Copyright is owned by the Author of the thesis. Permission is given for a copy to be downloaded by an individual for the purpose of research and private study only. The thesis may not be reproduced elsewhere without the permission of the Author. A Critical Assessment of Watershed Management in Indonesia Novia Widyaningtyas 2005 A Critical Assessment of Watershed Management in Indonesia A thesis presented in partial ful fi llment of the requirements for the degree of Master of Applied Science tn Natural Resource Management at Massey University, Palmerston North, New Zea land. Novia Widyaningtyas 2005 11 ABSTRACT To address many environmental problems in Indonesia, the Ministry of Forestry created a planning system and developed guidelines to manage the watersheds in the country. Today, the environmental problems are still continuing, calling for improvement of watershed management. This study reviewed international guidelines, selected case studies of other countries' experiences, and the watershed management guidelines in Indonesia, then compared and contrasted the result of these reviews and made recommendations in order to improve watershed management and planning in Indonesia. The international guidelines published by ASEAN, FAO, ESCAP, UNEP, and ADB offered several frameworks of watershed management from various perspectives. The comparisons between these frameworks/perspec tives and the Indonesian guidelines gave an opportunity to make an assessment and opened up the possibility of improving the existing framework and practice in lndoncsia. The international guidelines provided some input on the importance of monitoring and eva luation in the management process, emphasised the need for adequate data for planning, and advocated an iterative process in planning. The assessment of the Indonesian guidelines and practice of water treatment management and planning: ( l) proved ineffective, as demonstrated by the inconsistency and discontinuity of deve lopment, (2) was based on poor quantity and quality of data, (3) provided inadequate legal background, and (4) was implemented by an inadequate infrastructure. These problems created gaps that can be filled with recommended best practices learned from other developing countries (the Philippines, Malaysia, Thailand, and India). These recommendations include: ( 1) Establishment of an adequate national information system of watersheds and their management, (2) Improvement of the planning system, to be consistent with the planning hierarchy and to be iterative, (3) Promotion of collaboration and partnerships by the government, ( 4) Strengthening of the legal system as the foundation of effective watershed management and planning, and (5) Encouragement and strengthening of public participation in watershed management and planning. lll lV ACKNOWLEDGEMENTS I would like to express my gratitude to my chief supervisor, Dr. Ian Valentine, for his continual guidance, words of wisdom, help and encouragement throughout this research. l also would like to thank my co-supervisor, Dr. John D. Holland, for his support and counsel, and for being a good friend of mine during my study in the last two years. Many contact people from my home country contributed data and information for this research. I wish to acknowledge Dr.Ir. Syaiful Rachman, MSc., Dr.Ir. Syaiful Anwar, MSc., Ir. Saleh Suaidy, Ir. Sigit Widyasmoro , MP, Ir. Oliva Suko, and Ors. C. Kukuh Sutoto who provided me with a variety of material from their agencies. Special thanks for Ir. C. Nugroho S. Priyono and all of my work-mates in WMTC Surakarta, who assisted me in data collection and always sent such long-distance support. I also grateful to Mr. Mike Tuohy, Endang Savitri, Tiara Parahita and Kanya Pandya who brought the research material from Indonesia to Palmerston North. I ac knowledge financia l support received from the New Zealand Ministry of Foreign Affairs and Trade (MFAT) through the NZAID Study Awards Scholarship . For the support during my study, I wo uld like to thank Sylv ia Hooker, Sue Flynn , and the team of the International Student's Office (ISO) at Massey University. My thanks extended to Denise Stewart, Rae Gendall and Bruce White who has given technical assistance during the research and writing process. I also wish to extend my sincere thanks to Paul and Dianne Stock, Ruth and Robert Thompson, Togar Simatupang and Ellen Fowles for their constructive reading, valuable feedback and lovely friendship. I am grateful to my big family at Grace City Church, Palmerston North. I should also thank my Indonesian friends here in New Zealand, for their help during my stay in this beautiful country. My heartfelt thanks to my parents, who made great sacrifices in supporting my education, and for my family who always remind me that God will never fail. My special thanks must go to my husband, Tjahyo Budhi Setyawan, and my one and only son, Tegar Setyo Kristiatmojo for being my cheerleaders during my struggle in pursuing this study. And all in all, thanks to the Almighty God, for His goodness and faithfulness that endures forever. Praise the Lord! v Vl TABLE OF CONTENTS Title page .. ............................ .... .. .... ........... ... ... ..... ... .. ........... . ....... . Abstract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ...... iii Acknowledgements . . . . . . . . . . . .. . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .... . . . . . . . . . . . . . . . . . . . . . . .... v Table of Contents . . .. . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . .. . . . . . . . . . . ...... vii List of Tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . .. x List of Figures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. .. . . . . . . . . . . . . . . . . . . . . . . .... xii Chapter 1 INTRODUCTION ........ ........ ... . ........... . ........................................... 1 I . I Background. ... . .... . ....................... . .......... . . . ... .. . ... .. .... ........... .. ... I 1.1.1 Why watershed and watershed management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I 1.1.2 Watershed degradation in Indonesia .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. . I 1.1.3 Watershed management in Indonesia.................. .. .. ................ 3 1.2 Problem Statement . . ... . .. ... .. . .. . . .. . .................. . . ...... ... .. .. .... . ........ . .. 3 1.3 Research Questions... . ..... . ...... .. .. . .. .. .. ... .......... . ..... ... ...... .............. 4 1.4 Research Aim and Objectives .... ....... .... ......... . .. .... ........ . .......... . .. .... 4 1.5 Research Approach I Methodology..... .......... .. .............. .... ............... 5 1.5 .1 Data collection and sampling technique .. .. .. .. .. .. .. .. .. . .. .. .. .. .. .. .. . 5 1.5.2 Data analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... 7 1.6 Implications and Limitations of the Research .......... . ............................ 8 I . 7 Th es is S tructurc . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Chapter 2 DEVELOPMENT OF WATERSHED MANAGEMENT AND PLANNING. .. 13 2.1 Introduction.. ...... . ... . ............. . ................. . ........ ........... . ... .. ..... ... 13 2.2 Historica l Review of Watershed Management ............ .. .... .. .................. 13 2.2 .1 Historical review of watershed management in developed countries 14 2.2.2 Historical review of watershed management in deve loping countries 17 2.3 Conceptual Framework of Watershed Management ............................... 18 2.3 .1 The importance of watersheds as a management unit..... .. . . . ... . .... . 19 2.3 .2 Watershed management - general conceptual framework .............. 20 2.4 Watershed Management Planning.......................................... . ..... .... 24 2.4.1 Watershed management planning as a process.. .......... .. ...... .. .. ... 25 2.4.2 Dimensions of watershed management planning.. . .. .... . ... .... .. .... . 30 2.5 Summary.. .. . ..... .. . ........... . . . .. .... .......... .... .. . ....... .... . ...... . ....... ..... 48 Chapter 3 REVIEW OF INTERNATIONAL GUIDELINES OF WATERSHED MANAGEMENT AND PLANNING . . . . . . . . .. . . . . . . . . . . . . ............................ ... 49 3.1 Introduction. . . ... ..... .. ........ . ..... . .... ... . ..... . .............................. .... . . 49 3.2 The Perspective of the Association of South-East Asian Countries (ASEAN) 50 3.2.1 Overview of the ASEAN guidelines................... ........ .. .......... 50 3.2.2 Types of planning according to the ASEAN guidelines........... .. .. . 50 3.2.3 Planning process and key principles according to the ASEAN guidelines........ . .. .. ... .......... .. .. . . . .......... . ....... . .. .. ... . ...... . . .. 52 3.2.4 Concluding remarks of the ASEAN guidelines ............. .. ........... 53 3.3 The Perspective of the Food and Agriculture Organization (FAO)........... ... 53 Vll 3.3.1 3.3.2 3.3.3 The background of the guidelines setting . .. .... .. . .... . ................. . Planning in watershed management according to the F AO ... . ... ... . . Hierarchy of planning in watershed management according to the FAO ............ . .. . . ... . ... . . ................... . ............................ . 54 54 55 3.3.4 The steps of planning process in the FAO guidelines.... . ......... ..... 58 3.3.5 Concluding remarks of the FAO guidelines....... ...... . ... .. . ..... . .... 60 3.4 The Perspective of the United Nations Environment Program UNEP)......... 60 3.4.1 Rational for the introduction of new approach... . ......... . ......... .. . . 60 3.4.2 Relevance of the UNEP's new approach with the general concept of watershed management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61 3.4.3 Limitations of the UNEP guidelines . . . .. . .. . .............................. 63 3.4.4 Concluding remarks of the UNEP guidelines............................ 64 3.5 The Perspective of the Economic and Social Commission for Asia and the Pacific (ESCAP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . .... 64 3.5. l Background of the approach taken by the ESCAP . . . . . ... .. ....... . ... .. 64 3.5.2 Focus of the UNEP guidelines on land-use management . . .. . . ... . . .... 65 3.5.3 Hierarchy and the process of planning according to the ESCAP guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 3.5.4 Concluding remarks of the ESCAP guidelines ... . . ...... .. .. .... .. . .... . 69 3.6 The Perspective of the Asian Development Bank (ADB)..... . .. .. ..... . . . .. . ... 70 3.6. l Concerns of the ADB......... . ............ . .. .. .. .. . . . . . . . . . . . . . . . . . . . . . . ... 70 3.6.2 Contribution intended by the ADB through the guidelines............. 71 3.6.3 Concluding remarks of the ADB guidelines..... . . . ...... . ....... ...... .. 73 3.7 Summary of the Reviewed International Guidelines....... . ... . .. .... ..... . . .. .. .. 73 Chapter 4 BEST PRACTICES OF WATERSHED MANAGEMENT AND PLANNING IN SOME DEVELOPING COUNTRIES ............................................... 77 4.1 Introduction..... ... . . .. . .. ... .... ... .... ...... . . .. . .... . ........................ . ........ 77 4.2 Overview of Watershed Management in Developing Countries.................. 78 4.3 Experiences of the Philippines . .. .. . . .... ... ... . ............... . ...................... 81 4.3 . l Overview of the country and the environmental problems............. 81 4.3.2 Development of watershed management and the problems .. . . . . . . ... . 83 4.3.3 Best practices and lesson learned from the Philippines... . .. . .. . ..... .. 84 4.4 Experiences of Malaysia.. . ..... .. .... .. ........... . .............. . .................... 85 4.4.1 Overview of the country and the environmental problems...... . . . .... 85 4.4.2 Development of watershed management and the problems . . . . . . . . .... 86 4.4.3 Best practices and lesson learned from Malaysia.............. . ...... . .. 87 4.5 Experiences of Thailand. . . ... .. . . .. ...... . ....... . ............... . . . ......... . .. .. .... 88 4.5.1 Overview of the country and the environmental problems.......... . .. 88 4.5.2 Status and problems in watershed management and planning in Thailand................ . ................ . ..... . ...... . .. ... ... . .. . . ... . . . . . ... . 89 4.5 .3 Best practices and lesson learned from Thailand............... . ........ 91 4.6 Experiences of India.. .. .... . ........................ ............ ..... ... ... . ... .. .. ... . 92 4.6. l Overview of the country and the environmental problems.. .. .. .. . ... . 92 4.6.2 Status of watershed management and problems encountered... .. . . ... 94 4.6.3 Best practices and lesson learned from India........................ . .... 95 4.7 Summary............ . ....................... . ......... . .. .. ......... . .......... .. ........ 96 Vlll Chapter 5 REVIEW OF WATERSHED MANAGEMENT AND PLANNING IN INDONESIA .................................................................................. 101 5.1 Introduction ....... ............ . . . ....... . . . . ... . . .. .. .. . .. .. . . .. . .... .. . ...... . ... . .. . . . . 101 5.2 Overview of the Country and Its Environmental Problems. . . . .. . . ...... .. ... .. .. l 0 I 5.3 History of the Watershed Management Concepts.. . .. ... . .... ... . . ........ . .... . .. 107 5.4 Current Status of Watershed Management and Planning.. .. .... . . . . . .. .. . .. .. ... . I 09 5.4 . l Background .... . . . . . . .. .............. . . ...... . ... . .. . . ... ... ...... . .......... . l 09 5.4 .2 Legal framework of watershed management .. . ...... . .. . ... ... .. ....... 110 5.4 .3 Hierarchy of watershed management planning.. . . . . .. . .... ... ...... .. ... 112 5.4.4 Planning process of watershed management .. ... . . ... ... .. . .. .. . .. .. . ... 117 5.4.5 Organizational and institutional framework in watershed management and planning ... .. . .. .. . .. . .. .. .. . ............ . .. .. ... . ...... ... 121 5.4.6 Problems encountered in watershed management and planning... .... 123 5.5 Summary of Review of the National Guidelines .. . . . .. .. . . . . . . . . . ..... . . .. . .. . . .... 124 5.6 Watershed Management and Planning Case Studies..... . . .. .. ... .. .. ........... . . 126 5.6.1 Cit iwung-Cisadane Watershed.. . . . . .. . .. . .. . ... ..... . ... . .. . . .... . . .. . .... 126 5.6. 2 Bengawan Solo Watershed, Samin Sub-watershed...................... 13 1 5.6.3 Progo Watershed, Tangs i Sub-watershed. ... .... .. .. ................. . ... 138 5.6.4 Brantas Tengah Watershed, Konto Sub-watershed.... . ... . . . ... . . . .. .. . 142 5. 7 Concluding Remarks.. . . . . . ... .. .. . ...... ................. .... . . ............. .. .. .. . . . . 153 Chapter 6 COMPARISON AND DISCUSSION .................................................... 155 6.1 Introduction. .. . .... .. .. . .... ...... ...... . . . ....... . . . ..... .. ..... . ..... . .. .. ... .. . ...... . 155 6.2 Comparing The Indones ian Guidelines with the International Guidelines. ..... 167 6.3 Comparison between the Guidelines and the Practice of Watershed Management in Indones ia History of the Watershed Management Concepts 167 6.4 Assessment of the Indones ian Watershed Management and Planning. .... . . . ... 182 6.5 Filling the Gaps with Best Practices from Other Countries ' Experiences . ...... 187 6.6 Concluding Remarks.. . . .. .. . .. . . . ... . .. . . ... . ... . .... .................... .. .......... . 195 Chapter 7 CONCLUSION AND FUTURE RESEARCH.......................................... 197 7.1 Research Conclusion. .. . .. .. .. . . . .. .... . ... . ... . . . .. ...... .. . . .. ..... .. . . .. ........ .. .. 197 7.1.1 International perspectives of watershed management and planning... 197 7.1.2 An assessment of Indonesian watershed management and planning. . 197 7 .1.3 Lessons learned from other countries experiences... .. . . . ... . . . . . ...... .. 198 7 .2 Future Research. .. .. . ....... .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199 REFERENCES 200 IX x Table 2.1. Table 2.2. Table 2.3. Table 2.4. Table 3.1. Table 3.2. Table 4.1 . Table 4.2. Table 4.3. Table 4.4. Table 5.1. Table 5.2 . Table 5.3. Table 5.4. Table 5.5. Table 5.6. Table 5.7. Table 5.8. Table 5.9. Table 5.10. Table 5.11 . Table 5.12. Table 5.13 . Table 6.1 . Table 6.2. LIST OF TABLES Watershed management stages, steps and factors for success . .. 22 Main components that can be identified within the three main 28 stages of an iterative planning process by WFD ... .... .. . .. .... . . The functions of watersheds .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .... 31 Status of world ' s fresh water availability.. ... ............. .. ......... 34 Changes in land use patterns in the south-east Asia region from the last decade . . . . . . . .. . . .. . .. . . . . . .. . . . . .. .. . . . . . . . . .. .. . . . .. .. . . . . . . . . . . . .. .. .. . . . .. . . 66 Summary of the review of international guidelines..... .......... 74 Population and land in south-east Asia region . . . . . . . . . . . . . . . . . . ... 78 Relative significance of resource and environmental issues in 79 selected developing countries in Asia ............................ .. Examples of causes of watershed degradation and their 80 importance for ASEAN region ...... .. ........ ...................... . Summary of best practices and lessons learned from other countries experiences . ...... .. ................ .. ........... ............ . 96 List of watersheds and their priority for management .. .. .. .. .. .. . l 05 Key related legislation of watershed management in Indonesia 111 Relationship between administrative area and hierarchy in watershed management planning .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. .. 113 Steps required and agencies involved in the development of long-term plan (Pola RLKT) .............................. .. ...... .... 114 Steps required and agencies involved in the development of medium-term plan (RTL-RLKT).............. .... .. .. .. .. .. .... .. .. 115 Steps required and agencies involved in the development of short-term plan (RTT)...... .... .... .. .. .. .. .. .. .... .. .. .. .. .. .. .. .. .. . 116 Summary of the Indonesian national guidelines ' general characters . .................... .. .. ... .. . .... . .... .... ... ................. 125 Summary of the Indonesian national guidelines for watershed management ... . .. . ......... . ................ . .... ...... ... . ... ... .. .. .. 125 Area of Cisadane sub-watershed based on erosion hazard classes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 7 Area of Samin sub-watershed based on erosion hazard classes. ..... .......... ....... . . .. ..... . . .. .... .. ... ........... . .... .. ..... 134 Vegetative (non-structural) method as soil conservation effort .. . 137 Civil engineering (structural) methods as soil conservation effort ..... .. . .. ..... .. .... . ..... ... ....... ... . .... ................ . ....... 137 Summary of case studies of four watersheds in Indonesia.. ...... 148 Direct comparison of watershed planning process according to various guidelines... .......... .. ....... . .. ... ... .... .... .. ... ... ...... .. ... 160 Data required for watershed management requirements of 162 selected agencies .............................. . .... ...... .... ... ..... .. Table 6.3. Table 6.4. Table 6.5. Table 6.6. Table 6.7 . Factors determining the effectiveness/success of each planning step according to various guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . l 68 Data availability and their adequacy status in Indonesia . . . . . . ... 175 Limited or unavailable data/information for Indonesian watershed management planning and the possible effect . . . . . . .. l 78 Summary of the comparison between theoretical frameworks and practice. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182 Best practices from other's experiences to address the Indonesian problems. ......... . . ..... ... .. ... ... .. .... .. .. ...... .. .. ..... l 88 XI Figure l. l . Figure 1.2. Figure 1.3 . Figure 1.4. Figure 2.1. Figure 2.2. Figure 2 .3. Figure 2.4. Figure 2.5. Figure 2.6. Figure 3.1. Figure 3.2. Figure 3.3. Figure 3.4. Figure 4.1. Figure 4.2. Figure 4.3 . Figure 4.4. Figure 4.5 . Figure 4.6. Figure 5. 1. Figure 5.2. Figure 5.3. Figure 5.4. Figure 5.5. Figure 5.6. Figure 5.7 . Figure 5.8 . Figure 5.9. Figure 5. l 0. Figure 5. 11. Figure 5. 12. Figure 6.1 . Xll LIST OF FIGURES Critical watersheds in Indonesia over the period 1984 - 2003 .. . Distribution of critical watersheds in the seven main islands of Indonesia . . ........... ... . .......... . .. . .............................. . . Flowchart of the step taken to make a comparative analysis .. . . . Thesis structure . .... .. . .... .. .. . . . ... . . ......... .. .. . ... . .. ...... .... .. . The Cycle of Basic Management Process .......................... . Flowchart of watershed planning as a linear process ........ . .... . Watershed planning as functional process .................. . . . .... . The approach of planning as a cyclical and iterative process .. . Example of watershed planning process carried out in rural watersheds in the United States . ..... . .. .. ....... .. . . ... . ........... . Illustrative planning models .... ... . .. . .. .. . . .... .. .................. . Important linkages between watershed management projects and human welfare ..... . ......... . ..... .... . .......... . .............. . Various levels of survey and planning with emphasis on problem-oriented approaches ..... . ...... ..................... ......... ..... . A schedule of survey and planning activities ..... . . ... ... .. .... . .. . Typical land use planning process ... ... .. .. .... ... .. .. ............. . Map of the Philippines ........................................ .... ..... .. .. .... . Map of Malaysia .................... . .. .. .. ..... .............. .... ... .......... ... . Map of Thailand ....................................................... . The steady decline in forested area in Thailand in the past three decades ................................ .... .. . .................. . . Map of land used in Thachin Basin ..... ... ... .... .. . .. . . ..... . ..... . Map of India .... ... . ... . .. .. . .. .. .. . .... .... . ........ .. .................. . Map of Indonesian archipelago . .. ... ...... ..... ... ... .... ... ... ..... ...... .. . . Various environmental disasters in Indonesia ..... .... . ..... ... .. . A critical watershed area in Central Java ....... . ...... ... ......... . Main problems in the Indonesian watersheds for each priority class ......... . .. . ... . ........ .. .... .. .. . . .. . ........... . ......... ... ... .. . Main problems occurring in total watersheds in Indonesia ........ . The iterative process of planning in watershed management. .. . Percentage of developed long-term plan/Pola RLKT ........... . Percentage of developed medium-term plan/RTL-RLKT ........ . Map shows Cisadane sub-watershed location in West Java . . . .. . Map of land-use in Samin sub-watershed, Solo Watershed . ... . Map of Progo watershed location in Central Java ... .......... .... . . Map of Brantas watershed location in East Java .. . .. ............ .. . Three-Dimensional characterization of the international guidelines ......................................... . ...... .............. . 2 7 8 11 21 25 26 27 29 40 51 56 59 68 82 85 88 89 91 93 101 104 105 106 107 118 120 121 127 133 138 143 157