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CHAPTER II

Review of Related Literature

Local Literature

Over the past decade, millions of Filipinos have been

adversely affected by natural disasters such as typhoons,

floods, earthquakes, landslides, volcanic eruptions, and

tsunamis. To note, the World Risk Index ranked the Philippines

3rd in 2012 and 2nd in 2014 due to Typhoon Yolanda. The scheme

to counteract the effects of disasters dates back from the

Philippines’ pre-Commonwealth days up to the present. Various

approaches were adapted from disaster preparedness and response

in the 1970s, to disaster management in the 1980s, to disaster

risk management in the 1990s and eventually disaster risk

reduction in the year 2000s, this paved way for the Philippine

Disaster Risk Reduction Management (PDRRM) Act or RA 10121 of

2010. Its enactment has laid the basis for a paradigm shift from

a just disaster preparedness and response to disaster risk

reduction and management.(NDRRMP, 2011) The PDRRM Act of 2010

seeks the reduction and better management of disaster risk and

refocused the country’s approach to disasters. It drafted a

national policy that envisions a “safer, adaptive and disaster

resilient Filipino communities towards sustainable development”.

(NDRRMP, 2011) This entails a paradigm shift, from reactive to

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proactive DRRM; vital in achieving this paradigm shift is the

empowerment of leaders and communities and the development of

proper mindset and behavior towards reducing and managing risks

and minimizing the impact of disasters.

Though different laws passed by the government have

provided solid plans, different studies, researches and

assessments were made to challenge and evaluate its

implementation, in terms of the funding made available to

support implementation and the consistency in approach

throughout all levels of government.

The Commission on Audit (COA) published an assessment

report focused on the analysis of the country’s disaster

management system in the context of the Yolanda devastation

entitled Disaster Management Practices in the Philippines: An

Assessment. Super typhoon “Yolanda” (international name: Haiyan)

was the most powerful and devastating tropical cyclone that

struck the Philippines on the year 2013. The Category 5 typhoon

made its first landfall over Guiuan, Eastern Samar in the early

morning of November 8, 2013 and made exit from the Philippine

area of responsibility the following day. Though the typhoon

only lasted for a day, it brought strong winds which ripped off

the roofs of thousands of homes and knocked down shanties,

trees, power and telephone lines and cell towers. Storm surge

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waves that were as high as 6 to 7 meters or a two-storey high

building were also seen, claiming thousands of lives and

destroying millions worth of properties.

The Philippines has been battered by many catastrophic

storms and other natural and man-made disasters since time

immemorial due to its geographic location both at the typhoon

belt and the Ring of Fire.“But in the wake of Yolanda’s

catastrophic destruction, the weaknesses and significant gaps in

the country’s disaster response and management system were

exposed once more. Despite a solid and functioning disaster risk

reduction and management (DRRM) structure, the government’s

response still came across as reactive and not proactive,

insufficient, inefficient and for the most part, too slow.”

The government’s effort were assessed by COA based on five

themes:1) existing disaster governance framework 2) resource

allocation, timeliness and quality of spending 3) preparedness /

coordination/ collaboration among stakeholders 4) accountability

5) disaster information management.

Existing disaster governance framework includes The PDRRM

Act of 2010 is shaped by two key assumptions: 1) that disaster

risk is something that is endemic rather than a concern only

when a cyclone, flood, drought, or earthquake occurs; and 2)

that it is within the power of the state to reduce disaster risk

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even though it is unable to prevent cyclones, earthquakes or

other natural hazards. Another principal guide to DRRM efforts

in the country is The National DRRM Framework (NDRRMF) which

emphasizes that “in time, resources invested in disaster

prevention, mitigation, preparedness and climate change

adaptation will be more effective in attaining the goal of

adaptive, disaster-resilient communities and sustainable

development”. The framework highlights that upon mitigating the

impacts of disasters, preventing hazards from being disasters

and being prepared for disasters will reduce the loss of life,

and damage to assets such as social, economic and environmental.

Based on this framework, the Office of Civil Defense (OCD)

prepared the National Disaster Risk Reduction Management Plan

which covers four thematic areas, namely: 1) Disaster Prevention

and Mitigation which offers “key strategic actions that give

importance to activities revolving around hazards evaluation and

mitigation, vulnerability analyses, identification of hazard-

prone areas and mainstreaming DRRM into development

plans”(NDRRMP, 2011) that will be based on sound and scientific

analysis of the underlying factors which may contribute to the

vulnerability of the people and the risk of being exposed to

hazards and disaster. 2) Disaster Preparedness that give

importance to “activities revolving around community awareness

and understanding; contingency planning; conduct of local drills

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and the development of a national disaster response plan”.

(NDRRMP, 2011) According also to the NDRRMP, the behavioral

change that will be created by the preparedness aspect will be

measured on how well people responded to disasters. The bottom

line is having a more prepared citizenry guided by the local

government units and local chief executives. 3) Disaster

Response which highlights the importance of activities during

the actual disaster response operations from needs assessment to

search and rescue to relief operations to early recovery

activities that will rely heavily on the completion of the

activities under both the prevention and mitigation and

preparedness aspects. It is also noted that to attain successful

disaster response operations horizontal and vertical

coordination among key stakeholders is a vital necessity. 4)

Rehabilitation and Recovery, in accordance with the “build back

better” principle this aspect under the NDRRMP aims to cover

areas like employment and livelihoods, infrastructure and

lifeline facilities, housing and resettlement, among others.

These are recovery efforts for affected communities once people

are already outside the evacuation centers.

Overall, the plan provides vertical and horizontal

coordination mechanism in pre-disaster and post-disaster

activities and aims to strengthen the capacity of the national

government and the LGUs together with partner stakeholders, to

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build disaster-resilient communities, institutionalize disaster

risk reduction and enhance disaster preparedness and response

capabilities at all levels. The assessment from COA claims that

while DRRM plans have been formulated, actual accomplishments

have yet to be monitored and also stated that many LGUs have not

complied with the simple requirement of preparing a Disaster

Management Plan that RA 10121 requires. The study also declared

that the LGUs that prepare a Disaster Management Plan do so not

to give an account on local practices but to simply comply with

government rules because if they fail to submit such plan they

will not be able to access their disaster funds. In fact, LGUs

in four regions were reported to have either not been able to

prepare their Local DRRM Fund Investment Plan (LDRRMFIP) or the

Plan did not bear proof that it went through the deliberation of

the LDRRMC as required under RA 10121. Also, in one LGU, the

LDRRMF was utilized without an approved Fund Investment Plan.

The collection, compilation and dissemination of relevant

knowledge and information on hazards, vulnerabilities, actual

losses and capacities is a must in order to strengthen disaster

preparedness for effective response. But according to COA, the

things stated above can hardly be found in the majority of LGUs,

especially in the case of low-income class LGUs, where the human

resources and technical complement of disaster preparedness are

still wanting in terms of a systematic approach.

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On the overall assessment of budget allocation and

utilization an analysis of the 2013 Budget shows that 54% or

more than half of the utilized fund for disaster risk management

went to response and rehabilitation, a post-event, while 46% of

the fund utilized were allocated for mitigation and

preparedness. In the case of LGUs, the assessment emphasized how

LGUs have varying disaster-related expenditure demands and

revenue-raising capacities which are both affected by the

incidence and severity of calamities that strike them. It is

also noted how these differences are not taken into account in

the allocation of resources for disaster management, thus

creating an imbalance between available resources and risk

exposure. It is an undeniable fact that an effective response

and recovery is dependent on the availability of financial

reserves and contingency mechanisms, which - according to COA

are hardly available to majority of LGUs.

Under Section 3 of Republic Act 10121, disaster

preparedness is defined as -- the knowledge and capacities

developed by governments, professional response and recovery

organizations, communities and individuals to effectively

anticipate, respond to, and recover from the impacts of likely,

imminent or current hazard events or conditions. Preparedness

action is carried out within the context of DRRM and aims to

build the capacities needed to efficiently manage all types of

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emergencies and achieve orderly transitions from response to

sustained recovery. Preparedness is based on a sound analysis of

DRR and good linkages with early warning systems and includes

such activities as contingency planning, stockpiling of

equipment and supplies, the development of arrangements for

coordination, evacuation and public information and associated

training and field exercises. These must be supported by formal,

institutional, legal and budgetary capacities.

The activities that are commonly associated with disaster

preparedness include developing planning processes to ensure

readiness; formulating disaster plans; stockpiling resources

necessary for effective response; and developing skills and

competencies to ensure effective performance of disaster-related

tasks. However these are hardly sustained among LGUs which are

categorized as low-income class municipalities. COA’s assessment

also stated how mainstreaming disaster mitigation and

preparedness in the LGU development plan still remains a huge

challenge. Some lapses in the area of disaster preparedness were

also observed at the national government agencies. No

accomplishments were reported per the CY 2012 Performance Review

and Assessment of the NDRRMP by the Office of Civil Defense, as

the agency still do not have a relevant, DBM-approved staffing

pattern as required under Rule 7, Section 4 of the Implementing

Rules and Regulations of RA 10121. Also, with respect to the

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Department of Interior and Local Government’s integrated

disaster preparedness in delivering basic services

andstrengthened capacities of communities to anticipate, cope

and recover from the negative impacts of calamities through

“Enhancing LGU Capacity on Climate Change Adaptation and

Disaster Risk Reduction Management.”Despite its scaled up Seal

of Good Local Governance campaign that recognizes good

performance, the DILG has not successfully achieved full

preparedness of LGUs, with only 23%of LGUs in flood-prone areas

prepared in terms of awareness, institutional capacities and

coordination based on the agency’s own assessment. Also,

according to Guce (2016) the overall passer of the Seal of Good

Local Governance that was launched on 2014 was only at 15.16%.

The gaps in accountability on COA’s assessment documented

many examples wherein quick action was not possible due to

longstanding policies/procedures that required extensive, time-

consuming processes, delaying the delivery of vital supplies and

other assistance.“An indispensable precondition to improve aid

effectiveness is greater transparency and better information

dissemination. While there is a law that enables the sourcing

and utilization of disaster funds, compliance to the said

provision is low.” On that case, it should be noted that a

reliable inventory is crucial in the determination of the volume

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of relief goods to be ordered as well as timeliness in placing

orders.

COA’s assessment highlights that public awareness saves

lives and that early warning system is essential. Management of

information is critical to any disaster management system. The

information need of disaster managers can be categorized into

pre-disaster and post-disaster, which are both crucial in

guiding decision-makers. COA’s assessment also emphasized how

the need for information, however, is not only limited to

baseline and real-time data on the nature, effect and impact of

disasters but also includes financial information. The ability

of leaders and administrators to make sound decisions on

disaster management, to analyze and strategize the appropriate

response or disaster risk mitigation techniques also depends, to

a large extent, on the availability, reliability and quality of

financial information.

The assessment report recommended that the government as

led by the NDRRMC must plug the holes and bridge the gaps in its

DRRM plan and implementation to address the many critical issues

and problems that were highlighted and magnified in the

aftermath of the Yolanda disaster. To look into the problematic

areas and aspects where the government came up short or had no

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response at all, especially in the fundamental elements of

leadership, capabilities and accountability.

We need to learn from the small victories, the bright spots

as well as the fatal mistakes and everything in between that

were made not only from the Yolanda perspective but also from

the many natural and man-made disasters that have struck our

country in the last two decades. Otherwise, calamities will

continue to exact a heavy toll not only on our economy but also

on our population.

Participatory Development and Disaster Risk Reduction and

Management in the Philippines: The Case of Albay Province

Albay pursues a zero casualty goal during disaster and

practices preemptive evacuation as its principal strategy for

disaster response proving successful in three recent cases.

Albay is practitioner of climate change adaptation and has

integrated DRR and CRR in all its programs. There is a 70%

overlap between adaptation and disaster risk reduction the Albay

context.

Disaster & Development lessons (these are things that have

worked in Albay). 1) Disaster Recovery and Development; this

includes humanitarian resources that can be considered as

resources for development. This means also that rehabilitation

should be pursued in the context of a development strategy 2)

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Building back better and possibly building back elsewhere 3)

Disaster proofing of development A. Disaster risk reduction must

be a basic input to the Regional Master Plan B. CLUP or zoning

policy is key DRR instrument C. Engineering intervention should

be last recourse.

Key Elements of Albay DRR Strategy are Risk Reduction: This

includes risk mapping, geostrategic intervention, adjusting the

Comprehensive Land Use Plan (CLUP), and climate change

adaptation, Disaster Preparedness: This requires close work with

warning agencies and installing workable community-based warning

systems, Disaster Response: They use an info board, they have

organized preemptive evacuation, and they are prepared to

undertake the necessary damage and needs assessment, Relief

Operations: This is undertaken based on needs and a demand-side

approach, Recovery: They use a basic principle of building back

better, and using a cluster approach

In Albay, the Guicadale Business Platform is also both an

economic strategy as much as it is a disaster risk reduction

strategy. This includes household relocation and resettlement, a

new airport, additional road networks and a new Government

Centre, all funded from various sources over the coming years.

In short, investments in disaster risk reduction have a positive

economic expansion impact in times without a disaster, and to

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reduce losses on times of disaster. They have also embarked on a

comprehensive early warning system with DOST, PHILVOCS, PAGASA,

the DCCs, the broadcast media and of course all the way to the

communities themselves. This can be one of the most useful

exercised for long-term disaster risk reduction – to incorporate

DRR into the main body of the CLUP for all development sectors.

DRR info can inform planning and vice versa.

They have trained 18 municipalities in preparing their

CLUPs and this is integrated also at Provincial level. They have

found it necessary to carry out soil analyses to provide a firm

basis of development planning and to avoid “underlying” risks.

Some basic principles for the CLUPs are no investment or

selective investment in High Risk Zone, Maximum Protection in

the low to moderate risk zone, Safe zone as the site for new

development investments (GUICADALE Platform in Albay) Eventually

the CLUP and soils analyses will be integrated into a

comprehensive GIS mapping when funds are available. This will be

an important baseline of information for the Rapid Earthquake

Damage Assessment System (REDAS) software in partnership with

PHIVOLCS.

Continuous training and education is possible one of the

most important preparedness needs. This would include for

example: Household, Community and LGU preparedness, Updating of

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Contingency Plans, Skills development for government and

volunteers, Warning System Communication Protocol and Evacuation

Procedures, Mountain Survival and compass reading, Critical

Incidence Stress Debriefing, Community Risk Mapping and

Contingency Planning, Education-On-Air with local broadcast

media, Conduct of drills and exercises in schools, hospitals,

hotels, malls and communities to pre-test the hazard specific

contingency plan on volcanic eruption, earthquake typhoon and

fire, Review of policies and regulations with LGUs.

They have started the INFOBOARD where over 15000 free SMART

SIM cards have been issued to officials for the Disaster and

Climate Risk Monitoring system. It is a SMS broadcast facility

for early warning. Already we have undertaken training workshops

in 720 Barangays. They have also dedicated energy and time to

prepare for critical response needs such as evacuation centers,

relief supplies, search and rescue retrieval, security, price

monitoring of basic and prime commodities, water health

sanitation and nutrition needs, and management of the disaster

Operations Centre. Preemptive evacuation is a big issue in Albay

with our active volcanoes. Climate change adaptation is going to

be more and more important to the province and local

governments. "The province has also recently entered to a

memorandum of agreement with the Department of Environment and

Natural Resources (DENR) for the P2 million joint projects on

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mangrove plantations and development in hundreds of hectares of

swamp areas in various provincial coastlines," Salceda said.

A risk assessment during the pre-disaster phase will

establish the “before” situation. This can be done during normal

season. It then enables the well-targeted damage assessment

(time, manpower and MOOE) and will also determine size and

location of the threatened population (area and hazard specific)

as well as allowing them to determine critical resource needs

(area and hazard specific). In the immediate Post Disaster Phase

damage assessment (often completed within 5 days of the

calamity) will allow them to determine potential location of

problem, determine the magnitude of problem and determine the

immediate priorities.

The case of Albay is worth examining because of how well-

established their DRRM programs are. According to Salceda, it

took an estimated 12 years to implement localized, “built in”

DRR capacities in different barangay[s.] 21 DRR efforts and

planning began in earnest in1994, and became largely effective

in 2006.22 Thus, the province’s DRR efforts are the product of

long-term planning, feedback, and, perhaps most importantly,

trial and error since the province has experienced multiple

disasters from 1994 to present.

Philippines Performance Measurement at the Local Level

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The adoption of the Local Government Code of 1991 (LGC) has

prompted national government agencies as well as multilateral

and bilateral funding agencies to assist in furthering the

objectives of decentralization and in implementing the

provisions of the LGC. In light of decentralization, certain

powers, functions and resources have been devolved to local

government units (LGUs). Thus, they are faced with greater

leadership and management responsibilities. It is, therefore,

imperative for LGUs to exercise good governance to ensure the

efficient and effective performance of these responsibilities,

and to optimize the support of national government and external

assistance agencies to promote development at the local level.

The LGC has become a yardstick of LGUs’ performance.

However, since its passage, there have been concerns that the

objectives of local autonomy, through the devolution of

functions to LGUs, have been only partially achieved. To address

the issue and keep up with the worldwide trend on the

development of measurable local performance indicators and

service standards, a wide range of projects to measure LGUs’

various development areas (i.e., social, economic,

environmental, financial, and institutional sectors) has been

undertaken in the Philippines, such as: indicator systems,

benchmarks, and citizen satisfaction surveys. While LGUs have

been given or may have developed their own performance

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measurement systems, it is not clear whether there have been any

appreciable improvements in service delivery, poverty reduction,

and voting behavior arising from the use of such systems.

Therefore, the study presented critical questions such as: (i)

are the performance indicator systems being used by LGUs

effective in achieving their stated objectives (e.g., poverty

reduction, improvement of service delivery), (ii) do LGUs use

performance indicators properly, and (iii) if not, why?

The assessment involved the following tasks: (i) desk

review of relevant studies and particularly the existing

performance indicator systems used or intended to be used by

local governments, (ii) conduct of survey questionnaires, (iii)

field visits, (iv) interviews with selected representatives of

national government agencies, (v) focus group discussions among

Metro Manila planning officers, (vi) interviews with program

officers of the United Nations Development Programme, and (vii)

use of a set of criteria to quantitatively evaluate the

effectiveness and usefulness of systems used at the local level.

The study focused on certain systems that stand out because

their approach to LGU assessment is multi-sectoral and they are

applicable to various types of LGUs. These are the following:

 Local Productivity and Performance Measurement System

(LPPMS) – self assesses LGU performance by measuring

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multi-sectorial impact and presence/number of

services, facilities, projects, plans, programs and

policies, as well as good governance and

administration.

 Local Governance Performance Management System (LGPMS)

– self assesses LGU performance by measuring multi-

sectoral impact and effectiveness/quality of services,

facilities, projects, plans, programs and policies

with emphasis on good governance and administration

(including, among others, people participation,

equity, service orientation, and human capital).

 Minimum Basic Needs Survey (MBN) – assesses presence

of basic services and facilities at the barangay

level, and their impact to residents.

 Integrated Rural Accessibility Program (ILO-IRAP) –

assesses accessibility of facilities and services,

especially in the primary industry.

 Population Development (POPDEV) Indicators – assesses

socioeconomic characteristics based on demographic

information;

A survey was administered to 48 LGUs spread over 11 regions

of the country. Of the 48 LGUs, 20 are cities and 28 are

municipalities. They represent a broad cross-section of LGUs

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based on income, ranging from first class cities to fifth class

municipalities. The results of the analysis are as follows:

 The most commonly used Performance Indicator Systems

(PISs) are those which have been institutionalized and

supported by national government.

 There is widespread appreciation and understanding of

the main purpose of PISs, but a significant number of

LGUs feel that the PISs developed by national

government are not exactly suited to local conditions

and do not satisfy the political objectives of local

elected officials.

 High usage of PIS corresponds to LGUs’ high level of

understanding on the significance of PIS.

 PISs are generally believed to have considerable

influence on improvements in service delivery and pro-

poor objectives.

 PISs are generally perceived to be internal management

tools, the results of which need not necessarily be

disseminated to the public.

 A significant number of LGU leaders do not extend

adequate support to the proper conduct of PISs because

of the above-cited political consideration.

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 Performance information in the form and coverage

expected have limited influence on voting behavior.

 Limited assistance from national government agencies

concerned to encourage and educate LGUs on the

significance and use of the performance criteria has,

in a way, caused the improper and/or inadequate use of

PISs.

The five most commonly used PISs (namely, MBN, LPPMS,

LGPMS, POPDEV, and ILO-IRAP) were evaluated in terms of (i) type

of data/indicators in each of the system, and (ii) quality or

effectiveness of each system. The first evaluation showed that

three of the PISs (i.e., MBN, ILO-IRAP, and POPDEV) are

predominantly profiling indicators, while the remaining two

(LPPMS and LGPMS) are combinations of input, output, and outcome

indicators. However, there are more input and output indicators

than outcome indicators.

The results of the previous evaluations showed that there

is a need to improve the set of data/indicators required by

performance indicator systems used at the local level (e.g.,

MBN, ILO-IRAP, POPDEV, LGPMS, and LPPMS), particularly by making

them more adequate, economical, and comprehensive. The elements

of the five most commonly used PISs were combined, along with

other important elements to form a more comprehensive

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database/benchmark which distinguishes between urban and rural

LGUs. The recommended sets of performance indicators are

classified under the following main areas of focus: 1) social

conditions and poverty; 2) economic productivity; 3) equity,

governance, and participation; 3) financial capacity and

performance; 4) transportation; and 5) environment.

Philippine LGUs can be said to have a good general

understanding of performance measures. However, their

implementation of the existing systems ─ whether externally

generated or internally developed ─ falls short of expectations.

Yet, according to the conducted study, most of the surveyed LGUs

claimed that their use of PISs has helped improve local service

delivery and poverty reduction. This claim, though, is difficult

to validate since performance information is generally not

disseminated by the LGUs to their constituents.

The study recommends that local key stakeholders should be

involved in every step of the entire program because their

involvement would translate into a sense of local ownership of

the program as a whole, as well as the performance indicators

used. The sense of ownership can help build public trust,

empower citizens, and motivate both the LGUs and its

constituencies to pursue sustained improvements in the quality

of life in their communities. It was also stated that the

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success and sustainability of poverty reduction and service

delivery improvement programs can be greatly enhanced if these

are carried out under a partnership arrangement between the LGU

and its key stakeholders.

Foreign literature

The creation of the Disaster Risk Reduction field was

triggered by the massive impacts of natural disasters on global

communities during the 1960s to 1990s (UNISDR, 2012a). In the

1962, an earthquake hit Iran and caused the death of 12,000.A

year after that, another earthquake killed 12,000 people in

Yugoslavia and in the same year, a number of countries were

struck by powerful hurricane. These countries were Cuba,

Dominican Republic, Haiti, Jamaica, Trinidad and Tobago and

thousands of deaths were reported. These disasters attracted the

attention of the international community including the UN

General Assembly who provided assistance to those nations

affected by the disasters. During this period efforts to deal

with all of these disaster events were limited to disaster

relief, which is narrowly focused on providing assistance during

the emergency phase in the aftermath of a disaster event.

(Guzman, 2003)

The definition of disaster risk has evolved and shifted the

way of thinking and behavior of communities in mitigating

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hazards. Wamsler, as cited in Dwirahmadi (2016) described the

four eras regarding the evolution of the notion of disaster

risk. She observed that the concept of disaster risk is evolving

based on different practical experiences not based from theory

and science.

According to Wamsler, during the 1960’s to 1970 the concept

of disaster risk came into scientific discussions and research

through the humanitarian and emergency sector. It means that

during this era, disaster risk was considered equal to natural

hazard. As defined by UNISDR, hazard is “a dangerous phenomenon,

substance, human activity or condition that may cause loss of

life, injury or other health impacts, property damage, loss of

livelihoods and services, social and economic disruption, or

environmental damage”. During that era, a disastrous event was

only defined by a single factor, that is, by a natural hazard,

with this concept, people perceived a disaster event as an

inevitable natural phenomenon. As a result, the effort to deal

with a disaster was only focused on disaster response and

emergency management.

Moving on to the 1970s to 1990s era, scholars started to observe

that the same hazard could impact communities differently,

leading to the idea that there must be factors that could create

a disaster event other than a natural hazard. (Guzman, 2003)

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Researchers identified that vulnerabilities within the community

could potentially add to the probability as well as the severity

of a disaster. Vulnerabilities is defined as “a measure of the

propensity of an object, area, individual, group, community,

country, or other entity to incur the consequences of a hazard”.

(UNISDR, 2012)With the inclusion of vulnerability aspect,

disaster risk management measures also became focused on pro-

actively addressing the vulnerability factors within communities

and not solely on post disaster even activities. Upon the

establishment of the United Nation International Strategy for

Disaster Reduction (UNISDR) in 1999, more researches were

conducted to take lessons learned from disaster events and

disaster reduction projects around the globe.

During the current era (2000+), it has been observed that

the capacity within the society to tackle disasters could

potentially prevent a natural hazard from turning into a

disaster event. This now includes capacity as a factor, that

could bring a positive influence and reduce the probability of a

disaster event happening. UNISDR defines capacity as “the

composition of all strengths, attributes and resources available

within a community, society, or organization that can be used to

achieve agreed goals”. This includes knowledge, skills, social

cohesion, good governance, community awareness and many others.

(UNISDR, 2009)

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As stated by UNDP, governance is the umbrella under which

disaster risk reduction takes place. Governance, as defined by

UNDP, “is the exercise of political, economic and administrative

authority in the management of a country's affairs at all

levels. It comprises mechanisms, processes and institutions

through which citizens and groups articulate their interests,

exercise their legal rights, meet their obligations and mediate

their differences. Governance encompasses, but also transcends,

government. It encompasses all relevant groups, including the

private sector and civil society organizations.”

UNDP also stressed how mainstreaming of DRR is a governance

process enabling the systematic integration of DRR concerns into

all relevant development spheres. Building resilient communities

in disaster-prone countries requires that: a) underlying risk

factors are continuously considered in all relevant sectors; and

b) risk reduction standards and measures are an integral part of

the planning and delivery of core development services and

processes, including education, environment, and health. In

other words, responsive, accountable, transparent and efficient

governance structures underwrite the environment where DRR can

be institutionalized as an underlying principle of sustainable

development.

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Lastly, Klein, Nicholls and Thomalla (2003) discovered that

the community that is resilient and prepared for disasters would

have the capacity to reduce their vulnerability to climate

related hazards. Studies have shown evidence that a more

resilient community will recover quicker and better from a

disaster event than a less resilient one (Bahadur et al., 2010)

Enhancing resilience towards disaster and climate risks is a

robust and ‘no regrets’ solution to deal with unknowable

unknowns. (Biesbroek, 2014)

Foreign Studies

Building resilience to disasters and climate change: pathways

for adaptive and integrated disaster resilience in Indonesia

Disasters caused by natural hazards and climate change are

occurring more frequently, and are becoming more costly than

ever. The acceleration of climate change is expected to increase

the frequency, magnitude and severity of hydro-meteorological

disasters. The increasing complexities of global environmental

and socio-economic change and the interconnectivities between

processes at global, regional and local scales require greater

nation and community resilience to disasters. While there has

been a proliferation of research on socio-economic resilience, a

better utilisation of the concept of governance within disaster

risk reduction (DRR) and climate change adaptation (CCA) as part

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of an integrated analysis is urgently required. The study aimed

to identify and examine governance strategies that can better

support the integration of DRR, CCA and adaptive governance

(AG), in policy and practice, to build the resilience of nations

and communities.

The study was framed by a multi-disciplinary analysis that

includes areas of research of disaster studies and humanitarian

practice, social-ecological and environmental management and

governance studies developed within the discipline of human

geography. The research combines theoretical analyses with a

case study of Indonesia. Semi-structured interviews were

conducted with 53 individuals from 27 key stakeholder

organizations (government organizations, non-governments [NGOs],

community-based organizations [CBOs] and international

organizations) engaged in DRR and CCA in Indonesia.

The study finds that progress in building resilience in

Indonesia is determined by the development of enhanced

institutional and policy frameworks for DRR and CCA, the

provision of support from international organizations, and the

increasing roles of NGOs and CBOs at the sub-national and

community levels. Challenges to the integration of DRR and CCA

and community development are mainly caused by institutional

segregation of sectoral agencies at the national level and the

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low capacity of local governments in planning and

implementation.

The outcome of the work presented in the study is the proposed

adaptive and integrated disaster resilience (AIDR) framework.

AIDR is defined as the ability of communities or nations to

build disaster resilience in an integrated, systematic and

adaptive manner. Seven institutional strategies or pathways for

implementing AIDR in Indonesia:

• integrating the agendas of DRR, CCA and development;

• strengthening polycentric DRR governance by increasing the

capacity of local governments and other stakeholders, and

increasing community participation;

• increasing multi-stakeholder collaboration through

incentives, showcasing benefits and developing umbrella

organisations;

• improving knowledge and information exchange through

comprehensive research plans and data platforms, and the

incorporation of knowledge from different sources;

• enabling institutional learning through public awareness

and education, training and by prioritising disaster

preparedness;

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• fostering self-organisation and networking amongst

community groups through providing resources and connecting them

with other local, regional, international and Hyogo Framework

for action (HFA) thematic networks; and

• comprehensively implementing disaster-risk insurance and

finance across regional, sub-national and local levels, and

accessing access to DRR funding from multiple sources.

An imperative for all of these pathways is to place more

attention and resources at the local level – to actively involve

local governments, NGOs and CBOs, and to place communities-at-

risk at the centre of integrated resilience-building activities.

The study contributes to theory by examining the linkages of

resilience, DRR, CCA and AG, and developing a new conceptual

framework for AIDR. A contribution to practice is made by

critically analysing knowledge, policy and practice in DRR and

CCA, and by identifying progress and remaining challenges in

building disaster resilience in Indonesia. Through the proposed

AIDR framework, the study provides a comprehensive and

systematic assessment of the processes that enable more targeted

and efficient strategies for the integration of DRR, CCA and

development in policy and practice.

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Disaster risk reduction and climate change adaptation

partnership through collaborative governance to build urban

community resilience to flood risks in Jakarta

The study investigated the challenges and opportunities for

collaborative governance between disaster risk reduction (DRR)

and climate change adaptation (CCA) to build urban community

resilience in Jakarta. Choi and Robertson (2014, p.225) as cited

in Dwirahmadi (2016) have defined governance as “consensus based

deliberative decision making and/or implementation process

involving stakeholders with different interests and power from

multiple sectors who are organized in a way that enables them to

address complex public problems that are not tractable by

government alone”.

The Jakarta Government is striving to develop a mechanism

for better collaborative governance between DDR and CCA in

building urban community resilience to flood risks. However, in

spite of some mechanisms established to encourage collaboration,

lapses remain. The study applied both qualitative and

quantitative methods collecting quantitative data through a

questionnaire survey of 221 key respondents, and qualitative

data via documents reviews, field observation, and in-depth

interviews of 26 key informants representing relevant

stakeholders from government agencies, private organizations,

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multi-platform institutions, organizations and community-based

organizations.

The analysis focused on urban community resilience to

floods. It showed that there were many shared aims in views of

DRR and CCA professionals such as: 1) the important

characteristics of urban community resilience 2) the key

barriers to urban community resilience 3) the priorities within

urban resilience building and 4) the key strategies to build

urban community resilience to flood risks in Jakarta.

The main findings were grouped into three areas the common

grounds for DRR-CCA partnership, components of and barriers to

collaboration dynamics and challenges for collaborative

governance and key strategies to enhance collaborative

governance. The common grounds on which to build partnership

between DRR and CCA stakeholders are: 1) shared views about the

need to change people’s mindset and behavior in building

community resilience to flood risks 2) opportunities for both to

be involved in the planning process for disaster prone zoning

areas development such as coastal and river basin 3) the call

for integrating DRR and CCA efforts under the provincial

environmental management and protection policy and lastly common

priority concerns regarding reducing loss and damage from

floods. The study also discovered that the three core components

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of collaboration dynamics – principled engagement, shared

motivation, and capacity for joint action as suggested in the

framework used were not enough to describe DRR-CCA collaboration

process. The study’s findings suggested that it would be useful

to add “coordinated initiatives” as the fourth component.

To have a resilient community the study recommended a

collaborative governance framework. The framework consisted four

key strategies 1) increase awareness about urban community

resilience 2) advocate for a better DRR-CCA partnership and

collaboration 3) strengthen the role of involved relevant

stakeholders including communities and media to advocate a

resilient community in Jakarta 4) improve leadership capacity

and enhance the existing policy framework

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