Institutional Vulnerability and Governance of Disaster Risk Reduction: Macro, Meso and Micro Scale Assessment (With Case Studies from Indonesia) Dissertation zur Erlangung des Grades Doktor Ingenieur (Dr.Ing.) der Hohen Landwirtschaftlichen Fakultät der Rheinischen Friedrich-Wilhelms-Universität zu Bonn Vorgelegt am 24 November 2010 Jonatan A. Lassa aus West Timor, Indonesien Referent: Prof. Dr. Ing. Janos J. Bogardi Korreferent: PD. Dr. Peter P. Mollinga. Korreferent: Prof. Dr.-Ing. Theo Kötter Tag der mündlichen Prüfung: 28-02- 2011 Erscheinungsjahr: 2011 ii Abbreviations AIT: Asian Institute of Technology AusAID: Australian Agency for International Development APBN: Annual National Development Budget APBD: Annual Local Development Budget ASEAN: Association of Southeast Asian Nations Bakornas: National Coordination Agency for Disaster Management (old) in Indonesia BMG: Indonesian Meteorological and Geophysics Agency Indonesia BNPB: Indonesian National Disaster Management Agency BDPB Indonesian Local Disaster Management Agency CDA: Critical Discourse Analysis CBDM: Community-based Disaster Management CBDRM: Community-based Disaster Risk Management CRED: Center for Research on the Epidemiology of Disasters CSO: Civil Society Organizations DAAD: German Academic Exchange Service DM: Disaster Management DNPI: National Council for Climate Change of Indonesia DPR: National Legislation Council (Indonesian Parliament) DPRD: Local Legislation Council (provincial/district parliament) DRG: Disaster Risk Governance DRGF: Disaster Risk Governance Framework DRM: Disaster Risk Management DRR: Disaster Risk Reduction ECLAC: Economic Commission for Latin America and the Caribbean ECHO: European Commission for Humanitarian Aid & Civil Protection EID: Encyclopedia of International Development EMDAT: Emergency Event Database ESDM: Ministry of Energy and Mineral Resouce ESG: Earth System Governance GAR: Global Assessment Report GDP: Gross Domestic Product GFDRR: Global Facility for Disaster Reduction and Recovery GEF: Global Environmental Facility GITEWS: German-Indonesian Tsunami Early Warning System GR: Government regulations GTZ: German Agency for Technical Cooperation HFA: Hyogo Framework for Action IBC: International Building Codes ICC: International Code of Councils ICM: Indonesian Concrete Manuals IRCI: Institutional Resilience and Capability Index ICT: Information and Communication Technology IDNDR: International Decade for Natural Disaster Reduction IDR: Indonesian Rupiah iii IDRL: International Disaster Response Laws INGO: International Non-governmental Organizations IFRC: International Federation of the Red Cross IJMED: International Journal of Mass Emergency and Disasters IDPs: Internally Displaced Peoples IDRL: International Disaster Response Laws ISO: International Standard Organization IVI: Institutional Vulnerability Index ITB: Bandung Institute of Technology, Indonesia IVA: Institutional Vulnerability Assessment KAM: Knowledge Assessment Methodology Keppress: Presidential Decree Kepmen: Minister Decree MDGs: Millennium Development Goals MPBI: Indonesian Disaster Management Society MRI: Multi-risk Index MSR: Multi-strategy Research NAP: National Action Plan NGO: Non Governmental Organizations NTT: East Nusa Tenggara Province NU: Nahdatul Ulama OFDA: Office of U.S. Foreign Disaster Assistance PD: Presidential decree Perda: Local regulation Perkada: Head of region’s regulation Perpress: Presidential Regulation Permendagri: Interior Minister Regulation PermenPU: Minister of Public Work’s Regulation PP: Government Regulation PMPB: Disaster Management Association Kupang PMB-ITB: Pusat Mitigas Bencana – Bandung Institute of Technology PMI: Indonesian Red Cross PRA: Participatory Risk Assessment RAN: National Action Plan RAN PRB: National Action Plan for Disaster Reduction RENAS: National Planning RGF: Risk Governance Framework RPJMD: Local Medium-Term Development Planning RPJMN: National Medium-Term Development Planning Satlak: District Level Coordinating Agency for Disaster Management (old) Satkorlak: Provincial Level Coordinating Agency for Disaster Management (old) SC-DRR: Safer Community through Disaster Risk Reduction SKPD: Local Government Working Units (province and district) UBC: Uniform Building Codes UN: United Nations UNDP: United Nations Development Program UNDP-ERA: United Nations Development Program Early Recovery Assistance iv UNDRO: United Nations Disaster Relief Organization UNESCO: United Nations Education, Science and Culture Organization UNICEF: United Nations Children’s Fund UNISDR: United Nations International Strategy for Disaster Reduction UNOCHA: United Nations Office for the Coordination of Humanitarian Affairs UNU-EHS: United Nations University Institute for Environment and Human Security UII: Islamic University of Indonesia USAID: United States Agency for International Development WHO: World Health Organization WCDR: World Conference of Disaster Reduction WGI: World Governance Indicators ZEF: Center for Development Research (University of Bonn) v CONTENTS ABBREVIATIONS .............................................................................................................................. III LIST OF FIGURES .............................................................................................................................. X LIST OF TABLES ............................................................................................................................... XI ACKNOWLEDGMENTS.................................................................................................................. XII DEDICATION .................................................................................................................................. XIV ABSTRACT ........................................................................................................................................ XV CHAPTER 1. INTRODUCTION .......................................................................................................... 1 1.1. Introduction ................................................................................................................... 1 1.2. Research Problems ......................................................................................................... 2 1.3. Research Objectives ....................................................................................................... 4 1.4. Research Questions ........................................................................................................ 5 1.5. Research Outline ............................................................................................................ 5 CHAPTER 2. THEORIES AND CONCEPTS OF INSTITUTIONS AND GOVERNANCE ............. 7 2.1. Introduction ................................................................................................................... 7 2.2. Understanding Institutions of Disaster Risk Reduction ................................................... 9 2.2.1. Introduction ............................................................................................................... 9 2.2.2. Rational Choice Critics on Institutions....................................................................... 9 2.2.2.1. New Institutional Economics Theory .................................................................. 10 2.2.3. Theory of Pathways ................................................................................................. 12 2.2.4. Anthropological Approach to Institutions in Disaster Risk Reduction ...................... 13 2.2.4.1. Religions as Informal Institutions........................................................................ 14 2.2.5. Timelines of Institutions: Simplified Framework ..................................................... 16 2.2.6. How Institutions Change ......................................................................................... 17 2.2.7. Institutional Plurality and DRR................................................................................ 18 2.2.8. Bureaucracy as Institutions and Governance ............................................................ 20 2.3. Theories and Concept of Governance ........................................................................... 22 2.3.1. Application of the Concept of Governance to Disaster and Risk Research ............... 25 2.3.2. Decentralization and “Decentralized Governance”................................................... 30 2.3.3. Scale of Disaster Risk Governance .......................................................................... 32 2.3.4. Polycentric Nature of Disaster Risk Reduction ........................................................ 34 2.4. Towards a New Concept of Institutional Vulnerability to Disaster Risk ....................... 36 CHAPTER 3. RESEARCH FRAMEWORKS AND METHODS ...................................................... 39 vi 3.1 Research Frameworks .................................................................................................. 39 3.1.1 Introduction to Overall Research Frameworks ......................................................... 39 3.1.2 Disaster Risk Governance Indicators at National Scale ............................................ 42 3.1.3 Country Level Institutional Vulnerability Assessment ............................................. 42 3.2 Research Methods ........................................................................................................ 44 3.2.1 Quantitative