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Infrastructure Investment in Indonesia

Sally Wilson
Colin Duffield
Kevin Kin Peng Hui


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Research Methodology: Efficient Facilitation of Major Infrastructure Projects

A1.0 Introduction and Methodology

1The research (Efficient Facilitation of Major Infrastructure Projects) is based on several different methodologies to investigate the perceptions of the various stakeholders associated with ports. It utilised: forums; online surveys; focus group discussions (FGD); in-depth interviews; and workshops.

2Ethics approval for the Efficient Facilitation of Major Infrastructure Projects was obtained from the Human Research Ethics Committee of The University of Melbourne on 9 August 2017 (Ethics ID number 1749875). The Indonesian University partners also followed the requirements of their individual Universities.

3This section describes the research process — the development and refinement of the research questions, the development of the methodology, the development of the survey tools and the conduct of the research itself.

4A background literature review and evaluation of case study projects was undertaken to better understand the underlying issues relating to port infrastructure finance and project initiation. This literature review and evaluation of case study projects served to inform the methodology used in the research.

5Key port-related personnel, industries and organisations were approached by the researchers, (both in Australia and Indonesia), to take part in the FGDs, to complete the online survey or to take part in the in-depth interviews. Participation was voluntary, and participants could withdraw at any time from the study.

A1.1 Research Forum

6The vast amount of literature reviewed in the early stages of the research project led to a need for an exploratory tool to further refine the research objectives. A research forum involving Australians and Indonesians was held in Melbourne, Australia in July 2017 to exchange ideas and discuss how best to explore the research topic and progress the study. The forum participants included researchers/government advisors, university research staff and private sector advisors: the study chief investigator from The University of Melbourne, the co-lead researcher from the Universitas Gadjah Mada, Indonesia; academics/ researchers in project management, finance, international business and supply chain; professors of Transport and Law; a finance lawyer; University research staff; a PhD student and four Masters by research students.

7The forum provided an opportunity to clarify thoughts, to update all the attendees on the work that had been done so far, to discuss the content of the online surveys that were being developed, and to refine the key questions that needed to be asked during the study. One of the outputs of the forum was to agree on the final output of the research as being a research monograph on Infrastructure Investment in Indonesia with a focus on ports. This was agreed as a project deliverable.

8The discussion identified the work being done by the World Bank and World Economic Forum related to ease of and barriers to doing business in countries around the world. It further highlighted recent reforms made by the Indonesian Government to reduce high logistics/ freight costs in that country. Aspects of these business barriers were subsequently incorporated in the online surveys and among other important themes to be investigated. The research forum also identified a number of key qualitative questions that can only be effectively explored using focus group discussions and face-to-face interviews.

A1.2 Online Surveys

A1.2.1 Development of the Online Surveys

9A survey tool was developed to investigate various themes related to Efficient Facilitation of Major Infrastructure Projects port planning and development — namely: investment decisions; port/city performance; barriers to doing business; funding and financing decisions; port sustainability; procurement; and capacity building.

10The questions in the survey tool were reviewed by the Australian (The University of Melbourne (UoM)) and Indonesian University partners (Universitas Indonesia (UI) and Universitas Gadjah Mada (UGM)) via email and then via video conferences. An Australian and Indonesian language version of the survey was prepared. The surveys contained both quantitative and qualitative questions. Most questions were the same in both questionnaires except for a few that related to specific funding models only available in Australia or in Indonesia. They also differed slightly on the demographic information being sought where descriptions of Government agencies in the two countries were different.

11The Indonesian version of the survey was translated into Indonesian by an Indonesian post-graduate Engineering student enrolled at the UoM who was also engaged as a research assistant (RA) on the project. Questions were offered in both Indonesian and English on the Indonesian online survey. The surveys were hosted by SurveyMonkey™.

12The questionnaires consisted of several sections. They included questions related to demographics of the survey participants and their organisations; gender and age; country of main professional/work experience; area of specialisation; experience; years of work with/in/ related to ports; association with ports; which port (s) they are currently working in/with; if they were responding at a port level or terminal level; and if their port undertakes international benchmarking.

13There were also questions related to investment decisions and how important it is to make investment decisions in various areas to improve ports; competitive strengths of ports were explored; and areas where investments should be directed to improve port operations.

14The online port survey included a question asking participants to indicate from a list of twenty-nine factors provided, how problematic these factors are to doing business in Indonesia (in the Indonesian Survey) and in Australia (for the Australian survey). Respondents were required to indicate how problematic the factors are on a scale of 1 to 5 where 1 is most problematic to 5 being least problematic. The list was made up from the sixteen factors that the World Economic Forum (WEF) uses in their Executive Opinion Survey, the ten indicators used by the World Bank for their ‘Doing Business’ rankings (WB) and three additional factors included in the questionnaires: affordable energy availability, land acquisition, and regulatory uncertainty that were identified as issues in Indonesia.

15Funding and financing decisions were explored in the questionnaires by asking survey participants to indicate the relative effectiveness of twenty-nine listed financing methods. The usefulness of the Indonesian Governments reform package to reduce high logistics/freight costs in Indonesia to improve the supply chain was examined. Obtaining finance with consideration to port sustainability was considered. Lastly, procurement of port development projects and capacity building was explored.

A1.2.2 Conduct of the Online Survey

16The Indonesian survey was launched 7 September 2017 and the Australian version of the survey on 1 November 2017. Both surveys closed on 14 May 2018.

17The surveys targeted senior port personnel, including senior executives, port/terminal operators, project managers, engineers, government representatives and senior bureaucrats, finance organisations, and industry organisations that work with or in ports. Participants approached to take part in the surveys included individuals associated with ports — for instance, transport providers/companies, logistics companies/logistics managers, representatives from financial institutions including banks and infrastructure financing companies, legal practitioners, shipping organisations, consultants, maritime unions, transport planners and university researchers.

18A plain language statement (PLS) and consent form were prepared in both English and Indonesian. Both documents contained a link to the online survey in their respective countries.

19Participants from Indonesia were invited to take part in the online survey by the research partners in Indonesia. Participants to the survey from Australia were invited either by phone or email. Interested parties received an email invitation with a link to the PLS, consent form and online survey. The peak professional bodies representing ports in Australia and supply chain/transport and logistics organisations in Australia were contacted to advise them about the online port survey and to ask them to either alert or advertise the survey to their membership.

20At the completion of the survey, the responses to qualitative questions from the Indonesian survey were translated into English by the Indonesian Research Assistant in Australia whereas the Indonesian partners were provided with the excel databases directly downloaded from SurveyMonkey™.

21Survey data was downloaded from SurveyMonkey into an SPSS (IBM SPSS Statistics 24) and Excel database for analysis. All data was deidentified. The a-priori statistical value was set at p≤0.05.

22Qualitative data analysis was undertaken for text responses from the surveys, FGDs and in-depth interviews and included the use of NVivo 11 software (QSR International Pty Ltd) to assist with this analysis.

A1.3 Focus Group Discussions

23The focus group discussions that were held in Jakarta, Indonesia in September 2017 and in Australia in February 2018 were organised by the respective University research partners in each country.

24In Indonesia, the University research partners from that country invited port stakeholders and senior port executives known to them and contacted port, government and industry stakeholders to invite them to take part in the FGD.

25The research team from the UoM joined the team from UI and UGM and attended the FGD in Jakarta in 2017. Whilst in Jakarta for the FGD, the research team together with their Indonesian University research partners met with senior Government representatives to discuss major infrastructure and port development and met with senior port executives at the major port in Jakarta.

26Questions explored at the FGDs aligned with the online survey. The key questions are shown in Table A1. The FGD sessions were divided into two parts: the first session focused on questions related to Port Development. The second session focused on questions related to Funding and Financing.

Table A1 Focus Group Discussion Questions

First FGD session — Port Development Second FGD session — Funding and Financing
a. What is needed to improve governance/policy in ports?
b. What is needed to improve management structures in ports?
c. What decisions and IT could be improved to enhance efficiency at ports?
d. Which landside infrastructure developments would be most effective? E.g. improved customs, container movements, port services, dry ports, intermodal terminals, hinterland connection.
e. Would improved IT, crane rates, customs clearance and rail/road infrastructure into terminals improve handling rate of containers-container throughput and reduce ship dwelling times and ease congestion at your port?
f. What infrastructure is required to best interface landside operations with the port?
g. What are the benefits to port efficiency if in a Special Economic Zone (in Indonesia)/Special Tax Zone (in Australia) compared to a port in a high activity region, e.g. industry linked?
h. What strategies could best increase port competitiveness? E.g. supply chain connectivity.
i. What strategy do you recommend to attract port investments? E.g. Commercial Structure, Financial leverage/ mechanism.
j. How could investment risks be reduced?
k. Do cost-benefit analyses adequately support your investment decisions?

Transcripts made from the FGDs in both countries were analysed.

A1.4 In-Depth Interviews

27In-depth interviews of senior port executives were conducted in Surabaya, Indonesia in April 2018. In-depth interview participants were drawn from relevant industries and government agencies around Surabaya. Thanks to Ibu Hera from ITS for arranging the contacts and generous time provided by the contacts.

28Australian research team members were also present at the interviews. Questions discussed were the same as for the FGDs (Table A1). The questions asked of attendees at the FGDs and in-depth interviews are consistent and relate to port development and funding and financing.

29Transcripts were made of the interviews and analysed.

A1.5 Response Rates

A1.5.1 Australia —Online Survey

30Email invitations were sent to key port stakeholders around Australia to invite them to take part in the online port survey, for example: senior port executives, peak Australian port association and logistics and transport professional associations, terminal operators/management, port related organisations, government personnel, consultancies, transport personnel, logistics personnel, finance personnel, fund managers, technical experts, stevedores, legal personnel, maritime safety personnel, academics and shipping personnel. Some approaches were initially made by phone and followed up by email. The majority of contact was via email invitation. All email invitations were accompanied by a link to the PLS and consent form.

31There were sixty-four full and in-part and partial responses to the online Australian Port Planning and Development survey of which not all responded to each question. The specific number of responses to individual questions are referred to by the individual researchers in their chapters.

32The survey targeted senior individuals in their organisations, so it is felt that the responses obtained should be representative of the industry as a whole.

A1.5.2 FGD—Australia

33Eleven senior port stakeholders took part in the Australian FGD in February 2018. Stakeholders were senior executives from port operations, senior logistics operations, consultants, finance and government.

A1.5.3 Indonesia —Online Survey

34The survey was emailed to governmental agencies, major port operators, banks, terminal operators and other institutions involved in port operations in Jakarta and Surabaya. There were eighty-one full and in-part responses and partial responses to specific questions in the online Indonesian port survey. The number of responses received for specific questions have been referred to by the specific investigators.

A1.5.4 FGD—Indonesia

35The FGD session held in Jakarta, Indonesia in September 2017 was attended by more than three dozen high-ranking officials and representatives of the government, major corporations in logistics and development, banks, associations, universities, and other experts. Twenty-six participants took part in the first session of the FGD: Indonesian Ports Planning and Development. Twenty-four participants took part in the second session, which focused on Indonesian Ports Financing.

36Attendees came from Government Ministries, State Owned Enterprises, senior port and terminal executives, finance, banking, transport, construction, fund managers, private associations, technical experts, logistics/procurement.

A1.5.5 In-Depth Interviews —Indonesia

37In total, six in-depth interviews were conducted with key personnel from three different ports in Surabaya.


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