Nunuk Dwi Retnandari

Department of Public Policy and Management, Faculty of Social and Political Sciences, Universitas Gadjah Mada, Indonesia
email: [email protected]

Submitted: 13 March 2021, Revised: 27 December 2021, Accepted: 29 December 2021

Nunuk Dwi Retnandari,

received a Ph.D. in the Department
Implementation of Strategic Planning in Regional/
of Economics and Development
Studies at the Postgraduate
Municipal Governments, Obstacles and Challenges
School of Universitas Gadjah
Mada. She is currently a lecturer
at Universitas Gadjah Mada's
Abstract
Department of Public Policy and This article discusses strategic planning implementation of the public
Management, Faculty of Social sector within Indonesia’s hierarchical administration system. Many
and Political Sciences. Her areas
of interest for study and research
studies on public sector strategic planning have been carried out both
are Strategic Planning for Public at the national and local levels. However, the disclosure of various
Organization, Publics Economics, obstacles and challenges in the implementation of strategic planning
Publics Finance, Applied Statistics
Development, and Performance at the local level is still partial and sectoral. A qualitative strategy was
Indicators. used to explain this phenomenon with participatory observation in 69
regency/municipalities as the main data collection method, in addition
to document analysis and in-depth interviews. The key findings from this
article are that many strategic planning documents are a mere formality,
are not strategic, and are not referred to in executing development
activities. The challenges in strategic planning implementation were
identified as being poor information and data quality and quantity,
weak bargaining position that regencies/municipalities have against
higher tiered administration, limited capacity of mid-level managers,
limited capacity of planners, formal engagement of stakeholders, and
unconducive political environment. Improvement of the evaluation
model based on the achievement of outcomes, reducing the ministry's
sectoral ego, improving the capacity of evaluators and the need for the
involvement of other parties such as credible universities will create a
multiplier effect for all stakeholders.

Keywords:
central-local government relationship; government accountability;
institution capacity; strategic planning challenge; performance
management

Introduction of planning when organizations

By failing to prepare you or individuals intend to do
are preparing to fail (The Star something. In terms of the public
Tribune, 1970) a very popular sector, strategic planning has
phrase in the world of planning been known and applied for
Policy & Governance Review
ISSN 2580-4820 attributed to Benjamin Franklin. quite a considerable amount of
Vol. 6, Issue 2, pp. 155-175 This expression conveys a time (Bryson, 2011; Johnsen,
DOI: https://doi.org/10.30589/pgr.
v6i2.556 message about the importance 2016; Poister, 2010). Strategic

155 Policy & Governance Review | May 2022

planning refers to a process/effort carried out implementation is also determined by political
to determine what organizations should do, how factors, which are significantly salient in the public
they should do it, and why they choose to do it sector (Sager & Sørensen, 2011).
for the purpose of executing their organization’s On the other hand, there are quite a lot of
vision and mission. Such knowledge will help challenges encountered in the implementation
decision makers in managing their organization. of strategic planning. A number of research
In a tiered administration system, strategic findings have confirmed those challenges as
management has the capacity to communicate follows: (1) lack of implementers’ administrative
local (lower level) needs and greater government capacity; (2) unavailability of an existing entity
pressure (Wæraas, 2015). that can be used as a benchmark; (3) extremely
Disclosing the obstacles and challenges that complex implementation environment; (4) lack
the public sector has to face in applying strategic of subnational government independence; (5)
planning is most crucial, keeping in mind that emergence of illusions due to the numerous number
strategic planning was adopted from the private of stakeholders that must be considered; (6) high
sector (Johnsen, 2016; Walker et al., n.d.). The pressure exerted by the central government;
various factors affecting subnational governments (7) poor intergovernmental coordination and
in implementing strategic planning to realize collaboration. These prior studies have revealed
their vision, mission, and institutional objectives how truly vital strategic planning in public
as well as their correlations with performance organization management is to arrange various
management are highly interesting topics of tasks and functions (Bryson, 2010; George, 2017)
study in order to examine the complexities of along with the relevant challenges that need to
implementing a strategic planning system at be addressed in their implementation (Eakin
the local level (Bryson, 2010; George, 2017). et al., 2011; Hall, 2017; Johnsen, 2015; Liu et
Additionally, this study is of great significance al., 2011; Sperling et al., 2011), particularly in
bearing in mind that strategic planning serves relation to the complexities of implementation
as a benchmark with considerable influence in environment and central government pressure.
evaluating the accountability of government The complexity of the obstacles and challenges
institution performance (Ismanudin, 2012). faced by local governments in strategic planning
Strategic planning, as a process, has been is an interrelated issue. However, these studies are
implemented in various public organizations still partial in nature and they are not enough to
with satisfying results (Johnsen, 2016; Walker uncover the interrelations between challenges in
et al., n.d.), particularly in relatively smaller the complexities of a performance management
regions (Poister & Streib, 2005). Such satisfying system faced by the local public sector, a system
implementation results come from a continuous that subnational governments must carry out as
process of knowledge management utilization a consequence of the system mandated by their
applied in an organization (Khilji et al., 2017). higher administration unit.
Externally speaking, the success of strategic Strategic planning in Indonesia has, formally,
planning implementation is also supported been implemented since the issuance of Law No.
by the involvement of various stakeholders 25/2004 on the National Development Planning
(Chowdhury, 2018), which allows organizations to System (Law of the Republic Indonesia Number
accommodate diversities found in the community 25 of 2004 on National Development Planning
(Harris & Thomas, 2004). In the public sector, System, 2004). In line with the development of
the success (or failure) of strategic management regional autonomy, strategic planning not only

Implementation of Strategic Planning in Regional/Municipal Governments, Obstacles and Challenges 156

became an obligation for the central government, (Bidana, 2013). The regions’ inability to conduct
but for the regional governments as well. The UU for proper planning is caused by several factors
SPPN application, which has been running for 15 (Sangadji, 2014): (1) informal institutions in
years, is not without its challenges and obstacles. charge of making the plans lack the capacity to
There are several indications suggesting that do so; (2) unconducive institutional environment;
the implementation of UU SPPN, followed by its (3) governance structure in aspects of incremental
subordinate legislation, namely the Rule of the implementation and planning preparation
Minister of Home Affairs No. 86/2017 (Regulation procedure that is considered complicated; (4)
of the Minister of Home Affairs of the Republic of governance structure in aspects of control and
Indonesia Number 86 of 2017 on Procedures for evaluation of strategic planning policies that is
Planning, Controlling and Evaluation of Regional merely a formality; and (5) minimalized cost of
Development, Procedures for Evaluation of economic transaction.
Draft Regional Regulations Concerning Regional The present study is focused on strategic
Long-Term, 2017) in lieu of the Regulation of the planning implementation executed by subnational
Minister of Home Affairs No. 54/2010, remains governments in Indonesia. In Indonesia’s
overwhelming for the regional governments to applicable planning system, the quality of
execute. Permendagri 86/2017 is an interpretation planning can be observed from the Performance
of the mandate contained in Law No. 23/2014 (Law Accountability System of Government Institutions
of the Republic Indonesia Number 23 of 2014 on (Sistem Akuntabilitas Kinerja Institusi Pemerintah
Local Government, 2014) article 260 stipulating – SAKIP) issued by the assessing agency. According
that strategic planning of regional government to the Rule of the Minister of Administrative and
is an integral part of the national development Bureaucratic Reform (PAN-RB) No. 12/2015
planning system, which means that it is inseparable (Regulation of the Minister of Administrative and
from the provisions outlined in UU SPPN that Bureaucratic Reform of the Republic of Indonesia
regulates government planning. The previous study Number 12 of 2015 on Guidelines for Evaluation
of strategic planning globally was dominated by of the Implementation of Government Agency
the United States, Britain, and China, as countries Performance Accountability System, Ministry
included in the case study. However, they have of Administrative and B, 2015), the strategic
different government systems than Indonesia. planning component has a weight of 30% out
Indonesia with its decentralized government of the total assessment score. As of 2020, the
system is divided into provinces and regencies/ number of regencies/municipalities that had
municipalities and has the characteristics of a SAKIP score, as an indicator of performance
regional potentials and various problems. The accountability, was at 63.98%, which is lower than
unitary state system means that Indonesia needs to the percentage of SAKIP availability shown by
pay attention to the integrity of the country while provinces at 97.39%, and line ministries/agencies
also being able to accommodate strategic planning at 95.24%. The SAKIP assessment data above
with the country’s existing diversity. As provisioned suggest the lack of planning in place, keeping in
by the legislation above, all regions throughout mind that 80% of SAKIP’s substantial content is
Indonesia already have mandatory planning evaluated based on the planning efforts carried
documents. However, those documents are far from out by the government organizations.
adequate in meeting the requirements (Magister Strategic planning is a process implemented
Administrasi Publik, 2018). Consequently, the by an organization. Given the assumption that
development process continues to run as usual strategic planning is implemented formally

157 Policy & Governance Review | May 2022

and mechanically, it will thus encourage public conditions refer to identifying the organizational
organizations to perform properly so that its mandate and the surrounding actual conditions,
implementation will positively contribute to and the various problems encountered to execute
the expected results (George, 2017). This article said mandate. Assessment of the present state of
is aimed at describing the implementation of the organization and its various achievements is
strategic planning along with its various obstacles a measure carried out to identify the extent that
and challenges in 50 regencies/municipalities the organization has satisfied it given mandate
throughout Indonesia. By implementing strategic (Allison & Kaye, 2015; Katsioloudes, 2006; Steiss,
planning in a disciplined manner, the organization’s 2019).
vision and missions are expected to be achieved. Based on the conditions at hand, the
According to the SAKIP assessments, there are organization defines the vision, mission, as well as
many regencies/municipalities in Indonesia that goals and objectives it strives to achieve. The vision,
still have poor quality of planning. The relevant mission, goals, and objectives are statements
questions to discuss are, subsequently, what are about what the organization intends to achieve
the obstacles and challenges faced by local/ in the future. The vision is a statement about the
municipal governments in implementing the long-term aspiration the organization intends to
strategic planning? attain in the future, or where the organization
This article is arranged into several is intended to be taken to. The mission refers
sections as follows. The introduction outlines to statement(s) about what needs to be done
the significance of the study in analyzing the in order to achieve the specified vision (Steiss,
strategic planning of a sub-national government. 2019). In Indonesia’s governance, the vision and
Subsequently, the article provides elaborations mission of governmental units are determined
relating to the qualitative research design used for through political means (specified in Law No.
data collection and analysis. The empirical part of 25/2004 article 5 point 2). The political way of
this article is explained in the research results and determining vision and mission comes together
discussion section. The final section discusses the with the technocratic process of determining goals
findings and conclusion of the present research. and objectives. Goals are results produced by the
organization in order to achieve the specified
Local Government Strategic Planning vision and mission. Objectives are specific and
Strategic planning is a continuous process, it measured targets of each planning goal. As a
begins by mapping out existing conditions (where specific target, an objective has the following
you are), determining goals and objectives (where SMART attributes, i.e.: Specific and Stretching;
you want to be), and defining the means (how to Measurable and Motivating; Achievable and
get there) of achieving those aspirations (Bryson, Agreed; Realistic and Robust; Time-scaled and
2011). This concept has been developed from an Timely (Courtney, 2002).
approach implemented in private organizations Strategy is a comprehensive planning
and adopted by the public sector in organizational formula on how an organization achieves its
management (Allison & Kaye, 2015). In the public goals and objectives effectively and efficiently.
sector, strategic planning is not a separate concept, Strategy as a method is on a macro level, so
it consists of a set of concepts, procedures, tools, operationalization of the strategy is necessary.
and practices assembled into various ways of In planning terminology, the operationalization
creating various approaches that make it strategic of strategy is called a program. As a strategy
(Bryson et al., 2018). Mapping out current operationalization, a program, along with its

Implementation of Strategic Planning in Regional/Municipal Governments, Obstacles and Challenges 158

indicators, must also have strong correlation with matter by creating changes in their approach
the intended objective(s) (Bryson, 2011; Courtney, (Mell, 2020).
2002; Steiss, 2019).
Based on the elaborations above, it is Environmental Factors in Strategic Planning
understood that when a planning process is Consistent and comprehensive planning
done appropriately, it would produce a complete is not prepared in a vacuum, it is developed
and comprehensive planning document for the in a constantly changing environment with
organization. The strategic planning document continuously changing stakeholders, which
must be coherent and consistent from one chapter lead to various complexities (Hall, 2017). A
to the next. The planning document should also thorough assessment of the organization and its
be consistent with the implementation and surrounding environment to develop an extensive
assessment documents. Furthermore, a good strategy for addressing major issues faced by
planning document should also satisfy the criteria the government is a crucial aspect that must be
of each aspect, particularly the business process conducted in strategic planning (Hendrick, 2010).
criteria in determining performance (Poister et The challenges faced by local governments
al., 2015). are different from institutions at the national
A benefit that is contiguous to the level. At the national level, strategic planning is
implementation of strategic planning prepared sectoral based on matters carried out
is performance management. Performance while the regional government must carry out
management is one of the concepts of institutional various affairs whose authority is submitted
reflexivity that is guided by a set of rules by the central government. Strategic Planning
concerning incentives for organization members Regional Government is holistic concerning all
and it allows improvements in institutional interests that are the responsibility of the regional
routines, in specified procedures, and it provides government. Within the strategic planning
opportunities for new ideas to develop in order to process of the government sector, particularly
address any barriers to progress and innovations local governments, aside from the government’s
(Kuhlmann & Bogumil, 2018). own institutional issues, public interests, social
Strategic planning is also beneficial when conditions, and political resources are several
an organization experiences extraordinary factors that both formally and informally have an
conditions or a state of emergency. Under a influence on the choices made and prepared in
state of emergency, which may compel the the planning (Alonso, 2014). Strategic planning
government to revise their budget, strategic at the local government level must also be in line
planning plays a key role in decision making and with the issues faced by that particular region
maintaining public trust by way of performance or community by considering the endogenous
accountability (Jimenez, 2014; Kenk & Haldma, resources available in the community and
2016). Accountability before the public is a integration among existing planning (Szostak et
crucial standard to validate the government’s al., 2020). The freedom that the government level
productivity, effectiveness, and responsiveness closest to the community has in playing its role
to public issues (Chen, 2013). In England, for also promotes strategic planning in its responsive
instance, planning relating to Green Infrastructure public service provision (Shah & Sheahan,
(GI) was revoked as it no longer created the 2015). Regarding strategic planning in a tiered
intended positive impacts. The government government system, integrated planning involving
subsequently sought new means to address the local economic development and socio-economic

159 Policy & Governance Review | May 2022

planning as well as integration between local (2015) argued that participation may be defined
government planning and that of its higher-level as actions carried out to take part in activities with
of government are the types most often required the purpose of gaining benefits (Theresia et al.,
(Szostak et al., 2020). 2015). Within the planning process, participation
Another challenge faced by the public sector subsequently emerges in a process carried out by
in implementing the concept of strategic planning stakeholders to influence and share insights on
is the issue of leadership and the commitment of development decisions and initiatives as well as
all parties within the government organization resources that impact them. The sustainable role
structure to maximize the use of strategic planning of stakeholders reinforces the advocacy function
in accommodating the needs of the community to implement data collection, syntheses, and
up to even the smallest group (Dimitrijevska- implementation design that will strengthen the
Markoski et al., 2021). Participatory practice quality of strategic planning (Mell, 2020). In the
through a deliberative process in strategic planning preparation process, the involvement of
planning, which helps promote transparency and local government and community representatives
achieve people’s aspiration, is also a challenge for through active communication in developing
the government (Savini & Grant, 2020). strategy and implementation serves as one of
Previous researchers often consider the keys in detailed planning the people require
political factors to be a substantial element in (Guzal-Dec et al., 2020).
preparing and implementing strategic planning The capacity of planners is also a main
(Bidana, 2013; Chowdhury, 2018; Johnsen, 2016; concern in preparing strategic planning (Bidana,
Sager & Sørensen, 2011). Political regime and 2013; Chowdhury, 2018; Eakin et al., 2011; Liu et
political stability as well as existing political al., 2011; Manojlović, 2017). The main function of
communication process are some of the focuses the planner in the planning process is to prepare
included in the political aspects. In the context alternatives for decision makers. As such, planners
of governance in Indonesia, the political factor should not only have an extensive understanding
is extremely vital since planning in Indonesia’s of the macro aspects, but they should also have
government system follows four approaches, the capacity to explain the planning aspect in
namely political, technocratic, top-down, and detail. Furthermore, planners should also be
bottom-up (Law of the Republic Indonesia skilled in taking actions and carrying out all
Number 25 of 2004 on National Development the functions required in the planning process
Planning System, 2004). as well as the ability to interact with others.
Stakeholder’s engagement is one of the In other words, planners should also be able
defining factors of planning quality (Bidana, to perform the role of an analyst, organizer,
2013; Eakin et al., 2011; Harris & Thomas, 2004; intermediary, assistant, facilitator, educator,
Johnsen, 2016). In a complex environment, a and disseminator of information. Such abilities
government unit at the local level is associated are not only obtained from formal education,
with various stakeholders, beginning with the but from learning processes that take place
community they provide service to, the higher when planners engage in the planning process.
level of government unit, as well as the business These lessons learned will only emerge when
sector that they need to facilitate. Quality planning, planners are indeed committed to their tasks and
particularly implementation of planning, highly responsibilities (Werner & DeSimone, 2012).
requires the involvement or participation of Mid-level managers in local government
various stakeholders. Bornby as cited in Theresia, public planning hold a strategic role because

Implementation of Strategic Planning in Regional/Municipal Governments, Obstacles and Challenges 160

they are tasked with the functions of directing sources of analysis for issues an organization
and communicating (Khilji et al., 2017; Poister & intends to resolve by using the plan that was
Streib, 2005; Walker et al., n.d.). These mid-level made. The data and information required may
managers hold the key to smooth communication be obtained from official publications made by
among stakeholders, particularly internal planning data providing agencies, research activities, or
stakeholders. When planning involves a higher monitoring and evaluation activities. Aside from
level of government body or other government data’s function as materials for problem analyses,
unit, they should also be the ones serving as it can also be used as base materials to determine
communication channels so that the long line of an organization’s performance objective. These
communication can run effectively. That is why a objectives will, at the end of the planning process,
mid-level manager in planning is required to have be the targets of monitoring and evaluation in
conceptual competence, communication skills, order to assess organizational performance. In
decision making ability, time management skills, terms of monitoring and evaluation, it is not only
and technical competency (Johnsen, 2015). performance achievement level that is required,
One of the definitions of organizational but analyses on the various factors that support
capacity that aligns with the concept of planning and obstruct the organization’s achievements are
asserts that organizations have the capacity to required as well. This entire all of these processes
determine their goals in accordance with the generate rich data that can be utilized as base
conditions of internal and external environments materials for strategic planning (Eakin et al., 2011;
at hand (Irawan, 2016). Nonetheless, the Hall, 2017).
environment that surrounds the organization
continues to adapt. Accordingly, the organization Conceptual Framework
should have the flexibility to respond to any The concept of strategic planning in
changes in the environment (Bryson, 2011). every government unit will be similar, but
In a tiered government system, subnational the implementation must be aligned with the
governments often must deal with policies surrounding local conditions (Bryson et al.,
issued by a higher administrative body, which are 2018). Politics, stakeholder engagement, planner
sometimes less applicable to local conditions. As capacity, mid-level manager ability, organizational
such, organizations should ideally have sufficient capacity, and availability of data on planning, all
authority over what they have planned. Given these factors have an influence on the quality of
sufficient authority, local governments would planning and they are not separate elements.
have bargaining power (communication or These various aspects can be interrelated and
collaboration) to negotiate central policies and mutually influence one another. So much so that at
align them with the local context (Johnsen, 2016; times they become a vicious cycle that is difficult
Liu et al., 2011; Sperling et al., 2011). to break. Diagram 1 presents the challenges faced
Data is objective information about a fact, by the public sector in implementing its strategic
in quantitative, qualitative, or visual formats planning.
that are acquired through direct observation Data is one of the basic materials for planning.
or those that have been collected in the form When you have poor data, it can be ensured that
of printed materials or other means of storage the quality of planning is poor as well. Poor data
(Law of the Republic Indonesia Number 25 of quality which is associated with weak organizational
2004 on National Development Planning System, capacity will exacerbate existing conditions,
2004). Valid data and information function as and poor data can also be produced by a weak

161 Policy & Governance Review | May 2022

organization. One of the determining factors of of various challenges in the implementation
organizational capacity is the people working in of strategic planning in the public sector.
the organization, managers and staff alike. Due Secondary data obtained from reports based
to the weakness of organizational capacity, the on assessment of government institution
organization has no capacity to involve stakeholders performance accountability made by the Ministry
in the planning process. Such inability becomes of Administrative and Bureaucratic Reform
even more pronounced when there are political (Kemenpan RB) were used to map out the quality
interventions that are not aligned with the existing of planning carried out by the local governments.
data. The process may or may not go as planned, The qualitative design in this study was intended to
which consequently affects the quality of planning. explore in-depth information about the challenges
In a tiered government system, strategic planning and obstacles faced by local governments in
can essentially function as a bridge for distributing implementing strategic planning. The data was
a common job/task/assignment at every level in collected in 2021. Various challenges encountered
order to achieve national development goals. City in implementing the concept of strategic planning
level governments in the United States apply an in the public sector were deeply explored by
information system that integrates all interests from gathering data from randomly selected regional/
various parties, which makes for a comprehensive municipal governments (approximately 13%
strategic planning. However, the effectiveness of of the 514 existing regencies/municipalities in
using an information system is very much dependent Indonesia, i.e., 69 regencies/municipalities). This
on how local government implement them to qualitative design was able to explore in-depth
achieve their goals (Manoharan et al., 2015). cases in the sample districts/cities but cannot be
used as generalizations from all cases in Indonesia.
Method Listed below are the 69 regencies/municipalities
The current study employed a qualitative that were used as samples in the research.
approach by conducting in-depth analyses

Figure 1.
Various Challenges in the Implementation of Strategic Planning in the Public Sector

Source: Author’s figure based on Bryson’s Theory (2011)

Implementation of Strategic Planning in Regional/Municipal Governments, Obstacles and Challenges 162

 Table 1.
Sample Regencies/Municipalities
Regency/ Regency/ Regency/ Regency/ Regency/
No No No No
Municipality Municipality Municipality No Municipality Municipality
1 Kebumen 15 Bima Municipality 29 Padang 42 North Konawe 57 Biak Numfor
Regency Municipality Regency Regency
2 Kendal Regency 16 Batang Regency 30 Balikpapan 44 Morowali 58 Tangerang
Municipality Regency Municipality
3 Lamongan 17 Magelang Regency 31 East Barito 45 Blora Regency 59 Palangkaraya
Regency Regency Municipality
4 Bandung 18 Pekalongan 32 Lamandau 46 Bantul Regency 60 Tapin Regency
Regency Regency Regency
5 Kampar Regency 19 Tangerang 33 Pulang Pisau 47 Cianjur Regency 61 Ngekeo Regency
Municipality Regency
6 Banyuasin 20 South Hulu Sungai 34 Gorontalo 48 Aceh Tamiang 62 South
Regency Regency Municipality Regency Halmahera
Regency
7 North Penajam 21 Merauke Regency 35 Boalemo 49 Bungo Regency 63 Wondama Bay
Paser Regency Regency Regency
8 Polewali Mandar 22 Mojokerto 36 Bone Bolango 50 Kerinci Regency 64 Banjarnegara
Regency Municipality Regency Regency
9 Banggai Islands 23 Sleman Regency 37 North Gorontalo 51 West Bangka 65 Purworejo
Regency Regency Regency Regency
10 North Gorontalo 24 Kulon Progo 38 Pohuwato 52 Bontang 66 Yogyakarta
Regency Regency Regency Municipality Municipality
11 Cirebon Regency 25 Paser Regency 39 Kendari 53 Pekanbaru 67 Payakumbuh
Municipality Municipality Municipality
12 Indramayu 26 South Tangerang 40 Mataram 54 Tanjungpinang 68 Bengkayang
Regency Municipality Municipality Municipality Regency
13 Dumai 27 South Lampung 41 Bandung 55 Palembang 69 Bulungan
Municipality Regency Municipality Municipality Regency
14 Kutai 28 Nunukan Regency 42 Meranti Islands 56 Bandar Lampung
Kartanegara Regency Municipality
Regency
Source: Author’s Table Based on Selected Regencies/Municipalities for Reasearch

Primary data were collected by using the local governments encountered when preparing
participatory observation method, wherein the the planning documents were identified in
researcher was directly involved in the process detail. Additionally, analyses of the planning
of preparing strategic documents, namely the documents and evaluation documents belonging
Mid-Term Regional Development Plan (Rencana to the respective regencies/municipalities were
Pembangunan Jangka Menengah Daerah – RPJMD) also a significant part of the data. Analyses of
and/or the Regional Office/Agency Strategic both planning and evaluation documents led
Plan (Rencana Strategis Perangkat Daerah – to key information pertaining to the quality of
Renstra PD). In-depth interviews conducted planning made by the subnational governments.
in parallel with participatory observations A triangulation process was conducted in data
involved about 25-30 persons in each regency collection by carrying out in-depth interviews
or municipality in an unstructured face-to-face with both bureaucratic officials and planners who
design. The informants represent planners, prepared the planning documents. Data analysis
regional apparatus organizations, and regional was done by mapping out the regions’ strategic
officials related to strategic planning (such as the planning based on quality, which was indicated
Regent/Mayor, Regional Secretary, and others). by the SAKIP assessment score. The data were
During the observations, the various problems categorized and classified according to the type of

163 Policy & Governance Review | May 2022

challenges and obstacles. Moreover, data analysis sufficient levels. In terms of area, regions located
was also done by correlating one data with another in the island of Java and Kalimantan by and large
based on the issues faced by each region, which had a relatively high SAKIP score. Generally
subsequently generated comprehensive findings speaking, the SAKIP scores of regions in the
on each of the selected concepts. Ultimately, eastern part of Indonesia were relatively falling
correlations between each concept and the behind. It is also important to note that only one
challenges subnational governments encountered subnational government (municipality) attained
became apparent. a satisfactory rating in 2020, which was the city
of Yogyakarta.
Result and Discussion
Average achievement score profiles from Finding 1: Strategic Planning as Business as
the secondary data in the form of SAKIP evaluation Usual
results of all regencies/municipalities throughout At the regency/municipality level in
Indonesia in 2020 were classified based on Indonesia, there are at least six kinds of strategic
general criteria and by provinces as presented in planning documents, i.e., a Long-term Regional
the table below. Development Plan (Rencana Pembangunan Jangka
Based on the average SAKIP rating scale Panjang Daerah – RPJPD), a Mid Term Regional
achievement of the regencies/municipalities in Development Plan (Rencana Pembangunan
each province, the acquired data is as follows. Jangka Menengah Daerah – RPJMD), a Regional
The secondary data acquired suggest Government Work Plan (Rencana Kerja Pemerintah
that no regency/municipality has received a Daerah – RKPD) based on the provisions outlined
highly satisfactory rating scale, many regencies/ in the Minister of Home Affairs Regulation No.
municipalities were rated at the good and 86/2017. The RKPD is subsequently referred to as

Table 2.
SAKIP Score Profiles in 50 Regencies/Municipalities
Number of
Range of
Rating Scale Interpretation Regencies/
SAKIP Scores
Municipalities
>90 -100 AA Highly satisfactory 0
>80 – 90 A Satisfactory, leading change, high performance, and highly 11
accountable (2.14%)
>70 – 80 BB Very good, accountable, good performance, having reliable performance 56
management system (10.86%)
>60 – 70 B Good, good performance accountability, having a system that can be 258 (50.19%)
used for performance management, and requiring little improvement
>50 – 60 CC Sufficient (Adequate), passable performance accountability, 118 (22.95%)
complying with policies, having a system that can be used to produce
performance information for accountability, requiring many non-
essential improvements
>30 - 50 C Poor, system is unreliable, having a system for performance 58
management but requires numerous minor and essential improvements (11.28%)
0 - 30 D Very poor, system is unreliable for implementing performance 0
management; requiring numerous improvements, some requiring
very essential changes
Not evaluated 7
Number of 514
Regencies/
Municipalities
Source: Ministry of Administrative and Bureaucratic Reform, 2020

Implementation of Strategic Planning in Regional/Municipal Governments, Obstacles and Challenges 164

 Table 3. of Home Affairs Regulation No. 77/2020 on
Average SAKIP Score by Province, 2020 Technical Guidelines on Regional Financial
Average SAKIP
Number of
Rating Scale
Management. Meanwhile, in parallel, Regional
Provinces Regencies/
Municipalities
of Regencies/ Government Organizations (Organisasi Perangkat
Municipalities
Daerah – OPD) also prepare each of their Regional
Nangroe Aceh 23 CC
Darussalam Apparatus Strategic Plans (Rencana Strategis
North Sumatra 33 CC Perangkat Daerah – Renstra PD) according to
West Sumatra 19 B
the number of OPD available, along with the
Riau 12 B
Riau Islands 7 B drafting of the RPJMD. Annually, OPDs prepare
Jambi 11 B a Regional Apparatus Work Plan (Rencana Kerja
Bengkulu 10 CC Perangkat Daerah – Renja PD), which serves the
South Sumatra 17 B
Bangka Belitung 7 B
material used to prepare the Regional Apparatus
Islands Budget and Work Plan (Rencana Kerja Anggaran
Lampung 15 CC
Perangkat Daerah – RKA-PD) along with the
West Java 27 B
Central Java 35 B drafting of RAPBD. The series of planning and
East Java 38 BB budgeting for the year is carried out at least two,
Yogyakarta SR 5 A namely drafting for year n+1 and amendments for
Jakarta SCR 6 No assessment
the current year (year n).
Banten 8 B
Bali 9 B The cycle and procedure for regional
West Nusa Tenggara 10 B development planning in Indonesia, as stipulated
East Nusa Tenggara 22 CC in Minister of Home Affairs Regulation No.
North Kalimantan 5 B
West Kalimantan 14 B
86/2017, were designed to be based on the issues
Kalimantan Timur 10 B subnational governments encounter. This is in line
Central Kalimantan 14 B with prior studies stating that strategic planning
South Kalimantan 13 B
at the local level should be in line with the issues
West Sulawesi 6 CC
North Sulawesi 15 B governments are facing in their particular region
Central Sulawesi 13 CC or community by considering the endogenous
Southeast Sulawesi 17 B
resources available in the community and
South Sulawesi 24 B
Gorontalo 6 B integrating them across existing various existing
Maluku 11 CC plans (Szostak et al., 2020). However, we observed
North Maluku 10 C
that in some of the regencies/municipalities
Papua 29 C
West Papua 13 CC there are activity and program designs that were
Total 514   merely repeating implementations from the
Source: Ministry of Administrative and previous years. This is similarly observed in the
Bureaucratic Reform, 2020 state of Mississippi, in the United States, where
the municipal government’s understanding of
materials for the General Budget Policy (Kebijakan strategic planning remained low, while in fact, the
Umum Anggaran – KUA) and the Provisional strategic planning process was used as a guideline
Budget Ceiling and Priorities (Prioritas dan to carry out programs and activities that focused
Plafon Anggaran Sementara – PPAS) prior to on mission, priorities, and benefits in making
being discussed in the Regional Budget Plan the right decision (Dimitrijevska-Markoski et
(Rencana Anggaran Pendapatan dan Belanja al., 2021). Accordingly, strategic planning of
Daerah – RAPBD) cycle based on the Minister each regency/municipality should guide the

165 Policy & Governance Review | May 2022

implementation of responsive and dynamic also an issue with distribution of data among
activities and programs that are in accordance regional government organizations, wherein
with the region’s priorities and the issues to be those responsible for managing data do not have
addressed. a shared understanding of how significant data
is. The existing system, which remains unreliable
Finding 2: Obstacles and Challenges in the for satisfying data accuracy and speediness
Implementation of Strategic Planning requirements, exacerbates the presentation of
In accordance with the guideline, all of the data, which functions as materials for analyzing
strategic planning documents are developed with development issues confronted by regencies/
extensive amounts of activities Around the already municipalities.
busy schedules of the regencies/municipalities, Such challenges are also faced by other
and they are carried out repeatedly. On the other countries including Ghana, where poor data
hand, there are various factors that influence collection management, lack of skilled monitoring
the planning process, as a result the strategic and evaluation experts at the local level, and lack
planning process becomes a normal activity or a of sanction for noncompliance have led to delays
routine activity that must occur. Such conditions in reporting (Kaye-Essien, 2020). This reinforces
are brought about by various interrelated the significance of data in the reporting and
issues that eventually lead to poor overall evaluation process.
atmosphere surrounding strategic planning Tracing back even further, the source of
tasks. Among these issues include poor quantity data unavailability lies in the evaluation model
and quality of data and information, regency/ applied, because it is through evaluation that
municipality’s weak bargaining power over data actually emerge. The assessment model
higher administrative bodies, limited capacity of carried out on development performance is still
mid-level managers, limited capacity of planners, partial, a formality, and based on budget. The
formal stakeholder engagement, and unconducive Accountability Report (Laporan Keterangan
political environment. Peretanggungjawaban – LKPj) of the regional head,
Regional Government Implementation Report
1. Lack of Availability and Low Quality of Data (Laporan Penyelenggaraan Pemerintah Daerah
and Information – LPPD), Information on Regional Government
Data and information are basic materials Implementation Report (Informasi Laporan
for preparing strategic planning. Data and Penyelenggaraan Pemerintahan Daerah – ILPPD),
information serve as a guide to determine to and Government Agency Performance Report
what extent the organizational mandate has been (Laporan Kinerja Instansi Pemerintah – LKjIP)
carried out, what challenges and obstacles are as development evaluation documents merely
encountered, what strengths and opportunities present development targets and realization
are available, and what ambient conditions are of its objectives. No effort has been made to
like, all of these can be found through an analysis link the objectives to the programs that were
of the data. All the regions that were included designed as a means to achieve said objectives.
as samples in the current study experienced As a consequence, how effective the implemented
issues with data availability. Some of the main programs are in achieving the objectives has
problems that local governments consistently never been identified. This occurred because the
face include data unavailability, incomplete measure of effectiveness has been incorrectly
data, and invalid data. Furthermore, there was defined or understood. The effectiveness of a

Implementation of Strategic Planning in Regional/Municipal Governments, Obstacles and Challenges 166

program can only assesed based on the size of the regencies/municipalities are required to conduct
planned budget absorption. An integrated system at least four evaluations, i.e., evaluations of RKPD,
is needed which facilitates evaluation process for LKjIP, LKPj, LPPD, and ILPPD. Evaluation of RKPD is
regions to submit the various forms of reporting in mandated by Minister of Home Affairs Regulation
a comprehensive manner, including a comparison No. 86/2017, which is submitted to the Ministry
of performance measurement and strategic of Home Affairs via the provincial government
planning structure, which is important because and used as the basic materials for preparing
sometimes there is quite a dynamic cooperative the planning documents of the following year. As
relationship between the regional government stipulated in the latest regulation, in accordance
and its superior administrative body (Rivera & with Governmental Regulation (PP) No. 13/2019
Heady, 2006). and Minister of Home Affairs Regulation No.
Such evaluation documents are recurrent 18/2020, LKPj is submitted to the Regional House
since the evaluators, which in this case are of Representatives (DPRD), LPPD is submitted
people from higher administrative institutions, to the Ministry of Home Affairs as materials
only examine the table title lines and whether for the Regional Government Implementation
the contents are available in the table instead Evaluation (Evaluasi Penyelenggaraan Pemerintah
of comprehensively assessing the government’s Daerah – EPPD), and ILPPD is conveyed to the
performance. The perception of evaluators which public. In line with the Regulation of the Minister
may not be aligned also adds more confusion for of Administrative and Bureaucratic Reform No.
the subnational governments in fulfilling follow- 53/2014, LKjIP is submitted to the Minister of
up plans identified as evaluation notes in the Administrative and Bureaucratic Reform and
previous year. The recurring disfunction of the reviewed by the same Minister or with the
evaluation process is one of the primary causes assistance of the Provincial Inspectorate or the
of poor availability and quality of data, which is Finance and Development Supervisory Agency
used as one of the basic materials for planning. (BPKP).
When you have poor data, it can be assured that The documents evaluate the same thing,
you will have poor planning quality. which is RKPD, but each ministry requests a
different assessment, the difference is only in the
2. Weak Bargaining Power of Regency/ title and table of contents, as well as the table
Municipality over Higher Administrative format. Nonetheless, regencies/municipalities are
Body required to prepare these numerous amounts of
Re g i o n a l g ove r n m e n t s a re i n d e e d documents. If they do not prepare them according
autonomous, yet currently, the level of regency/ to the technical guidance provided, they will be
municipality autonomy remains relatively low penalized, with the lowest sanction being a light
when facing the central government. The nature warning and the most severe being that they are
of regional autonomy in Indonesia tends to apply not given a good assessment mark by the central
as power/authority that is being “lent” instead of government. Due to such copious amounts of
being “given” absolutely (Pudjianto, 2019). assessments being carried out, evaluations are
In terms of planning and evaluation, an merely completed by filling in tables with contents
example can be provided here about regional that are not understandable at times, particularly
development evaluation. Annually, regional/ with comprehensive evaluation of occurring
municipal governments create a strategic plan development activities. The regions do not have
called RKPD. Based on this RKPD, annually sufficient energy to produce a comprehensive

167 Policy & Governance Review | May 2022

evaluation document that meets the evaluation The efforts that the regions work on should also
principles. be varied and diverse as well. Nevertheless, given
On the other hand, evaluators also seem to the Regulation of the Minister of Home Affairs No.
just put checkmarks on the tables without paying 90/2019, the programs and activities have been
attention to the substance of the evaluation. Given uniformized according to whatever the issues and
of the current evaluation procedure, the regions objectives may be. The function of regulation as
are unable to refuse, even when planners in the guidance will turn into a process or mechanism
regions know and understand what should be that refers to a single actor standard where they
done during evaluations, they still continue to are able to ensure the expected value or utility
carry out evaluation formalities demanded by the of their actions in a broader context (Kaufmann,
evaluators (abide and comply). While it is, actually, 1991). The regions have no bargaining power
not impossible that planners in the regions have a over all these things on account of the evaluation
better understanding of planning and evaluation system, which is based on this Minister of
than the evaluators. This is why evaluators hide Home Affairs Regulation. Ideally speaking,
behind formal evaluations that simply require one regulatory products pertaining to the preparation
to put checkmarks on the table. A nearly similar of planning documents should be a guideline that
phenomenon experienced by most of the regions facilitates the regions in implementing the policy
throughout Indonesia is also observed in the in accordance with the issues they face and the
government of Ghana. Lack of political autonomy potentials options they possess.
coupled by lack of adequate economic resources
in most regional governments have created a 3. Limited Capacity of Mid-Level Managers
master-servant relationship in Ghana’s regional A mid-level manager should have managerial
government, wherein city leaders, particularly capacity and technical competence because
those appointed by the government, are forced mid-level managers are intermediaries for top
to comply with the central government in all management and front-line staff. Accordingly,
political, economic, and social matters (Kaye- mid-level managers should have the capacity to
Essien, 2020). prepare policy recommendations or suggestions
Another example concerning the weak level to advise top management based on existing
of bargaining power regional governments have data and translate the vision and mission of the
over the central government can be observed in organization into a more operational format.
the Regulation of the Minister of Home Affairs In regencies/municipalities, mid-level
No. 90/2019 on the Classification, Codification, managers are the regional secretaries and the
and Nomenclature of Regional Finance and heads of the regional government organizations.
Development Planning, which regulates the In many sample regions, the mid-level managers
programs up to the sub-activities that regional were found to be less functional. There are even
governments should use in their strategic some regions that for several years have no regional
planning. The programs, both activities and secretary official assigned and the position is held
sub-activities, are essentially carried out by by a daily technical officer who has no authority to
government organizations to address issues and decide strategic policies. In terms of planning, the
achieve planned objectives. The diversity of the one in charge is the Regional Development Planning
regions surely generates a wide range of problems Agency (Badan Perencanaan Pembangunan Daerah
and objectives, although the end result is to – Bappeda), but it needs to coordinate with all OPD.
achieve prosperity and quality human resources. When the head of Bappeda attempts to engage in

Implementation of Strategic Planning in Regional/Municipal Governments, Obstacles and Challenges 168

coordination about anything with OPD, it is not an into their downward influence role (Van Rensburg
easy feat to achieve in reality. Having the same level et al., 2014). Given these driving roles of the mid-
or structural position makes OPD feel Bappeda has level managers, strategic planning should no
no rights to control OPD. So, the regional secretary longer be presented as planning as usual.
is a more appropriate position with the capacity
for such a task. Additionally, the regional secretary 4. Limited Capacity of Planners
also functions as a guide to translate the vision and Planners are, ultimately, the keyrole in
mission of the regional head into more operational the strategic planning process. In regencies/
formats. If the regional secretary does not have this municipalities examined in the current research,
capability, it can be ascertained that the region has the number of planners and their quality highly
poor quality planning documents. In some regions varies from one region to the next. There are even
with reliable mid-level managers, the process of regencies that have no planners (meaning human
preparing strategic planning documents was found resource/personnel with acknowledged planner
to be more efficient with relatively good results. skills) at all. In the case where Bappeda or OPD
At the head of OPD level, it turns out that not has no planner(s), the task of planning is carried
all heads of OPD have a common understanding out by those who lack a decent understanding
of strategic planning. The following sentence was of planning. There are regions that have enough
articulated by a head of OPD, and it is a strong planners in Bappeda, but none are available at
indication of the existing misunderstanding and the OPD level, which is also a highly challenging
carelessness. “Planning? It should be enough being condition as good planning requires a common
done by those making the programs”. When heads understanding of planning in itself.
of OPD do not understand the significance of When no common understanding
planning, what is bound to happen is that planning is observed among planners across various
merely becomes the job of staff or employees organizations, planners in Bappeda begin to
assigned to prepare or create programs who encounter difficulty since the data collection stage,
at times don’t even have any knowledge of the and data analyses subsequently become even
business process let alone techniques in planning. more difficult when the evaluation documents
If this happens, the planning document will only are found to be mere formalities. Almost the
be business as usual. Last year’s programs are same condition occurred in development
repeated and the budget amount for last year is planning in South Africa when planners at the
simply raised by 10% for this year. city level tended to use development performance
These findings are in line with the research indicators that were not entirely oriented toward
results in South Africa indicating that mid-level the region’s developmental objectives, thus
managers usually associate their strategic role resulting in inefficient development performance
merely as strategists and communicators who achievements (Mautjana & Mtapuri, 2014)
create links between their subordinates and On the other hand, mid-level managers also
higher level of management (Van Rensburg disregard the importance of strategic planning.
et al., 2014). Ideally speaking, in strategic At the end of the day, what we are seeing is an
planning, mid-level managers should also play apathetic attitude since they feel that they are not
a role in ‘advocacy’ and ‘enhancing operational getting proper support from the heads of OPD and
performance’ into elements of conventional other planners. Those who truly understand the
strategy implementation, and a role in ‘managing importance of planning try to request assistance
performance’ as well as ‘promoting compliance’ from other parties, such as universities. Yet, the

169 Policy & Governance Review | May 2022

universities they turn to sometimes also have about the importance of planning. As a matter of
zero understanding of the complex process of fact, after these three presentations have been
strategic planning. Despite having gone through delivered, the participants of public consultations
the planning process, the quality of the planning or musrenbang have exhausted their energy.
documents created remains subpar. This is Moreover, the participants are usually not given
due to the fact that the planners are already the presented draft once the three presentations
“overwhelmed” and they “handover” the task to have been delivered, the decision is made to take a
others, who are actually incapable as well, this break for lunch. As a result of the tedious process,
consequently becomes a vicious cycle of planning criticisms and suggestions are almost never
with poor quality. given by musrenbang participants. Nonetheless,
the forum is operated formally. Ideally speaking,
5. Formal Stakeholder Engagement public consultations and musrenbang should
One of the approaches used in preparing function as a process for legitimizing regional
planning documents is the participatory approach, development planning policies by capturing
which means the RPJMD document is prepared the various interests that stakeholders have.
with the participation of all stakeholders. The policy process, essentially, should refer
A space or even obligation to participate is to a diverse institutional configuration with
regulated in the participatory planning concept numerous stakeholders striving to solve public
(Law No. 25/2004). The actual format of the issues, managing their differences is one of the
participatory process in development planning most crucial aspects in the policy process (Telch
in Indonesia can be observed from the process of et al., 2020).
public consultations and development planning
assemblies (musrenbang) (Law no 25/2004; 6. Unconducive Political Environment
Minister of Home Affairs Regulation No. 86/2017). The planning process accommodates the
The process is carried out and takes place in the political process. In this process, i.e., strategic
planning preparation process, as it is an obligation planning of the drafting of the Regional Mid-Term
that needs to be fulfilled. However, the reality Development Plan (RPJMD), there is one political
on the ground shows that the process is a mere mechanism in place, which is when the RPJMD is
formality. Public consultations and musrenbang to be ratified as a regional regulation. During the
are attended by all OPD and other stakeholders, drafting process of the RPJMD, there is relatively
including those from the provincial government low level of political intervention. During the
who are safeguarding the provincial level planning, Regional Work Plan (RKPD) drafting process,
and also academicians as observers. In this there is also relatively low intervention, but RKPD
process, the number of participants involved in is a document that must run in accordance and in
public consultations and musrenbang can be quite parallel with the Regional Budget (APBD). It is in
substantial, reaching up to 100 individuals. the process of drafting APBD that there is a highly
During the public consultations and intense level of political intervention.
musrenbang, the unit in charge of planning, In many regions, members of the Regional
which in this case is Bappeda, presents the House of Representative (DPRD) often intervene
draft that they have made. Subsequently, the without conducting any analysis on existing facts
provincial government unit presents aspects and data. The lack of commitment shown by
that they consider crucial in the planning, these political elites is also one of the obstacles
whereas academicians give a presentation for achieving a participatory planning process

Implementation of Strategic Planning in Regional/Municipal Governments, Obstacles and Challenges 170

(Panday & Chowdhury, 2020). As a matter of unconducive political environment. These various
fact, DPRD have the opportunity and space to factors are not standalone, but are interrelated.
convey their main points of thoughts (Pokok- Based on the research analysis, the source of these
pokok Pikiran DPRD/Pokir), which stem from issues lies in data availability (or lack of it), which
the suggestions given by their constituents using is the result of how development assessments
the aspiration capture mechanism applied in the are being conducted. Evaluation that is only a
musrenbang phase at various levels. However, formality completed by various different central
the perspectives of DPRD members in making institutions has left regional governments with
use of their constituent’s interests sometimes very little energy to engage in more substantive
differ from the reality observed on the field. evaluation.
Consequently, the Regional Budget (APBD) tends In the current tiered government model and
to be oriented toward programs that are in line political system, improvements in the evaluation
with the aspirations of the DPRD members, which model specified by the central government are
is in fact different from what has been specified one of the keys to improve strategic planning. This
in the Regional Government Work Plan (RKPD) implies that the central government evaluations
based on the Regional Mid-Term Development should bebased on simple and substantive
Plan (RPJMD). Therefore, it is not surprising if assessments by examining achieved outcomes and
the RKPD is found to be different from the RPJMD. providing elaborations concerning what efforts
Ultimately, the regions plan for things that they are required in order to positively contribute to the
won't do and do things that they didn’t plan for. outcome. To achieve this end, central government
ministries/agencies must remove their respective
Conclusion sectoral egos and have only one standardized
This study aims to reveal the description document of evaluation that is used across all
of the quality of strategic planning, challenges the departments. Additionally, evaluators who
and obstacles faced by local governments. The truly understand the substance of the evaluation
main finding in this article is that many strategic process are required. The engagement of other
planning documents are mere formalities and parties like universities with proper credibility
are not referred to in implementing development will create a high multiplier effect for all parties
activities. The expression planning for things that involved.
will not be done and doing things that were not When evaluation is conducted to be based
planned for is quite accurate in depicting the state on outcome by the central government, then the
of strategic planning in most of the regencies/ high bargaining power that central government
municipalities examined. This kind of planning maintains over regional governments can in
is the result of a routine and ordinary planning fact become an opportunity to improve the
process, which is no longer strategic in nature. existing climate and make it more conducive for
The lack of a strategic aspect in the planning implementing the strategic planning process
process in this study was found to be caused by in the region. The demand for better substance
several factors of which among them include poor evaluation creates better data availability. In
quantity and quality of data and information, weak addition, it encourages regional governments,
bargaining power that regencies/municipalities particularly mid-level managers, to put more
have over higher administrative units, limited emphasis on planning and evaluation. Accordingly,
capacity of mid-level managers, limited capacity of various measures to prepare the entire planning
planners, formal stakeholder engagement, and an process will be taken, such as having reliable

171 Policy & Governance Review | May 2022

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