Living with Earthquake and Water Scarcity in Rural –

Case study of household’s coping strategy against natural hazards in the earthquake‐prone district of Bantul and the water scarcity‐ prone district of Gunung Kidul

Dissertation

zur Erlangung des Akademischen Grades einer Doktor der Naturwissenschaften an der Fakultät für Geo‐ und Atmosphärenwissenschaften der Leopold‐Franzens – Universität Innsbruck

eingereicht von Nurhadi Nurhadi

Betreuung: Univ. Prof. Dr. Martin Coy, Institut für Geographie Innsbruck

Innsbruck, 2014 Eidesstattliche Erklärung

Ich erkläre hiermit an Eides Statt durch meine eigenhändige Unterschrift, dass ich die vorliegende Arbeit selbständig verfasst und keine anderen als die angegebenen Quellen und Hilfsmittel verwendet habe. Alle Stellen, die wörtlich oder inhaltlich den angegebenen Quellen entnommen wurden, sind als solche kenntlich gemacht. Die vorliegende Arbeit wurde bisher in gleicher oder ähnlicher Form noch nicht als Dissertation eingereicht.

Innsbruck, am .2014

Datum Unterschrift

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Table of Content

Table of Content ……………………………………………………………………………….. iii List of Figures…………………………………………………………………………………….. vii List of Boxes ……………………………………………………………………………………… ix List of Tables …………………………………………………………………………………….. x List of Pictures……………………………………………………………………………………. ix List of Maps ………………………………………………………………………………………… xi Acknowledgment …………………………………………………………………………….. xiii Zusammenfassung ………………………………………………………………….…………. xv Summary ……………………………………………………………………………………………. xvii

Chapter 1 Introduction …………………………………………………………………………………… 1 1. 1. Indonesia: A Country at Risk ……………………………………………………... 1 1.2. The Research Area of Yogyakarta: A Region with Multiple Hazards ……………………………………………………………………………….…. 7 1.2.1. The earthquake‐prone area of Bantul ..…………………………….. 8 1.2.2 The water scarcity‐prone of Gunung Kidul ……………………… 11 1.3. Research Questions …………………………………………………………………. 18 1.4. Research Methodology …………………………………………………………….. 21 1.4.1. Secondary data ………………………………………………………………. 23 1.4.2. Sub‐district samples ………………………………………………………. 24 1.4.3. Village samples ……………………………………………………………… 27 1.4.4. Survey ………………………………………………………………………….. 30 1.4.5. Focus‐Group Discussion (FGD) ………………………………………. 33 1.4.6. Participatory Rural Appraisal (PRA) ……………………………… 36

Chapter 2 Literature Review ………………………………………………………………………….. 39

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2.1. Discourse of Disaster ………………………………………………………………. 39 2.2. Risk ………………………………………………………………………………………… 47 2.3. Vulnerability …………………………………………………………………………… 55 2.4. Double Structures of Vulnerability …………………………………………… 61 2.5. Sustainable Livelihood Framework ………………………………………….. 65 2.6. Coping ……………………………………………………………………………………. 67

Chapter 3 Bantul and Gunung Kidul Regions ………………………………………………… 72 3.1. Location of the Area ………………………………………………………………. 72 3.1.1. Bantul and Gunung Kidul ……………………………………………… 72 3.1.2. Village administration ………………………………………………….. 75 3.1.3. Land use ………………………………………………………………………. 80 3.1.3.1. Paddy field ………………………………………………………. 84 3.1.3.2. Dry field ………………………………………………………….. 87 3.1.3.3. Non‐agricultural land ………………………………………. 89 3.1.4. Landownership and tenure system ……………………………… 94 3.2. Population …………………………………………………………………………… 97 3.2.1. Composition ………………………………………………………………… 97 3.2.2. Growth ……………………………………………………………………….. 100 3.2.3. Density ………………………………………………………………………. 101 3.2.4. Employment ………………………………………………………………. 104 3.3. Human Development ……………………………………………………………. 107 3.3.1. Education ……………………………………………………………………. 107 3.3.2. Health …………………………………………………………………………. 109 3.4. Economy and poverty alleviation ……………………………………………. 111 3.5. Summary ………………………………………………………………………………… 115

Chapter 4 Trajectory of Vulnerability …………………………………………………………….. 118 4.1. Pre‐colonial era (9th – 17th Century) …………………………………………. 119 4.2. Colonial era (17th Century – 1945) …………………………………………… 126

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4.3. Transition to the independent state (1945 – 1965) ………………….. 140 4.4. New‐order era (1966 – 1998) ………………………………………………….. 143 4.5. Transition to democracy (1998 – present) ……………………………… 152 4.6. Summary ………………………………………………………………………………… 157

Chapter 5 Coping with Risks in Rural Yogyakarta …………………………………………… 159 5.1. From risk denial to risk acceptance ………………………………………... 162 5.2. Household profile in the pre‐disaster period ……………………………. 171 5.2.1. The wealthy …………………………………………………………………… 172 5.2.2. The self‐sufficient ………………………………………………………… 175 5.2.3. The poor ……………………………………………………………………… 179 5.2.4. Access to social capital ………………………………………………… 181 5.3. Impact of disaster event to household’s assets …………….…………… 184 5.3.1. The decline of human and natural assets ………………………… 184 5.3.2. The deprivation of physical and financial assets ……………… 185 5.3.3. The improved social asset ………………………………………………. 189 5.3.4. Seizing the opportunity ………………………………………………… 190 5.4. Strategies ………………………………………………………………………………… 192 5.4.1. National law and regulation ……………………………………………. 193 5.4.2. Policy context …………………………………………………………………. 196 5.4.3. Farm strategies at household level ………………………………….. 201 5.4.4. Non‐farming activities …………………………………………………… 216 5.4.5. Loan ……………………………………………………………………………… 229 5.4.6. Building quake‐proof houses …………………………………………. 233 5.4.7. Water use management …………………………………………………. 234 5.4.8. Saving withdrawal and assets liquidation ……………………….. 237 5.4.9. Migration ………………………………………………………………………. 237

5.5. Summary ………………………………………………………………………………… 239

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Chapter 6 Discussion and Conclusion …………………………………………………………… 241

Literature ……………………………………………………………………………………… 247

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List of Figures

Figure 1.1. Population distribution ……………………………………………………………… 2

Figure 1.2. Population trend ……………………………………………………………………… 3

Figure 1.3. Drought events in Indonesia between 1979 and 2009 ..……………. 12

Figure 1.4. Diagram of flow linkages in karst drainage system ………………………. 16

Figure 1.5. Flow chart of research design ……………………………………………………… 31

Figure 1.6. Data input and output …………………………………………………………………. 35

Figure 1.6. Drought event in Indonesia (1979 – 2009) ………………………………... 13

Figure 1.7. Flowchart of research design ……………………………………………………. 24

Figure 2.1. Dikau’s model of disaster management ………………………………………. 45

Figure 2.2. Disaster management cycle ……………………………………………………… 46

Figure 2.3. Formulation of risk …………………………………………………………………… 50

Figure 2.4. GIRO framework ………………………………………………………………………. 51

Figure 2.5. Press and Release (PAR) model ……………………………………………….. 60

Figure 2.6. Bohle’s conceptual framework for vulnerability analysis ………….. 62

Figure 2.7. Sustainable Livelihoods framework ……………………………………….…. 66

Figure 3.1. Four concentration circles of Javanese kingdom …………………….…. 76

Figure 3.2. Land use of Bnatul and Gunung Kidul …………..……………………….…. 81

Figure 3.3. Stages of land conversion in Bantul ……………………………………….… 82

Figure 3.4. Settlement and forest area of Bantul and Gunung Kidul ………….… 89

Figure 3.5. Population pyramid of Bantul …….……………………………………………. 98

Figure 3.6. Population pyramid of Gunung Kidul ……………………………………… 99

Figure 3.7. Population growth of Bantul and Gunung Kidul ……………………… 100

Figure 3.8. Employment in Bantul and Gunung Kidul ……….………………………. 106

Figure 3.9. Health figure of Bantul and Gunung Kidul ………………………………… 110

Figure 3.10. Sectors contributing to the economy of Bantul and Gunung Kidul 111

Figure 4.1. Trajectory of vulnerability ………………………………………………………… 121

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Figure 4.2. Major administrative levels of Mataram state ……………………………… 127

Figure 4.3. Major administrative levels of the Mataram state ……………………… 124

Figure 4.4. Civil and military bureaucracies in the “” era ………………. 146

Figure 4.5. Structure of the Indonesian government (Law No 22/ 1999) ……… 154

Figure 4.6. Poverty in Indonesia ………………………………………………………………… 156

Figure 5.1. Javanese idea of crisis cycle ……………………………………………………….. 160

Figure 5.2. Asset status in the pre‐disaster event ………………………………………… 173

Figure 5.3. Taxonomy of Gotong Royong …………………………………………………….. 183

Figure 5.4. Asset status after the disaster event ….………………………………………. 183

Figure 5.5. Inflation of building material’s price …………………………………………. 184

Figure 5.6 ‘Wana’ Farming System of Gunung Kidul ………………………………….. 211

Figure 5.7. Pattern of water availability, labour, and household expenditure . 215

Figure 5.8. Access to credit ……………………………………………………………………….. 225

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List of Boxes

Box 1.1. Indonesia’s key indicators ………………………………………………………………. 1

Box 1.2. Household in Indonesia ………………………………………………………………….. 30

Box 3.1. Law No 20/2003 on National Education System ……………………………. 107

Box 3.2. Indicators of poor family ………………………………………………………………. 114

Box 4.1. Family planning in Indonesia ………………………………………………………… 149

Box 4.2. Transmigration program ……………………………………………………………… 146

Box 5.1. Law No 24 / 2007 on disaster management …………………………………… 191

Box 5.2. Important articles in disaster management law ……………………………. 193

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List of Tables

Table 1.1. Evapotranspiration estimates of the Gunung zone ………………… 13

Table 2.1. Typology of vulnerability concepts ………………………………………………… 59

Table 3.1. Administrative division ……………………………………………………………….. 78

Table 3.2. Education in Bantul and Gunung Kidul ………………………………………….108

Table 5.1. Most worrying situations…………………………………………………………….. 164

Table 5.2. The ‘old’ and the ‘new’ approaches to disaster management .……….. 195

Table 5.3. Cost and benefit of agriculture business ……………………………………. 204

Table 5.4. Seasonal calendar …………………………………………………………………….. 214

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List of Pictures

Picture 3.1. Harvested paddy field in Bantul ………………………………………………… 85

Picture 3.2. Terraces in the dry Field of Gunung Kidul …………………………………… 87

Picture 3.3. Eucalyptus plantation in the public forest area …………………………... 92

Picture 3.4. Cassava‐peanut‐tree variant of agroforestry in Gunung Kidul …….. 93

Picture 3.5. Sugarcane field in the Bantul …………..………………………………………….. 95

Picture 3.6. Livestock shelters in Bantul …………………………………………………….. 96

Picture 5.1. Rainwater harvesting and water reservoir ……………………………….. 200

Picture 5.2. Limestone mining and charcoal production ……………………………… 219

Picture 5.3. Agriculture, animal husbandry, and red brick production ..……….. 221

Picture 5.4. Telaga water …………………………………………………………………………… 235

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List of Maps

Map 1.1. Earthquake events in Indonesia (1900 – 2012) ………………………………... 6

Map 1.2. Area Affected by Yogyakarta Earthquake of 2006 ‐‐………………………… 10

Map 3.1. Bantul and Gunung Kidul …………………………………………………………….. 74

Map 3.2. Roads in Bantul and Gunung Kidul ………………………………………………. 83

Map 3.3 Population density of Bantul and Gunung Kidul …………………………… 102

Map 4.1. Centres of Javanese states ………………………………………………………… 125

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Acknowledgment

I would like to thank to all those who supported the study and made this dissertation possible. This applies first and foremost to the large numbers of rural inhabitants and village mayors who did not only volunteer information during the long interviews, discussions, and participatory observation but also showed great hospitality and made my stay in Gunung Kidul and Bantul districts most enjoyable. To all persons who have given me support and hospitalities, I am greatly indebted.

I was very happy to have such pleasant stay in Gunung Kidul and Bantul. For all I want to say:

“MATUR NUWUN – Thank you very much”

I am notably grateful to my highly motivated field assistant Nanik Irnaningsih who walked along distances and worked such long hours to assist me with collecting primary and secondary data.

In Austria I would like to thank in particular to my supervisor Professor Martin Coy for his excellent guidance, caring, patience, and providing me with excellent atmosphere for doing research from the beginning until the end of this study. I would like to express my deepest gratitude to Professor Bernd M Rode for helping me with the enrolment of my study at the University of Innsbruck and for nominating me for the BIONORICA grant and Praphasri‐Felser‐Fonds.

I also considerably benefited from numerous discussions with Martina Neuburger, Julia Scharting, Michael Klingler, Fernando Ruiz‐Peyre, Tobias Töpfer, Tobias Schmitt, Verena Schröder, Barbara Degenhart, and other colleagues in the Arbeitsgruppe fuer Entwicklungsforschung (AGEF) – Institut of Geography, University of Innsbruck. Special thanks to Christian Obermayr and Gerhard Rainer for checking the spelling, grammar, and writing style of this work. To all my Indonesian friends in Innsbruck, Anggri Setiawan, Deny Rahmat, Hary

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Febriansyah, Utia Suarma, Nina Novira, Haryono, Sarrah Ayuandari, Syamsul Bachri, and Yosafat Hermawan, thank you so much for the warm friendship.

Greatest thanks to my wife, Yayu Sri Rahayu for showing me so much patience in the hard times when the research was being carried out; and to my children, Pramudito Abimanyu, Hanindito Yogiswara, and Faraz Wasesa for keeping me cheering up when I was being down and less‐motivated.

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Zusammenfassung

In Indonesien sind die Zahl der Naturkatastrophen und auch die Zahl der Opfer in den letzten beiden Jahrzehnten erheblich angestiegen. Eines der verheerendsten Ereignisse der letzten Jahre war ein Erdbeben, welches die Region um Yogyakarta im Jahr 2006 traf. Dieses Beben tötete 5.000 Menschen und verursachte großen Schaden an Infrastruktur und Wohnraum. Nun, da der Wiederaufbau abgeschlossen ist und die Menschen zur Normalität zurückgekehrt sind, ist es wichtig die Verwundbarkeit der Bevölkerung zu untersuchen. Solch eine Studie wurde nicht nur in der für Erdbeben anfälligen Region Bantul durchgeführt, sondern auch in der Gegend Gunung Kidul, die häufig von Wasserknappheit betroffen ist. Ein Vergleich erscheint sinnvoll, da die Menschen in diesen beiden Regionen zwar in derselben Provinz leben, aber mit zwei gänzlich anderen Naturgefahren umgehen müssen. Während ein Erdbeben ein plötzliches und unvorhersehbares Ereignis darstellt, ist Wasserverknappung ein langsames und schleichendes Phänomen. Deshalb verlangen diese beiden Naturgefahren unterschiedliche Reaktionen.

Es wurden zwei verschiedene Arten von Daten erhoben: Quantitative und qualitative Daten. Als Quellen für Erstere wurden vor allem Sekundärquellen herangezogen, beispielsweise relevante wissenschaftliche Publikationen, Nachrichten aus den lokalen und nationalen Printmedien und Veröffentlichungen des öffentlichen Statistikbüros sowie aus der Primärquelle, insbesondere von den Befragungen. Die qualitativen Daten wurden durch in‐depth interviews, participatory Rural Appraisal (PRA) und Focus Group Discussions (FGD) gewonnen. Durch die Anwendung einer Sustainable Livelihood Analyse kommt die Untersuchung zu folgenden Ergebnissen:

1. Der Zustand der Verwundbarkeit im ländlichen Raum von Yogyakarta ist das Ergebnis einer langen sozialen, politischen und wirtschaftlichen Dynamik, die auf die Indonesische Geschichte zurückgeführt werden kann. Die ausbeuterische Weise des Kolonialismus, eine Vielzahl von gewalttätigen Konflikten, die Herrschaft eines autoritären Regimes und das

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Fehlen von Entwicklung haben erheblich zur Verwundbarkeit des ländlichen Raums von Yogyakartas gegenüber natürlichen und durch den Menschen verursachten Katastrophen beigetragen. 2. Im Hinblick auf die Umweltwahrnehmung der Bevölkerung gibt es einen auffälligen Unterschied zwischen den Regionen Bantul und Gunung Kidul. Während auf der einen Seite das Gebiet Bantul als fruchtbar und sicher wahrgenommen wird, wird mit dem Gebiet Gunung Kidul Trockenheit und Armut assoziiert. Diese Wahrnehmung spiegelt sich auch darin wieder, was die Einwohner dieser Regionen als die dringlichsten Probleme empfinden. Für die Bewohner Bantuls sind Erdbeben nicht das wichtigste Anliegen und der Umgang mit dieser Naturgefahr ist nur Eines unter einer Vielzahl von Belangen des täglichen Lebens. Wasserknappheit in Gunung Kidul dagegen wird von den Einwohnern dieser Region als die vordringlichste Frage für ihre Existenzgrundlage wahrgenommen. Daher haben in dieser Region alle ergriffenen Maßnahmen das Ziel, die Auswirkungen der Wasserkrise zu vermindern. 3. Basierend auf lokal vereinbarten Indikatoren können die Einwohner beider Regionen üblicherweise in drei Kategorien eingeteilt werden: Die Reichen (tiyang gadhah), die Selbstständigen (tiyang cekapan) und die Armen (tiyang kekirangan). Alle diese Kategorien haben ihr eigenes Haushaltsprofil und spezifischen Bewältigungsstrategien. 4. Angesichts der geringen Kapazität des landwirtschaftlichen Sektors die Bedürfnisse der Menschen zu befriedigen und Krisen zu bewältigen, suchen die Dorfbewohner beider Regionen Arbeit und Einkommensmöglichkeiten außerhalb ihrer landwirtschaftlichen Aktivitäten. Die verfügbaren Optionen können allerdings aufgrund von strukturellen und nicht strukturellen Zwänge von den einzelnen Mitgliedern der Haushalte nicht gleichermaßen genutzt werden.

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Summary

The disaster events and the number of casualties in Indonesia have been significantly rising in the last two decades. Among the most devastating disaster was an earthquake event that hit Yogyakarta region in 2006. The event killed 5,000 people and caused major housing and infrastructure damages. Now that the rehabilitation and reconstruction program has ended and that people have been returning to normalcy, a research on the question of vulnerability is important to do. This research has been conducted, not only in the earthquake‐prone area of Bantul, but also the water scarcity‐prone area of Gunung Kidul. The comparison is interesting, considering that people living in both districts share the same province, but deal with completely different kinds of natural hazards. An earthquake is a sudden and unpredictable phenomenon, while water scarcity is a slow creeping phenomenon, thus each requires distinctive responses.

The data collected can be put into two categories: quantitative and qualitative data. Quantitative data was collected from secondary sources, i.e. relevant publications; news on local and national printed media; publications from the public statistic bureau and survey. The qualitative data was collected from in‐depth interviews, Participatory Rural Appraisal (PRA), and Focus Group Discussion (FGD). Implementing the Sustainable Livelihood Analysis, this research has come up with following conclusions:

1. The vulnerable condition in rural Yogyakarta is the result of long social, political, and economic dynamic that can be traced back to Indonesian history. The exploitative character of colonialism, numerous chaoses, the ruling of authoritarian regime, and the failure of development have been contributing significantly to the vulnerability of rural Yogyakarta to both natural and man‐made disasters. 2. There is a striking difference between Bantul and Gunung Kidul as far as the surrounding environments are perceived. Bantul, on the one hand, tends to be perceived as a fertile and safe place, while Gunung Kidul, on the other

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hand, is perceived as dry and poor by their inhabitants. The above perception implies the way people perceive the most worrying situation. For the people of Bantul, earthquake is not the first situation they are concerned about. Coping with earthquake disaster is just part of addressing other agenda. On the contrary, water scarcity in Gunung Kidul is perceived as the most worrying situation. It results in a condition where all measures are ultimately focussing on minimizing the impact of water crisis. 3. Based on locally‐agreed indicators, households inhabiting both districts can be generally put into three household categories: the wealthy (tiyang gadhah), the self‐sufficient (tiyang cekapan), and the poor (tiyang kekirangan). Each of them have their own household profile and specific coping strategies. 4. Due to the limitedness of agriculture sector to meet the daily need and cope with crisis, villagers of both districts attempt to seek employment and income opportunity from non‐farm activities. However, the available options cannot be equally accessed by members of each household due to several structural and non‐structural constrains.

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1 Introduction

1. 1 Indonesia: A Country at Risk

Indonesia is the largest archipelago and the fourth most populated country in the world. Situated at the latitude of 60 N ‐ 110 South and the longitude of 950 – 1410 East, this country has land borders with Malaysia in the northern part of the Borneo island; Papua New Guinea in the eastern part of the Papua island; and Timor Leste in the northeast part of Timor island, and sea borders with the Philippines in the Celebes sea; Singapore in the Malacca strait; India (Andaman islands) and also Australia in the Indian ocean. Box 1.1. Indonesia’s key indicators Composed of 17,000 islands, the water area, Population in millions 234.18 (2010) Annual Population growth rate (%) 1.2 covering 3,257,482 km2, is (2008 - 2010) larger than that of the land Adult literacy rate (%) 92.0 (1,904,600 km2). Percentage of population living on less than US $ 1.25 a day 18.7 Approximately a third Percentage of population living below (6,000) of these total the national poverty line 13.3 (2010) Per capita Gross National Income (US $) 2,050 islands are inhabited. The World Risk Index 11.69 main islands includes (2011) Borneo (539,460 km2), Source: ADB, 2011, UNESCO, 2011, Sumatera (473,606 km2), World Bank, 2011, Bündnis Entwicklung Hilft, 2011 Papua (421,981 km2), (189,216 km2), and (132,107 km2) (Boer et al, 2005: 330). A wide gap of population number and density can be found between Java and other main islands. As shown by the figure 1.1 of page 2, covering only seven per cent of the total land territory of Indonesia, Java is inhabited by 57.5 per cent the total population, while other larger islands, such as Borneo and Papua are only inhabited by 3.9 per cent of the country’s population. The most densely populated city is Jakarta, where 10, every square kilometre of this area is inhabited by 10,852 people. This figure is 81 times

C h a p t e r 1 | 2 higher than the average national population density (134 per km2) and 1,357 times higher than on the island Papua, the least populated province.

Before the Western contact and the eventual conquest of the island, Java had been the centre of several Hindu, Buddhist and Islamic states. During that era, many residential clusters in densely populated rural and urban landscape had been developed. The Dutch intervention has in part accelerated the growth and the existence of most towns and cities in Java (Cristie, 1991: 24). Due to its strategic position in Southeast Asian trade, the large quantity of rice and in part the timber availability, the Dutch established their colonial headquarters on the island Java.

Figure 1.1 Population distribution

2.5 5.5

7.31 21.31

1.4 Java Borneo Sulawesi Bali‐Nusa Tenggara Maluku and Papua

57.49

Adapted by Nurhadi from BPS (2010)

A census carried out by the East Indian governor general Sir Thomas Stamford Raffles showed that the population of Java in 1815 was 4.5 million. It grew rapidly in the 19th century reaching 19.5 million in 1880 and 28.5 million in 1900 (Peper, 1970; Christie, 1991: 23; Boomgaard, 1989: 166; Onghokham, 2008: 28). This rapid population growth during the period from 1815 to 1900 was a direct impact

C h a p t e r 1 | 3 of increasing labour demands during the forced‐cultivation production system (cultuurstelsel). Driven by the need to meet the production target, to reduce the work burdens and to be encouraged by the absence of private land‐ownership after the implementation of colonial agrarian law in 1870, peasants tended to grow their family size (Geertz, 1974; Onghokham, 2008; Kano, 2008). In addition, the improvement of infrastructure, the introduction of modern by the colonial government, disease control, the rise of the standard of living, increased employment opportunities, and labour‐tax pressures of the forced‐ cultivation system contributed significantly to this growth (see, for example Pelzer, 1946; and White, 1973: 220 ‐224).

Figure 1. 2. Population trend (in million)

237.6

205.1

178.6

136.9

119.2 97.1

60.7

1930 1961 1971 1980 1990 2000 2010

Adapted by Nurhadi from BPS (2000, 2011)

The centralistic economy and the political system practiced by the post‐colonial Indonesian government that gave Java priority for development, resulting in the blooming of expectation for better living condition in this island, also gave impetus for the higher growth. A measure to address the population problem, the Dutch colonial government introduced a program of resettlement of people from the overpopulated Java to the outer islands in 1905. The transmigration, referring mainly to government‐sponsored program of population transfer from the

C h a p t e r 1 | 4 overpopulated islands to that of least populated, was continued by administration and his successors (see, for example, the work of Hardjono, 1977 and Scholz, 1992, on this topic). It is estimated that between the period of 1932 and 1977, the total people moving to other islands reached 2.37 million (see Jones, 1977, as quoted by MacAndrews, 1978). Another report published by the World Bank (1988) shows that the total participant of the program between the period of 1979 and 1984 was 1.5 million.

The figure 1.2 of page 3 shows that in the last eighty years, since the first formal population census conducted by the Dutch colonial government in 1930, the Indonesian population has four‐fold increased from 60.7 million in 1930 to 237.6 million in 2010. The population growth rate declined from 2.1 per cent per year in 1971 to 1.49 per cent per year in 2010, thanks to fertility control measures under the grand program of Keluarga Berencana (family planning). The fertility rate also decreased from 6.4 in the 1950’s to 2.8 in 1995 (Ricklefs, 2008: 601). The economic development and public investments in health, education, and infrastructure in urban areas has been the driving factor for urbanization. The percentage of people living in urban areas arose from 17.2 per cent in 1971, to 30 per cent in 1990, and to 42.2 per cent in 2000. This figure rose to 50.4 per cent in 2007 and is projected to reach 65.9 per cent in 2025 (BPS, 2010). This increase has been attributed to the increase of urban growth from 3.6 per cent per year in 1971 to 4.2 per cent in 2000, and decreasing rural growth from 1.8 per cent to 0.3 per cent at the same period. The uneven population distribution and rapid population growth pose a heavy challenge for sustainable development promoted by the government, development agencies, non‐government organizations and other institutions operating in Indonesia. Indonesia’s current Gross Domestic Product (GDP) of US $ 540 billion, its Gross National Income (GNI) per capita of $ US 2,230; poverty headcount ratio at a national poverty line of 16 % and its unemployment rate of 8.4 %, making the country being classified as a lower middle income country (World Bank, 2010).

Lying along the equator, between the Pacific and the Indian Ocean, and on the meeting point of the Pacific, the Eurasian, and the Australian active tectonic plates,

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Indonesia is prone to a number of tectonic‐related natural hazards. The Eurasian plate is moving to the south, colliding with the Indo‐Australian plate which keeps moving to the opposite direction, creating an “earthquake path” which is paralleled with the “active volcano path” alongside Sumatra, Java, Bali, Nusa Tenggara, and finally turns to the north direction through Maluku and ends up in North Sulawesi.

According to the map published by the Ministry of Public Work of Republic Indonesia in 2010, many parts of Indonesia are situated at subduction and active fault zones. Subduction zones lie across the western coast of Sumatra island, the southern coast of Java, Bali, and Nusa Tenggara, , the northern and eastern coast of Sulawesi and the northern coast of Papua. There are even more regions located at active fault zones, such as Bukit Barisan (across the Sumatra Island), Cimandiri, Lembang, Baribis (West Java), Opak (Yogyakarta), Busur Belakang (Flores), Palu‐Koro (Central Sulawesi), and Sorong (Papua) (see map 1.1 of page 5). Several major natural disasters, among the most devastating ever recorded in human history, have occurred in this archipelago. The website of National Coordination Board of Disaster Management (BNPB) mentions examples of catastrophic events that took place in Indonesia between 1800 and 2008, i.e., the eruption of Tambora in 1815, the eruption of Krakatau in 1883, the eruption of Merapi in 1930, the eruption of Agung in 1963, the earthquake and tsunami in Sumatra of 2004, the earthquake in Nias of 2005, the earthquake in Yogyakarta of 2006, and the earthquake in Padang of 2009. Apart from causing thousands of deaths, these events have also brought about serious environmental damages and economic disruptions.

Recording natural, industrial and social disaster, BNPB has built a data‐base containing events during the period between 1979 and 2008. The period between 2009 and 2010 has not yet been included, so far. According to such a broad type and definition of disaster, the top‐five most frequent events are flood, drought, fire, landslide, cyclone, and earthquake. Despite their relatively rare occurrences, earthquake and tsunami contributed 89 per cent of the total deaths, followed by conflict (3 %) and flood‐landslide (2 %).

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Map 1.1 Earthquake Events in Indonesia (1900‐2012)

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Within the same period, the total disaster events are 6,309. The overall events have caused 1,379,164 houses damaged; 397,811 people dead; 41,446 missed, 9,773,501 affected, and 7,606,439 evacuated (BNPB‐DiBi, 2010). Based on provincial distribution, major death figures can be found in Aceh (131,404), followed by Yogyakarta (4,849), East Nusa Tenggara (3,366), Maluku (3,357), (2,644), West Java (1,659), Papua (1,459), and East Java (1,108). Provinces with the lowest death numbers are Bangka Belitung (0), Riau Islands (1), Gorontalo (12) and Central (22). Over the decade 1994 – 2004, approximately 6.8 million people in Indonesia became victims of natural disasters (MPBI, 2006 in Lange et al, 2009: 195). Using a slightly different risk category, data documented by BNPB in Rencana Aksi Nasional Penanggulangan Bencana (National Action Plan for Disaster Management) 2010 – 2014 shows that all provinces in Indonesia are prone to multiple hazards. Earthquake poses a threat to all provinces, except regions adjacent to Malacca strait and the northern coast of Java sea, such as Riau, Kepulauan Riau, Bangka Belitung and Jakarta. Eight provinces (Riau, Kepulauan Riau, Jambi, South Sumatra, Jakarta, West Kalimantan, and Central Kalimantan) are relatively safe from a tsunami hazard (BNPB, 2010).

1. 2. The Research Area of Yogyakarta: A Region with Multiple Hazards

Yogyakarta region is prone to various natural hazards, contributing significantly to the total national numbers of death caused by disaster in the last century. According to BNPB (2011), this province is prone seismic, volcanic, hydrological, and climatic hazards. Between the period of 2003 and 2011, drought has been the most frequent event (30), followed by flood (24), strong wind (16). In line with the figures at the national level and despite its rare occurrence, earthquakes caused most deaths (4,710), followed by volcanic eruption (277) during that time period. Historically speaking, Yogyakarta region has been hit by several major disasters, mostly caused by volcanic activity and earthquakes. At least six moderately large explosive eruptions have occurred in colonial and post‐colonial time, in 1587, 1672, 1768, 1822, 1849 and 1972 (Hartmann, 1935; Zen et al., 1980; Berthommier

C h a p t e r 1 | 8 and Camus, 1992 in Newhall, et al., 2000). The eruption on April 8, 1672 and December 1822 killed the total of 3,000 people after the large lava dome of Merapi collapsed, followed by pyroclastic flows, sweeping in populated area. A similar situation occurred again in 1930, taking 1,300 lives (BNPB, 2010). Other serious hazards faced by this region are landslides, floods, storms in Kulon Progo, and droughts in Gunung Kidul. Referring to BAPPENAS – UNDP, the total economic losses caused by natural disaster in this district between 2003 and 2010 was 3.4 Billion rupiahs (approximately US $ 340,000). This figure equals to the total annual tax income of this district.

1.2.1. The earthquake‐prone area of Bantul

The most devastating earthquake ever recorded in the history of Yogyakarta occurred in May 2006. Measured 6.2 on the Richter scale and lasted for 52 second, this seismic event resulted in major devastation, particularly in the Bantul district of Yogyakarta province and the Klaten district of the Central Java province (Sulaeman et.al, 2008). The total death in Bantul was 4,714. Of the total 181,991 houses build prior the earthquake event, only 69,905 of them remained intact, while the rest were inhabitable. These included 91 per cent of private houses and 9 per cent of public buildings. The total loss of housing sector reached IDR 15.3 trillion. The unemployment rate increased from 7 to 11 per cent. Service sector has suffered most, contributing 50 % to the total loss of 130,000 jobs. As a result, the percentage of poor families increased from 31 % to 34.3 %. The situation was worsened by the fact that most injured victims could not be evacuated immediately because most access roads connecting the housing areas to the main street were buried by the rubbles from the damaged buildings. Hospitals and health service centres operated by public and private institutions were not prepared to such a sudden and chaotic situation, due to the insufficiencies of their medical equipment, their lack of medical staff and beds. The total amount of damage and losses reached US$ 3.1 Billion (Bappenas, 2006).

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Four factors contributed to the collapse of most houses in the Bantul district. Firstly, the epicentre was very shallow (9.8 km) and located beneath populated area, approximately 33 km from the city centre of Yogyakarta (7.944° S and 110.325 E) (USGS, 2006, as cited by Pramuwijoyo et.al, 2006). Secondly, geologically speaking, the Bantul district is dominated by alluvial sediments originating from Merapi volcano, and swamp, whose characteristics can amplify shear wave transfer from the earthquake’s epicentre. Thirdly, inhabited by 1.641 inhabitants per square kilometre and being the site of 226,777 houses, the Bantul region is a very densely populated area. Housing complexes cover roughly 50 per cent of Piyungan, Pleret, Sewon, Jetis, , Bambanglipura, Pundong, Kretek, and Pajangan sub districts (Marjiyono, 2006 as quoted by Soehaimi, 2008) and most houses are concentrated in hundreds of small hamlets. Last but not least is the weak building construction to blame, as houses are built mostly from least reinforced concrete frame (Bappenas, 2006; Idham et.al, 2010).

Supported by the Food and Agriculture Organization (FAO), a collaborative work carried out by the Ministry of Agriculture, the Ministry of Marine Affairs and Fisheries, and the Ministry of Forestry of the Republic Indonesia resulted in the publication of a document entitled ‘An Assessment of People’s Livelihood in Yogyakarta and Central Java Provinces pre and post Disaster: based on rapid livelihood assessment, case studies, and questionnaire data gathered between July and November 2006’. Several findings are considerably relevant to the question of the impact of disaster to people’s livelihood. Generally speaking, all survivors experienced a most serious hardship from the aftermath of the disaster event to the end of the rehabilitation and reconstruction phase.

C h a p t e r 1 | 10 Map 1. 2. Area affected by the Yogyakarta Earthquake of 2006

North

Source: Bappenas (2006) Preliminary Damages and Loss Assessment

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It was the period when most resources were being absorbed by house rebuilding, economic recovery, and medical treatment for those who were seriously injured. Accordingly, the disaster event had direct and indirect effects on agricultural, physical, social, and financial assets of the households situated in the Bantul district.

The damage to irrigation channels made the crops suffer from a lack of water. The sale price of agricultural commodities dropped due to the absence of local wholesalers who were overwhelmed by activities related to house reconstruction. The decline of the sale price affected also livestock, because farmers instantly sold the lambs or cows to use the payment for the purchase of building materials and the wage of the construction workers. Concerning the physical assets, the house damages were the most significant, as almost 90 per cent of the houses in the district were inhabitable. The majority of public buildings, schools, mosques, health centres, and clinics turned into ruin. The disaster event had prevented most people from engaging in income generating activities, which resulted in a decreased ability to meet their daily needs. Credit unions that previously provided petty loans and savings to the community members halted their activities as many persons in charge with handling day‐to‐day service concentrated on recovering their household’s livelihood, abandoning temporarily non‐domestic activities.

1. 2. 2. The water scarcity ‐ prone area of Gunung Kidul

Theoretically speaking, drought is one category of water scarcity, apart from aridity, desiccation, and water stress. Desiccation is the drying out of landscape, while water stress has to do with imbalance between the water availability and the number of people relying on this resource (Robinson, 1993, as cited by Nott, 2006:17). Drought itself can be put into five categories: meteorological, agricultural, hydrological, socioeconomic, and political drought (Wilhite, 2005: 7– 9). The agriculture drought refers to the lack of water that supports crops, while the socio‐economic drought may result, among others, from the different impact that drought brings about to diverse groups of the society (Wilhite, 2005: 9 ‐ 10).

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Java, Bali, and Nusa Tenggara regions have been facing water deficit since 1995. Despite its shorter period (3 months), the dry season in 2010 brought along wide and serious impacts. Seven dams dried out, while twenty others were declared as being prone to drought.

Figure 1.3. Drought events in Indonesia between 1979 and 2009

350 300 300

250

200

150

100 33 50

0 Bali Java Java Java

Riau Aceh Jambi Banten Borneo Borneo Borneo Borneo Maluku

Sumatra Sumatra Sumatra Sulawesi Sulawesi Sulawesi Sulawesi Sulawesi East

Lampung

Tenggara Tenggara Bengkulu

West Gorontalo Yogyakarta East Central West South West West South Nusa Nusa North South North Central

Central Southeast East West

Adapted by Nurhadi from BNPB (2010)

The Bureau of Meteorology, Climatology, and Geophysics (Badan Meteotologi Klimatologi and Geofisika – BMKG) of the Republic Indonesia forecasted that the average annual rainy days during the period of 2010 and 2020 will be less than that of 1978 – 2007 (BNPB, 2010). In the case of Yogyakarta, all 27 drought events during the last 20 years are reported to have occurred in the Gunung Kidul district. Despite only few death numbers, the drought events in this district have affected 16 of 18 sub‐districts and their population, causing poor harvest, reducing the population’s economic capability, and fostering out‐migrations to the urban areas. The characteristics of the seasonal drought events can be attributed to the Northwest and Southeast monsoons influencing strongly the local climate, producing a distinct wet season from October to April and a dry season, which can sometimes be very arid, between May and September. The rainy season reaches its

C h a p t e r 1 | 13 peak in December, January and February, while the period between July and October is usually the time when the dry season intensifies.

Annual rainfall is 2000 mm/year, though records from the local gauge stations showed a great variety between 1500 mm/year and 1986 mm/year during the period of 1960 and 1997 (Haryono, 2004: 62). These measurements confirm a rainfall map published by the office of agriculture in 1992.

Table 1.1. Evapotranspiration estimates of the Gunung Sewu zone Month Rainfall Potential Actual Water Surplus (mm) Evapotranspiration Evapotranspiration (R‐AE (mm)) (PE) (mm) (AE) (mm) January 271 140 106 166 February 339 128 106 233 March 229 137 112 117 April 232 130 105 127 May 383 121 83 300 June 30 110 65 ‐35 July 0 119 67 ‐67 August 0 132 69 ‐69 September 0 142 74 ‐74 Oktober 215 152 79 136 November 510 142 79 431 December 238 142 94 144 Annual 2448 1595 1039 1409

Source: Sunkar (2008) after MacDonald & Partners (1984) More recent data show a similar trend. In 2002, the rainfall was 1,722 mm/year, then increased to 2,016 mm/year in 2003, and finally decreased to 1,382 mm/year in 2004. The lower precipitation (1500 – 2000 mm/ year) occurs in Wonosari basin zone, while the higher one (2000 – 2500 mm/ year) occurs in two other zones. The annual rainy days spans from 66 to 109 annually. The highest number of rainy days recorded in the last five years was in 2006 (109 days), and the lowest was in 2009 (66 days). This rainfall mainly occurs in the months of November to May and is generally highest between November and February, with the maximum usually in January with a monthly average rainfall of 332 mm. The year 2006 was marked by contrast between November – May period, in which the rainy day was so extensive (from 8 to 16 days monthly), and June – October period in which there

C h a p t e r 1 | 14 was not any single rain day (BPS Gunung Kidul, 2010). A distinctive situation occurred in the year 2009 when the rainy days were relatively distributed, ranging from 1 to 13 days, to all months of the year.

Since the last four centuries seasonal drought occurring in this district has been a serious threat for Javanese rural inhabitants, causing much economical loss and social disruptions. Its impacts typically include decreasing yields, degrading nutritional and hygienic status, and eroding household capacity as much assets and resources are expended to purchase and preserve drinking water (Zamani, 2006: 680). Similar to the Sudan case, the drought especially affects inhabitants whose coping ability is poor (Osman‐Elasha, 2008: 239). Situations in which people seek any means to survive, for example borrowing of money or grain, selling out livestock, or emigrating from the drought‐afflicted region, as illustrated by Bryant (2007: 104), are also the case in Gunung Kidul. The local authority considers that 80 per cent of the Gunung Kidul area is prone to seasonal drought. Before the Suharto administration began a five‐year development plan at the beginning of the 1970’s, this district had suffered from starvation due to water scarcity problems and rat attacks on food crops (Kedaulatan Rakyat daily, September 28, 1963). It was reported that 30,000 people had to walk more than ten kilometres along with their livestock to get drinking water (Kedaulatan Rakyat daily, August 9, 1967). Recorded as one of the worst famines in Gunung Kidul history, a long severe drought resulting in a crop failure, 21,800 people were directly affected by that disaster (BPS DIY, 1981). In the long dry season of 1985, 165 out of 212 telaga in four sub‐districts, i.e. Rongkop, Semanu, Ponjong, Tepus, and Paliyan, were dried out, while the remaining water at others were inconsumable due to high pollution. The total affected village was 31 (Kedaulatan Rakyat daily, October 22, 1985).The situation was worsened by the isolation of the district from other regions, due to the lack of infrastructure. Parallel to the local situation, data published by the Ministry of Agriculture in 1994 showed that, at national level, the total area affected by drought per year during the long dry season includes 200,000 ha of rice fields, 26,000 ha of maize fields, 10,000 ha of soybean fields, and 6,000 ha of peanut fields (Ditlin, 2000).

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The proneness of this area to seasonal drought is mainly due to the depth of water table and the karst structure of the area. The groundwater map of Yogyakarta province reveals that the shallowest ground water of this region is located at 25 metres depth, thus digging wells manually to exploit the groundwater is very difficult to do. Non‐aquifers that cover approximately sixty per cent of this region are found in the mountainous limestone of Gunung Sewu zone and in the area of Batur Agung and Wonosari covered by volcanic materials. The characteristics of karst include:

“(1) a general lack of permanent surface streams; (2) the existence of swallow holes into which surface stream sink; (3) the presence of underground channels (conduits or drains) in which water flow occurs, but where the boundaries are difficult to determine” (Bakalowiczy et al, in Kaçaroğlu, 1999, as cited by Sunkar, 2008: 79).

The rainfall disperses rapidly into the porous limestone. The average infiltration rate is averaging 23 per cent (MacDonald & Partners, 1979; and Zabier, 1983 as cited by Sunkar, 2008). This condition is in line with Wilhite’s (2005: 8) argument that one of the factors that influences infiltration rate is the soil type.

Another driving factor of water scarcity is human intervention causing environment degradation. Prior to the nineteenth century, this region was mostly covered by green tropical rainforests. It had been long utilized by the court of Yogyakarta and Surakarta as the main timber source for both , and had also been known as the favourite destination for royal families and nobles of both states to do their deer hunting hobbies. Historical data shows that the early permanent settlement in Gunung Kidul dates back to 1812. It was the year when VOC governor general Thomas S. Raffles cracked down the , forcing the Sultan II to step down from his throne. To restore the damaged palace, rebuild the capital, and maintain the existence of the court after the bloody battle, a large budget was needed.

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Figure 1.4. Diagram of flow linkages in karst drainage system

Source: Enryd (2008:80) after Ford and Williams (1989)

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One of the most valuable resources available at that time was swallow bird nests, of which a large amount was found in caves around the area in the present day known as Rongkop sub district. As the court expenditure increased, the ruling government of that period began to exploit timber, particularly teak (Carey, 1992). In the context of timber extraction, particular attention should be given to a specific job, called blandong ‐ a local name for timber loggers, for their key role in the settlement growth in Gunung Kidul. Bringing along their families, they cultivated the logged‐over areas and began to develop their communities around Wonosari basin.

The introduction of German forest management system by Dutch colonial government, aiming mainly at promoting long‐term commercial timber production marked the beginning of a more rapid and massive environmental degradation of this area. This practice was made efficient by eliminating “competitor species” potentially posing threats on the favoured ones, along with attempts to restrict alternative forest practice, gradually replacing poly‐culture forest to the monoculture one, resulting in a loss of local species and the vulnerability to plant diseases (Guha, 1989; Peluso, 1992; Jewitt, 1995a; Bryant, 1997b as cited by Bryant, 1998: 87). As the population grew and the pressure on resource increased, many local communities decided to move to the western part of Gunung Kidul (Riclefs, 1993 as cited by Sunkar, 2008), opening the remaining forest and building their new settlements, which marked another phase of serious deforestation. Under Japanese military control, forest became one of the most exploited resources as the demand for the timber commodity during World War II increased drastically. This process continued until the beginning of the 1950’s when Indonesia was in political instability and economic depression after gaining its national independence.

Another water source is groundwater. In the three zones it is located in various depths: 6‐12 meters in Batur Agung zone; 5‐15 meters in Wonosari plateau zone; and more than 30 meter in Gunung Sewu zone (Kusumayudha and Nirmala, 1996, as cited by Sungkar, 2008). The exploitation of these water sources is hindered by their remote locations, the depth, and the dispersion of settlements, making this

C h a p t e r 1 | 18 water distribution a costly measure. Springs can also be found in some spots, as a result of rock porosity, complex joints and macro as well as micro pores of reef lime stones (MacDonald & Partners, 1984). There are about 240 springs, mostly situated in Wonosari plateau zone (Sunkar, 2008), while in Gunung Sewu zone most of them are located in remote spots inaccessible by local inhabitants. Reportage made by the Kedaulatan Rakyat daily in November 19, 1969 on the Bamban telaga (local term for small lake) of Tepus sub district, for example, indicated that despite high pollution, the inhabitants of four villages depended much on this telaga as the only source they can utilize for bathing, washing, drinking, and cattle scrubbing. A similar situation could be found in the Prigi‐, the Ngiratan‐, the Sumberwungu‐, the Ngestiharjo‐, and the Hargosari telagas of the Ponjong sub district, on which hundreds of family relied.

1. 3. Research Questions

This research departs from the basic premise stated by Ben Wisner (2004) that vulnerability is a “… characteristic of a person or group and their situation that influence their capacity to anticipate, cope with, resist and recover from the impact of natural hazards.” He clearly distinguishes the term vulnerable from “unsafe“, “susceptible“, “fragile“, “hazardous“, and “hazard‐prone“, noting that such a term is retained only for people (Wisner, 2004: 55) and focussing most attention to the social, economic and political processes that make people vulnerable. UNDP (2004: 11) confirms this idea by describing the concept of human vulnerability. By this term UNDP means a condition or process resulting from physical, social, economic and environmental factors, which determine the likelihood and scale of damage from the impact of a given hazard (UNDP: 11). Wisner (2004)offers the Access Model, which focuses on the precise detail of what happens at the pressure point between a natural event and longer‐term social processes. It shows how normal life becomes abnormal, and how and when disjuncture between the normal and the exceptional takes place. This model deals with the amount of “access“ that people have to the capabilities, assets and livelihood opportunities that will enable

C h a p t e r 1 | 19 them (or not) to reduce their vulnerability and to avoid disaster. It pays more attention to the capability of an individual, family, group, class or community to use resources which are directly required to secure a livelihood in normal, pre‐ disaster times, and their ability to adapt to new and threatening situations.

Access to resources is the output of social and economic relations. The social relations include the social relations of production, gender, ethnicity, status and age. It means that rights and obligations are not distributed equally among the people (Wisner, 2004: 94). Its pattern is subject to (and the result of) agency, decision making, struggles over resources and co‐operation developed by people of different gender, age, class, and so on. Social relation encompasses the flows of goods, money and surplus between different actors. Structure of domination refers to politics of relations between men and women, children and adults, seniors and juniors, the wider family and kinship ties of reciprocity and obligation at a more extended level, and those between classes that are defined economically (such as employer and worker, patron and client) and between members of different ethnic groups. These relations shape and are shaped by rights, obligations and expectations that exist within households and which affect the allocation of works and rewards (particularly in terms of shocks and stress). Finally such structures involve relations between citizens and the state. A network of obligations and rights are also built up in the form of institutions (called social capital) that deal with these events and aim to prevent them from becoming disaster. In this case, resources include material (land, livestock, tools and equipment, capital and stock, reserves of food, jewellery, labour‐power, specialist knowledge and skills, the structural position occupied in a society such as gender, or membership of a particular tribe or caste), which can either enable or exclude a person from network of support, facilitate or prevent access to resources and their utilisation.

Chambers (1989) introduced a definition for vulnerability, targeting communities and their livelihoods and proposing a dialectical relation between external and internal sides to vulnerability. The external side, so‐called exposure, mainly referring to the structural dimension, is related to the exposure to external stress and shocks, while the internal side, so‐called coping, is associated with capacity to

C h a p t e r 1 | 20 cope with negative effects of certain hazards. It is also seen as a potential that society possesses in recognizing hazards, minimizing negative impacts of disaster, and taking appropriate action to reduce risks by developing and maintaining a early warning system, local wisdom, a strong social network and community organization. Wisner (2004) puts coping, anticipating, resisting and recovering at equally important positions when outlining his concept of vulnerability. However, Bohle (2001) argued that the external side of vulnerability has gained more attention from scholars working on the issue of vulnerability and disaster than that of the internal. The objectives of this research are to understand how people develop their strategies in coping with stresses, shocks, and the (un‐) expected negative consequences and (presumably) adverse conditions brought about by certain shocks and stresses; and internal as well as external factors that influence their decisions in choosing preventive and post‐event strategies. The strategies are investigated at community, group, households and individual levels.

(1) Based on the premise that vulnerability to disaster is the result of social – economic process, it is important to pose a question on the historical trajectory that the rural Yogyakarta has been going through. It particularly focuses on the question on the social, economic, and political dynamic at national and local levels. (2) Community is defined as social, economic, cultural and political entity whose members share common values and settle in a certain place at a certain time period. To maintain its existence, community develops structures and hierarchy, builds mechanism for internalization and socialization of common values, institutionalizes norms and customs, and builds networks with other communities and institutions. Community may also provide and manage a safety net and a fall back mechanism at times of crisis, resolve (potential) conflicts, allocate and manage resources and assets among its members. Apart from the abovementioned points, this research also examines the process and mechanism of decision making, local category of shocks, stress, and vulnerable groups and individuals.

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(3) Community is composed of individuals belonging to groups distinguished by their occupations, social strata, genders, ages, economic capabilities, social roles played in the community, health statuses, and ethnicities. Some groups are more prone to damage, loss and suffering in the context of differing hazards. At group level, this research identifies such groupings, the interrelationships between them, their risk perceptions and strategies they choose in reducing the risk and recover from disaster events. More specifically, the different strategies and reasons behind them are also put into scrutiny. (4) Risks may lead to different outcomes for households depending upon their frequency, intensity and range, and the capability of affected households to respond to risks. Thus, this research devotes much attention on strategies at household levels. It concentrates on the differentiation of livelihood strategies in the face of natural hazards for different household types. It also highlights the underlying cause for the processes of choosing and diffusing of coping strategies, and examines why certain household types do not implement anticipatory – or pro‐active strategies which could reduce their vulnerability against natural hazards. This research explores how households access, utilize and mobilize their assets to meet certain needs and objectives.

1. 4. Research Methodology

“Human geography is a social science which shades into both the natural sciences and the humanities. As such, it shares many of the approaches used by other social sciences…” (Graham, 1997: 2)

The main objective of this research is to understand and explain the strategies that societies develop in coping with adversities brought about by natural hazards threatening the regions where they live. As a social phenomenon, the coping strategy can be investigated both by quantitative and qualitative methods. On the

C h a p t e r 1 | 22 one hand, imbued by positivist philosophy initially proposed by August Comte (1798 – 1857) and strongly influenced by the formalization of logical positivism by the Vienna Circle, quantitative methods rely upon measurements and mathematical representations in their effort to attest hypothesis and to search for regularities, laws, generalizations, and – to a certain extent – prognosis. The greatest achievement of this method in geography, known as Quantitative Revolution, lasted from the era of 1960’s to the 1980’s. Robinson (1998: 4) noted that correlation, regression, multiple regression, chi‐square test, and factor analysis were among the most popular techniques adopted by scholarly works published between 1956 and 1986. Quantitative method has also been widely used by physical geographers working with mathematical modelling, spatial statistics, and geographical information system (GIS). On the other hand, following attempts to bring geography closer to the social sciences, a number of geographers introduced qualitative methods commonly used by sociology and anthropology. John Eyles, for example, wrote a sub chapter in a book entitled Qualitative Methods in Human Geography proposing the application of a Weberian interpretive approach in geography researches (Eyles, 1988). In risk research, the holistic and comparative approach in anthropology is useful to understand the way people cope with stresses and seasonality caused by natural hazards. Research carried out in this field “… emphasizes ethnographic detail, local cultural diversity, individual agency, and the ‘voices’ of their studied participants through dialogic qualitative interviews” (Bolin and Stanford, 1998: 38). The recent trend in geographical research suggests that combination between quantitative and qualitative methods is preferred providing that both have strengths and weaknesses. A research on livelihood strategies during the economic crisis in Yogyakarta region conducted by Baiquni (2007), for example, showed that surveys, literature researches, in‐depth interviews, and Participatory Rural Appraisal (PRA) were used simultaneously. In his book Methods and Techniques in Human Geography, Robinson (1998: 2) suggested that the quantitative approach retained its importance even among geographers who have been adopting critical social theories and postmodern thinking in the field of geography.

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1.4.1. Secondary data

This research consists of several steps. The initial phase is literature review. Accessing numerous books, scholarly articles, working papers, and research reports have paved the way to the understanding of various concepts, theories, approaches, and frameworks relevant to risk, vulnerability, disaster, and rural development‐related issues. This review encompassed scholarly works on the field of geography, sociology, anthropology, history, political science, and economy. This process resulted in the formulation of the research framework. The next step is a close investigation of various data from secondary sources, comprising official documents, statistic data, printed and online media. Conceptually, secondary data are data that have been collected for other purposes by others. In this research, secondary data are important for two reasons. In the first place, they help us understand the context of the researched areas and societies. Secondly, the importance also lies in its role as one of the main guidance for defining the sample villages and households.

The first type of secondary data used in this research is the official document. It comprises all documents published by formal institutions working at local, regional, national, and international levels. Included in this type of data are law documents, planning documents, and official reports. Law documents enable researchers to understand the legal reference of policies and measures implemented at national and local levels. The website of the State Secretariat of the Republic Indonesia has published numerous law documents, enacted between the year of 2002 and 2012, which are valid at national level, i.e. national laws, government regulations, presidential acts, and presidential instructions. In the website of the Ministry of Law and Human Rights, one can access other regulations authorized by ministers of several periods. Based on its relevance, laws regulating land‐use, sustainable food agriculture, forestry, estate, disaster management, development plan, transmigration, and environmental protection have been well‐ accessed. The National Development Planning Agency (Bappenas), for example, publishes plans, strategies, allocated budgets, and targets to achieve at macro/national level, which are translated to short‐ and mid‐term programs by

C h a p t e r 1 | 24 ministries and regional (provinces and districts) authorities. Close examination on the planning aspect of economy, agriculture, land‐use, environment, education, health, population, and regional development, among other things, was a crucial step.

These planning documents are accessible in the website of related regional governments, city/district libraries, and the library. This research also utilizes vast resources from the library of the Centre for Population and Policy Studies and the library of the Centre for Rural and Regional Studies of the same university. Annual and five‐yearly reports have also been published by authorities in charge with the implementation of development programs. The second category is statistic data. Statistic Bureau of Republic Indonesia (BPS) keeps most statistic data, mostly collected through censuses and surveys, referred by decision makers and many researchers. In addition, many scholars and research institutions have also carried out research on various topics, ranging from natural sciences, e.g. geography, geology, civil engineering, and agriculture, to social‐ humanity sciences, e.g. sociology, anthropology, political science, development studies, law, and history. Qualitative and quantitative data published in those researches are important sources for a holistic understanding on the causes and progression of vulnerable condition of this region. The third type of secondary data is news published by printed and on‐line media. The city library of Yogyakarta keeps archives of local and national newspapers since their early publication in 1945. Access to these archives enables the ‘reconstruction’ of history that has shaped the present condition of the region and the population inhabiting in it.

1.4.2. Sub‐district samples

Disasters typically strike unequally throughout a certain region. Depending on various factors, certain areas are more seriously affected than others. This situation is also the case with the earthquake in Bantul and the seasonal drought in Gunung Kidul. To obtain a more detailed description for a better analysis on the context of vulnerability and coping strategies of inhabitants affected by these

C h a p t e r 1 | 25 natural hazards, it is necessary to select representative samples of sub‐districts (kecamatan), villages (desa), hamlets, and households within Bantul and Gunung Kidul districts. Sub‐district is a confederation of villages, while village is a collection of hamlets (dusun). The sub‐district samples were selected through preliminary assessment of official reports, news of local and national newspapers, and statistic data. Reports published by the Indonesian government and national as well as international agencies working on the disaster management in Yogyakarta were taken into account. Based on this assessment, two sub‐districts in Bantul (Pleret and Piyungan) and two sub‐districts in Gunung Kidul (Playen and Saptosari) were selected as samples.

1. Pleret. This sub‐district is selected as a sample due to three main reasons. First of all, historically speaking, once the centre of former Islamic‐Mataram state in the seventeenth century, the Pleret is among the oldest sub‐districts with long history of social, economic, settlement, and land‐use dynamics. Mainly due to disastrous events following the eruption of Merapi and the rebellion of Trunajaya, the palace and the settlements around the complex were left abandoned between the seventeenth and the eighteenth century. New settlement complexes and hamlets began to grow a century later following the establishment of Yogyakarta sultanate. The soil fertility, relatively shallow groundwater, and the abundant irrigation water – thanks to the existence of the Opak river – are main factors establishing this sub‐ district as one of the most important agricultural areas in Bantul district. Secondly, situated 15 kilometres from the capital town of Bantul and 6 kilometres from the capital town of Yogyakarta province, this district has been affected by a third wave of city agglomeration, marked by the rapid growth of business and housing centres around the ring road of Yogyakarta city. Public transports connecting this sub‐district both to other sub‐ districts and the Yogyakarta city operate only at main roads between 05.00 a.m. and 06.00 p.m., a situation which has been hindering people’s mobility. Thirdly, the earthquake event that hit Yogyakarta and its surrounding area in May 2006 caused major life and economic loss to this sub‐district. It was

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recorded that 684 individuals died and most houses were seriously damaged following that 6.3 Richter scale earthquake. 2. Piyungan. The selection of this sub district as a sample is based on three reasons. First of all, covering an area of 32.54 km2 and situated adjacent to the Sleman in the north and Gunung Kidul in the south and the west, this sub‐district is inhabited by 1,272 individuals per square kilometre, lower than the average population density of Bantul district (1,729/km2). Situated 27 kilometres from the capital of Bantul and 20 kilometres from Yogyakarta city, Piyungan sub‐district has taken advantages from the existence of a main road connecting Yogyakarta, Wonosari, and Surakarta. The district government of Bantul has put this sub‐district at the master plan as the new locus of small‐ and medium‐scale industries. A remarkable phenomenon occurring in this sub‐district is the rapid growth of housings and business complexes along the main road. Attracted by possible profit of the service sector, particularly culinary, retails, and automotive‐related business, village governments and people holding lands along the main road decide to lease their lands to small and medium scale service enterprise for a certain period, converting the fertile agriculture lands to building complexes. Secondly, being known as one of the sub‐districts most seriously affected by the May 2006 earthquake event, it was recorded that 500 people died and 2.244 houses were seriously damaged. Thirdly, apart from being prone to earthquake disaster, people living in this sub‐district have also to deal with diseases. The office of health service of Bantul reports that the population of Piyungan has been suffering from malnutrition, dengue fever, diarrhoea, and pneumonia (Pemkab Bantul, 2009). 3. Tanjungsari. Situated in the Gunung Sewu zone of Gunung Kidul, the land use of this sub‐district is dominated by karst hills. It is the area where dry land and smallholder forests areas are predominant. Relying solely on the rain water, paddy cultivation is impossible to carry out during the dry season. Covering an area of 71.63 km2, Tanjungsari is one of areas most seriously suffering from the seasonal drought occurring almost every year in this region. Local newspapers have reported that severe drought has

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caused famine, water quality‐related diseases, and mass migration between the period of 1950’s and 1970’s. National and international institutions have carried out programs aiming at reducing the impact of drought problem in this sub‐district by building dams, water pipelines, and water reservoirs. To maintain their livelihoods, males of productive age migrate seasonally either to the nearest urban area, e.g. Yogyakarta and Solo, or to larger cities, e.g. Jakarta, Semarang, and Bandung. 4. Saptosari. Situated in adjacent to Tanjungsari, Saptosari, this sub‐district also faces problems with the water availability, both for the agriculture and the daily need, e.g. drinking, cooking, laundering, etc. In the dry season, the local inhabitants leave their agricultural lands fallow while carrying out off‐ and‐out farm income generating activities. To meet the need for water during the peak dry season, they purchase tank water from local resellers in expense of their stored harvests and livestock, a condition which is weakening their capability to improve their livelihoods. Situated 25 kilometres from the capital town of Wonosari, this district covers an area of 71.76 km2, and is due to its topographic condition relatively difficult to access. Asphalted roads do exists, but the public transport system is so poor that it hinders the mobility of the impoverished inhabitants.

1.4.3. Village samples

Two villages of each sample sub‐districts were selected as samples. In addition to examining the statistic data and reports, the process of selecting village samples also combined the results of discussions with the sub‐district administration, focussing on four aspects: (1) population (e.g. occupations, age groups, human capitals, etc.); (2) infrastructure (e.g. health services, schools, transports, etc.); (3) the spatial dynamic of the area (e.g. the settlement, the land conversion, the landholding, etc.). Through these discussions, the four villages below are considered to be representative samples.

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1. Bawuran and Wonokromo villages of Pleret. Several differing characteristic can be found at both villages. Covering an area of 4.34 km2, Wonokromo is divided into 12 hamlets, while Bawuran, despite covering a larger area (4.97 km2) has only 7 hamlets (BPS Bantul, 2010). Situated nearby the busy main road connecting Yogyakarta city and the royal graveyard complex of Imogiri, Wonokromo is the locus of settlement and small and medium‐scale business growth in the Pleret. As the importance of agriculture decreased, many people seek for new means of income generation by taking employment in the service sector and the masonry work. Bawuran is situated in the southeast, somewhat periphery, part of Pleret. It lays between the river of Opak on the west and the hilly complex of Gunung Sewu zone in the south and the east. Two bridges give access the inhabitants to regions located at the western side of the river. The existence of steep slope has prevented them from accessing the eastern regions. Such conditions have contributed to the slow growth of the service sector and the relatively stagnant growth of housing estates. The growth of housing complex tends to be centred on the core hamlets. Instead of house developer companies, it is the local inhabitants who play more prominent role in the housing development. 2. Sitimulyo and Srimartani villages of Piyungan. Covering an area of 9.4 km2, Sitimulyo is inhabited by 13,461 individuals (3,952 families). Situated relatively near to the city of Yogyakarta, Sitimulyo is economically the fastest growing village in Piyungan. Several middle‐scale industries and housing estates have been developing since the last 20 years. As also the case for most villages in Bantul district, in addition to agriculture people also generate income from other sectors, mainly service and construction. Especially the case along the road connecting Yogyakarta and Wonosari, fertile lands in adjacent to this road have been mostly converted to permanent buildings. The other village sample is the Srimartani. Covering an area of 8.58 km2, this village is where 13,538 people – being composed of 3,278 families – inhabit (BPS Bantul, 2010). The average family size of this village is 4 persons, higher than the average of the sub district (2 persons),

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making it the most densely populated area in Piyungan sub‐district. Due to its small landholding and persistence of vast non‐irrigated lands along slopes at the south, the southeast, and the east part of this village, agriculture requires only limited labour, a conditions which has driven people to seek income generation from other activities than farming. 3. Krambil Sawit and Planjan villages of Saptosari. Krambil Sawit covers an area of 14.79 km2. This village is composed of nine hamlets inhabited by 5,355 people with the total household of 1,014 (BPS Gunung Kidul, 2010). Situated quite remote from the main road, mostly this village can only be accessed through non‐asphalted roads. Transport is a major concern in this village, a condition which has been causing a domino effect on the access to commodity market and public services, i.e. schools, public health services and bureaucracy‐related public services. In some hamlets, people build partly concrete paths by their own resources. The other village sample of this sub‐district is Planjan. Situated relatively near to the main road connecting Bantul and the Wonosari town, this village has managed to take benefit by easier access to the outer regions, public services, and markets. Covering an area of 14.21 km2, this village is divided into 14 hamlets. The total population inhabiting this village are 6,390, consisting of 1,091 households. 4. Kemadang and Hargosari villages of Tanjungsari. Covering an area of 19.19 km2, Kemadang is the largest village in Tanjungsari. Being composed of 17 hamlets, the total population of this village is 6,229 (BPS Gunung Kidul, 2005), with the average family size of three individuals. Despite being the farthest both from the sub‐district and district capitals, most part of this village are relatively easy to access, thanks to the main road connecting Wonosari and the Baron beach, one of the most visited tourist destination in Gunung Kidul. The other sample village is Hargosari. Covering an area of 10.99 km2, making it the smallest village in the Tanjungsari, this village is inhabited by 5,420 individuals, composing 1,656 households. Situated 12.7 km away from the Wonosari town, it is the most accessible village.

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All sample villages in Gunung Kidul mentioned above share similar characteristics as far as topography, agriculture system, and water problems are concerned. Situated in hilly areas, people develop their housing complexes in the valley, leaving the steep and soilless parts of those hills uninhabited. No irrigated paddy field is found. Sharecropping is an option taken to solve the problem of low fertility. Agriculture is only possible during the rainy season, resulting in low yields. To meet the need for water, especially for drinking and cooking, the local inhabitants harvest rain water loaded in water tanks. These concrete 2,000 litre water reservoirs can be easily found in all houses. Depending on the family size, it takes less than three months until the water is Box 1.2. Household in Indonesia dried out from those tanks. In addition, people The Indonesian bureau of statistic distinguishes between the concept of keluarga (family) and rumah tangga (household). also utilize basins filled by Accordingly, keluarga is defined as individuals who are or have rain water located nearby. been tied by formal marriage, meaning that the marital status is registered in the office of civil registry. Rumah tangga is a group When both water sources of individuals who share one house. Mainly referring to an are no longer capable of economic unit, it is typically composed of a mother, a father, meeting their needs, the children, parents-in-law, the members of extended family, and housemaid. Evans (1985, as cited by Firman, 1990) stated that last option is taken: the concept of household is associated with the function of purchasing fresh water domestic exchange, such as sharing of expenditure and income, from the local water and the house provider. resellers. The water price at the local resellers varies depending on the distance and the remoteness from the main road.

1.4.4. Survey

The main objective of this survey was to collect data on the entitlement and the access to various assets (human, physical, social, financial, and natural capitals); expenditure management; risk perceptions; strategies developed in coping with adversities; fall back mechanisms; and decision making process at the household

C h a p t e r 1 | 31 level. Samples were selected through multi‐stage random sampling consisting of four‐stage cluster sampling. Having completed two‐stage cluster samplings – determining the sub‐district and village samples ‐, the next cluster was hamlet. Two hamlets of each village samples were taken as sample.

Figure 1.5. Flow chart of research design

Secondary data and Information collection

1

p Ste Sub‐district samples Village samples Hamlet samples

2

Survey p

Ste Household samples

PRA FGD

3

p Conclusion FGD II Analysis In‐depth

Ste interview

Illustration by Nurhadi

The last cluster sampling was conducted by dividing the population studied into six categories:

a. Public servants – individuals who generate incomes from salary paid by public sectors. Included in this category are government officials, teachers of public schools /universities, police officers, and soldiers of national armed‐forces. Enjoying numerous privileges from the community to whom they belong, e.g. respect from fellow community members and relatively higher social status, they usually play an important role in the decision making process at the hamlet and, to some extent, at the village level. In

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addition, their wider access to the bureaucracy system and social networks has enabled them to build and maintain more social capital compared to other community members. b. Farmers – individuals who depend on farming activities to sustain their livelihoods. c. Skilful workers – individuals who generate their incomes from skilful labour, either in industrial or service sectors. d. Labourers – individuals earning income from their unskilled labour, such as construction labourers, cleaning service, farm labourers, pedicab drivers, etc. e. Hamlet officials – individuals who are in charge with the maintenance of bureaucracy at hamlet levels. Included in this category are the hamlet headmen, neighbourhood headmen (ketua RT), and treasurer or secretary of the neighbourhood association. f. Entrepreneurs – individuals whose main income sources are from performing a private enterprise.

Using guided and structured interviews, interviews were conducted with six households from each hamlet surveyed, giving a total of 144 respondents. The language used in these interviews was mostly Javanese, to allow respondents respond questions and speak up more readily. The respondents were interviewed in their homes. The presence of wife and husband in each interview has minimized the male‐dominant perspectives. Moreover, wives in Javanese society usually function as “finance managers” in‐charge with maintaining cash flow balance of the household expenditure. The time chosen as the interview time was evening. It was the time when all household members were already home either for enjoying meals, watching television, or relaxing together. Each category of respondent (with the six categories chosen) was randomly selected within each hamlet.

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1.4.5. Focus‐Group Discussion (FGD)

Having selected village samples, discussions involving different stakeholders at the village level, or so‐called Focus Group Discussion (FGD) ‐ were carried out. Bloor (2001: 17) argued that as an ancillary method, FGD may be used: (1) to provide “… contextual basis for survey design” prior to the commencement of survey; and (2) to provide critical appraisal and feedback to research findings. The FGD at the village was an entry point to a better understanding of vulnerable conditions perceived and addressed by different stakeholders in the rural area. Each discussion was attended by 14 selected participants, representing large landholders, small landholders, farm labourers, decision makers, women, youths, and non‐farmers.

In these discussions, the researcher, assisted by facilitators, posed several general questions aiming at assessing the following contexts:

1. The socio‐political context of the village. Including in this type of data were norms binding individuals as members of the community; social changes that have been occurring since the last three decades; decision making at the households and community levels; and institutions sustaining the community. In addition, the political affiliation; the constellation of interest groups at village level; policies and measures performed at the village level; and the relation between “the ruler” and “the ruled” were also considered to be important. 2. Economic context. It encompasses income generation activities conducted by local inhabitants; agricultural activities; the dynamics of non‐agricultural activities at the local context; the access to the market; the price inflation/ deflation of various local commodities; the local category of poverty; the pattern of landholding; and the wealth distribution and access at household as well as community levels. 3. Demographic context. Comprising in this category are population growth; the birth and mortality dynamics; the migration; the level of education attained; and the health status.

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4. Cultural context. Included in this category are values adhered by the community; the pattern and mechanism of value internalization and socialization; gender relation; and the religious belief as well as the consequences it brings about to the relation between man and nature. 5. Risk perception. Depending on various factors, e.g. education, experience, socio‐economic status, and access to capital, members of society tend to perceive risks differently. It implies the type of anticipative and responsive measures taken when dealing with certain situations. Sharing of ideas involving multi‐stakeholders has allowed the researcher to understand how those different perceptions are developed, sustained, and communicated. Gaillard (2008: 345) argued that the higher the perception of risk is that individuals or society have, the more likely they behave “… in a positive way in the face of natural threats.” 6. Collective memory on the disaster events. In a society imbued by oral tradition, data on the way members of the society manage to keep their memories of past events and the people’s responses was necessary to collect.

The facilitator managed active participation in these discussions by breaking the semi‐informal discussions to overcome constraints faced by participants who either hesitated or were not used to express their ideas in the public. In addition, papers and ballpoints were also distributed to each participant during the discussion to allow them to write their questions, ideas, and responses. The participants’ native language, Javanese, was predominantly used during the discussion. These discussions were well‐documented by notes and recording device. The preliminary analysis of both secondary and primary data gathered in this research was then presented before FGDs organized at sub‐district level, aiming at obtaining appraisals, feedbacks, confirmations/objections, and comparative perspectives from participants.

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Figure 1.6. Data input and output

INPUT OUTPUT

Secondary data

Description the area

Newspapers Factors that influence vulnerable conditions Analysis Scholarly publications

the trajectory of Statistic data vulnerability Content

Public documents

Primary Data Risk perception

In‐depth interviews Household’s asset status

Analysis (pre‐and post‐disaster

Surveys event)

Local wealth indicator Livelihood Participatory Rural Appraisals (PRA) Wealth‐based household categories

Focus‐Group Discussion Sustainable Household’s coping (FGD) strategies

Illustration by Nurhadi

Data presented included the description of trajectory and factors extending the vulnerable condition; strategies that communities develop to cope with past events as well as their measures to anticipate future shocks and stresses driven by natural phenomena. These discussions involved village representatives, community‐based organizations, and sub‐district governments.

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1.4.6. Participatory Rural Appraisal (PRA)

The second method of data collection implemented in this research was PRA. It was carried out at hamlet level. Hamlet in Yogyakarta bureaucratic system is basically an autonomous administrative unit governed by a headman/headwoman elected from and by the members of the society. It is in this community that individuals interact with their fellow members, engage in daily life, maintain value and norms through internalization and socialization to sustain their communal entities, and get involved in decision making process. One hamlet of each village was taken as sample. Working together with village headmen and/or officials ‐ ones who know well the village ‐ the researcher carried out rapid appraisals aiming at locating representative hamlet samples. These appraisals were complemented by the results of FGD at village level. PRA involved individuals representing women, farmers, labourers, youths, and hamlet‐level decision makers. It includes “…mapping and modelling, transect walks, matrix scoring, seasonal calendars, trend and change analysis, well‐being and wealth ranking and grouping, and analytical diagramming” (Chambers, 1994: 953). Through participatory mapping, data on the spatial distribution and the access to natural resources, settlements, public services, land use, and infrastructure were collected. This map helps to understand how community members position themselves in their relation to the surrounding environment and the way they manage such relation. Rural inhabitants organize their agricultural activities in accordance with the local seasonal calendar. Referring mostly to regularities found in the nature, appraised through traditional observation, e.g. wind speed and direction, pattern and colour of cloud, and the trend in the air temperature, farmers arrange the annual schedule of land preparing, seeding, ploughing, fertilizing, pest controlling, harvesting, and other farm activities in such a way that they can calculate and plan the capital and labour absorbed by each activity. The calendar also contains the period of family and social events that require significant financial capital, such as wedding parties, communal gatherings, religious ceremonies, and post‐funeral ceremonies.

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Wealth ranking activity concerns with the local category of wealth and its distribution among community members. The studied rural communities have their own criteria, mostly based on shared values and ideas, in defining the state of wealth. In many cases, this functions as a kind of “guidance” for community members and decision makers at the hamlet level in providing a social security system, especially in the period of crisis. Another data collected by this research was local rural history. Usually transferred across generations by oral tradition, local history is often neglected because of its lack of reliable written source. However, it is important to describe such history as locally perceived and understood providing that it paves the way to a better understanding how lessons from past events are taken and eventually project the future. In many cases, the local inhabitants, especially the elderly, recall “good times and bad times” in the past and make comparisons when they are talking about the present condition. In addition, it also enabled the researcher to trace the trajectory, trends, and causes of vulnerability according to its periodic sequence. This history was collected in a diagram overlaid by the results of the participatory map. The participation of several local elderlies and informal leaders made information crosschecking possible.

1. 4. 7. In‐depth interview

The in‐depth interview of this research was conducted in two ways. The first one is interviews with households, aiming at obtaining a deeper and more detailed understanding on coping strategies developed at household level. Based on wealth ranking resulting from the previous PRA, households representing wealth category were interviewed. Acting as source persons, husband and wife of the interviewed households were present during the interviews to convey their experiences, ideas, and perspectives. Secondly, an interview was also conducted with key informants. Bloor (2006: 109) stated that they were so‐called “key informants” because of their rich understanding and knowledge on several aspects of community life. In this regards, the selection of key informants was based on their particular

C h a p t e r 1 | 38 competences, e.g. the key persons of hamlet‐level associations, reference groups, women, hamlet‐level informal leaders, leaders of community‐based organizations, and youths. Resembling to daily conversation, the researcher functioned simply as facilitator to maintain that the interviewee stayed focussing on the topic. To maintain the informal atmosphere, the researcher kept in mind the interview guide containing open‐ended questions during the interview process. The researcher also asked if the informants minded of being recorded. Several interviewees objected of being recorded, therefore the researcher relied on handwritten notes.

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2 Literature Review

2.1. Discourse of Disaster

Disasters have in the last three decades been subject to discourses and debates among scholars working on the issues of sustainable development and risk management. Studies on this issue have been developed by research groups, individual researchers, NGO organizations, and policy makers in various terms such as the themes and geographical areas covered, theoretical framework used, academic disciplines involved and activities conducted, resulting in the proliferation of concepts from various perspectives and theoretical backgrounds. Marianti (2007: 3–4) noted that debates on the definition of a disaster are concentrated on four questions. In first place, in the so‐called “objective‐subjective debate”, some argue that a disaster is an objective phenomenon, emphasizing the physical impact, while others hold that it is a subjective and socially constructed process, emphasizing the subjective interpretations of the affected groups. Secondly, in the so‐called “natural ‐social location debate”, disaster is defined, on the one hand, by focusing solely on the physical agent, and, on the other hand, on the socio‐political point of view. Thirdly, the so‐called “non‐routine‐socially embedded debate”, arises the question as to whether a disaster should be understood as an unusual disruption beyond daily realities of the people, or simply as day‐to‐day of the people who are accustomed to living with natural hazards. Last but not least, in the so‐called “event‐post debate”, some understood disasters as having temporal existence, while others emphasis on the people’s responses towards radically or long term changing environmental conditions. They represent, in the one hand, a more physically‐oriented concept that equate it with physical agents, physical impacts and physical assessment, and, in the other hand, a more socially‐oriented concept that defines it as social disruption, social construction of reality, political decision and imbalance in demand‐capability ratio in a crisis situation (Quarantelli, 1985: 45‐51).

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Like most physical scientists, physical geographers tend to view disasters as the product of natural phenomena, describing the magnitude, frequency and spatial pattern of geographical events, seeking variety of technical solutions (Smith, 1996; Chapman, 1994; Alexander, 1993, Quarantelli, 1998). Nevertheless, more than two decades ago, some disaster researchers began to articulate a view that disasters are better understood as a result of the social, cultural, political and economic forces that structure and organize the lives of people and places they inhabit, initiating an effort to address the social and geographical factors that cause a hazard event to become a disaster (Bolin, 1998: 5). Social scientists are encouraged to emphasize on the failings within political and social systems together with the need to improve the efficiency of human responses to all types of mass emergency in addressing disasters (Quarantelli, 1998 in Smith 2009: 7). Sociologists are “… concerned with the structures, functions and activities of formal organizations and the impact of disasters upon them…”, focusing on social order, normality, disruption, conflict, or change (Bankoff, 2003: 154 and Benda‐ Beckmann, 2000: 7). In case of a disaster, normal social functions are not merely affected, but they also undergo profound mutation, or even outright suspension (Alexander, 1997: 290). A Disaster is also a social construction, whose essence is to be found in the organization of communities (Oliver‐Smith, 1988). Anthropologists view a disaster:

“…as integral parts of both the environmental and human systems … as a measure of society’s successful adaptation to certain features of its natural and socially constructed environment… embedded in the daily human condition and define them in terms of a seamless web of relations that link society to environment to culture “(Bankoff, 2003: 155).

They focus on four questions concerning the cultural construction of nature, the cultural condition influencing an environment, the relationship between cultural interpretation and the material world of risk, and the theorization of the linkage of the three issues (Oliver‐Smith, 2004: 11–12). Adam (2000: 6) suggested that social scientists need to go beyond the conception of risk and technology as mere social constructs and grasp instead how specific risks are experienced, perceived,

C h a p t e r 2 | 41 defined, mediated, legitimated, and/ or ignored. From an economics’ point of view, disaster is viewed in terms of damage and losses value, which can be estimated in terms of the value of property damages, reconstruction and rehabilitation cost, and the loss of employment, facilities, and amenities (OECD, 1994; Otero and Marti, 1995; UN, 1979). From a political scientists’ point of view, a disaster is a political decision reflecting “…the interest of power holders elites in a society or community” (Quarantelli, 1985: 50).

There have been many debates among geographers on this subject matter. Some geographers analyse disasters with a focus on the scale, magnitude and impacts that can be either objectively measured by certain scientific method or be applied to certain mathematical model and simulation. By relying on the belief that nature is predictable and controllable by human being, the root of which lie in the 17th and 18th century paradigms of Newton, Descartes and other rationalist thinkers, it is expected that certain natural phenomena which potentially put human‐beings in danger can be assessed, monitored, predicted, and perfectly engineered by science and technology (Stefanovic, 2000 in Etkin, 2005: 473). The output of such technocratic approach is the application of certain technologies for minimizing the negative impact of natural hazards. Disaster‐related subjects, from this approach, are treated as specialized problem for the advanced research of scientists, engineers and bureaucrats, and therefore to be appropriated within a discourse of expertise that quarantines disaster in thought as well as in practice (Hewitt, 1995: 118‐21; 1983: 9‐12). Populations and government tend to be blamed for their lack of inadequate knowledge and preparedness (Varley, 1994: 3 in Bankoff, 2004: 29). This tendency is especially common among physical geographers and it remains persistent despite the radical critique of environmental determinism launched by some human geographers in the early 1980s (Hewitt, 1983).

Driven by the concern over the general lack of holistic analyses that treat hazard, risk and disaster as integrated phenomena, and by the self‐evident fact that behaviour, culture, and perception govern the way the purely scientific findings are interpreted and the manner in which technology is used to combat the threat of a disaster, there has been a growing tendencies of interdisciplinary perspectives,

C h a p t e r 2 | 42 viewing that disaster cannot be fully explained from the standpoint of either physical science or social science alone (Smith, 2009: 8). Coy (2007: 9‐10), for example, views the importance of the integration of natural, economic, and social sciences in the risk and vulnerability research carried out by geography. Many geographers have shifted their approaches into micro‐zonation of risk factors from a physical and social perspective, from relief to mitigation, viewing the connection between culture and architecture, structural design and social behaviour, land use and the application of technology (Alexander, 1997: 290; Thywissen, 2006: 10). Understandings of disasters as extreme events created by natural forces have been gradually replaced by an understanding that sees it as the manifestations of development problems (Yodmani, 2001). There has also been a call for a new perspective emphasizing the interaction among social and natural systems, and the built environment (Miletti, 1999). Analyses of disasters are becoming more sophisticated and multi‐disciplinary and are taking account of several contexts within which developments take place (Alexander, 1997: 284). The distinction among disciplines become blurred as the nature of disasters become more complex and intertwined and the field of disaster research and management more integrated (Cutter, 2001: 3). A Disaster paradigm has been evolving gradually from its earliest form treating disasters as one‐off events responded to by governments and relief agencies, to “contingency planning” approach, to technocratic paradigm, to vulnerability approach, and finally to a more comprehensive approach called risk management (Yodmani, 2004: 3). This shift to hazard mitigation and reduction requires hazard and risk assessments; building data bases on economic losses, mitigation efforts, and social aspects of disaster; and the improvement of the use of sophisticated technology to process and evaluate risk and hazards data (Cutter 2001: 4).

The first Editorial of Disasters (Vol. 1, No. 1, 1977) urged the need for a sufficient application of requisite scientific knowledge and the creation of technology in disaster relief. The similar call for fostering existing scientific and technical knowledge application in disaster issue was echoed again ten years later in the United Nations when the General Assembly proclaimed the 1990’s as the

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International Decade for Natural Disaster Reduction (IDNDR). Not only limited to the disaster relief, the Decade also included mitigation by means of improving capacity of each country; and devising guidelines and strategies and developing measures for assessment, prediction, prevention and mitigation. On January 2005, the United Nations held a World Conference on Disaster Reduction in Kobe, Hyogo, Japan, resulting in the Hyogo Declaration and Hyogo Framework for Action (HFA) 2005 – 2015. The main goal of HFA is to build resilience of nations and communities to disasters which entails to substantive reduction of disaster losses by 2015. The significant difference between HFA and its predecessor lays at the strong emphasis on the inclusion of disaster reduction priority into public and private decision making. The application of scientific knowledge in assessing and monitoring disaster risk and enhancing early warning was once again stressed by this framework. Definitions of a disaster are developed and reformulated by international development agencies, NGOs, and academic circles in many countries. International Strategy of Disaster Reduction (ISDR) defined disaster as:

“… a serious disruption of the functioning of community or a society causing widespread human, material, economic, or environmental losses which exceed the ability of the affected community or society to cope using its own resources.” (ISDR, 2004)

This definition is also used by European Environmental Agency (EEA) and Deutsches Komitee Katastrophenvorsorge (DKVV). Focusing on the severe impact on life, health and material damage, DKVV went on stating that:

“A disaster is a severe and/or extensive event that usually occurs unexpectedly and has such a severe impact on life and health of many people and/or causes considerable material damage and/or impairs or endangers the life of a large number of people for a long period of time to such an extent that resources and funding available at local or regional level cannot cope without outside help”. (DKKV, 2002)

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Focusing mainly on the threat to lives, International Federation of Red Cross and Red Crescent Society (IFRC) stated that:

“A disaster occurs when a disaster agent (the event) exposes the vulnerability of individuals and communities in such a way that their lives are directly threatened or sufficient harm has been done to their community’s economic and social structures to undermine their ability to survive“ (IFRC, 1993).

A disaster, referring to the above definitions consists of three main elements: a serious disruption, material and/ or life loss; and the inability of the society to recover to a normal condition by using their own resources. Based on that definition, ISDR builds up a data‐base containing disaster events worldwide. For a disaster event to be entered into that database, at least one of the following criteria must be met: (1) report of 10 or more people killed; (2) a report of 100 people affected; (3) a declaration of a state of emergency by the relevant authorities; and (4) a request by the national government for international assistance (ISDR, 2004; Vos, 2010: 5). McCall et al (1992 as cited by Alexander, 1997: 290) outlined four elements used to define disaster: (1) number of death; (2) value of damage and losses; (3) impact upon social system; (4) geophysical definition.

Models and formulas of disaster management have also been widely formulated. Arguing that a disaster is the consequence of interaction between environment and human activity, Dikau et al (2005: 20) developed a simple model which is structured in two axis. The X axis represents the level of disruption caused by natural disaster, while the Y axis represents the time span. The main concern of this model is minimizing the level of disruption, shortening the crisis period and delaying the onset of a disaster, which can only be carried out successfully by implementing intervention, as well as preventive and coping measures (see figure 2.1 of page 45). It is held that disaster management requires close cooperation between natural and social sciences. At methodological level, surveys, experiments, measurements, and statistical modelling, commonly practiced by natural scientists, are combined with psychometric experiment, data and source research, interviews, group and network analysis, and SWOT (Strength, Weakness,

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Opportunity, and Threat) analysis commonly used by social scientists and human geographers.. Broad perspectives ranging from toxicological‐epidemiology, to statistic‐probability, to insurance mathematics, to history, to social and cultural theory, and to political economy are put into consideration. In short, this formula confirms previous arguments on the necessity of multi‐disciplinary character of the disaster study.

Figure 2.1. Dikau’s model of disaster management

Source: Dikau (2005: 20)

Another model was formulated by Weichselgartner (2001). Adopting the approach in sustainable development, disaster management is visualized as a cycle, being composed of four elements: mitigation, disaster response, vulnerability assessment and risk assessment.

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Figure 2.2. Disaster management cycle

Source: Weichselgartner (2001, adapted to English by Nurhadi)

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Mitigation refers to all actions to reduce the impact of a disaster. They can be taken prior to disaster occurrence. Included in it is a wide range of activities and protection measures, such as preparedness, hazard prevention and hazard identification. Referring to a training module published by the Disaster Management Training Program – UNDP, hazard identification consists of comprehension of

“...how hazards arise; probability of occurrence and magnitude; physical mechanisms of destruction; elements and activities that are most vulnerable to their effects; and consequences of damage” (DMT‐UNDP, 1994: 16).

Preparedness itself is understood as activities and measures for ensuring an effective response to the impact of hazards. Included in them are scenario development, emergency planning and training. The identifications result in assessment of hazard, prevention and preparedness. The result of vulnerability assessments lays foundation for risk assessments, which will entail in the modification of hazard, prevention, preparedness, and relief as well as reconstruction.

2. 2. Risk

The disaster paradigm has been shifting from viewing disaster as one‐off events responded to by government and relief agencies to a more comprehensive approach called risk management. The term risk management was introduced by La Red de Estudios Sociales en el tema de prevención de desastres naturals (LA RED) in Latin America, as part of the implementation of IDNDR (Villagran, 2008: 7). It has three components: hazard assessments, vulnerability analysis, and enhancement of management capacity. Thanks to the increasing interests in the study of disasters, many literatures based on empirical research results and theoretical reflections about this theme have been published. Following the trend, risk has also been (re)defined, (re)formulated and (re)modeled variously. Egner and Pott (2010: 16‐19, quoting Zinn & Taylor‐Gooby, 2006 and Renn, 2008)

C h a p t e r 2 | 48 identified five perspectives of risks: (1) a technocratic perspective viewed risk as something that can be classified and, by using an objectivist perspective, considered as objective facts of nature and the physical‐material environment which are in principle predictable, and therefore can be controlled technically (Müller‐Mahn, 2007: 5); (2) an economic focus based on the calculation and the chance of risk; (3) psychological approaches in risk research are interested in the subjective assessment of risks by individuals and different decisions made by individuals under risky conditions; (4) from a social science perspective, risks are viewed as undesirable events, formed by social definition and negotiation processes, so that risk quantification is impossible and not necessary; and (5) geographical risk research perspectives attempt to overcome the dichotomy between objectivist and constructivist approaches.

The relatively high awareness among scientific circles of the importance of incorporating various approaches has been a significant driving force for the advancement of the concept of risk. Conceptually speaking, risk is understood as the probability of a loss, harmful consequences, or expected loss (deaths, injuries, livelihood disruption, economic loss, environmental damage) resulting from interaction between hazards, vulnerability, and exposure elements (Crichton, 1999 as cited by Thywissen, 2006: 24). Elements at risk consist of populations, communities, public space, the built environment, the natural environment, economic activities and services (Alexander, 2000). With regard to natural disaster, Birkmann (2005) defines three types of risk: environmental risk, social risk, and economic risk. At its most basic model, risk is conceived as the combination of hazards and vulnerabilities. Some authors view hazards and vulnerabilities have to be considered simultaneously, while others view the notion of risk as an overlap area between the two.

Three models are presented as points of entry for further discussions on various conceptual risk frameworks proposed in several disciplines and realms. It begins, first of all, with a formula of disaster proposed by Wisner et al (2007). Accordingly, a disaster is combination of risk and vulnerability (Disaster = Risk + Vulnerability). Wisner’s model has given way to the unfolding of the concept of

C h a p t e r 2 | 49 risk and vulnerability. Wisner (2007a) and Alexander (1997: 291) shared the same formula of risk, stating that risk (R) is a function of hazard (H) and vulnerability (V). To understand the generation of risk, one must consider two opposing forces that depart from two poles but gradually approach toward common point of destination: vulnerability from the one direction, and hazard from the other. The higher vulnerability and hazard, the higher risk gets. Conceptually speaking, reducing risk means reducing either vulnerability or hazards. Secondly, complementing the Wisner formula, ADRC/UNDP proposes that risk is equated as a function (f) of hazard (H), exposure (E) and vulnerability (V) (Risk = f (H x E x V)). Proposing a slightly different formula, Villagrán (2006) omits exposure and replaces it with deficiencies in preparedness (Risk = f (hazard, vulnerability, deficiencies in preparedness)). Thywissen (2006: 38 ‐39) adds resilience as a component of her formula of risk (Risk = f (hazard, vulnerability, exposure, resilience)). Hazard is not to be understood as a phenomenon existing independently from human activity. They are the results of interaction between physical and human systems (Cutter, 2001 as cited by Blanchard, 2005).

Unlike Wisner who saw only two opposing forces, namely hazard and vulnerability, Weichselgartner and Dikau (2005) held that there are two other forces that influence the generation of risk: nature, and society. Nature interacts with society, resulting in different patterns of relations in different societies and cultures. In many countries, natures and their resources have been uncontrollably exploited for the sake of human need and economic benefit, resulting in environmental degradation. The balancing mechanism of nature frequently brings about negative consequences, creating hazards when exposing to society and infrastructures. Those four forces may progress or regress, depending on the interactional pattern among them. Risk occurs when those forces lead toward a common direction, pressing one another, and being ‘locked’ into one pressure point (see figure 2.3 of page 50).

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Figure 2.3. Formulation of risk

Nature

Risk Hazard Vulnerability

Society

Source: Dikau and Weichselgatner (2005)

The fourth framework presented in this chapter is GIRO, an abbreviation of Gestión Integral de Riesgo (GIRO – Integral Risk Management). This framework proposes that there are three domains to put into consideration: the domain of setting, the domain of risk and the domain of disaster. The domain of setting is dynamic and results of the interaction between social, political, economic, cultural, and environmental aspect and the actors. Actors are situated in the domain of setting. In developing countries, actors can be individual citizens, government employees, members of civil society groups, or members of private sectors. Decisions made by actors in any society are influenced by social, political, economic, cultural and environmental settings which surround them, emerging from international, national and local level. The international level of such influence includes policies promoted by international agencies and organizations. At the national level, influences can emanate from policies made by national and regional governments. In countries with centralistic character, all policies and programs are planned, monitored, and evaluated by the central government, leaving few spaces for active involvement of the local governments, civil societies and people in the area.

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Figure 2. 4. GIRO framework

Domain of the Domain of Risks Domain of Setting Disasters

Social, Political, Economic, Cultural

and Environmental aspects Existing Risks

Actors Disaster Possibility of increased risks

Risk Management

Source: Villagrán (2008)

Such situation is not the case in countries with more de‐centralistic tendency, where most policies and programs are made in a participative fashion involving various stakeholders. Being positioned equally, interests of each party are discussed and accommodated to meet certain goal with the lowest risk of failure and loss. Local influences include traditions, local values and norm, and cultural imprints (see figure 2.4). This framework shows a link between actors and assets or resources which can be to carry out certain purposed activities. In this regard, interaction between actors and environment is framed in the way actors use resources provided by the environment (land, water, mineral, oil, forest, etc) to achieve expected output (welfare, commerce, housing, industry, etc). Such interaction brings about negative and positive impacts both on actors and the environment (Villagrán, 2008: 13). Resources extracted unsustainably might, in the one hand, give short‐term benefits to a certain region, such as employment opportunity, the source of income generation, and the growth of local market, but, on the other hand, such practice potentially degrades the environmental quality and the health of the population inhibiting the region. There is a dyadic relationship involving actors and the political, social, cultural, economic and

C h a p t e r 2 | 52 environmental setting surrounding them. On the one hand, available options and decision of the actor’s daily lives are determined by those settings, but, on the other hand, by utilizing their capabilities actors can also change the seemingly powerful settings. Many studies in the field of sociology and political sciences have shown that well‐organized actors are proven to be capable enough to change the structure of capital ownerships, power distributions, and cultural values.

The next domain to consider in this framework is the domain of risk. There are two things to consider in this regard: existing risk and possibility of increased risk. The analysis of this domain is inspired by the lessons taken from past disasters that actors possess or have access to, and utilize assets or resources to meet their own purposes and for the sake of their benefits, denying , lacking of consciousness on the risks, insecurities, uncertainties, and any possible consequences that may be brought about by their actions. Risk is not equally distributed among society members. It is generated in part as a result of the difficulties that some social groups or families have in accessing certain resources. This framework intends to identify the limitations and facilities through which accumulation is achieved or the decrease in important capacities when faced with potential disaster. Its argument is based upon the fact that when faced with an equivalent hazard, or when facing the same potential for physical damage, the risk could be different depending upon the capacity of each family to absorb the impact. Risk is generated in areas prone to hazards and lack of preparedness measures. The nature of risk is understood as a dynamic one, meaning that the level of risk at certain may be increased or decreased in the future, depending on what the actors do. With regard to the domain of disaster, GIRO model proposes that a disaster must be preceded by a condition of risk, which is understood as a combination of hazard, vulnerability and the deficiencies of preparedness. When a disaster strikes, it is important to make an assessment, relying on technical expertise, of the impact and effects caused by the event, which in turn classifies such event either as a disaster or an emergency. An event is classified as disaster if the impacts and effects cannot be handled using local resources (coping capacity surpassed). When the situation

C h a p t e r 2 | 53 can be handled by using local resources, then it is classified as emergency (Villagrán, 2008: 16).

In social sciences, risk has also been subject to various debates and empirical research. Analysis on this subject generally aims at identifying the limitations and facilities through which accumulation is achieved or the decrease in important capacities when faced with potential disaster (Sen, 1981; Chambers, 1989; Winchester, 1992). Niklas Luhmann, for example, stated that the term ‘risk’ is a neologism that emerged along with the transition from traditional to modern society. A similar position is held by Giddens (2006: 31) when he argued that it is in a society which is taking leave the traditional ways of doing things and which is opening itself up to an uncertain future that the notion of risk becomes central. In modern society, a so‐called “institutionally‐structured risk environment” becomes pervasive and more prominent. Beck (1992) held that risk is a consequence of recent transformation of the western society, which is situated between “industrial” and “post‐industrial” stages of social advancement (Barry, 2007: 243 – 244). Beck (1992) defined risk as a “…systematic way of dealing with hazards and insecurities induced and introduced by modernization itself”. He noted that the risk heightens along with the growing complexity and the advancement of technology operating in the society. The application of technology and the high income levels have been seemingly protecting industrial, affluent society against any uncertainties. Yet many risks brought about by lifestyle, rampant energy consumption, and the usage of pesticide, for example, have driven the emergence of unexpected ecological and health hazards creating a so‐called “risk society” (Barry, 2007: 243 – 244). Quoting Beck, Adam (2000: 5) defined risk society as:

“… particular set of social, economic, political and cultural conditions that are characterized by increasingly pervasive logic of manufactured uncertainty and entail the transformation of existing social structures, institutions and relationships towards an incorporation of more complexity, contingency and fragmentation “.

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His argument on risk society is set out in five theses. (1) Risk is open to social definition and construction, leaving mass media and scientific and legal professions key social and political positions. (2) Risks have been distributing worldwide, affecting virtually everyone and every nation, regardless their class or strata positions. (3) By economic exploitation, industry produces wealth as well as hazards and political potentials of the risk society. (4) Scientific knowledge and technology gain new political significance in analyzing the origin and diffusion of knowledge about risk, but they are increasingly seen as the causes of modern environmental risks rather than solution. Risk society is described to fear and distrust scientific and technological development. (5) As the definition of risk is subject to public dispute, socially recognized risks contain political potential for catastrophes (Beck, 1992: 24). Everyone is forced to combine different and often divergent rationality claims in responding uncertainty. The erosion of “trust” in dominant social and political institutions, such as industry and government are so acute in risk society (Barry, 2007: 246). It is further argued that vulnerability to disaster is deeply rooted in the uncontrolled consumerism of wealthy societies, in the failure of experts in addressing root causes of environmental problems and the denial of such problems (Beck, 1992, quoted by Wisner, 2004: 17). The concept of risk is directly bound to the concept of reflexive modernity and ecological modernization. By reflexive modernity he means constant monitoring of and reflection upon risks, an institutionalized attempt to colonize the future, which can involve the consideration of risks at global level. With regard to uncertain conditions, societies and their individual members have been relying upon calculation, prediction, and anticipation made by the states, industries, private sectors, insurance companies, and scientific communities.

People perceive, deal, and respond to risk differently. The degree varies from individual to individual, and group to group, closely tied to the understanding of what constitute dangers, threats and hazards and for whom (Luhmann, 1993 in Thywissen, 2006: 11; Adam, 2000: 3). An individual or a society with a low perception of risk, it is argued, is likely to adjust poorly to the threat. On the other hand, people with high risk perception are likely to behave in a positive way in the

C h a p t e r 2 | 55 face of natural threats (Gaillard, 2008: 345). Asgary (1997: 355) identifies four types of response to risk. Firstly, people may take a fatalistic stance, convincing themselves that a particular risk does not affect them, denying the necessity of mitigation measures. Secondly, natural disasters may be seen as inherently uncontrollable events, hence risk reduction is believed to be beyond their capability. Thirdly, people take practical behaviour, searching for mitigation measures. Finally, there are people who take extreme behaviour, for example by purchasing extra safety standards higher than that of required by building codes, or even choose to live in places that are less at risk from natural disasters. Benda‐ Beckmann (2007: 17) argued that people living under constant threats of natural hazards and political instability are always concerned with the future, perceiving them as dangers, and having a sense of probable events or periods bringing about distress, for which preventive measures could be taken.

2. 3. Vulnerability

At its most basic model, vulnerability is equated as the function of hazards (sometimes referred as exposure) and vulnerability. This sub‐ chapter explores the concept of vulnerability, the definition, and models developed in some academic circles and agencies concerning themselves with development and disaster management issues. The notion of vulnerability itself has been used and applied for various purposes, from disciplines dealing with health, to economics, to civil engineering, and to geography. However, as also the case with the concept of risk, vulnerability in the disaster management context cannot avoid itself from being viewed by and modelled from interdisciplinary perspectives, including development and poverty studies, public health, climate studies, security studies, engineering, geography, political ecology, sociology, anthropology, and economics. The word “vulnerability” connotes a condition linked to weakness. In medical disciplines, for example, it is commonly referred that a patient who consumes water from polluted source is vulnerable of having digestion‐related diseases, such as typhoid fever and cholera. It is loosely defined as potential for losses, damage,

C h a p t e r 2 | 56 disruption or other adverse impacts. This may apply to people, buildings, ecosystems, or human activities. In geography, the vulnerability concept has been conceptualized more than a decade ago by Timmerman (Weichselgartner, 2001: 87).

As a consequence of the shifting emphasis of disaster management from relief to mitigation, vulnerability, resilience, and coping capacities have gained a more prominent role and attention in disaster management and studies (Thywissen, 2006: 10). Cutter (1996 and 2003: 242‐243) identified that there are three main tenets in vulnerability studies. The first theme is the so‐called exposure model, examining the source of hazards, identifying social conditions that make people or places vulnerable to natural events, and emphasizing the ecological context (Burton, Kates and White, 1993; Anderson, 2000; Hewitt, 1995). The second theme assumed that vulnerability is a social condition, putting it at the center of the description and interpretation of danger and the social construction of vulnerability (Blaikie et al, 1994; Hewitt, 1997). The third theme views vulnerability as hazard of place, integrating the potential exposure and societal resilience with a specific focus on particular places and regions (Kasperson, Kasperson and Turner, 1995; Cutter, Mitchell, and Scott, 2000; Weichselgartner and Bertens, 2000).

Bohle (2003) identified four types of vulnerability concepts: complex, dynamic, analytic, and normative. However, many vulnerability studies share concern for losses that directly relate to human welfare, in terms of damage to property, damage to livelihoods, forced migration, morbidity, or mortality (Barnett, 2008: 104). Several definitions of vulnerability have also been developed. ADRC defines vulnerability as:

“… a condition resulting from physical, social, economic, and environmental factors or processes, which increases the susceptibility of a community to the impact of a hazard” (ADRC, 2005).

In addition to the condition, International Strategy for Disaster Reduction (ISDR) (2004 in Villagran, 2006: 12) also put the process in their definition of

C h a p t e r 2 | 57 vulnerability. In this regard, physical factors include the location which can be represented through other factors, such as population density, construction material, remoteness of the settlement, etc, while social factors have to do with social aspect, such as level of well‐being, gender, health, literacy, education, security, social equity, etc. Environmental factors include natural degradation, resource depletion, and pollution. The Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ) links vulnerability directly to the level of possible loss or injuries and damages, capturing inadequate options available and ability possessed by people in dealing with consequences of natural phenomena (GTZ, 2004: 10). Referring to Birkmann (2005), the concept of vulnerability has been widened from a view of vulnerability as an internal risk factor, to vulnerability as the likelihood to experience harm, to vulnerability as dualistic approach of susceptibility and coping capacity, to vulnerability as multiple structure, and finally ended up to a view of multidimensional vulnerability.

Hillhorst and Bankoff (2004: 5) argued that vulnerability is not a property of social groups or individuals, but it is embedded in complex social relations and processes, and therefore it is specific in its nature. Others argued that it results from ‘poverty, exclusion, marginalization and inequalities in material consumption generated by social, economic and political processes, a process of cumulative condition vary over time and space (Brown, 2007: 84; Barnett, 2001: 132‐133; Cardona, 2004: 43). Vulnerability’s characteristic are: (1) dynamic and fluid‐ reflecting social, cultural, and economic condition at certain time; (2) concerned with present, future, and the past; and (3) especially about people’s perception and knowledge, termed as “social production” by Few (2003, in Texier, 2008: 366)(Marianti (2007: 7‐8). From an anthropological point of view, Oliver‐Smith (2004: 11) proposed that vulnerability is located at the interaction of nature and culture. It also links social and economic structures, cultural norms and values and environmental hazards. Slightly different from the above ADRC’s definition, Blaikie et al (1994) explicitly referred to a person or group and their capacity in dealing with natural hazard when defining the concept of vulnerability. He continued by holding on the two forces creating vulnerability: on the one hand, the process or

C h a p t e r 2 | 58 progression leading to vulnerability, and on the other hand, physical exposure to hazards (earthquake, storms, floods, etc). It develops from the underlying causes in economics, demographic and political spheres, into insecure conditions through so‐called dynamic processes. Lack of local institutions, under‐developed markets, population growth, and urbanization are among the dynamic processes. People’s ability to gain resources, self‐protection (related directly to socioeconomic factors, cultural tradition appropriate technical knowledge), and social protection (concerning the organizational and regulatory realms) are three major components of vulnerability identified by Wisner (1991: 21).

Approximately a decade later, along with Ben Wisner, this concept has been developed in such a way that resulted in PAR model described at length in his widely referred book At Risk. In this modified model, progression of vulnerability is composed of three aspects: root causes, dynamic pressures, and unsafe conditions (Wisner et al, 2007). The concept of root causes is defined as processes reflecting distribution of wealth and power in a society. Dynamic pressure is conceived as factors channelling the root causes into certain forms of unsafe conditions, such as population growth, rapid urbanization, deforestation, decline of soil productivity, excessive use of pesticide, lack of training and skills, etc. Last but not least, unsafe conditions are a manifestation of vulnerability in conjunction with certain hazards, such as lack of disaster planning and preparedness and fragile environment.

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Table 2.1. Typology of vulnerability concepts

Typology of Vulnerability Concepts Complex Dynamic Analytic Normative As a multidimensional complex As an active Concept External and Internal Sides As a Negative State “Vulnerability is a product of three “Vulnerability is the characteristics of a “Vulnerability can be defined as the exposure “Social vulnerability is a negative state dimensions: exposure, resistance (the ability person or group in terms of their capacity to to contingencies and stress, and the endured by groups or individuals. to withstand impacts), and resilience (the anticipate, cope with, resist and recover difficulty in coping with them. It has two Vulnerability occurs because livelihoods ability to maintain basic structures and to from the impact of a natural hazard” (Blaikie sides: an external side of risks, shocks and and social systems are exposed to stresses recover from losses” (Kasperson et al, 1994: et al, 1994: 9) stress to which an individual or household is and unable to cope effectively with that 11) subject; and an internal side which is stress. Though most evident in the time of defenselessness, meaning a lack of means to crisis, vulnerability is a pervasive and chronic cope without damaging loss” (Chambers, state related to the underlying economic and 1989: 1) social situation” (Adger and Kelly, 2001). As a systematic Concept As an Interactive Concept As Social Mapping As a hypothetical concept “The extent to which (natural hazard) may “Vulnerability framework should be conceived “… a theory of vulnerability should be “Vulnerability is a hypothetical and predictive damage or harm a system; it depends not as a ‘stacked system’ in which these capable of mapping the historically and term which can only be “proved” by observing only on a system’s sensitivity, but also on processes unfold at various scales and socially specific realms of choice and the impact of an event when, and if, it occurs.” its ability to adapt to new conditions.” interact with each other. Changes at constraint … which determine the exposure, (Blaikie et al, 1994: 58). (IPCC, 2001) particular places are often connected to capacity and potentiality” (Watts and Bohle, globalization and macro‐political processes as 1993: 46) well as ongoing change in the global biosphere” (Turner, in SEI, 2001: 15) As a structural concept As a Concatenation Concept As a theoretical concept “Vulnerability is a multilayered and multi‐ After a disturbance has ‘cascaded’ through the “… the space of vulnerability is defined by dimensional social space defined by the human‐environment system, adaptations three distinctive processes which are determinate political, economic, and will be undertaken to anticipate and cope theoretically derived, and which constitute institutional capabilities of people in with future flows of disturbance (Turner, in in tandem a causal structure of hunger. In specific places and specific times “ (Watts and SEI, 2001: 15) shorthand form, we identify this tripartite Bohle, 1993: 46) structure … as entitlement, empowerment As a Continuum As A Dynamic Concept and political economy “ (Watts and Bohle, 1993: 52) “Vulnerability can be viewed along a “Dynamic pressures are processes and continuum from resistance and resilience activities that translate the effect of root to susceptibility” (SEI, 2001) causes into the vulnerability of unsafe conditions” (Blaikie et al, 1994: 24).

Source: Bohle (2003)

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Figure 2.5. Press and Release (PAR) model

The Progression of Vulnerability

1 2 3

DYNAMIC UNSAFE DISASTER HAZARDS ROOT CAUSES PRESSSURES CONDITIONS

Physical Lack of: environment: Local institutions Dangerous locations Training Unprotected Earthquake Limited Appropriate skills access to: buildings and local investments infrastructure High winds Local markets Power Press freedom Structures Ethical standards Local economy: Flooding Resources in public life livelihood at risk Low income levels Volcanic Ideologies Macro forces: RISK eruption rapid population Social relations: Political Special groups at systems change landslide Rapid risk Lack of local urbanization drought Economic institutions systems Arms expenditure Debt repayment virus and schedules Public actions and pests Deforestation institutions: Decline in soil lack of disaster preparedness prevalence of endemic disease

Source: Wisner et al (2007a)

Accordingly, vulnerability is viewed as a progression starting from the root causes, facilitated by dynamic pressure and ended with unsafe conditions (Wisner et al, 2007: 51). Root causes are caused by unequal distribution of power, structure, and resources in the society. Neo‐liberal, market‐friendly, and anti‐subsidy policies sponsored by the World Bank and the International Monetary Fund (IMF) and implemented by many governments in developing countries are thought to be driving factors of the widening of such gaps. It is also driven by the adherence to certain ideologies which form political and economic systems at local, national and international levels. Dynamic pressures and unsafe conditions can be either purportedly created by societies or conditioned by such deeply‐rooted causes. Rapid urbanization, for example, may occur due to concentration of capital, employment and livelihood opportunities in certain regions. Due to limited access to land in safe and fertile areas, the disadvantaged people migrate to hazard‐prone

C h a p t e r 2 | 61 and less fertile areas to survive. According to the model, a risk can be minimized and pressure can be released by reducing vulnerability through a series of measures starting from measures in reducing an unsafe condition to releasing the dynamic pressures. The ultimate goal is to address the root causes, which can only be done by making a radical change at a structural level of the society (Wisner et al, 2007).

Some labelled what Wisner termed vulnerability as “social vulnerability”. Lack of access to resources (including information, knowledge, and technology), minimum access to political power, lack of social capital, fatalistic belief, and the type and density of infrastructures are among the factors that influence social vulnerability (Cutter, 2003: 245). Adger (2001: 22) further suggested that social vulnerability can be split into individual vulnerability, which is determined by access to resources and the diversity of incomes, as well as by social status of individuals or households within a community; and collective vulnerability, which is determined by institutional and market structures. Many researcher have confirmed that certain social and demographic groups are more vulnerable to loss, or face greater difficulties during recovery from disaster (Fordham, 1998; Oliver‐Smith, 1991; Bolin, 1997; Cutter, 1995; Enarson and Morrow, 1998 in Comfort, 1999: 42).

2.4. Double Structures of Vulnerability

Analysis of vulnerability as a social phenomenon has a long tradition within cultural geography, particularly concerning the question of food security and famine (Watts and Bohle, 1993 in Adger, 2001: 5). Chambers (1989), for example, targeted communities and their livelihoods as his focus of analysis, stating that vulnerability is basically the exposure of contingencies, stresses and difficulty experienced by some communities. In the framework, he proposed external side of vulnerability, relating to exposure to external shocks and stresses; and the internal side of vulnerability, concerning the defencelessness and incapacity to cope without suffering losses (Chambers, 1989: 1). This framework was modified by Bohle and Watts (2001) and termed as the double structure of vulnerability.

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Accordingly, vulnerability is structured by two opposing powers: the exposure (the external) side and the internal (coping) one. The external side can be analysed by three approaches. First of all, a human – ecology perspective focuses on population dynamics and their capacities to manage the environment. The second one is entitlement theory, which relates vulnerability to the incapacity of people to gain or manage assets via legitimate economic means. The third one is the political economy perspective, relating vulnerability to social inequalities.

Figure 2.6. Bohle’s Conceptual Framework for Vulnerability Analysis

The “external side of vulnerability”

EXPOSURE

Political Economy Approaches

THE DOUBLE STRUCTURE OF VULNERABILITY

Crisis and Conflict Theory

COPING The “internal side of vulnerability”

The internal side (or so‐called coping side) referred to how people develop mechanisms (including defence mechanisms, active methods of solving problems or methods for handling stress), mostly using available skills and resources, in facing and managing stresses, adverse conditions, and emergencies caused by external forces, especially nature and environment (ISDR, 2006 in Alwang, 2001:

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20; Wisner, 2007: 113; Dwyer et al, 2004; Adger, 2001: 5). They can be understood from three approaches: action theory approach; model of access to assets; and crisis and conflict theory. The idea that vulnerability is related to coping capacities is also shared by Pelling (as cited by Birkmann, 2005: 5). Birkmann (2008) termed coping capacity as positive element of vulnerability, in contrast to the susceptibility (the negative characteristic). In addition, Bohle (2007) also developed a framework for vulnerability analysis, combining ecological and social vulnerability. Such analysis can be conducted at global, national, regional, local, societal, group and household level. Global environmental crisis, natural hazards, and local resource crises are of ecological vulnerability that can be analyzed from global, regional and local level. Social vulnerability consists of the world society crisis, local social crisis, and the livelihood crisis can be analysed at the societal, group and household level. Global risk research, hazard research, political ecology, livelihood approach, and the theory of fragmentation are among the approaches that can be utilized for this analysis (Bohle, 2007).

Along with the advancement of vulnerability analysis, several indicators have also been developed. There are five indicators that can be used to measure vulnerability at national level: Human Development Index (HDI), debt service ratio, public expenditure on health, adult literacy, and GDP per capita (Pelling and Uitto, 2001). At the municipal level, Hahn (2003), referring to ISDR, proposed other indicators to assess vulnerability. Population density, demographic pressure, insecure settlements and access to basic services are used to assess physical/demographic vulnerability factors. With regard to social factors, the level of poverty, degree of illiteracy, attitude, decentralization, and community participation are to be included. The third factor is the economic, which includes the local resource base, diversification, small enterprises, and accessibility. The last factor is the environment, which includes forest areas, degraded areas, and over‐ used areas. Vincent (2004) developed the Social Vulnerability Index (SVI) with respect to changing water availability in African countries. In this context, vulnerability is constructed in terms of five indicators: (1) economic well‐being and stability; (2) demographic structure; (3) institutional stability; (4) strength of

C h a p t e r 2 | 64 public infrastructure; and (4) natural resources dependence. In the context of earthquakes, indicators of vulnerability concern housing materials, housing standards, skills, type of tenure, location of dwelling, ground stability, and the degree of support network which can be mobilized after the event (Wisner, 2007: 111). Discussing vulnerability at the household level, and apart from defining this as probability of loss, Alwang (2001: 2) included other principles in his concept of vulnerability: (1) vulnerability to the future loss of welfare can be suffered by a household due to uncertain events; (2) the degree of vulnerability depends on the characteristics of risk and household’s capacity to cope with the risk; (3) vulnerability also depends of time horizon; and (4) the poor and near‐poor tend to be vulnerable because of their limited access to assets. Different people will be vulnerable in different degrees to different hazards (Wisner, 2007: 110). In many cases, people are vulnerable to disasters because they do not have any other choice but living in locations that are prone to certain hazards. In the case of the Indian Ocean Tsunami 2004, people live in an area at risk because they ‘must’ do that for the sake of their livelihood. In the case of a drought in Sahel Africa, the people’s opportunity to live safely is constrained by social structure in that region (Cannon, 2008: 353).

Heijmans (2004: 116) sketched out the types of policies and measures according to the presumption on the causes of vulnerability. The first type tends to blame nature and natural hazards as the cause of people’s vulnerability. In order to reduce vulnerability and hazards, technologies (weather forecasting, water control systems, code buildings, etc) to withstand, or at least minimize, the negative impacts are designed and applied. Secondly, there is a tendency to blame cost as the cause of vulnerability. A financial solution is the key to address the problem. This type of argument is common among economists. In this view, vulnerability will be reduced if the national government adapts safety nets and calamity funds, and provides assistance to build up people’s assets (World Bank, 2001: 135). Thirdly, vulnerability is conceived as structural problem, and it requires political solution. Cunny (1983: 7) said that “reducing vulnerability of the poor is a development question, and such a question must be answered politically.” The long

C h a p t e r 2 | 65 term solution is the transformation of socio‐political structures that “… breed poverty and the social dynamics and attitudes that serve to perpetuate it” (Heijmans and Victoria, 2001: 16). With regard to the above third thought, Cannon (2008: 352) held that in many cases people choose to live in a hazard‐prone area just because these are the only possible and affordable area for them. For Brown (2007: 85 quoted from Haddad and Frankenberger, 2003), vulnerability can be lessened through effective risk management strategies aiming at reducing the exposure to risk and the increasing of the ability to manage risks. For the GTZ (2004: 10), vulnerability is caused by three mutually reciprocal factors: (1) political factors associated with legislation, land‐use planning regulation, poor governance, the lack of measures to manage financial risks, etc; (2) economic factors such as poverty, economic dependence, debt trap, and the lack of economic resources to implement preventive measures; (3) socio‐cultural factors including the lack of education, religious fatalism, and traditions regarding land‐use management.

2.5. Sustainable Livelihood Framework

Another framework developed in the discourse of vulnerability is the Sustainable Livelihood Framework. Built on earlier work by the Institute of Development Studies (IDS) (among others), it has received wide acceptance in the last two decades, especially among NGOs and development agencies, as a tool to understand the livelihoods of the poor. It is also useful for vulnerability assessments. This framework is composed of two concepts, livelihood and sustainability. Livelihood is defined by the IDS team (as cited by Scoones, 1999: 5) as:

“A livelihood comprises the capabilities, assets (including both material and social resources) and activities required for a means of living. A livelihood is sustainable when it can cope with and recover from stresses and shocks,

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maintain or enhance its capabilities and assets, while not undermining the natural resource base.”

Figure 2.7. Sustainable livelihoods framework

Source : DFID (1999)

The term sustainability is “… linked to the ability to cope with and recover from stresses as well as to maintain the natural resource base” (DFID, 1999 as cited by Birkmann, 2006: 20). In its guidance sheet, DFID (1999) stated that the vulnerability context, understood as external environment (shocks, trend and seasonality) and how people adapt and cope, have a direct impact on people’s asset status and the options available to them in achieving livelihood outcomes. Key elements of this framework are five assets or capitals (human, social, natural, physical and financial) that people have, access and control. All of them are visualized as a pentagon. The shape of the pentagon shifts as the asset endowments change. Human capital includes skills, knowledge, good health condition, and a job that enable people pursue their livelihoods. Social capital means social resources developed through networks and connectedness, membership in formalized groups, and relations of trust and reciprocity. Natural

C h a p t e r 2 | 67 capital refers to any natural resource stocks and environmental services. Physical capital comprises basic infrastructure and producer goods. Financial capital, termed economic capital, comprises two main sources: available stocks and regular inflows of money. The asset analysis considers the change of assets, the causes of such changes and how access and control of assets differs between social groups (Carney, 1998 as cited by Cahn, 2002). It also emphasizes the transforming structures and processes at the level of governments, private sectors, laws, policies and institutions, which enable to change the vulnerability context. Through a series of livelihood strategies, understood as being composed of activities that generate the means of household survivals, livelihood outcomes (more income, better well‐ being, reduced vulnerability, etc.) are expected to be achieved.

Another livelihood framework was proposed by Anthony Bebbington in his work on rural areas of Latin America. According to Bebbingtion (1999:2022), livelihood is to be understood in terms of five types of capital assets – produced, human, natural, social and cultural capital. In this regard, assets are conceived as resources that people use to build their livelihoods (material objectives), engage more meaningfully (hermeneutical objectives) and change the world (emancipatory objectives). Holding on the necessity to understand the diverse assets, combinations and transformations of such capitals; the strategies people develop to access, expand, defend and sustain assets, and how the people deploy those capitals to achieve those three objectives are also put into analysis.

2. 6. Coping

Coping is understood as an inseparable element of vulnerability. Bohle (2001) conceptualizes it as internal side of vulnerability, being opposed to the external side. As also the case with risk and vulnerability, the concept of coping has been extensively explored. European Spatial Planning Observer Network (2003), ISDR (2004), UNDP (2004) defined it as

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“…the manner in which people and organization use existing resources to achieve various beneficial ends during unusual, abnormal, and adverse conditions of disaster event or process.”

UNEP (2002) included the ability to absorb impacts and provisions to pay potential damages in its definition of coping. IPCC (2001) saw it as a function per perception, possibilities, private action and public action. Distinguishing the concept with adaptive capacity, Peltonen (2006) held that the concept of coping is more directly related to extreme events (Thywissen, 2006: 13 – 14). Wisner (2007: 113) gave more emphasis on the way people act within the limits of existing resources and range of expectation, involving no more than “managing resources” before, during and after the disaster, a concept shared by Villágran (2006: 9). Burton (1978: 204 – 209) argued that every society has its own absorptive capacity (meaning practices that enable them to absorb extreme events);; acceptance capacity (meaning learning to live with hazard events); reduction capacity (meaning efforts to reduce vulnerability of individuals and groups); and use/ change capacity (meaning changes to make when individuals or groups exhaust their capacity for action). The strategies are the result of a process of experiments and innovation that provide people with a sense of safety (Heimans, 2004: 120).

In coping with adverse conditions, communities, groups, households and individuals may implement one or more strategies such as preventive strategies, food and asset storages, production and income diversification, the development of social support networks and post event coping strategies (Wisner, 2007: 115– 119). Drèze and Sen (1989: 71 ‐75 as cited by Bankoff, 2004: 32) held that the strategies include:

“…land utilization and conservation strategies, crops husbandry and diversification practices, exploitation of geographical complementarities in ecosystems, symbolic exchange between communities, the development of patronage relationships, migration, the redeployment of household labor and complex dietary adjustments.”

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Dawe (2009: 292) distinguished ex‐ante responses, which include spatial diversification of fields; crops and varietal diversification; income diversification; sharecropping; crop insurance and weather insurance, with coping strategies (or so‐called ex‐post responses), which include borrowing, use of savings; drawdown of assets; reduced investment in human capital; and migration. Eakin (2003: 163) viewed that temporary migration is the last option taken when none of either planting subsistence crops, selling livestock, planting investment crops, economic diversification or non‐farm activities works.

People calculate risks they face in multidimensional ways based on circumstances including: available resources to feed the family; farming calendar; family composition to consider off‐farm work; location to escape routes; education and skills of family members; and fall‐back mechanisms (Heimans, 2004: 120). In Darfur Sudan, for example, mass migration is the last option to take when the situation has been deteriorating after strategies such as looking for employment to provide necessary cash; exchanging properties or personal possessions for food and water; reducing livestock numbers or changing the composition of herds; reducing the size of meals; and liquidating assets and selling livestock do not change the situation (Osman‐Elasha, 2008: 247). In the case of Philippine, for example, following income‐earning strategies are implemented: job diversification of the husband; budgeting and practicing frugality; wife engages in income‐earning activities; seeking overseas employment; and children quit school to work (Dalisay, 2008: 378). In a research on drought in Tanzania, it was found that the coping strategies include: selling of assets (33 %); seeking employment elsewhere (29 %), and growing drought resistant crops (22 %) (Birkmann et al, 2006: 29). Among tsunami‐affected people in Srilanka, Birkmann (2006: 24) showed that access to social network, membership in community‐based organizations, mutual trust and reciprocity play an important role in how those people cope with calamities. A Survey conducted in that area found that it was the neighbours (55 %), friends (10 %), other family members and relatives (18 %) who first came to help the affected people before the other authorities.

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In a study of risks and crises faced by rural communities in Uttar Pradesh India, Kapoor (2006: 74) showed that 4.55 per cent of the community members resort solely to loan, 19 per cent used their savings, 32 per cent used loans and savings together, and the remaining rely on other means. Also in agricultural sectors, Farrington (2005) categories of rural population into his analysis on measures to prevent, mitigate or cope with risk. The first category is constituted by commercial or semi‐commercial farmers, making up 20 to 30 per cent of the total population. They face risks caused by input or output price fluctuations, and cope with them by improving technology and human capitals (particularly education and relevant information), and by building storage infrastructures. The second category is constituted by small farmers who are active in their own land but may also generate income from other farming‐related activities and migrate seasonally. They deal with pests, diseases, weathers and problems related to market links. Their strategies include diversification within and out of agriculture. The third category is constituted by those having little land but mainly dependent on sharecropping and seasonal migration. Their strategies include diversification and investment in trees and small livestock that can be sold in time of crisis. They share strategies with the fourth category, those with few assets and mainly dependent on casual labour. The fifth category, those unable to engage in regular productive activities (like the elderly, sick, disabled, etc.), needs measures to strengthen and stabilize the household economy, and to provide social protection.

However, due to their lack of capacity to fight openly against the dominant power, other people practice so‐called “everyday politics”, which involves:

“…embracing, complying with, adjusting, and contesting norms and rules regarding authority over, production of, or allocation of resources and doing so in quiet, mundane, and subtle expressions and acts that are rarely organized or direct”(Kerkvliet, 2009: 232).

The variety of responses occurs because societies, communities, groups, and ethnicities do not share the same experience of facing external stresses (Hillhorst, 2004: 3). Many local people approach their circumstances beyond the disaster and

C h a p t e r 2 | 71 emergency paradigm, despite many risks such as food shortage, diseases, malnutrition, or eviction from the land they face (Heimans 2004: 120). In addition, power is not distributed equally among members of the society, resulting in the gap of access to social, natural, cultural, and financial capital. Social, economic and political forces act as factors constraining people’s behaviour in the face of natural hazards (O'Keefe et al., 1976 and Hewitt, 1983 as cited by Gaillard, 2008: 346). One structural explanation was expressed by Oliver‐Smith (2004: 16) when he was holding that the majority of poor people degrade their environments and put themselves in harm, largely because of the lack of reasonable alternatives for daily survival. At household level, based on their capabilities, assets, and economic activities, coping strategy can be divided into three categories (White, 1991, as cited by Baiquni, 2007: 221 – 223). First, survival is strategy is common practice among poor and marginal households. Their capability is limited only to the fulfilment of very basic needs; lack of saving; highly dependent on social security system; and lack of social network. These households are usually smallholders with limited means of production; limited access to the electricity; and live in bamboo houses. Secondly, consolidation strategy is taken by households with sufficient land and financial assets. The power of social network and their social status enable them to take the next phase, the third category, of strategy, accumulation. Household capable of taking accumulation strategy is characterized by their capability to accumulate capital and improve their welfares.

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3. Bantul and Gunung Kidul Regions

3.1. Location of the Area

3.1.1. Bantul and Gunung Kidul

From the higher altitude of the northern Yogyakarta region, one can easily notice the landscape difference between Bantul and Gunung Kidul districts. Bantul, on the one hand, except some parts of its eastern region, is an alluvial plain dominated by irrigated rice fields and settlement areas. Situated at the latitude of 070 44 ‐ 080 00’ 27 South and longitude of 1100 12' 34 ‐ 1100 31' 08 East, it is adjacent to the Gunung Kidul district in the east, Yogyakarta city and Sleman district in the north and Kulon Progo district in the west. The total area of Bantul is 506.86 km2. Elevated between 0 and 400 meters above sea level, valuable resources such as fertile soils, minerals, and shallow groundwater are abundant in this district. Half of this region is elevated between 25 and 100 meters above sea level. The dominant geological formation of the central and western part of this region is dominated by young sedimentation of the Merapi volcano, while alluvium and andesite dominate the eastern part. Six soil types can be found in this district: Cambisol, Grumusol, Aluvial, Gleisol, and Rendsina (Atlas Bantul, 2010). Situated relatively near the main city of Yogyakarta, Sewon, Banguntapan, Kasihan, and some parts of Pleret sub‐districts, have been directly affected by the city agglomeration. Infrastructure and housing development have been growing rapidly in the last three decades, due to the development of the Yogyakarta southern ring road, the establishment of several new public and private universities, tourism development, and the proliferation of real‐estate business, especially in the north and north western parts.

Located in the south eastern part of Yogyakarta province, the Gunung Kidul district is dominated by a hilly area with summits as high as 680 meters in the north and 328 meters in the south. Situated in the latitude of 070 15' – 080 09' South, and at the longitude of 1100 21' – 1100 50' East, it is adjacent to Klaten and Sukoharjo districts of the Central Java province on the north, Bantul district and the Indian Ocean on the south, Wonogiri district of Central Java province in the east, and

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Bantul and Sleman districts in the west. Two other contrasts between them are the area and the coastal line length. The Gunung Kidul area is almost three times larger (1,485.36 km2 against 506.85 km2) and its coastal line is nearly three times longer (72 against 23 kilometres long) than that of Bantul. It is composed of three zones with different characteristic. The Batur Agung zone, situated in the north with up‐ to 40% slope steepness, is dominated by bedded chalky limestone. This zone is divided into four sub‐districts – Patuk, Gedangsari, Ngawen, Semin and some part of Nglipar are located. With a thicker soil developed from the mix of material of volcanic origin and limestone sedimentation, this 26,569 hectares zone is more fertile and vegetated than the two others – Wonosari plateau and Gunung Sewu karst zone.

The Wonosari plateau, situated between the Batur Agung and Gunung Sewu zones and enclosed by steep areas of mountain massive, is the location of Wonosari, Karangmojo, Ponjong, and Semanu districts. Covering 44,238 ha, this zone was formed by the occurrence of fault and flexure that created basins, followed then by erosion and solution processes forming depressions filled later by alluvial deposits (Sutikno, 1996: 8 as cited by Enryd, 1998: 26). The largest zone is Gunung Sewu karst, literally meaning “thousand mountains”. Covering 67,211 hectares, this chalk reef consists of innumerable cone‐shape mounds with many valleys where people reside and develop their complex dry farming agricultural systems. It is a zone where seasonal drought brings about more serious impact than in the two other zones. From a physiographical point of view, it is part of the southern plateau of the Java Island.

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Map 3.1. Bantul and Gunung Kidul

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Geologically, it is dominated by Miocene limestone of the Wonosari Formation which was uplifted during the late Pliocene and/or early Pleistocene, consisting of coral reef limestone in the south and chalky limestones in the north (Pannekoek, 1948, Balazs 1968; van Bemmelen 1970; Surono et al. 1992; Sutoyo 1994 as cited by Haryono and Day, 2004: 62).

3.1.2. Village administration

Formally, modern village administration has only been existing since less than a decade ago. Traditionally, the administration system practiced by Javanese kingdoms used to be a concentric circle organized around the Sultan who also acted as the centre of authority governing the kingdom in centralistic and autocratic manners. As the only source of power and the possessor of everything in the kingdom, he is the symbol of honour, welfare, wisdom, and equity. The first circle is keraton, the inner circle located inside the palace. Apart from maintaining the internal palace governance (parentah jero), it also bridges the Sultan and the capital town governor. The second circle is the so‐called nagara (the capital town), where the prime minister, princess, and other high‐ranked aristocrats reside. It is also the locus of parentah jaba (the external palace government), to whom governments at regency level held responsibility. The third one is nagaragung (literally means “greater capital town”). It includes all areas outside of the capital town, mostly rural areas, whose lands belong to princesses and high‐ranked aristocrats. The fourth one is mancanegara (literally means “foreign land”), an area governed by a regent appointed by the Sultan.

In the period between 1755 (the year when Yogyakarta Sultanate was established) and 1918, the village was simply an area outside of the capital town inhabited by groups of peasants living on nearby agricultural lands owned by the princess and highly‐ranked Sultanate officials. Those inhabitants did not have either political or land‐ownership right. A formal relation between the state and those people did not exist. In their hamlets, they organized themselves informally, adhered to certain customs and folkways while at the same time maintaining patron‐client relations

C h a p t e r 3 | 76 with their landlords. The district, governed by bupati, was divided into several districts led by panji (turned to be wedana in 1926). The district was divided administratively into sub‐districts led by panji assistants (see Figure 3.1.).

Figure 3.1 Four concentration circles of Javanese kingdom

Palace

Capital town

Districts

Outlying provinces

Source: Soemardjan (2008: 26)

Panji assistant was the lowest official position, creating a floating mass composed by rural inhabitants. Bekel is a lower position, albeit unofficial, under panji assistant the main function of whom is to collect tax from farmers. Responding to the growing socioeconomic complexity of rural areas, the Sultanate, supervised by the Dutch colonial government, began to introduce village governments in 1918. The period was marked by the establishment of villages as autonomous administrative units and the recognition of right over land (Soemardjan, 2008: 34‐ 36). Land entitlement was the key factor determining political rights of the villagers during that period. The status of “full citizenship” was only granted to members of social groups, called gogol or sikep, mostly composed of descendants of land clearing pioneers. In addition to being entitled rights to land, house, and

C h a p t e r 3 | 77 home garden, they possess certain political privileges, such as giving vote to the headman candidates, taking part in decision making process at village level, and becoming members of the village council (dewan desa). Japanese colonial government introduced a governmental system at lower hierarchies in 1942. Dividing a village into several administrative units at neighbourhood level, it aimed at strengthening surveillance of rural people to prevent any rebellious potential. Eight months after Indonesia had proclaimed its independence from colonial power in 1945, the government of Yogyakarta Special Region issued a decree on the dissolution of the village council and the establishment of a new legislative board. Members of this board were elected among eligible people (either being at least 20 years old of age or having resided for more than three years) (Soemardjan, 2008: 101).

The village government implemented by the Sultanate of Yogyakarta had inspired the Suharto administration in its attempt to replace the diversity of customs and traditions and create uniformity of village administration over Indonesia, marked by the legalization of the Law Number 5 of 1979 on Village Administration. It resulted in the disappearance of huta of Batak in North Sumatra, nagari of Minangkabau in West Sumatra, marga in South Sumatra, among others, which served as traditional local administrative units in rural areas (Kato, 1989: 91. The distinct trait of this law is the introduction of desa, dusun and kelurahan governments in rural areas, three Javanese terms referring to the village government system practiced by the Sultanate of Yogyakarta. The positions of panji, panji assistant, wedana, and bekel were dissolved. Under this centralistic authoritarian administration, villages lost their autonomy completely. People could vote their leaders. However, the candidates are required to pass certain loyalty and ideology tests carried out by the district government which was fully controlled by military power. The government dropped the candidacy of persons accused of being involved in socialist cause or relatives of communist party activists. Village headmen were relegated to their functions as public servants conducting commands from authorities of higher hierarchy. Considering incompatibility of the centralistic system with the era of democracy and

C h a p t e r 3 | 78 participatory governance, the democratic administration of reformasi era has been determined to abolish the Law of Village Administration. The Law number 32 on Regional Government has been adopted in 2004. Chapter XI of the law stated that village administration is composed of a village government and a village parliament. The village headman is elected from a group of eligible community members by direct voting. Customary social system formerly abolished by Suharto administration has received legal recognition from the state. One of the side effect of this policy has been the growth of various movements aiming at the revitalization of customary law and the re‐establishment of local communal social system in many parts of Indonesia.

Bantul and Gunung Kidul are two of four administrative districts (kabupaten) in the Yogyakarta province. Bantul is divided into 17 sub‐districts (kecamatan) and each sub‐district consists of 2 – 8 villages (desa). The total number of villages in Bantul is 75. In Gunung Kidul, the total kecamatan is 18, being composed of 144 desa. Gedangsari, Saptosari, Girisubo and Purwosari have been established as new kecamatan only since 1998 as a result of a sub‐district proliferation program, initially aiming at enhancing an efficient bureaucracy and minimizing factors constraining the implementation of a development program. Mostly covering more than 75 km2, the kecamatan area of Gunung Kidul is generally larger than Bantul. Semanu in Gunung Kidul, covering 108.39 km2, is the largest kecamatan in both districts, while Srandakan in Bantul which covers 18.32 is the smallest one. Led by a public servant appointed by regent (bupati) so‐called camat, kecamatan performs parts of authority delegated by kabupaten, particularly with regard to regional autonomy matters, in its own territorial boundary.

Table 3.1. Administrative division

Bantul Gunung Kidul Sub‐district 17 8 Village 75 144 Hamlet 933 1431 Neighborhood 5681 6837

Source: BPS Bantul (2010) and BPS Gunung Kidul (2010)

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These include coordination of rural community empowerment and the commencement of public services such as publishing identity cards, issuing private land certificates, and authenticating legal documents.

Desa is principally an autonomous confederation of 2 – 24 sub‐villages (pedukuhan), and each sub‐village is divided into 23 – 120 formally administered neighbourhoods (Rukun Tetangga – RT). Unlike camat, village headman (kepala desa) is elected every four years by voters in the respective village, and she/he can be re‐elected for another period. In Javanese tradition, Keeler (1985: 114) argued, kepala desa should be a powerful – “… spiritually potent endowed with the qualities – generosity, even headedness, and paternalistic regard for the people’s welfare – that such potency implies.” He should also, more importantly, be able and have the will to fulfil responsibilities such as “… giving material aid to people who are holding ritual celebrations or are in distress; to assure harmony among neighbours; and/or to protect villagers from outside influence, whether mundane or mystical.” Instead of wages, the provincial government provides them with lungguh, lands of the area between 2.5 to 5 hectares whose use is given to the kepala desa and village officials in lieu of salary as long as they remain in office.

Similar to kepala desa, the position of pedukuhan administrator (kepala dukuh) is filled by direct voting involving legal inhabitants (older than 17 years old or have been married) of the padukuhan. Staying at his office theoretically for lifetime, kepala dukuh also receives approximately 2.5 hectares of land – in a less fertile area, a larger area is provided ‐ from the provincial government. Considering mainly the settlement location and the total families of the respective settlement, village governments create a lower administrative structure at neighbourhood level, called Rukun Tetangga (RT). Every RT consists of approximately 60 families. When an RT has been inhabited by more than 80 families, village government usually breaks it down into two distinct RTs. Prior to the legalization of the Village Administration Law No 5 in 1974, padukuhan was the lowest administrative unit composed of autonomous local communities (kampung) which was the root of RT. Suharto administration retained the communal tie and the territory, but replaced the traditional leadership structure of the kampung with one which was in line

C h a p t e r 3 | 80 with government‐sponsored modernization. In many cases, village governments transformed the traditional leaders’ positions to RT leaders, giving them new roles as voluntary administrators at neighbourhood level, not only to maintain communal harmony, but also to manage the data of every community members.

3.1.3. Land use

The office of land administration generally puts land use into three categories: sawah (paddy field), non‐sawah (dry field), and non‐agricultural land. By this definition, sawah is understood as land suitable for paddy cultivation. Dry field in Yogyakarta refers to two local terminologies: tegal, land outside settlement area where perennial crops (mainly trees for wood production) and annual crops are cultivated together; and kebon, an area outside the home garden where fruits and other trees, mainly coconuts, are planted. Non‐agricultural land, which is dominant in Bantul and Gunung Kidul districts, includes settlement and forest (public and private) area. Land use in the rural area of Yogyakarta, to varying degree, is characterized by the rapid expansion of urban area and the conversion of fertile paddy field into settlement. In Java, the total agricultural land has been decreasing from 4.1 million ha in 2007 to 3.5 million ha in 2010, with the land conversion rate of 200,000 hectares per annum (Litbang Kompas, 2011). Yunus and Harini (2005) saw the population growth; the development of built‐up area; and the growth of road length as main factors contributing to the change of rice field in Yogyakarta province. Data published by the Bureau of Land Administration shows that between 1980 and 2000, the agricultural land converted to non‐agricultural in Bantul increased from 332.7 hectares to 392.2 hectares, most of which has been converted to housing (250.8 hectares in 1980 and 346.7 hectares in 2000). Karnawati et al (2005: 5) stated that the conversion of rice fields varies between 0.22 and 0.72 hectares per annum since 1996 in Bantul. Sewon, Banguntapan, and Kasihan are sub‐districts with the highest rate of agricultural land conversion.

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Figure 3. 2. Land use of Bantul and Gunung Kidul (in ha)

73,472 80 67,199 70

60

50 Bantul 40 Gunung Kidul 30 21,702 15,569 20 7,865 13,414

10

0 Paddy Field Dry Field Non‐Agricultural Land

Adapted by Nurhadi from BPS Bantul (2010) and BPS Gunung Kidul (2010)

Data published in 2007 showed that the conversion rate of those areas in 2007 ranged between 40.758 m2 and 64.085 m2 (Pemda Bantul, 2007). The city expansion through the expansive development of housing, infrastructure, and service sectors has been playing major role in the land conversion. A striking symptom of these situations can be found in two districts, Sleman and Bantul, several kecamatans of which have been directly implicated by the agglomeration of Yogyakarta city. Built‐up areas and new rural settlements have doubled between the period of 1993 and 2006 (König, 2010: 1991–1995). Yunus (2006 as cited by Harini, 2007) stated that there are six factors driving the physical development of the urban fringe: (1) the presence of public facilities; (2) physical accessibility; (3) land characteristics; (4) landholder’s perception on their economic life; (5) the growth of housing development companies; and (6) the local policy on spatial planning and land use management. From another standpoint, Firman (2000) argued that the land conversion of the urban fringe areas in Indonesia has been proceeded to excessive land development permit (ijin lokasi) issued by National Land Development Agency.

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Figure 3.3. Stages of Land Conversion in Bantul

Home garden

Dry field

Paddy field

Adapted by Nurhadi

Culturally, the local concept of “ideal Javanese man” refers to the ownership of house, vehicle, and land. Avoiding the shame and the degraded dignity, a Javanese man will do anything necessary to meet such target of possessing those things, the most important thing of which is house. The trajectory of land conversion usually follows three phases. When the family grows larger and the core house is not sufficient to give shelter to family members, the need for permanent house is solved by erecting a new house in the home garden of the core house, the pekarangan. The second phase is the conversion of dry field, either tegal or kebon. It is the case when the area of core house is not large enough to erect another permanent building. Trees grown in those lands are cleared to minimize the risk of accident brought about by the tumbling down of big trees. The last phase is usually the conversion of paddy fields located in the adjacent to the main road connecting the village to the more urban area. It is calculated that the harvest value is much less than the potential profits incurred by the existence of permanent buildings which can either be rented or utilized to establish shops.

C h a p t e r 3 | 83

Map 3.2. Roads in Bantul and Gunung Kidul

C h a p t e r 3 | 84

In the Gunung Kidul district, another pattern of land use change is marked by the decrease of rain‐fed field area from 95,619 hectares in 1969 to 66,977 hectares in 2008; the decrease of fallow land from 9,278 hectares in 1969 to 8,630 hectares in 2009; and the increase of housing, home garden and smallholder forest. Infrastructure, particularly roads and bridges, have been extensively developed to open the access to isolated areas, linking one sub district to another, creating new settlements. A report published in 1986 by the Regent of Gunung Kidul mentioned that 52 per cent of district expenditure was allocated for infrastructure development (roads, public buildings, bridges, and public facilities). In addition, the district government has also been developing office complexes and local markets in many sub‐districts and village, responding the extension of bureaucracy to the village level, attracting petty and medium entrepreneurs to build their business centres in those newly developed spots. In 2007, the regent reported that the amount of 78 billion was allocated for various infrastructure projects. The office of Public Infrastructure of Gunung Kidul published data that the total asphalted road was 1,127.92 kilometres in 2009, and the total of bridges was 174. The total expenditure allocated to infrastructure development was 22 billion rupiah in 2010 (District Expenditure Report, 2010).

3.1.3.1. Paddy field

The agriculture and forestry office generally puts land into three categories paddy field (sawah), dry field (lahan kering), and non‐agricultural land. By this definition, sawah is understood as land suitable for paddy cultivation. Rice cultivation in Indonesia can generally be put into three main categories: sawah, ladang, and shifting cultivation. Indigenous communities in the deep rainforest of Kalimantan, Sulawesi, Maluku, Papua, and Sumatra still practice shifting cultivation to sustain their lives. Due to rampant timber extraction and forest clearing, the number of shifting cultivation communities has been drastically decreasing since the last four decades. Suharto administration took measures to address forest problems perceived to be caused by such cultivation practice. Shifting cultivation was

C h a p t e r 3 | 85 deemed to be one of the factors constraining the transmigration program, timber extraction and the expansion of large estate, particularly pulp, rubber, and palm oil. The Ministry of Forestry attempted to stop those communities from slash‐and‐ burn activities by allocating lands outside the rainforest area, teaching them settled cultivation, and building houses for them. Nowadays, many of those communities settle in areas under formal jurisdiction of certain villages, and practice ladang cultivation instead. The almost complete disappearance of shifting cultivation communities in Java has been taking place since 1871, when the Dutch colonial government adopted the colonial agrarian law. Nowadays, only sawah and ladang cultivation exist on this island.

Located in a fertile valley, the soil of which is dominated by volcanic sediments, the paddy fields of Bantul cover an area of 15,569 hectares (30 per cent of the total area of Bantul), dominated by irrigated fields (13,493 hectares).

Picture 3. 1. Harvested paddy field in Bantul

Picture by Nurhadi

The rain‐fed field of this region covers 2,076 hectares. Covering an area of 5,514 hectares, the paddy field of Gunung Kidul is dominated by rain‐fed fields. In six out of eighteen districts, paddy cultivation is impossible due to the shallowness of the soil. In a study on land conformity in Gunung Kidul, Brontowiyono et al (2009)

C h a p t e r 3 | 86 stated that only 55.7 per cent of the land is appropriate for agriculture, while the rest, situated mostly at Gunung Sewu karst zone, is not. Despite the quite high annual rainfall (1500 and 2000 mm per year), agriculture in Gunung Kidul is dominated by a combination of rain‐fed farming system and agroforestry. In this district, only 4 per cent of the harvested area is suitable for wet rice cultivation (Bennett, 1961: 81). Dry crops are cultivated during the east monsoon period when rainfall is lower than in the wet season (Alexander, 1978: 213). Crops cultivated by local communities include highland rice, maize, cassava, soybeans and peanuts.

Soil loss and poor soil fertility leading to severe environmental degradation and water scarcity pose serious threats to the agricultural sector of this district. Most paddy fields are located in Batur Agung and Wonosari, a region with thicker soil and better surface water availability. The persistence of the Oya river system and numerous basins functioning as natural water reservoir are also important in sustaining the paddy cultivation of this zone. Unlike Bantul, there has been an increase in paddy fields in Gunung Kidul between the period of 1970 and 2010. In 1970, the total paddy field area was 7,191 hectares. This figure increased to 7,856 hectares (5 per cent of the total area of Gunung Kidul) in 2010, most of which are rain‐fed field (5,514 hectares) (BPS Gunung Kidul, 1982, 2010). Timmer (1971), Fillius (1977) and Enryd (1996) confirmed that only four per cent of this region is suitable for paddy fields. In this region, farmers can only cultivate twice a year, leaving the land in the remaining 6 months fallow. By implementing a modest technology to irrigate water from underground water sources and limited surface water, farmers in this region have managed to convert parts of non‐wetland to wetland, resulting in the increase of wetland area in the last four decades. Similarly, Yunus and Harini (2005) also confirmed the data of the increase of paddy field areas published by BPS Gunung Kidul. On these rain‐fed lands, farmers cultivate paddy combined with seasonal crops, particularly cassava and maize.

C h a p t e r 3 | 87

3.1.3.2. Dry field

Javanese villagers traditionally put the non‐rice field into three categories: kebun (plantation estate), tegal (rain‐fed field), and pekarangan (home garden). In this context, dry field refers to the first and the second category. The third category is discussed at the sub chapter 3.1.3.3. Covering 67,199 hectares, dry field in Gunung Kidul is more prominent than Bantul (6,716 hectares) (BPS Bantul, 2010 and BPS Gunung Kidul, 2010). Forest clearing, timber extraction, massive soil erosion, leaching and oxidation are factors accelerating the proliferation of dry land, particularly in Gunung Kidul and in the eastern part of Bantul. Rampant forest clearing occurred between the period of 1840 and 1881 following the increasing demand for teak from the sultanate of Yogyakarta, especially during the construction of Ambarukmo Palace in the northeast of the city. For a thirty‐year period, government‐owned sugar and arrack industries, requiring abundant fuel woods, had accelerated the deforestation in most part of Java, including the hilly area of southeast Yogyakarta.

Picture 3.2 Terraces in the dry field of Gunung Kidul

Photo by Nurhadi

C h a p t e r 3 | 88

Colonial reports show that forests around settlement areas in 1841 began to be cleared, leaving numerous spots of savannah dominated by alang‐alang (Imperata cylindrica) grasses due to peasants’ habit of burning bushes around their houses in their attempt to keep away wild animals, particularly the Javanese tiger (Panthera tigris sondaica javanica) and leopard (Panthera pardus). Approaching the end of nineteenth century, the forest area almost completely disappeared, leaving rocky hills with only limited cultivable soil (Houben, 1994: 176). At the same period, many people migrated from more to less fertile areas to avoid heavy labour and tax obligation, creating new settlements and agricultural fields. It was recorded that the total population of Gunung Kidul increased from 16,000 in 1845 to 28,000 in 1867. The Wonosari zone turned out to be a densely populated area in 1906 (Nibbering, 1994: 20). Initially, agriculture was just concentrated on the alluvial plain, but it did not last long until the cultivation at slope areas took place. Relying much on rainwater, those fields were intensively cultivated, resulting in massive soil erosion.

Distributed in various spots across all sub sub‐districts in Gunung Kidul, this type of land use has been subject to various programs, carried out by the state and private institutions, aiming at improving land productivity and rehabilitating fertility degradation. An example is the Penghijauan (literally meaning “re‐ greening”), a government‐sponsored tree growing program that commenced in the early 1970’s. Teak (Tectona grandis), acacia (Acacia auriculiformis), sengon (Paraserianthes falcataria), cashew (Anacardium occicentale), and mahogany (Swietania mahagoni) were among tree species mainly used in that program. The farmers favoured teak, acacia, mahogany and sengon because of their high economic value in the timber market. A research carried out on that program in 13 districts of Gunung Kidul, Soerianegara and Mansuri (1994) concluded that apart from choice of tree species, the success of penghijauan program was influenced by the biophysical as well as economic factors. Situated mostly in hilly areas, particularly in the red‐brown clay depressions, farmers of Gunung Kidul have been since then practicing typical cultivation by terracing and manipulating the available water sources. The terracing by utilizing local stones aims mainly at

C h a p t e r 3 | 89 minimizing soil loss. Describing such agricultural system, Barbier (1990: 200) stated that food crops are planted on the horizontal surface combined with grasses on the lip, helping control erosion; and on slopes greater than 45 ‐ 50 per cent.

3.1.3.3. Non‐agricultural land

3.1.3.3.1. Settlement

Non‐agriculture land, in this regard, includes settlement, forest, and others (mostly uncultivable land and surface water). Included in the definition of settlement are house building and pekarangan, a local terminology referring to home garden. Located around the homestead and usually occupying a larger part of the settlement area, pekarangan is where Javanese families traditionally grow tree, annual crops, and cattle (chicken, lambs, and cows) as an integrative unit. Staple crops, vegetables, lemon grass, ginger, fruits and taro are among the common species found in pekarangan.

Figure 3. 4. Settlement and forest area of Bantul and Gunung Kidul (in ha)

30.000 29.074 25.419 25.000

20.000 16.268 13.717 15.000 Bantul Gunung Kidul 8.730 10.000

3.434 5.000 3142 819

0 Settlement Public Forest Smallholder Others Area Forest

Adapted by Nurhadi from BPS Bantul (2010) and BPS Gunung Kidul (2010)

C h a p t e r 3 | 90

The initial data on home garden in Java was published in the early nineteenth century. Accordingly, the total area of home garden or that era increased from 378,000 ha in 1903, to 1,417,000 ha in 1939, and finally to 1,612,000 ha in 1987. This increase was presumably due to the population growth, representing seventeen per cent of the total agricultural land. Another distinct feature of home gardens is that the harvested agriculture products are mostly consumed locally (Soemarwoto et.al, 1992: 96). The species succession, plant density and composition of home garden in Indonesia depends on the season, land fertility, altitude, labour availability, culture and tradition (see, for example, Karyono, 1981; Ahmad et al, 1981; Stoler, 1975; Penny and Singarimbun, 1973). In addition, pekarangan also serves as focus for social intercourse among neighbours and has an important aesthetic function (Soemarwoto, 1987: 161 ‐ 162). Conducting a research on the intercropping system of pekarangan and tegal system, Roshetko and Manurung (2009) concluded that 82 per cent of farmers in Gunung Kidul intercrop soybeans, corn, cassava, peanuts, and rice. Now that the demand for more housing increases because of the population growth, the area of pekarangan in Bantul gradually decreases.

3.1.3.3.2. Forest

According to its management unit, forest in the Yogyakarta region consists of public and smallholder forests. Consisting of three categories, e.g. production forest, conservation area and natural reserve, public forest is managed by the regional office of forestry. In other provinces of Java, it is PT Perhutani, a public timber company, who maintains the forest management. With a total area of 11,360 hectares, production forest is dominant in Gunung Kidul, leaving conservation (590 hectares) and natural reserve (617 hectares) at the second and the third position. Forest management in this region dates back to 1808 when East Indian Governor General William Daendels formed the Directorate of Forestry, the main duty of which was to manage forest in Java to prevent uncontrolled deforestation. In 1812, the colonial government claimed monopoly over all forest

C h a p t e r 3 | 91 areas in Yogyakarta, as a result of a pact signed by the British administration ruling the aforementioned governmental period and the Sultanate of Yogyakarta. The Adipati Danureja issued a new forestry law in 1848. An important point of this regulation was the legalization of logging in three forestry zones, i.e. Riskulon (including the current eastern part of Bantul district); Ristengah (including most part of Batur Agung Zone); and Riswetan (including most part of Gunung Sewu zone and some parts in adjacent to Central Java province). The prime minister was, under mandate of the Sultan, in charge of timber extraction of the entire area of 347 jungs (approximately 21,000 hectares), involving 5.473 labourers. Under poor supervision, this regulation turned out to be a new arena of corruption and timber smuggling involving local officials. Revising the previous regulation, the Sultan made a new decree in 1875, containing rule of logging and timber marketing, leaving the supervision under local officials whose loyalty and performance were questionable (Nibbering, 1992: 75‐80 as cited by Septariska and Ekaputri, 2001: 89 ‐ 100).

The forestry office of the colonial government eventually claimed its right over forest management to prevent the aggravation of the forest area in 1892. The regulation was in effect after June 18, 1889 when the government implemented another decree regulating supervision, reforestation, and logging. A more sophisticated measure of log transportation, measurement and land mapping was implemented in 1904, the main objective of which was to improve timber production and the utilization of fallow land. The final phase of forest management under Dutch colonial government took place between 1933 and 1942, when a new division of Gunung Kidul area was made in November 30, 1932. The period between 1942 and 1945 was marked by another phase of rampant timber exploitation carried out by another actor, Japanese military regime. After ten‐year period of struggle over national unity, the government enhanced reforestation, a measure aiming at solving the problem of land degradation, in 1955. New forestry offices were established in all districts.

The nationalization of the colonial timber company took place at the same period. Thirty‐year period of political stabilization under Suharto administration did not

C h a p t e r 3 | 92 prevent the forest of eastern Yogyakarta region from further aggravation. Illegal logging and corruption involving local forest officials and rural inhabitants was rampant.

Picture 3.3. Eucalyptus plantation in public forest area

Photo by Nurhadi

Data of the year of 2001 showed that of the total 2,501 illegal logging cases in Yogyakarta province, 2,303 took place in Gunung Kidul district. The total loss suffered was 270.3 million Rupiahs (Suharman, 2003 as cited by Nugroho, 2004). Most part of teak and mahogany forest area in Gunung Kidul and Bantul has been converted to eucalyptus plantation, a species much less‐prone to illegal pruning and logging, since the early 1980’s. Nowadays, only ten per cent of the forest area is covered by forest canopy (Nugroho, 2004). Despite the decrease of forest canopy in the public forest area, inhabitants living in the hilly part of eastern Yogyakarta have been working to rehabilitate critical lands, conserve soils, and reforest fallow lands around their settlements. The current data even shows that the total area of smallholder forest both in Bantul and Gunung Kidul is larger than that of public forest. The district forestry office reported that the annual timber product of Gunung Kidul ranges between 65,000 m3 and 98,000 m3, while this figure ranges

C h a p t e r 3 | 93 only between 2,500 m3 and 6,400m3 in Bantul. The dominance of community forest has been undergoing since the year of 1996, when many parts of critical land owned by the Sultanate and the state have been converted to community forest. Forestry office of Yogyakarta and the Gunung Kidul district administration have been initiating Hutan Kemasyakatan (community forest) and Hutan Desa (village forest) projects since 1996. These projects aimed at recovering the environmental degradation, enhancing the livelihood sustainability of the local farmers, and eventually preventing the public forest from illegal logging. Under the umbrella of a community forest project, 35 local farmer associations in Panggang, Paliyan, Playen, Nglipar and Semanu districts have been receiving 1,187.45 hectares of forest area for 25 years from the Office of Forestry.

Picture 3. 4 Cassava‐peanut‐tree variant of agroforestry in Gunung Kidul

Photo by Nurhadi

In addition to taking benefits from the timber and non‐timber products, these farmer associations are subject to obligations such as installing the forest resource tax, submitting forest business plans, establishing fix boundaries of timber cultivation areas, preventing forest fire, protecting naturally grown trees and submitting regular reports to the Forestry office. Meanwhile 327.73 hectares of

C h a p t e r 3 | 94 public forest area are about to be reforested by a village forest project. Working together with local NGOs, both projects are mainly concentrated on lands adjacent to the settlement area. The Office of Forestry of Gunung Kidul published different data stating that the total area of smallholder forest in this district has been since 2007 reaching 28,349 hectares (Bappeda, 2010).

3. 1. 4. Landownership and tenure system

Traditionally, the landownership in rural Java includes narawita (communal land the ownership of which are transferable), narawitagilir (rotating ownership), bengkok (communal land whose ownership of which are non‐transferable), and yasan (private land) (Billah, 2008: 307, quoting Koentjaraningrat, 1967). Bengkok includes as much as 20 per cent of the best land in the rural area (Alexander (1982: 604). Nowadays, only two categories are left: bengkok and yasan. The holding of yasan land might come from two sources. The first one is the heritage of farmers who cleared the unoccupied land, being held by the heirs, and finally received formal recognition as private land. The second one, yasan can also be obtained from lands used to be called as gogolan, a communal land the ownership of which is rotated among community members. These lands were neither transferrable nor saleable, but the ownership statues turned to be private property due to the legalization of an Agrarian Law in 1960. Bengkok is village‐owned land. In the Yogyakarta case, land belonging to the village consists of lungguh and tanah kas desa. Lungguh is held by village officers in lieu of salary. The holder is required to give it back to the village when his office term ends. Depending on the position in the village bureaucracy, a village officer receives between 3.5 ha and 5 ha of land. Unable to cultivate with labours at his disposals, such land is usually leased to villagers or private companies. Two public sugar companies operating in the Kasihan sub‐district and the Klaten of Central Java, for example, make annual contract with village officers the cultivation of sugarcane located in numerous villages.

C h a p t e r 3 | 95

Picture 3.5. Sugarcane field in Bantul

Photo by Nurhadi

This tenancy system is also the case with the tanah kas desa and the private land. As a norm, the income incurred from the tenancy of tanah kas desa is utilised to finance the village bureaucracy and improve the village’s basic infrastructure. In many cases, tanah kas desa located nearby main roads are leased to private companies or individuals for longer than 10‐year period. Another leasing pattern is that village governments build permanent buildings consisting of several kiosks of approximately 50 m2. Local entrepreneurs, typically those who run businesses in the service sector, take this opportunity by renting a plot for a certain period. Land leasing is one of the most profitable businesses performed by many village governments in the Bantul district.

C h a p t e r 3 | 96

Picture 3.6. Livestock shelters in Bantul

Photo by Nurhadi

Villages also lease their infertile lands to local farmer associations for animal husbandry. Most livestock stalls used to be located in the home garden. Because of the shifting perception of healthy housing and aesthetics, partly driven by intensive extension programs commenced by the district office of health affairs, villagers decided to move their stalls off the settlement areas. Organizing approximately 30 members, the association runs programs aiming at improving the business of animal husbandry at farmer level. The program includes extension on livestock health, fodder nutrition enrichment, cattle immunization, insemination, and market access. The association divides the land into several plots allocated for the building of semi‐permanent livestock stalls. Each member is required to pay an annual tribute to the village government (between IDR 50.000 and IDR 75.000, depending on the mutual agreement between the village government and the farmer association).

C h a p t e r 3 | 97

3. 2. Population

3.2.1. Composition

According to the age group, population is divided into three categories: the youth (aged between 0 and 14); productive age (between 15 and 64); and elderly (aged above 65). A population is considered as young when the number of young people at least 40 per cent, while the elderly is at most 5 per cent, of the total population. If the young age group is 30 per cent at most and the elderly is at least 10 per cent, this population is considered to be old. Referring to that category, the population of Indonesia is put into young category, under condition of which the growth of productive age exceeds the population growth itself. Population data published by National Planning Agency (BAPPENAS) (Bappenas, 2010) showed that the growth of productive age was 2.7 per cent annually between the period of 1990 and 1995; 2.4 per cent between 1995 and 2000; and 1.1 per cent between 2015 and 2020. The data also showed that the members of productive group have been increasing from 73.9 million in 1990, to 96.5 million in 2000, and finally 144.7 million in 2020.

Of the total 3,452,390 population of the Yogyakarta province, 910,572 live in the Bantul district. The number of woman population (456,591) is slightly higher than the males (453,981) (BPS Bantul, 2011). There are 250,819 families in this district, meaning that each family is roughly composed of three members. A wide gap in population number is found between most populous sub‐districts and the least ones. Banguntapan, for example, is the most populous sub‐district with the total population of 120,123. This figure is even higher than the sum of the population of the four districts, i.e. Srandakan (28,582), Sanden (29,636), Kretek (29,135) and Pajangan (32,810) (BPS Bantul, 2010). The more square‐like structure of the pyramid shown by the figure 3.5 of page 98 indicates that the population of Bantul has been undergoing a gradual demographic transition from a rapid growth to a slow one. The lump between ages of 40‐44 is the result of a “baby boom” occurring between the period of 1970’s and 1980’s. “Panca Karya Keluarga Berencana”,

C h a p t e r 3 | 98 literally meaning Five Actions on Family Planning – a government‐sponsored family planning program carried out in a period between the early 1980’s and late 1990’s has been quite successful in birth control, lowering mortality rate, and heightening life expectancy.

The program included : (1) women aged under 30 were suggested to get married after the age of 20 and not to have more than two children; (2) women aged over 30 having more than two children were suggested not to have any more children; (3) teenagers were suggested to postpone their marital ages; (4) the usage of contraceptive methods; and (5) the active role of communities in looking after the elderly to anticipate the decrease of children number resulted in the usage of contraceptive methods (Samosir, 1992, as cited by Sudarsono, 2000: 39). The data published in 2010 showed that the life expectancy of the Bantul district was 74.54 (Bappeda Bantul, 2011). The dependency ratio of this district is 68.52. This figure is higher than the ratio at provincial level (45.93).

Figure 3. 5. Population pyramid of Bantul

75+ 70‐74 65‐69 60‐64 55‐59 50‐54 45‐49 40‐44 45‐39 30‐34 25‐29 20‐24 15‐19 10‐14 5‐9 0‐4

50000 40000 30000 20000 10000 0 10000 20000 30000 40000 50000

Source: BPS Bantul (2010)

C h a p t e r 3 | 99

The population number of Gunung Kidul is 726,622, being composed of 334,519 males and 353,626 females. The sex ratio is 94.60. The population pyramid shown at the figure 3.6 indicates that: (1) the population in Gunung Kidul has been growing relatively slow (0.19 per cent), lower than the national level (1.49 per cent) as well as the provincial level (0.72 per cent); and (2) the population of this district is put into an intermediate category, marked by the lower number of younger people compared to the older one. On the one hand, the productive age group tends to decrease in number, from 437,015 in 2005 to 432,155 in 2009, while the older age group (60 and over) on the other hands, tends to increase, from 87,059 in 2005 to 100,469 in 2009. The dependency ratio increased from 55.96 in 2005 to 59.24 in 2009.

Figure 3 .6. Population pyramid of Gunung Kidul

75 + 70 ‐ 74 65 ‐ 69 60 ‐ 64 55 ‐ 59 50 ‐ 54 45 ‐ 49 40 ‐ 44 35 ‐ 39 30 ‐ 34 25 ‐ 29 20 ‐ 24 15 ‐ 19 10 ‐ 14 5 ‐ 9 0 ‐ 4

40000 30000 20000 10000 0 10000 20000 30000 40000

Source: BPS (2011)

This figure is lower than the ratio at national level (48) (World Bank, 201. Due to the limited employment and business opportunities in Gunung Kidul, many people migrate either permanently or temporarily to more urbanized regions. As they

C h a p t e r 3 | 100 grow older and their labour productivity decreases, most of them return to spend the retirement period in the village where they grew up. The data shown above is taken from the official sources, relying solely on official records made by civil district administration office. People who migrate temporarily seldom report their status officially, implying that they are not fully represented in the figure 3.7 of page 96.

3.2.2 Growth

A striking difference can be found when one compares the population growth of Bantul and Gunung Kidul. Between the period of 1961 and 1981, a similar trend occurred in both district. In the later period, between 1981 and 2009, an increasing trend is obvious in the former, while in the latter, a quite steady growth is remarkable.

Figure 3 .7. The population growth of Bantul and Gunung Kidul

876.172 776.624 688.429 670.433 688.145 550.924 700.150

499.163 Gunung Kidul Bantul

1961 1971 1981 1989 2000 2002 2009

Adapted by Nurhadi from BPS Gunung Kidul (1983, 2004, 2010) and BPS Bantul (1985, 2005, 2010)

Official data shows that the growth rate of Bantul has been declining from 1.48 in 2006 to 1.41 in 2009 (BPS, 2011). Depopulation took place in Bantul, particularly

C h a p t e r 3 | 101 at several sub‐districts, i.e. Bambanglipuro, Srandakan, Pundong, Imogiri, and Dlingo during the decade of 1990’s. Rijanta and Prakosa (1999) saw four factors that drive this process: (1) the level of vulnerability to flood and water scarcity hazards; (2) the relatively high education level; (3) the difficulty of access to the urban area; and (4) the high out‐migration rate brought about the least opportunity of urban‐rural circular migration. It was argued that households in the most depopulated villages had lower birth and death rates, but higher migration rates.

In the last eighty years, population in Gunung Kidul has been increasing from 333,288 in 1930 to 688,145 in 2009. A rapid growth occurred in the first 40 year period (between 1930 and 1970), when the total population doubled to than 600 thousand people. It was the period when most of the district was isolated from other regions due to the lack of infrastructure. A striking figure is the declining trend in population growth, when the total population decreased from 700,286 in the year of 1985 to 674,856 in 2002. These occur due to extensive out‐migration, escaping the hard times and stresses caused by environmental conditions. The long and stressful seasonal droughts during that period accompanied with a perception of relatively more employment opportunities in urban areas as a result of accelerating development programs of the Suharto administration pushed the villagers to migrate. The three highest migration number recorded in the last thirty years were in 1984, in which 13,546 individuals migrated, followed by the year of 1971 with 9,395 individuals and that of 1979 with 9,198 individuals (BPS Gunung Kidul, 1985).

3.2.3 Density

Another striking difference can be found in the data of population density of both districts. The average population density of Bantul district is 1.797 against 463/km2 of Gunung Kidul.

C h a p t e r 3 | 102

Map 3. 3. Population density of Bantul and Gunung Kidul (per km2)

C h a p t e r 3 | 103

The three most densely populated sub‐districts in Bantul are Sewon, Kasihan and Banguntapan. Located in adjacent to the Yogyakarta town, these sub‐districts have been new loci of urban agglomeration since the last four decades. Extensive development of housing, higher education complexes, and the service sector are key factors accelerating the population density. Easier access to the urban environment, and a promising land market have been two major reasons for migration and for the shifting of business activities to the urban fringes. Other sub‐ districts situated relatively far from the urban area tend to be less populated. Two sub‐districts whose population is among the lowest (Dlingo and Pajangan) are located in the hilly area with less possibility for agriculture use. The population density at the hamlet level varies, due to the following reasons: First of all, the low number of emigration occurs as a result of the belief that living nearby the extended family enables the functioning of a fall‐back mechanism and social security. The second factor is the preference for the endogamy. Neighbours and extended relatives are preferred as marital partners due to the common belief that such a marital system minimizes divorce risk. Divorce is believed to be “embarrassing and showing inability to manage a healthy relationship”. Secondly, as the land is so expensive that only a few people with enormous income can afford it, many families decided to build their houses near the “core house”, after the decision on the division of heritage is decided by their parents.

With a population density of 463/km², Gunung Kidul is the least densely populated district in Yogyakarta province. Despite, the three times higher population density than that of Indonesia (143/km2), this figure is lower than the average density on Java Island (940/km2) and in the Yogyakarta province (1103/km2). Between the period of 1960 and 1985, the average population number of each sub district increased from 42,379 in to 53,898. At the village level, it increased from 3,826 in 1960 to 4,683 in 1985. Nowadays, the gap of population density is quite wide in each sub district (BPS Gunung Kidul, 2010). Another significant factor was the relative success of the transmigration program. The Office of Transmigration of Gunung Kidul district reported that 16,725 individuals (3.844 families) had migrated to outer islands, mostly Sumatra, Borneo, Sulawesi and Papua, between

C h a p t e r 3 | 104 the period of 1950 and 1969. This figure increased to 9,724 families between the period of 1969 and 1986 (BPS Gunung Kidul, 1980, 1990, 2010). Extensive campaigns promoting the so‐called “land of hope” of the outer islands along with the figuring out of the poor, soilless, and drought‐prone images of the home villages have encouraged many people to take part in that program. Between the period of 1969 and 1986

3. 2. 4. Employment

The National Survey of Labour Force (Survei Angkatan Kerja Nasional – SAKERNAS) divides unemployment into two categories: open unemployment and underemployment. Open unemployment is defined as a situation in which productive age individuals are currently unemployed (Bappenas, 2010). Those that are working less than 35 hours per week are considered as underemployed. The underemployment rate is measured by comparing the number of population working less than 35 hours per week to the total working‐age group. The unemployment rate is calculated by dividing the number of unemployed people in the working age by the total number of people in working age. Data shows that eight per cent of the total labour force in Bantul is unemployed, lower than the rate of national level (15.3 per cent), provincial level (13.55), and the rural area of Yogyakarta (8.88 per cent) (BPS Gunung Kidul, 2010; BPS Bantul).

Underemployment rate of Gunung Kidul has been decreasing significantly from 45.04 per cent in 2005 to 21.22 per cent in 2009. Forty six per cent of the total employed people in this district are domestic and unpaid workers. It is quite common, especially among women, that one stops working because of marriage. Once a woman gets married, it is her husband who takes responsibility for generating income as the wives are preoccupied with domestic activities. Higher level of education also has a considerable influence on the change of employment status. As new upper primary and secondary schools have been established in all sub‐districts and many parts of this district have been de‐isolated by better road and bridge infrastructures, many families prefer to give their children higher level

C h a p t e r 3 | 105 of education, expecting for better jobs and incomes, instead of starting to work in earlier age. Of the overall employed population, 29.06 per cent are unpaid workers; 39.10 per cent impermanent employees; the permanent employees are 24.21 per cent; and 6.48 of them are self‐employed. Another category is individuals who own enterprises employing paid employees. The percentage of people who fall into this category is 1.15 per cent (Manpower District Office of Gunung Kidul, 2010). The domestic workers, mostly women, due to their lower education and less‐skill, take domestic jobs for wealthier families doing housekeeping and childcare activities. The wage they receive is usually lower than the average wage of other sectors. The other category is people who work on their family farms or help the relatives and neighbours conduct on‐farm activities voluntarily to maintain good relations. By helping their neighbours, it is expected that they will receive comparable help from their fellow neighbours when they need it. The majority of the employed population (59.83 per cent) are unskilled labours who completed only their six‐year primary education. Only 4.57 per cent of them completed a higher education.

The prominence of the agricultural sector in employment is more remarkable in Gunung Kidul than Bantul. The increasing number of small and medium industries, modern markets, shopping centres, hotels, and restaurants in Bantul and peri‐ urban area of Yogyakarta open more employment options. To many, agriculture is considered as being incapable of sustaining livelihood and meeting the increasing family’s need. It is not a promising sector for most people in Bantul who have completed their secondary education. In Gunung Kidul, the contribution of the agricultural sector to the employment rate increased from 62.69 per cent in 2005 to 65.40 per cent in 2006, but then gradually decreased to 63.36 in 2008 and finally to 61.87 in 2009. A significant decrease is remarkable when this data is compared to the year 2002, when the contribution of this sector reached 76 per cent (BPS Gunung Kidul, 2010). The prominence of agriculture in the employment rate can be misleading. Agriculture in typical rain‐fed fields such as in Gunung Kidul requires less labour and consumes less time compared to intensive agriculture in irrigated field. The thin soil, minimum water absorption and the lack

C h a p t e r 3 | 106 of fertility leave only 4 effective months for seasonal crops to grow. It is a seasonal activity requiring more labours only in land preparing and harvesting phases. The soils are left uncultivated in the rest 8 months. The trend of the higher mobility among different sectors in Gunung Kidul is influenced by the employee qualities and seasonal factors.

Figure 3. 8. Employment in Bantul and Gunung Kidul (in per cent)

70 61,87 60

50

40 Gunung Kidul 25,56 30 18,95 17,44 21,16 16,89 Bantul 20 12,3 10,06 12,39 10 3,38

0 Agriculture Industry Trade Hotel Service Sector Others and Restaurant

Source: BPS Bantul, 2011; BPS Gunung Kidul, 2010

This is especially the case for the poorly‐skilled individuals working mainly as contractual labours in the agricultural sector. Depending on the seasonal calendar, this type of labour typically changes their occupation from on‐ and in‐farm activities to off‐farm, and vice versa. In the dry season, they seek to earn money from off‐farm activities because of the few income options available on the fields in their vicinities. Most of them decide to migrate seasonally to the relatively urbanized areas nearby and to make the living from the informal sector. This situation is similar to the mass migration of the population living in rain‐fed regions of India, in which the prevalent production system and poor natural resources result in low yields and poor economic returns (Ramachandran, 2010: 124).

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3.3. Human Development

3. 3. 1. Education

Presidential Act No 7 / 2005 on Middle‐Term National Development Plan 2004 – 2009, chapter 17 on the Enhancement of People’s Access to the High Quality Education identified four challenges faced by the implementation of education development program. First of all, at the national level, the average of schooling attainment of the population over 15 years old was only 7.1 per years. Only 36.2 of the population above 10 years have completed the nine‐year primary education. The literacy rate of the population above 15 years old is 10.12 per cent. Forty nine per cent of population between 16 and 18 years are not schooled, either due they had never been schooled, or quitting from school, or not continuing to the higher level of education (SUSENAS, 2003. Secondly, SUSENAS Box 3.1 Law No 20/ 2003 on National Education System (2003) shows that it was the There are three levels of formal education: primary education, secondary education and higher education (Chapter VI, article 14) economic factor that became Primary education consists of Sekolah Dasar (SD ‐ primary school), the main reason for the Madrasah Ibtidaiyah (MI ‐ Islamic primary school), Sekolah decision to quit from school, Menengah Pertama (SMP ‐ upper primary school) and Madrasah Tsanawiyah (MTs ‐ Islamic upper primary school) (article 17, point either because of the lack of 2). SMP and MTs are so‐called Sekolah Lanjutan Tingkat Pertama financial means or the (SLTP). necessity to work. It leaves a Secondary Education consists of Sekolah Menengah Atas (SMA ‐ secondary school), Madrasah Aliyah (MA)(Islamic secondary wide gap of school school), Sekolah Menengah Kejuruan (SMK)(vocational school), dan participation rate between Madrasah Aliyah Kejuruan (MAK ‐ Islamic vocational school)(article 18, point 3. (SMA, SMK and MA are so‐called Sekolah Lanjutan the rich and the poor, and Tingkat Atas (SLTA) between urban and the rural Higher Education consist of academy, polytechnic, higher school, and university (article 20, point 1). areas. Source: Department of Law and Human Rights of Republic Indonesia When comparing Compared (2009) rural with and urban areas, the school participation rate among the rural population of the age between 13 and 15 years is lower (75.6 per cent) than that of urban (89.3 per cent). The gap is also found among the age group between 16 and 18 years old, in which the school

C h a p t e r 3 | 108 participation rate of the urban area is much higher than that of the rural area (66.7 against 38.9 per cent). Poor people find education too expensive and do not consider it as advantageous investment.

Table 3. 2. Education in Bantul and Gunung Kidul (as of 2009)

Bantul Gunung Kidul Classroom‐Pupil Ratio Primary School 24 17 Upper Primary School 31 27 Secondary School 13 28

Teacher‐Pupil Ratio Primary School 15 11 Upper Primary School 11 11 Secondary School 13 7

School Participation Rate (%) Primary School 92.12 98.62 Upper Primary School 73.94 73.48 Secondary School 59.98 48.94

Literacy Rate (%) 99.6 84.52

Source: Education Office of Gunung Kidul (2009, as quoted by Bappeda Gunung Kidul, 2010); Pemkab Bantul (2010)

Thirdly, the quality of education infrastructure and facilities are poor (especially among upper primary and secondary schools). It was reported that 57.2 per cent of SD/MI buildings and 27.3 per cent of SMP/MTs buildings were seriously damaged in the year of 2004. Fourth, the budget allocation for the education against the public expenditure is quite low. Human Development Report 2004 stated that during the period of 1999 and 2001 Indonesia only allocated 1.3 per cent of its GDP, lower than the neighbouring countries such as Malaysia (7.9 per cent), the Thailand (5.0) and the Philippine (3.2 per cent), for education. The Office of Education, Youth and Sport Affairs is mainly responsible for addressing education matter in Gunung Kidul. When Suharto administration began the development program, this district had only 343 SDs, 58 SLTPs and 20 SLTAs, mostly private‐owned. After forty years has elapsed, now there are 561 SDs, 164

C h a p t e r 3 | 109

SLTPs, and 77 SLTAs. One of the main problems in education is the disparity of access and facility among different sub‐district. As a capital sub district, Wonosari has better access to education facilities, because of the higher number of schools, the close distance between schools and settlements and the reliable road as well as transportation infrastructures. Other indicators deserve particular attention: (1) pupil‐classroom ratio, indicating the comparison between the enrolled pupils at certain educational level and the available class rooms; (2) teacher‐pupil ratio; (3) the level of school participation: (4) literacy rate; and (5) average schooling period.

3. 3. 2. Health

The national development of the health sector aims at achieving four main objectives: (1) the increase of life expectancy rate from 66.2 to 70.6 years; (2) the decrease of infant mortality rate from 35 to 26 per 1,000 births; (3) the decrease of maternal mortality rate from 307 to 226 per 100,000 live births; and (4) the decrease of children malnutrition prevalence from 25.8 to 20.0 per cent. At the national level, referring to Survei Demografi dan Kesehatan Indonesia (Survey of Demography and Health in Indonesia – abbreviated as SDKI), the infant mortality rate decreased from 46 in 1997 to 35 in 2003; and the life expectancy increased from 65.8 in 1999 to 66.2 in 2003. Overall Indonesia, there are 1.179 hospitals (598 public and 581 private), with 127,217 beds, meaning that out for 100,000 people only 61 beds are available. This insufficient infrastructure is also the case with public health centres (Puskesmas) whose ratio against 100,000 populations is only 4. Hygienic water is only accessed by 50 per cent of the total household number in 2002. The infant mortality rate among the poorest population group is 61 against 17 among the richest group. Health insurance is accessed only by 18.74 per cent of the total population (Bappenas, 2009).

The development of the health sector is challenged by the sharp disparity of access to reliable health services, between the poor and the rich as well as between the developing and developed regions. The SDKI data shows that the main constrain

C h a p t e r 3 | 110 for health access is the service cost, the distance to the health service infrastructure, and transportation. Most people inhabiting relatively remote areas of Gunung Kidul face difficulties to access the available health service centres, not because of the cost of health service, but due to the fact that they have to pay quite high transport costs. Under supervision of the department of national health, provincial and district governments have been addressing five main problems of their regions: life expectancy, infant mortality rates, morbidity, malnutrition prevalence, and health infrastructures. Another important problem to address is sanitation. Most people in Bantul consume ground water, potentially polluted by household and industrial waste materials.

Figure 3. 9. Health figure in Bantul and Gunung Kidul

385

190 Bantul Gunung Kidul 70,95

28 70,88 27 30 12 9 3

Infant mortality Life expectancy Number of Public Number of Public Number of rate (per 1000 Hospital healthcare clinic Physician life birth)

Adapted by Nurhadi from BPS Gunung Kidul (2009 as cited by Bappeda Gunung Kidul, 2009); Bappeda Bantul (2010)

One the other hand, in Gunung Kidul, most people consume water from various small basins and underground sources which are also potentially polluted as the karst aquifers are considered as highly vulnerable to contaminants. The latest data published by SUSENAS in 2004 mentioned that only 21.72 per cent population of Gunung Kidul consume water from the plumber system, while others depend on rainwater, wells, and other surface water whose quality is relatively uncontrolled.

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Several measures have been implemented to address the health quality problem of Bantul and Gunung Kidul. The development of public health clinics (Puskesmas) – and branch clinics (Puskemas Pembantu) in every sub‐district has been the main priority since the last three decades. These clinics provide basic health care services, except for degenerative illness, at affordable price and reasonable distance from the settlement. This measure is complemented by the improvement of services and facilities of public hospital. Both district governments have also been encouraging newly graduated medical doctors to practice in sub‐districts with least access to the medical service. The district government has also allocated nine per cent of the public expenditure for the development of the health sector. Another measure is health insurance for the poor. The total population covered by public insurance in Bantul in 2010 was 298,049 against 368,456 in Gunung Kidul. Referring to the data shown at table 3.3, it is known that the life expectancy of both districts has been slightly exceeding the one targeted at the national level. Gunung Kidul district has not yet met the target of infant mortality rate at national level. A wide gap in the number of medical doctors between Bantul and Gunung Kidul is mainly due to three factors: population density, spatial distribution of population, and infrastructure (especially transport). There is a tendency that physicians prefer to open their clinics in areas easily accessed by patients.

3. 4. Economy and Poverty Alleviation

Agriculture, industry, service, and trade are main contributors to the local economy of Bantul and Gunung Kidul. Other sectors, particularly in Bantul, are mining, electricity, water, transport, telecommunication, construction, finance, and leasing (BPS Bantul, 2010). No specific data is available on the sector of “others” in Gunung Kidul. Agriculture in Bantul is mainly supported by the large area of agricultural fields which comprises almost sixty per cent of the district area and by the availability of abundant water for irrigation. Income generating activities carried out by farmers encompass food crops cultivation, horticulture, estate cultivation, forestry, animal husbandry, and fishery. Of the total 1.8 billion IDR

C h a p t e r 3 | 112 investments in Bantul, 50 per cent of them are state’s investment (Bappeda Bantul, 2010). Water, infrastructure, electricity, and trade centre are main businesses performed by state‐owned companies. Contributing 11.5 per cent of the local economy, construction is among the most important sub sectors in Bantul district. It has been absorbing abundant labour from rural areas because skill is not an important prerequisite to work at the construction, especially for mason assistant positions.

Figure 3. 10. Sectors contributing to the economy of Bantul and Gunung Kidul (in per cent)

35,82

24,32 26,55

19,49 23,18

16,16 15,87 16,95 Bantul 13,21 9,18 Gunung Kidul

Agriculture Industry Trade Hotel Services Others and Restaurant

Adapted by Nurhadi from BPS Bantul (2010) and BPS Gunung Kidul (2010)

The city agglomeration and rapid expansion of housing and business complexes as well as infrastructure development of this district have attracted more investments in those sectors. Data published by the local authority confirms the prominence of agriculture sector in Gunung Kidul. This situation is not the case in Bantul where agriculture only contributed to less than 25 per cent of the local economy. At the national level, Booth (2000: 89, as cited by Breman and Wiradi, 2002: 7) argued that the agricultural sector has been relegated to a secondary role, replaced by the manufacture and service sector, since 1987. Industry, trade, and service sectors have been since the last twenty years gradually taking more economical niche. The Per capita income of Bantul district is 9.55 million IDR,

C h a p t e r 3 | 113 slightly higher than Gunung Kidul (8.7 million IDR) (Bappeda Bantul, 2010 and Bappeda Gunung Kidul, 2010). In the last five years, economic growth of both districts has been fluctuating between 2.02 per cent and 5 per cent per year. The slowest growth occurred in 2007, a year after the earthquake disaster that had hit the southern part of Yogyakarta, affecting most part of Bantul. It was the period when the post‐disaster rehabilitation and the reconstruction program were launched. Much resources, labour, and capital were mobilized to accelerate the recovery of the local economy and livelihoods. It posed much difficulty to all economic sectors, except construction.

Although the poverty paradigm has shifted from an “income‐based” to a “right‐ based” one, marked by the publication of the national strategy of poverty reduction in 2005, the government of Indonesia retains the former as a basis for the poverty alleviation policy. The department of finance determines the poverty line and revises it annually, depending mainly on price inflation. The poverty line changes significantly from IDR 85,418 in 2000 to IDR 211,726 in 2010. In Gunung Kidul, poverty is mainly influenced by low soil fertility, minimum access to resources, less employment opportunity, the degradation of natural resource and environment, incapability of social institution, and the fluctuating commodity prices (Maarif Institute, 2006). Adopting this indicator, the office of regional planning of Gunung Kidul district publishes an annual figure of poor population. The percentage of poor population decreased significantly from 54.3 per cent in 2000 to 25.3 in 2004.

An interesting figure is that there are more poor families in sub districts of Wonosari basin (Playen, Karangmojo, Wonosari, Ponjong and Semanu), a zone with better infrastructure and relatively less impacted by seasonal droughts than sub districts located in the Batur Agung and Gunung Sewu zones. The total number of poor families in Playen sub‐district is 6,541, It is higher than that of Purwosari sub‐district (1,806) (BPS Gunung Kidul, 2010). To address this problem, the government implemented two populist programs: the distribution of cheap rice (so called beras miskin, literally means rice for the poor) and an unconditional direct cash transfer program (Bantuan Lansung Tunai, BLT) for the poor. Every poor family receives an amount of IDR 300,000 four times a year. However, these

C h a p t e r 3 | 114 programs have been criticized due to the inaccurate targeting and the failure to meet their objective of lifting the poor out of poverty (Hutagalung et al, 2009). The inaccurate targeting is mainly due to the arbitrary Box 3.2. Indicators of poor family indicator of poor (1)The house size; (2) The house floor materials; (3) The house household and the flawed wall materials; (4) Toilet facility; (5) The source of drinking procedure of household‐ water; (6) The source of house lighting; (7) The type cooking fuel; (8) The frequency of meat and milk purchase per week; (9) level survey. The indicator The daily meal consumption; (10) The number of clothes of poor family sanctioned purchasing; (11) Access to public health service; (12) by the office of statistic Employment; (13) Education attainment; (14) The assets ownership bureau tends to be disobeyed. In order to Source: BPS, 2010. determine the poor family, the lowest level of state bureaucracies along with several individuals representing their communities make lists of poor families in their hamlets, then submit them to the village government, by whom this data is then transferred to the bureaucracy of higher level. Based on the long list, the district government should verify the accuracy and reliability of those data. The verification process is barely conducted as the individuals responsible to this activity tend to avoid possible conflicts with the surveyors and surveyed households. However, this last step of operational procedure is Each beneficiary receives 12 kilograms monthly and pays lower than the market price. For example, the price of one kilogram beras miskin was 1,600 Rupiahs in 2009, while the lowest market price in the same year was 5,000 Rupiahs. This loosely‐ controlled procedure explains the difference between data on poor families published by BPS and the number of families receiving beras miskin. Pemda Gunung Kidul reported that the total beras miskin distributed in 2007 was 17,224,920 tons for 95,722 families in 2007; 17,224,920 tons for 95,685 families in 2008; and 14,621,760 tons for 81,232 families in 2009 (Pemkab Gunung Kidul, 2010).

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3. 5. Summary

Bantul and Gunung Kidul have been passing through different paths of development. Benefitted from soil fertility, strategic location, abundant water and better infrastructure, Bantul, on the one hand, has been shifting from rural to a more urban area. Growing population density, land conversion, and the growth of medium industry and service sectors are common features of this district. The role of agriculture in local economy has been gradually diminishing as the non‐ agriculture sectors develops, followed by the waning belief of rural inhabitants in the capability of agriculture to meet their inflating daily needs. On the other hand, environmental conditions pose major challenges to the development in Gunung Kidul. Low soil fertility, minimum access to resources, less employment opportunity, and the degradation of natural resource, among others have become main characteristics of this district for quite a while. Another distinct characteristic of Gunung Kidul is the relatively steady growth of population.

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4. The Trajectory of Vulnerability

“Bukan lautan hanya kolam susu Air dan jala cukup menghidupimu Tiada topan tiada badai kau temui Ikan dan udang menghampiri dirimu Orang bilang tanah kita tanah surga Tongkat kayu dan batu jadi tanaman ….”

(It is not a milk ocean, a milk pond instead Water and fishing nets are enough to sustain your lives Neither typhoon nor storm exist Fishes and shrimps come to you Some say that our land is the land of paradise Wooden sticks and stones turn out to be crop …)

(Kolam Susu, a pop song by Koes Plus)

This chapter is the result of extensive studies of secondary sources, i.e. books, articles, reports, newspapers, and other publications that are relevant to the description of social, political, economic, environmental, and cultural dynamics throughout the history of Yogyakarta and Indonesia. Consisting of five parts, each of them is grouped into certain specific era. The first part concerns pre‐colonial era. Marked by the establishment, the movement, and the reestablishment of the Mataram state, the political situation of Yogyakarta region of that era was unstable due to numerous internal strives and civil wars. Several mass migrations, mostly induced by force, of the local peasants to other parts of the island Java occurred. The colonial era makes up the second part. The pattern of political conflict of this era is different from the former era due to the presence of the third party, namely the European colonial power. Market economy gradually replaced the traditional subsistence‐based system, creating more dependence of the rural area to the

C h a p t e r 4 | 119 market dynamics both at regional and international levels. The third part is the era of transition to independence, marked by chaotic situations, as numerous ideological‐based conflicts occurred. Economic development was virtually neglected as political affairs were occupying big portions of the daily life of rural inhabitants. The authoritarian era of Suharto administration which makes up the fourth part of this discussion is an era of political stability and economic development. The last part is the democratic era, marked by the functioning of the democratic system, regional autonomy, and a relatively transparent decision making process. The region suffered from numerous crises brought about by natural hazards, i.e. earthquake, volcanic eruption, and El‐Nino, and that of man‐ made, i.e. famine, warfare, and diseases two centuries ago. In the pre‐colonial and colonial era, mass migration to other areas was a common option taken in time of crisis, providing that quite large areas of Java were uninhabited and that local states’ control of their areas were relatively loose. Given the high population density and the acknowledgement of private landownership, mass migration to other parts of the island was almost impossible, leaving only two possible options: migration to other islands or staying in their own region while simultaneously developing mechanisms to reduce the disaster risk. It is political and economic factors that predominantly influence the creation and the extension of vulnerability of rural inhabitants.

4. 1. Pre‐Colonial Era (9th – 17th Century)

Java has been undergoing social, cultural, political, and economic transformations since the pre‐colonial era. Archaeological data, despite their limitedness, suggested that this island, thanks to the connection of the Southeast Asian trade network to the Old World trade system connecting south China and the eastern coast of India, has been in intensive contact with the external world since 500 B.C. (Christie, 1998). Remarkable changes began in the fifth century when the island was undergoing a process termed “Indianization” ‐ the diffusion of ideas, political system, and culture from the south Asian subcontinent to other parts of Asia. Several Hindu‐Buddhist states were built and established in West and Central Java

C h a p t e r 4 | 120 following the growth of trade routes connecting the coastal areas and interior parts of the island. In Central Java, a Hindu state called Mataram was established in the eighth century.

Two dynasties, i.e. Sanjaya who embraced Siva‐Hindu religion and the Syailendra who was the devotee of Mahayana sect of Budhism, conquered each other in their efforts to claim hegemony over this fertile realm between the period of 732 and 900 A.D (Christie, 1991; Newhall et.al, 2000). Temple complexes and religious sites built during that period are widespread in a large area stretching as far as 35 kilometres along the Opak river system, from the area of present‐day Cangkringan sub‐district of Sleman to the present‐day Piyungan sub‐district of Bantul. The largest complex deemed to be the main centre of the state was located in Prambanan, present‐day part of Sleman district. Situated around the Opak river system, Prambanan was considered as ideal place for the state centre because of the availability of large‐sized volcanic stones used as building materials for temples, monuments, and sacred sites. The establishment of the state capital required appreciable lands for the development of temple complexes, agriculture, and settlements, resulting in the clearing of large areas of primary forest in the lowland area, particularly along the Opak riverbank and hilly areas of the eastern region of Yogyakarta (Enryd, 1998:7). The persistence of the Opak river system had maintained the surface water availability for the irrigation of agriculture areas.

Society was organized according to a caste‐based stratification. Being at the top of society pyramid, the king was the source of authority. His position was endorsed by state officials, being composed of nobles and religious elites, who were positioned at the second stratum of societal hierarchy under the saints. Possessing full citizenship, they, their families, and their offspring enjoyed numerous political, social, and economic privileges. They took active part in decision making processes at the state and community levels, being promoted as state officials, being entitled to landholding rights, and widely open access to commodity markets.

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Figure 4.1. Trajectory of Vulnerability

Colonial Era Authoritarian Era

•A more participatory •War of independence policy making; that caused major transparency in •Feudal Political System disruptions and socio‐ governance and public •Appanage system of •Feudal political system economic crisis in the •The persistenc e of spending; the land ownership; the endorsed by European rural area. authoritarian military strengthening of civil combination of colonial power regime caused the •Violent conflicts driven society. subsistence and absence of •The introduction of land by ideological difference •The recovery from the agricultural production participation, tax and a new agrarian and claims over land. economic crisis. that aimed at meeting law created mass transparency, and •The introduction of •The loosening of state's the domestic demand as landlessness in the rural control over state's private land ownership control over the rural well as the far eastern area. power. and the rapid growth of population. market. •The modernization of •The massive resource settlements diminished •Rapid growth of •Mass‐migration was an cultivation system exploitation by the the option of mass‐ permanent buildings in option mostly taken in aiming at rice self‐ means of cultuurstelsel migration in times of the rural area. times of disaster policy sufficiency. rural crisis/disaster. •Less reliance on the •Despite being limited, •Despite high economic agriculture sector. mass‐migration was a growth which was •The deprivation of rural possible option in times supported by industry area of crisis/disaster. and service sectors, there was a wide gap • Rampant land between the poor and conversion. the rich.

Pre‐Colonial Era Transition to an Democratic Era Independent State

Illustration by Nurhadi

C h a p t e r 4 | 122

Possessing almost all capitals necessary to sustain and improve their living conditions, those elites were capable of mobilizing people and improving military power to pursue their economic and political goals. To cultivate their lands, they employed people belonging to the lowest caste in the society. With only very limited access to the monetary system, those peasants resided nearby their cultivated lands, practiced crops sharing, maintained communal lives, and kept loyalties in a patron‐client relation to the landholders/masters. This landholding system, to various degrees, prevailed until the beginning of the twentieth century in Yogyakarta.

Having sustained for about two centuries, the state centre of Mataram was moved to eastern Java. The fast growing trade network connecting the hinterland of Java and the international market channelled through numerous ports at the north‐ eastern coast of the island are among the main reasons behind this relocation. In addition, this state had also been politically in big trouble due to internal conflicts involving royal family members. The Siwagrha inscription, for example, recorded a great battle between Rakai Pikatan, the reign of Mdang state, and his brother, Balaputra, in 824 A.D. Despite his effort to withstand the assault of Rakai Pikatan by building a fortress in Ratu Baka, a hill situated approximately one kilometre from the Prambanan temple complex, Balaputra suffered major defeat and fled to Sumatra where he eventually seized the throne of Sriwijaya kingdom (Poesponegoro, 2008: 88). The major crisis culminated when the King Wurawari of Sriwijaya, the descendant of Balaputra, attacked the state in the tenth century. Mentioned by the Pucangan inscription as pralaya (literally meaning the massacre), this incident forced all surviving royal family members of the Dharmawangsa Teguh king to leave the palace, seeking a new safe haven. Since then, some temple sites were occupied until 12th century when a major eruption of Merapi buried the Sambisari and the Kedulan temples (Newhall et.al, 2000). Catastrophic events of Merapi volcano had previously occurred between the period of 765 and 911 A.D, implying the disruption of many temples, agricultural fields, settlements, and the palace complex (Andreastuti, 2006; Newhall et.al, 2000). Most of the population migrated to other areas following their landlords,

C h a p t e r 4 | 123 leaving the region almost unpopulated with only few families safeguarding abandoned agricultural fields. The state itself was finally destroyed in 1031 A.D (van der Meulen, 1979: 32). A minister who survived the bloodbath, named Mpu Sindok, established a new state in the adjacent of Malang highland around the Brantas river system of eastern Java, marking the demise of Hindu‐Mataram reign and the birth of new power centres in the eastern part of Java. Several Hindu states, i.e. Daha, Jenggala, Kadiri, Singasari, and , sequentially established, developed, progressed, and

Numerous conflicts among reign’s descendants claiming for the throne and/or land concession took place frequently. The winner took all, seized the royal treasures, took the control over agricultural lands and ports, enslaved peasants from the conquered area, and shifted the state centre. The surviving looser retreated, built a new state, armed healthy males from his dominion, consolidated political and economic power through conquests of less‐powerful local chiefs, and finally took revenge when his military power had been sufficiently proliferated. Political instability was widespread. These conflicting political factions were finally reunited three centuries later (Christie, 1991: 27). A relatively peaceful era began as Majapahit reached the height of its power. Extending its realms by conquering neighbouring states and islands across the archipelago, this kingdom played a prominent role in Southeast Asia of that period. Chronicles written in the fourteenth century, the golden age under the reign of King Hayam Wuruk (1350 – 1389) and the legendary Prime Minister Gadjah Mada (d. 1364), articulated numerous diplomatic missions with the Chinese empire and other kingdoms in the Indian subcontinent and Southeast Asia (Poesponegoro, 2008; Noorduyn, 1978: 207).

An important aspect of the power centre shifting from central Java to eastern Java is the gradual transformation of Javanese political economy from an agrarian to a more maritime character between the period of 11th and 16th century. Establishing their state centres near the large river mouths, they acquired various advantages. Economically, as mentioned by previous sub‐chapter, the relatively easy access to main sea ports had accelerated the integration of those kingdoms to the

C h a p t e r 4 | 124 international trade network. Through this location alliances with external powers aiming at strengthening the economic capacity and the political power could be more easily established. Java turned to be more open to the international market, external political influence and cross‐cultural interaction. Nevertheless, political turmoil, violent separatist movements, the rise of Islamic power, the economic and military expansion of the Chinese empire, the rise of the Malaka emporium in the western part of the archipelago, and the failure to control seaports of Java in the early sixteenth century brought the Majapahit kingdom into dissolution (Ricklefs, 2008: 89; Noorduyn, 1978: 208).

A new state inspired by Islamic emerged in Demak, a town on the north‐ eastern coast of central Java. Established by a prince of the former Majapahit king, this sultanate extended its territory and political realm to the interior Java through a series of conquests and extensive missionary activities. Sacred sites left by former Hindu‐Mataram state four centuries before were gradually occupied and restored. Islamic teachings were blended into Hindu‐Buddhist rituals. State‐ sponsored religious syncretism was widespread. Between the 11th and 16th century, the previously Mataram’s state centre of Yogyakarta region was hardly mentioned by historical records due to its dimming importance. Turning to be a periphery in the political dynamic of Java, this region was under the submission of coastal states. Depopulations caused by mass migration were widespread. Many temples and large areas of agricultural lands were left abandoned, turning to forests and sanctuaries. A wave of immigration occurred in the later sixteenth century, during the establishment of the Islamic‐Mataram state. Having conquered a weak local reign who refused to convert to Islam, Panembahan Senapati Ingalaga (±1584 – 1601) cleared the Mentaok forest, situated approximately 2 kilometres away towards southeast from the present‐day Yogyakarta city centre, to establish a new state centre (Ricklefs, 2008: 97).

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Map 4.1. The centres of Mataram states

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Being independent from the Pajang state, Senapati began to annex neighbouring states along the Solo river valley, Madiun, Kediri, and Demak (Ricklefs, 2008: 99). A new era of civil war, economic crisis, and plaguing disease had just begun.

4. 2. Colonial Era (17th Century – 1945)

Roughly speaking, the colonial era of Yogyakarta can be divided into five phases: (1) the establishment of the Islamic‐Mataram in Kotagede of Yogyakarta city in the 17th century; (2) the shift of the capital city to Kartasura, then Surakarta in the late 17th century; (3) the establishment of the Yogyakarta Sultanate in the 18th century; (4) consequences of from the from the nineteenth century to the 20th century; and (5) the crisis brought about by Japanese occupation during the second World War. The first phase dated back in the early seventeenth century, marked by the rise of Islamic‐Mataram state centred in the area of present‐day Kotagede. Maintaining the military expansion policy performed by his predecessor, Sultan Agung (1613 – 46) managed to unite central, western, and eastern Java under the political control of Yogyakarta, marked by the conquest of Pati, Rembang, Kudus, Blora, and Lasem, the regions whose teak forests allowed him to build naval shipyards in Lasem and Tuban (Poesponegoro and Notosusanto, 1992: 55). His greatest victory took place when he was blockading Surabaya, destroying the crops, and damming the Brantas that prevented water distribution to the city. Inflicted by disease, famine, and social crisis brought about by the weakening government, the ruler of this main seaport in eastern Java, after resisting this crisis for over five years, eventually surrendered in 1625 (Ricklefs, 2008: 103). Following those occupations, citizens of the defeated regions migrated, mostly by force of the conquerors, to the Mataram region. Being under new masters, they were employed as unpaid labours in the agricultural fields owned by royal families, mobilized to forest clearing activities, the women often taken as secondary wives, or, especially the case with young males, served as personal guards of the rulers (Carey, 1997: 717).

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Ruling over both interior and coastal regions, the was able to accumulate capitals from land acquisition, land taxes and tributes collected from its vassals, custom fees of its main ports, and commodity exports. Inspired by the triumph over Surabaya, Agung continued his military campaign against VOC (Vereenigde Oostindische Compagnie – a Dutch‐owned trade company) in Jakarta in 1628 and 1629.

Figure 4. 2. Major administrative levels of the Mataram state

Ruler

Province Appanage holder Bupati

agung)

nagara)

Demang/Mantri District Junior desa (nagara

(manca

area

provinces

Bekel Bekel/demang Village appanage

Outlying Core

Sikep Sikep Hamlet

Dependents Dependents Dependents Dependents Dependents Dependents

Source: Carey (1986: 69)

This mission itself ended up in failure, causing major defeat on the side of Mataram. At the height of his power between 1625 and 1627, Agung faced problems of a high mortality rate and a general deterioration of the life quality of the state’s inhabitants. Epidemics, famine, and crop failure were extensive. Dutch sources reported that several regions lost two third of the population due to

C h a p t e r 4 | 128 epidemics in 1640. The situation was worsened by an El‐Nino event occurring in 1626 that caused a long drought in Java (Ricklefs, 2008: 105). At the same time, armament proliferation in supporting expansionist policies performed by the sultan had created imbalance of public expenditure and weakened the people’s capability to cope with crisis. Economic depression escalated, followed by separatist rebellions of several vassals. The power of Agung approached its end in 1645 when he was beginning to build a royal cemetery complex on the Imogiri hill.

He passed away in the same year, leaving two remarkable legacies to the forthcoming states and rulers: regional‐ and land administrations. Except for the coastal areas, the territory of the Mataram state was divided into four regions: the palace that symbolized the king’s power, the nagara, the nagaragung, and the mancanagara. The nagaragung region of that period was divided into four provinces: Kedu, Siti Ageng, Bagelen, and Pajang. The mancanagara was composed of two main regions: western regions (mancanagara kilen) and eastern regions (mancanagara wetan), each of them was also composed of several provinces led by regents appointed by the sultan. The boundary of each region was identified by natural spots, such as rivers, mountains, and forests. At the village level, when the natural boundary was absent, trees with high crowns, for example the Randu Alas (Bombax ceiba L), were planted to mark the persistence of either village or sacred site (Poesponegoro and Notosusanto, 1992: 55‐57). To maintain the state’s unity while preventing potential rebellious movements from either from the nagaragung or mancanagara regions, the late sultan had established a hierarchical, albeit loose, administrative structure from the central to the provincial, the district, the village, and the hamlet levels (see the figure 4.2 of page 127). Such hierarchy also represents apanage landholding system the foundation of which had been laid by Hindu‐Mataram kingdom eight hundred years before. The basic idea of this system is based on the idea that “… the ruler is the “overlord” of all lands in his kingdom”… and that he deduced wealth through labour service (courveé) and tribute payments produced by agricultural population (Carey, 1986: 67). The principal of each administrative level received shares of harvest and agricultural production. The sikep received two‐fifth, the bekel got a fifth, the demang /junior priyayi took a fifth,

C h a p t e r 4 | 129 and the prince / bupati received two‐fifth of the yields. The apanage landholders (regents and princes) were required to pay tribute to the ruler aka the sultan every harvest period. The apanage system itself sustained until the early twentieth century, with several slight adjustments after the British annexation in the year of 1812 and during the period of forced cultivation (Cultuurstelsel). A quite radical alternation eventually took place in 1918 following the acknowledgement of private landownership.

The successor of Agung, Amangkurat I, shifted the palace from Kotagede 5 kilometres to the south to a place at the Opak river bank (now under Pleret sub‐ district of Bantul) in 1647. Unlike wooden palaces built by previous reigns, building materials of this new palace were mainly red bricks, thanks to the abundant clay soil around Pleret region. Red brick itself has been used as non‐ housing construction material since the fourteenth century. The ruins of Majapahit palace and its capital city from that century show clear evidence of the influence of Chinese architecture on the usage of red bricks for canals, river harbours, fences, public baths, temples and sacred spots – mostly water springs. Nevertheless, Javanese had only begun to use red brick as house construction materials in the seventeenth century (Lombard, 2008: 179). At the same century, the European sailors and merchants arrived in Java, introducing stones as materials for the public buildings in some cities at the north‐eastern coast of the island. The building and enlargement project of this new palace itself lasted until 1666 (Ricklefs, 2008: 164). The authoritarian regime of Amangkurat I drew the state into a humanitarian crisis. Thousands of people were reported dead in the widespread mass murder committed by the sultan and his loyalists in the effort to prevent any potential political opponents from challenging the patriarch’s authority. These events sparked numerous rebellions organized by political leaders of eastern outlying provinces (mancanegara) based in Maospati and Madiun, by Islamic school () networks, by headmen of tax‐free religious villages (perdikan), and by princes who were dissatisfied by the repressive administration (Carey, 1997: 711).

A devastating natural disaster occurred in 1672. The Merapi volcano erupted, followed by several destructing earthquakes. The lahar flow through the Opak

C h a p t e r 4 | 130 hindered water supply for the agricultural fields and drinking water of the area, causing much economic loss. The crisis escalated in 1677 when Trunajaya was leading a rebellion against Mataram’s reign, robbing all wealth of the palace, and transporting it to the Kediri. It ended up the reign of Amangkurat I. He ran away from his glorified palace and died in his exile in the Tegal district of Central Java. Amangkurat II, the successor of Amangkurat I, crushed back the rebels in alliance with VOC troops, grabbed his victory, and eventually managed to seize the throne of Mataram in 1679 (Ricklefs, 2008: 177). Those wars had drawn Mataram into a state of serious indebtedness, because the almost bankrupt state was required to bear all expenditures of VOC’s military operations, ending up in the conferral of two important coastal regions: Karawang of western Java and Semarang of north‐ central Java. Fear caused by upcoming hazardous natural events and possible conflicts with other members of the royal family, as well as driven by the fact of major devastation in Yogyakarta area, Amangkurat II decided to shift the capital and built a new palace in Kartasura, a sub‐district nearby the present‐day Surakarta city, approximately 60 kilometres to the east of Yogyakarta, in 1680.

The era of deeper involvement of VOC in the internal affairs of Mataram state had just begun. Numerous civil wars occurred during the capital of Kartasura era, involving disappointed princes, Chinese rebels, and the VOC that had established its domination over most part of central Java after the Trunajaya uprising had ended. Mainly due to economic reasons, several princes, coalescing with either Chinese interest groups or the VOC, organized military campaigns against incumbent rulers. Three violent rebellions were recorded to bring about serious impacts on the existence of this state in the mid of the eighteenth century. In the early eighteenth century, a rebellion broke out in the eastern region, led by Untung Surapati. It ended in 1705, thanks to the involvement, once again, of VOC troops. The Mataram state had to submit Cirebon and Priangan regions of western Java as well as the island of Madura to VOC. The second one took place in 1742 when the prince Garendi, backed‐up by Chinese mercenaries, attacked the capital and forced the ruling reign, Pakubuwana II, to leave the palace. A massive destruction occurred in the capital town of Kartasura. With the help of VOC troops,

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Pakubuwana II managed to crack down the rebellion and returned to his throne. A new palace was built three years later in Solo village, the city centre of present‐day Surakarta city. The suffering caused by the war was unbearable to the Mataram state, because it had resulted in the loss of control of all north coast areas of Java. Building posts in several main seaports, VOC managed to control exports and extended its monopoly over various agricultural commodities of Mataram.

The third rebellion occurred once again between the period of 1746 and 1755, led by two princes, Mas Said and Mangkubumi. Having succeeded with his rebellion against Surakarta and the VOC, Mangkubumi, signed the Peace of Giyanti in 1755, marking the division of the Mataram empire into two states, Yogyakarta and Surakarta. Mangkubumi was avowed as first sultan, naming himself . He built the state centre in the Beringharjo village, situated in the centre of present‐day Yogyakarta town. A peaceful and politically stable era was ultimately brought into being when a peace agreement between Hamengkubuwono I and his rebellious son‐in‐law, Mas Said, had been signed 1757 in Salatiga. The former agreed to acknowledge the sovereignty and, consequently, handed over parts of his occupied lands to the latter. This peace agreement laid the foundation of the Surakarta state. Land survey and land registration involving those previously conflicting rulers was carried out, the results of which were ratified in April 26, 1774 (Carey, 1976). This agreement also marked the end of three decades of civil war and the beginning of a peaceful and political stable era in south central Java. Inhabitants of the capital town lived in peaceful and safe conditions. Rural inhabitants and state guards took this opportunity by (re)cultivating the long abandoned lands. Land clearing practice took place almost in all of the remaining forested lowland areas, increasing the opportunity of individuals who wished to improve their social‐economic status by opening new rice fields in uncultivated areas. Despite being granted cultivating and harvesting rights, pioneers and their families were required to report the cleared lands and pay tribute to the nobles who possessed the landholding rights. They were obliged to pay the land‐rent which twice a year, one in the Mulud moth – during the celebration of the Prophet’s birthday, and the Puwasa month – the

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Islamic fasting period of Ramadan. Meeting the increasing demand of international market, indigo (Indigofera tinctoria), apart from food crops, had been widely cultivated in most part of present‐day Bantul and Sleman districts.

The history recorded that Yogyakarta turned to be a prosperous state by the end of 18th century (Carey, 1976: 52). The farmers built an irrigation system based on Mt. Merapi’s watershed, the Progo and Opak river systems. Several small uprisings involving the sultanate nobles did occur, but their scales and impacts did not pose any significant threat neither to the throne nor to political stability. Building projects in the capital city that required more construction labourers, which were mostly imported from the outlying provinces, was extensive during the Hamengkubuwono II administration. It was this period when the architecture of the Javanese royal palace and the houses of the royal family as well as those of members of Javanese aristocracy began to adopt the Dutch style. In many cases these houses retained their traditional styles, but many wooden materials, especially for the walls and floors, have been gradually substituted by stones, sands, bricks, and soil compositions. In the following century, the European influence on the building style and the materials used were commonplace in many Javanese cities, as Dutch architects designed many official buildings. The Javanese aristocrats followed this trend by refining and reconstructing their houses, creating another new symbolic identity that distinguished themselves from other groups.

A dramatic situation occurred when VOC was being declared in the state of bankruptcy in 1799 and all assets were taken over by the Royal Dutch government. A new era of colonial relation between the European colonial power and south central Javanese states, marked by direct rule of the former over the latter, began. The French Governor General Daendels, ruling from 1808 to 1811, commenced a military operation against Yogyakarta in 1810 after the sultan had refused to abide a new diplomatic rule putting European representatives at equal position to the reign, forcing Hamengkubuwono II to step down. When the British army took over Java from the Dutch in 1812, they were faced with a situation in which the defeated sultan had returned to his power in Yogyakarta and had mobilized a military

C h a p t e r 4 | 133 campaign against the British rulers. Yogyakarta surrendered to the Thomas Raffles‐led British army, turning to be a puppet state highly dependent on the European government, and signed a new agreement on August 11, 1812. Another important point concerning the agreement is the establishment of a new state independent from the sultanate, named , an award from the British government to the prince Natakusuma, the Hamengkubuwono II’s brother for his loyalties and supports for the British troops during the war against the sultanate. Since then the former Mataram state has been disintegrated into four smaller states. The transfer of authority from the defeated sultan to the British power over the fertile area of Kedu, the main teak producer of Rembang, the losing of control of the two very important seaports of Semarang and Surabaya, and over all markets and tollgates took place during that period (Poesponegoro and Notosutanto, 1992: 57; Carey, 1976: 58). Ruling between the period of 1812 and 1816, the British administration introduced a new land rent system and established the village administration. Aiming at relieving the local population of labour service, this taxation system did not work appropriately because the land rent was frequently raised arbitrarily, causing the uncontrollable price inflation of important commodities, particularly rice (Carey, 2008: 464). In addition, many peasants were suffering from serious indebtedness to the Chinese moneylenders in their efforts to meet the tax payments. Mainly due to either avoiding the tax payment or heavy labour or following the shifting landownership, the plight of the population occurring during that period was rampant.

The status of the former Mataram states was relegated to vassals of Dutch‐Indian colonial state established in 1817. The political agreement signed in 1813 stated that the vassals were granted privileges to govern their own states; collecting taxes; appointing officers, except the prime minister (patih); having their own police, judicial and monetary system, teak forests, and the production as well as the distribution of salt. However, they were obliged to obey all laws and regulations that had been made by the colonial government; and to show loyalty and submission to the Dutch Queen and the Governor General of Dutch‐India. The

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Sultan was the representative, the spokesperson, and the administrator of colonial power and its policies at his territory (Soemardjan, 2008: 15 – 18).

Following the convention of London in August 1814, Java was eventually returned to the Netherlands, marking the beginning of the worst period ever recorded in the colonial history of Yogyakarta region. Crisis of the rural areas had escalated, mainly driven by disease, volcanic eruptions, earthquakes, and the outbreak of a great war, the so‐called Java war. Cholera epidemic hit this region following poor rice harvest in 1821. The Merapi erupted from December 28 to 30, 1822. An earthquake hit this region on June 10th, 1867 causing 326 deaths and 400 injured (Carey, 1976: 65‐68). Three years after the volcanic eruption, a great war broke out when prince was mobilizing military and political power against Dutch rule in the period from 1825 to 1830. Believed by rural inhabitants of that period as the “Just King” (the Javanese version of Messiah the Saviour), the prince managed to gain strong support from the Javanese state officials, regents of the outer provinces, Chinese merchants, religious leaders, students of traditional Islamic boarding schools, and the common rural inhabitants. This war had caused much devastation in most part of central and eastern Java region. It was reported that four‐fifth of the population in central Java were exposed to damaging effects of the war and more than 250,000 people died from famine and disease (Bosch, 1851, cited by Carey, 1986: 61). Having fought for five years, Diponegoro surrendered in 1830, marking a new period of complete political control of the Dutch over all Java. Another serious consequence of this war to the sultanate was the conferral of all outer provinces to the colonial government. The regions includeed most part of present‐day East Java province, i.e. Ngawi, Madiun, Japan‐Mojokerto, Jipang‐ Panolan (nowadays being part of the districts of Blora, Lamongan, Bojonegoro, and Cepu), Grobogan, and Trenggalek.

The agony continued when the cultuurstelsel, the literal meaning of which is ‘cultivation systems’, was implemented by the Governor General van den Bosch in 1830. Under this system, peasants were forced to grow export crops in their own land at the expense of food crops. Twenty per cent of village lands had to be allocated for the cultivation of certain crops. Dekker (1993, as quoted by Ali, 2007:

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23) stated that the Dutch government insisted that the location of allocated lands were to be near one another in order to enable surveillance and irrigation such a way that in many cases the total allocated area eventually encompassed more than thirty per cent of the village lands. In addition, the villagers were also required to provide sixty‐six days of voluntary labour per year in those plantations. To avoid the forced labour, many villagers migrated to other regions. Huge revenue from this exploitative system was the main contributor to the rapid transition of Dutch economy toward industrialization. This system came into success, marked by the increased exports of two main commodities: coffee and sugar. Altes (1991, as quoted by Kano, 2008: 34 ‐35) reported that the total export value of sugar increased from 507,000 guilders in 1825 to 46,203,000 guilders in 1873, contributing forty per cent of the total export of Java and Madura by the end of that period. For the time being, the total export value of coffee also grew from 10,358,000 guilders to 40,717,000 guilders, contributing 36 per cent of the total export of the same island. Despite the dramatic export increase, the profits of this business went mostly to the colonial government. However, this system brought about disastrous effects to the rural lives in Java. Famine and disease were occurred in many parts of the island. Official reports published famine and plague events in Cirebon, West Java (1844), Demak, Central Java (1848), Grobogan, Central Java (1849) killing most of the population in these regions (Tauchid, 1952, as quoted by Ali, 2007, 24). Cultuurstelsel ended into failure due to the very high interest rate and the unstable – as well as the dysfunction of – agriculture commodity market. This inefficient economic institution was worsened by the authoritarian nature of Javanese power holders.

The system ended in 1870 after the legislation of the Agrarian Law (Agrarische wet) and the Agrarian Order (Agrarische besluit). Governing the land tenure in Indonesia until 1960, these laws include following basic principles:

“(1) With certain exceptions, the Governor‐General of the could not buy or sell lands (Clauses 1 and 2); (2) With the exception of land cleared by ‘natives’ or land held by the village, the Governor‐General of the Dutch East Indies could grant land on long lease (erfpacht), the duration of

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which could not exceed seventy‐five years (Clauses 3 and 4); (3) Provisions for leases of land by ‘natives’ to ‘non‐natives’ should be stipulated in a separate ordinance (Clause 8)” (Kano, 2008: 282).

Under these laws, the Dutch government was entitled to rent the occupied lands to foreign businessmen investing their capitals in agriculture, mining, and estates. Until 1930, total plantations in Java covered an area of 1.5 million hectares (Robison, 2008: 6). Dominated by sugar, tobacco, copra, rubber, petroleum, coffee and spice, the rapid increase of commodity export increased from 174 million guilders in 1870 to 1.5 billion guilders in 1920. However, a drastic decrease occurred in 1930 due to the world depression (Kano, 2008: 16 and 45) Mass internal migration from densely populated areas of Java and Madura to relatively less‐populated regions in Java took place following the implementation of the law (Booth, 1990: 18). The massive land conversion had caused further severe deforestation in fertile regions. Rural area and their inhabitants were impoverished. Geertz (1963) argued that the rapid population growth which was not followed by the growth of industrial sector in the colonial era had made those population largely absorbed in the sawah (irrigated rice field). With the limited options for the opening of new fields, intensification was the only possible option for Javanese villagers to cope with the problem of an increasing demand for food crop. This condition had created what Geertz termed as “agriculture involution” (Geertz, 1963).

At the beginning of the 20th Century, a new colonial policy, propagated as a new kind of “welfare state”, aiming at improving the material condition of Javanese villagers was commenced. Van Deventer wrote Een eereschuld (honour debt) in the De Gids, a Dutch‐based journal in 1899. In this article, van Deventer stated that Dutch had owed much debt to Java due to the exploitative colonial practice. Following an investigation on effects of colonialism on the wealth of Javanese inhabitants which was carried out in 1901, the liberal colonial government implemented an ”ethical policy”. Focussing on three aspects, e.g. education, irrigation, and transmigration (the resettlement of peasants from the densely populated Java to other islands), this new policy was translated into the

C h a p t e r 4 | 137 development of transport and agricultural infrastructure, health services, emigration, education, reforestation, improved credit systems, village administrations, and industrialization (Wertheim, 1962: 225). Prior to the Great Depression of 1930, the positive impact of such policy on agricultural sector was significant, marked by a sharp increase of export value from 5 million guilders in 1898 to 104 million guilders in 1929 (Hart, 1983:24). The education policy of that period had resulted in the birth of new local bureaucratic elites who played an important role in the emergence of the national independent movement in the middle of the 20th century.

The rule and the ruler had changed, but the basic structure of Javanese village which was basically formed by the pre‐colonial appanage system remained, making the rural area and the inhabitants more prone to crisis. According to this system, land was basically owned by the king. The state officials received rights from the king to extract production from the land by employing groups of peasants (Hart, 1983: 20; Carey, 1986: 67). Van Vollenhofen (1918: 257, as cited by Aass, 2008: 149) stated that according to the land entitlement, Javanese rural villagers could be put into three categories. The first category, called gogol in West Java, sikep in East Java, and kuli kenceng in the Sultanate of Yogyakarta, consisted of descendants of land clearing pioneers. This group is at the top of rural social hierarchy. Being entitled of cultivationg agricultural lands, owning garden land and household compounds, albeit the tenure of which was conditional on the performance and their land‐rent payment to the apanage holder, the family members of this group could normatively take much profit from this system by developing new rice fields and the cash crop trading. They employed landless families, called cacah, to carry out farm activities (Cahyono, 1991). The second category is ngindung, or called kuli karangkopek in Yogyakarta. Mostly composed of close relatives of the sikep, they have owned houses and yards, but were not entitled to possess rice fields. Despite the possibility to move to higher strata, for example by marrying the family member of sikep, they had to deal with the livelihood uncertainty. The last category is numpang, or called nusup in west Java. Having neither land nor home garden, their houses were built on the land of

C h a p t e r 4 | 138 others. They were usually unmarried strangers who lived in the house of sikep, being employed as servants and performed various agricultural and labour services to him. The heavy labour burden and impossibility to improve the social status, providing that they were landless, made them the most vulnerable group. Unemployment rate in the nineteenth century was very high in Java, resulting in the dramatic increase of numpang. The host families treated them as if they were family members and provided them with shelter and paid their wages in kind (mostly agricultural product). This wage was the only income source of the numpang on which they relied to sustain their lives (Aas, 2008: 160).

With the extreme unemployment rate of that century, those wong numpang received payment in kind (usually small portions of harvested crops). In the Yogyakarta sultanate, this third class was divided into two sub‐classes: kuli indung, or so‐called kuli gandok, individuals who have neither farm land nor home garden, but having a house on other’s land; and kuli tlosor, individuals who did not have either land or houses. Leaving the land was an option taken by many of those landless peasants in their efforts to break out of the cycle of servitude (see, for example, Van der Kroef 1960: 425, in Alexander 1982: 605; and van Vollenhoven, 1918, in Aas, 2008: 149 and 160; Soemardjan, 2008: 44). However, with the increased demographic pressure in the post‐war period, such space of manoeuvre was getting more limited, with the effect that they drifted into marginal employment. The majority of rural inhabitants fell into the third category. Data published in 1926 showed that 38 per cent of peasants were without land, and that the total percentage of poor people reached 65 per cent, as confirmed by the argument of Alexander (1982: 602) that the number of people without land had increased as a result of colonial system. The landholder of more than 2. 8 hectares comprised only less than four per cent of the total Javanese farmers (Wertheim & Siauw Giap, 1962: 244). Non‐agriculture employment was limited. Data published by the Dutch government in 1936 showed that 65 per cent of native Javanese population were employed in agriculture. Only 11.5 per cent worked in the manufacturing industry; 6.3 per cent in commerce; 2.6 per cent in government

C h a p t e r 4 | 139 service; and 0.7 were professionals (Overzischt voor Nederlandsch‐Indie, 1936, as quoted by Kano, 2008: 200‐201).

The next period occurred between 1942 and 1945. It was the period when the Japanese army occupied all main islands of Indonesia following their dominance in the pacific war during the Second World War (WW II). Arriving Java in 1942 and ruling until the mid of 1945, the ruler propagated themselves as the “big brother” of the Indonesian people, left nothing but massive sufferings, deaths, and humiliations experienced by most rural inhabitants. Numerous projects, i.e. roads, bridges, bunkers, and arsenals, aiming at enhancing the movement of Japanese forces and defending against allies’ attack, were commenced, causing massive deaths and diseases among forced‐workers due to cruel treatment and poor food consumption in their workplaces. This situation was worsened by the fact that the fascist government took nearly all harvests from the farmers, causing severe famines and plaguing malnutrition‐related diseases. In Yogyakarta, a major earthquake disaster occurred in 1943. This event took quite significant numbers of lives. The formal report stated that the total death reached 213 victims. The recovery process marked a new trend of massive utilization of soil as the main building material. With the decreasing supply of wooden materials, mainly caused by uncontrolled logging of high‐quality timbers, respectively teak and mahogany, to meet the increasing demand during WW II, rural inhabitants only had three sources of building materials: low‐quality timber, bamboo, and clay soil. Thanks to the abundant clay soil in the western and southern part of the province, people produced plenty of red bricks. With the absence of cement, the same soil material was used as adhesive to fortify house buildings. Labour cost was very low due to the presence of mutual‐help, locally called gotong royong, widely practiced by villagers of that era. However, the recovery process took quite a significant time because people had to deal with numerous negative consequences caused by the Japanese occupation. With the rampant deforestation, the living condition of the Gunung Kidul’s inhabitants was even worse. Deforestation implied the drying out of water springs; the decreased fertility; and, consequently, the lack of food sources.

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4. 3. Transition to the Independent State (1945 – 1965)

The twenty‐year period of transition, between 1945 and 1965, was marked by the war of independence, guerrilla activities, civil war, the experiment of a new state formation, and ideological‐based conflicts. Inherited by colonial legacies, this new nation had to deal with various complexities resulted from economic depression, social crisis in the rural area, high unemployment rate, and the population’s poor living condition. The war of independence that broke out in Surabaya, Semarang, Yogyakarta, Bandung, and Medan caused massive infrastructural damages, economic losses, and rampant death tolls. The arrival of British‐led allied forces in Surabaya, for example, had sparked one of the most devastating city war ever recorded in the post‐independent . The three‐week battle caused thousands of deaths and hundreds of thousands of civilians were evacuated from the city. Being temporary the capital city, Yogyakarta was subject to Dutch military operation in 1948. The transfer of power occurred in 1949 after the signing of The Hague agreement, also known as the round table conference – that stated that the Dutch acknowledged the sovereignty of Republic of Indonesia. Political consolidation and economic recovery took place. Nordholt (2011) noted that the year of 1950 was marked by the solidification of national unity and the rising optimism on the future of modern Indonesia.

At the political realm, this period was marked by attempts to adopt numerous ideas such as nationalism, social‐democracy, communism, Islamism, and Javanese traditionalism, into the Indonesian political system (see, for example, Holt, et.al, 1972). More than fifty political parties were established and took part in the national election of 1955, but only four of them gained more than ten per cent of the votes: (1) PNI (Partai Nasional Indonesia – Indonesian Nationalist Party) (22.32 per cent); (2) Masyumi (Majelis Syuro Muslimin Indonesia – a “modernist” Islamic party) (20.92 per cent), NU (Nahdhatul Ulama – a traditionalist Islamic party) (18.41 per cent), and PKI (Partai Komunis Indonesia – Indonesian Communist Party) (16.36 per cent). It was also the period when the national unity was being challenged by several rebellions in Java, Sumatra, and Sulawesi. Most remarkable uprisings were the communist rebellion in East Java; Islamic rebellion centred in

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West Java; and separatist movements in Sumatra, Sulawesi, and Maluku, among others, mostly driven by chauvinism and “… the expression of frustration about the course the Indonesian nation‐state had taken” (Nordholt, 2011). The power of the parliament based upon the result of the election was completely undermined when Sukarno dismissed the parliament and established a higher board whose main task was to generate a new national constitution in 1959. This so‐called “President Decree of July 5, 1959” marked the point in history when a new political system called Guided Democracy, putting the President at the highest hierarchy, was established (Robison, 2008: 72). The political crisis also sparked the tension between Sukarno’s loyalists and the army.

Economically, Sukarno, being inspired by socialist ideas of welfare and social justice, took a dramatic measure by nationalizing foreign companies operating in Indonesia (see, for example, Lindbald, 2008). Referring to the Ordinance Number 2 on 23 February 1959, companies either owned by Dutch nationalities, or deriving their equity and initial capital from individuals with Dutch nationalities, or being located in the territory of Indonesia owned by individuals or corporations residing inside or outside Indonesia, were subject to nationalization (Kano, 2008: 215). The army took the opportunity to take over the ownership of vital companies, particularly those operated in plantation estates, in the transport sector, and petroleum businesses. This policy had dragged Indonesia into a deeper economic crisis. For the time being, the war of independence and those rebellions had damaged most infrastructures and eroded the state’s financial condition, retarding rehabilitation and the infrastructure improvement simultaneously. Attempting to relieve the economy, the government decided in 1959, among other measures, to devalue the Rupiah by 100 per cent; causing a change of the exchange rate of the Rupiah against the US Dollar from 11.4 to 45 Rupiah per US Dollar; and to limit the bank credit. Bank Indonesia (Indonesian Central Bank) reported that, due to this policy, the inflation rate reached its culminating point of 635 per cent and that the investment value decreased radically. Taxes were also charged for export‐imports (20 per cent for export and up to 200 per cent for imports), preventing the supply of daily goods (Bank Indonesia, 2009).

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The rural area was severely affected by this crisis, especially after the widespread crop failure, causing the deficiency of food supply. The International Bank for Reconstruction and Development (IBRD) reported that the increase of rice production (1.6 per cent) was less than the population growth rate (2.4 per cent) (Pauker, 1968: 386). A measure that aimed at the improvement of rice and protein consumptions, from 93 kg of rice per capita/ year to 100 kg, and 60 grams of protein/day, failed. To address the threat of food insecurity, the government expended much foreign currency to purchase rice in the international market. It was reported that the total rice import between 1961 and 1966 was more than a million tons (Tjondronegoro, 1992: 4). Due to the increased unemployment and the decreased per capita production, many villagers lived below the minimum living standard. Reports published by the Statistic Bureau shows that 60.9 per cent of Javanese rural population in 1963 lived in a very poor condition. The figure increased to 67.4 in 1967 (Statistical Yearbook of Indonesia, 1984, as quoted by Booth, 1990: 22). Plague and famine broke out in many places (Brand, 1969: 308).

The escalation of conflict also began in the same period, sparked partly by the legislation of the Law Number 5 on Agrarian Reform in 1960. Based on the assumption that the state is the highest controller of landholding and that the land should have a social function, this law stated that the land use and land trading requires formal approval from the local inhabitants represented by the town or village administrator. Aiming at ensuring farmers’ livelihoods, this law regulated that the minimum landholding for each nuclear family was 2.5 ha. Depending mainly on population density of the district level, the maximum landholding was also decided. Divided into four categories, in the least densely populated districts (between 1 and 50 per km2), the maximum landholding was 20 ha, while in districts inhabited by more than 400 per km2, the maximum landholding was six hectares (Soemardjan, 2008: 127‐128). The implementation of this law was relatively easy in the outer islands (Sumatra, Kalimantan, and Sulawesi) due to abundant land availability, but this was not the case on the densely populated island of Java (Pauker, 1968: 388 ‐ 389). Political parties whose voters were predominantly villagers, PNI, NU, and PKI organized campaigns and, to certain

C h a p t e r 4 | 143 extent, agitations, to gather supports from potential rural voters. Learning from the failure of the rebellion in 1948, PKI adopted a gradualist approach, emphasizing on village welfare activities, to run their political agenda (Hart, 1983: 26).

To the communist party, the disparity of landholding in the rural area was the main factor that had drawn peasants into tormenting poverty. The communist party urged that the land reform should be immediately implemented. Numerous horizontal – frequently violent ‐ conflicts caused by claim over landholding occurred in many rural areas, mainly in central and eastern Java. Unilateral actions committed by communist followers were challenged by aristocrats and traditional‐ religious leaders who were mostly activists of NU or PNI. This conflict eventually culminated between the period of 1965 and 1967 when the mass murder of PKI supporters was taking place following the transfer of power from Sukarno to Suharto. Suharto came to power by a military coup, when Indonesia was under deep economic, social, and political crisis. Commodity price inflated, the exchange rate was overvalued, export sector declined uncontrollably, and food scarcity was massive. Chaotic situation was rampant in the rural area following the detentions and mass murder of communist party followers. Political instability was also extensive after most Sukarno loyalists had either been arrested or dismantled of their political rights.

4. 4. New‐Order era (1966 – 1997)

Described as being a corporatist‐authoritarian regime, the main features of the new order period include:

“…. the entrenchment and centralization of authoritarian rule by the military; the appropriation of the state by its officials; and the exclusion of political parties from effective participation in the decision‐making process” (Robison, 2008: 105).

The first and the third features are of great importance to the discussion of this sub‐chapter because of their relevance to the “development” slogan of new order

C h a p t e r 4 | 144 administration. Rapid economic growth, political stability, authoritarianism, and the incremental rich‐poor disparity are, among others, the main traits of this era. Labelling itself as orde baru (new order) era, Suharto attempted to distinguish his administration from the orde lama (old order) which was mainly referred to Sukarno administration, an administration which was to blame for the deprivation suffered in the 1960’s. It was assumed that such deep‐rooted crisis occurred, as too much energy had been absorbed by politics, while the economic development had been neglected.

Parallel to the argument of Lipset (1963: 2 in Mas’oed, 1994), Suharto’s administration embraced a strong belief that political democracy could only be achieved after economic welfare had previously attained. Economic development was put to ultimate priority (Pratikno, 2004: 22). Assistance from western governments played a vital role in rescheduling the existing debt, raising the foreign investment, and building the foundation for the national economic development (Sachs and Collins, 1989: 6). Supported by a group of liberal intellectuals and the army, Suharto introduced a new political genre that supported economic development, “ideological‐conflict free”, and was based on pragmatism, rationalism, order, as well as pragmatic skills (Mas’oed, 1989). These politics were translated into a creed labelled trilogi pembangunan (three pillars of development), consisting of political stability; economic growth; and the distribution of benefits of economic development. However, priority was given to the first and the second pillar. Stability, order, and security were among the development targets itself, as stated by Suharto that the ultimate objective of new order was “… to create a new society who feels safe, enjoying the orderly atmosphere, and achieving progress and stability climate” (Schiller, 1978: 21). To achieve the abovementioned goal, the government was determined to create ideology‐free and consensus‐based politics – by controlling political party and legislative institutions ‐ as well as by restraining public political participation. The ruling government prevented political parties from conducting their political activities in the rural areas. The only possible public political participation was through state‐sponsored organizations (Bowie, 1997: 46‐47).

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Avoiding direct confrontation with the state, numerous NGOs took “soft approaches” in accomplishing their agenda. They chose to work under the umbrella of government’s development slogan, while secretly promoting a emancipatory and democratic social system. Despite the cooperative relation, the new order administration sought to prevent the active participation of self‐help groups and organizations. To minimize the influence that NGOs had at their disposals, the state formed various corporatist organizations aiming at mobilizing the target groups, such as youths, farmers, and women (Eldridge, 1989). With the absence of political parties and independent NGOs, the relationship between the state and rural inhabitants was paternalistic in its nature. The former positioned itself as a “parent” who was in charge of teaching values deemed to be virtuous, i.e. respecting seniors; maintaining harmonious relations with others by avoiding open confrontation; being available of “sacrificing” personal interests for the sake of common interests; etc., while the latter played their roles as “children” who should express their obedience. Virtually all aspects, i.e. ideas, norms, and behaviour, of the people’s life were controlled and under surveillance.

The usage of military force was a common way to deal with civil disobediences (Breman, 1996). In addition, the involvement of the army in the economic and political affairs both at national and local level was extensive. Aiming at an undermining of the role of civil bureaucracy, the army established military offices, called KOTER (Komando Teritorial – Territorial Command) from the intra‐ provincial to the village level. Encompassing several provinces, KODAM (Komando Daerah Militer – Regional Military Command) is one level below national command; the second one is KOREM (Komando Resort Militer), comprising of several districts; the third (district) level is KODIM (Komando Distrik Militer); the fourth (sub‐district) level is KORAMIL (Komando Rayon Militer), in‐charge with military operation at district level; and the lowest level is BABINSA (Bintara Pembina Desa – Village‐Level Obedience Enforcement Soldiers). Civil bureaucracy was intervened through the appointing of army officers as ministers, governors, regents, mayors, and several other strategic positions at national and regional levels, replacing political party activists and former Sukarno’s loyalists.

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Figure 4.4. Civil and military bureaucracies in the “new order” era

Illustration by Nurhadi

All public servants are obliged to have a single loyalty to the government. To the ruling government, the transfer of administrative authority to the highest echelons and the extension of government’s authority to the lowest administrative level, are two most important tasks to accomplish. Apart from ensuring the commencement of all development programs, both civil and military bureaucracy also acted as a surveillance agent, the main task of which was to anticipate any potential threat to the political stability and so‐called “national interests”.

The Law Number 5 on Village Administration was legalized in 1979 to ensure village administrative uniformity. The main trait of this law is the introduction of the Javanese administrative system consisting of desa, dusun and kelurahan in the rural areas, replacing deep‐rooted communal systems practiced by various traditional communities in Indonesia (Sulistiyanto and Erb, 2005: 6). This law also stated that local communities were allowed to promote individuals who will act as village head, but the final decision about the candidate was made by the higher administrative authority holder. Village heads were co‐opted into the bureaucratic system, receiving salary from the state, ensuring the hierarchic and centralistic

C h a p t e r 4 | 147 control over the village. Tjondronegoro (1990: 14) suggested that any modernization of village institutions was absent during this period. As village officers did only what the higher bureaucracy had instructed, villagers were not trained to develop and empower themselves. “Political stabilization” assumed to be the main foundation of economic development was eventually achieved through terror, intimidation, arbitrary imprisonment of “enemies of the state”, and censorship. Li (199: 299) confirmed the thesis that:

“The New Order's claims to legitimacy have always invoked the necessity to prevent a return to chaos, an end pursued through both overtly repressive and more subtle governmental means”.

Involving the technocrats and the engineers, the government decided that in order to achieve economic prosperity Indonesia was required to step into certain phases of national development, translated into five‐year national development plans (Rencana Pembangunan Lima Tahun, abbreviated as Repelita).

One of the most serious challenges that the ruling government dealt in its early administration was acute poverty in rural areas. With the GNP per capita of US $ 90 in the early 1970s,

Indonesia turned to be in the Box 4.1. Family Planning in Indonesia state of bankruptcy. To Badan Koordinasi Keluarga Berencana Nasional (BKKBN - National recover from the crisis, the Agency for Family Planning Program) has been widely cited as government continued the a model of government-sponsored fertility control program in developing countries. The Central Bureau of Statistics (1992) green revolution initiated by recorded that the total fertility rate declined by 22 per cent over the former government, the the decade from 1970 through 1980 and declined another 25 percent during the next nine years (Molyneaux and Gertler, main objective of which was 2000: 64) the rice self‐sufficiency (Hansen, 1971: 64). The agriculture policy was closely related to the supply of food at the national level in such a way that significantly contributed to the control of inflation rate and economic stability. To support industrialization, the increased food production was controlled in order to make its price affordable by the poorest groups of society,

C h a p t e r 4 | 148 such as the industrial labourers. To meet the objective, the government adopted three approaches: (1) modernizing the rice cultivation techniques; (2) reducing the population growth to the zero point; “ (2) credit to purchase a “package” of modern inputs; and (3) intensive guidance” (Rahardjo, 1993; Riefel, 1969: 103 – 104). Under the umbrella of a program called BIMAS, the acronym of Bimbingan Masyarakat, which literally means “mass guidance”, new inputs and techniques, i.e. high yielding varieties, chemical fertilizers, pesticides, technical irrigation, and the introduction of a new harvesting tool, called sabit, replacing the old one, called ani‐ ani. Data published in 1986, for example, showed the increasing trend of chemical fertilizer utilization by Javanese farmers, from 108 kg/ha in 1971 to 343 kg/ha in 1985 (Survey Pertanian, as quoted by Booth, 1990: 25).

Sawah‐based agriculture has been transformed from the subsistence‐oriented production to a more commercialized one. Not only the commodity has been commercialized, but also land, labour, and the production system have also been undergone similar processes, due to the opening of this area to the regional and international market. Imported agricultural products, i.e. sugar, tea, coffee, rice, and fruits have been competing with local commodities both at the traditional markets and in modern stores. These are the results of the “green revolution”, accompanied by “the revolution of education, health, and transports” (Tjondronegoro, 1990). In Bantul’s case, reliable irrigation infrastructures built along six river systems (Oya, Opak, Progo, Winongo, Code, and Bedog), high precipitation rates (1500 ‐ 2500 mm/year) with nine rainy months, and the temperature that varies between and 24o and 27o Celsius degrees enable farmers of Bantul to cultivate and harvest paddy three times a year during the wet season (between November and April). Intensive paddy cultivation implementing the principles of green revolution is commonplace in this region. To attain rice self‐ sufficiency, the government of Indonesia has been introducing an agricultural technology package which comprised improved high‐yielding varieties of rice, controlled water supply, improved moisture utilization, and fertilizers and pesticides. In addition to various campaigns in government‐controlled media, an extension program was carried out through BIMAS (acronym of bimbingan massal,

C h a p t e r 4 | 149 mass guidance), the department of agriculture organized a series of workshops aiming at improving farmers’ skills. Another important component of this program was credit (channelled through village co‐operatives) for the Box. 4.2. Transmigration program farmers in order to address the The World Bank Country Study published in 1998 mentioned need for capital as cultivation that the scale of the transmigration program has significantly expenditures increased (Riefel, increased since 1979. It was also reported that about 52,000 families were moved during the period between 1974 and 1969: 104). 1979, 366,000 families (1.5 million people) in 1979-1984. 300,000 families were sponsored by government, and 170,000 Thanks to the inflation of oil moved without assistance. Of the sponsored migrants, 62% went to Sumatra, 19% to Kalimantan and 14% to Sulawesi. price, a situation which was The actual number of the people in the outer islands who are also known as oil boom, there directly or indirectly as a result of the program was difficult to calculate. It is estimated that the number of occurring between the period of unassisted migrants can be two or three times higher than 1973 and 1981, Indonesia that of those sponsored by the government (White, 1987: 239). managed to collect a vast amount of public incomes in relatively short period. With the contribution of oil export, the government utilized the profit of this industry to finance numerous development projects, to recruit many public servants, to invest in the manufacturing sector, and to provide subsidy in order to compensate inefficiency of those industries (Kuntjoro‐Jakti, 1989: 5). Among the development projects financed by the profits of oil export, partly sparked by the concern about the revival of leftish movement, Suharto was determined to improve the economic condition and the infrastructure of the rural area; the building of dams utilized both by the agricultural sector and the state‐ owned power plant company. These projects were carried out especially in the lowland irrigated areas. At the same period, a national program of rehabilitation and soil conservation aiming at improving the productivity of critical lands and reducing soil erosion was launched by the new order government. In the rural area, apart from the abovementioned points, the enormous public income was partly also allocated to provide subsidies for fertilizer, agricultural credit, and the extension of public service (Sachs and Collins, 1997: 21; Huszar et.al, 1994). As rural infrastructure, particularly road and electricity, improved, public transports

C h a p t e r 4 | 150 that provided service for the mobility of people and agricultural commodities grew progressively. Targeted to be achieved in 1974, the rice self‐sufficiency eventually came to reality in 1984, marked by the zero rice import. With the increased average productivity, from 1.21 tons/ha in 1966 to 2.66 tons/ha in 1984, the total national rice production reached 25.93 million tons. Until the beginning of the 1990’s, the rice supply increased to 154 kg per capita (Pakpahan et al, 1993).

From macroeconomic perspective, development performed by new order administration was impressive. The average economic growth reached 6.5 per cent, and the GNP per capita was US $ 880 in 1995 (Bowie, 1997: 2; Baswir, 2004: 19). The poverty figure shows that the total poor population decreased from 54 million in 1974 to 27 million in 1990 (BPS, 1991 as cited by Pakpahan, 1993). Until the mid of 1990s, the fundament of Indonesian economy was considered to be strong, indicated among others by high economic growth, controlled inflation rate, and low unemployment rate (World Bank, 1998, as cited by Pratiwi and Santoso, 2012). However, some contradictive situations also took place during that era. Baswir (2004) noted that at least there are two wide disparities. The first one is the disparity between the industrial and agricultural sector. In addition of being driven by the inflating price of oil and natural gas between the period of 1970s and the early 1980’s, another factor that contributed to the alternation of national economic structure was the rapid growth of the industrial sector. This sector contributed only 17 per cent to the GNP in 1970. With the average annual growth of 14 per cent, the contribution of the industrial sector turned to be 33 per cent in 1993. For the time being, the role the agricultural sector decreased from 40 per cent in 1970 to 19 per cent in 1993. Nevertheless, the percentage of manpower in industry sector, on the one hand, grew slightly from 11 per cent in 1970 to 17 per cent in the early 1990s. On the other hand, the percentage of manpower working in the agricultural sector decreased from 67.5 per cent to 55 per cent at the same period (World Bank, 1994, in Bowie, 1997: 2). With the population growth and the decreasing productivity index of the agricultural sector (from 0.70 per cent in 1971 to 0.35 per cent in 1990), the economic and social burden that rural areas handled was burgeoning (BPS, 1993). The second disparity was between the rural and the

C h a p t e r 4 | 151 urban areas. In addition to the poor infrastructure of the rural areas on the one hand and the better one for that of the urban areas, the economic aspect of those areas is noteworthy. Booth (1992, in Baswir, 2004) noted that while the average growth of annual per capita expenditure of the urban population was 3 per cent between the period of 1969 and 1987, the same figure for the rural areas was only 0.26 per cent. A problem that remained unsolved under the new order administration was rural deprivation. It is especially the case among those whose livelihood depends on the agricultural sector. Particularly in Java, the number of smallholders and landless population was pervasive. An agro‐economic survey realized in 1965 published data showing that 60 per cent of the rural population were landless and that twenty per cent of the total population owned only the home compound (Collier, 1977: 356, as cited by Alexander, 1982: 603). By 1973, it was recorded that 50 per cent of the rural households in Java cultivated land of less than 0.5 hectares (Hainsworth, 1979: 26). Other reports confirm this finding. For example, reports published by Stoler (1977) as well as Penny and Singarimbun (1972) mentioned that the landlessness reached 37 per cent and that 47 per cent of rural inhabitants owned less than 0.2 ha (Adiwalaga I954, cited by Alexander 1982: 603).

A wave of economic crises hit Asia in autumn 1997. In Indonesia, the initial signal of the crisis was the depreciation of the national currency. With the implementation of a freely floating currency system in August 1997, the exchange rate of Indonesian Rupiah (IDR) was dependent on market dynamics. The national currency was under pressure, depreciated from 3.035 IDR/US$ in August 1997, to 4.650 IDR/US$ in December 1997, to 10.375 IDR/US$ in January 1998, and finally to 14.900 IDR/US$ in June 1998 (Wibowo, 2005). The impact of the currency depreciation includes the deficit of the state expenditures; the inflated price of food, oil, electricity, and transport; the bankruptcy of banks and industries; the increased unemployment rate; and the rampant impoverishment (Tarmidi, 1998; Berman, 2000). It was the period when the economic inflation rate reached the highest point in the last three decades (54.54 per cent). The most seriously affected sectors included construction, manufacture, and banking. The closedown

C h a p t e r 4 | 152 of many industries in main cities of Java acted as impetus for the mass movement of millions of unemployed urban dwellers back to the rural area. The total job loss recorded between the period of 1997 and 1998 was 2.4 million, with the major figures of 1,076,000 in the manufacturing, 663,200 in the construction, and 180,650 in the service sector (Hugo, 2010). This data excludes informal sectors whose existence depends mostly on the daily consumption of blue collar workers. Breman and Wiradi (2002), quoting official reports such as BPS and the local office of International Labour Organization (ILO), mentioned that the total 22 per cent of Indonesian workforce was unemployed by the mid of 1998; and that 37 per cent of the population fell below the poverty line as a result of wage stagnation and high inflation. The number of poor population increased to 47.9 per cent in 1999. Per capita income decreased quickly from US$ 1.155 in 1996, to US$ 1.088 in 1997, and finally turned to be US$ 610 in 1998 (Baswir, 2004). Being wary of hyperinflation, the rich people purchased uncontrollably foods and other basic goods. Along with a wave of student protests, ethnic conflicts, and violent riots in several major cities, the abovementioned factors brought this country into a more serious political turmoil. By the end of May 1998, having ruled for 32 years, Suharto declared his resignation and appointed his vice president B J Habibie as successor, marking the end of totalitarian regime in the history of Indonesia.

4. 5. Transition to Democracy (1998 – present)

This era is marked by a more democratic political system, a more market‐friendly economic policy, and a more prominent role of civil society among others. The three decades of oppressive, centralistic, and authoritarian political regime had left an economic disruption, political instability, regional resurgence, and social crisis in most parts of Indonesia, a condition which the new administration had now to address. Habibie, the successor of Suharto, faced five main challenges. The first one dealt with the “destiny” of political reform, which comprised the democratic system, the establishment of civil supremacy, freedom of press, freedom of speech, fair elections, etc. The future of the Indonesian army, meaning their withdrawals

C h a p t e r 4 | 153 from the political affairs, was the second challenge. The third challenge to deal with was separatist movement in several provinces, particularly Aceh, Papua, and East Timor. The trial of the former president, Suharto, his family members, and his cronies, was the fourth. The last one was economic recovery (Ricklefs, 2008: 656).

Responding the popular outcry to a political reform, the new administration abolished numerous regulations considered to be against democratic values, such as the law of political party, the law of general election, the law of organization, and the law of press. Political parties can establish their branch offices at the lowest level of administration (desa), allowing them to do political work among the rural inhabitants. The new law of general election revolved political constellation, marked by the birth of numerous parties. The national electoral commission noted that 48 political parties took part in the national election held in 1999. With the eradication of the oppressive law of organization, people found more chances to organize themselves and establish associations more easily, resulting in the rapidly increasing number of organizations, representing many interest groups at various levels. People could now speak up their aspirations freely. Presses gained the freedom of expression; published news and articles on various issues such as corruptions, human rights violations, and public policies. With regard to the separatist movements, East Timor’s problem was solved, despite a tragic bloodbath, after most population of that region voted for the establishment of an independent state instead of enjoying special autonomy offered by Jakarta.

For the time being, armed guerrilla war was escalating in Aceh and Papua. Jakarta was anxious that the trend towards separatism would proliferate in other provinces which are rich in natural resources, such as oil, natural gas, timber, minerals, and fishes. A year after the resignation of Suharto, the regional autonomy law that regulates the decentralization of wealth and power was signed by the house of representative. Virtually all authorities were handed over to the regional governments, except matters related to (1) fiscal and monetary issues, (2) international relations, (3) defence, and (4) the judicial system (Santoso, 2004).

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Figure 4 .5. Structure of Indonesian Government (Law No. 22/1999)

President

Prov. council Ministry

Governor

Prov.agencies

Field admin agency

District/city

Bupati/Mayor Decentralization

Deconcentration Field admin agency District/city agency

Camat Village Council Field admin agency

Lurah Village head

Source: Pratikno (2004: 25)

Implemented since 2001, this new law brought a new hope for regions outside Java that:

“…. had never really enjoyed the fruits of 30 years of New Order Development, but instead bore the brunt of corruption, collusion and nepotism from the centre (Sulistyanto and Erb, 2005: 1).

A more equitable and fair profit sharing between Jakarta and the provinces taken from the natural resource exploitation is one of the most significant factors driving the urge for regional autonomy. There was a mounting hope that the new law will bring about more welfare to the provinces where the resources origin. Quoting

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Rasyid (2000), Trijono (2004) argues that with the clear “division of labour” between the central and the regional government, the regional autonomy opens an opportunity window for the local people to participate more actively in planning, managing, and allocating available local resources for the sake of their welfare. However, data published by World Bank in 2011 shows that spatial wealth disparity, i.e. between Java and outer islands as well as between western and eastern region, remains, mainly due to the concentration of private investment and infrastructure improvement in Java. Java contribute 57 per cent, Sumatra contributes 23 per cent, while the other area of Indonesia contribute 20 per cent of the national Gross Domestic Product (GDP). The gap between the wealthy and the poor populations has also been widening. Twenty per cent wealthiest population obtained 41.24 per cent of, while the forty percent poorest population obtained 21.22 per cent of the total national income. Twelve years later, in 2011, the rich obtained 46.45 per cent, while the poor obtained only 17.6 per cent (World Bank, 2011).

This administration also had to deal with various negative consequences of economic crisis both at the urban and the rural contexts. Two most serious impacts brought about by the economic crisis in 1998 were mass unemployment and severe poverty. One of the most popular responses of people to cope with the crisis was to move away from hard‐hit areas to other areas providing the opportunity to survive. As mentioned in the previous section, there were substantial people movements from the urban to the rural areas during the period of economic crisis. As also the case with the Indonesian economic recession between 1982 and 1987, rural areas provided a safety net to people who lost their jobs in the industrial urban areas (Koentjoro‐Jakti, 1987). They assumed that the rural area was less impacted by the crisis. A research on the poverty issue in rural area of Sleman‐ Yogyakarta concluded that, despite economic crisis, the significant increase of food production, the successful family planning, and the improved education make Javanese rural inhabitants live in a better economic condition (Scholz, 2000). In fact, rural areas were also hit by the impact of economic crisis to a certain extent. The burden that rural areas should carry has been heavier due to external and

C h a p t e r 4 | 156 internal factors. External factors include re‐urbanization driven by economic crisis, while population growth, land conversion, and less options of income generation are among the internal factors that have put rural areas under pressure. The deprivation of rural areas remains unalleviated as agriculture has been relegated to the second line in sustaining the livelihood of rural inhabitants. The total population employed in the agricultural sector has been decreasing from 66.27 per cent in 1971 to 45.28 per cent in 2000. Approximately 70 per cent of farm employees are elementary school graduates, while those who achieved higher education prefer to work in other sectors. Commerce, manufacturing industry, and services have been more prominent in providing employment opportunities (BPS, 2001, as quoted by Kano, 2008: 304 ‐ 308). Data published by IFAD (2011) and BPS (2011) stated that 91.91 million of Indonesia’s rural population rely on eight million hectares of agriculture land. The average land ownership of Indonesian farmers has been decreasing from 0.48 ha in 1993 to 0.3 in 2003. For the time being, the number of small landholders (having land less than 0.5 ha) increased from 10.9 million to 13.7 million.

Figure 4. 6. Poverty in Indonesia (in million)

39.3 36.1 37.17 35.1 34.96 32.53

31.02 29.89

2004 2005 2006 2007 2008 2009 2010 2011

Adapted by Nurhadi from BPS (2011)

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In Java, three of four farmers are small landholders, and between 30 and 75 per cent of them are landless. Most rural inhabitants generate their incomes by taking off‐farm and non‐farm activities. In this regard, Hugo (2010) argued most rural households rely much on remittances from their relatives who took on urban‐ based employment. He continued by stating that most rural areas had not yet recovered from the El‐Nino event in 1997, which had shifted Indonesia, as a consequence, from a main rice exporter to an importer of 1.7 million tons of rice per year. Poverty is another challenge that this country has been dealing with. Referring to a report published by the national bureau of statistics, the number of poor population – whose daily expenditure less than US $ 2 ‐ decreased from 36.1 million in 2004 to 29.89 million in 2011. During that period, a sharp increase of poor population occurred in 2006, mainly contributed by the high inflation rate (17.95 %) (BPS, 2011). The low‐income population is a group most vulnerable to deprivation during the high inflation, as most of their expenditures are allocated for food purchasing. Moreover, the price of food commodity tends to fluctuate following the dynamic of production and distribution costs.

4. 6. Summary

Like other Javanese rural areas, Bantul and Gunung Kidul have been affected, to various scales, by several hardships, caused either by disease, economic crisis, social conflict, violent political turbulence, crop failure, tectonic hazard, flood, water scarcity, or combination of two or more of them. Not all past events are well‐ kept in memories. It is especially the case with situations which occurred prior to the 1960’s. The limited access to written sources, either due to the lack of literacy rate among rural inhabitants or the censor of information committed by the past ruling government, is one of the main reasons behind it.

The vulnerable condition of the Yogyakarta region is the result of a long historical process that can be traced back to its pre‐colonial era. Politically, the existence of the political centre from the mid of the eighth century to the dusk of colonial era in the mid of the twentieth century made this region the site of numerous internal

C h a p t e r 4 | 158 strives and armed conflicts, causing much sufferings among local populations. The golden age built by some political dynasties attracted more immigrants to settle in this region. In addition, the victory in war against neighbouring states was followed by forced mass‐migration of the conquered population, increasing the demand for lands and settlements. Economically, the integration of local commodity (particularly agricultural) markets to the regional and international markets intensified the exploitation of fertile areas and landless peasants employed by local monarchs and princesses. The coming of colonial power further aggravated the powerlessness of rural inhabitants in coping with shocks and crisis. The national economic development program implemented during the new order era created several small groups as the winners, on the one hand, but also losers which make up the majority of rural inhabitants, on the other hand. Economic deprivation, the high unemployment rate, land conversion, high population growth and the high dependence to remittance were among the common features of Javanese rural areas. The situation was worsening when the financial crisis turned to be a economic disruption of Indonesia between the period of 1997 and 1998. Losing their jobs in several major cities, the former workers returned to their villages of origin, seeking refuge, expecting the functioning of the family‐based safety net, creating new complications, such as the tighter competition in the labour market; the heavier economic and social burdens of the villages; and the increasing conversion of agricultural land to settlement and small enterprise clusters. The vulnerability of contemporary rural Yogyakarta to disaster is partly the further consequence of the economic crisis of 1998.

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5. Coping with Risks in Rural Yogyakarta

This chapter is composed of relevant findings of empirical research carried out between 2010 and 2011. Data described and analysed in this chapter include the results of household survey, in‐depth interviews with key informants, Participatory Rural Appraisals (PRA), and Focus Group Discussion. Historically speaking, rural inhabitants of Bantul and Gunung Kidul have on several occasions been dealing with crisis caused by either natural phenomena, human activities, or the combination of both. Based on past experiences, people learn that a crisis might come unexpectedly, and that proper responds are necessary to minimize the impact of a crisis. In addition to discussing the impact of a crisis caused by an earthquake disaster in Bantul district, on the one hand, and water scarcity in Gunung Kidul district, on the other, this chapter also puts forward strategies developed in recovering to normalcy, minimizing the disaster impact, and anticipating future crisis brought about by those natural hazards. In line with the argument that a crisis is responded differently, at different periods of time, across communities, social groups, age‐groups, genders, and that the impacts of them are also unequally distributed among community members, the analysis of this chapter focuses on comparing the strategies, not only between two districts, but also among different households inhabiting the same area.

The Javanese traditional knowledge system concerning crisis is influenced by two the idea of “good time” and “bad time” as cyclic occurrence and the idea of “blessing in disguise”. According to the Javanese cosmology, universe is composed of jagad ageng ‐ the greater universe and jagad alit – the smaller universe. The former is represented by the environment, while the latter is human‐being inhabiting in it. Both are submitted to a natural law, locally called as cakra manggilingan. It is figured out as a rolling wheel. “Good time” and “bad time” are just parts that function to keep the wheel moving forward. This idea follows that crisis is one phase of a cycle inevitably experienced by all societies, households, and individuals throughout their histories (see Figure 5.1 page 160). It begins from

Chapter 5 | 160 and ends in a phase called Krtayuga (golden age), marked by order, happiness, abundance, and peace. In this phase, human and nature live in harmony. Both are intertwined in a mutual relationship. The birth of crisis, tetrayuga, typically begins from a disharmony at society level implying the environmental condition. A common symptom of societal disharmony is the birth of conflict among the power holders. Dyaparayuga, the escalation of crisis, takes place when such conflict turns to violent, marked by military consolidation and the eroded trust among community members. Kaliyuga, the peak of crisis, is signalled by chaotic situation, disorder, social conflict, disease, and famine. Natural disaster, respectively long dry season, earthquake, and volcanic eruption, are held to be signalling of the coming of Kaliyuga phase.

Figure 5.1. Javanese idea of crisis cycle

Krtayuga (the golden age)

Kaliyuga Tetrayuga (total (the birth of disruption) crisis)

Dyaparayuga (the crisis escalation)

Adapted by Nurhadi from Anderson (2000: 72‐73)

Such prophecy seems to be confirmed by the eruption of Merapi in 1822 which occurred three years prior to the break of Java War (1825 – 1830); the earthquake of Yogyakarta on July 23, 1943, which preceded the long rural crisis following the war of independence; and another eruption of the Merapi in 1994 which occurred three years before the economic crisis followed by chaos and the

Chapter 5 | 161 regime (see, for example, Carey, 2008: 512‐5). Embracing a messianic ideology, the Javanese believe that the golden age of Krtayuga will naturally be back to its existence with a help of a leader who establishes a new system and order (Anderson, 2000: 72‐73).

The second belief, “blessing in disguise”, helps Javanese think positively on anything happens to their lives. There is always good thing to obtain from any unhappy events, as represented by the concept of untung. Literally meaning “fortunate”, it is commonly how accidents, disasters, or other unexpected situations are narrated among community members. When someone gets injured by a traffic accident, for example, the narrator usually says that “fortunately” the victim survives or that there is not any serious vehicle impairment. Recalling the earthquake event of 2006, an informant said:

“Saya sedang menyapu halaman. Tiba‐tiba saya terjatuh. Sempat mengira kaki saya terpeleset. Saya berusaha bangun tetapi sulit sekali. Dalam keadaan tercengang, saya melihat atap rumah tiba‐tiba berjatuhan. Tembok rumah roboh. Anak bungsu saya menjerit. Suami saya berteriak memanggil saya dan nama dua anak saya. Lalu semuanya senyap. Begitu dapat berdiri, saya langsung berlari ke arah rumah memanggil suami dan nama dua orang anak saya. Di balik reruntuhan atap rumah, saya melihat mereka bertiga berpelukan. Anak saya menderita patah tulang dan harus menjalani amputasi. Suami saya dirawat selama beberapa hari di rumah sakit. Untunglah Tuhan belum menghendaki mereka mati“

(English: I was sweeping the home yard. I fell out suddenly. I thought that I was slipped. I tried to wake up, but it was very difficult to do. Being numbed, I saw my house roof was falling down. The wall was being tumbled. My youngest sister screamed. My husband yelled my name and that of both our children. Everything was so quite shortly afterwards. Being able to stand on my feet, I was running to the ruins and called my children and husband. Under the roof ruins, I saw them hugging each other on the ground. My daughter had a serious broken leg, and had to be amputated. My

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husband was hospitalized for several days. Fortunately, God had not been willing to take their lives (as narrated by Warjilah in 2010).

5. 1. From Risk Denial to Risk Awareness

Perception can help explain the reason behind, and to certain extent, factors that influence, people’s behaviours and responses to natural hazards. It arises from the basic premise that being varied across communities, social groupings, households, and individuals, the perception of certain risk implies, among others, strategies in coping with adverse condition. The higher the risk perception, the more likely strategies and preparedness are improved. Data collected during the field research reveals that there are two differences and one thing in common between Bantul and Gunung Kidul. The differences are found in the way their inhabitants perceive nature and the surrounding environments. The region of Bantul is perceived in a positive manner, being viewed as pretty similar to the image of an “earthy paradise” in which fertile soil, wealth, peace, harmony, and order exist to give abundant support to the human’s life. This idea has deep cultural and political roots. At least since the establishment of the first Javanese state in the ninth century, numerous chronicles have been glorifying such an image. Throughout the history, the Javanese political elites put forward a utopian slogan “nagari gemah ripah loh jinawi, tata titi tentrem karta raharja” (a land of fertility, wealth, order, harmony, and civility). Even former president Suharto, due to his strong embracement to the Javanese values and ideas, used to rehearse the phrase exactly as it was first written in the early twelve century. With the economic prosperity achieved in the era of Suharto’s administration, such a vision seemed to come true. Images and accounts of affordable basic needs, reliable infrastructures, affordable education, political stability, and a peaceful situation are widespread among villagers, especially those are living in alluvial plains with well‐irrigated agricultural field. Recalling the living conditions under the new order administration, FGD participants and informants interviewed during this research described the era as the golden age, opposed to the post‐new order administration

Chapter 5 | 163 era which is described as being uncertain, insecure, disharmonious, less wealthy, highly inflated, riskier, and less ordered.

In contrast, the inhabitants of Gunung Kidul perceive their surrounding environment as hazardous. Two local concepts may help explain this perception: adoh wati cerak watu and the label of wong gunung/tiyang redi. Both are pessimistic‐pejorative phrases frequently uttered by informants and discussion participants. The first one literally means “far from the throne close to the stone”. The word “throne” refers to the king which according to the Javanese idea should have acted like a “father” who gives protection, affection, and provision to his children. The power and wealth possessed by the king should have contributed to people’s well‐being. However, these expectations are perceived to be hardly fulfilled. The second one literally means “highland people”. It is a self‐label which represents the image of communities living in a drought‐prone, arid, poor area that lacks natural resources, in contrast to those who live in the wealthier and water‐ abundant valley locally‐called wong ngare/tiyang ngare. They keep in their memory several bad times and tragic events that occurred in the past. PRA held in 2010 reveals that many people suffered from famine and deadly disease in the mid of 1960’s following long water scarcity, crop failure, and a pest attack on agriculture fields. Household’s capabilities eroded after valuable assets, especially jewellery, livestock, and trees were liquidated for cash. Thousands of people migrated temporarily to the valley in search of drinking water, food, and, if possible, sources of income.

The data on six most worrying situation collected during the field research reveals the perception (see table 5.1 of page 162). The inhabitants of Gunung Kidul consider water scarcity as the most worrying situation. Potentially causing crop failure, the crisis of livestock fodder, and malnutrition‐related disease, water scarcity is understood as an “annual event” and a fate nobody inhabiting this area can evade. Water scarcity erodes the household’s economic capacities and confines options in sustaining the livelihood, absorbing much financial capital. The local people labelled it sapi mangan wedhus, wedhus mangan pitik (cows eat lambs, lambs eat chicken), a situation in which households should sell smaller cattle to

Chapter 5 | 164 maintain the fodder availability of larger cattle. Other assets to be typically liquidated also include jewelleries and timbers. Another factor that makes people experience more difficulties during the dry season is a period called “feast period”. It is a period when numerous events and feasts, i.e. marriages, circumcisions, death‐related commemorations, and ritual feasts are held, are held. The dry season is chosen due to the absence of “natural disturbance”, respectively rain, and relatively minimum farm activities. Such feasts potentially require much expenditure on the side of the host, the host’s relatives, and community members at large. People retain a local practice of exchange, so‐called nyumbang, which literally means “contributing” or “donating”. Similar to a theory of exchange by Mauss (1957), people living in this area maintain the social cohesion, and sense of togetherness by donating either goods, labour, or cash to help each other in times of rites of passage‐related ceremony.

Table 5. 1. Most worrying situations

Bantul Gunung Kidul

Being unemployed Water scarcity Financial crisis Crop failure Earthquake Forest fire Serious Illness Serious Illness Crop Failure Livestock death Traffic accident Financial crisis Source: Primary data collected through field survey in 2010

Knowledge about the causes of the water crisis is widespread among villagers. It is widely known, for example, that the thin soil and the distinct character of limestone have prevented rainwater from being stored naturally. People are also fully aware that water can be obtained at certain depth beneath limestone layers, but it requires enormous investment to pump it to the surface. At certain spots underground water can be accessed manually by exploring certain caves. These understandings have partly guided villagers to address not the cause of the crisis itself, but rather to minimize the negative consequences brought about by the

Chapter 5 | 165 situation. Despite numerous programs by the state aiming at minimizing the problem that people face during the long dry season, water scarcity in this district remains the most worrying situation due to the chain effect that it typically brings with. Extreme water scarcity restrains the farmers from cultivating agriculture fields. The lack of soil humidity prevents almost all kinds of seasonal crops and livestock fodders from growing, threatening the food security. However, water scarcity affects different groups of community member differently. The more the household is dependent on the agriculture sector, the more serious the impact is perceived.

Serious illness is considered as another most worrying situation to deal with. Most people in productive age in this district are employed in sectors other than agriculture which requires them to stay temporarily outside the village area. In case of illness suffered by the household members in the village, those migrants are requested to return to the village, helping with looking after the patient, and providing cash for the treatment cost. With only three hospitals and a total of 108 physicians serving almost 700,000 people, medical service in this region is relatively poor compared to the neighbouring districts. For those who rely on daily intermittent due to their employments in the informal sectors, such as construction worker, petty trader, housekeeper, parking guard, and street vendor, taking leave means losing opportunities to earn more money. They do not have any other choices but withdrawing their savings and reducing the amount of remittance regularly transferred to their families.

Another worrying situation is crop failure. Crop failure means much more burden as there will be no food stock available during the fallow period which usually occurs in the dry season. Under this situation, poor households should take extra labours to secure the subsistence need. Not only causing suffering to permanent inhabitants, this situation also seriously affects migrant workers as they hold responsibilities for the livelihood of their family members. The only thing they can do is transferring extra remittance, meaning saving withdrawal and the adjustment of expenditure, i.e. removing non‐priority spending or changing the priority to non‐priority. Livelihood sustenance is hindered, and in many cases it

Chapter 5 | 166 sets the economic condition back for several years. Another worrying situation is forest fire. Each household in Gunung Kidul has alas, a local term referring to forest, the exact meaning of which is closer to the “timber estate”. Despite of being small in size, mostly less than 2 hectares, the existence of teak (tectona grandis) and mahogany (swietenia macrophylla) is of great importance both ecologically and economically. The extinction of those trees causes soil erosion and soil fertility degradation. Economically, trees function as “saving” to be withdrawn in times of crisis.

Prior to the 2006 earthquake event, it used to be held that Bantul was an area safe from any major natural disasters. Earthquakes, tsunamis, floods, and storms used to be virtually unthinkable. Instead of viewing it as a threatening factor, nature used to be mainly considered as the benefactor, the “friendly partner” of mankind, to which men relies their lives on. An earthquake event that occurred in 1943, for example, had been absent from the people’s collective memory for more than one generation. This is the case presumably because this period was overwhelmed by the horrific suffering during the Japanese occupation, in which famine, disease, mortality, and oppression were rampant in the areas. Other factors are the low literacy rate and the limited access to written reliable sources of information. The colonial policy opened access to education only to limited groups of local elites, leaving the majority of population illiterate. This situation continued several decades after the independence when the newly‐established government of Indonesia was striving to commence national development amidst numerous civil wars and harsh political conflicts. People had been relying on an oral tradition to recall past disaster events.

Nevertheless, the reliability of such tradition in maintaining the memory of past events is questionable due to its lack of clear description of hard times in the aftermath of a disaster, such as infrastructure damages, collapsed buildings, and the number of casualties. Kariya Sentana, 80 year old, a survivor of two major earthquake events in Yogyakarta, for example, mentioned that during the first event (1943), after feeling the strong quake he run away from his parent’s bamboo house, grabbing and holding strongly on a coconut tree, while reciting what he

Chapter 5 | 167 used to believe as a mantra ‐ “kukuh bakuh” (be strong and firm) – over and over again, hoping that the quake would soon come to an end. Most houses of the rural area during that period were made either of wood or bamboo, making them relatively less prone to damage caused by earthquakes. Several smaller quakes occurred between the era of 1940’s and 2000’s, but none of them caused serious damage, significant economic loss, serious injury, or deaths. People have learnt at junior and senior high schools, that Java is the most volcanically‐active island in the world, but the feature of the proneness of the southern part of this island to the earthquake hazard was almost absent from geography school text‐book and classroom discussion. A more positive side of the story ‐ that the volcanic activities contributed significantly to the soil fertility – was amply put forward.

The fear of a potential earthquake disaster emerged suddenly after the 2006 disaster event, but it is still perceived to be less worrying than the state of unemployment and household economic crisis. In an FGD held in the Piyungan sub‐district, participants compared the situation in the aftermath of the earthquake disaster with their perception of other events such as tsunamis, floods, volcanic eruptions, landslides, erosion, and storms. An earthquake, on the one hand, is described as being horrifying, sudden, unforeseeable, and the impact of which includes death, injury, and houses as well as infrastructure damages. It is indeed threatening, but the scale and the occurrence of an earthquake is perceived as unpredictable, in such a way that there is virtually no way either to prevent or avoid it. Death, injury, and house damage are perceived to be the matters of fate and bad luck. Several accounts on how people died or survived in the disaster events reinforce the belief that life and death are sorts of the authority of God. On a Friday sermon held at a mosque in the Pleret sub‐district, for example, it was addressed that disasters can be put into four categories, i.e. either as a lesson‐ learned, a consequence of bad behaviour, a warning, a punishment, or combinations of two or more of them. Thus, spiritual‐related solutions that aim at avoiding the negative impacts of disaster events were offered.

The destruction caused by an earthquake event is perceived as less severe than the food insecurity. Recalling the 2006 event, the harvested‐ready crops and the semi‐

Chapter 5 | 168 permanent livestock shelters remained intact. The fact that large buildings such as warehouses government grain and seed storage buildings had suffered from major destruction ‐ meaning that under such a situation farmers will have to deal with the problem of rice cultivation of the next season and that the food price potentially inflates uncontrollably ‐ tend to be denied. Despite massive housing damage, people perceive that it is not necessary for the survivors to build temporary shelter away from their former houses. Rather, they stayed nearby the ruins, gradually selected usable materials and got rid of the unusable ones, while waiting until the new house to be reconstructed is ready for use. Many materials from the damaged buildings, particularly bricks and woods, can be reused for the housing reconstruction, hence reducing the rebuilding costs. Under such a situation, survivors are perceived to be able to return to normalcy in a relatively short period of time.

There is a common perception that the post‐recovery is better in some aspects than the pre‐disaster situation. It is supported by the fact that abundant aid from hundreds of institutions and thousands of individuals had been delivered to those who had been affected by the disaster event. Socially, there has been quite significant increase of awareness, care, mutual help, and charity among neighbors, relatives, and colleagues. Politically, the state, so perceived, will never leave disaster victims in misery should there any unexpected bad situation occur. Economically, despite the inflated price of building materials, many people were perceived to be “blessed” following the higher employment opportunities in the construction sector. Workers of this sector also enjoyed better salaries. In addition, thanks to, among others, the IDR 15 million subsidies provided by the government through the rehabilitation and reconstruction program that started a couple of months after the major earthquake event, virtually all married couples have been able to construct their own houses – one thing almost unthinkable if there had not been any disaster in 2006. On the other hand, they made comparison and arrived into a simple conclusion that there are other disaster events which are worse, causing more disruptions on the food security, than earthquake. Flood, landslide, and volcanic eruptions, for example, in addition to

Chapter 5 | 169 causing damages on buildings and infrastructures, potentially destroy agricultural fields and kill livestock. In this case, food‐related aid from the outside is required in order that the victims can survive in longer period. The recovery from these events is perceived to be time consuming, causing longer suffering for victims, especially those who are in strong need.

Villagers in Bantul possess sufficient knowledge on the causes and effects of earthquake. Other knowledge they possess are escape route and the standard of quake‐proof building. They also understand fully that the village where the live in is unsafe from earthquake disaster. Their knowledge on several technical aspects, i.e. the quake scale, epicentre (distance and depth), and geological processes that trigger the event, are good enough to give them sufficient understandings on how one should live with particular natural hazards and risks. Knowledge on the scale and epicentre of a quake that potentially destroys buildings and infrastructure; and the concept of the existence of a meeting point between the Eurasian and the Indo‐Australian plate located right under the ground of Bantul, are well‐known. They are fully aware that other strong earthquakes might unexpectedly strike their area. Extensive news broadcasted by electronic media on disaster events along with numerous programs performed by NGOs and local government that focussed on community‐based disaster management have played an important role in raising the awareness among villagers.

However, earthquake that might hit the region anytime is considered as less worrying than the condition of being‐unemployed and household financial crisis. The reason behind it is twofold. First of all, two economic crisis that occurred in the mid of the 1980s and the end of the 1990’s significantly devaluated the money, hindering capital accumulation, eroding the purchasing capacity, and causing much profit loss, as well as uncontrollable inflation. Secondly, these economic crises have also affected the household’s capabilities because many unemployed migrants formerly living in the urban areas were returning to their home villages, seeking the safety net in the extended family networks, and restoring their livelihood by relying on minimum economic opportunities in rural areas. This second condition has caused more burdens to many households as they had to provide temporary

Chapter 5 | 170 shelters and meet the daily needs until these unemployed family members recovered from livelihood crisis. Immediate and daily problems are more important to deal with. The lack of employment opportunities in formal sectors in the rural and the semi‐urban areas are two factors contributing to the concern. Decreased opportunities for farm activities and less options for non‐farm employment in rural areas are major challenges that many villagers have to deal with. Nowadays, there is virtually no single male in productive age who solely relies on agriculture to sustain their livings. To meet basic and secondary needs, household members also generate income from other sources, i.e. work in other villagers’ farms, construction labour, domestic work, petty traders, and coolie. As monetization is widespread, being unemployed means losing capability to meet daily needs. This situation erodes the capacity to allocate parts of their incomes for saving. Jobs in the informal sectors, i.e. bricklayers, the coolie of construction projects and street vendors are among the most possible options taken by productive‐aged villagers

Slightly less worrying than the earthquakes are serious illnesses. The post‐ earthquake disaster rehabilitation and reconstruction program focused, among others, on the recovery and the improvement of health services. With the total of 90 physician and 43 small and medium hospitals operating, basic medical service is relatively accessible and affordable (BPS Bantul, 2010). Basic health service is indeed accessible, but serious illnesses typically requires more complicated and advanced medical treatments are mostly uncovered by the public social security schemes provided by either the district government or the ministry of health. This situation potentially causes bankruptcy. The lack of a public social security system along with the perceived poor private insurance service exacerbated this anxiety. Non‐medical treatment is commonly opted as its cost is more affordable. The minimum and insecure daily income is almost totally absorbed for consumption, leaving almost nothing to save in case of a serious illness. Finally, most roads connecting settlement areas to the main street of this district have been asphalted. The people’s mobility is accelerated by the fast growth of motorbike and car ownership. Annually, the police office of Bantul issues 30,000 driving licences,

Chapter 5 | 171 most of which are motorbike licences. With 65.500 motorbikes, 3,000 cars, 1,600 trucks, and 1,300 buses registered in this district, the anxiety of traffic accidents has grown (Bantul Police Office, 2008, as quoted by BPS Bantul, 2010).

Inhabitants of both districts have been shifting their attitudes from the denial to the acceptance of risks. For the Gunung Kidul’s inhabitants, on the one hand, the adversity that water scarcity risks might cause has been long ago been realized. In the forthcoming part of this chapter we will notice that people of this district have been carrying out numerous measures to address the natural hazard‐induced crisis. On the other hand, the awareness of earthquake‐induced risks is something quite new to the inhabitants of Bantul district. Nowadays, they realize that they are living in a fragile area where disastrous events might occur anytime, without any warning, and potentially provoke a deep crisis. The discussion in the forthcoming part of this chapter reveals that what people do, especially those who belong to the middle‐income and poor households, to address the potential disastrous event is less than sufficient.

5. 2. Household Profile in the Pre‐Disaster Period

The villagers of Yogyakarta classify people’s wealth into three categories: tiyang gadhah (the wealthy), tiyang cekapan (the self‐sufficient), and tiyang kekirangan (the poor). To put certain households into one of these categories, people use several simple indicators, i.e. housing condition, educational attainment, employment, and social status of the family head. The participants of PRA combine these indicators with five assets (human, financial, physical, social, and natural) of the Sustainable Livelihood Framework (SLA) and another indicator used by BPS. resulted in a modified local wealth indicator and concept. Another result is community‐based wealth ranking. The indicator and ranking are important as key tools to a better understanding of the level and the time dimension of vulnerability. It also helps the understanding of pre‐disaster household’s asset status.

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5.2.1. The wealthy

Referring to the data published by BPS in 2010, twenty per cent of the total population of Gunung Kidul belong to the wealthy category, while forty percent are composed of by the middle‐income group, and the rest are of the lowest income (BPS Gunung Kidul, 2010). The data on household profiles collected in surveys and PRA in the same year confirms the figures. The wealthy households are typically educated (completing at least secondary education or even higher); consuming sufficient nutritious food; having good health status; being capable of forfeiting the cost of medical treatments; living in well‐built concrete houses; having motorcycles or cars as a means of transportation; having regular and relatively high income; being capable of accessing banking service; possessing sufficient savings to meet long‐term and irregular needs; being protected by insurance; being in important positions in the social organization; and having wide social network.

As the policy holders of public insurance, they are less worried about financial hardship in case of illness and during the retirement period. The government secures the premium payment for all public servants and army members. The family members of these policy holders, i.e. wife and maximum two children, also enjoy this health insurance scheme. In case of the death of the policy holder, the wife receives the health insurance facility and a monthly allowance until she dies or re‐marries. Data published in 2008 showed that the total policyholders in Bantul were 39,479 (BPS Bantul, 2010). Being insured by either a private or a public insurance company, they regularly take medical examination to check their health status, anticipating a possible threat from any degenerative disease and take good medical treatment in case of illness. This partly explains why the human capital of the wealthy is quite remarkable. Another explanation is the high attainment of education. They are also relatively more knowledgeable than other community members. The findings of the survey held in 2010 that they are subscribed to national and local newspaper, cable television, and internet service indicate their eagerness to keep themselves updated to information. Falling into

Chapter 5 | 173 this category are public servants, successful local entrepreneurs, village elites, and highly‐salaried private employees.

Figure 5.2. Asset status in the pre‐disaster event

H

The Wealthy

S N The Self‐Sufficient

The Poor

P F Bantul

H

N : Natural

F : Financial

S N P : Physical

S : Social

H : Human

P F Gunung Kidul

Adapted by Nurhadi from survey of 144 respondents and PRA and in‐depth interviews in 2010

Many of them are the fourth generation of landholders who received fertile lands from the sultanate following the implementation of the agrarian reform in the early twentieth century. Others are family members of successful immigrants who

Chapter 5 | 174 reside in particular villages either due to official or economic reasons. The previous generation of this household category, being composed of large landholders, village elites, bureaucrats, military members, and religious clerics, has laid the milestone of wealth enjoyed by their offspring. Suharto’s administration whose political and economic orientations were in favour of these groups contributed significantly to this situation. The large landholders, for example, managed to sustain and, in some cases, expand their agriculture businesses by purchasing or renting more lands as well as performing agriculture related businesses, i.e. cattle herding, rice milling, ploughing tractor renting, selling of of chemical fertilizer, seeds, and cattle food in the height of green revolution. They are able to meet agricultural production costs, i.e. for high yielding varieties, chemical fertilizer, pesticides, and regular irrigation water, thus giving them more options to adapt to the ever changing economic, social, and to certain extent, political conditions that influence life in rural areas. Unlike the small landholders who tended to avoid agriculture credits, these wealthy farmers see credits as an opportunity to gain more profits and improve their living conditions. They also manage to utilize the abundant labour in the village and are capable of running various businesses related to urban economic activities, resulting in a situation in which non‐agricultural employment is more accessible for them.

The wealthy households of Gunung Kidul have many characteristics in common with that of Bantul. A quite remarkable difference can be found among local entrepreneurs, which in the case of Gunung Kidul’s are dominated by those who mainly perform businesses in agriculture, forest, and livestock commodities trading. Other businesses include transportation and local shops. Especially in the of the traders, the wide and strong network of traders and vendors has enabled them themselves to keep updated and informed on the dynamic of commodity prices and distribution channels. They are key persons in enhancing the linkage between the farmers who act as producers of local commodities, respectively cassava, maize, soy, timber, etc. and the market. The improvement of road infrastructure, the growth of local economy, and the wider access to credits provided by some local banks, business in the transport sector has been growing

Chapter 5 | 175 significantly in the last two decades in Gunung Kidul. Some people took this opportunity to purchase a minibus or a truck with which they can make profit and accumulate capital. Simultaneously, they buy or rent land located nearby main roads, and then build grocery stores, or restaurant, thus diversifying their income source. They create jobs which are accessible by their unemployed relatives and neighbours. The principle of mutual help applies. Employing “the outsiders” is deemed to be risky because the commitment, the capability, the integrity, and the honesty are perceived to be difficult to count on. Thanks to the secure and regular salary, army members, public servants, and highly salaried private employees have more options to manage, accumulate, and convert their financial capitals to valuable long lasting goods, i.e. jewellery, livestock, land and house. Having good access to the banking system, credit unions, and other credit‐providing institutions, they manage to utilize various financial services, particularly financial savings, deposits, and credits.

5.2.2. The self‐sufficient

The second household type in Bantul comprises approximately sixty per cent of total community members. Included in this category are private employees, cattle trader, middleman of the agriculture commodity traders, and the owners of the local‐based service sector, i.e. small grocery and eating stalls (warung). Many of them are also descendants of the early landholders who had fallen into the state of bankruptcy, due to the pressure from large family size, serious illnesses, indebtedness, or the combination of two or more. Liquidating vital livelihood saleable assets, particularly livestock, and lands inherited from their ancestors was opted as a solution for such difficulties. In Gunung Kidul, this group is characterized mainly by the lack of access to financial and physical capitals. This group is mainly composed of household heads holding between 1 and 2 hectares of land; middlemen of commodity trading; and non‐farm employees. The middle‐ scale landholders cultivate their own land and occasionally rent other’s land based on the crop‐sharing agreement. Investing quite significant financial and human

Chapter 5 | 176 capitals to improve the farm productivity and to gain more profits is distinct feature of this group. Another important characteristic is the awareness of the importance of attaining formal education for their children and the strong motivation to improve their family’s wealth and living condition.

As employment opportunity in the village is so limited, generating income from non‐farm activity in commodity trading and household‐based wood industry (employing less than five workers) are two important options. However, such income generating activities enable them to reach only the level of “self‐ sufficiency” as most profits are withdrawn for domestic consumptions, leaving only petty amount for financial savings and reinvestments. Playing important role as board members in local farmer associations, they are privileged to acquire updated knowledge on cultivation technique, agriculture technology, market information, and social networks thanks to their participation in numerous extension programs held either by public institutions or NGOs. The growth of small enterprises in rural areas was partly generated by the Asian economic crisis that brought about damaging impact on Indonesian national economy between 1997 and 1998. The consequences of the economic bankruptcy could still be felt a few years afterwards. Having lost their jobs, many ex‐urban workers decided to return to their villages of origin. They brought with them savings and severance cash they received from their former companies, and established new business.

Being considered as middle income group, they possess much less capital than the wealthy. They are typically capable of meeting basic and secondary needs. The access to bank service is limited to short‐term savings. Deposits are not really desirable as they are affected by high inflation, the low saving interest rate, the high “administration” cost deduced from their accounts by the bank, and the possibility of bank collapse which can end up in the financial loss on the side of the account holder. The difficult and complicated procedure, the high interest, and the unavailability of collateral have restrained them from withdrawing financial credits. There are two options left for them: accessing credits either from informal money lenders or credit unions. Despite being limited in its amount, the latter is more opted, because credit unions offer relatively low interest rates and more

Chapter 5 | 177 flexible instalment schedules compared to informal money lenders. This type of credit is taken when a significantly large amount of immediate cash is needed, i.e. for the payment of medical treatment, school tuition fee, the settlement of the due debt, etc. To purchase household equipment and the means of transport, they prefer monthly instalment to advance payment. In their views, advance payments tend to erode the household’s financial condition. In addition, the money value is perceived to be devaluating from time to time. The inflation is so significant that delaying the purchasing of desired goods for more than a year is considered to be unwise, time consuming, and economically mistaken. It is also perceived that the periodic instalment opens their “space of manoeuvre” with the cash at their disposals. In fact, this state of indebtedness has in the long run inflicted financial loss, meaning that they are required to tighten the household budget, abandoning – or at least delaying – the fulfilment of other needs more essential to their living, such as health insurance, retirement funds, and necessary house fortifications to minimize the impact of earthquake disasters.

Health insurance is far from being considered as important. In times of critical illness requiring high treatment cost, this group of households potentially falls into bankruptcy. Under such situation, they are also restrained from any investment aiming at generating additional income. Another problem is housing. As the land price inflates highly, only two options are left: either living in the main house together with parents and siblings or building a new house on the land inherited from the parents. Both options have serious consequences. The former option inevitably increases the settlement density, while negative impacts brought about by the conversion of fertile land may occur if the latter option is to be taken. The wealthy and the self‐sufficient groups have a strong interest in investing their capitals in agriculture and forestry. The purchased paddy fields are mostly leased to smallholders who intend to work on the farm and share the profit from the harvested crops. Forest land is never rented to others. The reason is twofold. The first one concerns the minimum need for labour. Much labour is only needed during the land preparing, seed transplanting, branch pruning, and logging. In fact, most forest lands already have quite significant numbers of trees growing on them.

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The second reason is the expectation for more profits from the timber sales. Apart from functioning as saving which can be easily liquidated ‐ thanks to the existence of middlemen of timber business in almost every village ‐ in case of large amounts of cash needed, timber also potentially contributes significantly to the accumulation of financial and natural capitals.

Concerning the human capital, the majority of the couples belonging to this group completed twelve‐year formal education. Some of them are even college graduates. The easier access to elementary and secondary schools, the presence of various affordable vocational courses, and the fact that formal employment is getting difficult to obtain, have raised the awareness on the importance of improving skills by pursuing formal and non‐formal education. Providing that the opportunity of employment and additional income generation in the Yogyakarta region is so limited, there is a trend in recent years among the members of this household category to encourage male children to migrate to major cities in Java, such as Semarang, Bandung, Surabaya, and Jakarta. It aims basically at releasing the pressure caused by the minimum income, on the one hand, and the burgeoning economic burden of raising children, on the other. Similar to the wealthy group, there is a vast eagerness among the members of this group to obtain more knowledge and information on things deemed to be relevant, important, and useful for daily life.

Those who are formally employed by medium scale private companies are insured under the so‐called Manpower Social Security (Jamsostek, stands for Jaminan Sosial Tenaga Kerja) insurance scheme. Unlike the health insurance program for public servants (ASKES, abbreviation of Asuransi Kesehatan – Health Insurance) the service of which also covers the family members, this public insurance is directed only to the employee. The family members are excluded. The premium of this insurance is directly deduced from their monthly salaries. However, most employees are not subscribed to any insurance, either due to their employers’ ignorance or their own hesitations. For them, private health insurance is very costly as they consider that there are other needs which are more urgent to meet. In case of illness, instead of visiting a physician, they consult a nearby paramedic,

Chapter 5 | 179 respectively midwives. In rural Indonesia, midwives trained in the midwives academy have been since the last three decades replacing the traditional midwives. Apart from assisting baby delivery, they are also assigned by the ministry of public health to monitor pre‐natal and maternal health, and give some basic medical treatments to the villagers with illness symptoms, such as headache, fever, cough, and diarrhoea. If the health condition gets worse and a more complex medical treatment is required, there are two options at disposal: taking loan from informal money lenders or liquidating saleable assets, typically a motorcycle or land. Both options potentially bring them into deprivation.

5.2.3. The poor

The poor households in Bantul comprise thirty per cent of the total population, while, in Gunung Kidul, the percentage of the poor equals to those are self‐ sufficient. They belong to the lowest strata of the society. Members of this type of household typically rely on daily intermittent and insecure income, resulting in the inability to save adequately in order to meet future contingencies. Included in this category are manual workers, coolies, sharecroppers, housekeepers, mason assistants, pedicabs and minibus drivers, street vendors, farmworkers, and elderlies. Manual workers, street vendors, drivers, mason assistants, and coolies, for example, earn between IDR 30.000,‐ and IDR 50.000,‐ daily (approximately US $ 3 to US $ 5,‐) from the income generating activity they carry out mainly in the urban and peri‐urban area. Poor health condition and aging are two main challenges they have to deal with when trying to improve or, at least, sustain their livings. Bad working conditions and the high consumption of unhygienic meals, especially lunches, make them highly vulnerable to virus and bacteria‐related diseases, such as hepatitis and typhoid fever. Being low‐skilled, they find much difficulty with getting formal employment and sufficient income to improve their living conditions. Earning less than US $ 70 per month makes the accumulation of financial capital almost impossible. Most part the amount is expended for daily consumption, particularly food, electric bills and taxes, petty loan instalment,

Chapter 5 | 180 pocket money for their children, and social funds in times of funeral and traditional feast (wedding, death commemoration, and birth‐related rituals) taking place in the neighbourhood, and, surprisingly, cigarettes. Poverty has prevented them from accessing formal higher education; saving money; purchasing reliable means of transport; and building earthquake‐proof houses.

The human capital of this household type is marked by the low attainment of formal education; relatively poor access to information and knowledge; and proneness to sanitary and hygiene‐related diseases. Especially the case in Gunung Kidul, most members of this group completed less than nine‐year basic education. Cost has been the main constrain of the school participation. The ministry of education and the district government have been organizing programs aiming at ensuring that all children go to school at least until the completion of nine‐year basic education, i.e. the exemption of tuition fee and small grants for the poor. Nevertheless, this poor group considers that formal education is virtually inaccessible as they are still required to cover other school‐related costs, e.g. uniforms, text books, school utensils, and transports. The second characteristic of this group is the reliance on the broadcasting of local radio and national analogue television programs in getting information. None of them are subscribed to either internet or printed media. Information concerning government’s program directed to villagers and important knowledge, i.e. newest agriculture technique, sanitation and hygiene, farmer credit opportunity, etc. are mostly obtained from the hamlet headman or neighbourhood leaders through meetings held by farmers associations and local‐based community organizations. Concerning the health condition, it is revealed that the members of this household group are worried that they will get sick due to the following reasons: exhaustion because of too much work, polluted drinking water, and unhealthy meals. However, medical treatment cost is considered as accessible, thanks to a public insurance program called Jamkesmas (Jaminan Kesehatan Masyarakat). Launched nationally in 2009, this program is designed for the poor in order to make them capable of paying all costs incurred when receiving medical treatments in public hospitals.

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5.2.4. Access to social capital

Most household heads living in rural Yogyakarta are members of several community‐based social organizations. Each of them has distinct objectives, but in general every one of them aims at achieving economic, social, or religious goals. Organizations addressing economic concerns include farmers associations, locally called kelompok tani; livestock keeper associations, locally called kelompok peternak; credit union groups, locally known as kelompok simpan pinjam (lending and borrowing group ‐Eng). Religious organizations include kelompok yasinan, the members of which are adult males of the community; kelompok yasinan ibu‐ibu, the members of which are adult females, kelompok shalawatan, the members of which are adult females; and remaja masjid, the members of which are both male and female teenagers. Kelompok Rukun Tetangga, whose members are all family heads living in the same RT (neighbourhood); kelompok PKK dusun, whose members are all wives living in the hamlet; and kelompok dasa wisma, the members of which are between 10 and 15 wives living in the proximity of certain RT are other types of organizations operating in the village. A common characteristic of these organizations is that each of them manages petty cash collected monthly from their members, the purpose of which is to provide a small amount of financial aid for those who are being hospitalized.

Referring to the official data published by the office for statistics, there are 38 political, 23 religious‐based, 11 education‐based, 5 youth‐based, 50 public, and 26 professional organizations in Bantul (BPS, 2010). Due to the lack of detailed category, the data from the office of statistics of Gunung Kidul revealed that there are 44 social organizations and 144 youth organizations. It is through these organizations that people get to know each other, share ideas, suggest problem solving, strengthen, and access larger social networks outside the villages. As also the case with other livelihood assets, access to sources of social capital is unequally distributed between these three household categories. The higher the social hierarchy to which particular household belong, the more and the better the access is. At the top of the hierarchy are the wealthy. Socially, the wealthy household members are part of a class called priyayi, a prestigious social group that has

Chapter 5 | 182 emerged to replace the traditional court aristocrats whose position and role in society has been declining following the introduction of the modern governmental system by the Dutch and Japanese colonial powers from the early to mid‐twentieth century. One of the most desirable careers among rural inhabitants is public servant. This is due to its prestigious status and the wider access to social network, banking system, and sources of knowledge.

Public servants living in rural communities can obtain several social and, to certain extent, political benefits. They take part actively in policy and decision making processes at various administrative levels. This dominant role has been continuing after the independence and has been accelerating during the Sukarno’s era and his successors. In numerous cases, they are a reference group and key persons representing communities in negotiations with other parties, i.e. higher level administration, private companies, and other communities. Under the new order era, they had acted as political apparatus the function of which had been maintaining people’s loyalty, mobilizing people’s support for the ruling government and the ruling party, and ensuring that all government’s programs are well‐conducted. With a wide social network, good knowledge, and interpersonal skills, it is much easier for them to get accepted by the community at large, making them capable of utilizing this social capital to achieve political objectives. The self‐ sufficient group also maintains social network at village level, particularly at farmer organizations and common‐interest groups. In a few cases, due to their skills and capabilities, they are appointed as key individuals in such organizations, typically as secretaries or treasurers. However, most of them fall into the category of “the ordinaries”.

For the poor, the network is limited to family‐tie and neighbourhood relation, which restricts them from accumulating social capital. In addition to such formal organizations, every community member is also engaged in the relations of mutual‐help, locally‐called gotong royong. This practice is based on ideas that: (1) every community members is basically always dependent on each other and that good mutual relations have to be well‐maintained; and (2) they should always be available of helping others (Sajogyo, 2002: 17). Koentjaraningrat (1974: 61 ‐63)

Chapter 5 | 183 stated that gotong royong consists of two categories: mutual‐help and kerja bakti (see Figure 5.3). There are four types of mutual‐help practice in Javanese rural areas. The first one is so‐called sambatan, a voluntary mutual help among neighbours in farm activities. With no financial wage involved, the host is only required to provide meal and lunch to helpers. Guyuban refers to activities conducted within houses and home gardens by neighbours living in proximities. They carry out together small works in the home garden and the surrounding area, such as replacing wooden/bamboo walls, fixing house roofs, digging sanitary channels, etc.

Figure 5.3. Taxonomy of “gotong royong”

Gotong Royong

Mutual‐help Kerja bakti

Guyuban (around sambatan (on‐ Njurug (ritual layatan (funeral ‐ house and home Bottom‐up Top‐down farm activities) feast) related ritual) garden)

Adapted by Nurhadi from Koentjaraningrat (1974, as quoted by Marzali, 2005)

However, both sambatan and guyuban have been since the last several decades absent from the daily life of Bantul’s villagers, following the monetization trend in farm activities. The third one is the so‐called njurung, a mutual‐help involving relatives and nearby neighbours, particularly in feasts related to rites of passages, such as circumcision, wedding, birth commemoration, death commemoration, etc.

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The last one is the so‐called layatan, a help given to community members who are in the state of condolence due to the death of their family member. Closely related to the layatan is a procession called . Beatty (2004: 24) defined it as “….a ceremonial meal consisting of offerings, symbolic foods, a formal speech, and a prayer.” This activity promotes the state of rukun, meaning social harmony, a value considered as the ultimate foundation of a Javanese village community, among its members. In addition, it also gives a secure feeling and enables the sustenance of reciprocal help practices (von Benda‐Beckmann, 2000: 9).

Kerja bakti refers mainly to activities carried out together by all male community members aiming at building, maintaining, or repairing public facilities such as village pathways, irrigation channels, public toilettes, and prayer houses. It is conducted either by self‐initiative of community members or by the instruction of rural elites. This practice used to be a kind of taxation system imposed by pre‐ colonial states to their people, as they did not possess any significant goods or financial capitals. Under the colonial rule and new order regime, this activity was part of the way villagers expressed their obedience to the authority holder. These practices have been endorsing a sense that “everybody works for every other”; sense of togetherness; solidarity; strengthening social tie and trust among community members. Another noteworthy aspect of social capital among rural inhabitants is the orientation toward the extended family. There is a strong tendency to help family members first prior to helping others. It is especially the case with business opportunities, job information, and external aid in times of crisis.

5. 3. Impact of Disaster Events on Household’s Assets

5.3.1. The decline of human and natural assets

Particularly among the self‐sufficient and poor households, water scarcity events have caused significant decline in human and natural assets. Dry season on Gunung Kidul dries out most accessible surface water in nature. The incapability of the thin soil of this hilly area to keep water in a longer period prevents agriculture land

Chapter 5 | 185 from being cultivated. When the dry season lasts longer and the water stored in the house water container is almost run out, these households decide that they should sell one or two of their remaining trees to purchase water. Health is always a serious concern when the clean water begins to be difficult to get in the nearby basin, underground rivers and water springs. Under this situation, these households rely on the rainwater stored in the home water reservoir for drinking and cooking. The insufficient hygienic standard of water caused digestion‐related disease. The most common illnesses are diarrhoea and typhoid fever. Another factor that contributes to the decline of human capital is the tendency toward the neglecting of formal education in times of water crisis. Many children aged between 13 and 17 leave schools temporarily to help their parents with collecting water. In numerous cases, they even leave school permanently due to financial matter as the priority is given more to the fulfilment of daily needs. The poor households of Bantul got deprived of human capital. The earthquake had caused many deaths, physical disabilities, and serious injuries. Many of those victims were productive‐age family members who were responsible for the sustenance of their respective households. Death means the impairment of economic opportunity. Physical disability means very limited employment option. Serious injury means significant delay of income generation activities. Despite the commitment of the government in providing insurance to all hospitalized disaster victims, due to the poor standards of medical treatment, close relatives of the patients had to devote much time and spend quite significant financial means to look after or at least accompany the patients during their stay at the hospitals. The situation was worsened by the fact that almost all hospitals were located quite far so that they could only be reached by car or motorcycle. The situation eroded productivity of those who were employed.

5.3.2. The deprivation of physical and financial assets

The deprived physical asset was mainly contributed by the serious damage of houses, storages, warehouses, and means of transport. Depending on the pre‐

Chapter 5 | 186 existing building quality, the housing conditions in the aftermath of the disaster event varied from total to light damage. Eighty percent of the houses were reported to have totally collapsed, their walls were tumbled, and their structures were destructed.

Figure 5.4. Asset status after the disaster event

H

The Wealthy S N The Self‐Sufficient

The Poor

P F Bantul

H

N: Natural

S N F : Financial

P : Physical

S : Social

H : Human

P F Gunung Kidul

Adapted by Nurhadi from PRA and in‐depth interview in 2010

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Others were reported to have experienced light to medium‐scale damage, i.e. broken window glasses, partial roof losses, roof collapses, and cracked walls. Those which were totally damaged were houses mostly built between the 1970’s and 1990’s. It was a period when the modern techniques began to influence the construction of rural houses, gradually replacing the traditional Javanese house which was mainly made of wood, bamboo, and ceramics on their roof. Prior to the disaster event of 2006, there had been awareness among the wealthy of the importance of fortifying the building structure. It resulted in the growth of houses which were mainly made from fortified concrete. The better road infrastructure connecting the rural and to the urban area had opened the market for modern building materials, as indicated by the rapid growth of small and medium‐size stores selling materials needed for house construction. Cement and steel had entered the rural construction market.

However, many people decided not to rebuild the old houses the walls of which were made from a combination of red brick and soil. This was the case because of three reasons. First of all, those houses were mostly inherited from their ancestors, typically parents or even grandparents, which were built between the period of 1960s to the mid of 1980’s or even earlier. For many, heritage was something to preserve. Modifying the floors, adjusting rooms, colouring the interior walls, and replacing the broken roofs are possible to do. Changing the form and shape of the house which consequently require the builder to change the building structure are avoided. Secondly, the absence of earthquake events that significantly affected the building condition during the four‐decade period created a sense of safety in such a way that house fortification was not necessary to do. Thirdly, there were other goals deemed to be more important to attain than house modification, i.e. pursuing education, accumulating wealth, running business, or purchasing means of transports.

House damages have brought about other consequences. Much financial assets were absorbed by the building reconstruction projects, reparation of machinery as well as means of transports. The devastation of walls, roof collapses and a heavy rain that fell two days after the event had broken most electronic devices, vehicles,

Chapter 5 | 188 furniture, household tools, kitchen utensils, beds, sleeping mattresses, and clothes. House owners also had big difficulty with finding the jewellery and other valuable goods as the volume of rubble was enormous. In several cases, they were left buried under the ruins. To cope with that situation, a valuable amount of bank savings was withdrawn. Those who managed to find valuable goods finally had to liquidate them for cash following the urgent need for medical treatment and house rebuilding. Apart from jewellery, livestock, and other saleable assets were also liquidated, most of them at lower price as the buyers knew exactly that the sellers needed cash immediately. For the self‐sufficient and the poor, the disaster event had aggravated their lives even further. Numerous construction projects, both in the rural and the surrounding urban area halted for a couple of months, leaving many people who generated income from these activities unemployed. The destruction of warehouses, storage buildings, and local factories also prevented small‐and‐medium scale manufacture industries from further operation. The income source was getting limited prior to the commencement of the rehabilitation and reconstruction program targeted at housings, public facilities, and infrastructures. Housekeepers employed in the affected area also lost their jobs as the host focussed more on the recovery from disaster.

Figure 5.5. Inflation of building materials’ price (in per cent)

200 180 160 140 Cement 120 Steel 100 Sands 80 Pebbles 60 Wood 40 Roof 20 0 Foundation Stone 07 07 07 07 07 07 07 07 07 06 06 06 06 06 06 07 07 Bricks ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ ‐ July July May June April March August August January October October February December November November September September

Adapted by Nurhadi from field survey held in 2010

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The situation worsened as the rebuilding cost increased highly. Between the mid of 2006 and the end of 2007, the price of building materials at the local market inflated up to 180 per cent. A quick survey in 10 local stores in the districts of Piyungan and Pleret came up with the result as shown in the Figure 5.5 of page 188. Due to intensified building activities price inflated sharply between March and November 2007. The rainy season of 2007 was about to end in March. All victims had finished collecting and selecting the usable building materials from the ruins. They were prepared to leave the temporary shelter and rebuild the damaged houses. Rebuilding costs had also been calculated. At the same period, government was beginning to distribute cash to family heads whose houses were damaged. As a rule, the seriously damaged house received IDR 15,000,000,‐ (approximately US $ 1,500,‐ ), while the fairly damaged ones received IDR 10,000,000,‐, and the lightly damaged got IDR 5,000,000,‐. As most house reconstruction projects were carried out during the long dry season of 2007, the demand for building materials was bourgeoning. Another important factor that affected the rebuilding cost significantly was the increased wage of construction labour. Prior to the disaster event, a mason received IDR 27,000 per day plus lunch and snack. During the disaster reconstruction phase, the wage reached IDR 40,000 per day. A mason assistant was paid IDR 20,000 prior to the disaster event, but it turned to be IDR 30,000 per day after the event. The high demand for construction workers during that period could not be met by the local labour market. Consequently, hundreds of labourers from the neighbouring districts were employed.

5.3.3. The improved social asset

These three household categories enjoyed the improvement of social capital, mainly due to the multiplier effect of the housing reconstruction activity. In order to manage the distribution of direct cash payment from the government, all residents of the affected sub‐districts were instructed to form community‐based groups. Each was composed of between 10 and 15 families. In every hamlet, a board consisting of individuals who were in‐charge voluntarily with coordinating

Chapter 5 | 190 the reconstruction activity was also established. Being considered as being either more influential, skilful, respected, or knowledgeable than other villagers, family heads of the wealthy groups were typically appointed either as the coordinator of the community‐based groups or the board members. This paved the way for the widening and strengthening of the social network they had. They had more opportunities to establish and maintain relations with decision makers at the district level and representatives or key persons of NGOs operating at both national and, in many cases, international level. It was also the moment for them to tighten other previously‐loosen or even forgotten relations, mainly based on the extended family and common interest. For example, Hasbi, a 46 year‐old local entrepreneur, recalled the situation that three days after the disaster had hit his village, several old friends living in other cities with whom he almost had lost contact phoned just to ask him about his condition. Prior to closing the conversation, six of seven callers offered tents, rice, clothes, baby diapers, biscuits, and petty cash to him and other victims living in the vicinity. For the self‐sufficient and the poor groups, the improved social capital was mainly contributed by the strengthening of social ties among community members and the good access to decision makers. Neighbours, relatives, and friends expressed more concerns about the post‐event situation, showed more solidarity, offered generosity, and were available to be asked in case support was needed. Two social practices, mutual‐help and voluntary security patrol, were revitalized. Mutual‐help among villagers in the aftermath of the disaster event was practiced especially for rubble cleaning activity and house rebuilding. With the presence of security patrols, people who stayed at communal temporary shelters had less concern about losing valuables in their former houses

5.3.4. Seizing the opportunity

Despite numerous miseries, the post‐disaster situation provided some opportunities for many people. The wealthy groups, especially entrepreneurs who had wide access to the bank credit system, were able to take an opportunity from

Chapter 5 | 191 the situation which was considered by many as difficult. Data collected in this research showed that at least 20 new stores selling construction materials were established in both sub‐districts in the early 2007. Others invested more capital in transportation and took much profit from it, following the increased demand for sands, one of the most essential materials needed by all who rebuild their houses. The ripen paddy could be harvested a month after the disaster event. The absence of rain from June 2006 to the end of November of the same year had enabled the harvested paddy to be dried, milled, and eventually consumed or sold. Providing that many permanent rice mills were seriously damaged, the farmers took the service that mobile rice mills provided. Farmers who cultivated less‐irrigated lands took this opportunity by soil extracting to meet the increased demand for red bricks. This production had some advantages, especially as it required less financial capital and skills. The product was also, during that period, highly marketable. Those who were previously unemployed worked as mason assistants in housing reconstruction projects. Those who were previously employed as mason assistant could “upgrade” their position as bricklayer. The construction worker’s wage also increased following the high demand for labour of this employment sector. The growth of new construction stores opened employment opportunities both for women, as store assistants or cashiers, and for men, typically as drivers or coolies.

The wealthy households of Gunung Kidul were not significantly affected by the water scarcity event. They are capable of purchasing a large volume of clean water in order to meet their daily needs, i.e. drinking water both for the family members and the livestock, cooking meals, laundering clothes, taking bath. In addition, many of them take opportunity from the water scarcity by running commodity trading and transports businesses. Water and livestock fodders are of two most saleable and profitable commodities in times of water scarcity. In Saptosari and Tanjungsari, water is obtained from underground rivers situated nearby the Baron beach and from water springs located in the alluvial plain of Bantul, particularly some spots located the Imogiri sub‐district. Fodders are also mostly obtained in the Bantul district where the cultivation of cash crops is possible even in the dry

Chapter 5 | 192 season, thanks to the abundant water channelled through river‐based irrigation system.

5. 4. Strategies

As that the nature of risk differs, certain strategies might be applicable only to one or two risk categories. To cope with other situations, other strategies considered to be suitable are commonly developed. Strategies are always subject to evaluation, modification, and to some extent, adjustment to anticipate future crisis. These technical knowledges and skills are obtained from various sources, such as oral traditions, mass‐media, scientific findings, education, source persons, community empowerment and extension programs, etc. Combining several knowledges and skills is a common practice that people develop in Box 5.1. Law No 24/2007 on Disaster Management coping with particular adverse condition. In the According to Law No. 24 2007 on Disaster Management, disaster is defined as any event that threatens and disrupts human’s lives and context of rural areas, society’s livelihoods, either caused by natural and/ or non-natural strategies can be put into factor as well as that of human, resulting in the deaths, environmental damage, assets loss, and psychological effects. The type includes two main categories: farm climate change, conflict, drought, earthquake, earthquake and tsunami, and non‐farm. Each of them epidemic, eruption, fire, floods, floods and landslide, forest fire, industrial accident, landslides, plague, strong wind, surge, terrorism, can be divided into two sub transportation, tsunami. It is likely that this category and, categories: short term and consequently, data included in it does not match with the criteria used by a more cited source, such as EM-DAT, which requires that in order long term. People develop to be put into its data base, certain event should fulfill four criteria: (1) short term strategies which ten or more people reported killed; (2) 100 or more people reported affected; (3) a call for international assistance; and (4) declaration of a aim at meeting immediate state of emergency. needs, and long term strategies which aim at ensuring the livelihood security (Mula, 1999: 138).

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5.4.1. National law and regulation

Responding to the increasing trend of death and losses caused by disasters, the Government of Indonesia has enacted numerous policies and measures. Before the legalization of Act No. 27 / 2007, disaster issues have been addressed elsewhere. Act No 7 / 2004 on Water Resource whose several articles mention water‐related disasters and Act No 4 / 1984 on Epidemics which outlines regulations pertaining epidemics‐related disasters are among the examples. The Boxing‐day mega tsunami in 2004 in

Sumatra opened a new Box 5.2. Important Articles in Disaster Management Law opportunity window for a Article 6: new paradigm and (1) Disaster management plan mentioned at Article 5 (a) is part of approach of disaster‐ development planning. related policy. Initially (2) Disaster management plan mentioned by point 1 is to implement started by CARE based on disaster risk analysis and disaster management measures described at disaster management programs and budgets. International in 2005, a proposal for an Act (3) Disaster management plan mentioned by point 1 consists of: a. assessment and study on disaster threat; b. recognition of society’s emphasizing on a more vulnerability; c. analysis of possible disaster impacts; d. options comprehensive approach available for disaster risk reduction; e. decision on preparedness mechanism and disaster impact management; and f. allocation of of disaster management available tasks, authorities, and resources. was then handed over by Decrees signed by the head of BNPB in 2008 are as follows: (1) the House of Decree No.1on Organization and Governance of BNPB; (2) No. 6 on Procedure for Ready-to-use Budget Allocation; (3) No. 7 on The Representatives and Distribution of Basic Needs Aid; (4) No. 8 on The Guidance of accepted by the Distribution and the Allowed Amount of “Condolence” Fund; (5)Decree No. 9 on Working Procedure of Emergency Response Unit government. Since then, ; (6) 10 on Guidance of Commands during Emergency Responses; (7) the Indonesian government Decree No. 13 on Management of Logistic and Equipment during Emergency Phase. has actively advocated disaster preparedness, shifting the approach from an emergency response to a risk management approach (Lange, 2009: 197). Having undergone a series of long discourses and debates involving scholars, parliament members, the government, and the civil society, Act No 24 / 2007 on Disaster Management was finally enacted and legalized by the

Chapter 5 | 194 government and the parliament. Before the finalization of this Act, BNPB, which was proposed to be established at the regional level had only very limited authority. Without being required to develop or conduct pre‐disaster measurements, this institution undertook its duty only after a disaster occurred. Such radical shift in awareness took time between the period of 2005 and 2007.

Among the main objectives of disaster management, according to this Law, are: (1) to protect society from disaster threat; (2) to ensure and enhance the operation of planned, integrated, coordinated and holistic disaster management; (3) to build the participation and partner‐ship of both public and private sectors; and (4) to encourage the spirit of co‐operation, solidarity and philanthropy. By this Act, disaster management is defined as a series of efforts consisting of decision on development policy, disaster prevention, emergency, and rehabilitation measures. It also regulates authorities and responsibilities of the central and regional governments, public institution, societies’ rights and responsibilities, and the role that international agencies can play. Law Number 26 / 2007 on Regional Planning Management and Law Number 27 / 2007 on Management of Coastal Areas and Small Islands supplement this disaster management Act. The legalization of this Act has been followed by various operative regulations. The Law No 21 / 2008 on the Procedure of Disaster Management is worth mentioning. In general, this law systematically describes activities and measures which are grouped into three phases of disaster management: pre‐disaster, emergency, and post‐disaster. In this regard, disaster management is understood as a holistic and proactive measure covering disaster risk reduction, emergency responses, rehabilitation, and reconstruction. It requires cooperation among stakeholders whose functions and roles are complementary. Functioning as an operational guidance for decision makers when dealing with disaster, this law also emphasizes the integration of disaster management into development planning of national and regional levels. Along with environmental protection, disaster management is addressed by the Indonesian National Board of Development Planning (BAPPENAS) as one of 11 development priorities of Rencana Pembangunan Jangka Menengah (Middle Term Development Plan) 2010 – 2014. This law also acknowledges and clearly holds that

Chapter 5 | 195 studies on hazards and society’s vulnerabilities and analysis of possible disaster impacts and disaster reduction are important points of departure in developing a disaster management plan (Article 6).

The head of BNPB signed seven decrees which are mostly concerned to emergency responses. In 2010, BAPPENAS published the National Plan for Disaster Management 2010 – 2014. Based on an analysis of hazards, vulnerabilities, capacities, and risks, this four chapter document addresses issues, problems, threats, opportunities, institutional management, policies and strategies, relevant programs, budgets, and monitoring as well as the evaluation of disaster management.

Table 5.2. The “old” and the “new” approaches to disaster management in Indonesia

Old New Paradigm Emergency Mitigation, emergency, rehabilitation, and reconstruction People’s Participation Mobilization/passi Active participation ve Integration to the development Separated from Integrated to the planning the development development planning planning Mitigation approach Vulnerability Risk Analysis (integrating vulnerability and coping capacity) Integration to regional Not integrated Disaster management is planning integrated to the regional planning Adapted by Nurhadi

It identifies and maps each region according to its specific hazards. At a regional level, several governments have formed the Regional Board of Disaster Management, which functions as an umbrella organization performing its coordinative role in disaster management. Members of this board consist of

Chapter 5 | 196 bureaucrats, professionals, and civil societies. Regional governments have also published legal documents regarding the operational procedure of disaster management. West Sumatra, Aceh, Yogyakarta, West Nusa Tenggara, East Nusa Tenggara, and Bengkulu are among the examples. Nevertheless, most legal documents published by the government hold on the importance of technocratic intervention mechanisms and give much more attention to emergency response and rehabilitation, leaving less than twenty per cent “space” for mitigation aspects. Similar to what Smith (1996) calls the “behavioural” paradigm, this approach conceives disasters as “… events caused by physical hazard agents … emphasizing the application of science and technology, usually directed by government agencies and scientists, to restore and control hazards …” viewing human behaviour simply as a response to the impacts of such hazards (Bolin, 1998: 27). It has been shown that in Brazil the top‐down, technical, and emergency approaches have failed to address long term solutions for the most vulnerable groups (Melo‐Branco, 2005: 62).

5.4.2. Policy context

On July 17, 2006, approximately two months after the earthquake event, Bappenas published Rencana Aksi Rehabilitasi dan Rekonstruksi Wilayah Pasca Bencana Gempa Bumi di Daerah Istimewa Yogyakarta dan Jawa Tengah (Eng. Action Plan for the Rehabilitation and Reconstruction of Regions in the Post‐Event of Earthquake Disasters in the Special Province of Yogyakarta and Central Java). This document contains valuable accounts of the general description of the affected area; the assessment of damage and loss; policies, principles, and strategies for recovery from disaster; financial, institutional, and controlling aspects; and the disaster risk mitigation. Measures should address, five sectors: (1) housing and settlement; (2) infrastructure; (3) social; (4) economy and production; and (5) other sectors, i.e. environment, governance, finance and banking, and social order. The main objectives of these measures include the availability and the reliability of healthy, well‐organized, and quake‐proof houses; the functioning of infrastructure, public

Chapter 5 | 197 services, and the regional economy; and support for local economies and income generation activities in the disaster‐prone area

This document also describes specific activities that are grouped into five concerns, i.e. physical planning, construction and engineering, economy, institution and management, and community empowerment. The action plan evolves? from the necessity in conducting intensive studies on disaster risks both at the local and the national level, the results of which are used to develop disaster‐risk‐reduction‐ based spatial planning. The next action to conduct is the establishment and the improvement of early warning systems, followed by the development of infrastructures, tools, and facilities functioning as mitigation and disaster risk reduction. The third one concerns disaster risk analysis by assessing the probable damages and losses caused by disaster event. Included in this activity is the evaluation of the capacity of disaster‐prone regions in disaster mitigation and the strengthening of the economic system, i.e. endorsing income diversification; improving insurance system; and firming up mutual cooperation between local communities and bank, insurance company, and other financial institutions. Concerning the community empowerment, emphasis is given more on the development of information sharing and distribution; the upgrading of people’s awareness on disaster; and the intensification of disaster‐related scientific research.

The regional law No. 8 / 2010 on Disaster Management in the Yogyakarta province was enacted in 2010. Several important points are worth mentioning in this regard. First of all, this regional law explicitly calls for the society’s equal right to participate in planning, implementing, deciding, monitoring and evaluating disaster management programs, particularly in their own communities. Secondly, it proposes the establishment of multi‐stakeholder and multi‐level forums, whose members are public officers, education institutions, mass media, civil society organization, and chambers of commerce, serving to accommodate disaster management initiatives in societies. These forums are proposed to play an active role in creating a regional action plan for disaster management; mainstreaming disaster risk reduction; promoting disaster awareness and preparedness of the

Chapter 5 | 198 society at large; and participating in monitoring of disaster management programs. Thirdly, this regional law emphasizes a need in understanding of society’s vulnerability. The regional government of Yogyakarta seeks a more participatory approach in dealing with disaster threats that its region deals with. This regional law is in line with the shifting attention to a more structural approach in disaster management particularly on social factors and their specific expression in the inequitable conditions that affect the daily life of the people. It views natural disasters more as a result of social, cultural, political, and economic forces that structure and organize the lives of the people and the spaces they inhabit.

The district government of Bantul anticipates disaster events by enacting a regulation that integrates risk analysis into the spatial planning. This regulation states that it is prohibited to build houses and public facilities in high risk area. Houses, schools, hospitals, and religious buildings can be built on the medium‐risk area, but it should be in compliance with the codes of quake‐proof building. In Gunung Kidul, as discussed in the chapter 3, due to the domination of limestone, water in the southern part can be only found beneath the karst layer, in the telaga, and in the rain water tanks. The water volume of the first source is abundant, also available during dry season, while the second and the third tend to diminish following the declining precipitation. Responding the existing natural condition, the government of Gunung Kidul has legalized the District Regulation Number 3 of 2011 on Regional and Spatial Planning. Tanjungsari and Saptosari are among twelve districts declared as drought‐prone areas. According to this regulation, to address the water scarcity problem, the following measures are to be conducted: (1) land rehabilitation; (2) the development and utilization of the river area; (3) the development and rehabilitation of water resources; (4) the regulation that concerns land‐use and ground water management; (5) the maintenance and rehabilitation of telaga; (6) the development of rainwater harvesting facilities and artificial aquifer; and (7) the development of household‐based water storage systems.

The measure began initially between 1969 and 1971, when the regional government of Yogyakarta, assisted by McDonald & Partners, an English consultant

Chapter 5 | 199 company, was conducting underground water exploration project in Gunung Kidul. Published in 1971, the document entitled Kali Progo Basin Study, reported that they had explored ground water sources in 32 spots in the Wonosari basin for the irrigation of approximately 1,200 ha of agricultural fields. Aiming at alleviating the water scarcity problem in the karst area, the project continued to search for underground water sources in the Gunung Sewu zone. A significant finding was that the ground water located in the Wonosari basin was connected to underground water channels in the Gunung Sewu zone. It was also discovered that 42 out of 246 caves found in the southern hills of Gunung Kidul had the potential for providing clean water. Four caves are important to mention due to the significant water debit: Bribin (800 litre/second), Seropan (850 litre/second), Ngobaran (120 litre/second), and the river mouth of the Baron (+ 4000 litre/second) (see, for example, Eksplorasi dan Eksploitasi Air Sungai Bawah Tanah Bribin di Gunung Kidul, a report on the exploration of underground river in Gunung Kidul by Bambang Sri Hastoto in 2009). In cooperation with the Technology University of Karlsruhe – Germany and other Indonesian scientific institutions, the government of Yogyakarta has started in 1999 to build infrastructure for the pumping and distributing of these explored underground water to houses situated in the water‐scarce area.

Apart from the exploration of underground water source, the district government worked together with World Bank and UNICEF to commence tap water pipeline installation, water source protection, rainwater harvesting, permanent household‐ based water container, and water pump construction, the eradication of environmental degradation through reforestation, road and bridge construction and improvement, and clean water donation project since the early 1980’s. A local newspaper reported that, involving the regional office of social affairs, the district office of manpower, the regional office of health, and the department of public work, ten underground streams had been pumped out to alleviate the water crisis of 1982 (KR, Ocotber 19, 1982). Between 1990 and 1995, the government of Yogyakarta province built a clean water pipeline system that was capable of providing drinking water for 75,000 people. However, the inflation of the oil price

Chapter 5 | 200 had increased maintenance costs, resulting in a situation in which the utilization of this technology became too expensive. As a result, the plumbing network was not maintained. The foundations of several buildings were fractured. Metals used in this installation were corroded. The erroneous planning and parts assembling resulted in pipe leaks in numerous spots. When this research was carried out, many pipes in the Saptosari sub‐district were left empty without any water flowing inside.

Dian Desa, a local NGO, along with UNICEF pioneered and financed the construction of home‐scale concrete rain water harvesting installations in the era of 1980’s.

Picture 5. 1. Rainwater harvesting and water reservoir

Photo by Nanik Irnawati

Other measures the eradication of environmental degradation, infrastructure improvement, and clean water donation.

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Initially centralized in Tepus, a sub‐district mostly affected by water scarcity, the establishment of these reservoirs encouraged people in other sub‐districts that faced similar water scarcity problem to build the similar construction. Due to their poor economic conditions, villagers organized themselves in groups to collect money on regular basis to build these containers in each member’s houses. Nowadays, eighty per cent of households have their own concrete reservoirs. Despite the high cost, the insufficient volume, and the poor water quality after being stored for longer period, the technology has been opted due to its uncomplicatedness. The rainwater falling on house roofs was channeled and stored in the water reservoir. Last but not least, the district government of Gunung Kidul allocates an expenditure of IDR 147 Billion to address the water scarcity. Programs commenced in 2010 and planned to be accomplished in 2015 include the development of clean water facility; the service and rehabilitation of social welfare; the development and improvement of irrigation, swamp, and other water sources; the improvement of clean water management; and the food security program (Pemkab Gunung Kidul, 2010).

5.4.3. Farm strategies at household level

5.4.3.1. Combining subsistence and commercial agriculture

Despite of high soil fertility and abundant water, agriculture in Bantul is limited by the small landholdings bad access to the market system. The average landholding is just 400 m2. It results in minimum yields, the incapability of the agricultural sector to meet the daily need, and the dependence on market dynamics and fluctuating commodity prices. In addition, options available on the agricultural sector in Bantul have been diminishing due to the population growth that increases the demand for permanent buildings, i.e. housing, industry, service sector, and infrastructures, causing rampant land conversion. As mentioned in the previous sector, it is nowadays getting more difficult to figure out whether most parts of Banguntapan, Kasihan, and Sewon sub‐districts, for example, are urban or rural. Situated in adjacent to the city of Yogyakarta, new housing complexes,

Chapter 5 | 202 universities, offices, shops, warehouses, and the service sector grow fast, attracting investment in the property business sector. Land price inflates uncontrollably. Lands situated closer to the urban area have been mostly occupied by investors with large amount of capital, pushing the smaller investors to the periphery. Gatot Irianto, in an article published by the Kompas daily of August 30, 2002, proposed two concepts: betonisasi (the massive development of concrete rural road) and aspalisasi (the process of road asphalting). Both are terminologies used to define the conversion of permeable fields to impermeable industrial and settlement complexes. The rapid land conversion, accordingly, apart from the diminishing value of agricultural products, is also due to the increased input and risk of agricultural production In addition, the law enforcement has also been poor. Moreover, during the national economic “boom”, the government incentivized investors in order to achieve the purported economic growth.

In the past, the practice of mutual help in farm activity was common. Somebody belonging to a certain community used to be obliged to help neighbours and relatives, especially in land preparing, weeding, and harvesting. With the implementation of intensive cultivation which aimed at achieving rice self‐ sufficiency, other measures, particularly fertilization, pest control, and harvesting were required. With the abundant water and quite reliable irrigation infrastructure, farmers are able to practice intensive rice cultivation twice a year. In several occasions, e.g. a poor harvest of the previous season, very high precipitation, less need for cash, and more need for rice, farmers cultivate rice three times a year. During the east monsoon period when the precipitation is lower than during the wet season, cash crops such as maize (Zea mays), beans (Phaseolus vulgaris), and ground nuts (Arachis hypogaea) are cultivated. These brought about financial consequences. Farmers began to think in the loss‐profit framework. Each landholder seemed to run after time and compete with others to improve the yield.. However, as numerous research findings have suggested ‐ and as shortly discussed in the previous chapter – the farmers’ capability to implement the modern cultivation system were not equal (see, for example, Lyon, 1972; Collier, 1987; and Tjondronegoro, 1990). A slight number of them, the wealthy farmers,

Chapter 5 | 203 were able to meet nearly all requirements, while the poor, due to their smaller capital entitlement, could only manage to implement parts of the new system. The larger landholdings of the wealthy farmers enabled them to access credits in order to gain more profits, the enlargement of land control, improvement of the agricultural enterprise, and the diversification of income sources. They manage their farms in a similar way to business managers who put the profit‐loss consideration as the guiding principle.

Based on two assumptions, i.e. that it is carried out on leased land, and that the irrigation cost is zero, the above cost‐benefit analysis reveals that agriculture is profitable when the business scale (the land size) is large. In fact, less than 1 per cent of the total farmers in the researched villages control more than one hectare of agricultural land. In addition, less than two per cent of all farmers cultivate rice on more than 1 hectare. Data published by the district government of Bantul in 2010 showed that the average landholding of the population inhabiting this district is just 0.4 ha (BPS Bantul, 2010). To cope with the increasing production cost, farmers “cut” several costs. First, nitrogen fertilizers, known locally as Urea and ammonium sulphate (NH4SO4), known as ZA are mostly used to improve the yields, while other types of fertilizers tend to be neglected. To minimize labour costs, seeding, pest controlling, fertilizing, and weeding are conducted by the household members, while land preparing and transplanting inevitably require external labours. Another way to minimize the cost is to involve other farmers in harvesting activity. Instead of cash, they offer paddy residue as a compensation for the work these fellow farmers have done. A law of mutual help applies in this case: a farmer should also be available of helping others with harvesting.

The poor farmers are left with four options at disposals: (1) retaining the farm activity at the existing scale but being prone to impoverishment; (2) leasing parts or the whole owned land to other farmers (adol tahunan) (3) selling a whole land, seeking for other sources of income from farm or non‐farm activities; or (4) leaving the agriculture sector forever.

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Table 5.3. Cost and benefit of agriculture business (per ha in IDR)

Item Unit Total

Land Renting 1 500.000 500.000 Seed 25 12.000 300.000 Fertilizing

Urea 200 1.800 360.000

ZA 50 1.400 70.000

SP‐35 100 2.000 200.000

KCL 75 2.300 172.500

PPC/ZPT 1 64.000 64.000

Pest‐ 1 600.000 600.000 controlling Seeding 5 10.000 50.000

land preparing 15 15.000 225.000

Transplanting 20 15.000 300.000

Weeding 15 15.000 225.000

Fertilizing 9 15.000 135.000

Pest Controlling 4 150.000 600.000

Harvesting

Cutting, Drying, and Transports 72 8.000 576.000

Transport to the market 1 26.918 26.918

Bank Interest 1 148.037 148.037 Total Production Cost 4.552.455

Turnover 1.500 4.500 6.750.000 Profit 2.197.545

Adapted by Nurhadi from Ministry of Agriculture (1999), referring to the local price in 2010

The elderlies and widows tend to take the first option. The weak physical condition, due to the aging, which resulted in the incapability of doing manual works in their own farms, is solved by two measures: either adol tahunan or involving paid labours to do such work. A good practice is retained by most farm

Chapter 5 | 205 workers in Bantul: discounted wage when being employed in the land owned by the elderly. When the land to work out is considered not large enough, they can do the work voluntarily. It is mostly driven by an ethic so‐called “indirect reciprocity”. Many believe that helping elderly will result in less suffering, loneliness, and difficulties during their elderly period.

The self‐sufficient households tend to lease parts or a whole of the land to the small landholders or the landless farmers based on profit‐and‐crop sharing agreement. In this situation, they expect to have more time and opportunity to generate income from non‐farm activities. It is especially the case with employees of manufacture and service sectors. The percentage of the leased land depends on the size of the landholding and the need for staple food to meet. By doing so, they are less‐worried about the food security, providing that they still receive rice from crop sharing from the/or their leased land two times a year. During the other half of the year, they receive cash from the profit sharing of the cash crop sale, normally also twice a year. An owner of 1000 m2 land usually receives 1200 kg of dry yields from maro crop sharing and approximately IDR 700,000 per year from profit sharing of cash crop. The harvested dry yield is generally used as household food storage. The cash received from the profit sharing is typically saved and used in case of communal, religious, marriage, and funeral events. The payment of land taxes and dues is also generally deduced from this savings. In this regard, agriculture is utilized as a means of addressing the possible food shortage for the self‐sufficient households. Without generating income from other sources, this household type is vulnerable to stress caused by external shocks.

Intensive cultivation that has been practiced in response to the decreased agricultural fields and the increased population in rural areas has created various short‐term farm employment opportunities. Apart from doing farm activity in their own land, many farmers also generate additional income by taking contractual work on their wealthier neighbours’ lands. This activity is locally called buruh. Aiming at minimizing production costs, small landholders with sufficient family labour tend to conduct pest controlling, weeding, and harvesting themselves. Transplanting and ploughing are normally carried out by the paid labour. Salary is

Chapter 5 | 206 paid on a daily basis, the amount of which ranges between IDR 15,000 and IDR 25,000,‐ depending on the type of activity. In addition to cash in advance, the labourers are also served with lunch meals. Especially the case with ploughing, transplanting, and harvesting, a contact system involving farmers and labourers applies. Acquiring sufficient knowledge on the local standard of payment, both parties estimate and eventually make a deal on the contract value over the area to be cultivated. For the transplanting activity, women organize themselves in groups of ten members, appointing the most senior fellow to act as leader and negotiator. These part‐time employments are preferred by those who decide not to compete for jobs in non‐farm activities available either in rural or urban areas, typically due to the lower skills, education, and limited access to wider social networks. They earn from the farm activity on other’s land the amount between IDR 7,500 and IDR 12,000 per day, depending on the field location and the type of activity.

The term buruh, in the agricultural context also refers to harvest sharing between the landowner and the tenant. Van der Kroef (2008: 189) stated that this relation is subject to one of the following four systems. First, under the mertelu system, the landholder covers seeds and tax costs. For this reason, he holds right to incur one‐ third of the total harvest. Secondly, with the condition of exactly the same as the abovementioned system, and depending on the agreement of both parties, the landholder incurs two‐third of the yields. This system is called merapat. The third system is nyeblok or ngepak. The tenant receives one‐fifth of the yields, but he is required to carry out all the works of ploughing, weeding, and transplanting. Afterwards, the landholder takes over the work of irrigating and harvesting. Fourth, under the derep system, the tenants transplant the paddy, but also carries out other work upon request. The share of the tenant is one‐fifth of the yield. Another form of harvest sharing is maro. In this system, the tenant covers all cultivation costs and receives ½ of the total yields. In the contemporary rural Java, the maro system is more preferred.

A similar system, locally‐called nggadhu also works well for the livestock, respectively cows and lambs. It begins with the livestock purchasing process. The preferred livestock’s sex and the quality are negotiated between the owner and the

Chapter 5 | 207 tenant. Upon the conclusion of negotiation, both parties go to the livestock market to make a deal with a vendor. The tenant covers all herding cost, except the insemination (for the female) and health care. If the female is herded, the profit sharing is usually made after the offspring is saleable. As a rule, the tenant receives half of the livestock’s market price. If the male is herded, the profit sharing is made after both parties consider, having several months elapsed, that the livestock has given certain profits when being sold back to the market. The difference between purchasing and selling prices are calculated, then being shared equally between the owner and the tenant.

Raising livestock is another farm strategy that the self‐sufficient and poor households develop. The self‐sufficient usually spend saving for the purchase of livestock, particularly cows. To them, livestock is a saving they can withdraw in times of larger need for cash, i.e. the school initial installment, their daughters’ wedding, and the funeral of the family members. Respectively with the school initial installment, there is a tendency that the amount the parents have to pay increases every year. Not only private schools, but public schools also require parents to install such payment and significant contributions. The amount ranges between IDR 1,500,000 and IDR 2,500,000 for the new junior high school students and IDR 3,000,000 to 7,500,000 for the senior high school students (or both without student). Now that livestock, particularly cows, get more expensive, the poor have serious difficulties with purchasing them. Addressing such condition, they take one of the two following, or combine both, strategies: purchasing smaller livestock, particularly lambs and raising livestock owned by others (nggadhu). By raising lambs, they expect to gain more profit, enlarge the size of the herds, and eventually “upgrade” them to cows. This expectation is based on their experience‐based calculation that raising cow is less‐labour intensive but the return is higher. As an illustration, Sugiyo, a 45 year‐old lamb raiser, stated in an interview that he has to cut and collect four 6‐litre buckets of grass in order to feed his 3 lambs. Such volume of fodder, according to him, is sufficient to feed one relatively huge cow. It also takes longer for the lambs to grow bigger, typically at least nine months from the initial condition until the price significantly rises,

Chapter 5 | 208 meaning that there is a delay of return on the side of the raiser. In the case of cows, it takes less time, usually less than six months, until a valuable profit can be obtained.

The district office of agriculture has been since the last ten years commencing a program of soft loans for livestock herding. Farmers organize themselves in an organization called kelompok petani ternak (Eng: the livestock herding group). It is through this association that numerous economic empowerment programs initiated by the ministry of agriculture, typically in the form of soft loan or grant, reaches the farmers. Being delivered in kind (either cows or lambs), the soft loan is distributed to several members who are required to pay the loan back in a certain period. The loan is circulated among other members. The annual interest is 6 per cent, half of the average bank interest rate (12 per cent). On behalf of the members, the association makes payment in three or four times a year to the district office of agriculture. In addition to the basic instalment and the interest, members are also required to pay dues to the association. The cash collected from it is usually used for the improvement of communal stalls infrastructure, such as permanent shelter for the security guards, the gate, and the path connecting the stalls’ location to the hamlets as well as the source of fodder. The security system is carried out voluntarily by members. Typically they form groups of members acting as security patrolling every night to prevent any theft of livestock. Each member is required to do it once in a week. In some cases, the program also provides grants for targeted association members, especially the poorest. For the poor, soft loans and grant schemes have flourished their hope for better lives through animal husbandry. It also gives them more options for the improvement of financial and natural capital.

The limiting factors for agriculture in Gunung Kidul are the poor soil fertility and the shallow soil depth. It requires a unique treatment aiming at preventing environmental degradation caused by soil loss, optimizing available local resources, minimizing risks caused by water scarcity, and, more importantly, sustaining livelihoods. Soil is always considered as the source of life. One can easily notice that rural inhabitants of this district cultivate numerous seasonal crops not only on the field, but also in their home gardens, particularly during the

Chapter 5 | 209 rainy season. To a certain extends, farmers seek to combine the subsistence character while striving to take profits and gain opportunity from the commercialization process in agriculture sector. They are fully aware that their farm holdings are small, and that agricultural commodity is prone to shock and stress caused by the dynamics of larger economic. The Wana farming system is the solution opted by the Gunung Kidul’s villagers. This system relies on the functioning of four subsystems: home gardens, paddy fields, dry fields, and household forests. Grown in the fields and home gardens are various plants, i.e. fruits and supplementary edible plants. Soemarwoto (1992: 100) argued the reason behind the people’s decision to grow more staple food in the home garden is the declining of landholding and the decreasing yield. It is managed in a manner that enables farmers to anticipate immediate, mid‐term, and long‐term/accidental needs. Daily need is met by the cultivation on the paddy fields, home gardens, and parts of dry fields. The harvested rice is stored to meet the need of staple food during the year. The rice storage is of great importance when the soil is being uncultivable during the dry season. In addition to the paddy field, the villagers also rely on the crops harvested from the home garden, where vegetables, maize, and legumes are cultivated to meet the need for nutrition. A home garden is also a small area where roosters are round up and fed. Eggs are among the most important sources of protein for many families.

Except for special occasions, i.e. serving special guests, feasts, and ritual events, meat is barely consumed. Compared to the paddy and dry fields, cultivation in the home garden requires less labour and input. It is usually conducted by women, utilizing the free time between their daily domestic activities. Instead of chemical fertilizers, organic fertilizers from the livestock and smaller cattle are more commonly used. They are stored for five month, dried, and finally poured on the soil a month prior to the expected first rainfall of the year. The daily need is also met by the dry field where cassava, soy, peanuts, and maize are usually mix‐ cropped with paddy during the rainy season, an agricultural system locally called tumpangsari. Except of the paddy, other crops cultivated on dry fields are sold for cash earning. This strategy resembles to the conclusion made by Abreha (2007)

Chapter 5 | 210 that crop diversification and choosing crops most suitable to the specific rainfall condition are among the commonly opted strategies in coping with water scarcity. Bryant (2007: 104) also stated that farmers of northern Nigeria before 1903 managed to respond any change in the rainfall by planting two or three different crops in the same field. To secure the occasional and middle scale needs, i.e. school‐related expenditure; pocket money for family members who are about to migrate for employment; medical treatment; house building refinement; purchasing furniture; small feasts; and purchasing water in times of scarcity, most villagers breed livestock, respectively lambs, goats, and cows.

Requiring less labour and capital, all family members, including teenagers and women, can do this activity In the wet season, fodder can be easily collected around settlement and farm areas. Manure is used as the main substance of organic fertilizer. External input is used only in rare occasion, when the livestock is infected by diseases. Following the continuous inflation of meat prices, livestock breeding is getting more attractive as the production cost is relatively stable; hence more profits are expected to be gained. It is also considered to be an easily‐saleable asset. The only thing they need to do is just to invite livestock vendors, who typically reside in proximity, to estimate the price of the livestock. Both parties are involved in the bargaining process that defines the price. The livestock owner also has the opportunity to compare the prices offered by other vendors. Depending on the agreement, payment can be made either in advance or by instalment. In many cases, livestock also functions as the initial step to accumulate financial capital and enhance the household’s economic capability. In addition for timber, trees also provide supply for firewood and fodder. Kaosaard et.al (1998) stated that teak, acacia, mahogany are preferred as they grow fast and result in a good quality of timber. However, teak is superior among others due to its durability, beauty, and workability. Teak is also a “green cash deposit”, in which the decision on the number of trees to sell depends on the amount of money needed (Kurniawan and Reshetko, 2009). Timber products of several associations have been receiving a Chain of Custody certificate from independent eco‐labelling companies.

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Figure 5. 6. “ Wana” farming system in Gunung Kidul

Fodder Fodder Field

Paddy

Household Forest

Livestock Timber field

Dry

garden

Fertilizer Home

Daily Needs Accidental Needs Emergency

Adapted by Nurhadi from Focused‐Group Discussion held in 2010

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A report published in 2006 showed that the certification had covered 815.18 hectares, located in Girisekar and Nglipar sub‐districts (Murbani, 2006). Filius (1997) stated that the declining soil productivity, increasing demand for tree products and the improvement of physical infrastructures are factors driving farmers in Gunung Kidul, facilitated by rehabilitation projects in 1970, 1987‐1995 and 2001 – 2003, to grow fruit plants, fodder trees and timbers, converting the previously less productive and fallow land to smallholder forest. One of the most common trees used to supply fodder is Gliricidea. Except in an event of water scarcity, the cash collected from livestock selling is used to purchase gold or, if a huge amount of money is accrued, land. To meet the accidental and long‐term need, farmers extract timbers cultivated in a household‐scale forest. A wedding party, the construction of a new house, and the purchasing of an engine vehicle are included in the category of long‐term needs, while advanced medical treatment and large debt payments are considered as accidental needs.

This practice confirms Farrington’s idea that farmers tend to “… reject production‐ maximizing approaches in favour of those giving some balance between productivity gains and risk reduction” (Farrington, 2005: 5). However, the implementation of the farming system varies across different household categories. It depends on the size of landholding, the number of labour available in the household, and the main income source. The wealthy typically meet all conditions required for the sustenance of such a farming system without causing any significant stress on each sub‐system (home garden, paddy field, dry field, and household forest). Non‐ farming income source on which they rely on is sufficient to meet virtually all daily, secondary, and even tertiary needs. In times of water scarcity crisis, they can purchase sufficient clean water which is used for various purposes, e.g. bottled water for drinking and cistern water for cooking, and bathing, livestock’s drinking, and clothes laundering. Livestock and trees are capitals in their real meanings as they can be retained, accumulated, and eventually converted to other forms of capital. To the self‐sufficient, crisis in water availability potentially erodes savings they have collected from the previous season’s harvest and reduces the size of their livestock. For the poor, in addition to livestock, they also sell timbers. The

C h a p t e r 5 | 213 timber they sell is not enough matured, which is why its quality is relatively poor, hence the sale price tends to be low.

5.4.3.2. Seasonal calendar of Gunung Kidul

Another strategy is the seasonal calendar, locally called pranata mangsa. Functioning as guidance for farmers in setting up the schedule of farm activities, this cognitive‐based calendar is useful in figuring out the pattern and trend of working labour and household’s expenditure (see table 5.4 of page 214 and figure 5.7 of page 215). It associates several regularities of natural signs, i.e. wind speed and direction, the behaviour of certain insects and birds, the growth of certain tubers, etc. to the local climate. Traditionally, Javanese farmers divide a year period into four main seasons: the wet season (rendheng), the dry season (katiga), the dry season‐wet season transition (labuh), and the wet season‐dry season transition (mareng). Each of them is composed of three periods (mangsa). Katiga, literally meaning “the third”, is commonly referred to as the peak of the dry season. The absence of the term that literally means “dry season” both in the Javanese dictionary and the oral tradition indicates that the dry season is not conceived as an extraordinary situation, rather as a natural cycle that occurs annually.

The first period (kasa) begins in June. Lasting for 41 days, it is the period when people do necessary preparation for the upcoming dry season peak. Maximizing the humidity left at the soil, some cash crops, particularly maize and ground nuts are cultivated. Apart from their highly marketability, these crops are favoured due to their prime roles in meeting the demand for cattle fodder, at least for one period during the dry season. Farmers expect that the purchase of fodder can be minimized and that they have sufficient cashes and saving when the water supply drops. Karo and the katelu periods are widely known as the peak of the water crisis. The previously green landscape turns to be brown following the fall of leaves of the teak (tectona grandis sp.) and rosewood (dalbergia latiforia sp.) that dominate this area.

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Table 5.4. Seasonal Calendar

Period Time Natural Signs Agriculture Activity Main Seasons Kasa (Kartika) June, 22 – August, 1 Wind blowing from the northeast to No activity

(41 days) the southwest, lasting to the second season (karo), Falling leaves, drying woods, grasshoppers buried themselves under the ground,

(dry season) Karo (pusa) August, 2 – August, 24 Soil drying and cracking, mango and No activity (23 days) cottonwoods blooming

Katiga Ketelu August, 25 – September, Wind blowing from the north to the No activity (Manggasri) 18 south, Bamboo sprout blossoming, (24 days) vines creeping Kapat ((Sitra) September, 19 – Wind blowing from the northwest to Preparing the land for upland October, 13 the southeast lasting to the fifth paddy cultivation, pouring (25 days) season (kalima), Water springs filled organic fertilizer, with water, cottonwoods bearing fruits, birds nesting and laying eggs Kalima October, 14 – November, Light rain, tamarinds and gingers Renovating irrigation (Manggakala) 9 blossoming, caterpillars growing, channels, sowing upland

(transition I) (27 days) termites transforming to moths paddy seeds Kanem (Naya) November, 10 – Wind blowing from the west to the Sowing wet paddy seeds at Labuh December, 22 east with humid air lasting to the the seeding spots (43 days) seventh season (kapitu), Bearing of various fruits, grouses appearing around water areas Kapitu December, 23 – Raining all day, river surface raising Harvesting the first season’s

(Palguna) February, 3 often causing flood in low areas. crop; Transplanting seeds at (43 days) paddy fields. Kawolu February, 4 – February, Wind blowing from the southwest to No activity (Wisaka) 28/29 the northeast, cat mating season,

(rainy season) (27 days) paddy greening Kasanga (Jita) March, 1 – March, 25 Strong wind blowing from the south Weeding (25 days) to the north, Paddy blooming,

Rendheng cockroaches producing their typical sounds, sugar cane flower is falling Kasadasa March, 26 – April 18 Strong wind blowing from the No activity (Srawana) (24 days) southeast, paddy ripening, bird egg incubation period is over Dhesta/ Hapit April, 19 – May, 11 Strong wind blowing from the Harvesting paddy and Lemah (23 days) southeast to the northeast, birds seasonal crops

(transition II) (Padrawana) feeding their nestlings, cottonwoods ripening Sadha /Hapit May, 12 – June, 21 Wind blowing from the east to the Preparing dry field for maize Mareng Kayu (Asuji) (41 days) west, decreasing air temperature cultivation especially in the evening Source: PRAs held in Gunung Kidul in 2010

Bushes dry out while the thin soil is being fractured. Household’s expenditure increases drastically, mainly due to the abundant budget to be expended for the

C h a p t e r 5 | 215 purchase of clean water and fodder. In addition, most parties and ceremonies involving much budget and human labour are commonly held in this season. Organic cattle fodders are extremely difficult to find in the spots they usually grow. Farmers do not have any other choices but to purchase them, forcing them to expend a significant amount of cash. Water has to be purchased, too. If the crisis worsens, they withdraw the money savings, reduce the number of livestock, and finally liquidate some assets. Due to the limited sources of income in their villages, male villagers in the most productive age take on non‐farm employment; most of them even migrate to the urban area, leaving women, children, and aged inhabitants with minimum living conditions in their villages behind. Women collect firewood, either to be used as supply for the rainy season or to sell it for cash.

To improve the product value, some farmers make charcoal by utilizing hardwood materials. This strategy aims ultimately at minimizing the household‘s burden by adjusting, albeit temporarily, the household’s size and composition, reducing daily consumption, while at the same time maximizing the remaining resources as means of subsistence.

Figure 5.7. Pattern of water availability, labour, and household expenditure

12 Water 10 Labour Expenditure 8

6 Scale: 0 ‐ 10 4

2

0 Jun Aug 2 Aug Sep Oct Nov Dec Feb 4 Mar 1 Mar Apr May 22 ‐ ‐ Aug 25 ‐ 19 ‐ 14 ‐ 10 ‐ 23 ‐ ‐ Feb ‐ Mar 26 ‐ 19 ‐ 12 ‐ Aug 1 24 Sep Oct Nov 9 Dec Feb 3 28 25 Apr May June 18 13 22 18 11 21

Adapted by Nurhadi from PRA held in 2010

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The second season is the transition between the dry and the wet season, locally called labuh. It begins from the kapat period, the period of 25 days, marked by the land preparing and the pouring of organic fertilizers. The fertilizer is mainly made from the decomposed hay residue mixed with manures collected from livestock’s cages. The field is left in fallow afterwards until the end of October, when the farm activity is being focussed on upland paddy cultivation. It is one of the busiest seasons of the year. Approaching the wet season, more labours are needed, especially to prepare the land for intensive cultivation.

Unlike in irrigated land in which the soil is softer and mechanic plough is commonly used, the clay‐dominated soil requires more complicated maintenance. Hoe and mattock are two tools commonly used on this land. The need for labour reaches the peak a month after paddy transplantation. It is the period when grass weeding and soil re‐fertilization is urgently carried out. The labuh season ends at the end of December, in the kanem period, when the need for labour and household’s expenditure tends to be in decrease. The period between the sixth (kanem) and the tenth (kasadasa) (from November to the end of March) is expected to be the period when water is abundant. The need for labour remains stagnant until the end of kapitu, a period when much labour is needed for the harvesting, the post‐harvest activities, the preparation of the next cultivation season, and the transplantation of seeds and the paddy field. The next period, kawolu, requires virtually no labour in farm activities. The rainy days gradually decrease approaching the two coming seasons (destha and sadha) which are part of the transition period between the rainy and the dry season, locally called mareng.

5.4.4. Non‐farming activities

The villagers of Bantul are not capable of meeting their needs solely from agriculture. In fact, there are very few people who rely only on agricultural land to sustain their lives. They are inevitably required to search for other sources of income. Soekartawi and Amin (1993), for example, argue that many rural

C h a p t e r 5 | 217 inhabitants have been leaving the agricultural sector mainly due to three reasons: (1) poor landholding, (2) the bilateral heritage system, and (3) more interesting and promising opportunities in the non‐agricultural sector. Historically speaking, major transformations have been taking place in most of rural Java since the colonial era. Supported by the information network, direct investment, the improvement of education, better health status, and infrastructural development, the agricultural development has stimulated rural economic diversification that enabled the growth of various new employments in non‐farming sectors, such as transport, machine reparation, and service sectors (Booth, 1998). Referring to the colonial data published in 1900, the increased employment diversification in the rural areas was endowed by the expansion of money economy ‐ driven by the cultivation credit, the land tax system, and the forced‐labour in numerous colonial projects involving many villagers ‐ and the intensification of political‐economic relation with the West (Sajogyo, 2005: 137 and Aass, 2005: 159). Included in this category of new occupation during that era was mechanic, driver, machinist, trader, and foreman. Due to their technical and managerial skills, these groups gradually emerged as a new class considered as being above the level of peasant class.

Situated nearby the urban area, the rural population of this district sees more employment opportunities. This partly explains the reason behind the better level of education attainment, compared to Gunung Kidul. The improved transport facilities and infrastructure encourage many people to seek employment outside their village area. Referring to the category made by BPS, the non‐agricultural sector includes government, manufacturing, service, transport, mining and quarrying, commerce, and construction. Apart from these categories there are several income generation activities which fall into the “others” category. This category includes the informal sector, domestic‐, and self‐employed workers.

Data collected from the in‐depth interviews and PRAs of this research show that agriculture contributes only 15 per cent of the total household income. It indicates that the rice storage is not sufficient to meet even the food‐related needs. It indeed partially contributes the need for carbohydrate, but other food components,

C h a p t e r 5 | 218 particularly protein, vitamin, seasoning, and fat have to be met by non‐agricultural income sources. Based on the location non‐farming activities can be put into two categories: in‐village and out‐village activities. Falling into the category of in‐ village activities are medium‐scale industry, home industry, red brick industry, the warung (eating stalls), the toko kelontong (small grocery), pedagang keliling (mobile merchants), rural transports, and the kios. Becak driver, sopir (driver), coolie, pedagang asongan (mobile street vendor), and pedagang kaki lima (semin‐ permanent street vendor) are among the out‐village activities. Construction workers (buruh tukang) can be put into both categories. In addition to reduce the dependence of villagers on land‐based agriculture, this employment diversification also minimizes negative impact of economic crisis and natural disaster to people’s livelihood, improving the household’s risk coping capacities, as more options of income generation are available.

The dominance of the agricultural sector for providing employment in Gunung Kidul is indicated by statistical data showing that the non‐agricultural sectors contribute 38.13 per cent, consisting of 3.38 per cent by industry, 12.3 per cent by commerce, 10.06 by service, and 12.39 by informal and domestic sectors (BPS Gunung Kidul, 2010). Despite the limitedness, there are some opportunities for non‐farming income generation activities that can be taken by the inhabitants of Gunung Kidul in their own villages. Conducted mainly in the dry season when the need for labour in agriculture sector diminishes, limestone mining, charcoal production, and wood‐related industry are among the activities mostly conducted. The peak of the dry season is chosen, as it is the period when the water contents and humidity of these materials are expected to reach the lowest level, that they are easier to be mined. For limestone mining, for example, the use of traditional tools, such as axe, hammer, and bamboo basket, helps workers to grub up stones through tiny gaps, then pick them, break them down into smaller pieces, load them on the baskets, and finally pile them up at certain spots, waiting to be transported to other places.

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Picture 5. 2 Limestone mining and charcoal production

Photo by Nanik Irnawati

As also the case with furniture industry, charcoal production also utilizes the sun heat to quicken the wood’s drying up process. In addition, the zero precipitation makes the burning of charcoal material easier to do. The limestone mining and furniture industry usually employs paid labourers. The regular cash wage payment is desirable as it gives an employee certainty and the feeling of security from the increasing daily needs to fulfil during the dry season.

Charcoal production is a family‐based activity that is typically carried out together between male and female. Utilizing the residue of timber logging, particularly the root and the base, the male excavates and cuts the wood into several parts, while the female cuts them into smaller pieces, then dries them out under the sun. The next activities, being carried out together, include preparing of the furnace, loading

C h a p t e r 5 | 220 the wood pieces, burning, and finally the burying them with the mixture of wet leaves and soil. Depending on the timber type, the selling price of charcoal from the farmers to the distributors varies between IDR 10,000 and IDR 15,000 per 100‐ litre sack. Teak and Indian rosewood are the most expensive ones. Each production cycle which is lasting for ten days results in between 10 and 20 sacks. This means that in one season (approximately 60 days), a family can produce up to 120 sacks. The main problem that charcoal makers are recently facing is the diminishing raw materials in their own land. To cope with the situation, some people purchase timber residues either directly from the fellow farmers or from distributors, meaning that additional costs must be born In this business, especially among those who lack the financial capital, subsistence predominates. These charcoal makers simply do their best for the continuation of their business, with less intention to improve the profit significantly.

5.4.4.1. Industry

Referring to the World Bank, Small and Medium Enterprise (SME) can be put into three different categories. First, those whose maximum number of employees are 300; the maximum annual income of which is US $ 15 million; and the maximum total assets of which are US $ 15 million, is considered as medium enterprise. Second, small enterprise is defined as business entity whose employee number does not exceed 30, the annual income not US $ 3 million, and the total assets not US $ 3 million. The third category is micro enterprise, which is characterized by a maximum number of employees of 16, an annual income not exceeding US $ 100,000, and assets minor to US $ 100,000. With the development of an industrial area in the Piyungan sub‐district, employment in the manufacture sector is more widely opened. Situated in adjacent with the Sitimulyo village, where the industry area is located, Pleret is one of the sub‐districts where many employees of this industrial centre come from. Industry leather, gloves, wig, textile, and garment are among the products. These labour intensive industries employ more female than male employees. Mostly after completion of the 12‐year education, they start to

C h a p t e r 5 | 221 work as manual workers. Smaller in number, male employees are deployed as machine operators and controllers, security guards, and product supervisors. From this employment, each of these employees receives a minimum standard wage at an amount of IDR 1 million per month.

The district office of industry, trade, and co‐operatives reported that there are 18.119 small, 25 medium, and 2 large industries operating in Bantul. The total investment value of the small industry is IDR 489 billion, larger than that of medium (IDR 101 billion), and that of large (IDR 124 billion). Producing textile, ceramic, furniture, handicraft, sport shoes, and perfume, in these industries 83.000 people are employed (Pemda Batul, 2010). Mostly home‐based, small industries produce various products. Furniture industry is the most common one, thanks to the geographical location that is near both Gunung Kidul and the urban area of Yogyakarta. Gunung Kidul has been the main supplier of raw material, particularly wood, thanks to the abundant timber forest product. The close location of the production site to the urban area makes product transporting efficient and market access easy. Furniture industry does not require high‐quality or large‐sized timber, thus suppliers from various business scales can sell the materials directly to the industry managers. Requiring specific skills in wood‐processing, this industry pays the employee’s wage based on contractual basis.

Nowadays, the wood processing is more efficient and less time‐consuming, thanks to the usage of modern electric carpentry tools. If a certain target of s product number or volume is achieved, as a rule, the employees will receive between 10 and 15 per cent of the market value of each product. The residue of furniture processing, particularly smaller‐sized woods is utilized by handicraft industry. To maintain and improve their businesses, the owners establish cooperation with the larger furniture industry, furniture stores, and exporters. With larger furniture, they are usually bound in a contract of doing certain phases of furniture processing, either the initial wood processing, the processing of raw material to be semi‐finished, or the finishing phase. With the larger furniture store and exporters, they function as suppliers. A similar agreement with the larger industry is also

C h a p t e r 5 | 222 quite frequently for handicraft, gloves, and ceramics production. To many, mutual cooperation with other parties is inevitable to sustain their business.

5.4.4.2. Toko (shop)

Another effect of improved infrastructure and urban‐rural connectivity is the growth of small groceries, locally‐called toko kelontong. Using a space between 12 and 20 meters, depending on the invested capital and the business scale, they sell daily need, such as bottled drink, instant food, detergent, office utensils, and many other things which can usually also be found in supermarkets. Many brands displayed in their glass display cupboards are the same as one can find in the shelves of the supermarkets. Purchasing the goods from bigger groceries then selling them at the shop, an aggregate of slight profit is expected to be taken. Another way of getting the goods for sale is directly from the sales agents. Without leaving the shop, they are visited by the sales agents offering several products. Both parties usually get involved in negotiation, concerning on the saleability and the expected margin of each goods. The decision is made after both reach the deal on the number of items and the sale price. In many cases, aside from providing a room space in accessible area, the small grocery owners do not necessarily invest financial assets. It is the case because the suppliers, represented by their sales agents, provide the goods to sell. They visit the shop twice a month to check the sales reports, re‐supply sold‐out goods, and withdraw the money from the total sales, after the sales margin is reduced. It is mostly the owner and the family members who keep the shop. However, it is usually the wife who does the book keeping.

Other growing small businesses in the rural area are cellular phone shop and laundry service. The rapid growth of information technology has also been penetrating into rural lives. The rural air space has been crowded by signals broadcasted by radio, television programs, and voice as well as data networks. Telephone operator companies have been establishing numerous transmission stations, mostly located in the rural area. Cellular phone is one of the most

C h a p t e r 5 | 223 common gadgets possessed, not only by urban inhabitants, but also by villagers. Many people respond these situations by running IT‐related businesses. Electronic cellular phone kiosk is one of the most widespread ones, located in almost all villages crossroads of Bantul. Mostly managed by the youths, this kind of shop sells new SIM cards, electronic cellular phone deposits, and phone accessories. Requiring small space (less than 12 m2), this business typically needs less than two employees. In many cases, it is the owner himself who runs the day‐to‐day business. The growth of laundry service has been anticipating the increasing number of working wives, resulting in the idea that laundering is time and labour consuming. These women hoped that by leaving the laundering job to others, they can concentrate on achieving the career and childrearing.

Since the last 20 years, there has been a full‐awareness among the shop owners to implement a financial management that clearly separates the business from household expenditure. Despite its simplicity, the book keeping of the business expenditure clearly records the sales, cost, turnover, the entrance date of each goods, name and contact of the supplier, and the name of indebted costumers as well as the amount of debt. The turnover is between IDR 200,000,‐ to IDR 1,000,000,‐ with the profit margin between IDR 20,000,‐ and IDR 100,000,‐ per day. The sale increases significantly on Saturday and Sunday, when construction workers are receiving their weekly salaries. The majority of accumulated profit is converted to other valuable goods, particularly gold. The business scale itself rarely grows. Functioning as the most common and important saving, gold is opted due to the durability of its value, being perceived as being less prone to the economic crisis, and that it is quite easy to sell in the market. As a rule, by the time the gold storage reaches a certain amount, the grocery owner plan another investment, either enlarging the business scale or purchasing properties, respectively land and house. Property is favoured because of its increasing value. Enlargement of business scale is rarely opted as there is a tendency among those small businessmen/women not to put themselves into a more / another risky situation. Businesses they have been performing are already risky. It is more

C h a p t e r 5 | 224 feasible, accordingly, to build an economic safety net in order to minimize loss in case of disturbance or shock in their businesses.

5.4.4.3. Pedagang keliling (mobile merchant)

Most mobile merchants operating in this area sell food produced by home‐based industries, while the rest offers raw food materials, respectively vegetables, fishes, and meats. Using various means of transports, they work from early morning to the late evening. Raw food materials are usually sold in the early morning, while the cooked foods are sold from late afternoon to the evening. The role of the “morning merchant” is to link the traditional market to the costumers inhabiting hamlets located relatively far from the traditional market. Very few population of this district go to modern supermarkets to purchase groceries. These goods are preferred as they are perceived as being fresh, affordable, and are available quite early in the morning, enabling households to cook the breakfast for members who are required to leave the house for work or school. Unlike toko kelontong many goods of which are obtained by consignment, the pedagang keliling purchase all of the commodities by cash in the traditional market. Mobile merchants rarely work during the midday as the sun heat potentially damages the food quality. Among the foods sold in the late afternoon are local foods, i.e. meat ball soup, noodles with chicken, and chicken satay. They are either self‐employed or employed by others. Required to have sufficient financial capital for the goods to purchase, the former tends to bear a greater risk, but the expected profit tends also to be higher, than the latter. To minimize the risk, they also maintain some good network with the local warung sayur (vegetable stores) in order that unsold vegetables can be displayed and sold in their stores. In many cases, they also have their own warung sayur at home. The daily turnover of this business is between IDR 100,000 and IDR 400,000, with the profit margin of which is between IDR 50,000 and IDR 200,000. Especially the case with the cooked food, the goods are taken from certain small family‐managed industries which produce relatively vast volumes of foods that they cannot individually deliver to the potential customers. Employing others

C h a p t e r 5 | 225 is a strategy to improve the business scale. The pedagang keliling (peddler) only earns from the selling commission, between IDR 15,000 and IDR 30,000 daily.

5.4.4.4 Red brick industry

Historically speaking, Pleret and its adjacent sub‐districts, Piyungan and Banguntapan, has been the centre of the red brick industry since the seventeenth century, the period when the sultanate palace of Islamic‐Mataram kingdom was located nearby new present‐day Pleret village.

Picture 5.3. Agriculture, animal husbandry, and red brick production

Photos by Nurhadi

The abundant clay soil and the easy access to water make the production process relatively quick and cheap. Apart from the physical labour, they are only required to invest money for the purchasing of materials for burning, particularly wood and

C h a p t e r 5 | 226 husk from the hulled paddy. Red brick industry can only be carried out in the dry season, between August and October, when there are only few farm activities. Brick productions are carried out either in their own land or in that of others. If the excavated soil reaches the depth limit that potentially creates the loss of soil fertility and productivity, this activity is stopped, then in the coming years moves to other spots. If making brick is not possible to do on the owned land, the brick makers offer usually the owner of the adjacent field a lease agreement between two and five years, depending on the soil volume that can potentially be used as red brick. The contract value varies between IDR 1 million per 1,000 m2 per year to IDR 1.5 million, depending on the variable production cost and this commodity’s market price. This activity employs only family members. In a few cases, it also involves paid labourers. The production process begins from the site preparing, i.e. digging water, clearing the field, and preparing shelter for the dried brick and the burning place. Requiring modest tools, i.e. hand hoe shovel, water piles, and brick scoring tools, within two‐months working period, they manage to produce 20,000 to 50,000 bricks, depending on the labour availability and efficiency. The market price of the red brick in 2011 was IDR 4,500, excluding the transport cost to the buyer’s place.

5.4.4.5. Construction worker and coolie

Construction worker is one of the most favourite occupations opted by the self‐ sufficient and poor households. The grown number of construction workers from Bantul has been taking place since the middle of the 1970’s decade. It was the period when many construction works were being carried out in the urban Yogyakarta. Numerous projects aiming at infrastructure improvement, i.e. bridge, main road, and public building, continued until the upcoming decade. Large and middle‐scale construction companies took part. Masons (tukang batu) were recruited from the locals living in the periphery area of the Yogyakarta city. Responding the growing need for masons, the ministry of manpower organized masonry and carpentry trainings in some places located in all districts. Any youth

C h a p t e r 5 | 227 who is able to read and write in Bahasa Indonesia was encouraged to join the free program. The decreasing employment opportunities in the rural area of that era made the training program attractive to the youths to enrol. Within six‐month period, the trainees received course materials, tutorials, and practices. In addition, they were also required to take part at internship programs in some construction projects in order to acquire practical skills and exchange knowledge with the experienced‐ones, two things necessary for their coming careers. It is these trainees who gradually replaced the position of the earlier generation of mason and carpenter (tukang kayu).

The decade of 1980’s was marked by the rapid growth of house and office building projects when the city was agglomerating to the suburbs and neighbouring districts, Bantul and Sleman. Masons recruited more assistants (laden tukang) to help them with carrying, mixing, and delivering materials to them to be applied to the main building structure. Neighbours and relatives are preferred as the psychological familiarity is expected to help them with giving instruction, encouragement, and suggestion on things concerning their works, both qualitatively and quantitatively. While assisting the masons, these assistants absorbed some lessons and learn technical masonry skills. The transfer of knowledge, experience, and skills takes place continuously. Having obtained sufficient skilled, usually after several years have elapsed, the assistant is promoted by the senior mason to achieve his career one step higher, no longer as assistant, but as mason. However, not all assistants managed to achieve higher position. Two conditions apply: (1) the extent to which they learn and acquire the skills; (2) the way they maintain good relationship with fellow assistants and masons. The second condition is of great importance, not only for his career, but also for the continuation of his involvement in other projects. From this employment, a mason receives a wage between IDR 40,000 and IDR 50,000; the mason assistant receives between IDR 25,000 and IDR 30,000; while the carpenter receives between IDR 60,000 and IDR 75,000 per day. Now that the demand for carpenter is in decrease, following the usage of non‐wood building materials, many

C h a p t e r 5 | 228 carpenters divert their activity to their homes, establishing furniture and wooden building material processing.

The two higher positions that a mason can achieve is supervisor and petty project manager. The main task of a supervisor, or so‐called mandor, is to maintain the quality and the achieved target of mason’s work. They are also in‐charge with the payment of the labourer’s wages. Receiving the salary from the project manager and, frequently, tribute from the mason, they are living in a wealthier condition. This position is the step stone of the highest and most desirable career of a mason assistant, petty project manager, locally‐called bas borong. As a supervisor, he is able to manage good relationships and create new acquaintance and a social network among people who are involved in construction projects. He also has access to construction material stores and shops. The deep knowledge on the trend of numerous costs and prices enable them to make detailed calculations on the profit and loss that can be obtained from the construction business. Considering himself as being enough capable of running such business, he usually decides to submit a tender proposal, either formally or informally, for some small construction projects. If it runs successfully, he will leave his earlier position as supervisor. However, employment opportunity in the construction sector depends highly on the season. There is a tendency that the higher precipitation the less employment is available. Rain is considered as the main challenge, especially for the outdoor activities in buildings which are undergoing the construction process. The project is usually halted temporarily until the rainy season ends. To cope with the difficulties, the project managers decide to begin the project in the early period of dry season, hoping that the wall construction and the roof installation have been finished before the first rain of the coming season falls. Under such condition, the project can be continued by doing indoor activities, such as setting up of the interior wall, floor, and electric installation.

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5.4.5. Loan

An important strategy that villagers of Bantul develop in coping with crisis is loan. From its source, there are two types of loan service, the formal loan, on the one hand, and informal loan, on the other. Formal financial services, i.e. loan, investment, savings, etc. are under supervision of a national institution, called Otoritas Jasa Keuangan (Financial Service Authority). Lending institution establishing their offices in the sub‐district levels include banks, co‐operatives, and credit unions. At least there are three banks operating in each sub‐district that provide all banking services, except foreign currency exchange, i.e. Bank Rakyat Indonesia (BRI), the oldest bank owned by the government of Indonesia; Bank Pembangunan Daerah DIY (BPD DIY), owned by the provincial government of Yogyakarta; and Bank Perkreditan Rakyat (BPR). There are 88 bank offices operating in Bantul (BPS, 2010). If it comes to loan, these banks tend to put more trust on the wealthy group, providing that they have either quite vast income or sufficient collateral. Bank loan is withdrawn especially when large amounts of cash is needed, i.e. to purchase land, houses, means of transport (typically a motorcycle, car, truck, or minibus), and investment in industry, service, or the agriculture‐ related sector. Operating with capital less than the previously‐mentioned banks, there are also Unit Simpan Pinjam (USP – Saving and Lending Unit), which typically provides petty credit and saving services the interest of which is higher than the average rate; credit unions, the membership of which is limited to public servants (Koperasi Pegawai Negeri ‐ KPN) and formal employees (Koperasi Karyawan – Kopkar); and Baitul Mal wa‐al Tamwil (BMT), a saving and lending unit operating with the syaria (Islamic law) principles. There are 246 co‐operatives operating in Gunung Kidul. With the total 78,234 members these co‐operatives have given loans at an amount of IDR 100.4 billion (BPS Gunung Kidul, 2010). There are 407 co‐ operatives operating in Bantul with a total number of members of 180,772 (BPS Bantul, 2010).

Other institutions include kelompok tani, arisan warga, arisan PKK, pinjaman bergulir, and kelompok tani (farmer association), an organization consisting of landowners, landholders, and sharecroppers which is established at hamlet level.

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Apart from pursuing its objectives, i.e. enhancing the skill and the knowledge of its members, distributing irrigation water, especially during the dry season, and mediating the farmers with other parties, particularly investors and the office of agriculture, farmer associations also provides petty soft loans for its members.

Figure 5.8. Access to credit

BRI BPD BPR

Kopkar Wealthy USP

KPN Self‐sufficient BMT

Kelompok Tani Poor Arisan Warga

Arisan PKK Pinjaman Bergulir

Source: Adapted by Nurhadi from PRA held in 2010

The option and the amount of the loan are closely related to the wealth status of household members: wealthy households have more access to financial institution than the self‐sufficient and the poor. ASCRA (Accumulating Savings and Credit Associations), as quoted by Lont (2000: 92), stated this system operates in such a way that “… the pooled savings are not instantly redistributed but kept in custody and allowed to accumulate by the lending parts of the fund to members or outsiders for interest.” The money itself is collected and accumulated from a membership fee,

C h a p t e r 5 | 231 grants from external sources, and from business performed by this organization, i.e. plough rental fee, fertilizer sales, and interest deduced from loan. Arisan involves meetings held in regular basis, usually once per month in the Javanese calendar (35 days), as Geertz (1962: 243) puts it:

“Its form is of the most elemental sort: interest is not calculated, rotation is determined by lot or by agreement, membership tends to be small, and a separate staff of officers does not exist. The members simply come together and agree among themselves to contribute one or two rupiah every week or month, each one thus receiving ten or fifteen rupiah once during a ten‐ or fifteen‐week or month cycle. Each person who draws the fund is responsible for holding the next meeting of the association in his home, and of providing food and coffee for other members. A meeting of an “arisan” is thus also a feast, a small gathering of friends, neighbors, and kin, and, particularly in the villages, is commonly viewed by its members less as an economic institution than a broadly social one whose main purpose is the strengthening of community solidarity. The primary attraction of the “arisan”, they say, is not the money you receive, but the creation of rukun (communal harmony) which occurs, the example of gotong rojong (mutual assistance) which is demonstrated”.

Pinjaman bergilir – literally meaning rotating loan – is a soft loan provided by government under the umbrella of the community development program called Program Penguatan Modal (capital enhancement program) carried out by the district office of agriculture. Addressing poverty among rural inhabitants, the loan is directed toward livestock breeding and raising. To access the loan, farmers are required to organize themselves in a group composed of between 15 and 45 members. Upon the consent of sub‐district officers (camat) and agriculture extension officers in‐charge with assisting the organization, a proposal for a circulating loan can be submitted to the office of agriculture. The amount of approved loan varies between six and nine million Rupiahs per member, depending on the business scale and the performance. Instalment is to be made twice a year. The loan along with the interest rate of six percent of the total loan per annum should be paid off within the period of three years. Households falling into the poor category see it as an opportunity to improve their living condition.

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Receiving quite large amount of money, they purchase cows or lambs to be raised and sold after certain periods when significant profit is expected to be gained.

The villagers of Gunung Kidul obtain loan from formal, semi‐formal, and informal sources. A formal loan involves money lending institutions legally recognized by the monetary authority, i.e. banks, credit unions, leasing companies. The creditor‐ debtor relationship is purely business. Having passed the assessment conducted by the former, the latter receive the loan and he is required to add certain amounts of interest during the instalment period. Interest rate, provision, instalment procedures, and all details concerning the loan system have to refer to the regulation made by the monetary authority. The type of this loan varies from money over goods to property. The second type of loan, the semi‐formal, involves an informal money lender, locally called rentenir, who acts as the creditor and the debtor. They bind themselves into a paperless agreement. In order to obtain the loan, a debtor should handover certain valuables as collateral. The amount of loan received is normally less than fifty per cent of the market value of the collateral. The loan itself has to be paid back, including the arbitrary interest rate decided by the creditor, in a relatively short period, typically less than 12 months. The pay‐ back mechanism is relatively flexible: the debtor can install the payment in regular basis or pay it off at once. The third type of loan practiced by the villagers of Gunung Kidul is the informal loan. Binding two individuals, this loan does not require any payment of interest or collateral. Only in form of money, it operates among close relatives, neighbours, and acquaintances who have been establishing certain mutual‐trust relation. Apart from mutual‐help, the informal loan also has a social function. It is through this mechanism that people maintain long‐term relationships. Trust is the only “collateral” traded in it. Believing that helping others means helping ourselves, meaning that good deed we do to others will ultimately paid back one day, is a virtue embraced by these villagers. It is the informal loan that predominantly operates among villagers of Gunung Kidul.

Loan is another important strategy that many people take in times of adversity. The study that Kapoor (2006: 74) did on India showed that the dependence on a loan was the highest among the poor households. On the contrary, the findings of

C h a p t e r 5 | 233 this research in Gunung Kidul showed that it is mostly the wealthy households who use loan as a short‐term coping mechanism, never the long‐term one, against hardship during the long dry season. Mainly relying on informal loans from close relatives and acquaintances, they borrow quite significant amounts of money, especially to purchase large amounts of clean water, expecting that they will earn more money and pay the debt back in the near future. In other circumstances, they are “obliged” to lend the money in case others request for a loan. It is calculated that in order to address a short‐term problem, a loan is better than a withdrawal of savings or liquidating assets, such as jewellery and timber. The self‐sufficient perceive that compared to a loan, selling livestock is a better way to cope with hardship which is caused by the water deficit and the increasing need. To the poor, a loan is difficult to obtain. In addition, it is understood as burdensome.

5.4.6. Building quake‐proof houses

Among the long‐term strategies in coping with earthquake risk in Bantul is the building of quake‐proof houses. The risk awareness can be said to be equally distributed to all people, but the response to risk and measures to address it is quite another thing. In the aftermath of the earthquake event of 2006, there were some suggestions on the anticipation of future events. One of them was settlement relocation. It did not turn out to be an option due to the enormous costs and numerous difficulties that might be borne out. From the policy maker’s perspective, it was virtually impossible to provide lands for more than 600,000 people affected by this event. From the people’s point of view, villages they inhabit meant four things. Psychologically, it is where they were born, grew up, and established family. There was a strong emotional tie to the birthplace. Culturally, they shared common identity, developed and maintained values which were important as a kind of guiding principle for their lives. Socially, the village community was an area where people living in it build social networks along with the fellow community members and maintain certain norms. Economically, people generate income from activities located nearby the village area. Last but not least,

C h a p t e r 5 | 234 the government finally decided to distribute cash of an amount of IDR 15,000,000 (approximately US $1,500) to every disaster victims whose houses were damaged, confirming people’s idea that relocation was an unthinkable option.

Staying on the same ground means that in order to minimize risk and possible losses due to the earthquake event, people have to do at least two things: fortifying the house structure and adjusting the settlement area in a way that allows more open space. Building fortification was an option taken mostly by the wealthy, not for the middle‐income and poor groups. The wealthy found little difficulty to build concrete quake‐proof houses due to their much financial capital. The middle‐ income and poor groups tended to put the establishment of house as the priority, denying the building quality recommended by the local authority. They tend to ignore the suggestion to provide a sufficient open space nearby the house, which is vitally important because it gives people more opportunity to escape from their houses and eases victim evacuation in the case of emergency. These measures are difficult to do because of three reasons. First, most home compounds and gardens in the settlement areas have been converted to built‐up area. The spots where the main houses used to be located have also been the site of new houses built during the post‐disaster rehabilitation and reconstruction period. Secondly, all lands located in the settlement of all hamlets are private property. The high economic, cultural, and, not less importantly, psychological values of land to the owners makes it difficult for the local authority to reinforce certain policies that could potentially reduce the size of landownership. Thirdly, the state could have purchased some parts of private lands for the establishment of open public space, but the financial constraint is a problem too complicated to solve at the local level.

5.4.7. Water use management

To solve the water scarcity problem, the villagers of Gunung Kidul have been utilizing water from various sources, i.e. water spring, telaga, rainwater reservoir, and purchased spring water. The significant volume is only available between November and March. In the peak of the rainy season, people have more options of

C h a p t e r 5 | 235 free accessible water source to use, i.e. spring water, telaga water, and rain water. Spring water is the most desirable for its purity that it can be used for drinking and cooking. Available only within a three month‐period before it diminishes and eventually dries out, the spring water cannot be relied on to meet the need for water in the long run.

Picture 5.4.Telaga water

Photo by Nanik Irnawati

Anticipating the upcoming dry season, people store certain quantities of spring water in their reservoirs, expecting that, under normal usage, the storage is sufficient to meet the need for drinking water for a month. In many cases, the stored water is not in use after half a month, at best being used to launder clothes and wash kitchen utensils, due to its decreasing quality and the concern about the potential dangerous mosquito larvae that breeds and grows in it. The time to use another source of water, the telaga water, begins from this period. Numerous

C h a p t e r 5 | 236 ponds functioning as natural catchment basins for rainfall that accumulates during rainy season, or locally so‐called telaga, are found in hundreds of spots, while most rain water falling on the ground is promptly absorbed by the underground river networks through numerous inlets. Data published in 1983 showed that there were 180 ponds in the Gunung Sewu zone. Nowadays, only 30 of them are capable of keeping water for more than a two months period after the wet season ends. People in the vicinities utilize the water for drinking, cooking, bathing, washing and livestock scrubbing.

Most of these ponds either dry up or are highly polluted in the dry season due to such intensive water consumption. Local newspapers have published many reports from various standpoints, e.g. the quality and utilization of the telaga water, difficulties and consequences faced by the rural inhabitants in accessing water sources, since the mid of 1960’s. Especially among the poor, under such conditions, this kind of water is used only for very limited purposes, i.e. bathing, cloth laundering, and livestock scrubbing (see Picture 5.4 of page 230). The wealthy tend not to use telaga water when the pollution level increases as indicated by the change of the water’s appearance from colourless to light brown. They purchase bottled water for drinking, purchase the spring water for bathing, and use the stored rainwater for laundering.

When all sources of water are inaccessible, people purchase tanked water. Being harvested from clean water springs, the quality of this kind of water is quite good. However, the price can sometimes be very expensive. It all depends on the distance that the truck bringing the water has to take and the quality of the road it passes by. People whose houses are located nearby the asphalted road can purchase the water in a price lower than those whose houses are difficult to access from the main road. The price difference varies between 30 and 75 per cent. The Kedaulatan Rakyat daily reported in September 6, 2009 that water is more valuable than gold. Accordingly, people had to sell 3 kg dried cassava, locally called gaplek, in order to buy a barrel 40 litre water. In addition, the average daily need for water at family level is 120 litres, excluding the water for livestock. It means that every family should at least sell 9 kg dried cassava every day.

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5.4.8. Saving withdrawal and assets liquidation

Based on the research of household income patterns in seven sample cities in Indonesia, Sundrum (1975) puts receipts and expenditure into seven categories: money income, non‐money income, non‐money receipts, non‐income receipts, food, housing, clothing, miscellaneous, and non‐consumption. Conceiving savings mainly from the financial point of view, accordingly, it is the last option after all expenditures are paid. However, in Gunung Kidul’s case, savings are understood and practiced by the villagers as the way to anticipate possible crisis caused by natural hazards, particularly water scarcity, by storing long lasting goods, herding livestock, and cultivating timber, as discussed in the previous section. There is a particular golden rule under which circumstances saving are withdrawn. When the water storage in the rainwater reservoir turns to be empty, the first one to sell is the dried cassava storage.

The first step to take is to sell parts of the dried cassava in the storage. The second step, when the stored dried cassava turns to be empty, is to sell small cattle, respectively chicken. Unlike modern large‐scale poultry, chicken in Javanese rural areas are left alone without cages during the day in searching for natural food. Traditional poultry in this regards requires very few financial capitals and labours. Under severe water scarcity, all chicken are sold in the nearby market, except a couple of them and the very young ones. Apart from purchasing water, the money collected from this sale is also used to purchase fodder for the bigger livestock, lamb, goat and cow. The third step is the selling of lamb and goat. It times of extreme water scarcity eroding successively the household’s economic condition, the last saving to withdraw is the cow. As also the case in Bantul, jewellery is also one goods to save and to be liquidated in times of crisis.

5.4.9. Migration

Migration is more common in Gunung Kidul than in Bantul, mainly due to the poor natural resources, the prevalent agriculture system, and the least employment

C h a p t e r 5 | 238 opportunities. It is mostly the case in the dry season among the household members falling into the middle and the lowest strata. Holding less than ¼ hectare of rain‐fed land which is cultivable only during a four‐month period of a year, they cannot rely their livelihoods solely on agricultural products harvested from this land, thus diversifying their incomes by conducting manual or informal work either in the rural or the urban area is a necessity. Compared to the two groups previously mentioned, this group is the most spatially mobile one as they have to look for other income sources during the dry season. Employment, especially those requiring less formal education and skill, e.g. street vendor, farm work, mason assistant, housemaid, and coolie, is indeed relatively easy to find. The situation is similar to the thesis proposed by Farrington (2005: 5) that people move out to take up work elsewhere partly due to the weak agricultural growth. Osman‐Elasha (2008: 247), who wrote a study on the respond of people in Sudan to drought events, argued that migration is the last option to take during the crisis. In his study on India, Ramachandran (2010: 124) stated that migration among rural communities inhabiting rain‐fed regions is the result of “… the prevalent production system and natural resources base in the region”.

In Gunung Kidul’s case, migration cannot be understood only as a strategy to escape adverse conditions. Rather, it is better to conceive it also as a mechanism that complements the existing household‐based resource management, i.e. reducing the family size which results in a decreased family burden. In addition, it is also important to distinguish between the short‐term‐ and the long‐term migration. Temporary migration to the nearby urban area, particularly Yogyakarta and Surakarta, in search for income from the informal sector is an option taken by those who fail to get jobs in their villages or in the nearby area. They return to their home village more frequently, usually twice a month, due to the relatively near distance of the urban area. In this case, remittance is delivered and handed over personally to their family, leaving it to their wives to do the expenditure management. Being at home for less than two days, they go back to the urban area to carry out their income generation activities. The long‐term migrants usually return to their home village twice a year: during the Eid (Islamic feast after the

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Ramadhan fasting month), and during the celebration of the village’s birthday, locally‐called rasulan. The latter is a feast involving quite large amounts of financial resources collected from the community members and all migrants coming from the village area. These long‐term migrants remit the money by using banking services, money transfer, or asking other migrants who happen to return home for a short visit to deliver the cash.

5.5. Summary

The discussion of this chapter began from an account of the way inhabitants of Bantul and Gunung Kidul perceive their surrounding environment and the potential existing hazards. There is a changing perception among the villagers of Bantul, from the risk denial to the risk acceptance. They used to consider their area as more or less perfect place where the fertile soil, good weather, and abundant water have given wealth to everyone. After the earthquake event of 2006 the district has turned to be perceived as a dangerous place to live in. However, based on the survey data, earthquake events are not the situation these people worry most about. Furthermore, they decided to renovate their damaged houses because they did not see any possibility of moving to other areas. The inhabitants of Gunung Kidul, on the other hand, have been long time perceiving their region as fragile, arid, and poor, an area where live is difficult. Water scarcity is considered as the most concerning situation due to the domino effects it involves. This perception has been endorsing the improvement of coping capacity against water scarcity problem that these villagers deal with almost every year. Based on the local concept, households in rural Yogyakarta can be put into three categories: tiyang gadhah (the wealthy), tiyang cekapan (the self‐sufficient), and tiyang kekirangan (the poor). Based on ownership and access to livelihood assets, each of them has specific characteristics, which in turn influence the extent to which they are affected by disaster events, the time that they take to recover from the adverse condition, and the options available to them in achieving the household’s objectives. Data of this research shows that the effect of disaster event was not

C h a p t e r 5 | 240 equally distributed among different households, and that the degree of disruption also varies across different assets. To cope with the crisis, the people of both districts strive to improve their capital, through income diversification in farm and non‐farm activities. Despite the soil fertility and abundant irrigation water, the agriculture in Bantul is limited by the small landholding, while the agriculture in Gunung Kidul, on the other hand is, despite the larger landholding, limited by the poor soil fertility and the high dependence on rain water. There is not any single household in both districts that relies only on the agricultural sector. Income generation from non‐farm activities is the option mostly taken. Situated relatively near to the urban area, the good road infrastructure, the better access to the market, and the growth of an industrial area in the sub‐district of Piyungan have opened new employment and income generating opportunities for the people living in Piyungan and Pleret sub‐districts. Due to a lack of available options in the non‐farming sector, the villagers of Gunung Kidul manage the land they hold in such a way that it enables them to allocate resources in meeting various needs as well as to rely on diverse forms of savings that can be withdrawn in times of water scarcity crisis.

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6. Discussion and Conclusion

This research began with the simple question, why the earthquake event that hit Yogyakarta in 2006 had taken so many lives and caused major devastation. In attempting to answer this question, further questions have been formulated. Instead of taking part in the discourses of geology, engineering, and physical geography, approaches which emphasize more on technical aspects of the disaster, this approach attempts to offer another explanation which focuses on the social aspect. The first one concerns historical processes that have been shaping the present‐day Yogyakarta and have influenced its vulnerable condition. The second question focusses on the socio‐economic structure of and values adhered by the members of the researched communities. The third one is about the local wealth‐ based household categories and how risk is perceived. The last question is centralized in strategies that households develop in coping with crisis caused by natural hazards. Combining quantitative data, collected through intensive study of relevant literature, i.e. publications and statistics on Indonesia and disaster management as well as field surveys, and qualitative data, collected through in‐ depth interviews, Participatory Rural Appraisals, and Focus‐Group Discussions, this research has been implementing three levels of analysis: household, community, and policy level.

The vulnerable condition of rural Yogyakarta can be traced back from the history that this region has been through, in which various social, cultural, economic, and political dynamics since the establishment of the Hindu‐Mataram empire in the 8th century have been taking place. In the pre‐colonial era, based on historical reports, the main feature includes struggles among the king’s inner circle, civil wars, conflicts with external powers, and several major natural and man‐made disasters, i.e. volcanic eruptions, earthquakes, lahars, famines, and diseases. The Colonial era was marked by the integration of this region to the international market system, major exploitation of natural resources, forced labour, the implementation of forced‐cultivation (cultuurstelsel) – endorsed by the introduction of the appanage

C h a p t e r 6 | 242 feudal land control system, and a decrease of the death rate – due to the advance in disease prevention and control – which in turn resulted, among other things, in rapid population growth. Prior to the era of independence, rural inhabitants had to deal with another misery. Lasting only 3.5 years, the Japanese occupation caused tragic sufferings among Javanese population, due to forced labour in numerous war‐related projects, natural resource exploitation, and forced‐cultivation to meet the immense need for war logistics. In Yogyakarta, the distress was worsening by the earthquake event in 1943 in which significant numbers of people got killed and major infrastructures of this area were damaged. Obtaining its independence, Indonesia had to deal with the legacy of the colonial powers, i.e. poverty, poor infrastructure, economic bankruptcy, and a wide rich‐poor disparity. Along with that, some separatist armed movements, rebellions, conducted by the communist and the Islamist, and economic crisis, had caused political instability that resulted in the fall of the so‐called “old order” power. The successor, the so‐called “new order”, managed to improve the economic condition of the country through a series of policies focusing on economic growth and political stability. Due to its corruptive and authoritarian character, this regime, after staying in power for 32 years, finally collapsed and was replaced by a more democratic system.

The democratic government, formed by open and fair election that had been established since 1999, has been challenged by an economic set back and sectarian conflicts. The second problem has been overcome since the mid of the 2000’s, but the first one remains. Despite the improvement of several macro‐economic indicators, the gap between the rich and the poor remains wide, as indicated by the Gini Ratio Index. In addition, the openness of Indonesia to the international market has made the national economy more vulnerable to external shocks that occur in the world economy. Price fluctuations of vital commodities at the international market, i.e. oil, rice, fertilizer, and sugar, always affect many people in this country. Nevertheless, unlike the previous administration, the attention spent by the present government on the agricultural sector, on which 55 per cent of the Indonesian people rely on, is decreasing, as indicated by the significant increase in the import of the above mentioned important commodities. Another main

C h a p t e r 6 | 243 challenge is the occurrence of several major disasters. To address the problem, the national government has introduced a new law of disaster management which is required to be translated by local governments into a regional law of disaster management. This regional regulation should be based on the disaster risk in the respective context.

Yogyakarta is prone to earthquakes, volcanic hazards, lahars, storms, landslides, and water scarcity. This research took two districts with different natural hazards as example: the earthquake‐prone district of Bantul and the water scarcity‐prone district of Gunung Kidul. The massive deaths, injuries, and damages during the earthquake disaster of 2006 happened mainly due to the high level of vulnerability of the population living in the Bantul district which is influenced by several factors. It began with the development program in the rural area. Intensive agriculture, known as green revolution, required a lot of external inputs, i.e. fertilizer, irrigation water, pesticide, credit, and access to the market. These inputs require good transport and irrigation infrastructures. Massive road development initially conducted by the “new order” administration was intended to enhance the mobility of people, goods, commodities, and service, from and to the rural area. Bantul district has been indeed integrated to the urban area and the wider market, but it caused several side effects that turned the region into a more vulnerable condition, the most prominent of which is land conversion. Land conversion has been committed by the government, the business sector, and the local inhabitants. The government has been building roads, schools, health centres, public services, and kiosks on their own land. The business sector, upon the consent of the local government, has been building permanent constructions for their workshops, shopping spots, and manufacture facilities on the land purchased or leased from either the local government or the villagers.

The rapid change in the built‐environments driven by economic advancement of the Bantul district has been influencing the land market. Despite the occurrence of earthquake disaster events, the land price in the district remains increasing. This phenomenon has been attracting many people to invest their capital on land and housing business. Owning the purchased land for several years, they all hope to

C h a p t e r 6 | 244 obtain vast profit from the difference between the purchasing and the selling price. The result is twofold. First, attracted by the high selling price, the villagers sell some parts or even all of their lands to others, retaining the home compound, and search for a more promising employment in non‐agricultural sectors. Secondly, a situation occurs in which only the wealthy and investors can afford to purchase land. The self‐sufficient and the poor households do not have any possibility to enlarge the size of their land holding, while their need for houses has been growing. Under such situation, new families growing up in self‐sufficient and poor households decided to build new houses either near the old main house or on other types of land, i.e. dry fields and paddy fields. Hamlets turn to be a very densely populated settlement, leaving only a few spaces to escape in case an earthquake strikes. In Gunung Kidul’s case, infrastructure and economic development bring more positive effects in the alleviation of the water scarcity problem. Better road infrastructure means better access of the local commodity to other markets, lower prices for water and livestock as the transport expenditure lessens, and more employment opportunity outside the agricultural sector.

From a policy point of view, the district government of Bantul and Gunung Kidul have been predominantly implementing a more technocratic approach. To address the water scarcity problem, Gunung Kidul has been revitalizing natural basins functioning as water reservoirs; building dams in underground rivers; installing water pumps and pipeline facilities to the people threated by the water scarcity; constructing rainwater harvesting tanks; and distributing water to those sub‐ districts where the inhabitants are suffering most of the water crisis. Another approach has been the land rehabilitation, so‐called “regreening” program, that aimed at conversing water springs and preventing the thin layer of top soil from being washed away through times of rain. In Bantul, the main priority to address in the aftermath of the earthquake event of 2006 was housing reconstruction and economic recovery. Conditional cash programs have been commenced to help families, whose houses had been damaged, with rebuilding. Depending on the level of damage, each family received between IDR 5 Million and IDR 15 Million. Emergency exit route maps have also been attached to numerous public buildings,

C h a p t e r 6 | 245 i.e. public schools, government offices, and some spots considered as easily viewed. In cooperation with the banks operating in Bantul, the government also implemented a program of payment suspension addressed to debtors whose businesses or property were affected by the earthquake disaster. After the rehabilitation and reconstruction program ended in 2008, measures to address earthquake disaster have been, as a rule, integrated into the local development planning and programs.

To understand the strategies that villagers of Bantul and Gunung Kidul develop in coping with natural disaster, it is, first of all, important to have a better understanding of the situation and events they are mostly worried about. In Bantul, the most worrying situation is being in an unemployed condition. Positioning it at the third most worrying situation, people in Bantul consider a coping strategy against earthquakes not as the highest priority, rather simply as one of six agendas to address. In Gunung Kidul, it is the water scarcity that worries people most. Unlike villagers in Bantul who put the natural hazard (earthquake) as an independent factor, water scarcity in Gunung Kidul is perceived to be the ultimate cause of other five critical situations, i.e. crop failure, forest fire, serious illness, livestock death, and financial crisis, thus the strategies they developed focus on water scarcity. In doing this, they expect that other crises could be minimized.

The different perception partly explains the reason behind the decisions behind the taken options. Having a more advanced road infrastructure, better connectivity to the urban area, and a good access to the larger market, Bantul district provides more non‐farm employment and income generation opportunities. However, the access to these opportunities is not equally distributed among different household categories. Having either regular income, or valuable goods as collateral, or the combination of both, the wealthy have more opportunities to access the various formal loan institutions. Managerial positions that offer much salary, the number of which are so limited, are only open for those with high education, meaning that only the wealthy and few self‐sufficient household members can get such jobs. They even have to compete with each other to obtain such a position. The lower

C h a p t e r 6 | 246 positions with much less salaries are left to the poor household members. With regard to social security system, the poor are more protected than the self‐ sufficient. All members of a poor household are listed among those who receive social provision and a free insurance premium from the government, which enables them to receive free medical treatment. To the self‐sufficient, insurance premium, installed annually or monthly, is either too expensive or not being considered to be the main priority. Their earnings are mostly expended for the fulfilment of daily needs, i.e. food, clothing, fuel, communication, school costs, and electric bills. In Gunung Kidul, it is only the wealthy that are less seriously affected by the water scarcity problem. They have more and varied forms of savings, i.e. cash, dried cassava, jewellery, livestock, and teak. Based on their past experience, at most, they need only to sell their jewellery, not other assets, in times of water scarcity. The self‐sufficient and the poor are among those suffering most. Those groups have to sell also their other assets, such as e.g. livestock, dried cassava etc., reducing their capitals and thus dramatically eroding their capability to cope with crisis.

Literature | 247

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