«Setiawan Aswad BA (Dev. Mgt), M.Dev.Plg Submitted in fulfilment of the requirements for the degree of Doctor of Philosophy School of Civil ...»
LOCAL DEVELOPMENT PLANNING AND COMMUNITY
EMPOWERMENT IN DECENTRALISED INDONESIA:
THE ROLE OF LOCAL PLANNING IN IMPROVING SELF
ORGANISING CAPABILITIES OF LOCAL COMMUNITIES
IN TAKALAR, INDONESIA
BA (Dev. Mgt), M.Dev.Plg
Submitted in fulfilment of the requirements for the degree of Doctor of Philosophy School of Civil Engineering and Built Environment Faculty of Science and Engineering Queensland University of Technology September 2013 Abstract In the process of empowering local communities in decentralised Indonesia, particular attention needs to be paid to the capacities of local people to work collaboratively or cooperatively as the role of collective actions and community organisation in delivering goods and services is increasingly acknowledged. To establish significant links with community empowerment, local planning should go beyond its traditional role as a public instrument that simply fulfils administrative targets by the provision of planning documents. More importantly, planning should contribute to the formation of a social arena in which local communities can meaningfully interact among themselves and other stakeholders in building and enriching their self-organising capabilities. The quality of public participation in local planning is essential as it will determine whether the enhanced role of planning can be meaningfully promoted.
To improve the quality of public participation in local planning in the decentralised era, the central government of Indonesia implemented Law No.
25/2004 on Development Planning Systems. Under this law, a planning mechanism and process, called Musyawarah Perencanaan Pembangunan (Musrenbang) – freely translated as a forum of development planning – was introduced. Musrenbang has, however, some limitations in its capacity to encourage the meaningful involvement of local communities due to the absence of a sufficient participatory planning framework and mechanism. This research examined the applicability of procedural justice and social learning as two approaches to making the local planning process more participative and consequently improving its role for empowered local communities. To empirically test the usefulness of the proposed approaches, this research took a local planning process attached to a community empowerment model in Takalar District, called Sistem Dukungan (SISDUK). To address the research questions and objectives, a case study and triangulation method were applied, combining qualitative and quantitative approaches to produce meaningful interpretation and inference.
Overall, this study provides empirical evidence in support of the notion that the incorporation of procedural justice combined with social learning could promote a planning process that meaningfully improves community empowerment in terms of self-organising capability resulting in the material improvement of local communities. In relation to self-organising capability in particular, the combined
approach indicates significant impacts on positive change in the following factors:
the acquisition and utilisation of collective resources; the development of collective knowledge and skills; and the establishment of collective values, norms and trust, community leadership and social networks. Two features of the SISDUK empowerment model, namely, the organisation of community collective actions and community-based planning, utilising participatory rural appraisal and starting at the natural village level, not the administrative level, can explain why procedural justice and social learning can be successfully incorporated.
The original contributions of this research to the academic domain include a contribution to the existing body of knowledge about the application of procedural justice and social learning for community empowerment (in this case in decentralised i Indonesia) that has not been previously explored. This study also contributes to the development of the concept of community collaborative, collective capabilities, in particular self-organising capabilities, and the pathways that could be taken to improve these capabilities in the planning context as demonstrated in the study area.
The study makes recommendations for local and national policy-makers to further comprehensively integrate procedural justice methods and social learning initiatives. This will strengthen participatory bottom-up planning and produce quality planning processes and outcomes through the involvement of empowered local communities. To make decentralisation in Indonesia effective and instrumental for actualising increased community participation and empowerment, the study also recommends that there should be a sufficient legal framework at the local level. In addition, further decentralisation to the village level could be considered as the way to strengthen the capacity of local communities.
Some limitations in this study are acknowledged. Amongst these are, firstly, that the study did not examine and provide further information regarding the complexity of the relationships among the factors within the involved major variables. The second limitation is that the scope of this research was confined to the implemented empowerment programs targeting relatively homogenous local communities with predominant characteristics of rural communities. The third limitation is that the focus of this research was limited to self-organising capabilities at the small-sized group level. The next limitation is that given the various planning stages with their specific activities, this research tends to consider the planning process as a whole or unified process to evaluate the incorporation of procedural justice and social learning.
Key words: Community empowerment, collective capabilities, decentralisation, Indonesia, local planning, procedural justice, self-organising capabilities, social learning.
Table of Contents
List of Figures
List of Tables
List of Abbreviations
Statement of Original Authorship
CHAPTER 1: INTRODUCTION
1.2 Research Aim and Objectives
1.3 Instrumental Research Questions
1.4 Conceptual Framework and Research Hypothesis
1.5 Relationship with Previous Studies
1.6 Thesis Outline
CHAPTER 2: RESEARCH METHODOLOGY
2.2 Research Strategy
2.3 Research Methods for Data Collection
2.3.1 Document Review and In-Depth Interviews
2.3.2 Questionnaire Survey
2.3.3 Focus Group Discussion
2.3.4 Study of a Selected Group
2.4.1 Qualitative Method
2.4.2 Quantitative Method
CHAPTER 3: LITERATURE REVIEW - LOCAL COMMUNITY EMPOWERMENT ANDPARTICIPATORY PLANNING
3.2 Community Empowerment
3.2.1 Definitions of Local Community Empowerment
3.2.2 Significance of Organisational Capacities for Community Empowerment
3.2.3 The Nature and Types of Collective Actions
3.3 Self-Organising Capability as the Essence of Collective Capabilities and Its Dimensions....... 38
3.4 Community Empowerment in Indonesia: From the Technical Assistance to Locality Development Approach
3.5 Participatory Planning
3.5.1 The Nature of Community Participation
3.5.2 The Dominance and Criticisms of Synoptic Rationalism or RationalComprehensive Planning
3.5.3 Towards More Participatory Planning Paradigms
3.5.4 Community Participation in Indonesia and the Limitations of Musrenbang as a Participatory Local Planning System
3.6 Linking Planning and Community Empowerment: the Relevance of Procedural Justice and Social Learning
CHAPTER 4: LITERATURE REVIEW - PROCEDURAL JUSTICE AND SOCIAL
LEARNING TO IMPROVE SELF ORGANISING CAPABILITIES OF LOCALCOMMUNITIES
4.2 Procedural Justice
4.3 Criteria for Evaluating Procedural Justice
4.4 The Need for Social Learning
4.5 Concept of Social Learning
4.6 Social Learning for Participatory Planning Processes: Popular education for Community Participation and Empowerment
4.7 Criteria for Evaluating Social Learning
4.8 Interactions between Procedural Justice, Social Learning and Self-Organising Capability....... 86
CHAPTER 5: DECENTRALISATION, LOCAL PLANNING IN INDONESIA AND THERESEARCH LOCATION
5.2 Decentralisation and Local Planning In Indonesia
5.2.1 Local Government Practices in the Post-Colonial Era: The Adoption of Three Principles of Decentralisation
5.2.2 Local Autonomy in Indonesia: the Different Emphasis on Decentralisation Principles
5.2.3 The Implications of Decentralisation on Local Planning in Indonesia
5.2.4 Local Development Planning: Musrenbang as the Principal Instrument for Community Participation
5.3 The Research Location
5.3.4 Local Government Bodies
5.3.5 Local Community Collective Actions and Organisations
CHAPTER 6: ANALYSIS AND FINDINGS 1 - SISTEM DUKUNGAN (SISDUK): A LOCALINITIATIVE FOR COMMUNITY EMPOWERMENT
6.2 The Initial Pilot Project of SISDUK
6.3 Adoption of SISDUK by the Takalar Government
6.3.1 Areas and Requirements of SISDUK Programs
6.3.2 Implemented SISDUK Programs
6.4 The Model and Characteristics of SISDUK
6.4.1 Management Arrangements
6.4.2 Strengthening the Collaborative Collective Capacities of Community in Resource Acquisition, Management and Utilization
6.4.4 Collaboration amongst Local Stakeholders to Support the Provision of Development Inputs Required by Local Communities
CHAPTER 7: ANALYSIS AND FINDINGS 2 - THE INCORPORATION OF PROCEDURALJUSTICE AND SOCIAL LEARNING AND THEIR IMPACT
7.2 Quantitative Analysis and Results
7.2.1 Characteristics of Respondents
7.2.2 Evaluation of Survey Constructs
7.2.3 Incorporation of Procedural Justice and Social Learning in the SISDUK Planning Process
18.104.22.168 Procedural Justice
22.214.171.124 Social Learning
7.2.4 Impacts of Procedural Justice and Social Learning (The Combined Approach).......... 168 126.96.36.199 Self-Organising Capabilities
188.8.131.52 Material Improvements
7.3 Qualitative Analysis and Results
7.3.1 Focus Group Discussion
184.108.40.206 Procedural Justice
220.127.116.11 Social Learning
18.104.22.168 Perceived Benefits of Empowerment Programs
7.3.2 A Component Case Study
22.214.171.124 Before SISDUK Intervention
126.96.36.199 Establishment of Makkana Dato
188.8.131.52 SISDUK Involvement
vi CHAPTER 8: CONCLUSIONS AND RECOMMENDATIONS
8.2 Contributions of this Study
8.4 Limitations of the Research
Table 4.2 Theory of communicative learning for participatory planning 82 Table 4.
3 Criteria for social learning for participatory planning processes 86 Table 5.1 Three principles of local government practices in Indonesia 95
SISDUK : Sistem Dukungan JICA : Japan International Cooperation Agency ANOVA : Analisis of Variance SPSS : Statistical Package of Social Science UUD : Undang-Undang Dasar
INPRES : Instruksi Presiden LKMD : Lembaga Ketahan Masyarakat Desa PKK : Pembinaan Kesejahteraan Keluarga LMD : Lembaga Musyawarah Desa UDKP : Unit daerah Kerja Pembangunan P5D : Proses Perencanaan, Pelaksanaan dan Pengendalian Pembangunan
APBD : Anggaran Pembangunan Belanja Dearah STPDN : Sekolah Tinggi Pemerintahan Dalam Negeri DPRD : Dewan Perwakilan Rakyat Daerah NGO : Non Governmental Organisation CBO : Community Based Organisation PDPP : Participatory Developmen Planning Programs BPM : Badan Pemberdayaan Masyarakat BAPPEDA : Badan Perencanaan Pembangunan Daerah FGD : Focus Group Discussion
The work contained in this thesis has not been previously submitted to meet requirements for an award at this or any other higher education institution. To the best of my knowledge and belief, the thesis contains no material previously published or written by another person except where due reference is made.
I would like to take this opportunity to acknowledge those who have supported me throughout my research study and contributed towards this thesis. Without them this thesis could not have been completed.
I would earnestly like to thank my supervisory team: Associate Professor Phil Heywood and Dr. Connie Susilawati as Principal and Associate Supervisor respectively. Being an International student, I have been delighted and lucky to be under their patient, professional and knowledgeable guidance. Their advice and encouragement have been essential toward the completion of this thesis.
I would also like to extend my sincere thanks to the South Sulawesi Provincial Government. Without their financial support it is unlikely to have been possible for me to pursue my study at Queensland University of Technology (QUT).
Finally, I would also like to express my gratitude to my family for their continuous encouragement and support.
xii Chapter 1: INTRODUCTION