Batista 2021

Journal of Cleaner Production 312 (2021) 127516
Contents lists available at ScienceDirect
Journal of Cleaner Production

journal homepage: www.elsevier.com/locate/jclepro
A framework for sustainable and integrated municipal solid waste

management: Barriers and critical factors to developing countries
Marcio Batista a, Rodrigo Goyannes Gusmão Caiado a, b, c, *, Osvaldo Luiz Gonçalves Quelhas c,
Gilson Brito Alves Lima a, c, Walter Leal Filho d, Ivany Terezinha Rocha Yparraguirre a
a
Management Systems Department, Federal Fluminense University (UFF), Niterói, RJ, Brazil
b
Tecgraf Institute, Pontifical Catholic University of Rio de Janeiro (PUC-Rio), Rio de Janeiro, Brazil
c
Department of Production Engineering, Federal Fluminense University (UFF), Niterói, RJ, Brazil
d
European School of Sustainability Science and Research, Hamburg University of Applied Sciences, Faculty of Life Sciences, Hamburg, Germany
A R T I C L E I N F O A B S T R A C T
Editor:Cecilia Maria Villas Bôas de Almeida Developing countries adopt policies to reduce the negative impacts of large amount of waste generated by
accelerated industrialization and rapid urbanization, but these actions are far from establishing procedures that
Keywords: meet society’s needs, especially regarding the management of municipal solid waste (MSW), which requires the
Integrated solid waste management. cooperation of numerous stakeholders, and a broad plan of action, in terms of sustainability cities’ targets and
sustainable development. barriers. critical
policies. In this sense, sustainable and integrated solid waste management (S-ISWM) emerges as a solution to
factors. systematic literature review.
address the growing challenges of disposing of MSW in developing countries municipalities. However, to guide S-
municipalities
ISWM implementation there still a need of a framework with a multi-stakeholder and holistic perspective of the
MSW management, considering the barriers and critical success factors (CSFs) to achieve it. To this end, a
systematic literature review using the PRISMA diagram on the Scopus and Web of Science databases, and then, a
content analysis of 75 articles, which met the eligibility criteria, were carried out. As a result, were identified
eight barriers, 11 CSFs, which were grouped according to five pillars - public policies, disposal techniques, legal
aspects, public-private partnership (PPP) and energy recovery – that affect the municipal S-ISWM and were
pointed out ways of implementing these factors in practice. Finally, it was proposed a management artifact – a
framework towards S-ISWM - based on state-of-the-art CSFs and barriers, mainly oriented to waste to energy, to
the developing countries municipalities. This study offers theoretical, practical, and political implications,
serving as a stimulus for the development of public policies with a multidisciplinary approach, providing
environmental, economic, and societal contributions, and, thus, encouraging the achievement of the eleventh
and the twelfth sustainable development goals.
1. Introduction budgets and high costs associated with their management (Azevedo
et al., 2019).
As urban populations continue to grow and consumption patterns This section contextualizes the relationship between SWM and sus
change, solid waste management (SWM), which is the treatment of solid, tainability, between municipal solid waste (MSW) and integrated solid
liquid or atmospheric emissions before it is released into the environ waste management, introduces the research gaps and the concept of
ment, has become an issue of growing global concern (Marshall and sustainable and integrated solid waste management, and finally de
Farahbakhsh, 2013). Additionally, greenhouse gas emissions related to scribes the research questions, goals, and contributions of this research.
waste have been recognized as a major contributor to global warming
(Caiado et al., 2017). Urban SWM is a central problem in the main cities
of the world, which grows with massive urbanization and rapid devel 1.1. SWM and sustainability
opment, and is affected by issues such as the weight of municipal
Current regulations on urban SWM face increasing challenges in
* Corresponding author.
E-mail addresses: [email protected] (M. Batista), [email protected] (R. Goyannes Gusmão Caiado), [email protected]
(O.L. Gonçalves Quelhas), [email protected] (G. Brito Alves Lima), [email protected] (W. Leal Filho), [email protected] (I.T. Rocha Yparraguirre).
https://doi.org/10.1016/j.jclepro.2021.127516
Received 6 December 2020; Received in revised form 10 May 2021; Accepted 13 May 2021
Available online 23 May 2021
0959-6526/© 2021 Elsevier Ltd. All rights reserved.
M. Batista et al. Journal of Cleaner Production 312 (2021) 127516
relation to trade-offs and hierarchical stakeholder management (Guo evaluations of public policies for SWM indicate the difficulty of inte
et al., 2019). Furthermore, separating, storing, collecting, transporting, grating different approaches and themes for a single model applicable in
processing, recovering and disposing of solid waste requires multidis different contexts (Soltani et al., 2015). Also, even if foreseen in the
ciplinary skills (Rada et al., 2013), including the participation of public NSWP, the themes on the incineration and energy recovery of residues
authorities, the community and members of municipalities (Chen et al., have shallow exploration both in the literature and in the academic
2010). Any form of development can only be sustainable if the waste research lines. As a result, the lack of technical and economic resources
generated by it cannot accumulate, but is fully reused, recycled, and and general information on the problem demonstrates the reality that is
recovered. Strategies to achieve this goal include attempts to recover still very common in developing countries, that is, the use of landfills as
energy from waste (Abbasi, 2018). To this extent, processes that trans a way of final disposal of MSW, implying consequences such as the
form waste into energy can provide renewable energy and make SWM contamination of natural resources and public health problems (Ramos
more sustainable (Tan et al., 2015). On the other hand, although waste et al., 2017). Besides, there is a lack of studies that specifically looks at
in developed countries is used as a resource for energy production, in integrated urban SWM, especially from the perspective of a developing
developing countries the collection, transportation and disposal of waste country (Leal Filho et al., 2016). In this sense, integrated solid waste
are still current issues (Moya et al., 2017). management (ISWM) - which considers the entire MSW management
Considering the public health impacts of residents, SWM is an in chain and integrates interrelated processes to operationalize a complete
ternational challenge (Jin et al., 2006), especially in urban areas of waste management system (Marshall and Farahbakhsh, 2013) - is an
developing countries (Azevedo et al., 2019). Depending on the country emerging area for address the growing challenges of disposing of MSW
and its level of development, there are several options for the SWM. in megacities (Asefi et al., 2020).
Developed countries, which enjoy a higher level of economic develop On the other hand, well-designed waste plans are important at na
ment, reach a high level of public awareness, adopting preventive ap tional, state, micro-regional, intermunicipal and municipal levels. Hence
proaches to waste more easily; while developing countries, where the relevance of ISWM for municipal enterprises, coordinated by good
populations are more focused on short-term gain or survival, resort to planning, which generates jobs, sustainability and high levels of popular
less expensive low-tech approaches (Chalhoub, 2018). acceptance (Machado, 2013), as they are instruments that guarantee
European countries have considerably reduced the disposal of solid that the common objectives of society and corporations are continuously
waste in landfills, giving priority to their energy recovery. In Portugal, achieved and reviewed (Schalch et al., 2015). However, the sanitation
Decree-Law no. 178/2006 points out the prevalence of waste recovery and integrated management plans in developing countries do not meet
over its disposal (Portugal, 2006). On the other hand, developing the minimum content, impairing municipal planning. The municipal
countries face a socio-environmental crisis resulting from poor SWM, ities, for the most part, lack systematic information and specialized
since the economic potential that could be extracted as reuse is lower technical staff, which obliges them to prepare the plans briefly, being
than expected, making it difficult to adopt the perspective of sustainable more concerned with the presentation than the quality of its content
management with social inclusion (Selau, 2018). Urbanization, (Marotti et al., 2017). In addition, there is a lack of diagnoses containing
inequality and economic growth; cultural and socioeconomic aspects; the possibility of setting goals, actions and procedures that ensure the
politics, governance and institutional issues; and international in objectives of society selected in a manner compatible with the municipal
fluences have complicated SWM in developing countries, limiting the reality (Schalch et al., 2019). Also, there is a lack of organizational re
applicability of approaches that have been successful throughout the sources and competitiveness (Mittal and Sangwan, 2014), strategic
SWM development trajectories of industrialized countries (Marshall and planning (Ravi and Shankar, 2005), and efficient performance mea
Farahbakhsh, 2013). surement systems (Chin et al., 2000), as in the digital economy that
evolves both in the corporate and services areas (Fleury, 2000), the
1.2. MSW and integrated solid waste management interaction of the efficient human factor with information systems
(Parasuraman et al., 2005).
In the municipal area, the tendency is to worsen, given the contin Thus, the developing countries context demonstrates the presence of
uous expansion of waste and the need for correct disposal (Da Silva, obstacles for ISWM (Leal Filho et al., 2016). Many barriers, such as
Fugii and Santoyo, 2017). A deep reform in the municipal administra inadequate waste recovery and disposal methods are forming an
tion of developing countries is urgently needed (Azevedo et al., 2020). It obstacle to the development of waste to energy (WtE) (Chand Malav
is estimated that the MSW generation rate - waste generated in resi et al., 2020). Such a scenario reveals in principle that the waste man
dential, commercial and institutional areas that includes homes, offices, agement frameworks used today are not effective and sustainable (Fuss
schools, stores, etc. (Elsaid and Aghezzaf, 2015) - is expected to increase et al., 2018), due to several difficulties associated with public policies
to 2.2 billion tons per year by 2025 worldwide (Moya et al., 2017). MSW (services with economic and financial profitability), public-private
systems differ worldwide and are influenced by social, financial, cul partnerships (PPPs) allowing cooperation between different stake
tural, psychological, educational and technological factors (Elsaid and holders with long-term contractual models and shared risks, considering
Aghezzaf, 2015). In addition to this, it is important to differentiate be innovative aspects in favor of energy recovery, among other issues. The
tween domestic solid waste, which consists of mixed domestic waste growth of the WtE sector was influenced by many political, economic
collected through the collection by the curb, bulky domestic waste and and technological barriers, such as inadequate funds, the lack of regular
urban waste (e.g., street cleaning waste, market waste and illegal national policies and legislation, as well as incomplete data collection
dumping) (Jacobsen et al., 2013), from industrial solid waste which, due and evaluation (Chand Malav et al., 2020). To overcome these barriers
to the nature of the industries, which emit more concentrated pollutants and solve numerous liabilities related to the environment, especially the
by discharge and greater pollution discharges by source, and for this mountains of MSW discarded in an irregular way, it is necessary to apply
reason it is generally associated with more dangerous and risky con facilitating instruments for the social control of public policies,
stituents, with the greatest potential to exceed the natural limits of emphasizing stractegic guidelines, institutional arrangements, legal as
self-recovery or the self-healing capabilities of the ecosystem (Mbuligwe pects and financing mechanisms (Schalch and Leite, 2012). Also, to limit
and Kaseva, 2006). Thus, the quantities and contents of MSW also differ more environmental damage caused by MSW, the need now is to identify
according to the standard of living and the degree of urbanization the ISWM alternatives available that must be the highest combination of
(Elsaid and Aghezzaf, 2015). accessible alternatives adapted to society (Chand Malav et al., 2020).
Brazil’s National Solid Waste Policy (NSWP) can provide lessons in
SWM based on its opportunities and barriers to other developing and
developed countries (De Sousa Jabbour et al., 2014). However,
2
1.3. Sustainable and integrated solid waste management (S-ISWM) and proper disposal of MSW.
This study has theoretical and practical contributions. From a theo
Moreover, to achieve a sustainable and integrated solid waste man retical point of view, this research explores the subject of the recovery of
agement (S-ISWM), a system must be designed as an integrated system, waste, providing CSFs to mitigate environmental impacts, both detailed
market oriented (recycled materials and recovered energy for end users) in the concepts of sustainability (Julianelli et al., 2020). In addition,
and flexible (capacity for continuous development) with the contribu from an academic angle, the research also contributes to the literature
tion of stakeholders in relation to their expectations (Marshall and on S-ISWM, barriers and CSFs, investigating the link of these themes
Farahbakhsh, 2013). To guarantee the sustainability of an ISWM system: through a holistic and systemic view focused on developing country
it must be economically reasonable, environmentally friendly, and so municipalities. It also offers a comparison of Brazil, one of the largest
cially and legally responsible (Asefi et al., 2020). In the study of Pietzsch producers of waste in the world (Alfaia et al., 2017), with other devel
et al. (2017), the authors map the benefits, challenges, and enablers to oping countries (e.g., from BRICS - Brazil, Russia, India, China, and
Zero Waste, but there are theoretical overlaps regarding S-ISWM. South Africa), as Brazilian municipalities face a dichotomy - structural
Additionally, in the study of Ma and Hipel (2016), the authors critically barriers (e.g., governance problems, sources of financing) and disci
evaluate the published literature on the social dimensions of MSW plined good practice legislation (e.g., NSWP), which also occurs in major
management. Still, there is still a lack of clarity regarding the barriers of developing countries, and thus Brazilian trends could be relevant to
and CSFs to the integration of SWM, involving multiple stakeholders and these countries, especially in South America, by providing variables
their responsibilities (e.g., PPPs). Thus, academia does not provide a characterized in the taxonomies of barriers and CSFs that may guide
clear view on the barriers and critical success factors (CSFs) to sus S-ISWM initiatives for other developing countries. From a practical point
tainability and integration in SWM (Marshall and Farahbakhsh, 2013). of view, as this study focuses on MSW and is mainly oriented to WtE, it
CSFs, (also known as facilitators, enablers or drivers) are considered as offers a management artifact based on CSFs and barriers for practi
the key points or conditions (Julianelli et al., 2020) that must be met to tioners (e.g., public and private managers) who wish to transform the
facilitate the achievement of a sustainable ISWM. underutilization of solid waste discarded inappropriately into input for
Furthermore, although the critical review of Iqbal et al. (2020) energy production, that is, the garbage produced on a large scale
provides valuable insights to develop a sustainable municipal SWM, currently discarded in dumps and landfills could be reused, generating
there still a need to build a framework to guide its implementation income, employability for municipalities in a new stage of reuse.
(Azevedo et al., 2019), pointing out constraints (barriers) and enablers Finally, the study contemplates the proposal of a framework with a
(CSFs) to achieve it, with practical implementation guidelines (Fuss holistic (Fuss et al., 2018) and multi-stakeholder (Azevedo et al., 2019)
et al., 2018). In view of that, it is of latent need to proceed to a deeper perspectives, aligned with the 2030 Agenda. Among the main sustain
analysis on the theme, especially regarding the S-ISWM in developing able development goals (SDGs), providing cities with a significant
country municipalities (Azevedo et al., 2020). Also, according to Asefi reduction in the negative environmental impact per capita of commu
et al. (2020) pre-2000 studies identified deficiencies present in previous nities (SDG#11) and encouraging recycling and reuse of solid waste,
models developed in MSW management, such as greater emphasis on that is, sustainable consumption and production (SDG#12), are those
economic efficiency and ecological management and neglect of the whose adherence is applicable to organizational strategies, and plau
community and social welfare; inadequate understanding of the MSW sible execution of municipal public services. Thus, substantially
management decision process from a multi-stakeholder perspective reducing the generation of waste by 2030, through prevention, reduc
(Azevedo et al., 2020). In addition, so far, few models have a holistic tion, recycling, and reuse, in addition to reducing environmental im
perspective of the SWM system (Leal Filho et al., 2016); most focus on pacts, including paying special attention to air quality, municipal waste
isolated problems within the larger system and are of little use to deci management, among others, are imperative and fundamental measures,
sion makers (Marshall and Farahbakhsh, 2013). Thus, there is still a all led by S-ISWM.
need for holistic and integrated frameworks that address the intercon We have arranged the remaining section of this paper as follows. In
nection of the socio-cultural, environmental, economic and technical the next immediate section, theoretical background is narrated
spheres. This need is particularly strong in developing countries, where describing the pillars that affect municipal solid waste management.
the complexities of SWM systems are often greater (Wilson et al., 2015). Section 3 describes the research methodology used in the systematic
review. Then, the descriptive results and content analysis are presented
1.4. Research questions, goals and contributions in section 4. In section 5 there is a proposal of a framework for integrated
and sustainable waste management in municipalities in developing
To fill these gaps, the main objective of this study is to propose a countries. Finally, section 6 deals with the conclusions and suggestions
novel framework towards S-ISWM, considering the state-of-the-art of for future research.
the barriers and CSFs to establish the S-ISWM in developing countries’
municipalities. The framework is built based on taxonomies of barriers 2. Theoretical background
and CSFs, to achieve an interdisciplinary (Cunha and Guerra, 2013) and
holistic approach (Pietzsch et al., 2017) to implement S-ISWM. Thus, to Sustainability and integration of SWM in municipalities of devel
build the components of this artifact, the present study needs to answer oping countries is related to different factors. It can be considered that
the following research questions (RQs): natural resources are being compromised, either by social exclusion, but
RQ1: What are the barriers to S-ISWM in municipalities of devel also by the lack of basic infrastructure in cities. In some developing
oping countries? countries, the high population rates, diversity, geographic size, and
RQ2: What are the CSFs for S-ISWM in municipalities of developing economic base, imply complex challenges in sanitation, infrastructure,
countries? health, among others, where solid waste is improperly disposed of,
In this context, to answer these central questions, this paper uses a basically in landfills and dumps. In these municipalities, inadequate
systematic literature review (SLR) method to identify (i) the barriers, budgets for basic services prevail, such as collection, transportation and
and (ii) the CSFs to enable S-ISWM implementation, as well as, (iii) to final disposal of waste in landfills, which is why SWM services can reach
point out ways of implementing the factors identified in practice. The 20%–50% of the municipal budget, most of which are related to garbage
theme substantially addresses the purpose of developing country mu collection (UN Environment, 2018).
nicipalities in terms of the effectiveness and applicability of services in The use of urban planning policies prevails at the heart of economic
sustainable cities and communities, sustainable production and con and social balance, conserving sustainable natural environments (Lira
sumption, placing at a strategic level the fight against open-air dumps and Candido, 2013), in which the degrading effects concern managers in
3
developed and developing countries (Neto, 2013). Therefore, public with a view to overcoming the rigidity of their contractual models and
agencies with a marked lack of treatment of waste need to develop in allowing cooperation between the State and the private sector in
tegrated, efficient and sustainable management. Public policies corre financing the provision services and in the execution of long-term ven
spond to rights constitutionally guaranteed or which are affirmed thanks tures (Guimarães, 2013). This administrative concession model brings
to the recognition by society and public authorities as new rights for long-term solutions, overcoming the issue of deadlines and administra
people, communities, things or other material and immaterial goods tive contracts of Law no. 8666 (Brazil, 1993), removes the drama of
(Macedo and Alcantara et al., 2015). As the industrial process pro budgetary limitations, which always create the risk of contracts with
gresses, the ecological degradation present on the entire planet con unfinished objectives for works and services according to a typically
tinues to grow in a surprising way. private efficiency standard. Finally, it allows obtaining works and ser
Due to significant urban populations that are rapidly prospering and vices according to a typically private efficiency standard. The adminis
adopting high consumption lifestyles similar to those of developed trative concession is, therefore, a great answer to the satisfaction of a
countries, five developing countries, namely China, India, Brazil, relevant need whose fulfillment, according to traditional contractual
Indonesia and Mexico, are among the ten most MSW-generating nations models, is not feasible (Milaré, 2013).
(Nanda and Berruti, 2020). Paved by consumerism and globalization, The choice for one of the thermal processes for pre- or post-recycling
urban solid waste produced in India and China has an unprecedented waste treatment must be guided by technical, social, economic and
evolution. It is so true that these countries occupy the second and sev political issues, in line with the strategies relevant to the integrated
enth place of the largest producers of urban solid waste in the world. In management of solid waste, which prioritize the reduction, selective
India, SWM remained a neglected area until the intervention of the collection, recycling, composting, anaerobic digestion and energy gen
Supreme Court of India that resulted in the Municipal Solid Waste eration from waste (Themelis, 2013a). Although the incineration of
Management and Handling Rules of 2000 that required the involvement urban MSW in China is currently highlighted by its lack of operational
of actors such as community-based organizations, private contractors, experience, insufficient funds for compliance with the emission standard
and non-governmental organizations (NGOs) in the functions of SWM, and the lack of reliable supervisory measures, as well as the low capacity
under the Environmental Protection Act of 1986, as a solution to the for harmless treatment and disposal of MSW, the SWM of Chinese mu
inability of municipal authorities to deal with conservation operations nicipalities are improving recently, from the improvement of air pollu
(Nanda and Berruti, 2020). tion control systems, with China’s new emission standard for pollution
From this perspective, the qualified induction of rational and control in urban MSW incineration (Alfaia et al., 2017). The Chinese
ecologically fair production prevails with the desire to prepare, on a government provides unconditional support for power generation from
large scale, an inclusive, empathetic, and solidary society. Over the waste incineration, publishing a series of plans, preferential policies, and
years, the concern with solid waste has grown dramatically, even after subsidies. In recent years, the incineration industry has entered a phase
the United Nations Conference on Environment and Development - Rio of rapid development, resulting in the large-scale emergence of waste to
92, both at the national and international levels (Gouveia, 2012). In power plants (Li, 2015).
addition, household SWM services, with few exceptions, do not have Incineration is also one of the main routes for the treatment of MSW
well-designed policies or sufficient resources, providing environmental in France (Tiébauth, 2017). In this way, the use of energy can represent
impacts that are difficult to solve and pulverize public resources (Leite et an important element of diversification of the energy matrix, and the
al, 2012). conversion of installed power in the supply of energy from waste, con
An interdisciplinary and holistic approach is necessary (Kruger et al., servation and generation, can reach 25% of national consumption, with
2018) for a perfect understanding of the environmental issue, given the relatively lower investment costs than the available alternatives (Oli
complexity and uncertainties (Azevedo et al., 2019). Another relevant veira, 2014). So, energy recovery and reuse start from the idea that solid
point is the lack of rigor in the implementation of pollution control waste does not necessarily cease to have value, in view of recovery, the
regulations in developing countries. In addition, under these conditions, hypothesis of reusing and recycling a significant part, being reintegrated
about three quarters of all MSW are ‘landfilled’ in developing countries into the economic cycle, both for industry or externally (Bartholomeu
(Abbasi, 2018). and Caixeta et al., 2011). As a consequence, the high generation of MSW
From this perspective, both law - considered as a system of norms of results in heated debates, whether due to their increasing generation in
human conduct and a tool for resolving social conflicts - are present, as cities, as well as the adoption of effective management strategies,
well as legal science, understood as a study and interpretation of especially in developing countries, even in the BRICS, where the growth
normative texts, legal principles and institutions (Cunha and Guerra, of waste is associated with the Gross Domestic Product (GDP), indus
2013). The ethical-legal dimension of environmental issues, it is duly trialization, population growth, together with urbanization and a gen
recognized to make the protection of ecology rooted in the dignity of the eral increase in living standards (Gonçalves et al., 2018).
human person, by means of the consecration of fundamental rights Therefore, the lack of updated methods, technical and economic
(Macedo and Alcantara et al., 2015). resources, a decision support tool for long-term contractual adjustments,
It is possible to verify good sustainable management practices in as well as the lack of resources and qualified labor are factors that
Latin America. The Renew Program that promotes renewable energy in contribute to the use of dumps in the sky and landfills as the final
Argentina, the “Training of Trainers” project containing strategic plan destination for MSW. In addition, the lack of knowledge about waste
ning for waste management in Chile, the sustainable production and energy recovery technology are indicators that SWM in developing
consumption to reduce food waste and waste generation in Bogotá/ countries is influenced by five pillars, namely: (a) Public Policies; (b)
Colombia, the Plan District Environmental - PAD of Quito/Ecuador, Disposal techniques; (c) Legal Aspects; (d) PPP; and (e) Energy Recov
whose content encompasses the Master Plan for Integrated Waste ery. These pillars, the gaps and, consequently, the research questions
Management as a guiding strategy strategy for MSW. Brazil has the (derived from the gaps pointed out in section 1) that guided this study,
NSWP and the recommendations of the municipal plans for integrated have been identified and sorted according to a scoping review (Arksey
MSW management, Conama Resolution No. 481 (UN Environment, and O’Malley, 2005), which was used to scope S-ISWM body of litera
2018). The aforementioned Resolution brought the concept of tailings ture and clarify concepts. According to Munn et al. (2018), the scoping
(Brazil, 2017). Therefore, the Brazilian legal framework frames the review is indicated as a precursor of a SLR, to identify knowledge gaps
environmentally appropriate final disposal of solid waste, after all the and to identify key factors (pillars) related to a concept (municipal solid
possibilities for treatment and recovery by available and economically waste management). The following subsections present a description of
viable technological processes have been exhausted. There is also the these five pillars and highlight the impacts of each pillar in SWM.
PPP institute in Law No. 11.079 (Brazil, 2004) in the Brazilian scenario,
4
2.1. Public policy to SWM legislation at various levels of economic management, in the areas of
energy saving and innovative activity, among others based on organi
The Public policy pillar is motivated by the marked lack of treatment zational, financial, economic and legal support (Melink and Lukishina,
of municipal waste, which requires public agencies to develop an inte 2016).
grated, efficient, and sustainable management. In developing countries This pillar seeks to coercive, stable and transparent rules for the
such as those in Latin America, institutional governance problems are public power, private companies and society. The right to protection of
evident, including against environmental authorities to mitigate signif the environment clearly shows the overcoming of individual ideals,
icant losses in population centers, in urban and rural areas (Gouveia, characteristics of contemporary society (Piovesan, 2013). The budgets,
2012). Although governmental procedures in different ministerial repositories of the essence of the State’s financial activity, express dur
portfolios are carried out to generate effective and timely economic ing the period of its validity “the calculation of the authorized revenues
resources to serve the population in future demands, the gap lies in the and expenses for the functioning of public services”. The accounting
real capacity to establish articulated and coherent interventions be system recommended by the legislation is responsible for providing the
tween the different social, public and private actors that intervene in the elements resulting from the State’s financial achievements. It seeks to
management risk factors (Quintero and Thomas, 2018). supply the Administration with information that allows it to verify
This pillar aims at the government to act with a business vision, whether the programmed goals are being achieved as planned and to
executing services, optimizing the use of natural resources with a focus provide the necessary measures in case deviations are detected (Martins,
on the economic and financial profitability of the activity in the control 2011). By making the protection of ecology rooted in the dignity of the
of expenses in parallel with the preservation of the environment. In human person, through the enshrining of fundamental rights, the
addition, it seeks government programs implemented through specific ethical-legal dimension of environmental issues is duly recognized,
and vigorous procedures, structuring relationships between people, basically in relation to the terms “ecology” and “human dignity” (Mac
public and private institutions (Amorim and Boullosa, 2013). Based on edo and Alcantara et al., 2015).
“well-being”, economic relations or activity must be founded on the
valorization of human work and free initiative, ensuring everyone a 2.4. PPP to SWM
dignified existence (Grau, 2018). As a driver of public policies and laws
that bring together economic growth, the State ends up exercising the The PPP pillar is motivated by the lack of improvements in financing,
protection of the environmental good (Milaré, 2013). Hence the ca in the management methodology to achieve profitable results goals.
pacity of the public power to harmonize, according to a business vision, Therefore, the contract for the administrative concession of PPPs, and its
the attendance and performance of services, optimizing the use of nat peculiarities, have the potential to beat old contract models, serving as
ural resources and the impact on the environment, without neglecting an alternative for long-term projects. PPP is an approach adopted to
the economic and financial sustainability of the activity (Romeiro and increase the economic value of public sector infrastructure products,
Maia, 2011). improving efficiency through systematic processes (Yong and Hope,
2018).
2.2. Disposal techniques to SWM This pillar, seeks to overcome the obstacles of traditional contractual
models, stimulating the interaction between the contractor (public
The Disposal techniques pillar is motivated by the lack of ISWM power) and the contacted (Private Companies). One of the mechanisms
models that emphasize planned guidelines for developing countries. that can contribute to the conservation of the environment and to its
Developing countries lack ISWM models that emphasize strategic sustainable exploitation is precisely that of PPPs. Administrative con
guidelines, institutional arrangements, legal aspects, financing mecha cessions are PPP’s modality in which the tariff collection from the user is
nisms and facilitating instruments for the social control of public policies not viable, either because it is legally prohibited or not considered
(Schalch et al., 2012). The importance of diagnoses lies in the possibility convenient by the government (Milaré and Morais et al., 2016). The
of setting goals, actions and procedures that ensure the objectives of contractual models of the Administrative Concession of Law no.
society listed in a manner compatible with the reality of the munici 11.079/04 (Brazil, 2004), provides a long-term solution, exceeding the
palities (Schalch et al, 2019). Solid waste with inadequate destination time limits of traditional contracts governed by Law no. 8.666/93
aggravates socio-environmental impacts, degrading the soil, compro (Brazil, 1993). The demand for infrastructure is clear there in the mu
mising water sources, polluting the air, in addition to aggravating the nicipalities, where people live, and which has a huge plexus of services
unhealthy conditions of urban centers (Besen et al., 2010). housed under its competence, despite its low financial capacity
This pillar seeks to implement effective management models to (Guimarães, 2013).
overcame waste management paradigms. Robust models, such as sto
chastic optimization, highlight the importance of recovering the value of 2.5. Energy recovery to SWM
waste bins (Beigl et al., 2008). Based on schedule with opportunity re
strictions, it is developed to optimize the planning of waste collection Finally, the Energy recovery pillar is motivated by the adequacy of
operations. Existing studies address SWM problems in cities, basically on energy recovery projects for urban waste to enhance the sustainable and
routes for garbage collection trucks, operating costs, energy consump integrated SWM, basic sanitation related to infrastructure. Therefore,
tion, polluting emissions in transport, etc (Shah et al., 2018). the thermal treatment of solid urban waste with energy recovery means
to diversify the energy matrix, through technological processes
2.3. Legal aspects to SWM currently available and economically viable. Any form of development
can only be sustainable if the waste generated is not accumulated, but
The Legal aspects pillar is motivated by the need for the environ fully reused, recycled and recovered (Abbasi, 2018). Energy waste is
mental manager to make use of legal and financial law rules to inform challenging management in developing countries. However, several
society, applying legal sanctions in cases of non-compliance. The envi technologies to generate electricity or heat from waste can be applied, as
ronmental imbalance requires measures capable of changing the culture a fraction of wasted waste can be used in energy recovery (Peerapong
and the interest of the citizen for the preservation of the environment for and Limmeechokchai, 2016).
present and future generations having as priorities the pedagogical This pillar seeks the WtE approach, through the recovery and inte
character, among others. The development of the energy sector and the gration of part of the waste in the economic cycle. The choice for one of
increase in energy efficiency must be considered a top priority, as well as the thermal processes for pre- or post-recycling waste treatment should
modernity (Beylot et al., 2017). Therefore, there is a need to harmonize be guided by technical, social, economic and political issues, in line with
5
the strategies relevant to integrated waste management, which prioritize subsections 2.1 to 2.5. The authors used the word tree method (Saieg
reduction, selective collection, recycling, composting, anaerobic diges et al., 2018) to derivate the axes of keywords from the five pillars that
tion and energy generation from waste (Themelis, 2013b). The Chinese were found through the scoping review (Arksey and O’Malley, 2005).
government provides unconditional support for power generation from Then, the keywords were combined with Booleans “AND” and “OR”,
waste incineration, publishing a series of plans, preferential policies, and with searches being carried out from April to May 2019 in the electronic
subsidies. With China’s rapid development in recent years, the inciner databases Scopus and Web of Science (WoS), as they have a significant
ation industry has entered a development phase, resulting in the number of indexed relevant journals alingned to the research theme
large-scale emergence of waste for power plants (Li et al., 2015). (Mongeon and Paul-Hus, 2016). Scopus is considered by the academic
community as the largest interdisciplinary base and, according to Aze
3. Methodology vedo et al. (2019) WoS helps to complement Scopus results, achieving a
more complete and systematic survey. Searches on Scopus and WoS
In this article, a SLR was conducted to disseminate a detailed and databases were limited to the period from June 1996 to May 2019, in
critical analysis of SWM in developing countries, in accordance with the titles, abstracts and keywords of articles published in English or Portu
objective listed in the introduction section (Cunha et al., 2019). It is a guese. This time limitation is due to the fact that the 1990s are char
method that gathers primary studies on the topic, which meet the acterized by intensifying the use of economic instruments in
eligibility criteria to answer the specific research question with explicit environmental protection, such as the recommendation described in the
and systematic methods (Caiado et al., 2018) in order to minimize European Union’s 50th Environmental Action Program in 1992.
partiality aligned with the objective, providing reliable results in which In addition, criteria and filters were used to restrict types of sources
they are withdrawn conclusions and decisions taken (Antman et al., and documents object of the publications, both in line with SWM in
1992). This review is in line with the systematic typology, with a view to developing countries. In this sense, the following inclusion/exclusion
following the four principles of Briner and Denyer (2012), which are: (a) criteria were used: a) year - articles from the last five years, until May
adopt a systematic system or method; (b) present a transparent and 2019; b) relevance of publications - JCR indexed journals; c) accessi
explicit method; (c) be replicable and up to date, and (d) summarize and bility - content of the article available digitally in the search base; and as
synthesize evidence related to the review issue. a final filter of adherence to the scope of the research - adequacy of the
For Thomé, Scavarda and Scavarda (2016), SLR consists of eight theme in relation to the central questions and the three basic axes of the
steps: (i) research problem formulation, (ii) literature search, (iii) data combinations (public policy, public-private partnership, energy recov
collection, (iv) quality assessment, (v) data analysis and synthesis, (vi) ery), after the full-text analysis. Table 1 summarizes the combinations of
interpretation, (vii) presentation of results, (vii) and updating of the Booleans with keywords, the gross results and net results, after consid
review. This research followed the first seven steps indicated and is ering the exclusion criteria.
detailed in five stages: (1) question formulation, (2) study location, (3) Thus, after removing duplicate documents in both searches, the
study selection and evaluation, (4) analysis and synthesis, and (5) report screening process for selecting articles began with the reading of titles
and use of results, as defined by (Denyer and Tranfield, 2009). and abstracts that was performed independently by more than one
In this way, the evaluation of the present study begins with the researcher, who were instructed to select only articles that presented
research questions (RQs) properly formulated in section 1 which aims to research questions and results related to the objectives of this study. The
guide this review and select the studies that adhere to the theme (Saieg entire sample was divided between the researchers. Then, there was a
et al., 2018), linked to management S-ISWM in municipalities of complete evaluation of the texts, considering the adherence to the
developing countries. To obtain a more comprehensive and SLR, the theme, the research question and the five pillars, and, finally, the in
search covered all terms and terminologies relevant to the object of clusion of articles, using the backwards citation search through ‘snow
study (Lins et al., 2019). The bibliographic survey process comprised ball’ approach, which consists of reviewing the literature cited in the
multiple combinations of keywords associated with joining the pillars articles (Thomé et al., 2016). Thus, at the end of the eligibility process,
(shown in Table 1) to the central RQs. These sets of concepts were the number of publications to be used in the systematic review was
combined in different ways to obtain more relevant and adherent reduced to 75 articles that effectively addressed the topic. Fig. 1 con
searches to the study. Therefore, these pillars, duly substantiated, pave templates the sequence of the SLR step by step in the PRISMA structure.
the keyword combinations aligned with the points presented in Therefore, 75 articles met the selection criteria and represent the
bibliographic portfolio of this research. These were all articles that, to a
certain extent, referred to CSFs and barriers to S-ISWM in the Municipal
Table 1
level and from the developing countries context. After the identification
Search results for combining booleans with keywords.
of the relevant articles, the data collection was derived in a Microsoft
Search Base Boolean combinations Gross Net Excel spreadsheet. The articles were coded according to these cate
with keywords result result
gories. The results were initially analyzed through descriptive analysis,
Public Policies and Scopus “Public policies” AND 297 100 which considered the distribution of selected articles by year of publi
Solid Waste WoS “solid waste” 71 51 cation, and the frequency of publications per journal.
Public-Private Scopus “Public-private 105 10
Partnership and solid WoS partnership” AND “solid 73 01
Then, a content analysis guided by Mayring (2004), in which each
waste waste" document in the selected literature was critically evaluated by the au
Sanitary Landfill and Scopus “Landfill” AND “solid 182 10 thors to build the taxonomy of barriers and critical factors (Julianelli
Waste Incineration WoS waste incineration" 183 05 et al., 2020) for S-ISWM in municipalities. The proposed categories were
Public Policies, Scopus “public polic*" AND 28 15
defined based on content analysis that represents an effective tool to
Integrated WoS “integrated” AND “solid 12 08
Management and waste" analyze a sample of research documents in a systematic way (Seuring
solid waste and Gold, 2013). The definition of these categories followed an induc
Energy Recovery, Scopus “Energy recovery” AND 451 0 tive approach (Mayring, 2004), had an iterative process of category
Controlled WoS “incineration” AND 492 87 construction, testing, review and constant comparison of categories and
Incineration and “solid waste"
solid waste
data, and involved all authors of this research. Three authors defined the
Legal Aspects and Solid Scopus “Legal aspect” AND 69 02 categories and then other three authors validated the analysis, to avoid
Waste WoS “solid waste" 11 02 bias in the group decision. The synthesis of data and the reporting of
Total Scopus 1132 227 results through barriers and critical factors are covered in section 4.
Total WoS 842 154
Finally, Fig. 2 introduces the structure of the proposed framework that
6
Fig. 1. SLR flow of information through PRISMA diagram proposed by Moher et al. (2009).
Fig. 2. Framework Proposal linking taxonomies.
will be discussed in detail in section 5, combining both barriers (section addressed barriers and CSFs in Brazilian municipalities. The focus of
4.2.1) and CSFs (section 4.2.2) taxonomies. research in Brazil may be related to advances in Brazilian legislation
related to the environmentally appropriate final disposition, the use of
4. Results PPPs, the energy recovery and reuse of waste. On the other hand, as well
as many developing countries, there are still perceived governance
In this section are presented the descriptive results, by bibliometric problems that justify obstacles in the low efficiency in MSW manage
analysis related to the thematic axis and the year of publication, and the ment. Thus, it is observed that although Brazil is far from achieving
content analysis results, pointing out barriers and CSFs taxonomies for sustainable conduct in its cities, there is great applicability of Brazilian
the S-ISWM of municipalities in developing countries. trends to other developing countries, such as Argentina, Chile,
Colombia, Ecuador, among others. In addition, there is a predominance
of the “energy recovery” (n = 34 or 46%), “private public partnership”
4.1. Descriptive analysis
(n = 19 or 25%) and “public policies (n = 22 or 29%) axes associated
with solid waste. Regarding WtE, the waste incineration energy industry
As seen in the bibliographic portfolio, it was observed that more than
contributes to environmental protection, economic growth, providing a
50% of the selected articles on S-ISWM in developing countries
7
large number of related industrial opportunities (Li, 2015). It is an planning of MSW management generates employment, sustainability
attractive outlet for MSW management, in view of several benefits, and popular acceptance (Machado, 2013). On the other hand, the
including the reduction of mass and volume of waste and the recovery of absence of management models with results and the budgetary imbal
energy from combustion (Beylot et al., 2017). As for PPPs, they repre ance identified in practice, are indicators of restrictive forces linked to
sent an indispensable alternative for the economic growth of the mu deficiencies in governance (public policies), in the absence of innovative
nicipalities, since the remuneration system for the financial provision of contractual regimes (e.g., PPPs) and the need for reuse and enhancement
the PPP modality “administrative concession”, is attractive and suitable of MSW (energy recovery). As can be seen, there are significant barriers
for private companies that work in urban cleaning (Di Pietro, 2017). to the exercise of municipal waste management that includes the per
Added to this, the fact that they are viable instruments for public and formance of multiple stakeholders. Based on the content analysis of the
commercial service providers that seek to co-execute and guarantee 75 articles, three groups of macro barriers were identified: (i) Public
maintenance in the public or commercial system (Vasconcelos and Policies, (ii) PPPs and (iii) Energy Recovery.
Costa, 2017). The first group is related to the rights that are affirmed thanks to the
For this reason, it is relevant for municipalities to know International recognition by the society and by the public authorities as new rights of
Technical Cooperation Agreements for PPP’s projects (Marques, 2018). people, communities, things or other material and immaterial goods
So, public policies have to be pre-ordered to provide a harmonious and (Macedo and Alcantara et al., 2015). In turn, the increase in the pro
timely way of harmonizing environmental, social and economic vectors duction of solid waste is related to the economic capacity of consumers,
(Freitas, 2015). This result supports the adoption of strategic guidelines, in addition to the values and lifestyle habits of the population. As a result
in addition to facilitating mechanisms through the use of public policies of this exacerbated generation and inadequate management, there are
and social control. Then, Fig. 3 shows the number of publications per significant environmental and social damages (Silva and Paraíso et al.,
year, from 1996 to 2019. 2017). The second group, highlights the dynamics of PPPs, the
From the publications presented, the primacy of themes related to contractual peculiarities of risk sharing, the bidding processes, among
Public Policies, Solid Waste and Energy Recovery is perceived. Despite others as an alternative to the rigid and traditional systems that cause
the growth and importance of models for evaluating the actions of the obstacles to the provision of long-term services (Guimarães, 2013). The
municipal government, in view of public policies for the management of third group represents, within the context of sustainable waste man
MSW, there is a turning point for the local development of municipal agement, the recovery of solid waste to generate electrical or thermal
ities, given the existence of several models on planning, management energy, by using gases from landfills, biodigesters, incinerators, plasma
and technology applied to MSW, but no plan has been identified that technology, gasification or even co-processing. In this vein, NSWP
proposes to evaluate the development of municipal public policies in foresees the use of energy recovery technologies for solid residues,
this area in Brazil (Silva et al., 2017). In light of this emerges the increase provided that the technical and environmental viability is proven, with
in the environmental ban responsible for the restructuring of open monitoring of toxic gases (Schalch, 2009). Based on this, Table 2 sum
dumps since 2011 (Ma et al., 2018). Since 2014, energy recovery from marizes the barriers that compromise the practical application of
waste has played an important role in most modern solid waste man analytical models of integrated management capable of identifying and
agement systems (Allegrini and Boldrin et al., 2014). According to remedying social, environmental, and economic deficiencies, according
Peerapong and Limmeechokchai (2016), as of 2016, there were to the energy use of waste, as well as financial and environmental
increasing incentives and investments in electricity generated through education.
renewable sources of waste, with the creation of potential jobs. On the Thus, the first group of barriers to be overcome and corrected are
other hand, for Guo et al. (2019) the daily processing capacities of the projects that are not financially viable, public policies that do not serve
existing landfills are insufficient to meet the volume of MSW. Finally, most municipalities, and municipal plans that lack diagnoses. Based on
since the research in the databases (Scopus and WoS) was carried out the literature, the following insights emerged from the first group of
until May 2019, it was only considered part of the year 2019, which had barriers:
an influence on the drop in the number of publications compared to
2018. • Financially unfeasible projects - Regarding the thematic of waste
in the municipal basic sanitation and integrated management plans,
4.2. Content analysis it was observed that the plans do not meet the minimum content,
impairing the municipal planning (Bagatini, 2017). Economic and
4.2.1. Barriers to municipalities’ S-ISWM sociodemographic factors continue to have a negative impact,
Sustainable development calls for growth, an equitable redistribu increasing the MSW, in addition to hindering the use of growth and
tion of the results of the production process and the eradication of development policies (Quintero and Thomas et al., 2018).
poverty in order to reduce disparities in living standards and improve • Poor public policies - Regarding environmental public policies
the understanding of the population (Silva, 2019). Therefore, good covering the scope of relative waste collection or basic sanitation,
Fig. 3. Number of publications per year.
8
Table 2
Taxonomy of barriers identified.
Groups ID Barriers Description
Public policy B1 Financially unfeasible projects Lack of coordination between public, private and social actors (Moore et al., 2017), in which public policies are far from
economic sustainability and social well-being (Quintero and Thomas et al., 2018).
B2 Poor public policies Institutional actions do not serve most municipalities (Ramos et al, 2017), including collection, transportation (Shah et al.,
2018), and disposal of MSW (Sanches and Neto, 2017). Government programs without specific procedures (Ramos et al,
2017).
B3 Municipal plans lacking Non-systematized information, teams lacking specialized technical staff (Da Silva, Fugii and Santoyo, 2017), without
diagnostics prioritizing integrated management (Ramos et al, 2017) Non-vigorous procedures structuring relationships between
people, public and private institutions (Bagatini, 2017).
PPPs B4 Temporal limitation of Governance instruments that are not measurable (Yong and Hope, 2018), unenforceable, especially in infrastructure
contracts projects (Hueskes and Verhoest et al., 2017). Mechanisms for insufficient waste management (Liu et al., 2016).
B5 Restricted funding sources Lack of financial, economic and legal support for the energy recovery of solid waste (Berezin, 2015) with difficult means of
interaction between the public power (Diaz, 2017) and private companies (Melink and Lukishina, 2016).
B6 Linear and reductionist risk Financial statements with superficial assessments, without exploring risks, impacts and probabilities (Lopes and Caetano,
management 2015). Economic activities that do not ensure a dignified existence for all (Keers and van Fenema, 2018).
Energy B7 Deadlock in waste Wrong predominance of landfills (Sun et al., 2016), without prioritizing the energy recovery of MSW (Li et al, 2015).
recovery management Complexity that permeates SWM (Abbasi, 2018).
B8 Waste of energy Devaluation of waste from incineration (Margallo et al., 2015), without highlighting the lack of space for landfills (
Peerapong and Limmeechokchai, 2016). Mistaken valuation of landfills (Kosuke, 2014).
B9 Depreciated solid waste reuse Mismatch in waste management systems, without aligning their energy recovery (Allegrini and Boldrin et al., 2014).
Unawareness of exhausting the treatment (Peerapong and Limmeechokchai, 2016) and recovery of the MSW and then
discarding it (Margallo et al., 2015).
few municipalities stand out (Sanches and Figueiredo Neto, 2017). • Deadlock in waste management - Many cities are facing a serious
The management of urban solid waste has become a turning point for waste crisis, as in China, where the technique of waste incineration is
the local development of municipalities (Da Silva, Fugii and Santoyo, relevant. The recovery and use of energy, as well as the control of
2017). emissions is the subject of debate, and it is necessary to disclose the
• Municipal plans lacking diagnostics - A very common reality in topic of energy recovery (Li et al., 2016).
developing countries is the use of landfills, which must work, • Waste of energy - The fight against energy waste in developing
establishing remediation priorities. The final destination of solid countries can start with the investment and incentive of electric
urban waste is the landfill that determines negative consequences energy generated from renewable sources and waste. The generation
such as the contamination of natural resources and public health of electricity from waste has the potential to reduce CO2, creating
problems. It is necessary to develop a support tool to promote the potential jobs (Peerapong and Limmeechokchai, 2016).
proper destination of urban solid waste and the remediation of • Depreciated solid waste reuse - Energy recovery from waste plays
landfills (Ramos et al., 2017). an important role in most modern waste management systems
(Allegrini et al., 2014). A large number of municipalities lack
In addition, the second group of barriers consists of non-measurable specialized personnel, technical, economic and social criteria to
governance instruments, strict contracts, restricted sources of financing, address the issue of solid waste. The energy generated from waste has
as well as linear and reductionist risk management. The following in the potential to solve the problem in practice (Margallo et al., 2015).
sights were observed for each barrier:
Moreover, the barriers described attest to the complexity of the
• Temporal limitation of contracts - The governance of the PPP management models explicit in the literature, as well as the inability of
contract is essential to verify that the stages are being fulfilled and municipal managers to assimilate or put them into practice, which is
successful (Marques, 2018). The moderating effects of contractual why it is essential to carry out elements of interest aimed at training,
complexity can bring new explanations for disputes with the sup relevance and adequacy. Examples of influencing barriers can be iden
plier. Contractual control, including term, can mitigate behavioral tified, such as poor waste management resulting from a lack of updated
uncertainty (Diaz, 2017). methods (Ramos et al, 2017), techniques and systems, specialized
• Restricted funding sources - The use of the PPP predetermines the technical staff and systematized information (Bagatini, 2017).
need for modifications and additions to the standard legal basis that In addition, the treatment and energy recovery of solid waste in
regulates the order of interaction between various parts of the volves specific and economically viable procedures (Abbasi, 2018; Shah
partnership (Berezin, 2015). Whoever controls the public infra et al., 2018). Thus, treating, eliminating and managing solid waste
structure must establish the necessary requirements for the private represents an impasse surrounded by convergences and divergences
partner’s investment obligations (Melink and Lukishina, 2016). (Moore et al., 2017). In this sense, convergences and divergences
• Linear and reductionist risk management - There are difficulties contribute to delay organizational solutions (Quintero et al., 2018).
in the conceptual framework and doctrinal views on the concepts Among the main convergences, it is possible to highlight the effective
and forms of PPPs. The economic and legal aspects of its operation interaction between public and private sectors (Berezin, 2015), the
tend to the implementation of national priority projects, to justify the systemic transition from old waste management models to attractive,
various forms of interaction between government and private com integrated formats (Melink and Lukishina, 2016), with new opportu
panies able to overcome the consequences of the global financial nities and value creation (Keers and van Fenema, 2018). In turn, the
crisis and economic sanctions (Berezin, 2015). divergences lie in the applicability of public policies that help munici
palities to diagnose the damage caused by open dumps and sanitary
Finally, the third group of barriers exposes the mistaken predomi landfills, in addition to the hypotheses of solutions (Li, 2015).
nance of landfills, without prioritizing the energy recovery of MSW, the
waste of energy, in addition to the mismatch in waste management 4.2.2. Critical factors for S-ISWM of municipalities
systems, without aligning their energy recovery. The following insights Currently, the treatment of MSW has become a dilemma of complex
were realized for the third group of barriers: solution. Integrated waste management involves the implementation of
9
Table 3
–Taxonomy of CSFs related to the five pillars.
Pillar ID CSF Description Implementation
Public F1 Digital public Technological feasibility in different regions using legislation for Update waste management systems, prioritizing digital
policy consultation transparency (Chen et al., 2010), control (Moore and Boardman transformation. Adapt and commercialize systems of products and
et al., 2017) and cost containment (Ramos, 2017). Digital resources. services, design and mobilize ecosystems and integrate them in an
Internet of Things (IoT) platform
F2 Articulated Actions Multidisciplinary approach (Whitmore et al, 2015) with a focus on Promote coherent interventions between different social actors,
social benefit (Melink and Lukishina, 2016). Strategically planned skills development and interdisciplinary articulations.
methods (Quintero and Thomas, 2018).
F3 Enhanced logistics Apply IoT, estimating the risks caused to the population by landfills Optimize waste management, with diagnostics and remediation
and dumps (Li et al., 2016). Specific analysis of landfills, collection mechanisms (Sanches and Neto, 2017).
and transport of MSW (Shah et al., 2018).
Disposal F4 Leaching Intensify energy recovery technology Vaitkus et al., 2019). Multiply skills in the use of ashes for asphalt, concrete and the
tech- Utilization of incinerated MSW ash (Sun et al., 2016). ceramic industry. Enhance the use of waste incineration by-
niques products.
F5 Incineration Maximize the energy recovery of MSW (Pelesaraei and Bayat et al., Publicize the reduction in weight and volume of solid waste, using
2017). Present advantages of incinerated MSW (Mikic and landfill biogas to generate electricity (Lima et al., 2017).
Naunovic, 2013). Disseminate the reuse of MSW Vaitkus et al.,
2019).
Legal F6 Flexible contracts Meet eco-regulation with decision support factors in economic Establish governance with a focus on the thermal treatment of MSW
aspects controls (Diaz, 2017). Develop projects through an adequate and (Marques, 2018).
convenient cost-benefit ratio (Marques et al., 2018).
F7 Integrated Propagate the energy efficiency of MSW and the respective legal ( Use the financial, economic and legal support measures existing in
Legislation Diaz, 2017), and regulatory aspects (Rafailovich et al., 2017). Apply the legislation.
integrated management in municipal plans (Melink and Lukishina,
2016)
PPP F8 Current and Use projects focused on sustainability (Hueskes and Verhoest et al., Explore and develop performance indicators.
Relevant Practices 2017). Practical and feasible methods (Loosemore and Cheung et al.,
2015) that can transform MSW into energy (Liu and Wang et al.,
2016)
F9 Enhanced Models Promote engagement and integration between public and private Examine and adapt procedures aimed at efficiency and profitability
for Infrastructure actors (Lopes and Caetano, 2015). Modern conception of of the parties involved in projects.
organization (Buso et al., 2017) and functioning of public services
provided by the State to the administrated (Burke and Demirag,
2017).
Energy F10 Incinerated Solid Update and restructure open-air dumps, reducing the emission of Disclose the degree of contamination from landfills (Margallo et al.,
Recovery Waste greenhouse gases emitted by them (Ma et al., 2018). MSW 2015) that are harmful to the health of the municipal population
incinerated in landfills.
F11 Incentives and Implement opportunities to recover and use energy and heat from Use landfill methane gas to incinerate waste (Li et al., 2016).
Investments MSW (Peerapong and Limmeechokchai, 2016). Models of training, Motivate investors to produce electricity from renewable sources
adequacy and relevance for power generation from MSW (Beylot and solid waste.
et al., 2017).
PPPs, including the effective cooperation of stakeholders (Zotos et al., the amount of waste produced today by the municipalities, moving away
2009), companies (McCormick et al., 2013), services (Pitkänen et al., from the simplistic destination of MSW to landfills. Therefore, the en
2016), and other actors that seek sustainable management. Hence the ergy recovery process (e.g., from incineration), by incinerated waste ash
need to identify CSFs, as these, properly assimilated and implemented, for the asphalt, ceramic and concrete industry, has the potential to
can serve as facilitating instruments for the integrated and sustainable transform solid waste by-products into profitable practical alternatives.
management of municipalities in developing countries. The Legal Aspects pillar, on the other hand, starts from the premise that
Considering the five pillars already contextualized, the following the valorization of waste goes in line with governance techniques,
critical factors emerge: I - Public Policies: Public Consultation (CSF1), maximizing waste instead of eliminating it. To this end, the financial,
Articulated Actions (CSF2), Enhanced logistics (CSF3); II - Disposal economic, and legal support measures, well implemented, meet the
techniques: Leaching (CSF4), Incineration (CSF5); III - Legal Aspects: dynamics of eco-regulation. PPP is the pillar that assists that helps the
Flexible Contract (CSF6), Integrated Legislation (CSF7); IV - PPP: Rele conservation of the environment, the respective exploration in a sus
vant and Current Contracts (CSF8), Enhanced Models for Infrastructure tainable way, through current and relevant practices. There is also the
(CSF9); and V - Energy Recovery: Incinerated Solid Waste (CSF10), In possibility of developing performance indicators, examining and
centives and Investments (CSF11). Table 3 lists the 11 CSFs aligned with improving infrastructure projects with profitability and efficiency.
the five pillars that support the S-ISWM in perfect congruence with the Finally, the Energy Recovery pillar, which puts into practice technical,
research questions. social, economic, and political issues, all aligned in an integrated man
It appears that the Public Policies pillar has structural mechanisms agement strategy. In this context, the production of electricity from
for the relations between public, private institutions and society, that is, renewable sources and solid residues takes place, in addition to publi
the application of articulated, transparent actions, through the control cizing the contamination and damage of landfills to the municipal
and containment of costs. Added to this is the digital transformation, population, instigating the debate on this topic among the academic
properly articulated with industrial practices, using concepts from In community, society, business and public power.
dustry 4.0 to improve waste management. From this interaction, it is In view of the pillars and respective CSFs, it is possible to present
possible to envision a robust and practical diagnostic tool (Caiado et al., Energy Recovery and PPP contracts as alternatives to the dilemma that
2021). In addition, multidisciplinary approaches, enhancing waste permeates the SWM of municipalities in developing countries, as long as
management and social benefit, without prejudice to diagnosing and the Legal Aspects are respected, in addition to being applied as practical
remedying existing environmental liabilities. tools of integrated management and analytical models, informing where
Regarding Disposal techniques pillar, the reduction of weight and resources are extracted for the training of the team, as well as the
volume of this pillar is essential, in view of the continuous expansion of applicability of Public Policies compatible with the modus operandi of
10
the municipalities, identifying, and effectively monitoring the gap be high volume of urban waste in developing countries.
tween sustainable theory and practice over time. In the present case, the CSFs can be implemented from initiatives
that enhance the SWM system with diagnostics, remediation mecha
4.3. Framework towards S-ISWM nisms, including with regard to the estimates of risks caused by landfills
to the population. Furthermore, the proposed framework has implica
In this section, a framework is presented to enable S-ISWM imple tions for the three dimensions of sustainability. From a social point of
mentation in the municipalities of developing countries that was also view, the framework can be used to generate personal and income skills
built from the integration between barriers and CSFs for S-ISWM. As for public and private managers, engineers, administrators, technicians,
noted in the literature to address the barriers associated with municipal employees and planning specialists, working in the solid waste segment,
SWM, multidisciplinary skills are required, involving various stake private cleaning conservation companies, and energy recovery in
holders (e.g., government, industry and community) working together dustries, in addition to the municipalities. From an economic point of
and waste management based on pillars (Azevedo et al., 2019), such as view, it can help diversify the energy matrix, including as an option to
policy employment with an emphasis on social benefit and measurement reduce the price of energy resulting from fossil fuels. From an environ
of economic cost (first pillar), use of Disposal techniques for using solid mental point of view, the reduction of weight and volume of MSW,
waste (second pillar), reducing waste and adding value (third pillar), providing opportunities for variables to recover and use energy from
implementing current contracting systems and involve shared risks, use solid waste. Thus, the framework contemplates, in a synthetic way, the
of practices that consider the efficiency and profitability of the parties relation between the stakeholders, the five pillars and respective CSFs
involved in projects (fourth pillar), and energy recovery, producing (enablers to S-ISWM), the barriers that hinder the applicability of S-
electricity from renewable sources and waste (fifth pillar). ISWM and the summary of CSFs’ practical implementation ways.
As seen in Fig. 4, the framework is structured in four parts: stake As can be seen, the implications of the framework are linked to
holders’ cooperation, barriers, CSFs associated with the five pillars, and sustainability, reducing the negative environmental impact of commu
practical implementations of the CSFs. When it comes to Public Policies, nities, as well as the reuse of solid waste, energy to feed homes, steam in
the public power needs to pay attention to new rights, prioritizing the industrial production, in which the stakeholders involved can incorpo
use of new technologies for the benefit of people, communities, rate, improve, and transfer innovative knowledge. Regarding MSW and
congruent with rational, ecologically fair, solidary and inclusive pro ISWM, there is a deficient perception of the practical applicability of
duction. As for Disposal techniques, the use and reuse of ashes from analytical management models, both in the field of adherence and
incinerated waste in the asphalt, concrete and ceramics industry must be operational feasibility, given the complexity, high dimension of waste
multiplied. Although there are poorly measurable governance in produced, among other factors. The search for a solution to the obstacles
struments (Corvellec and Bramryd, 2012), maximized energy recovery related to the theme is visible and integrates the Municipal Waste Policy
from MSW is a viable implementation mechanism (Tan et al., 2015). As of India, the NSWP of Brazil, the specific legislation of China, and other
for the Legal Aspects, the existing financial and economic support BRICS countries, consecrating the inadequate management, damage to
measures, worked on and adapted to the municipal management plans, public health and natural resources in these countries. Although with
duly implemented, can minimize the barrier of restricted funding innovative legislation, the real problems of MSW are far from a solution.
sources and linear risk management. The PPP is the factor that promotes On the other hand, a planning structure is necessary to allow the
the interaction between the public power and private companies. In integration of various decision support processes and models. Attention
view of the obstacles related to the time limitation of traditional con should be paid not only to operational efficiency, but also to the ob
tracts, the implemented PPPs explore and enable projects with perfor jectives of financial management and the strategy of market competi
mance, profitability, and efficiency indicators. Finally, the Energy tion, both in line with the PPPs and the Energy Recovery of MSW.
Recovery factor, incinerating solid waste from dumps or those deposited Otherwise, the alternatives of governance, with the development of
in landfills, includes the opportunity to recover and use energy from programs in Argentina, Chile, Colombia, Ecuador, and BRICS member
these. Even with the barrier that devalues the waste subject to inciner countries such as Brazil, would not be sufficient. In this sense and to
ation, and the lack of physical space for new landfills, when imple explain the main applications of organizational practices and analytical
menting opportunities to produce electricity from solid waste, one can models to be used by the municipal secretariats, a new framework to
seek incentives and investments in projects that reduce energy waste. wards S-ISWM is elaborated for the existing demands in the municipal
Hence the multidisciplinary, articulated approach of the industries, the public management, especially regarding the dilemma of the treatment
community, with a focus on digital transformation and social benefit. and destination of MSW. It is expected to contribute to the practices of
However, as already pointed out, the barriers hinder integration and municipal SWM, whose management models address the problem and
sustainability in waste management, such as financially unviable pro implement transformations, without prejudice to the socio-cultural,
jects, lacking diagnoses, in addition to institutional actions that do not economic and operational aspects, both in Brazil, in developing coun
meet the dynamics of the municipalities. Moreover, the barriers can be tries in Latin America and in the BRICS.
mitigated by using the CSFs, such as the use of digital transformation,
made possible in different municipal regions, cost control and trans 5. Conclusions
parent actions.
The objective of this article was to propose a framework that enables
4.4. Discussion and implications of S-ISWM both integration and sustainability of MSW, considering the state-of-the-
art of barriers and CSFs necessary to achieve the S-ISWM of munici
The focus of this paper is to emphasize the need to reduce the volume palities in developing countries. In this sense, to build this framework,
of urban waste produced on a large scale in open dumps, as well as to nine barriers were identified through a SLR to prove deficiencies in the
overcome the landfill paradigm, used systematically despite being treatment of waste, such as the predominance of landfills, the lack of
harmful to the health of the population. In this sense, the pillars and methods with diagnostics and remediation mechanisms, specialized
barriers are aligned with the lack of planning, with the precariousness of technical staff and systematized information, among others, all in
resources and the central aspects of municipal budgets, necessary for the response to the first central question of the study. In the same way, 11
execution of public undertakings claimed by the community. The CSFs critical success factors were also identified, and their respective forms of
and the Framework, on the other hand, synthesize technological alter implementation aligned with the pillars of Public policies, Disposal
natives, social, economic and technological impacts, based on the hy techniques, Legal aspects, PPP, and Energy recovery. All of them prop
pothesis of transforming MSW into energy, reducing the mass and the erly implemented can represent a viable way to overcome the current
11
Fig. 4. –Framework for S-ISWM of municipalities in developing countries.
dilemma that surrounds the management of MSW, attending to the Declaration of competing interest
second central question of the research. This article contemplates the
SLR methodology to disseminate a critical analysis on municipal SWM in The authors declare that they have no known competing financial
developing countries. interests or personal relationships that could have appeared to influence
The CSFs showed that the transformation of waste into renewable the work reported in this paper.
energy, even with economic, institutional, and organizational barriers,
could represent the survival of future generations with viable alterna Acknowledgements
tives to reduce the proliferation of open dumps, the predominance of
landfills, reducing weight and the volume of waste. In this vein, the This work was supported by the Brazilian Coordination for the
study provides an overview of rational practices for targeting MSW to Improvement of Higher Education Personnel (CAPES) - Finance Code
apply energy recovery. The form of implementation of the CSFs con 001, and the Brazilian National Council for Scientific and Technological
tributes to the body of knowledge, revealing means that address the Development (CNPq) – 300007/2019–1.
problem and implement transformations with reference to the socio-
cultural aspects and the economic and operational contests of devel References
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Journal of Cleaner Production 312 (2021) 127516

Contents lists available at ScienceDirect

Journal of Cleaner Production

A framework for sustainable and integrated municipal solid waste

Fig. 2. Framework Proposal linking taxonomies.

Fig. 3. Number of publications per year.

Fig. 4. –Framework for S-ISWM of municipalities in developing countries.

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