)
14 Assess risks Identify what could go wrong; assess assumptions
and identify risks (The World Bank 2003)
15 Evaluation Determine who benefits and who loses; evaluate
whether overall impact is acceptable (Barrow
2000) Select an option (Wildman and Baker 1985)
16 Mitigation Identify measures to counter unwanted impacts
(Barrow 2000)
17 Implementation of project Implement selected option (Wildman and Baker
1985)
18 Monitoring Measure actual impacts; feedback into policy;
develop ongoing monitoring plan (Barrow 2000)
19 Ex-post audit Retrospective audit of SIA process (Barrow 2000)
20 Report findings Present findings to implementing organisation and
stakeholders
21 Management Devise management plan; adjust planning
objectives, operating procedures and design
specifications (Finsterbusch et al. 1983)
The highlighted steps represent those deemed relevant as well as those realistically attainable
over the given time period, particularly since some of the final steps (monitoring, ex-post
audit, management) occur after the implementation of the project. It is therefore the case that
of the 12 steps completed for this assessment, only two further steps were realistically
attainable whereby:
• Step 2 - Problem identification: this was completed by Smythe (2011) in the form
of a preliminary socio-economic, technical and environmental feasibility study.
This assessment builds on and takes further these results.
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• Step 4 - Public involvement plan: interested and affected stakeholders were
engaged through the questionnaire and interviews process, although formulation of
a public involvement plan wasn’t done as this would become much more relevant
with the actual implementation of the project.
The full list of omitted steps and the reason for their exclusion are given in full in Appendix
A. Further to the recommendations made by Vanclay (2003) which now emphasise more
adherence to principles rather than guidelines, the core principles guiding the steps selected
for this assessment are outlined in Figure 7.
Figure 7: Fundamental principles for SIA (Adapted from Vanclay 2003)
Respect for human rights should
underpin all actions.
Promoting equity and democratisation should be the major driver of development planning, and impacts on the
worst-off members of so- ciety should be a major
consideration in all assessment.
The existence of diversity between cultures, within cultures, and the
diversity of stakeholder interests
need to be recognised and valued.
Decision making should be just, fair and
transparent, and decision makers should
be accountable for their decisions. Development projects
should be broadly acceptable to the members of those
communities likely to benefit from, or be
affected by, the planned intervention.
The opinions and views of experts
should not be the sole consideration in decisions about
planned interventions.
The primary focus of all development
should be positive outcomes, such as capacity building,
empowerment, and the realisation of human and social potential.
The term, ‘the environment’, should be defined broadly to
include social and human dimensions, and in such
inclusion, care must be taken to en- sure that adequate attention
is given to the realm of the social.
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The validity of the steps selected for this assessment is endorsed by The World Bank (2003)
who introduce the ‘fit for purpose’ concept, whereby the inclusion of a certain step can be
justified if it is consistent with the overall purpose of the assessment. As this study represents
the very preliminary stages of WfL’s involvement in the Western Province of Sri Lanka, a
strong emphasis has been placed on several of the initial steps, particularly scoping and
profiling which aim to ‘set the scene’ by synthesising existing literature and adding to this
with the obtained primary data.
3.3 Description of Steps
As acknowledged, the steps completed for this SIA were those most relevant and realistic
given the timeframe and availability of resources. It is strongly recommended that an ex-post
analysis of this assessment be conducted to provide a retrospective audit of this assessment
were a WfL project to occur.
3.3.1 Scoping
The scoping stage is consistently the formative step in the SIA process because of its inherent
ability to provide direction for the assessment and relevant background information for the
area in concern. This is used primarily to identify the significant effects of the proposal and
what the potential outcomes could be. Conducting an extensive review of the area and
communities in question is important for analysing and better defining project options
(European Commission 2009), as well as establishing the importance of a certain impact in
terms of:
• How direct the causal chain measure and expected impact is;
• The ‘volume’ or size of the impact; and
• Its political sensitivity.
Fenton (2005) acknowledges that “scoping is often undertaken through direct community
involvement and engagement processes and through a review of existing and relevant
documents, reports and other materials” (p16). This can subsequently involve the
development of a public involvement plan, as noted, or integration with an environmental
impact assessment (EIA) process although these weren’t considered given the preliminary
stage of WfL’s involvement. It must be noted, however, that any environmental impacts
arisen from a WfL project would likely be positive in nature given the reduced, albeit minor,
volumes of waste to landfill through increased recycling.
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For the purpose of this assessment, this scoping phase was used as a means of describing the
existing environment in the Western Province regarding:
• Waste management: the inadequacies within the current SWM system that give
rise to informal sector activities;
• Waste pickers: their collection and sorting activities, whether or not there is
presence of co-operatives, social marginalisation etc; and
• WfL: given the above, would it be feasible for WfL to consider a project?
Considering this was based entirely on qualitative review of previous literature, the profiling
stage (see Section 3.3.3) became of high priority and was used to obtain primary data to either
validate or contradict previous literature. Describing the current social environment
establishes the baseline conditions recommended by Barrow (2000) to which impacts can be
measured against. It is also advised that social indicators are also identified in this scoping
phase (Becker et al. 2004; Fenton 2005), and while Lane et al (1997) indicate that this can be
achieved through review of census data and changes therein (as a result of a
project/development), this is often more suited to large-scale development projects and isn’t
considered by WfL. As a guideline, however, the indicators identified by the EESC (2010) are
valid to this assessment:
• Employment and labour market;
• Standards and rights related to job quality;
• Social inclusion and protection of particular groups;
• Equality of treatment and opportunities, non-discrimination;
• Social protection, health, social security and educational systems; and
• Public health and safety.
As such, impacts that provoke changes therein should be recognised wherever possible.
3.3.2 Establish Policy Objectives
The main objectives of this assessment are inherently aligned to those of WfL whereby this
study aims to investigate the Western Province in terms of its potential for WfL to co-create,
with local groups, poverty-reducing solutions to waste problems (Baillie et al. 2010). WfL has
previously worked with local groups in Maseru (Lesotho) and Buenos Aires (Argentina) to
create processes for transforming waste materials into natural fibre composites for products
such as insulating roof tiles and wallets. This assessment emphasises the impacts of a WfL
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project in terms of social benefits and costs to waste pickers in the Western Province, who are
the focus of WfL’s involvement. The twin goals are WfL are well defined as:
1. to reduce the damaging environmental impact of non-recycled plastic waste products;
and
2. to promote self-sufficiency and economic security for at-risk populations who depend
on waste to survive
Thus, while the location of the proposed project has changed, the objectives of WfL remain
the same.
3.3.3 Profiling
The profiling phase is another preliminary stage in the SIA process usually closely linked to
the scoping stage, whereby profiling can be partially completed using existing literature and
reports (Fenton 2005). The profiling step is best summarised by Figure 8.
Figure 8: Profiling considerations (EESC 2010)
While the foreseen action (a WfL composite project) was already determined prior to this
assessment, other considerations thereafter were not, such as:
• What effects will be generated (types of impacts);
• Who will be affected and in what way; and
• What evidence and techniques can be used to assess potential impacts.
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Profiling therefore takes the completed scoping one step further by obtaining primary data
(see Section 3.4) and beginning to identify the likely impact of this project on the area and
stakeholders determined from scoping. Perceived impacts that initiate changes to any of the
guideline indicators outlined in Section 3.3.1 thus require further investigation, whereby the
effect of the impact is best observed by comparing it to already determined baseline
conditions.
3.3.3.1 Stakeholder Analysis
The stakeholder analysis process identifies all parties relevant to the proposed WfL initiative,
whether directly or indirectly affected. This covers a necessarily broad spectrum of parties,
ranging from individuals and small-scale co-operatives all the way to large institutions and
NGOs that could potentially be affected by. Given the sheer scale of the area in question, only
key stakeholders were assessed by Smythe (2011), and were ranked based on their relative
interests in a WfL project. Nine different types of stakeholders provided feedback in order to
complete this assessment and these are further discussed in Section 4.3.1.
3.3.4 Understanding Transmission Channels
To understand transmission channels is to understand how the various impacts are conveyed
to the stakeholder and in what form, as these channels delineate the mechanisms through
which changes are induced (Kasmann 2009). In this instance, transmission channels explore
the various pathways to which social capital and infrastructure are converted to economic and
social gain for the stakeholder. Boulila et al. (2008) demonstrated that:
• The level of trust as a measure of social capital and growth are significantly and
positively correlated; and
• A high level of trust also has an indirect effect on economic activity through its
effect on institutional development.
This highlights the importance of the agent’s behaviour, WfL in this instance, in encouraging
trustworthy relationships and a co-operative climate to gain maximum benefit from a project
(Boulila et al. 2008). Thus, while the behaviour of WfL depends on qualitative factors such as
trust and co-operation, the transmission channels can lead to qualitative, quantitative, direct
and indirect impacts. Relevant transmission channels of impacts and related details are given
in Table 10. These have been incorporated into this methodology for their ability to classify
impacts into appropriate, organised groups which in turn presents the information in a manner
compatible to decision makers at WfL. Further, grouping impacts into transmission channels
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can facilitate recognising their expected timeframe, as well as determining those that are
indirect or cumulative (see Section 3.3.7).
Table 10: Transmission channels and details (Adapted from Kasmann 2009)
Types of Impact Type Details and risks that may influence the
effectiveness of this channel for intervention
Economic Production
Increased prices could be expected for better
quality handicrafts (which respond to better
markets)
Employment Informal Opportunities for self-employment created
Transfers Subsidy Provision of subsidies for credit, for inputs
Access
Information
services
Market information services need to be
provided
Microcredit Extension of microcredit services
Markets Opportunities available, but barriers to entry
may be high
Authority Formal
organisations
Creation of producer associations or co-
operatives. Activation of commune councils to
support poor producers
Assets
Physical Increase in tools/equipment and maybe small
buildings required to produce handicrafts
Natural Planting/management of raw materials required
for handicrafts
Human Improved skills, knowledge on production,
credit and marketing
Social Informal groupings of producers
Financial Improved savings and use of credit
3.3.5 Assess Institutions
The World Bank (2003) states that “Institutions determine the framework in which policy
reform might affect stakeholders in government, private sector, and civil society and are the
main arenas in which stakeholders interact with one another” (p. 16). Thus, the importance of
assessing such institutions arises as a response to their potential to carry and transmit change
(The World Bank 2003), and the effect this may have on social outcomes. Since WfL’s
proposed actions are to occur on a micro level, the primary institutions involved are NGOs,
CBOs and small-scale recyclers and co-operatives that can translate a WfL project into real
results for the people involved therein. Government and business/private sector are not
considered as their inclusion undermines the fundamental principles of WfL in working at a
community level and through a bottom-up approach.
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3.3.6 Projection of Impacts
A common technique used for projecting the observed social impacts is to determine baseline
conditions (as seen in the steps prior to Section 3.3.5) and, from these, predict future
conditions both with and without the proposed project (Barrow 2000, Becker et al. 2004).
These impacts should be ‘direct’ in the sense that they arrive specifically from the proposed
project (Vanclay 2002). In the instance where changes are either accelerated or occur at the
normal rate of social change, this is by no means a ‘direct’ impact from a project and thus
should be classified accordingly. It is for this reason that the aforementioned transmission
channels must be understood, as to classify these impacts as direct, indirect and cumulative,
after which an expected timeframe can be indicated. Estimated times of occurrence were
formulated based on the nature of each individual impact and are presented in Section 4.6.
3.3.7 Estimate Indirect and Cumulative Impacts
Historical criticisms of SIA processes claim that they focus largely on individual events rather
than cumulative change and the evolving social context in which they occur (Lane et al.
1997). Change occurs as a result of cumulative impacts, which are best described as “those
that result from the incremental impacts of an action added to other past, present, and
reasonably foreseeable future actions regardless of which agency or person undertakes them”
(The Interorganizational Committee 2003, p235). To this extent, a large component of
measuring these impacts is longitudinal, as indirect and cumulative impacts can take years,
even decades, to become apparent.
While indirect and cumulative impacts are often more difficult to gauge for this precise
reason, they still must be identified, as much as possible, in order for mitigation and
avoidance mechanisms to be implemented. This reiterates the importance of establishing a set
of baseline conditions against which such impacts can be measured. Even in circumstances
where the occurrence of cumulative/indirect impacts is vague or ambiguous, they should at
minimum be recognised so that decision makers are made aware of the potential for their
occurrence. Including cumulative impacts therefore increases the scope of this assessment due
to the consideration of more variables and a longer time frame.
3.3.8 Impact Assessment
The purpose of the impact assessment step is to provide relevant, meaningful details on
significant and problematic impacts arisen from completing the previous steps (Newcastle
City Council 1999). Although it is important to recognise all relevant outcomes, more
emphasis should obviously be placed on the most significant impacts, with The
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Interorganizational Committee (1994) acknowledging that this requires a “focus on the most
significant impacts in order of priority” (p.20). Moreover, while The Interorganizational
Committee (1994) notes that marginalised social groups may not necessarily be able to
participate in the earlier stages of the SIA process, involvement of the informal sector was
achieved in the profiling stage (see Section 4.3.2), with impacts that were identified by
multiple interviewees given high priority.
A mixed range of approaches exists for assessing the significance of each impact and this is
inherent to the type of impact in question. Where conflicting outcomes are observed, The
World Bank (2003) suggests aiming for the best possible balance between them, which
primarily involves identifying the advantages and disadvantages of each impact. This
approach, however, lacks the ability to incorporate the many drivers of the impact itself.
Complexities arisen from quantifying and evaluating each impact are best managed by the
methods outlined in Section 2.4.
A full comprehension of each impact requires a thorough understanding of the social setting
in which they are to occur. This is achieved through the aforementioned techniques whereby
primary data acts as a driver for understanding the social arena in question and for providing
direction in quantifying the above impacts, particularly those with a strong bearing on the
community. Certain impacts, such as chronicity (expected time of impact occurrence) and
locality (expected region of impact), may be seemingly pre-empted based on the planned
direction of the project, however this is not advised as even those impacts which seem
obvious may change over the course of a project in a dynamic social setting. Summerville et
al. (2006) note that certain impacts may even be experienced as early as when people become
aware of a potential project occurring. While this is innately difficult to define, feedback from
the questionnaire aims to voice the opinion of the community, as well as to reduce uncertainty
and increase the capacity for the SIA to mitigate against negative impacts (Burdge and
Vanclay 1995).
Impact assessment criteria for WfL in Sri Lanka were formulated in order to adequately
classify the most significant components of each impact. The classifications used within each
of the criteria were developed using a combination of the methods outlined by Vanclay (1999)
and Kent (2010), and are indicated in Table 11.
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Table 11: Impact criteria and classification (Adapted from Kent 2010, Vanclay 1999)
Criteria Classification Additional Comments
Directionality Positive Directionality is an individual-specific
measure of impact. Negative
Neutral
Certainty Highly likely (>80% chance) Probability of impact occurrence
decided based on local information and
other relevant resources. Likely (60 - 80% chance)
Possible (40 - 60% chance)
Unlikely (20 - 40% chance)
Highly unlikely (0 - 20% chance)
Frequency One-off Impacts will be rendered more positive
or negative based on their likelihood of
re-occurrence. More than once
Severity High Severity is a raw measure of the
consequence of a certain impact,
before consideration of certainty,
frequency etc.
Medium
Low
Chronicity Short-term (<1 year) Expected time of occurrence of impact.
Medium-term (1-5 years)
Long-term (>5 years)
Locality Immediate Expected region of impact, whether it
be in the immediate vicinity or a more
widespread effect. Mid-spread
Wide-spread
Susceptibility High How susceptible the particular
stakeholder is to a certain impact. Medium
Low
Mitigability High Mitigation potential based on possible
implementation of mitigation
strategies. Medium
Low
Intractability Cumulative potential (Low or
High)
High or low potential for symbiotic
effect with other impacts.
Criteria such as susceptibility and mitigability are ranked as high, medium or low as this was
deemed the most appropriate method in classifying such qualitative factors. While Kent
(2010) includes ‘significance’ as well as ‘consequence’ in the assessment criteria, in this
instance only ‘severity’ was used as an effective measure to describe both. Locality was also
included as an impact criteria to attempt to describe the vicinity within which the impact is
likely to occur. While it is anticipated that the impacts will remain closely confined to the area
within question due to the small-scale nature of WfL operations, it is important to
acknowledge any impacts that have the potential to disperse on a medium or wide-range
scale, should these occur.
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3.3.9 Assess Risks
The risks associated with each impact should be dealt with through an adaptive methodology
capable of doing so as they arise throughout the project, as pre-emptive guesswork could
potentially yield excessive amounts of impacts that may not even occur. Thus, assessing risks
after the feedback from the questionnaires and interviews was deemed the most time and
resource effective method as it allows for informed decisions to be made regarding the risks
associated with each recognised impact. The World Bank (2003) states that this should be an
end of exercise reflection, comprising of:
• Identifying assumptions about what should and should not happen in order for a
policy to achieve its goals;
• Making a judgement to the likelihood that each assumption will hold, and it’s
importance to policy; and
• Adjusting policy in light of the risks identified. The more likely it is that an
important assumption will be invalid, the greater will be the need to alter the
policy.
The risks associated with each adverse impact were used to determine an overall ranking for
each of these, from which mitigative techniques could be suggested.
3.3.10 Evaluation
Fenton (2005) states that evaluation “is the process of determining community acceptability
of the impacts identified in the prediction phase of the assessment” (p18). As such, a large
component of this evaluative procedure should be given to the public in order to catalogue
how these social impacts will affect individuals and communities alike. This evaluative
procedure should assess the direction of forecasts made about social impacts (The
Interorganizational Committee 1994) before ultimately deciding who wins and who loses
(Kent, 2010).
The evaluation of impacts is driven by a judgement-based component, which The
Interorganizational Committee (1994) believes should be conservative enough to ensure a fair
analysis of potential impacts. Consideration of whether or not the impact is acceptable should
be a part of this conservative process (Kent 2010), whereby impacts should not be ruled out
with confidence if the impact is not definitive in either positive or negative direction. Vanclay
(2003) notes that “evaluation of an SIA needs to consider its intended purpose” (p7) and,
although his context implies evaluation in terms of the entire SIA framework, this extends to
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the evaluation of individual social impacts which too should be related back to the intended
purpose of the SIA. Since the aim of this assessment is to estimate the impacts of a potential
WfL initiative, evaluation will also assess whether the impacts identified and the framework
used effectively do this.
3.3.11 Mitigation
Mitigation, in any context, aims to reduce or avert the effect of potentially negative impacts.
Once negative impacts have been recognised, mitigation strategies should be detailed to
suggest ways of minimising social disruption and the extent to which it is felt (Fenton 2005).
This step is again intrinsically linked to community participation as individuals must be
consulted and impacts understood before mitigation strategies can be suggested. In the
instance of WfL, mitigation in the form of compensation (as suggested by The World Bank
(2003)) is not an option as the entire aim of WfL projects are to encourage autonomy and
economic security through education and awareness, not compensatory measures.
Although this step is aimed at mitigating all potentially negative impacts, there remain
unforeseen impacts that may arise over the life of the project. It makes good sense that such
impacts would occur over longer time frames since intuitively, short-term impacts are more
readily identifiable and a longer timeframe lends itself to the occurrence of more cumulative
and indirect impacts. This highlights the importance of monitoring and evaluation
mechanisms that should be deployed from the project implementation stage to identify such
impacts (The World Bank 2003), and, although these cannot be included in this assessment,
their inclusion upon commencement of the project is recommended.
3.3.12 Report Findings
As the first formal SIA conducted for WfL in Sri Lanka, this assessment gives rise to
recommendations for, and forms the basis of, future research in the Western Province.
Findings are reported using a structured, process-driven approach that aims for compatibility
with all relevant parties and, importantly, in a manner not overwhelming or incompatible to
stakeholders.
Based on the findings from the aforementioned steps, consideration will be given to re-
sequencing the project (The World Bank 2003) if necessary, or at a minimum outlining
potential changes that could be made for future benefit to decision-makers. While it is highly
unlikely that negative impacts will outweigh positive impacts to the extent that the project
would be doing more harm than good, should this occur, recommendations for abandonment
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or suspension of the project will be made. Since the assessment of impacts (see Section 3.3.8)
forms the basis of the reported findings, assessing impacts needs to be stringent, thorough,
and well-structured to avoid any false judgements or misrepresentation. The assessor
therefore takes on a large amount of responsibility in ensuring that this is achieved and that
the findings are reported in a manner that accurately reflects the accounts of those
interviewed.
Where possible, explaining these results will entail the use of qualitative research to identify
the dynamics potentially responsible for these survey findings (The World Bank, 2003).
Ultimately, this development process is one that attempts to assist those most in need through
a bottom-up empowerment process. Empowerment, in its many forms, is achievable in this
assessment through increasing awareness of the predicament of individuals and groups
discussed, and by ensuring that a community-driven result is achieved by taking into account
potential impacts and all other concerns voiced by interviewees. Given that the waste pickers
in question have extremely fragile autonomies stemming from a strong dependence on waste
buyers, the empowerment process aims to eventually achieve sustainable income and an
increased sense of livelihood for these individuals, while bringing about positive change in
both an environmental and social justice context.
3.4 Data Collection
A questionnaire was developed with the aim of raising issues that could enhance the
understanding of the area, communities and stakeholder interactions of concern, and to
subsequently use this feedback as a means of addressing the various steps described in
Section 3.3 to evaluate the potential for a WfL project. The 17 questions are as follows:
Scoping/Profiling
1. Who do you think would be most impacted by a WfL project?
2. Are these impacts likely to be positive or negative?
3. What are the main problems that people would associate with a WfL project?
4. Who would be the key stakeholders in a WfL project?
5. What is the current structure of relationships/interactions between these stakeholders?
6. Is WfL likely to impact on these? (Either positively or negatively)
7. Where in the Western Province would WfL’s work have most impact?
Assess Institutions
8. Have any similar projects been implemented? If yes, to what degree of success?
9. Would a WfL project be feasible in the Western Province?
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Projection of impacts
10. What are the main impacts that could arise as a result of a WfL project?
11. How long lasting are these likely to be?
Estimating indirect/cumulative impacts
12. Do you think there are any indirect/cumulative impacts that could WfL as a result of a
WfL project?
13. How significant are these?
Assess Risks/Mitigation
14. What are the main things that could go wrong with this type of project?
15. Who are these impacts most likely to affect?
16. How could these be minimised?
17. What factors do you feel would enhance WfL’s success?
These questions were used to guide interviews conducted by Randika Jayasinghe (RJ), a
UWA Ph.D. student of Sri Lankan origin, during a visit to the Western Province in January –
February 2012. In total five audio interviews provided primary, qualitative data for this study,
with all interviewees possessing years of experience in SWM in Sri Lanka. It is important to
note that the interviews conducted were broadly-based and that although the above questions
acted as a guide, the semi-structured nature of the interviews encouraged an open discussion
and meant that not all questions were answered directly. Interviews were conducted and
recorded during the visit to the Western Province and were processed as part of this
assessment in order to provide the feedback required to complete the profiling step (see
Section 4.3.2.1).
In addition to these, several interviews were also completed with members of the informal
sector. The respective identities of these participants are illustrated below.
Table 12: Informal sector participant information
Interviewee(s) Gender Location
ID
Number
2 x Local Authority Waste Collectors 1M, 1F Kandana LA 6
Waste Picker F Katunayake Dumpsite 7
Waste Picker M Katunayake Dumpsite 8
Small-scale Recycler M Moratuwa 9
Small-scale Recycler - Ragama 10
Small-scale Recycler - Horana 11
Small-scale Recycler - Polgasowita 12
Co-Operative - Godigamuwa 13
2 x Municipal Council Workers 2M Maharagama MC 14
Small-scale Recycler - Negombo 15
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All interviews with the informal sector were conducted face-to-face and in Sinhala by RJ,
with translated results provided for further analysis in this assessment. Again, these were
semi-structured in order to encourage an interview open to discussion, with key findings
related to this assessment provided in Table 14 and Table 15.
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4. Results
4.1 Scoping
The current waste profile in the Western Province is one in great need of an overhaul based on
the generated volumes of MSW alone (Perera 2003), and while inadequacies remain at all
levels within SWM, this enhances the prospect of novel livelihood projects like those of WfL.
WfL’s potential involvement is, in no capacity, an intended solution to the waste management
problems of the Western Province, rather a support and education process by choosing to
work on those problems identified by marginalised groups (Baillie et al. 2010). This process
can also act as a model from which the fundamental approach of WfL could be duplicated on
a larger scale in an attempt to alleviate poverty and create autonomy for the groups in
question. The significance of WfL’s involvement is the unique opportunity it affords waste
pickers to become more autonomous and financially secure through an approach aimed at
making current institutions more efficient, and including the waste pickers as ‘owners’ in the
development process (Baillie et al. 2010).
Further to the magnitude of environmental concerns and the current lack of adequate
implementation and enforcement of SWM policy, problems in the Western Province are
heightened by “the shortage of funds for investment in urban infrastructure, the lack of
institutional capabilities at the CEA to enforce the existing regulations and standards, and
insufficient attention on the part of local governments” (The World Bank 1995, p5). The
acknowledgement that “community based systems take advantage of the creativity and
entrepreneurial abilities of individuals who are familiar with their communities, with the
surrounding environment and the opportunities it offers to them” (Medina 2005, p5) is an
encouraging one for a WfL initiative as it would work closely with a small-scale co-operative
or organisation in the Western Province to provide such opportunities.
4.2 Establish Policy Objectives
Objectives were developed in a manner consistent with WfL’s fundamental objectives of
using a bottom-up approach to promote social inclusion and emphasise the development of
human potential. The primary intention of WfL’s proposed involvement is to bring about
positive change to groups, not individuals, in a manner respectful of asymmetries of privilege
and status that exist in the Western Province, and in a way that reduces alienation and
marginalisation of such groups through affording them greater access and opportunity. WfL’s
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deeply-rooted focus on education, solidarity and social justice has enabled this to occur
through previous projects (see Section 2.9), and these same fundamental objectives would
apply to a project in Sri Lanka.
4.3 Profiling
4.3.1 Stakeholder Analysis
A study completed by Smythe (2011) produced a total of 17 key stakeholders in the Western
Province and ranked them according to their potential impact on a WfL project and the
relative priority of their interests. For this assessment, eight of these stakeholders completed
either an interview or questionnaire and were subsequently investigated further, as well as a
recycling co-operative to form a total of nine. Table 13 highlights these nine stakeholders in
terms of their perceived interest in the potential environmental, social and economic impacts
that could result from a WfL project. For example, the first column is only positive if the
interest of the stakeholder is to reduce environmental impact.
Table 13: Franklin plot for WfL in the Western Province
Stakeholder Environmental Social Economic
Waste Pickers
Door-to-door Collectors
Co-operatives + +
CBOs
+ +
LA Collectors
Other NGOs
+ +
CEA +
LAs -
Small-Scale Recycler + +
Only the nine stakeholders from whom feedback was obtained (see Section 4.3.2) were
included in this plot as they could be assessed on their environmental, social and economic
interests based on the feedback they provided. Although Table 13 is a rudimentary guide only,
it indicates that those who could potentially gain the most from a WfL project are co-
operatives and small-scale recyclers, CBOs and NGOs. This therefore implies that a WfL
project in the Western Province of Sri Lanka would be best suited to working with these
groups. It would seem that co-operatives and small-scale recyclers are better suited candidates
as a WfL project would complement their existing sorting activities. NGOs and CBOs could
potentially be used to enhance the project through further encouragement of community
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participation or by becoming involved in the microloan process. Although WfL doesn’t work
directly with individuals and thus waste pickers, door-to-door collectors and LA collectors are
left blank (no impact), the feedback obtained from them is important in understanding the
current social profile and any relationships between stakeholders.
4.3.2 Social Profiling
The importance of profiling, as detailed in Section 3.3.3, is to achieve an in-depth
understanding of the area likely to be affected by the proposed change. This was
accomplished through a series of audio interviews with waste management experts and
written questionnaires with informal sector workers to gather background information and to
gauge the potential for a WfL project.
4.3.2.1 Audio Interviews
Face-to-face audio interviews were conducted with five different participants, all of whom
possess years of experience in SWM in Sri Lanka. The semi-structured nature of these
interviews encouraged open discussion and there were several widely acknowledged issues
including:
• Political Considerations: under the current structure, money is not being adequately
directed to local authorities and municipal councils in order to deal with waste
management and urban poor problems. This, coupled with greed, corruption and fear
of political backlash is a large deterrent in the ameliorating of current standards.
• SWM: solid waste management has improved but needs to be fully privatised to
increase responsibility and achieve desired standards. This should stem from
household separation and composting, and from people changing their attitude from
viewing waste as a burden to viewing it as a productive resource.
• Dump Sites: long-term options need to be developed to avoid landfill particularly with
increasing population and pressure on the waste management industry. Where landfill
is unavoidable, better disposal sites need to be selected and determined scientifically.
Current illegal disposal is prevalent on roadsides and water courses and contributes to
disease.
• Local Authorities: there exist huge discrepancies in waste management structures from
one LA to another. This is evidenced by cleanliness of certain regions as opposed to
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others where large waste piles dominate the landscape. Community involvement was
identified as a key in the success of development projects in LAs.
• Waste Pickers: still regarded as ‘downtrodden’ members of society and are highly
marginalised as a result. People view those working with waste pickers as a radical.
While perception has gradually improved due to increased awareness of their
predicament, there is still a long way to go in reaching desired levels of social justice.
The informal sector is important in recovering materials for recycling which would
otherwise disappear into landfill.
• WfL: a potential project was acknowledged as a feasible initiative provided there is
enough involvement with waste pickers, recyclers, CEA and LAs. It was
acknowledged that there are certain CBOs capable of running this type of project.
• Recommendations: strategies and future aims were identified including implementing
the 7 R’s of recycling (see Appendix B), and the need for initiatives to be simple and
functional at community level. The importance of education is also acknowledged,
with commitment forming a key component, not just in terms of monetary
commitment but with regards to creating long-term, self-sustainable systems.
Results from the audio interviews reiterate findings from recent literature (Jayaratne 1996,
Mannapperuma & Basnayake 2007) by highlighting the lack of adequate resources for SWM,
lack of awareness of the general public on the importance of household level waste
separation, and the deeply encompassed negative public attitude towards waste pickers and
even formal sector employees. There is unequivocal support from all interviewees for the
privatisation of SWM, with many noting the added benefits of coupling this privatisation with
community educational processes. This has the potential to partially alleviate the increasing
burden of SWM from private companies and subsequently create long-term economic, health
and environmental benefits through better, more efficient re-use of waste. Until this
privatisation occurs however, it appears that novel livelihood projects like those of WfL are
welcome options in addressing the problems brought about by SWM deficiencies, provided
there is enough consultation with local community and key stakeholders. The entire summary
of these audio interviews can be found in Appendix B.
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4.3.2.2 Informal Sector Interviews
Interviews were also conducted directly with members of the informal sector, including local
authority waste collectors, waste pickers, small scale recyclers and a recycling co-operative.
While the geographical location and nature of the work of the participants varied, the intrinsic
link between them is that all of their respective positions are brought about as a response to
the Western Province’s poor waste management and disposal. Interviews were completed in
two parts, with the first part focussing on the profiling of respective interviewees while the
second focuses on product development and gaining feedback from participants regarding
product suggestions and their willingness to participate in a WfL initiative. Results from the
first part of the interviews are given in Table 14.
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Table 14: Informal sector profiling interview
Question Response Participant Number Comments
What income do you
make from waste
collection/recycling?
Rs 0 - 500 6,7 Only participants 6,7,8 and 14 earn money from waste
collection as other stakeholders are recyclers or co-
operatives. Rs 500 - 800 8
Fixed Salary (undisclosed) 14
Where do you collect
your waste? Households 6,14 Participant 15 receives assistance from unemployed
housewives in the area by taking the waste to their houses
for sorting and collecting at a later stage. Dumpsite 7,8,14
Shops 9,15
Waste Pickers 9
Have Own System 10,11
Buy Externally 11,12,15
How many hours do you
work? 6 - 8 6,7,8,14,15
Participant 15 works up to 12 hours per day.
Method of collection? Households 6,10,11,12,14,15 Participant 13 reports that households and waste pickers
bring the waste directly to the co-operative. Factory Leftovers 7,8,10,12
Open Dumpsites 9,10,11,12,14,15
Shops 9,15
What risks/dangers do
you have? No Safety Gear 6,14 Male participant 6 had severe cut to hand from glass.
Participant 3 notes the competition that exists at the
dumpsite. Participant 14 notes that collectors have to
travel in the truck with the garbage.
Cuts/Bruises 6
Travel 7
Harassment 7
Lack of Facilities 7
Competition 8
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Insufficient Amounts of
Waste/Machinery 9,10,11,12
Unable to Expand 9
Cheaper Imported Goods 9
Drying Plastics After
Washing 11,12
Low Market Demand 13
Plastics Unclean 15
Who do you sell it to? Waste Collectors 6
Participant 6 and 14 give pieces of plastic, metals and
cardboards to waste collectors although this is discouraged
by the local authority. Participant 8 notes the connections
that exist between middlemen and thus refuses to try and
negotiate better payment for materials for fear of his buyer
finding out. Participants 9,10,11,12,13 and 15 sell pellets
to manufacturers.
Middlemen 7,8
Product Manufacturers 9,10,11,12,13,15
Can you sell directly to
recyclers or industries? Yes 8,13 Participant 8 sometimes sells to small-scale recyclers
although finds it much easier to sell to middlemen.
No 6,7,14
If not why? Lack of Time 6
Lack of Contacts 7
Are you part of a
collective/co-
operative/community
based organization?
Yes 13 Participant 13 is a co-operative.
No 6,7,8,9,10,11,12,14,15
Do you have any funding
from government, NGO
or other?
Yes 6,13,15
Participants 6 only receive 2 pieces of soap from
LA/government and no benefits of being a permanent
worker despite having worked with LA for 4-5 years.
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No 7,8,9,10,11,12
Have to work in rain without jackets and no first aid
facilities, as has Participant 14. Participant 13 receives
some funding from CEA. Participant 15 received initial
support from IUCN and Red Cross.
Do you use any
equipment or protective
gear?
Yes 9,10,11,12 Participants 9,10,11 and 12 all supply masks and gloves to
employees for protection.
No 6,7,8,14
How many informal
waste collectors operate
in your area?
Not Sure 6,8 Participants 13 and 14 note that approximately 200 waste
pickers bring their material to the co-operative to be
processed. Participant 7 notes that roughly 100 waste
pickers operate at the Katunayake dump site and that this
competition can even cause injury as waste pickers rush to
gather materials, particularly as new dump trucks arrive at
the site. No stakeholders noted children waste pickers,
mostly stating that children aren't allowed on such waste
sites. The majority of participants also noted that waste
pickers are predominately male although female waste
pickers are also present.
15-20 10
25-30 12
30-50 11
100 7,9,15
200 13,14
What are the main
problems associated with
your work?
Social Perception 6,7,8,14,15 Participant 6 notes the lack of respect and poor treatment
they generally receive from society. Participant 7 is often
harassed by other male workers and has health issues (sore
back etc.) from working long hours and from inhaling
dust. Participant 8 notes the process of gaining an identity
card, which is now required for waste picking at
Katunayake dumpsite, is a problem. Participant 14 notes
that households aren't friendly towards them, refuse to
separate garbage and blame them for improper collection.
Participant 15 notes the huge water bill that has to be
payed to LA for washing of plastics.
Harassment 7
Health Issues 7,8
Identity Cards 8
Lack of government support 9,10,11,12
Compliance with regulations 10
Storage 13
Water Bill 15
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Results from Table 14 provide a unique insight into the respective lives of interviewees and
an indication of the current profile within which they operate. There is a no safety gear
provided to individual waste pickers who collect their waste from dump sites to make the
same or greater income than formal waste collectors. This in itself highlights the deficiency
and extent of the SWM problems in the Western Province as the current lack of formal sector
personnel is only aggravated by poor working conditions and reward for effort. One of the
principal concerns noted by many of the interviewees was the scrutiny they endeavour from
the general public who treat them poorly and without respect. This is consistent with the
feedback from the audio interviews noting the particular importance of public awareness –
through education on the environmental and economic benefits brought about by waste
pickers and co-operatives, a positive shift in public perception of the informal sector is
possible.
These findings also acknowledge the significant dependence of waste collectors on
middlemen. Both participants 7 and 8 note their dependence on middle buyers as well as the
connections that exist between these buyers, with participant 8 acknowledging that he refuses
to try and negotiate a better price (from another buyer) through fear that his buyer will find
out and abandon him. Although Participants 6 and 14 sometimes give their recyclables to
waste pickers, they note that this is discouraged by the local authority. Participants 9-13 and
15 can all obtain higher prices for their recyclables as they are able to pelletise them and
subsequently sell directly to product manufacturers, although Participant 9 notes that
insufficient processing equipment, the inability to expand their organisation and the presence
of cheaper imported goods limits their income.
The second part of the interview focussed on market research, from the same participants, to
obtain an idea of potential products that could be developed using the hotpress. An example
of a composite developed by WfL was presented to the interviewees with subsequent
questions regarding potentially useful products for their community. This complements the
work completed by Smythe (2011) which indicates waste sources and the suitability of
potential materials for this scheme. The ideas presented in Table 15 coupled with the
acknowledgment that there are “sufficient amounts of suitable waste materials to sustain the
project” (Smythe 2011, p55) indicates both desire to participate in a composite-based project
and the environmental feasibility that can be achieved through reducing waste levels on a
small-scale.
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Table 15: Informal sector product opinion interview
Question Comments
Would you like to move on to
manufacturing from collecting
and/or recycling?
Interviewees 9,10,11,12,13 and 15 all noted that they would like to move on to manufacturing
but that they would all require some form of assistance, whether it be financial, infrastructure or
other. At this stage, all small-scale recyclers (interviewees 9-13 and 15) manufacture pellets for
on-selling but would like to create products from these pellets.
When you look at this sample,
what products do you think it can
be used for?
Across all interviewees: Waste bins, waste trolley frame, jewellery, garbage bags, souvenirs,
flower pots, bags, floral arrangements, mats, furniture, ornaments, storage boxes, crates, tiles,
garbage sacks, waste collection equipment.
Have you done product
development already? As waste collectors/pickers, none of interviewees 6,7 or 8 have done product development.
Interviewees 9,10,11,12 and 15 all wash plastic materials and produce pellets for onselling.
What materials would you suggest
for a composite materials
development?
Across all interviewees: Plastic bags, fabric pieces, paper, cardboard, rice straw, irrigation pipes,
gutters, fittings, packaging with aluminium foil, polyethene bags.
What products do you think most
people in your community need
and would be willing to buy?
Interviewee 6 notes that waste bins and trolley frames for LAs would be a valuable product.
Interviewee 7 states that bags and mats are needed in the community, while Interviewees 9,10
and 15 believe crates are required. Interviewees 8,9,10 and 11 state that furniture would be a
welcome addition while Interviewee 10 also notes that shoe soles, and book covers would be
welcomed.
Do you have the facility here to
make a hot press? Interviewees 9,10,11,12,13 and 15 all state that they have the facilities to make a hotpress, with
Interviewee 10 noting that much of the recycling equipment is manufactured locally in Sri
Lanka.
What are the benefits and/or risks
you can see in this process? Benefits: 6,11,15 waste reduction. 7,8,10,12 additional income. 8 doesn’t have to collect waste
every day if can make better income. 9 allows own products to be made. 12,13 improve
company. 13,15 create jobs for unemployed.
Risks: 9 funding might be a problem, large manufacturers wouldn't be happy if pellet supply was
reduced. 14 politicians may try to exploit a project if successful.
Are you willing to participate in a
waste-based composite
development project?
All interviewees stated that they would be willing to participate, with many stating that this
would be a good opportunity to do something new and creative. Interviewees 6 and 14 noted that
they would only participate if given permission by the LA, and Interviewee 7 stated that they
would be willing to join a co-operative to do so.
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Interviewees 9-13 and 15 all note an eagerness to become involved in manufacturing end-
products although the main constraints associated with this are financial and that they would
require some form of assistance. Further, all interviewees are willing to participate in a
composite development project and note the opportunity it would afford them to do
something new and creative. This reiterates the prospect for a WfL project as it indicates the
potential to involve local community in order to create a social enterprise by supporting these
worker-owned groups (Lee 2012).
4.3.3 Economic Profiling
The Sri Lankan government continues to seek to reduce poverty through a combination of
state directed policies and private sector investment promotion to spur growth in
disadvantaged areas, develop small and medium enterprises, and promote increased
agriculture (CIA 2011). Despite the Western Province, particularly Colombo, being able to
capture the “benefits of globalization, increased trade and investment opportunities” (Asian
Development Bank 2002, p2), and its “long standing tradition of providing support for the
poor” (Asian Development Bank 2002, p16), there is still widespread evidence of poverty
whereby waste picking arises as a survival mechanism. This is coupled with a lack of
advanced skills in the labour force and inflexibility in the labour market (Asian Development
Bank 2002).
Additionally, the rigidity of the labour market often means that waste picking becomes a full-
time predicament, whereby the marginalised position of the unemployed is enhanced once
they turn to waste picking, although for many this is the only other option. This apparent
dichotomy is unhelped by political influence, with most waste pickers acknowledging that
certain collectors have a monopoly in obtaining waste due to their political support
(Jayasinghe et al. 2009), inferring that the divide between waste pickers and middle buyers
continues to grow. This presents an opportunity to NGOs and other CBOs aimed at initiating
projects for those individuals and communities who may not experience any levels of
economic, government and job support.
The benefit of NGOs offering microfinance to communities is that it strengthens the social
and economic status of these communities through savings and credit procedures (Gemidiriya
2012). The Gemidiriya Foundation lists the following as some of its aims for providing
microloans:
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• Strengthen group system;
• Develop savings among the members;
• Fulfil loan requirements of the members and make loan disciplines;
• Provide financial facilities for income generating activities which are mean to
develop the economic status of the members;
• Create coordination between banks and communities;
• Link members with management sectors related to micro finance;
• Develop management skills of the management sections related to the micro
finance sector; and
• Establish strong transparent micro finance section in urban and rural economies.
It is advised that should a microfinance organisation be selected to act as a conduit to manage
a loan on behalf of a co-operative, it should share the core values of WfL and operate using
similar principles as those of The Gemidiriya Foundation. While Gomez (2009) identifies the
prevalence of non-regulated institutions (including NGOs) offering microfinance within the
Western Province, such institutions can also be administratively weak and leave the
borrowers more financially disadvantaged than prior to the loan. Credit rate, loan amount and
financial history of the organisation are all critical factors that need to be considered should
the project develop further, as well as consideration of whether the loan provider aims to
achieve
4.4 Understanding Transmission Channels
As outlined in Section 3.3.4, this step is essential in understanding what type of changes are
likely to occur and how they will be conveyed to the relevant stakeholder. Relevant
transmission channels are outlined in Table 16 and the associated comments attempt to
explain the relevant change in terms of the actual stakeholders who were interviewed.
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Table 16: Identification of transmission channels
Type of
Impact Change Comment
Employment More structured and
permanent. This was particularly noted by
Interviewees 6, 7 and 8. Increased job
security is highly sought after.
More jobs available. Creation of jobs – potentially more work
available for waste pickers.
Access Benefits of working in a co-
operative. Interviewee 7 in particular noted
willingness to work in a co-operative.
Hotpress training. Training and understanding is an
empowerment process to promote self-
autonomy.
Healthier working
environment. Less competition and time spent at
dumpsites for waste pickers/co-operative.
Microcredit/loan. Co-operatives much more likely to access
a loan than individuals.
More connections/contacts. Can potentially sell to other buyers.
Education on material types
and end-products. Better understanding of the materials they
work with and possibilities with these
materials.
Authority More social inclusion. Better standing in society - Interviewee 6
noted that this was of particular concern
and hadn't informed any family or friends
that they were a waste collector for fear of
social exclusion.
More organised work group. More structured workplace environment.
No longer dependant on
middleman. Better prices obtained for materials, more
autonomy.
Opportunity to provide input
on end-products. Opportunity for creativity and to try
something new, as indicated by
Interviewees 9-13.
Movement towards self-
sustaining systems. Better waste management procedures, less
waste and more recycling.
Assets Use of hotpress. Access to the hotpress to produce more
useful end-products.
Government support. Funding and equipment.
Economic Increase in income. Better price given for products, not just
raw material value.
Less volatile income. More stability.
Safety Reducing overall waste. More recycling and better handling of
materials reduces waste particularly at
visible levels.
Better working conditions. Less likelihood of injuries due to less time
spent waste picking.
Access to safety equipment. Masks, gloves and safety training
provided.
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4.5 Assess Institutions
The location of the small-scale recyclers and the co-operative (Participants 9-13 and 15) are
illustrated in Figure 9, which also highlights the fact that these types of small-scale, worker
owned enterprises are prominent and widespread within the Western Province of Sri Lanka.
Although it is difficult to assess each of the above institutions on an individual basis,
selection of a suitable partner should be one that embodies values similar to those of WfL and
focuses on community level development. The groups illustrated in Figure 9 are preferred
over individuals for their ability to carry and transmit positive change over a larger audience,
although further investigating their ability to transmit economic, social and environmental
benefit is recommended.
Figure 9: Map of recyclers and co-operative locations (Google Inc 2012)
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4.6 Projection of Impacts
A total of 51 impacts were identified as potential impacts that could arise from a WfL project
in the Western Province of Sri Lanka. As each and every impact has a significant bearing on
the likelihood of the project taking place, understanding how impacts may change over time
is an important step which is also inherent to the project’s success. Illustrated in Figure 10 is
a theoretical Gantt Chart, whereby all 51 of these impacts are placed on a theoretical
timescale (beginning at the project implementation stage) in order to observe at what stage
these changes will occur.
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0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Better facilities
Less competition
More available jobs
More connections
More stable income
Decrease in harassment
Increase in income
Decrease in income
Misuse of increased income
Pride in work
More organised work group
Better work conditions
Better relationship with other waste pickers
Less stressful work environment
Less hours worked
Misuse of microloan/credit
Working in co-operative
Hotpress training
Education on materials
Less travel distance
More structured employment
More travel distance
Access to safety equipment
Institutional learning
Injuries from hotpress
Input to end-product
Project Duration
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Figure 10: Theoretical time of impact occurrence
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Better facilities
Less competition
More available jobs
More connections
More stable income
Decrease in harassment
Increase in income
Decrease in income
Misuse of increased income
Pride in work
More organised work group
Better work conditions
Better relationship with other waste pickers
Less stressful work environment
Less hours worked
Misuse of microloan/credit
Working in co-operative
Hotpress training
Education on materials
Less travel distance
More structured employment
More travel distance
Access to safety equipment
Institutional learning
Injuries from hotpress
Input to end-product
Theoretical Project Duration
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Privatisation of waste collection
Formation of own co-operative
Decrease in disease caused by waste
Less waste to landfill
Similar initiatives being implemented
Reduce overall waste
More funding to LAs/MCs
Change in people's attitude toward waste
Better waste separation at household level
Cleanliness of streets
Improve waste disposal efficiency
LA support of waste pickers
Increase in social standing
Decrease in social standing
Increase in Gov support
Decrease in Gov support
Assistance from households/small businesses
Success of WfL project
Low market demand for end product
Increased publicity
Disintegration of existing co-operative
More community involvement in LA projects
More autonomy
Co-operative being exploited by Gov
Abandonment of WfL project
Project Duration
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It is important to note that this figure is for illustrative purposes only, although it provides a
rough indication of the expected times of occurrence and subsequent longevity of potential
impacts. The majority of impacts are ongoing in that they are likely to be recurrent over the
life of the project, whereby impacts such as ‘injuries from hotpress’ could arise at any time
after the project has been implemented. Several of the impacts identified such as ‘less waste
to landfill’ and ‘decrease in disease caused by waste’ are expected to occur over extended
timeframes and, with no foreseeable occurrence in sight, ‘privatisation of waste collection’ is
not illustrated in this diagram.
4.7 Estimate Indirect and Cumulative Impacts
From the 51 impacts potentially arising from a WfL involvement in the Western Province,
those either indirect or cumulative impacts are outlined below, whereby a total of 16 indirect
and 6 cumulative impacts were identified:
Indirect: Increase in social standing; Decrease in social standing; Formation of own co-
operative; Misuse of increased income; More connections; Increase in Gov. support;
Decrease in Gov. support; More funding to LAs/MCs; Less waste to landfill; More
community involvement in LA projects; Less stressful work environment; Co-operative
exploited by Gov; More LA support of waste pickers; Similar initiatives being implemented;
Increased publicity; and Disintegration of existing co-operative.
Cumulative: More structured employment; Reduce overall waste; Cleanliness of streets;
Change in people’s attitude towards waste; Success of WfL project; and Abandonment of
WfL project.
Many, if not all, of the identified cumulative impacts are also indirect in nature, although the
major factor separating them from this category is the associated timeframe over which they
are likely to take place. The observed cumulative impacts thus require more elapsed time
before they would likely be observed and therein lies the benefit of ongoing monitoring and
an ex-post audit.
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4.8 Impact Assessment
Based on the data obtained from interviews, impacts were assessed using the methods
discussed in Section 3.3.8, although indicating the frequency of an impact was omitted as this
was too difficult to ascertain given the preliminary nature of this assessment. Should a
follow-up study or ex-post audit occur, this would reveal the validity of this assessment and
potentially uncover further social impacts either not considered by this assessment or
occurring outside the timeframe of this assessment. Susceptibility was also omitted as it was
deemed too difficult to measure how susceptible each and every stakeholder is to a particular
impact. Further, it was felt that susceptibility could be measured as a combination of other
factors, notably certainty, severity and mitigability. For example, an impact given a ranking
of ‘high’ mitigability would mean the individual is less vulnerable to the effect of the impact
as it can be mitigated against.
When considering the relevant transmission channel, ‘Environment’ was also included to
identify several impacts recognised which weren’t captured by other transmission channels.
The full table of social impacts and relevant impact categories can be found in Table 17. It is
important to note that in the ‘Stakeholder Affected’ column, the use of the term ‘Co-
operative’ refers to the potential WfL partner. Where impacts affect individual waste pickers,
this is assuming that the individual waste picker has joined the co-operative. For example, the
impact ‘Less travel distance’ could involve the individual waste picker joining a co-operative
and subsequently having to travel less distance to transport recyclables to this co-operative
than they would have to sell this to a middle buyer. While the likelihood of some of the
impacts occurring is unlikely, the anticipatory nature of this assessment means that all
relevant impacts, however unlikely, were identified.
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Table 17: List of social impacts and associated considerations
Social Impact Identified By Stakeholder
Affected Order
Direction
ality
Transmission
Channel Certainty
Seve
rity
Chro
nicity
Locali
ty
Mitiga
bility
Intract
ability
Overall
Impact
Privatisation of
waste collection 1,4
General Public,
Government
Natural
Change Positive
Authority
(Government)
Highly
Unlikely High
Long
-term
Mid-
spread NA Low High
Increase in
social standing 3,6,7,8,15 Co-operative Indirect Positive Authority Likely High
Mid-
term
Mid-
spread NA High High
Decrease in
social standing Practitioner Co-operative Indirect Negative Authority
Highly
Unlikely
Medi
um
Mid-
term
Mid-
spread Low High High
Increase in
income 6,7,8 Co-operative Direct Positive Economic Likely High
Short
-term
Immed
iate NA High High
Decrease in
income Practitioner Co-operative Direct Negative Economic Unlikely High
Short
-term
Immed
iate
Mediu
m High High
More structured
employment 6 Co-operative Cumulative Positive Employment Likely Low
Short
-term
Immed
iate NA High Low
More available
jobs 13,15 Co-operative Direct Positive Employment Possible
Medi
um
Short
-term
Immed
iate NA High High
Working in co-
operative 7 Waste Pickers Direct Positive Access Likely
Medi
um
Short
-term
Immed
iate NA High Medium
Formation of
own co-
operative
Practitioner Waste Pickers Indirect Positive Access Possible High Mid-
term
Immed
iate NA High High
Hotpress
training Practitioner Co-operative Direct Positive Access/Asset
Highly
Likely Low
Short
-term
Immed
iate NA Low Low
Misuse of
microloan/credit Practitioner Co-operative Direct Negative Economic
Highly
Unlikely High
Short
-term
Immed
iate High Low High
Misuse of
increased
income
Practitioner Co-operative Indirect Negative Economic Possible Medi
um
Short
-term
Immed
iate Low Low Medium
More
connections Practitioner Co-operative Indirect Positive Access Possible
Medi
um
Short
-term
Mid-
spread NA High Medium
More autonomy Practitioner Co-operative Direct Positive Authority Likely High Mid-
term
Immed
iate NA High High
Input to end-
product 9,10,11,12 Co-operative Direct Positive Access Likely
Medi
um
Short
-term
Immed
iate NA Low Low
Pride in work Practitioner Co-operative Direct Positive Authority Likely Medi
um
Mid-
term
Immed
iate NA High Medium
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Reduce overall
waste 1,2,3,4,5,11,15
General Public,
Environment Cumulative Positive
Safety/Envir
onment Possible
Medi
um
Long
-term
Immed
iate NA High Medium
Education on
materials Practitioner Co-operative Direct Positive Access Likely Low
Short
-term
Immed
iate NA High Medium
More organised
work group Practitioner Co-operative Direct Positive Employment Possible Low
Short
-term
Immed
iate NA High Low
Less travel
distance 7 Waste Pickers Direct Positive Access Possible
Medi
um
Short
-term
Immed
iate NA Low Medium
More travel
distance Practitioner Waste Pickers Direct Negative Access Possible
Medi
um
Short
-term
Immed
iate Low Low Medium
Increase in Gov
support 2,3,4,6,13 Co-operative Indirect Positive
Economic/A
ccess Unlikely High
Mid-
term
Immed
iate NA Low High
Decrease in
Gov support Practitioner Co-operative Indirect Negative Economic
Highly
Unlikely High
Mid-
term
Immed
iate Low Low High
More stable
income 6 Co-operative Direct Positive Economic Possible High
Mid-
term
Immed
iate NA High High
Better work
conditions 6 Co-operative Direct Positive
Access/Empl
oyment Possible
Medi
um
Mid-
term
Immed
iate NA High High
Access to safety
equipment 6,7,8 Co-operative Direct Positive
Safety/Acces
s Likely High
Short
-term
Immed
iate NA Low High
Better
relationship
with other
waste pickers
Practitioner Co-operative Direct Positive Access/Empl
oyment Possible Low
Short
-term
Immed
iate NA Low Low
Better waste
separation at
household level
1,2 General Public,
Environment
Natural
Change Positive Environment Possible
Medi
um
Long
-term
Mid-
spread NA Low High
Cleanliness of
streets Practitioner
General Public,
Environment Cumulative Positive Environment Possible
Medi
um
Long
-term
Mid-
spread NA Low Medium
Improve waste
disposal
efficiency
1,2,4,5 General Public,
Environment Direct Positive Environment Possible
Medi
um
Long
-term
Immed
iate NA High Medium
Decrease in
disease caused
by waste
Practitioner General Public,
Environment Indirect Positive
Safety/Envir
onment Possible High
Long
-term
Mid-
spread NA Low High
Institutional
learning Practitioner Co-operative Direct Positive Access Likely Low
Short
-term
Immed
iate NA Low Low
More funding to 4,5 General Public, Indirect Positive Asset Highly Medi Long Mid- NA Low Medium
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LAs/MCs for
waste disposal
Government Unlikely um -term spread
Change in
people's attitude
toward waste
1,2,3,4,5 General Public Cumulative Positive Authority/En
vironment Possible High
Long
-term
Wide-
spread NA Low High
Less waste to
landfill 2 Environment Indirect Positive Environment Possible
Medi
um
Long
-term
Mid-
spread NA Low Medium
More
community
involvement in
LA projects
4 General Public Indirect Positive Authority Possible Medi
um
Mid-
term
Mid-
spread NA Low Medium
Assistance from
households/sma
ll businesses
Practitioner Co-operative Indirect Positive Access Possible Medi
um
Mid-
term
Immed
iate NA Low Medium
Less stressful
work
environment
Practitioner Co-operative Direct Positive Employment Possible Medi
um
Short
-term
Immed
iate NA High Medium
Less hours
worked 8 Co-operative Direct Positive Employment Possible
Medi
um
Short
-term
Immed
iate NA High Medium
Co-operative
being exploited
by Gov
4,14 Co-operative Indirect Negative Authority Highly
Unlikely High
Mid-
term
Immed
iate
Mediu
m Low High
Success of WfL
project Practitioner
WfL, Co-
operative Cumulative Positive Asset Likely High
Mid-
term
Immed
iate NA High High
Abandonment
of WfL project Practitioner
WfL, Co-
operative Cumulative Negative Asset Unlikely Low
Short
-term
Immed
iate Low High Low
Decrease in
harassment 8 Waste Pickers Direct Positive
Access/Empl
oyment Possible High
Short
-term
Immed
iate NA Low High
Better facilities 6 Co-operative Direct Positive Access/Emplo
yment/Asset Possible
Medi
um
Mid-
term
Immed
iate NA High Medium
Less
competition
when collecting
waste
8 Waste Pickers Natural
Change Positive Employment Possible Low
Mid-
term
Immed
iate NA Low Medium
Low market
demand for end
product
Practitioner Co-operative Natural
Change Negative Economic Unlikely
Medi
um
Mid-
term
Immed
iate Low Low Medium
Injuries from Practitioner Co-operative Direct Negative Access/Empl Possible Medi Short Immed High Low Medium
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hotpress oyment um -term iate
LA support of
waste pickers 3
Waste Pickers,
Government Indirect Positive
Authority/Ac
cess Unlikely
Medi
um
Mid-
term
Mid-
spread NA Low High
Similar
initiatives being
implemented
Practitioner Waste Pickers,
Co-operative Indirect Positive Authority Possible
Medi
um
Long
-term
Mid-
spread NA Low Medium
Increased
publicity Practitioner
Co-operative,
WfL Indirect Positive
Authority/Ac
cess Possible
Medi
um
Mid-
term
Immed
iate NA High Medium
Disintegration
of existing co-
operative
Practitioner Co-operative Indirect Negative Access/Empl
oyment Unlikely High
Mid-
term
Immed
iate Low High High
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4.9 Assess Risks
Of the total 51 impacts identified from a WfL project, 11 were deemed to be negative as they
could adversely impact one (or more) stakeholders. An overall ranking was given to each
negative impact to identify its relative priority for mitigation, as outlined in Table 18.
Table 18: Negative impact classification
Social Impact Stakeholder Affected Certainty
Overall
Impact Rank
Decrease in income Co-operative Unlikely High 1
Disintegration of existing
co-operative Co-operative Unlikely High 1
Decrease in social standing Co-operative Highly
Unlikely High 2
Misuse of microloan/credit Co-operative Highly
Unlikely High 2
Decrease in Gov. support Co-operative Highly
Unlikely High 2
Co-operative being
exploited by Gov. Co-operative
Highly
Unlikely High 2
Misuse of increased income Co-operative Possible Medium 3
More travel distance Waste Pickers Possible Medium 3
Injuries from hotpress Co-operative Possible Medium 3
Low market demand for end
product Co-operative Unlikely Medium 4
Abandonment of WfL
Project WfL, Co-operative
Highly
Unlikely Low 5
The main factor distinguishing impacts with a ranking of ‘1’ from those with a ranking of ‘2’
is the probability of their occurrence, whereby if an impact is deemed less likely to occur then
this would reduce its overall ranking. Potential ways to mitigate against these negative
impacts are outlined in Section 4.11.
4.10 Evaluation
Of the entire list of 51 impacts identified, only 11 were classified as negative, of which there
were 6 with an overall ‘high’ impact, 4 with ‘medium’ impact and 1 with ‘low’ impact. The
negative impacts are confined to waste pickers, co-operatives, or WfL in the instance that it
abandons its involvement in the Western Province once commenced. Of the 6 ‘high’ ranking
impacts, 2 were considered unlikely and 4 were considered highly unlikely although potential
mitigation techniques are outlined in Section 4.11 in the event of their occurrence.
For the remaining 5 negative impacts, 4 were ranked ‘medium’, of which 3 were deemed
possible and 1 unlikely, with the 1 ‘low’ ranking social impact deemed highly unlikely.
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Further, 26 of the total 51 impacts weren’t directly identified from the obtained data and
either built on feedback from the interviewees or arose from an increased understanding of the
area in question and of WfL projects. For example, a ‘decrease in income’ was identified as a
potential impact although it built upon interviewee 15 acknowledging that he often has large
water bills resulting from washing the collected waste. A WfL project could have a similar
effect in that it could potentially increase the electricity bill (required to operate the hotpress)
and was thus recognised as an impact.
4.11 Mitigation
The mitigation of an adverse impact is linked to the co-contributing factors outlined in Table
17. While the ‘Overall Impact’ is essentially a weighting of these other factors, it is not the
only consideration. Although certain impacts may be beyond the mitigative capabilities of
WfL, suggestions have still been made for potential measures to avert or minimise these.
4.11.1 Decrease in Income
A decrease in income is the equally highest ranked social impact as this has the ability to
compromise waste pickers’ economic integrity by further marginalising them and increasing
the hardships they experience. This was deemed unlikely as WfL is guided by local
community needs an involvement would only occur if it was deemed to be of value to these
groups within the Western Province. It must also be considered that the project would aim to
supplement, not replace, the existing incomes and activities of those involved.
4.11.2 Disintegration of Existing Co-operative
This would only occur in the instance of bad relationships or tension arising between
members of a co-operative or organisation as a result of WfL’s involvement. Since WfL
transitions organisational governance to the community in order to “create an environment
where direction emerges based on critique, collaboration, participation, and shared values”
(Waste for Life n.d.), this would seem unlikely.
4.11.3 Decrease in Social Standing
A decrease in social standing is deemed highly unlikely since the WfL process is aimed at
bringing about change through assisting society’s most vulnerable. The educational processes
employed by WfL aim to improve social status and raise awareness to shift common
perception of waste pickers from being a nuisance or burden to being a respected part of the
economy and society. Stakeholder 3 noted that attitude toward waste pickers was gradually
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changing for the better due to an increased social awareness and WfL would look to
complement this.
4.11.4 Misuse of Microloan/Credit
Selection of an appropriate co-operative or organisation to partner with is equally important
as the selection of the microloan organisation itself. Several microloan organisations were
outlined in Smythe (2011) as well as recommendations on each. Of importance to WfL is
ensuring zero-interest, political neutrality and long-term sustainability as to ensure the
beneficiary of the loan receives every opportunity to succeed. While the actual misuse of the
microloan is deemed highly unlikely, WfL would still aim to educate the beneficiary to
implement long-term strategies for success rather than short-term gain.
4.11.5 Decrease in Government Support
A decrease in government support is highly unlikely given the already lacking Government
funding of similar initiatives.
4.11.6 Exploitation of Co-operative
Stakeholder 4 noted that there have been previous instances of similar initiatives being
‘mainstreamed’ or exploited by the local government. While this remains highly unlikely,
WfL will take all care in ensuring that the recipient co-operative or group is politically neutral
and is focussed on community interests. The likelihood of this occurring is minimised through
the recognition that WfL refuses to partner with government or industry and that all due care
is given when selecting the beneficiary.
4.11.7 Misuse of Increased Income
This was deemed to be of medium impact with a ‘possible’ chance of occurrence. While a
misuse of income is relatively difficult to mitigate against, it could potentially be minimised
by the educational processes WfL employs to focus on long-term goals and achievements. As
identified, certain microfinance organisations in the Western Province (like The Gemidiriya
Foundation) operate using credit schemes which opens an account for those partaking in the
project and adds money to the account when waste is collected and deposited. This could
prove a useful technique to avoid misuse of income as well as providing education in basic
credit management.
4.11.8 More Travel Distance
A potentially longer travel distance to access use of the hotpress is possible depending on the
location of the beneficiary co-operative or partner. Evidently, this impact wouldn’t apply to
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existing members of the group, rather any additional workers who become involved. While
this is unable to be mitigated against, it would be hoped that any additional travel time would
be offset by the benefits listed in Table 17.
4.11.9 Injuries from Hotpress
Avoiding injuries from the hotpress is relatively easy to avoid through correct procedural and
methodical training. Smythe (2011) identifies risks and hazards arisen from inappropriate use
of the hotpress, all of which can be averted through proper education and training to avoid
these.
4.11.10 Low Market Demand for End Product
Decrease in market demand is considered unlikely to occur and, due to its natural/economy
driven existence, is very difficult for WfL to mitigate against. Kent (2010) suggests
countering fluctuating demand by making an arrangement with a suitable buyer in order to
relinquish financial risk, an idea that could hold for the Western Province. By obtaining
community level feedback on potential end-products, as shown in Table 16, there is an
opportunity to consider what products could be useful or valuable to the community or an
end-buyer.
4.11.11 Abandonment of WfL Project
It would seem highly unlikely that, should WfL decide to progress with its involvement in the
Western Province, abandonment would occur. The only plausible instance where this would
arise would be if, after extensive involvement and effort with local community and relevant
stakeholders, it was felt that the project was counter-productive or harmful to those involved.
While the unlikely occurrence of abandonment was deemed to be of negative impact, the
reality is that were this to occur, it would in effect be a positive impact as it would be in the
best interests of those relevant stakeholders within the Western Province.
4.12 Report Findings
Across all interviewees, whether waste expert, waste picker, recycler or other, there were
several recurring themes regarding waste management, the informal sector, and a potential
WfL project. The importance of highlighting the cross-section from which results were
obtained is to acknowledge the fact that while many of the participants share vastly different
educational backgrounds and asymmetries of privilege and status, they maintain very similar
ideals with regards to fairness, social justice and the environment.
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It was widely acknowledged by participants that the current waste management system in the
Western Province is inadequate in both management and infrastructure. Improvements in
SWM need to be complemented by a shift in public perception, which is achievable through
basic education on the importance of small-scale measures. These measures can be very
realistically implemented at domestic level, and include waste separation and composting.
While WfL cannot nor will it attempt to change the current structure of the Western Province
waste management system, it can certainly implement a strong, community-driven project
which will directly benefit those involved, with the desire to act as a platform from which
flow-on effects and similar initiatives can be built.
The extent to which discrepancies exist in the Western Province regarding waste management
from one location to another is testament to the lack of political cohesion and fear of
government backlash for those attempting to divert funds towards waste management and
community based initiatives. Although the informal sector is a significant and meaningful
contributor to waste management in the Western Province, waste pickers still remain some of
the most marginalised and downtrodden members of society. It was noted from several of the
audio interviews that the role of waste pickers is extremely undervalued by society,
particularly their contribution to the environment and recovery of materials which would
otherwise be sent to landfill or burnt
There is strong support across participants for a composite-based project, like that of WfL, to
be implemented in the Western Province. Results obtained from the audio interviews note the
importance of such community focussed projects, while informal sector interviewees and
small-scale recyclers were all enormously willing to participate in a WfL project and see it as
an opportunity to be a part of a more structured, organised workplace.
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5. Discussion
The willingness of informal sector interviewees to participate in a project to supplement their
income is not in itself a revealing feature as it makes good sense for those with very limited
income, even those with a much higher income, to want to increase this. What is revealing,
however, is the desire to do so through participation in a waste based project. While the
Western Province struggles to cope with the increasing volumes of waste and lack of
resources, it appears that the informal sector, which embodies some of the province’s most
marginalised individuals, is the most willing to act on the current situation before it
deteriorates even further. Although the audio interviews reveal the need for the informal
sector and previous literature highlights their contributing role on both the economy and
environment (Moreno-Sanchez & Maldondo 2006), they remain alienated members of a
society that, for the most part, is indifferent or unaware of the repercussions of poor waste
disposal techniques.
The adaptive response of the informal sector to Sri Lanka’s SWM issues is that of an
opportunistic and resilient group, although one that requires some form of assistance if their
existing activities are to progress further. And, while the significant gap remains between
required and actual levels of waste collection in the Western Province, an opportunity exists
for organisations, like WfL, to complement these existing activities by providing the support
mechanisms necessary to improve autonomy and livelihood. Importantly, the formation of a
‘social enterprise’ that encourages community level opportunity and inclusion would appear
to address local environmental, social and economic needs through:
• Reducing the Western Province’s overall environmental impact by encouraging
local recycling;
• Providing socially favourable outcomes for those involved; and
• Creating an income source for waste pickers.
5.1 Assumptions
The preliminary nature of this study meant that several assumptions were made in order to
complete the social impact assessment. As such, a relatively broad scope was taken which
extended to the entire Western Province. This area was investigated as it embodies a
significant informal sector due to poor waste management and disposal. The main
assumptions made in order to complete this study included:
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• Neutrality of participants: a total of 15 stakeholders were involved in the profiling step
used to complete the SIA. While this represented a diverse cross-section of
individuals, it was also assumed that they were politically neutral and their opinions
were based on what they genuinely thought was best for themselves and their
community. While this represents an element of self-interest, this was desired
(particularly from waste pickers) so as to receive an honest set of results that
represented the desires of those most in need.
• Willingness to participate: while this was an initial assumption which was further
verified by 100% of stakeholders indicating that they would be willing to participate
in the proposed WfL project, it remains to be seen if this willingness to be involved
will persist should the project go ahead.
• Autonomy: while autonomy isn’t a direct result of financial gain, autonomy was
measured as a result of several variables including increased income, lack of
dependence on middlemen, better working conditions and many more, most of which
were identified by the participants themselves.
• Market for end-products: as seen in both Lesotho and Buenos Aires, the manufactured
products were able to be put to good use at a local level. This same assumption holds
for the Western Province and was re-enforced by informal sectors suggestions of end-
products which would be valued in the community. It was also assumed that the
market for these products was a sustainable one.
• Expert opinions: the audio interviews completed with waste experts had a strong
bearing on the recommendation that there is a place for a WfL project in the Western
Province. While literature and informal sector interviews were used to solidify these
opinions, it was also assumed that these experts’ recommendations were valid and in
the best interest of the individuals and communities in question.
• Abandonment of project: it was assumed that, should a WfL project occur and then
abandon, the impact on stakeholders would be minimal as this would be deemed the
best course of action for the community.
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• The hotpress: in light of the preliminary study completed by Smythe (2011) which
revealed socio-economic, technical, and environmental feasibility of use of the
hotpress, it was assumed that this was the best and most appropriate technology,
particularly given WfL’s experience with it.
• Methodology: the SIA framework developed by Kent (2010) was used in this instance
given the successful application of this methodology to a WfL project in Buenos
Aires. Given its ability to be tailored for relevant applications and successful
implementation with a similar project, it was thus deemed the most appropriate.
5.2 Limitations
5.2.1 Time/Resource Constraints
The timeframe over which the study was completed was somewhat limiting as more time
would have enabled the completion of more interviews and questionnaires, which would have
provided a more thorough analysis of the Western Province. More resources in the form of
personnel on the ground in Sri Lanka would have been useful in identifying more potential
partners for WfL to work with and in conducting further market research and needs
assessments. The given timeframe meant that no follow-up studies could be completed
although these would best be reserved until after the implementation of a project.
5.2.2 Lack of Quantitative Data
The use of purely qualitative data and thus absence of quantitative data was an inherent
component of the study given the participatory approach that was taken. Although the use of
qualitative data was most suitable given this approach, no projections of impacts could be
completed by numerical means. While the use of qualitative data was preferred for its ability
to capture the ideas and opinions of those interviewed, a follow-up study that makes use of
quantitative methods would potentially complement this assessment.
5.2.3 Conservative Approach
Of the 51 impacts identified by, it is reasonable to acknowledge that some may not eventuate.
While this partially implies time/resource over allocation to impacts that may not occur, the
anticipatory nature of SIA means that any reasonably expected impact should be treated just
as thoroughly as those with higher probability of occurrence during the impact identification
stages.
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6. Conclusions
The overall approach of this study was one that was broad enough to incorporate various
locations within the Western Province whilst remaining personable enough to include the
opinions of the informal sector and waste management experts alike. As noted, the
enthusiasm for an individual to supplement their income certainly doesn’t represent a trait
unique to the Western Province or even Sri Lanka, however the willingness to do so through a
waste-based project is encouraging and demonstrates motivation and an innate desire for
change. WfL has a genuine opportunity to work closely with groups and communities to
promote change in a manner that is consistent with its own values and, given the success of
similar initiatives in Lesotho and Buenos Aires, the application of poverty-reducing solutions
to the informal sector of the Western Province appears to be an appropriate one. The
particular success of WfL in working with local co-operatives in Buenos Aires combined with
the encouraging results from this study indicate an opportunity to replicate this experience
and improve livelihoods and working conditions for people like those interviewed.
In addition to the poverty-reducing potential of the project, there is also significant
opportunity for environmental and social gain. In a country where waste dominates the visual
landscape, the prospect of inducing change at a community level is a positive and necessary
step in the right direction. Moreover, the opportunity to do so in a manner that promotes
social inclusion and raises awareness regarding better waste disposal techniques is an
important one. There is a widespread belief that the privatisation of solid waste management
could significantly improve accountability and collection/disposal efficiency, although until
this occurs, the opportunity exists for external parties to complement the existing activities of
the informal sector. Greater inclusion of the informal sector in policy selection and
development could also be of high potential benefit to the Western Province, particularly for
fledgling local authorities that lack adequate infrastructure and personnel.
While the social impact assessment field lacks an overarching, robust framework suitable for
all intents and purposes, this is representative of the vast social differences that occur from
one location to another and subsequent considerations that need to be given regarding
development projects of any kind. It would seem both inappropriate and unlikely that such a
framework will arise as SIA methodology should be developed on a case-specific basis,
whereby the use of a technical or participatory approach should guide the development of the
methodology. Critiques like those of Vanclay (2003), which suggest moving away from the
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following of guidelines toward the following of principles guide assessments to be formed on
core values, and these values should be determined prior to the assessment in order to identify
which approach should be taken. The participatory approach employed for this study appears
most suited to small, community-driven projects like those of WfL although a combination of
both technical and participatory approaches could prove useful in future assessments.
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7. Recommendations
It is recommended that this study be used as a guide only for a potential WfL project in the
Western Province and for future SIA practitioners. While the SIA process is one that requires
a thorough understanding of social interactions, impacts and transmission channels, which can
be adequately captured using a participatory approach, the use of quantitative data could
prove useful to WfL in attempting further impacts particularly those occurring over a longer
timeframe. The findings of this assessment certainly outline the potential for a WfL
involvement in the Western Province of Sri Lanka although there are further factors requiring
consideration. Further recommendations include:
• Supporting socially just and sustainable development in the Western Province should
be mutually negotiated with local partners on the ground;
• WfL should continue to be led by local groups’ needs and interests which can be
enhanced through further investigation in order to better understand all relevant
stakeholders and their current relationships;
• Once these are better understood by WfL, further investigation can take place into the
suitability of each partner and potential end-products; and
• An ex-post analysis to be completed, should the project occur, to monitor which
impacts occur and how, which will provide valuable feedback to both WfL and the
SIA practice.
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Appendix A – Omitted Assessment Steps
While only 12 of a possible 21 steps were completed, this is by no means an indication of an
insubstantial methodology, rather of the fact that not all 21 steps were required for the
purpose of this assessment. As noted in Section 3.2, only two further steps were realistic
inclusions to this methodology and were omitted for the reasons described.
Problem Identification
A critical task underpinning this step is the requirement for a needs assessment (Finsterbusch
et al. 1983) which was completed by Smythe (2011) in the form of a socio-economic
feasibility study. This included a health and safety risk assessment, critical assessment of
potential sources of funding, and technical and environmental feasibility. In order to prevent
duplication and ensure appropriate consideration was given to other SIA components this step
was omitted, although recommended elements such as stakeholder identification and potential
impact evaluation were included due to their considerable relevance.
Public Involvement Plan
The Interorganizational Committee (1994) states that this step should be done by ensuring
that all interested and affected stakeholders are involved. While potential interested and
affected stakeholders have been outlined through the stakeholder analysis in Section 4.3.1
and, where possible, contacted to complete the questionnaire, a thorough public involvement
plan has not yet been devised due to the preliminary nature of the assessment.
Identification of Alternatives
A key component of this step is to ensure that the reasonable alternatives are developed to the
initial proposal (Barrow 2000). In the limited scope of this particular assessment for the
Western Province of Sri Lanka, only use of the WFL conceived Kingston hot press - to
manufacture waste based natural fibre polymer composite material products, was considered.
It should be noted, however, that WfL tries not to work with a fixed agenda or technology,
and prefers to be led by the local group's needs and interests. If they were more interested, or
it were deemed more appropriate to work with different materials, equipment or to produce
different products, WFL has a vast network of students and academics worldwide who would
put in the work to research these alternatives (Caroline Baillie 2012, pers. comm., 29 May).
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Changes to Alternatives
Given the explicit link between this step and the identification of alternatives, which was
omitted, this step was also excluded from the methodology.
Contemplate Enhancement and Compensation
The World Bank (2003) suggests that this step should involve consideration of direct
compensatory measures where adverse impacts are unavoidable. Two major concerns arise
from the inclusion of this step:
• Compensatory measures will not be considered by WfL in any capacity as this
undermines the fundamental objective of promoting economic security and
autonomy through raising awareness and education; and
• WfL’s ‘do no harm’ approach seeks to prevent adverse impact both financially and
in terms of physical safety. If either were to be adversely affected, WfL would
abandon its involvement to prevent this.
Implementation of Project
The preliminary nature of this assessment infers that implementation of the project would
occur at a much later date, should it transpire. Thus, this assessment, as well as that of Smythe
(2011) and other current works, aim to provide a recommendations and the foundation from
which the project can be realised.
Monitoring, Ex-Post Audit and Management
Since each of these tasks is dependent on the implementation of the project, these too have
been omitted. Should the project be implemented, development of long-term monitoring plans
is recommended to ensure that any future impacts arisen from the project will be dealt with
accordingly. An ex-post audit involves a retrospective analysis of the implemented SIA
process (Barrow 2000) and, since the methodology applied in this instance is adapted from
that of Kent (2010), those recommendations made by Kent pertaining to improvements in
methodology have already been considered. Management, specifically in terms of
management plans and operating procedures, was also omitted although it is recommended
that this too should occur upon implementation of the project.
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Appendix B – Summary of Audio Interviews
Interviewee Number Topic Comments
1
Political
Considerations
Waste management has become a very politicaland social issue.
2 All institutions and government need to be more productive in reaching
sustainability.
3 The money is there to be spent on waste management but political
greed/corruption prevents this.
4
MCs have a very outdated tax structure and should receive an increase in income
and revenue which could be put towards issues like waste management. Due to
very high political sensitivity, nobody wants to change this structure for fear of
being voted out.
1
SWM
Full privatisation of SWM system would be very beneficial and increase
efficiency. Needs to be managed scientifically and enforced by the government.
There have been improvements to the SWM system but not thorough enough or
island wide.
Best method for SWM: household separation and composting.
2 Mixed waste = garbage; Separated waste = resource.
3 SWM has become an enterprise and people are taking advantage.
4 Waste is not a burden but a resource - recycle, sell, compost.
Private sector needs to be encouraged to take on more responsibility.
5 Main source of solid waste is industry due to urbanisation.
1
Private sector charges for collection only and dumps into government landfill
facilities.
Government needs a rigourous scientific framework for investigating potential
disposal sites and disposal volumes.
Dump Sites Communities who have landfill facilities should receive benefits.
2
Dumping situation can be reduced by 'closing the loop' - need to aim for zero
dumping.
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Too much burning and waste sent to landfill.
4
There isn't enough space in most MCs for waste to be dumped due to
overpopulation.
5
Illegal dumping is still the most prominent disposal method which is visible on
roadsides and into sea/water ways. Proposed new landfill site in Colombo district
has received much public protest.
1
Poor Disposal
Collection to disposal needs to be entirely covered by private sector to increase
ownership.
2
Waste is a resource but we the process hits a 'dead end' when separation doesn’t
occur and it isn't treated as a resource.
Fault in disposal as well as dissemination of information - appropriate disposal
message isn't spread properly/doesn't flow on.
1
Local Authorities
LAs need to consider social aspects more - lack of communication on behalf of
authorities causes frustration.
If one PS can be successful, others can too. Lack of commitment from LAs.
3 Huge disparities exists from one LA to the next.
Many LAs are against waste pickers and some even discourage their practice.
4 LAs and MCs can only achieve waste targets through community involvment and
participation.
1
Current private sector involvement is too profit driven - need to work toward self-
sustaining systems.
Commitment needs to be shown, not in terms of money, but in terms of the
project.
Garbage separation needs to occur at kitchen level.
Future Aims
Marketing component of any new initiative needs to be very strong.
2
Reduce, Reuse, Recycle. Also, Reject, Reclaim, Replace and Repair.
Introduce these R's at organization level in an achievable manner.
Need a simple approach that is universal and commercially and socially viable.
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4 Future Aims Waste management needs to be made participatory - get people involved through
education.
1
Past Initiatives
Successful projects have been implemented in the past at community level -
requires a change in peoples' mindset.
Community managed projects are difficult at every level unless you show benefits
to the community first.
NGOs have run many projects, many of which have been abandoned.
2 Instances of waste separation being in place at locations and making 25,000 -
30,000 Rupees per month.
Incentive-based schemes have worked in the past.
4
Combining waste management with microfinance has worked in the past by
offering incentives.
Some waste management initiatives became 'mainstreamed' and taken over by the
government for their own interests.
1
Public Attitude
Lack of resources and motivation - people don’t care enough.
People don't understand that waste management is their problem.
2 Trained/educated people are aware of what needs to occur but not those 'at the
bottom'.
3 Sri Lankan attitude toward waste management embodies a very selfish one.
5 People's attitudes need to change, particularly with regards to sorting their own
waste. General public don't support waste management and assume that it is the
LAs and CEA who are solely responsible.
1
Co-operatives
Co-operative systems are in place but not very functional.
4 Presence of co-operatives but don’t work effectively together, more managed into
CBOs.
3
Waste pickers are 'downtrodden' and low-valued members of society.
Waste Pickers Public perception is gradually changing due to raised awareness, publicity and
education.
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Informal recyclers/waste pickers work mostly for LAs and most are now doing
better than previously.
Waste Pickers Over 10,000 in Colombo alone - many part-time and move from house to house
under the new 'card' system.
4
Waste picking arose as a survival technique to generate additional income.
5
Informal sector participation is very important, particularly for the recycling
sector. Without them there is no other way to collect back the recyclables ending
up in dumps.
3 Small-scale Recyclers Most small-scale business 'lay-low' to avoid attracting attention and competition.
1 Social Justice
More consideration needs to be given by authorities to social justice.
3 More consideration needs to be placed on social justice.
1
WfL
This kind of project is going to work.
4 There are certain CBOs capable of running a project like that of WfL.
5 There is enough plastic waste and natural fibres for this project and people will
welcome it with open arms. Needs to be sustainable for the long term and involve
CBOs, waste pickers, recyclers, private sector (for funding), CEA and LAs .