Institutional Vulnerability and Governance of Disaster Risk Reduction: Macro, Meso and Micro Scale Assessment [Elektronische Ressource] : With Case Studies from Indonesia / Jonatan A. Lassa

Institutional Vulnerability and Governance of Disaster Risk Reduction: Macro, Meso and Micro Scale Assessment [Elektronische Ressource] : With Case Studies from Indonesia / Jonatan A. Lassa

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Institutional Vulnerability and Governance of Disaster Risk Reduction: Macro, Meso and Micro Scale Assessment (With Case Studies from Indonesia) Dissertation zur Erlangung des Grades Doktor Ingenieur (Dr.Ing.) der Hohen Landwirtschaftlichen Fakultät der Rheinischen Friedrich-Wilhelms-Universität zu Bonn Vorgelegt am 24 November 2010 Jonatan A. Lassa aus West Timor, Indonesien Referent: Prof. Dr. Ing. Janos J. Bogardi Korreferent: PD. Dr. Peter P. Mollinga. Korreferent: Prof. Dr.-Ing.

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Institutional Vulnerability and Governance of Disaster Risk Reduction:
Macro, Meso and Micro Scale Assessment
(With Case Studies from Indonesia)

Dissertation

zur
Erlangung des Grades

Doktor Ingenieur
(Dr.Ing.)

der
Hohen Landwirtschaftlichen Fakultät

der
Rheinischen Friedrich-Wilhelms-Universität

zu Bonn

Vorgelegt am 24 November 2010

Jonatan A. Lassa

aus

West Timor, Indonesien

























Referent: Prof. Dr. Ing. Janos J. Bogardi

Korreferent: PD. Dr. Peter P. Mollinga.

Korreferent: Prof. Dr.-Ing. Theo Kötter

Tag der mündlichen Prüfung: 28-02- 2011

Erscheinungsjahr: 2011
ii
Abbreviations

AIT: Asian Institute of Technology
AusAID: Australian Agency for International Development
APBN: Annual National Development Budget
APBD: Annual Local Development Budget
ASEAN: Association of Southeast Asian Nations
Bakornas: National Coordination Agency for Disaster Management (old) in Indonesia
BMG: Indonesian Meteorological and Geophysics Agency Indonesia
BNPB: Indonesian National Disaster Management Agency
BDPB Indonesian Local Disaster Management Agency
CDA: Critical Discourse Analysis
CBDM: Community-based Disaster Management
CBDRM: Community-based Disaster Risk Management
CRED: Center for Research on the Epidemiology of Disasters
CSO: Civil Society Organizations
DAAD: German Academic Exchange Service
DM: Disaster Management
DNPI: National Council for Climate Change of Indonesia
DPR: National Legislation Council (Indonesian Parliament)
DPRD: Local Legislation Council (provincial/district parliament)
DRG: Disaster Risk Governance
DRGF: Disaster Risk Governance Framework
DRM: Disaster Risk Management
DRR: Disaster Risk Reduction
ECLAC: Economic Commission for Latin America and the Caribbean
ECHO: European Commission for Humanitarian Aid & Civil Protection
EID: Encyclopedia of International Development
EMDAT: Emergency Event Database
ESDM: Ministry of Energy and Mineral Resouce
ESG: Earth System Governance
GAR: Global Assessment Report
GDP: Gross Domestic Product
GFDRR: Global Facility for Disaster Reduction and Recovery
GEF: Global Environmental Facility
GITEWS: German-Indonesian Tsunami Early Warning System
GR: Government regulations
GTZ: German Agency for Technical Cooperation
HFA: Hyogo Framework for Action
IBC: International Building Codes
ICC: International Code of Councils
ICM: Indonesian Concrete Manuals
IRCI: Institutional Resilience and Capability Index
ICT: Information and Communication Technology
IDNDR: International Decade for Natural Disaster Reduction
IDR: Indonesian Rupiah
iii
IDRL: International Disaster Response Laws
INGO: International Non-governmental Organizations
IFRC: International Federation of the Red Cross
IJMED: International Journal of Mass Emergency and Disasters
IDPs: Internally Displaced Peoples
IDRL: International Disaster Response Laws
ISO: International Standard Organization
IVI: Institutional Vulnerability Index
ITB: Bandung Institute of Technology, Indonesia
IVA: Institutional Vulnerability Assessment
KAM: Knowledge Assessment Methodology
Keppress: Presidential Decree
Kepmen: Minister Decree
MDGs: Millennium Development Goals
MPBI: Indonesian Disaster Management Society
MRI: Multi-risk Index
MSR: Multi-strategy Research
NAP: National Action Plan
NGO: Non Governmental Organizations
NTT: East Nusa Tenggara Province
NU: Nahdatul Ulama
OFDA: Office of U.S. Foreign Disaster Assistance
PD: Presidential decree
Perda: Local regulation
Perkada: Head of region’s regulation
Perpress: Presidential Regulation
Permendagri: Interior Minister Regulation
PermenPU: Minister of Public Work’s Regulation
PP: Government Regulation
PMPB: Disaster Management Association Kupang
PMB-ITB: Pusat Mitigas Bencana – Bandung Institute of Technology
PMI: Indonesian Red Cross
PRA: Participatory Risk Assessment
RAN: National Action Plan
RAN PRB: National Action Plan for Disaster Reduction
RENAS: National Planning
RGF: Risk Governance Framework
RPJMD: Local Medium-Term Development Planning
RPJMN: National Medium-Term Development Planning
Satlak: District Level Coordinating Agency for Disaster Management (old)
Satkorlak: Provincial Level Coordinating Agency for Disaster Management (old)
SC-DRR: Safer Community through Disaster Risk Reduction
SKPD: Local Government Working Units (province and district)
UBC: Uniform Building Codes
UN: United Nations
UNDP: United Nations Development Program -ERA: United Nations Development Program Early Recovery Assistance
iv
UNDRO: United Nations Disaster Relief Organization
UNESCO: United Nations Education, Science and Culture Organization
UNICEF: United Nations Children’s Fund
UNISDR: United Nations International Strategy for Disaster Reduction
UNOCHA: United Nations Office for the Coordination of Humanitarian Affairs
UNU-EHS: United Nations University Institute for Environment and Human Security
UII: Islamic University of Indonesia
USAID: United States Agency for International Development
WHO: World Health Organization
WCDR: World Conference of Disaster Reduction
WGI: World Governance Indicators
ZEF: Center for Development Research (University of Bonn)

v
CONTENTS
ABBREVIATIONS .............................................................................................................................. III
LIST OF FIGURES .............................................................................................................................. X
LIST OF TABLES ............................................................................................................................... XI
ACKNOWLEDGMENTS.................................................................................................................. XII
DEDICATION .................................................................................................................................. XIV
ABSTRACT ........................................................................................................................................ XV
CHAPTER 1. INTRODUCTION .......................................................................................................... 1
1.1. Introduction ................................................................................................................... 1
1.2. Research Problems ......................................................................................................... 2
1.3. Research Objectives ....................................................................................................... 4
1.4. Research Questions ........................................................................................................ 5
1.5. Research Outline ............................................................................................................ 5
CHAPTER 2. THEORIES AND CONCEPTS OF INSTITUTIONS AND GOVERNANCE ............. 7
2.1. Introduction ................................................................................................................... 7
2.2. Understanding Institutions of Disaster Risk Reduction ................................................... 9
2.2.1. Introduction ............................................................................................................... 9
2.2.2. Rational Choice Critics on Institutions....................................................................... 9
2.2.2.1. New Institutional Economics Theory .................................................................. 10
2.2.3. Theory of Pathways ................................................................................................. 12
2.2.4. Anthropological Approach to Institutions in Disaster Risk Reduction ...................... 13
2.2.4.1. Religions as Informal Institutions........................................................................ 14
2.2.5. Timelines of Institutions: Simplified Framework ..................................................... 16
2.2.6. How Institutions Change ......................................................................................... 17
2.2.7. Institutional Plurality and DRR................................................................................ 18
2.2.8. Bureaucracy as Institutions and Governance ............................................................ 20
2.3. Theories and Concept of Governance ........................................................................... 22
2.3.1. Application of the Concept of Governance to Disaster and Risk Research ............... 25
2.3.2. Decentralization and “Decentralized Governance”................................................... 30
2.3.3. Scale of Disaster Risk Governance .......................................................................... 32
2.3.4. Polycentric Nature of Disaster Risk Reduction ........................................................ 34
2.4. Towards a New Concept of Institutional Vulnerability to Disaster Risk ....................... 36
CHAPTER 3. RESEARCH FRAMEWORKS AND METHODS ...................................................... 39
vi
3.1 Research Frameworks .................................................................................................. 39
3.1.1 Introduction to Overall Research Frameworks ......................................................... 39
3.1.2 Disaster Risk Governance Indicators at National Scale ............................................ 42
3.1.3 Country Level Institutional Vulnerability Assessment ............................................. 42
3.2 Research Methods ........................................................................................................ 44
3.2.1 Quantitative Methods .............................................................................................. 45
3.2.1.1 Descriptive Statistical Analysis ............................................................................... 45
3.2.1.2 Correlation Tests and Multiple Regression .............................................................. 45
3.2.1.3 Social Network Analysis ......................................................................................... 45
3.2.2 Research Scales and Locations ................................................................................ 48
3.2.2.1 Geography of Data Collection ................................................................................. 48
3.3 Case Study Approach ................................................................................................... 49
3.3.1 Ethnographic Research and Participant Observation ................................................ 49
3.3.2 Unstructured Interviews .......................................................................................... 50
3.3.3 Policy Documents as Sources of Data ...................................................................... 50
3.3.4 Multi-Stakeholder Workshops/Conferences ............................................................. 51
3.4 Software for Data Analysis .......................................................................................... 51
CHAPTER 4. INTRODUCTION TO INSTITUTIONAL VULNERABILITY ASSESSMENT ...... 53
4.1. Introduction to Overall Framework .............................................................................. 53
4.2. Data and Analytical Methods ....................................................................................... 54
4.3. Results of Statistical Analysis ...................................................................................... 57
4.3.1. Selected Statistical Results for HFA 1 ..................................................................... 62
4.3.2. Selected Statistical Results for HFA 2 ..................................................................... 63
4.3.3. Selected Statistical Results for HFA 3 ..................................................................... 64
4.3.4. Selected Statistical Results for HFA 4 ..................................................................... 66
4.3.5. Selected Statistical Results for HFA 5 ..................................................................... 67
4.4. Discussion ................................................................................................................... 68
4.4.1. Conclusion .............................................................................................................. 70
CHAPTER 5 INSTITUTIONS AND GOVERNANCE ASSESSMENT ............................................ 74
5.1. Introduction ................................................................................................................. 74
5.2. Data Source ................................................................................................................. 74
5.3. Results ......................................................................................................................... 75
5.3.1. Descriptive Analysis................................................................................................ 75
5.3.2. Selected Correlation Tests ....................................................................................... 78
5.4. Volatility in Governance .............................................................................................. 78
5.4.1. Government Effectiveness and Disaster Risk Reduction .......................................... 79
5.4.2. Corruption and Disaster Risk Reduction .................................................................. 82
5.4.3. Rule of Law and Disaster Risk Reduction ................................................................ 83
5.4.4. Voice and Accountability and Disaster Risk Reduction ........................................... 84
5.4.5. Regulatory Quality and Disaster Risk Reduction ..................................................... 85
5.5. Simple Regression Analysis for Institutional Vulnerability Index ................................. 87
5.6. Discussion ................................................................................................................... 88
vii
CHAPTER 6. INSTITUTIONS AND DISASTER RISK GOVERNANCE IN INDONESIA ........... 92
6.1. Introduction ................................................................................................................. 92
6.1.1. Introduction to Hazard and Risk Context in Indonesia 1960-2009 ........................... 92
6.1.2. Vulnerability Context in Indonesia .......................................................................... 94
6.2. Phases of Indonesia Disaster Management Institutions ................................................. 97
6.2.1. Disaster Management Institutions in Colonial Period ............................................... 99
6.2.2. Indonesian Disaster Management Policy 1946-1960s ............................................ 101
6.2.3. Indonesian Disaster Management Policy 1960s-1990 ............................................ 104
6.2.4. Indonesian Disaster Management Policy 2000-2007 .............................................. 111
6.3. Disaster Management Law 2007 ................................................................................ 117
6.3.1. Disaster Risk Management Structure ..................................................................... 120
6.4. Policy Flashback 1930-2010: Discontinuity and Continuity of Institutions ................. 122
6.5. More Evidence of Governance and Institutional Change in Disaster Risk Reduction .. 125
6.6. Discussion and Conclusion ....................................................................................... 129
CHAPTER 7 INSTITUTIONAL VULNERABILITY AND DECENTRALIZATION ................... 132
7.1. Introduction ............................................................................................................... 132
7.2. Volatility in Indonesian Institutions and Governance ................................................. 132
7.3. Decentralization and Its Missing Links and Implications for DRR ............................. 134
7.4. Disaster Risk Reduction Planning After Reform ........................................................ 139
7.5. Recent Progress on DRM-Related Law Enforcement ................................................. 142
7.5.1. Institutional Constraints at National and Local Levels: Recent Findings ................ 147
7.6. Understanding Law Enforcement Using Institutional Network Analysis .................... 150
7.6.1. Correlation Test ..................................................................................................... 155
7.7. HFA Implementation in Indonesia ............................................................................. 156
7.7.1. Overall Progress .................................................................................................... 156
7.7.2. National Action Plan and Implementation 2007-2009 ............................................ 160
7.7.3. National DM Plan 2010-2014 ................................................................................ 161
7.7.4. National Action Plan 2010-2012 ............................................................................ 164
7.8. Decentralization and HFA Priority 4: A Case Study on Mitigation in Indonesia ......... 165
7.8.1. Decentralization and Mitigation in Flores .............................................................. 167
7.9. Discussion and Conclusion ........................................................................................ 173
7.9.1. Discussion ............................................................................................................. 173
7.9.2. Conclusion ............................................................................................................ 175
CHAPTER 8. FINAL DISCUSSION, CONCLUSION, AND RECOMMENDATIONS ................ 178
8.1. Final Discussion ........................................................................................................ 178
8.1.1. Institutional vulnerability disaster risk governance ................................................ 178
8.1.2. Institutional vulnerability disaster risk governance in Indonesia ............................ 180
8.2. Conclusion ................................................................................................................. 184
8.2.1. Answering the research questions .......................................................................... 184
8.2.2. Reflection on mixed methodology ......................................................................... 187
8.3. Recommendations ...................................................................................................... 189
viii
8.3.1. Recommendations for Global Actors and Institutions ............................................ 189
8.3.2. Recommendations for Indonesian DRR Actors and Institutions ............................. 190
8.3.3. Recommendations for Future Research.................................................................. 191
BIBLIOGRAPHY .............................................................................................................................. 192
ANNEXES .......................................................................................................................................... 208
Annex 1. Simple Linear Regression ..................................................................................... 208
Annex 2. BNPB Structure .................................................................................................... 209
Annex 3. Example of Pajek Analysis on Closeness Centrality Output .................................. 210
Annex 4. Institutional Vulnerability Index ........................................................................... 211
Annex 5. Perception on the Cause of Disasters in Sikka: Selected Variables ........................ 213
Annex 6. Visited Areas in Indonesia .................................................................................... 214
Annex 7. Selected List of DRR Regulations Local and National .......................................... 215


ix
List of Figures
FIGURE 1 PHD RESEARCH OUTLINE .................................................................................................................................. 6
FIGURE 2 DISASTER RISK GOVERNANCE FRAMEWORK FOR MACRO, MESO AND MICRO ANALYSIS. ................................................ 39
FIGURE 3 OLD DISASTER RISK MANAGEMENT VS. HFA DISASTER RISK GOVERNANCE SPIDER ....................................................... 40
FIGURE 4 EXAMPLE OF SOCIAL NETWORK GRAPH OF “INSTITUTIONS” – DEGREE CENTRALITY TEST ................................................ 46
FIGURE 5 INSTITUTIONAL VULNERABILITY ASSESSMENT FRAMEWORK ..................................................................................... 54
FIGURE 6 HFA BREAKDOWN OF INSTITUTIONAL COMMITMENTS ON DRR ............................................................................... 55
FIGURE 7 BOX PLOT HFA PRIORITIES BETWEEN REGIONS .................................................................................................... 58
FIGURE 8 HISTOGRAM FREQUENCY DISTRIBUTION FOR HFA 1-5 ........................................................................................... 60
FIGURE 9 SCATTER PLOT ANALYSES HFA 1 VS. HVA2-5 ..................................................................................................... 61
FIGURE 10 SELECTED SCATTER PLOT ANALYSIS FOR HFA PRIORITY 1 ...................................................................................... 62
FIGURE 11 SELECTED SCATTER PLOT ANALYSIS FOR HFA PRIORITY 2 ...................................................................................... 63
FIGURE 12 SELECTED BOX PLOT ANALYSIS FOR HFA PRIORITY 3 ........................................................................................... 64
FIGURE 13 SELECTED SCATTER PLOT ANALYSIS FOR HFA PRIORITY 3 ...................................................................................... 65
FIGURE 14 SELECTED SCATTER PLOT ANALYSIS FOR HFA PRIORITY 4 ...................................................................................... 66
FIGURE 15 SELECTED SCATTER PLOT ANALYSIS FOR HFA PRIORITY 5 ...................................................................................... 68
FIGURE 16 FREQUENCY LEVEL AND HFA 22 INDICATOR AVERAGE (N=63) .............................................................................. 69
FIGURE 17 AVERAGE PERCEIVED HFA IMPLEMENTATION VS. INSTITUTIONAL QUALITY (N=63) .................................................... 76
FIGURE 18 FREQUENCY DISTRIBUTION OF GOVERNANCE INDICATORS ...................................................................................... 77
FIGURE 19 SELECTED CASES OF VOLATILITY IN GOVERNANCE INDICATORS................................................................................ 79
FIGURE 20 GOVERNMENT EFFECTIVENESS PLOTS .............................................................................................................. 80
FIGURE 21 GOVERNMENT EFFECTIVENESS OVERTIME ......................................................................................................... 81
FIGURE 22 DISTRIBUTION OF GOVERNMENT EFFECTIVENESS ................................................................................................ 81
FIGURE 23 PLOT OF CORRUPTION AND HFA 4 .................................................................................................................. 83
FIGURE 24 CONTROL OF CORRUPTION GLOBAL MAP.......................................................................................................... 83
FIGURE 25 PLOT RULE OF LAW VS. DRR REGULATIONS ...................................................................................................... 84
FIGURE 26 PLOT VOICE AND ACCOUNTABILITY VS. DRR GOVERNANCE ................................................................................... 85
FIGURE 27 PLOT REGULATORY QUALITY VS. DRR REGULATIONS ........................................................................................... 86
FIGURE 28 REGULATORY QUALITY – GLOBAL MAP ............................................................................................................ 86
FIGURE 29 SCATTER PLOTS OF INSTITUTIONAL RESILIENCE, DRR QUALITY AND DRI .................................................................. 88
FIGURE 30A MORTALITY RISK INDEX; B. RECORDED DEATHS 1960S-2009; C. WITHOUT TSUNAMI 2004 ......................................... 93
FIGURE 31 SELECTED VULNERABILITY AND RESILIENCE INDICATORS ........................................................................................ 95
FIGURE 32 ADMINISTRATIVE MAP OF INDONESIA .............................................................................................................. 97
FIGURE 33 LAWS AND RISK-RELATED LAWS PRODUCED DURING 1945-2009 .........................................................................102
FIGURE 34 DRM REGULATORY AND ORGANIZATIONAL NETWORK 1979-2007 .......................................................................114
FIGURE 35 SELECTED CENTRALITY TEST FOR ORGANIZATIONS/INSTITUTIONS 1979-2008 (N=28) ...............................................116
FIGURE 36 INDONESIA DISASTER MANAGEMENT SYSTEM ...................................................................................................121
FIGURE 37 TRENDS IN INDONESIA DRR STAKEHOLDERS .....................................................................................................124
FIGURE 38 DRR NETWORK IN INDONESIA 2006-2009 – BETWEENNESS CENTRALITY TEST ........................................................126
FIGURE 39 CENTRALITY TEST – SELECTED TOP 25 FOR BETWEENNESS CENTRALITY ...................................................................127
FIGURE 40 VISUALIZATION OF CLOSENESS CENTRALITY TEST DRR NETWORK 2006-2009 .........................................................128
FIGURE 41 SELECTED GOVERNANCE INDICATORS FOR INDONESIA 1996-2008 ........................................................................133
FIGURE 42 NUMBERS OF REGENCIES/CITIES IN INDONESIA 1950–2008 ...............................................................................135
FIGURE 43 MULTIPLE HIERARCHIES OF STRUCTURE, FUNCTION, AND FISCAL AFFAIRS ................................................................137
FIGURE 44 DRR INTEGRATION WITHIN DEVELOPMENT-RELATED PLANNING ...........................................................................139
FIGURE 45 NETWORK ANALYSIS OF INDONESIAN DRR PLANNING SYSTEM: DEGREE CENTRALITY TEST ...........................................140
FIGURE 46 STATISTICS OF PERKADA VERSUS PERDA FOR LOCAL DISASTER MANAGEMENT ...........................................................147
FIGURE 47 PERCEPTION ON THE INSTITUTIONAL/ORGANIZATIONAL OBSTACLES .......................................................................149
FIGURE 48 DEGREE CENTRALITY TEST OF LOCAL DISASTER REGULATIONS (N-87) ....................................................................151
FIGURE 49 BETWEENNESS CENTRALITY TEST OF LOCAL DISASTER REGULATIONS (N-87) ............................................................152
FIGURE 50 SELECTED REGRESSION OF CENTRALITY ANALYSIS ...............................................................................................153
x