Social Implementation of Knowledge and Technology for IDRiM Challenge 

Towards ImplementationNorio Okada

Professor, KyotoSession 14, Integrated Disaster Risk Management, 

IDRiM 2010 @BOKU, Vienna, 3 Sept., 2010

Integration Deficit  Syndrome: Just short of taking one more step 

ahead 

From knowledge to action 

• We already know a lot, but just short of putting  into action, making it really happen in society and reaching people who disparately need them if realized.

How can we address hidden  concerns/interests  of prospective 

customers ?

How can we entice and motivate potential stakeholders different in concerns/interests to come to the 

same table? 

How can we facilitate collaborative action development?

Initiatives needed to get it started(participatory approach somewhat 

non‐horizontal ) • Initial Drive• Catalysis• Fermentation of setting up a common communication platform

• Facilitation Capacity and Competence• Feeding expert knowledge  

My field‐academic challenges include  

• Mountainous community’s self‐reorganizing process (setting up a new community association) in Japan

• Merapi Volcanic Region’s Community‐based disaster reduction action planning and management in Indonesia 

• Industrial Park‐level Collective Business Conitinuity Planning and Management in Uji, Kyoto, Japan

Plan‐Do‐Action‐Plan ProcessSmall but Complete by Adaptive Management

Action

Plan Check

Do

ManagementCycle

Implementing policy

Planning policy making/ revising

Observing current state

Setting up communication platform for policy development

Urban diagnosis

PlanPlan

DoDo

ActionAction

C

p

CheckCheckD

Pd

c

Nested Structure of PDCA Cycles（Large, Middle and Small Vehicle‐Linkage）

p

dc

aModest setting change 

in daily life

SmallVehicle

C

D

P

A Management platform improvement

MiddleVehicle

PlanPlan

DoDo

ActionAction

CheckCheck

Governance breakthrough

Large Vehicle

Process Repeated  

Level of Development 

T

im

e  Evolutionary Dynamics of  CAPD Cycle  Processes  

Social Implementation

IMPLEMENTATION PutSomething

Place

????

? ? ???

CultureBehaviorSocietyGeography….

What/How identify S and P ?

?? ??

Who owns this? Who needs this?

Collaborative Action

Customizing

Producing

ModifiedPrototype

Socially implemented

IMPLEMENTATION

Issues of Social Implementation

Partitioned  by Normal Mode

Special Mode (Disaster )

Gap of StakeholdersDivisionsKnowledgeDistance

How to reach this Vacuum Point/ Bridge the Gap:‐Initiative‐Facilitator/ outsider guide/ soft command‐Institutional scheme to be set beforehand‐Special device and training

Reductive to Holistic Way of Viewing the World 

Until Now

New Paradigm Emergence 

Reductionism 

* Comprehension of Rainbow color: 7 colors of Rainbow from Newton.America: 6 colors, Maya (Mexico): 5 colors, Africa: 2~3 colors

Scoping strategy Proposed: Small but concrete and complete

How can we put it into research?• Something new knowledge added (viable, hopefully more solid )• As a methodological development approach(?)• As a PDCA‐based, (prospective) stakeholders‐involved,  progressive 

testing approach (?)• As a normative theory‐based  approach with some implementation 

implications communicative with end‐users• As an action research (with some theory behind)‐field‐based knowledge  development (?) ‐ narrative, ethnographic, story‐telling, interpretative approach (?)  

Some clue needs to be given as a step ahead to link each other approach by way of providing a broader complementary science perspective (see Atsumi’s work,2009, for example ). 

Dynamic process of in‐field findings to theory,  and theory‐framed in‐field studies.  ⇒Senior researchers should contribute more. 

Yonmenkaigi System  (YSM)as an Illustration

Applying DRH definition (technology broadly defined to include 

knowledge ) • Transferable Indegenous  technology  (time‐ and field‐tested,  

local prototype‐based)‐ originally developed in Chizu Town, Tottori,                    a mountainous community in Japan

• Implementation‐oriented  Technology (endorsed by high‐quality product)‐ YSM Chart and User Manual  

• Process Technology‐requires facilitation process (know‐what & ‐how)‐requires adaptive management process to tailor to local culture ‐requires co‐learning (mutual learning) dynamic process  

22

What YSM is about?

Around mid-1980s, this was originally developed and used for community’s revitalization initiative projects.

Okada and Na have proposed to refine and improve it as a new participatory workshop method to create collaborative action plans for improving disaster

reduction capacity in communities.

23

The Objectives of the Yonmenkaigi System Method in Pilot Project

1. To accelerate the Pilot Project program, Yonmenkaigi System Method was introduced by Kyoto University to assist Gadjah Mada University (UGM) in Indonesia.

2. To develop a collaborative action plan for activities of sand mining management at the local community level.

The Yonmenkaigi system (YSM) was originally designed and used for collaborative action development for small groups in community-citizen vitalization initiatives called machizukuri in a mountainous municipality

of Chizu Town, Tottori, Japan. The Yonmenkaigi application program consists of the facilitators program of YSM and implementation of YSM

for field activities of Pilot Project in the Merapi communities.

The Standard and The Standard and TailoredTailored Process of YSMProcess of YSM

SWOT Analysis

YonmenkaigiChart

Debate & Invert Debate

Action Plan

Ｆｉｅｌｄ Ｓｕｒｖｅｙ

Identify Strengths, Weaknesses, Opportunities, and Threats

Generate and Cluster IdeasGenerate and Cluster Ideas

Enhance and ReEnhance and Re--cluster Ideascluster Ideas

Present Action Plan ChartPresent Action Plan Chart(Collective Commitment)(Collective Commitment)

Determine Theme/Goal and Assign RolesDetermine Theme/Goal and Assign Roles

C

A

P

D

C

A

The CAPD (PDCA) cycle is working in Yonmenkagi system method.The CAPD (PDCA) cycle is working in Yonmenkagi system method.Concern/Interest

Assessment

Three stages of YSM procedures Three stages of YSM procedures 

YonmenkaigiChart

Debating

What should we do?What we need to worktogether ?

What  can we do?How can  we work 

together?

Participants share information and knowledge among them, then make action plan to carry out a goal by using Yonmenkaigi system. 

SWOT Analysis What do we know?

Participants discuss about :

26

The Yonmenkaigi Chart as a Core Tool of Communication Media

Role Assignment by Task

Theme

Within 3 Months

Within 6 Months

Within 1 Year

Group A (Management)

Gro

up D

(Har

d Lo

gist

ics)

Group C

(Soft Logistics)

Group B (PR, Information)

Beyond 1 Year

Plana

Planc Pland

Planb

The action components for each  role are compartmentalized in a time frame. Participants discuss within their groups and plan the actions of the assigned role accordingly. 

A Typical Pattern of Role Assignment  Four sides may consist of Management,Public relations (PR) and      information,Soft logistics,Hard logistics.

Roles may assigned by stakeholder, alternatively.

27Completion of Action Plan Chartand Final Presentation

Based on the action plan chart, the participants are required tomake a presentation referring to role and timelines of their entire action plan.

＜ Action Plan Chart ＞

3 Months 6 Months 1Year Beyond 1 Year

Ｍ

I

S

H

TimeParticipants decide and prioritize the action plan based on a time scale.

Implementation of YSM in Japan(Disaster Reduction Action Plan Development

of Shuhachi Community, Kyoto City in January ,2008)

Implementation of YSM in Japan(1/0 Movement Activity of Hayase Village, Chizu,

Tottori, 1997-2006)

Implementation of YSM in Japan(Open Ceremony of Yamasato Area, Chizu,

Totori in 13,July,2008)

A New Challenge: Why and How YSM was introduced in the Merapi Pilot Project?

1. Each community had agreed to develop a collaborative action plan in a participatory manner so as to improve

roles and activities of their social organization.2. The fatal lack of capacity on the side of the community

people was their inability and inexperience to systematically and logically make a sound diagnosis of the current state of their community and to work out a

collaborative action plan so as to achieve their own goal.3. YSM provides a communication basis for working

together by having all seated together around a square table and by brainstorming about each other’s views.

4. YSM provides collaborative action plan to improve the activity of sand mining management in local community,

as the suitable participatory workshop method .

New knowledge Developed through YSM Application Program in Pilot

Project

YSM Program In Pilot Project

Instructor

As Local Communicators for PP

KepuharjoVillage

KemirenVillage

SindumartaniVillage

Assistant Facilitators Candidates

Facilitator Candidates for YSM

+

YSM Program In Pilot Project

Instructor

As Local Communicators for PP

KepuharjoVillage

KemirenVillage

SindumartaniVillage

Assistant Facilitators Candidates

Facilitator Candidates for YSM

+

Facilitator Training’s Program of YSM

YSM Workshop for DevelopingCollaborative Action Plan

Part 1:

Part 2:

Developing Action Plan for Field Activitie•Kemiren Village•Sindumartani Village•Kepuharjo Village

Facilitator Training’s Program of YSM for Facilitator Candidates of UGM

April, 2009

May, 2009

June, 2009

Special Procedures Developed to Implement YSM Workshops in Pilot Project

SMM: sand mining managementYSM:Yonmenkaigi system methodGMU:Gadjah Mada University

Workshop A:Sharing conscious between stakeholders

Workshop B:Developing collaborative action plan to implement SMM in local communities 

Workshop A:Share of Awareness & Need

for SMM

Workshop B:Making Action Plan

YSM of Local Community

Collaborative Actionto Implementation

for SMM

SWOT  & Strategy

YSC & Debating

Preparation for Workshop A

Implementation of YSM

Processes of YSM

A new style of YSM workshop facilitation

Sub Facilitatorfor Group A

Sub

Faci

litat

orfo

r Gro

up D

Main Facilitator

Sub Facilitatorfor Group BSub Facilitator

for Group C

Sub Facilitatorfor Group A

Sub

Faci

litat

orfo

r Gro

up D

Main Facilitator

Sub Facilitatorfor Group BSub Facilitator

for Group C

KU-UGM proposed a new style of YSM facilitation:adding the sub-facilitators to each group, considering the local situation

The role of Sub-facilitator:Assisting and Accelerating

participants’ involvement during YSMWorkshop1) Supporting main facilitator 2) Guiding participants

Implementation of YSM in Pilot Project

SMM: sand mining managementYSM:Yonmenkaigi system method

Workshop A:Share of awareness & need

to SMM

Workshop B:Making action plan

YSM of Local Community

Field activity to SMM

SWOT & Strategy

YSC & Debating

Preparation

Implementation of YSM

Processes of YSM

Topics of Villages:1.Kemiren Village

• Sand Mining Truck Survey2.Sindumartani Village

• Mapping of the Potential Location for Reclamation

3.Kepuharjo Village• Profile of Sand Mining Activity

In Aug, 2009

In Aug, 2009

In Oct, 2009

Workshop A in 12, Aug, 2009

37

Case study: Case study: Kemiran village of Merapi volcano

Workshop A 2.SWOT 3. YSC 4. Debating 5.APC

S1.Have an office2.Already legalized3.Knowledge on the environment of survey4.Sufficient Human Resources5.Members of Bumi LEstari were former truck driver 6.Having conducted survey before

W1.Communication is not good2.Not familiar with survey method

O1.Safe and quiet (condusive) condition2.Assistance from GMU, Kyoto Univ, and YEC3.Support from Village Government4.Support from villagers5.Support from related government agency6.Proactive truck drivers7.Most truck drivers know Bumi Lestari members

T1.Many activities2.Local truck driver3.Unsupportive villagers4.Disaster

1. The objective of the field activity is to know the number of sand and gravel trucks and rate of sand from mining sites in Bebeng River passing through Kemiren village in a week.

2. The target is the truck armada passing through Kemiren. 

3. Funding source for survey implementation is from village and Bumi Lestari.

Strategy with SWOT analysis result

Kemiren Yonmenkaigi Workshop

Date 19 August 2009

Time 13.20 – 16.10 3 hoursPlace Kemiren Village

Participants Number : 13 Kemiren VillagersTopic Survey Armada

Facilitator Main : Aris Sub: Mimbar, Didik, Pras, Nunung

Recorder who : Fika How : Camera, Handy Cam

Identification of participants

Bumi Lestari(5)

VillageGovernmentStaff(5)

Head of Local Youth

Organization ,Villager(3)

39

Case study: Case study: Kemiren village of Merapi volcano

Workshop A 2.SWOT 3. YSC 4. Debating 5.APC

YMC after DebatingDebating for Collaboration

Partial Action Plan Chart (Kemiran Village)

I. September 2009 (1 month) II. October 2009 (3 weeks) III. October 2009 (1 week)

M

Meeting with related government agencies (M+I) Implementation of field task (M+S) Making report on the whole data (M+S)

Establishing committee (M+S) Survey on where the trucks come from

Carrying out workshop (M+S+I)

Proposal Compilation (M+H) Collecting survey data daily (M+S) Carrying out follow up plan

Agenda Planning (M+I, arrange from Sept 09)

I

Making invitation for implementation meeting through TPS (Sukamto)

Making evaluation meeting invitation for meeting

Making workshop invitation (I+S)

Making invitation for committee establishment Making survey format

Drawing conclusion of evaluation results (I+S)

S

Determining survey personnel (Agung, Yusuf, Sutarno)

Data receiver (Yusuf, Nurohman, Istiarno)

Report Compilation

Preparation of base camp establishment (Yusuf S, Heri) Distributing logistic (Salem)

Communication Preparation (Iswahyanto, Istiarno)

H

Equipment Survey Procurement of something Preparing of workshopProcurement of uniforms Preparing food for the consumption

Survey on trucks that are already recorded

Outcomes of YSM (Action Plan of Field Activities: Three Communities

Kemiren

Sindumarutani

Kepuharjo

Sand Mining Truck Survey

Mapping of the Potential Location for Reclamation

Profile of Sand Mining Activity