(Luận văn thạc sĩ) research on the climate resilient livelihood in the coastal zone of tien hai district, thai binh province

VIETNAM NATIONAL UNIVERSITY, HANOI VIETNAM JAPAN UNIVERSITY NGUYEN HA MY RESEARCH ON THE CLIMATE RESILIENT LIVELIHOOD IN THE COASTAL ZONE OF TIEN HAI DISTRICT, THAI BINH PROVINCE n MASTER’S THESIS VIETNAM NATIONAL UNIVERSITY, HANOI VIETNAM JAPAN UNIVERSITY NGUYEN HA MY RESEARCH ON THE CLIMATE RESILIENT LIVELIHOOD IN THE COASTAL ZONE OF TIEN HAI DISTRICT, THAI BINH n PROVINCE MAJOR: CLIMATE CHANGE AND DEVELOPMENT CODE: 8900201.02QTD RESEARCH SUPERVISORS: Prof MAI TRONG NHUAN Assoc Prof NGUYEN TAI TUE Hanoi, 2021 PLEDGE I assure that this thesis is the result of my own research and has not been published The use of other research’s results and other documents must comply with the regulations The citations and references to documents, books, research paper, and websites must be in the list of references of the thesis Author of the thesis NGUYEN HA MY n ACKNOWLEDGEMENTS First and foremost, my appreciation and gratitude go to Professor Mai Trong Nhuan and Associate Professor Nguyen Tai Tue in Hanoi University of Sciences, Vietnam National University (VNU) for their great academic guidance and enthusiastic encouragement during the completion of the thesis I would like to thank Mr Dinh Van Cao, Management Board of Thai Binh Wetland Nature Reserve, the staffs in the Nam Phu People Committee- Thai Binh Province, and residents in Nam Phu commune, Tien Hai district, Thai Binh province for their enthusiastic support in providing materials and assistance in my data collection This thesis is hugely supported by the national projects, entitled “Studying on the scientific and practical fundamentals, procedure to assess the ecosystem quality in coastal area using the modern technology for natural resources and environmental protection”, code: TNMT.2018.06.16 for valuable aggregate information about the study area n I wish to express my special thanks for all the lectures and Ms Bui Thu Hoa of the Master Program in Climate Change and Development, Vietnam-Japan University, VNU for creating conditions and supporting me to study and research during my graduate school career I could not have completed this work without support from Associate Professor Nguyen Quang Trung, Director and other staffs of Center for Research and Technology Transfer (CRETECH), Vietnam Academy of Science and Technology (VAST) Last but not least, I would like to express my indebtedness to my families, and friends who have given me constant encouragement, great patience and utmost love to overcome all difficulties in the thesis completion TABLE OF CONTENTS n LIST OF TABLES I LIST OF FIGURES II LIST OF ABBREVIATIONS IV ABSTRACT V CHAPTER 1: INTRODUCTION 1.1 Background 1.2 Research objectives, questions, and hypothesis 1.3 Subject and scope 1.3.1 Research subject 1.3.2 Scope 1.4 Literature review 1.4.1 International research 1.4.2 National research 1.4.3 Key concepts .9 1.5 Overview of research area 14 1.5.1 Geographical conditions 14 1.5.2 Natural resources 17 1.5.3 Socio-economic characteristics .20 1.5.4 Livelihood models 22 CHAPTER RESEARCH METHODOLOGY AND METHODS 27 2.1 Methodological approach 27 2.2 Research methods 30 2.2.1 Data sources and data collection method 31 2.2.2 Establishing a set of livelihood resilience indicators .34 2.2.3 Data processing methods 41 CHAPTER 3: RESULTS AND DISCUSSIONS 45 3.1 Current status of livelihood in Nam Phu commune 45 3.2 Climate change impact in the study site 49 3.2.1 Temperature .49 3.2.2 Rainfall .50 3.2.3 Extreme weather events 51 3.2.4 Sea level rise and salinity intrusion 55 3.2.5 Impacts of climate change on livelihood 56 3.3 Assessment of climate resilient livelihood in the study site 59 3.3.1 Livelihood capitals 62 3.3.2 Self-organization capacity .69 3.3.3 Learning capacity 71 3.3.4 Disaster management capacity 73 3.3.5 Eco-shrimp farming versus Intensive farming 76 3.4 Constraint issues of climate-resilient livelihood of households 83 3.5 Limitations of this study .84 CHAPTER 4: RECOMMENDATIONS 86 4.1 Scientific basis .86 4.2 Practical basis .87 4.3 Recommendations from aquaculture households 88 4.4 Enhancing the climate-resilient livelihood in Tien Hai coastal zone 90 CHAPTER 5: CONCLUSION 92 REFERENCES 94 APPENDIX .100 APPENDIX A: HOUSEHOLD’S QUESTIONAIRE .100 APPENDIX B: IN-DEPTH INTERVIEW QUESTIONS 109 APPENDIX C: FIELD WORK ACTIVITES 111 APPENDIX D: ANSWERS OF HOUSEHOLD’S QUESTIONAIRE 112 n LIST OF TABLES n Table 1.1 The research objectives, questions and hypothesis Table 1.2 Mangrove Forest and aquaculture area in Tien Hai District Table 1.3 Time, place and content of the fieldwork sessions .4 Table 1.4 Some definitions of livelihood resilience 12 Table 1.5 Main points of sustainable to resilient livelihoods thinking .14 Table 2.1 List of research methods 30 Table 2.2 Number of interviewed households 33 Table 2.3 Sets of indicators to assess livelihood resilience to climate change in the coastal areas represented by Nam Phu Communes 39 Table 3.1 Description of study commune in 2015-2020 45 Table 3.2 Major income of Nam Phu commune in 2015-2020 46 Table 3.3 Change of rainfall (%) in 1958-2014 over climatic regions 50 Table 3.4 Number of typhoons and tropical depressions in Thai Binh 1985-1994 53 Table 3.5 Damages caused by disasters in the past 10 years 58 Table 3.6 Results of livelihood resilience in aquaculture to climate change in the coastal areas represented by Nam Phu Commune .59 Table 4.1 SWOT analysis 87 Table 4.2 Recommendations of households to improve the efficiency of aquaculture 88 i LIST OF FIGURES n Figure 1.1 Map of study site (Tien Hai District, Thai Binh Province) Figure 1.2 Land use land cover map of Thai Binh’s coastline 19 Figure 1.3 Intensive (left) and eco-shrimp farming (right) model 22 Figure 1.4 Area of shrimp and other aquatic products .22 Figure 1.5 Shrimp farming area in Tien Hai district 23 Figure 1.6 Shrimp production and farming in Tien Hai district .23 Figure 2.1 Framework of the thesis 27 Figure 2.2 Logical framework of the study 28 Figure 2.3 Climate-resilient livelihood framework 35 Figure 3.1 Other income sources of households (%) 46 Figure 3.2 Major types of aquacultures in Nam Phu commune (%) 47 Figure 3.3 The proportion of aquaculture types in Nam Phu commune 47 Figure 3.4 Eco-shrimp farming in Nam Phu commune 48 Figure 3.5 Change of annual average temperature (left) and total precipitation (right) in 1985-2014 49 Figure 3.6 Annual average temperature in Thai Binh (1999-2019) 50 Figure 3.7 Annual total precipitation in Thai Binh (1999-2019) 51 Figure 3.8 Typhoon hitting the Red River Delta (left) and Mekong River Delta (right) from 1950 to 2019 52 Figure 3.9 The trend of typhoons hitting Red River Delta in the period of 1950-2019 52 Figure 3.10 The changing of rainfall, groundwater level and sea level over time in Thai Binh .55 Figure 3.11 Household’s perception on the impacts of natural disasters (%) 57 Figure 3.12 Perception on impact of climate change on production (%) 57 Figure 3.13 Disaster impact level on production (%) .58 Figure 3.14 Radar map of indicators of four components of aquaculture livelihood resilience 62 Figure 3.15 Technology application in production - L10 (%) 63 Figure 3.16 Technology application in production stages 64 Figure 3.17 Observed quality of water used in production - L11 64 Figure 3.18 Labor availability– L1 (%) 65 Figure 3.19 Job creation for other people - L8 (%) 66 Figure 3.20 Experience years in aquaculture - L2 (%) .66 Figure 3.21 Average aquaculture area of each household - L12 (%) 67 Figure 3.22 Annual income of shrimp farming - L4 (%) 67 ii n Figure 3.23 Household perception of impact of climate change on infrastructure system - L9 (%) 68 Figure 3.24 Amount of bank loans - L6 (%) 68 Figure 3.25 Support from government/NGO - S1 (%) .69 Figure 3.26 Participation in social groups - S2 (%) 69 Figure 3.27 Participation in the socio-economic development plans - S4 (%) 70 Figure 3.28 Frequency of participation in training courses on production - S3 (%) 70 Figure 3.29 Support from neighborhood in production - C4 (%) .72 Figure 3.30 Education level - C3 (%) .72 Figure 3.31 Price change of output products - C2 (%) .73 Figure 3.32 Availability of evacuation goods - D1 (%) 74 Figure 3.33 Summary of autonomous adaptation practices in aquaculture - D2 (%) .75 Figure 3.34 Livelihood activity replacement due to disaster - D4 (%) 75 Figure 3.35 Participation in disaster-related knowledge training - D3 (%) 76 Figure 3.36 Comparison chart of Livelihood Resilience 76 Figure 3.37 Radar map of Livelihood Resilience in intensive and eco-shrimp farming .77 Figure 3.38 Climate-resilient livelihood index in Nam Phu .79 Figure 3.39 Annual income of shrimp farming (%) 80 Figure 3.40 Investment costs for aquaculture 81 Figure 3.41 Perceived impact of climate change on production (%) .82 Figure 3.42 Aquaculture area (%) 82 Figure 3.43 Participation in training courses on production (%) 83 Figure 4.1 Livelihood Strategy Framework 87 Figure 4.2 Recommendations of households for climate change adaptation (%) 89 iii LIST OF ABBREVIATIONS CBA: Community-based adaptation CC: Climate change DFID: UK Agency for International Development FC: Financial capital HC: Human capital IPCC: Intergovernmental Panel on Climate Change LR: Livelihood resilience NC: Natural capital PC: Physical capital R: Resilience SC: Social capital SLR: Sea level rise n iv n Speranza, I C., Wiesmann, U., & Rist, S (2014) An indicator framework for assessing livelihood resilience in the context of social–ecological dynamics Global Environmental Change, 28, 109–119 https://doi.org/10.1016/j.gloenvcha.2014.06.005 Tanner, T., Lewis, D., Wrathall, D., Bronen, R., Cradock-Henry, N., Huq, S., Lawless, C., Nawrotzki, R., Prasad, V., Alaniz, R., King, K., McNamara, K., Nadiruzzaman, M., Henly-Shepard, S., & Thomalla, F (2014) Livelihood resilience in the face of climate change Nature Climate Change, vol 1, 23–26 https://doi.org/10.1038/NCLIMATE2431 Thai Binh Environment and natural resource Department (2017) General report on investigation and assessment of the current status of marine resources and environment and determination of Thai Binh high-tide line for many years in order to establish a list of areas that need to establish a coastal protection corridor People Committee of Thai Binh province Thai Binh Statistical Office (2019) Statistical yearbook of Tien Hai district Statistical publisher Thuy, T T T., Huy, P K., Bang, D D., & Anh, P H (2021) Assessment the Impact of Climate Change and Sea Level Rise on the Unconfined Aquifer at the RedRiver Delta of Vietnam: A Case Study at Thai Binh Province In D Tien Bui, H T Tran, & X.-N Bui (Eds.), Proceedings of the International Conference on Innovations for Sustainable and Responsible Mining (pp 326–348) Springer International Publishing https://doi.org/10.1007/978-3-030-60269-7_17 Tien Hai People of Committee (2020) Report of the 2020-2025 congress Timmerman, P (1981) Vulnerability, resilience and the collapse of society: A review of models and possible climatic applications Tran, H (2015) Ecological shrimp certification in mangrove protection in Ca Mau prospects and challenges Journal of Forestry Science and Technology, 3: 101-109 UNISDR (2005) Hyogo Framework for Action 2005-2015: Building the resilience of nations and communities to disasters - full text https://www.undrr.org/publication/hyogo-framework-action-2005-2015building-resilience-nations-and-communities-disasters Uy, N., Takeuchi, Y., & Shaw, R (2011) Local adaptation for livelihood resilience in Albay, Philippines Environmental Hazards, 10, 139–153 https://doi.org/10.1080/17477891.2011.579338 Vu, T., Phan, L., Do, H., Ngo, T., Dinh, K., Phan, V., & Nguyen, H (2013) Current status of environmentally friendly small-scale shrimp farming models in Ca Mau province GIZ ICMP/CCCEP Program in Ca Mau Walker, B., Carpenter, S., Anderies, J., Abel, N., Cumming, G., Janssen, M., Lebel, L., Norberg, J., Peterson, G., & Pritchard, R (2002) Resilience Management in 98 n Social-ecological Systems: A Working Hypothesis for a Participatory Approach Conservation Ecology, 6(1) https://doi.org/10.5751/ES-00356-060114 Walker, B., Hollin, C., Carpenter, S., & Kinzig, A (2004) Resilience, Adaptability and Transformability in Social-Ecological Systems ECOLOGY AND SOCIETY, Walker, B., Salt, D., & Reid, W (2006) Resilience Thinking: Sustaining Ecosystems and People in A Changing World Bibliovault OAI Repository, the University of Chicago Press World Bank (2015) The Social Dimensions of Adaptation to Climate Change in Vietnam Climate Technology Centre & Network https://www.ctc-n.org/resources/social-dimensions-adaptation-climatechange-vietnam Xu, D., Zhang, J., Rasul, G., Liu, S., Xie, F., Cao, M., & Liu, E (2015) Household Livelihood Strategies and Dependence on Agriculture in the Mountainous Settlements in the Three Gorges Reservoir Area, China Sustainability, 7(5), 1–20 Zhou, W., Guo, S., Deng, X., & Xu, D (2021) Livelihood resilience and strategies of rural residents of earthquake-threatened areas in Sichuan Province, China Natural Hazards, 106(1), 255–275 https://doi.org/10.1007/s11069-020-04460-4 99 APPENDIX APPENDIX A: HOUSEHOLD’S QUESTIONAIRE VIETNAM NATIONAL UNIVERSITY VIETNAM – JAPAN UNIVERSITY QUESTIONNAIRE FORM NO (Local people) Location: Coastal zone of Tien Hai, Thai Binh A INTRODUCTION AND RESPONDENT’S CONSENT Dear Respondent My name is _, I am a master student of Vietnam – Japan University, Vietnam National University, Hanoi We are conducting research on Climate resilient livelihood in the coastal zone of Tien Hai district, Thai Binh province We kindly ask you for your assistance by taking part in our survey and answering the below questions Your information and answers will be n recorded accurately and kept anonymous and confidential Your participation in this research is entirely voluntary Please be aware that if you decide to participate, you may stop participating at any time and you may decide not to answer any specific question We highly appreciate your cooperation; your answers and opinions are extremely important to complete the survey Do you have any queries? Shall we start? If the respondent agrees  Start the interview If the respondent refuses  End the conversation 100 B IDENTIFICATION NO 01 IDENTIFICATION CODE [ ] ] ] WARD/COMMUNE: 02 [ ] ] ] ] VILLAGE/STREET: 03 COORDINATE: O 04 05 ’ X O ’ ’’ Y ’ [ ] ] ] ] FULL NAME OF RESPONDENT: SEX: ……………………………………………………… 06 [ ] ] ] ] [ ] ] ] ] YEAR OF BIRTH: YEARS LIVED n 07 IN THE LOCAL AREA: 08 FULL NAME OF INVESTIGATOR 09 [ ] ] ] ] _/ /2 INTERVIEWING DATE 021 101 C DETAILS OF THE INTERVIEW I LIVELIHOOD RESOURCES Question 1: Please share some demographic information below: No Groups Number of people Total number of people in your family Number of working people Number of people receiving pension or subsidy Number of people under or over working age Question Your highest education level: Illiterate 3.Secondary school Primary school 4.High school College, University Question How many sources of income does your household have? (multiple answers can be selected) Handicraft n Agriculture Forestry Industrial worker Aquaculture Officials Fishery 8.Trading, service Other (specify) Question Among the above occupations, which one generates the largest income/main occupation of the family? Question Years of experience in your main livelihood? < year 5-10 year 1-5 year > 10 year Question How many family members are engaged in this main occupation? Based on Question 3’s answer please answer these following questions: 3.1 Your recent cultivation activities? 102 Sum (million VND/year) Type of tree Area (ha, m2) Quantity (Ton, kg) Number of crop/year Expenditure Price (Unit) (cultivation, seed, fertilzer, machine, labor ) Rice Farm produce Fruit tree Forestry Other 3.2 Your recent livestock activities? n Expenses (seedlings, animal feed, ) Product Livestock types Quantity Total revenue (Mill./year) Cattle Poultry 3.3 Aquaculture cultivation of your household? Type Location, cultivating method Quantity Total income (ton) (Million VND/year) Expenditure 3.4 Some information on extensive shrimp farming of your household? 103 Type Location, cultivating method Area (ha) Productivity (ton/ha) Quantity (ton) Total income (million VND/year) Total expenditure (Million VND/year) Question Annual average income of your household: (million VND) Question Does your family actively access loans to enhance the production and income? Yes No 8.1 If YES, please share your specific objective (invest in shrimp pond, recovery after disaster etc.,) Question Do you apply Technology to the production process? Yes No Question 10 If YES, then what stage of the production process? Yes n Question 11 Do you hire workers? No 11.1 If yes, please provide number: (person) Question 12 What is the quality of the water used in production? Good Bad No information Question 13 Do you use chemicals in the production process? Yes No Question 14 From your point of view, what is the role of mangrove forest to production activity of household and locality? Stabilize environment Provide materials for production (seeds, food etc.,) Prevent disaster Others Question 15 Your assessment of the significance of protecting mangrove forest? 1.Very important 2.Important Not important II SELF-MANAGEMENT 104 Question 16 Do you participate in the following social organization? (Multiple choice) No Communist Party Authorities National Front Women Group 10 Youth Union Veterans Farmer Group 11 Vocational association 4.The elderly group Shrimp Farmer Group 12 Others Question 17 Do you participate in training workshop on production for household? Yes No No information Question 18 Your assessment of the significance of training activities to improve skills which contribute to develop the household economy of Tien Hai? Very important Important Not important Question 19 Do you take part in building plans for local socio-economic development? Yes Not yet allowed No n Question 20 Do you know any program of government or NGOs supporting production activities of your household or the locality? Yes No No information Question 21 Do you know to local policies to manage the natural resources? Yes No No information III CAPACITY OF LEARNING Question 22 Can you access easily the information of the price of input and output production? Yes No Question 23 Do you often discuss, help or get help from other households having similar production activity? Yes No 23.1 If YES, what it is? IV IMPACT OF CLIMATE CHANGE ON LIVELIHOOD 105 Question 24 Did changes of temperature, rainfall and extreme weather events in recent decades affect your family? Yes No Question 25 If YES, production activity was affected by what abnormal weather phenomenon? 1.Saline intrusion Seawater intrusion Erosion Typhoon, tornado Salty Frosty Others Flood Long lasting hot weather Question 26 Please share information about damages (if any) caused by disaster in the past 10 years: Properties/Activity Unimpacted Slightly Average Significantly Totally impacted impacted impacted destroyed Livelihood (income, daily activity) Livestock Aquaculture Fishery Other… Cultivated land Livestock farm Aquaculture land Boat, ship, fishing House, interia Human health Transport system Water system n Agriculture Production Facility net Infrastructure, society 106 Bank loan Information access Question 27 After disaster, household income was increased or decreased? Decreased Increased Unchanged V CAPACITY OF DISASTER RISK REDUCTION Question 28 When disaster occurred and you could not your main livelihood, could you another livelihood? (For household having fewer livelihood) Yes NO For example, typhoon suddenly occur and you can not go fishing, will you another livelihood? 28.1 If Yes, how much you earn from this livelihood? (million VND/month) n Question 29 Do you take part in training workshop of local officials in order to adapt to climate change? Yes No No information Question 30 Your opinion of local authority communication on prevention and reduce natural disaster? 1.Really relevant Relevant 3.Irrelevant 4.No idea Question 31 Do you prepare facilities to prevent disaster in advance? Yes No 31.1 If YES, what is that? Water tank Rope Sand package Life vest Pump Ladder Boat Medicine Other (specify) 107 Question 32 What method you use to prevent and reduce disaster? Move to safe place Apply high technology in production (nethouse, cover.) Protect properties (reinforce house, pond) Follow weather forecast Prepare facilities, necessities (money, Change production method food, regularly salinity check of aquaculture (change seed, tree) pond) Question 33 Your recommendation to adapt with climate change and reduce climate change risk in your locality (if any) Question 34 Your recommendation to develop local economy (if any) n 108 APPENDIX B: IN-DEPTH INTERVIEW QUESTIONS VIETNAM NATIONAL UNIVERSITY VIETNAM – JAPAN UNIVERSITY QUESTIONNAIRE FORM (Board of Management of Tien Hai Nature Reserve) INTRODUCTION AND RESPONDENT’S CONSENT Dear Respondent My name is _, I am a master student of Vietnam – Japan University, Vietnam National University, Hanoi We are conducting research on Climate resilient livelihood in the coastal zone of Tien Hai district, Thai Binh province Province/City: District: n Town/Commune/Ward: Name of interviewee: Phone number: What were the outstanding features of climate change in the area of commune over the last 10-20 years? What were the natural disasters/extreme phenomena usually to deal with? (quantity, specific data, etc.) Which natural disaster impacted to the locality most? In the commune, which areas were most affected by climate change? Why? Which effects could be recognized due to climate change and natural disasters? (migration, etc.) Currently, how local people living? Please show the statistical data of livelihood? 109 How these livelihoods have been affected most by climate change in the commune? Why? Which groups are at risk the most? Why? What is the role of the natural ecosystem and mangrove forests in the commune while coping with climate change and natural disasters/ extreme phenomena? What is the relationship of the natural ecosystem and mangrove forests to community livelihood? What are the challenges of ecosystem and mangrove forests in the commune? Which solutions have been taken by the local government and community in order to mitigate these effects? Which livelihoods have the best resistance to climate change? Why? What measures have the local authority been taking to soften the impacts of climate change, natural disasters/ extreme phenomena (especially to soften the risks to livelihoods) n 10 Does local authority benefit from climate change? If any, please list the details What are the plans and choices of the locals to make use of these opportunities? 11 Do you have any suggestions for the local authority and people to strengthen resilience to climate change? Sincerely thanks! 110 APPENDIX C: FIELD WORK ACTIVITES n Residents in Nam Phu commune and their livelihood activities Interview with residents in front of their shrimp ponds Infrastructure reinforcement activities 111 APPENDIX D: ANSWERS OF HOUSEHOLD’S QUESTIONAIRE The answers of 100 aquaculture households in Nam Phu commune, Tien Hai district, Thai Binh province can be accessed via this link: https://drive.google.com/file/d/10NBnLwa5ZOqPGn809jmmHwEfNAeSoX77/view?u sp=sharing n Recorded interview of aquaculture households in Nam Phu commune, Tien Hai district, Thai Binh province can be accessed via this link: https://drive.google.com/file/d/164NWdgeGldrK4QPKmZpqBt8amkLduqe/view?usp=sharing 112