Keywords

1 Introduction

Efforts for sustainable transition often begin with niche innovations (Geels & Schot, 2007) carried out in local context and expected to scale up for broader societal changes in a regime selection environment (Schot & Geels, 2008). Many sustainability experiments have been implemented in a societal context with the expectation of substantial sustainability gains in not only environmental but also social and economic aspects (Sengers et al., 2019). Community-scale solar water pumping system (SWPS) is one example of an innovation to create a more sustainable water–energy system. The technology combines a pump that operates on electricity generated by photovoltaic (PV) cells. It is an ideal alternative to electricity- and diesel-based pumps that rely heavily on fossil fuel (Li et al., 2017).

In Indonesia, SWPS have been actively implemented since 1982 (UNESCAP, 1991). However, the total number of projects is unknown and the official evaluation documents are lacking. Data from Lorentz (Lorentz, n.d.), a German supplier of solar pumps, reported approximately 189 SWPS projects across Indonesia during 2005–2021. Figure 23.1 shows the distribution of SWPS projects per province on the bivariate thematic ratio map for electrification (Ministry of Energy and Mineral Resources Republic of Indonesia, 2019) and decent drinking waterFootnote 1 (BPS Indonesia, 2019). It is shown in the map that SWPS is applied in regions with low electricity and water access, such as Nusa Tenggara Timur (54 projects), as well as regions that have access to both, such as Java Island (19 projects). This provides insight that the SWPS has become an interesting option across rural Indonesia, promising an affordable water supply, energy security, and environmental protection.

Fig. 23.1
An Indonesian map depicts the distribution of S W P S according to electrification and clean water ratio. It represents the maximum number of S W P S used in areas with limited access to electricity and water.

Distribution of SWPS projects in the bivariate map of electrification to decent drinking water ratio

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To date, the practices of SWPS in Indonesia have not accumulated toward significant adoption of renewable energy (RE). The internal process of innovation to transition has been addressed through a framework of strategic niche management, that is, governance approach to create favorable environment to enhance further development of new technology (Kemp et al., 1998; Schot & Geels, 2008; Seyfang et al., 2014; Smith et al., 2016). Transformations of multiple projects at local level require aggregation, coordination, and adjustment to propel the technological trajectory of this emerging field (Geels & Raven, 2006) as illustrated in Fig. 23.2. Transition from a niche innovation to a broader application needs support in the form of wider institutional changes and system innovations by a variety of participants and across governance levels, from national to regional and local (Dobravec et al., 2021). Continuing support from an institution is one of the important factors to sustain community energy projects (Rahmani et al., 2020).

Fig. 23.2
A process flow of Niche trajectory through internal niche management, requires aggregation, coordination, and adjustment to reach the technological trajectory.

Niche trajectory by local projects. (Adapted from Geels & Raven, 2006)

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As a niche innovation, SWPS have hardly moved from experimentation to mainstream adoption in the water utility sector. In the Local Government Water Utility’s (PDAM) energy efficiency guidelines and strategic plan of 2018–2022 (Ministry of Public Work Republic of Indonesia, 2014, 2017), there is no specific plan to adopt SWPS nor RE. Several PDAM had considered using solar power (PERPAMSI, 2016; Samudra, 2021); however, to the best of our knowledge, none is yet to be built. Energy aspect is crucial because PDAM has issues of unstable power supply from the national grid (Nurmalia et al., 2006). Energy is needed at every stage of the water service cycle (Plappally & Lienhard, 2012) and often accounts for the largest (approximately 55%) proportion of operating costs (IRENA, 2015). RE, specifically solar PV in water utilities, offers opportunities to improve energy security. One example of this is the Valley Center Municipal Water District in California, where 1.1 MW solar PV was applied to supply 20% of the electricity required by the utility’s largest pumping station (IRENA, 2015). However, in Indonesia, throughout almost four decades of experience implementing SWPS, adoption of this technology in water utility operations has not emerged.

Various aspects of SWPS in Indonesia have been studied in the last few years. Most papers explored design analysis, technical challenges, and economic feasibilities, such as in Gunungkidul and Banten (Arifin et al., 2018; Setiawan et al., 2014a, b; Simamora, 2020). Development processes have been evaluated regarding implementation (Primawan & Iswanjono, 2019; Riyanto et al., 2021; Setiawan et al., 2014a, b) and the participation of diverse stakeholders (Wahyuni et al., 2015), which comes from Gunungkidul and Ponorogo. Recently, a paper investigated some socioeconomic impacts of SWPS projects in Gunungkidul (Rahmani et al., 2021). Despite the growing body of studies on SWPS in Indonesia, examination of local governance aspects has not been sufficiently reported. Initiative from government is crucial for growth and development of SWPS, as reported in India, where large-scale implementation took place across country, targeting 1 million SWPS by 2021 (Rathore et al., 2018). In Indonesia, there is a gap in literature about SWPS in the context of governance aspect and sustainability transition into a broader water utility application.

This study aimed to assess local governance aspects in SWPS in the context of sustainability transition. We define local governance at two levels: internal niche management and local actors, including local government and the implementing organization. We argue that the lack of a supportive environment from local actors contributes to the unsustainability of SWPS in the water utility sector. To show this, we test our hypothesis in a case study. We selected Gunungkidul Regency in Yogyakarta Province, because several institutions there have actively implemented SWPS during 1986–2017. The district comprises a rural region (94%) (BPS Kabupaten Gunungkidul, 2019) and has a karst landscape, which is formed by the dissolution of carbonate rocks, and prolonged water issues. High rock solubility results in caves and extensive underground aquifers (Bakalowicz, 2005). Water is sourced from caves, deep wells, or springs that are often off-grid and far from settlements. SWPS project was expected to solve the water problem. The projects were replicated in many villages, but some local articles reported that systems became fully nonfunctional after several years of operation (Kusuma, 2008; WKM, 2009). Official documents concerning the evaluation and performance status were lacking. We investigated nine SWPS projects and interviewed community-based organizations (CBOs), the implementing organizations, village and subdistrict leaders, and local governments, and conducted a qualitative analysis of their responses.

The novelty of this paper is based on two key points. First, it fills the gap in the current literature dedicated to community-scale SWPS regarding the major issue of support systems that enable sustainability transition. Second, the research is innovative in taking the perspective and analysis of institutional arrangements from each actor in the local stakeholder cohort. As a study case, SWPS in Gunungkidul represents the typology of small-scale (<1 MW) solar PV for productive use, specifically for rural community water supply. Worldwide, India has been the major implementer of SWPS for agricultural farms (Chandel et al., 2015), while in developed countries, the applications are commonly for ranchland, livestock, and vacation homes (Meah et al., 2008a, b). As an RE technology, SWPS produces the direct benefit of water, not electricity. Therefore, the technology performance is strongly associated with an underground aquifer and challenging environmental conditions such as the karst landscape of Gunungkidul.

2 Analytical Framework

To the best of our knowledge, scholars have not assessed SWPS in Indonesia through a niche management framework and the institutional arrangements of local actors; hence, we decided to add these considerations in the research as shown in Fig. 23.3. We hypothesized that the lack of a supportive environment, from local actors to internal niche, leads to SWPS malfunction and eventually difficulty in adopting the technology. The first level of analysis is the internal niche. The definitions of niche management process are as follows: (a) Learning process includes the articulation of needs, problems, and possibilities at multiple dimensions. (b) Network building contributes to niche development when it has diverse actors providing multiple views and can mobilize commitment and resources. (c) Visions and expectations are crucial to drive the nurturing process and it should be shared among actors (Kemp et al., 1998; Schot & Geels, 2008; Seyfang et al., 2014).

Fig. 23.3
A chart depicts the malfunction of the S W P S project in Indonesia due to a lack of a supportive environment, from local actors to niche management, which leads to difficulties in the water utility sector.

Analytical framework

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The second step of analysis is the connection of niche with the institutional arrangements of local actors. In our analysis, local actors consist of local government and the implementing organizations. Since the democratizations process in 1998, central government has decentralized many of its function to local government, which is divided into autonomous provinces, districts (or regencies, kabupaten), and municipalities (kota) (Usman, 2001). In districts comprising rural areas, there are smaller government administrative units called subdistricts (kecamatan) and villages (desa). To fully understand the context, we added an important actor in the SWPS process: the implementing organizations that drive SWPS development, such as universities, nonprofit organizations (NPOs), the national agency, and international donors. We analyzed the actors’ governance aspect based on three indicators: policy, structure, and management. The definitions are as follows: (1) Policy and institutional mandate is how government follows a certain method to achieve the desired result; (2) Structure means allocation of responsibility and budgeting; and (3) Management focuses on the government’s relationship with society, particularly in regard to engaging in SWPS issues (Boesveldt et al., 2018; Smits et al., 2011). Our findings are intended to encourage decision-makers to create favorable local governance arrangements and policies that continuously support SWPS to achieve sustainable transition.

3 Methodology

This study employed a qualitative analysis using deductive and inductive approaches. Primary data were collected through face-to-face interview and distributed questionnaire to a total of 18 people. We visited nine projects from GK1 to GK9 (see Table 23.1) and interviewed face to face with one representative from each CBO. CBO is a group composed of community members who managed the SWPS. They bear the responsibility of doing daily operational, maintenance, water distribution, and coordination. We also collected data from local actors that were province agency, district department, subdistrict government, village government, and implementing organization. Data from several actors were gathered using a survey questionnaire comprising open-ended response questions, which was distributed by email in consideration of respondents’ convenience. The list of informants is presented in Appendix 23.1. When used as sources in Results and Discussion, the interview coded numbers are stated in the text inside the square brackets, for example, [10] refers to the interview with province agency.

Table 23.1 List of projects and their status
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Interviews with the CBO representatives were held from March 2–7, 2021, and those with the external institutions from July 22 to September 2, 2021. The list of questions was constructed beforehand, which consisted of open questions about issues relating to the research questions and the challenges of energy generation transition, for example, development process, operations and maintenance, system malfunctions, support from external stakeholders, policies, institutional arrangement, and overall impression of the project. Face-to-face interviews were recorded and transcribed for the analysis. All quotations attributed to the interview are anonymized and masculine personal pronouns are used throughout.

Data analysis contained two major steps. First, the co-occurrence analysis of niche management used the transcribed interviews from each CBO representative. Codes were defined according to insight derived from interview and then aggregated into the theoretical concept of niche management. Qualitative data analysis software, ATLAS.ti, was used to generate code co-occurrence coefficients. The c-coefficient indicates the strength of the relation between two codes from 0 to 1, where 1 means the codes cooccur wherever they are used (ATLAS.ti, n.d.) and is calculated as follows:

$$ c=n12/\left(n1+n2-n12\right), $$

where n12 = number of co-occurrences for codes n1 and n2. Then, the coefficient is divided into three intervals, namely, strong, intermediate, and weak relationship.

Second, in the analysis of institutional arrangements, we carried out qualitative analysis from the transcribed interviews and open-ended questionnaires from local actors. Data from the questionnaire were labeled and categorized according to the three indicators: policy, structure, and management. We present the results in three categories: (1) strong means the variable is fully present in relation to SWPS; (2) intermediate is when the variable is present but not aligned with SWPS; and (3) weak means the variable does not present at all. The result was triangulated with regulations, laws, and other secondary data to ensure accuracy in observation. Figure 23.4 shows the method flowchart.

Fig. 23.4
A block diagram depicts the analysis of institutional arrangements. It begins with a semi-structured interview and ends with narrative construction.

Method flowchart

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4 Results and Discussion

This section is presented as follows. First is the analysis of niche management followed by the institutional arrangements of local actors. At the end, challenges to sustainability transition are presented by combining both analyses. Results are shown in the early paragraphs, followed by discussions and references from literature.

4.1 Niche Management Analysis of Solar Water Pumping Systems

Figure 23.5 captures the survey results regarding the overview of the project, functionality, and the supporting environment of SWPS, such as the service fee, reserve funds, spare parts, and support from the implementing organization.

Fig. 23.5
A graph of project survey results in percentage. It depicts insufficient reserve funds and unable to repair and replace the components.

Project overview

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All projects were implemented through the involvement of the external institutions and donors. In the majority, the community participated in public meetings and physical construction. The project was later handed over from the implementing organization to the local community, giving them full responsibility for operations and maintenance. Local government, from province to village level, never built any SWPS (Fig. 23.6). Problems emerged with the project performance. The majority of SWPS (8 of 9 or 89%) are currently not functioning. From Table 23.1, it is shown that the average SWPS lifetime was 4 years. An accumulation of many factors caused the projects to be stopped. From the interviews, we classified the code, subcode, and abstract into niche management factors (Table 23.2) and the coefficients of co-occurrence in Fig. 23.7. Damage to the electrical components was frequently associated with the need for repair support (0.27) and a lack of reserve funds for repairs (0.19). Moreover, the community needs the support because of the insufficient training they had received (0.20). Throughout the experience on managing the SWPS, they felt the system failed to deliver the expected performance, which was associated with their preference for an electric utility (0.21).

Fig. 23.6
An information diagram represents the involvement of the implementing organization, local government, and local community in the development of the S W P S project later handed over to C B O.

Relationships among actors during SWPS project development

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Table 23.2 Code, subcode, and abstract
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Fig. 23.7
A data set depicts co-occurrence coefficients based on strong, weak, and intermediate relationships. It represents a strong link between electrical component damage and the need for assistance to repair the malfunction.

Co-occurrence coefficients between codes

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This section explains the niche management through the indicators of system malfunction, learning process, network building, and vision.

System malfunction. SWPS has multiple parts that are exposed to inclement conditions such as bad weather, changes in water level, and human manipulation; therefore, mechanical wear and tear is inevitable. While the design system of each project is different, in general, the pump and controller are the most prone elements of the system. Six projects mentioned problem in the pump (GK1, GK2, GK4, GK6, GK7, GK8) and three projects mentioned problems in the controller/inverter (GK3, GK5, GK 9). Malfunction resulting from theft happened at GK 1 and GK4. In the case of Gunungkidul, most of the SWPS locations are near to the water source, caves, and forest, far from the community settlement. Theft caused electrical burnouts, which exacerbated the malfunction. Longevity of the SWPS requires efforts in the repair and replacement of elements when malfunctions occur.

The controller contains sophisticated electronics that must withstand various environmental conditions while isolating the solar PV array from the pump for safety and providing the pump with optimum voltage (Meah et al., 2008a, b). A controller that incorporates an inverter is needed if an AC pump is used. Ideally, the controller/inverter is scheduled to be replaced after 8–12 years (Welsien & Hosier, 2015); however, the average lifetime of the SWPS in Gunungkidul was only 4 years, far below other reported cases that had been in operation for 10 years in Mexico (Foster et al., 1998) and 15 years in Wyoming, USA (Meah et al., 2008a, b). In other words, the system deteriorated faster than the expected replacement time. Routine operational maintenance faces a huge barrier when there is no support system in the region; hence, the SWPS quickly become fully nonfunctional.

Learning Process

The SWPS project was developed with strong collaboration between external actors and the community. During the project preparation stage, most of the CBOs (89% or 8 of 9 cases) received training in operations and maintenance. The most common training involved wiping the solar panels and checking the pipe [2], [5], [7], [8], [9]. Some CBOs received more advanced training such as GK9. All CBOs said they had insufficient skills for conducting higher level maintenance, such as repairing the pump. Our data show insufficient training to be strongly associated with the need for assistance when malfunctions occur (c-coefficient = 0.20).

Continuous learning is needed in order to improve niche growth. This process aspect was glaringly absent at the SWPS Gunungkidul. For most installations, technical damage was not investigated further, as there was no skilled technician to assist the community. Several CBOs mentioned the limestone sedimentation that caused damage in the pump [6], [8]. Another CBO mentioned pump failure at low water level [2] and experienced rapid corrosion of the solar PV array situated near the coast [9]. Such problems and their solutions need to be included as part of the learning process in order to improve the SWPS’ performance.

The hydrological cycle in karst aquifers has high heterogeneity and is organized by groundwater flow, which needs to be monitored continuously (Bakalowicz, 2005). Learning from several limitations in the field, adjustment in the design technology might be needed to achieve optimum performance and the standardization of best practices (Geels & Deuten, 2006). Difficulties finding skilled human capital within Gunungkidul amplify the urgency to bring technical support and on-going professional advice from outside. Gunungkidul has the lowest Human Development Index among other regions in the province (69.98 of 100) (BPS Provinsi Daerah Istimewa Yogyakarta, 2020). The findings in our case studies align with those reported by UNESCAP (UNESCAP, 1991). It is feasible to operate SWPS by unskilled personnel; however, skilled engineers are needed for regular technical maintenance. SWPS require monthly maintenance checks and annual high-level back-up and support.

Network Building

The existing SWPS network is operated among the CBO, the implementing organization, and village government. As the driver of development, the implementing organization is expected to deliver assistance. Our research indicates that 89% (8 of 9 cases) do not have direct access to spare parts, meaning they depend on the implementing organization to facilitate the contacts. The majority of CBO representatives said that the spare parts were from outside the province, for example, Surabaya or Semarang, or from the capital city of Jakarta. The pump has been imported from overseas, for example, Lorentz from Germany and Franklin from the United States.

According to those interviewed, almost half of the cases (44%) received support at least once in postconstruction phase. When the institution was willing to facilitate the repairs, the community decision was constrained by limited funds. The collection of user fees became necessary in order to cover the cost of repair. Even though most of the projects (67% or 6 of 9 cases) had collected a service fee, all cases (100%) reported that the reserve fund was insufficient to cover the repair and replacement of components. The fund was only adequate for minor problems, such as fixing broken pipes or to buy battery water. The cost of a replacement unit is far above the community fund. The socio-economic background of the communities, where many are farmers and day-laborers, makes it difficult to collect additional money. Therefore, component failures were not fixed and SWPS operations were not restored.

These findings highlight three consequences. First, the network is not developed between CBOs and higher local government or broader actors. The CBOs heavily rely on the implementing organization for assistance, such as searching for replacement spare parts. Second, the unavailability of spare parts at a local level means that repair times will be significantly extended because the components have to be shipped from outside the country. Third, although operational cost is very low, if any maintenance costs do happen, then SWPS require relatively expensive items such as a replacement pump or controller/inverter (Hjalmarsdottir, 2012); this causes the repair costs to be higher than other water supply systems (UNICEF, 2016). To date, credit from financial institutions or government is not available.

Vision and Expectation

The SWPS, as a new technology in the Gunungkidul Regency, was built with an expectation of cheaper water service and minimum operational cost compared with diesel-powered pumps. A lack of commitment was evident in some projects where assistance from the implementing organization was not available at all (56%: GK1, GK2, GK3, GK5, GK8). The difficulties of project management affect the community’s perception about the RE system and preference for an electrical or diesel-powered water utility. The CBOs have a strong interest in electrical utilities (c-coefficient = 0.21) because they are easier to maintain [5], [6], [7], [9] and they believe they are able to manage these units with their minimum skill (0.09) and without external support (0.16).

The promise of technological performance is an essential part of niche development (Kemp et al., 1998). However, having an accumulation of the above problems, the SWPS became unreliable and did not meet the users’ expectations. Electric utilities, as an incumbent technology, have the benefits of far longer time in development and offer convenience of use, lower cost, infrastructure, maintenance network, and regulation (Smith, 2007; Smith et al., 2016); hence, conventional electrical utilities have higher reliability and greater longevity.

4.2 Analysis of Institutional Arrangements of Local Actors

The institutional arrangements vary for each stakeholder in the context of SWPS management and its transition (Table 23.3). The following discussions refer to the contents of table by row number and column, respectively, in brackets; for example, (1, 2) refers to the province agency’s roles and responsibility.

Table 23.3 Institutional arrangements in the context of SWPS implementation and transition
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Province Agency

Institutional mandates play an important part in government roles and function to conduct certain programs with a particular approach. In Yogyakarta Province, responsibility for the energy sector is on the province level (1, 1). The province does not have SWPS assets and they never built the system. The province government perceives that solar PV for the water sector is currently not effective due to its high initial investment cost and the electricity produced is intermittent. Hence, the province level focuses on solar PV utilization for electricity generation and not water pumping.

Yogyakarta Province has produced a “Regional Energy Plan 2020–2050” (Government of Yogyakarta Province, 2020) that consists of a vision, mission, goals, targets, and strategies for regional energy management. The plan plays a major role as a guideline for local government, municipalities (kota), and districts (kabupaten) to develop a strategic plan, coordinate across sectors, and for the public to participate in energy sector decisions. From the perspective of RE, the plan mentions installation of solar PVs on building rooftops in government offices, commercial buildings, industry, and public facilities. Because the SWPS is not stated in the program, the province government’s involvement, budget allocation, and initiative in the issue are limited (1, 2; 1, 3; and 1, 4, respectively).

District Department

There is no department that manages energy sectors at the district level (2, 1). District departments are responsible for water services that use an electric utility or diesel, and do not consider RE as an electricity source. There is no clear mandate to implement RE in the water sector and RE development is outside the district’s scope of responsibility; therefore, local departments only focus on water supplies (2, 2). There is no allotted arrangement in APBD (Regional Fund) for RE projects (2, 3). In the DAK (Special Allocation Fund), which the national government transfers to municipalities and is earmarked for national priorities, the allotted arrangement is for the water network and not RE or solar PV. Initiatives for collaborative works in SWPS are absent (2, 4).

District government focuses on two programs of the water sector in the Gunungkidul: PDAM in urban areas and the “Water Supply and Sanitation Program for Low-income Communities” (Pamsimas) for rural areas. PDAM has a small part of its systems that uses RE technology but this was a pilot project implemented by external actors (BPPT, 2016; Nestmann et al., 2013).

Pamsimas, a national program initiated by the World Bank and government of Indonesia in 1993, is developed in collaboration between community demand and government institutions (The World Bank, 2014). Arguably, there is a possibility to use solar PV in the Pamsimas program. However, budget allocation per project, which is approximately IDR 240 million (17,000 USD), is inadequate. Additional funding opportunities from the district budget are also limited.

Sub-district Government

Sub-district level has the role of “guidance (pembinaan) and supervision (pengawasan) of village activities” according to Law Number 23/2014 about Local Government. Their work facilitates development planning meetings and oversees village activity. The sub-district’s policies, roles, and initiatives in SWPS activities are minimum (3, 1; 3, 2; and 3, 4, respectively). They also do not have an allotted budget for direct activities such as SWPS management (3, 3).

Prior research stated that there are challenges due to the lack of capacity in the staff, who commonly carry out purely administrative roles (Syukri, 2016). The research mentioned one of the causes is the absence of detailed regulation about the function and authority of sub-district staff in assisting village governments.

Village Government

Village government has the strongest roles and responsibility to manage SWPS compared with other government levels (4, 2). When an SWPS project is built in their territory, the village government is expected to manage the system [10], [11], [17], [18]. Because the Law Number 6/2014 about “Village” is in force, the village has greater roles and authority to govern autonomously (4, 1). In terms of funding, the national government provides a Village Fund (Dana Desa) and district government allocates some budget as well (4, 3). The village does not put SWPS on the priority for an allotted budget due to several considerations. The first derives from the “Vision” section: the SWPS has failed to meet expectations and seems to not be a reliable system; therefore, the village prefers to build a water supply system based on an electric utility or diesel rather than repairing the SWPS. Second, the SWPS has been nonfunctional for a relatively long time; hence, the deteriorated systems require more funds than budgeted.

Regarding engagement among actors in SWPS management, we found that village government, which is the lowest government unit, is the only level that directly collaborates with the CBOs that manage SWPS and with the implementing organization (4, 4); however, village governments have yet to actively seek broader opportunities to sustain the SWPS. The upper government levels, that is, the province agency, district department, and subdistrict government, are relatively passive and do not initiate collaborative work although they said they are willing to facilitate and coordinate a proposal if any [10], [11], [12], [13].

Implementing Organization

The implementing organization has technical expertise, resources, and networks to engage with many actors (5, 4). While each institution has different specific policies, in general, they want to materialize the potential of RE as a low-carbon technology in rural areas through pilot project experimentation or community service (5, 2). However, such programs often periodically change and do not possess the grand vision and design, making the outcomes of the allotted budget uncertain (5, 3). In all the case studies, when the SWPS construction is finished and the CBO established, the mandate to sustain the SWPS is handed over to the CBO and village government (5, 1), leaving the villagers to struggle with technical malfunctions. A clearly defined and written contractual arrangement is needed to clarify each party’s responsibility (Smits et al., 2011).

4.3 Challenges of SWPS Sustainability Transition

Over almost the last four decades, Indonesia has been unable to successfully implement SWPS in the water utility sector. Using an empirical case set of SWPS at Gunungkidul Regency, our analysis focused on local governance, starting with the dynamics of internal niche management and then the connection to the institutional arrangements of local actors.

The drivers of SWPS development in Gunungkidul are the external implementing organizations that come from diverse backgrounds: the national agency, international donors, universities, and NPOs. The initial cost of SWPS is beyond the affordability of the rural community, province and district governments’ budgets; hence, none of the projects in Gunungkidul were initiated or developed locally. After construction finished, the SWPS was handed over to the CBOs, bearing them with the responsibilities of management, operations, and maintenance. Community-level organization has been a common approach for rural water supply system in Indonesia through Pamsimas program, which has achieved several success cases of improved water, sanitation, and behavior change (The World Bank, 2014). Rural communities in Indonesia, especially in area having higher scarcity or resources and geographic isolation, commonly have strong cooperation and social ties (Subejo, 2009).

During the preparation stages, eight of the nine CBOs (89%) received training. However, to assume that training would equip the CBOs with enough skill independently is over-simplistic, moreover SWPS uses advance technology, not a conventional pump. System malfunctions cannot be handled by the CBOs; as a result, the average project lifetime was only 4 years. Through co-occurrence analysis, we found that the technical damage is related to CBOs’ need for repairs support (c-coefficient = 0.27) and lack of reserve funds for repairs (0.19). They also need the support due to the lack of training they had received (0.20).

During the management of SWPS, steps for nurturing the niche into sustainability transition were not taken. The ideal situation is when the institutions involved in project preparation commit and support the sustainability of the niche. However, from an analysis of institutional arrangements, it is apparent that their policy mandate, level of responsibility, and financing are not aligned to continuously support SWPS. Hence, their assistance was discontinued. The Yogyakarta province agency and Gunungkidul district department were never drivers of the SWPS development; therefore, they perceived the installations to be outside their scope of responsibility. At the local government level, networks only exist within the village government as the closest government unit to the CBO.

Without a supportive environment, SWPS, as a niche innovation, was unstable and unsustainable. The barrier of niche adoption in relation to the karst case-specific problem also needs to be properly addressed. The study area of Gunungkidul Regency is challenging for the exploration of and lifting of water to the surface, as said by district departments and implementing organization. Reflecting on the rapid deterioration of electrical components, the karst environment is arguably one of the contributing factors to SWPS not meeting expectations in terms of longevity. Interviewees mentioned the problems associated with limestone sedimentation and low water level, which are typical in a karst environment. Karst formations develop a distinct hydrological system that needs specific exploration techniques and approaches (Hartmann et al., 2014). Future design configurations should consider such issues to improve SWPS durability.

The local government has acknowledged the benefit of RE and shown interest in applying the technology, as shown in the “Regional Energy Plan 2020–2050” of Yogyakarta Province. However, they are yet to involve in water-energy sector and SWPS field. From the interview, several barriers existed, such as huge initial investments, perceived uncertainties of technological performance, and limited public funding [10], [11], [12]. Unavailability of a supportive environment has made it difficult for SWPS to compete with incumbent technology, in this case, diesel, and electric utility pumps. Circling back to the vision in project planning, this raises a question regarding how long the SWPS is expected to last and whether it is regarded as an interim condition prior to grid electrification (Kumar et al., 2019). Small-scale SWPS in Gunungkidul are unable to fulfill the vision of a reliable water supply. Consequently, visions to apply solar PV in regional water utilities have not yet emerged.

These above findings reflect three points. First, supportive policy environment that promotes SWPS is unavailable in the municipality; as a result, any initiative to build community-scale SWPS project could not be integrated into a certain grand plan, and eventually received little support from the municipalities. Further, when a project successfully implemented, there is a deeper structural problem regarding the tendency to deliver early quantitative, measurable results instead of performance and empirical impacts feedback (Derks & Romijn, 2019). Second, as initiator, the implementing organizations have been focused on replicating SWPS installations rather than on building networks with local government and bridging policy change. Political harmonization and support is extremely crucial, including stakeholders’ engagement, creating forums gathering the actors, routine meeting and consultation, that induce progress in policy framework (Sovacool, 2018). Third, province and district governments have not demonstrated an adaptive governance approach toward SWPS installations as an opportunity to initiate more action or strategic intervention in low-carbon development. Study conducted by Morita et al. (2020) mentioned that local government level of Indonesia has several challenges to achieve sustainable development goals, that are the lack of a coordinated system involving multiple stakeholders, inadequate capacity, experience, resources, and data for implementing and reporting. Shortcoming in local level is arguably related to the perception that national authorities is seen as driving forces of renewables (such as Ministry for Energy and Mineral Resources and state electricity company, or PLN), however the lack of coordination between national and subnational decision makers also exist (Marquardt, 2014).

Delegation from national mandate, such as declaring in national plan the obligation to adopt SWPS in water utility, will not necessarily achieve success in the implementation of sustainability transition. For a local innovation to be successfully adopted in a broader environment, significant changes are required in the institutional and governance aspect. Transition management is an iterative process (Loorbach & Rotmans, 2006), in the process of learning, systematic monitoring, and evaluation. The intention to scale should be in stakeholder’s mindset and part of the design to assess the scalability of innovation. Then, the decision to scale is based on the evidence, whether the desirable result is achieved and has potential to expand (Holcombe, 2012). This is not exclusive in our case about the transition of SWPS technology into water utility, but also in general local RE project that dreamed to pioneer regional energy transition. A dedicated institution has to be in place to facilitate the transition process. RE in general has a barrier to high upfront cost, perceived technology performance uncertainty, and risk (Vallecha et al., 2021). Hence, a strong leadership and committed institution who willing to take risk and advocating change is very crucial (Sovacool, 2018). Due to limited public finance, private sector investment will be very important. In essence, the efficacy of transition needs capacity building, stakeholder participation, policy alignment, technological learning, and continuous support commitment.

5 Conclusion

SWPS in Indonesia has been developed as a community-scale project since 1982; however, the technology is yet to be adopted in the water utility sector. Through the lens of governance, we addressed this problem through an analysis of internal niche management and local actors’ arrangements using a case study in Gunungkidul Regency. Our data on SWPS projects between 1986 and 2017 show that the average lifetime of the nine SWPS projects was 4 years. The discontinuation of support by implementing organizations meant CBOs struggled to overcome system malfunctions. The interviewees repeatedly mentioned that damage to the electrical components was frequently associated with the need for support in order to repair equipment and a lack of reserve funds. The community needs this support due to the insufficient training they received. The iterative process of learning, network building, and articulation of vision was not pursued. Challenges to the adoption of SWPS in a karst environment were insufficiently addressed. The network of actors did not extend to higher local government levels (province and district), whereas at the same time, their initiative to engage was also limited. Responsibility rested on village government as the closest government unit to the CBO; however, there was reluctance at this level to prioritize village funding for SWPS, because it had failed to meet their vision. As an internal niche, SWPS is seen as unstable and unsustainable by CBOs and local government; accordingly, there is no vision to apply the technology to the larger water utility.

Solar PV pump technology needs stronger support to compete with diesel and electric utility pumps in the water utility sector. To achieve sustainability transition, supportive policy promoting RE-water sectors should be in place, and more efforts on building vision and committed networks in local actors rather than replicating the number of installations. Transition management is an iterative learning cycle; hence, the involved stakeholders need to be dedicated to facilitating and assisting the process. Using insight from our analytical framework and the Gunungkidul case, it could be helpful for parties to identify similar cases of community-scale RE projects in rural settings.

We consider the following limitations in our research. First, we did not explore diverse aspects such as the market, industry, science, culture, and infrastructure. Second, we did not delve into the national and local linkage of water–energy policy. Future research in this area will strengthen the argument about the SWPS development trajectory from a multilevel perspective. Sustainability transition is a continuous and long-term effort that needs a combination of strength and commitment from different level of government structures, from national to local level.