Assessing livelihood capitals and outcomes for forest dependence households in van hoc commune, na ri district, bac kan province

1 ACKNOWLEDGEMENT Similar to a thousand of senior student in Vietnam National University of Agriculture, I carried out to implement the Undergraduate Thesis about: "Assessing livelihood capitals and outcomes for forest dependence households in Van Hoc commune, Na Ri district, Bac Kan province ” During the thesis work, I have faced many difficulties and make mistakes but I also have received help from my supervisor, friends and family So I could finish my thesis and had useful experiences in the real life to support my future career Therefore, it is my privilege to express the feelings of my gratitude to all those who helped me directly or indirectly to complete this thesis I also would like to thank the Viet Nam National University of Agriculture and Accounting & Business Management Faculty for allowing me to initiate this thesis, to necessary tasks and to use the department materials Furthermore, I would like to express my gratefulness to my advisor Nguyen Hai Nui for the continuous support of my study and research, for his patience, motivation, enthusiasm, and immense knowledge His guidance helped me in all the time of research and writing of this thesis I am also extremely grateful to all of people lived in Van Hoc commune who enthusiastically helped and gave me convenient conditions during conducting my survey at this place Last but not least, I would like to sincerely thank my family, friends for supporting and encouraging me to complete my thesis comprehensively Sincerely, Ha Noi, 15th August 2016 Student NGO THI HUONGNgo Thi Huong TABLE OF CONTENTS ACKNOWLEDGEMENT …… 79 APPENDIX 80 ACKNOWLEDGEMENT …… 79 APPENDIX 80 LIST OF TABLES Table 3.1 The forest dependence scale Error: Reference source not found Table 3.2: Livelihood platform variables.Error: Reference source not found Table 4.1 General information of surveyed households Error: Reference source not found Table 4.2 General information of surveyed household headError: Reference source not found Table 4.3: The vulnerability context of households in Van Hoc in 2015Error: Reference source not found Table 4.4 Human capital of households in Van Hoc commune Error: Reference source not found Table 4.5: Education background of house hold headError: Reference source not found Table 4.6: Social capital of households .Error: Reference source not found Table 4.7: Detail of social capital Error: Reference source not found Table 4.8 Financial capital of households in Van Hoc commune .Error: Reference source not found Table 4.9: Financial statistics of household's incomeError: Reference source not found Table 4.10: Details of the financial capital of householdsError: Reference source not found Table 4.11: Physical capital of household Error: Reference source not found Table 4.12: Housing situation and housing quantity of household Error: Reference source not found Table 4.13: Natural capital of household Error: Reference source not found Table 3.14: Summary statistics for income by Forest dependence levels Error: Reference source not found Table 4:15: Some indicators to assess the results of livelihoodError: Reference source not found Table 4:16: The level of indicators evaluating the results of livelihood .Error: Reference source not found Table 4:17: Review human resources and propose solutions Error: Reference source not found Table 4:18: Assessment of social resources and propose solutions Error: Reference source not found Table 4:19: Review financial resources and propose solutionsError: Reference source not found Table 4:20: Assessment of natural resources and propose solutions .Error: Reference source not found Table 1: Livelihood platform variables Table 3.1: The forest dependence scale Table 3.2: Housing situation variables Table 4.1: General information of surveyed households Table 4.2: General information of surveyed household head Table 4.3: The vulnerability context of households in Van Hoc in 2015 Table 4.4: Human capital of households in Van Hoc commune Table 4.5: Education background of household head Table 4.6: Social capital of households Table 4.7: Detail of social capital Table 4.8: Financial capital of households in Van Hoc commune Table 4.9: Financial statistics of household's income Table 4.10: Details of the financial resources of households Table 4.11: Physical capital of household Table 4.12: Housing situation and housing quantity of household Table 4.13: Natural capital of household Table 2.14: Summary statistics for income by Forest dependence levels Table 4:154: Some indicators to assess the livelihood outcomes Table 4:165: The level of indicators evaluating the livelihood outcomes Table 4:176: Review human resources and propose solutions Table 4:187: Assessment of social resources and propose solutions Table 4:198: Review financial resources and propose solutions Table 4:2019: Assessment of natural resources and propose solutions LIST OF FIGURES Figure 2.1 Livelihood assets pentagon .Error: Reference source not found Figure 2.2 Sustainable livelihood frameworkError: Reference source not found Figure 3.1 Conceptual framework Error: Reference source not found Figure 2.1 Livelihood assets pentagon Figure 2.2 Sustainable livelihood framework Figure 3.1 Conceptual framework LIST OF ABBREVIATIONS CEMA DFID HH LS LS1 LS2 LS3 NGOs PRA Committee for Ethnic Minority and Mountainous Area Affairs Department for International Development Household Livelihood Strategy Less Dependent on Forest Livelihood Strategy Moderately Dependent on Forest Livelihood Strategy High Dependent on Forest Livelihood Strategy Non-Governmental Organizations Participatory Rural Appraisal CHAPTER INTRODUCTION 1.1 Rationale of the Study A livelihood is defined as comprising ‘‘the capabilities, assets (including both material and social resources) and activities required for a means of living A livelihood is considered to be sustainable when it can cope with and recover from stress and shocks and maintain or enhance its capabilities and assets both now and in the future, while not undermining the natural resource base" Each household has a different policy in line with the natural, the financial, social and available human conditions to maintain livelihood However, today, securing the livelihoods of people still also meet many difficulties due to many different reasons such as customs are still backward, the use of resources is not the right purpose and the resources are not exploited effectively, With the goal of poverty reduction, sustainable development, the protection and development of sustainable livelihoods for households is an important activity in rural development Ensuring the household livelihood is to help people cope and recover from shocks and heavy stresses This will maintain and even enhanced the capabilities and assets both in the present and future without photo based affect natural resources Forests play a crucial role to the livelihood of communities in developing countries While not only contributing to the green economy by creating a safer, healthier living environment It also provide a great deal services for human and production development alike Shelter, food, gas emissions, and a source of spiritual and cultural life of the communities living by forests Van Hoc is a commune in Na Ri district, BacKan province, Vietnam It is located bordering communes with localities as follows: In the North it borders 10 on Vu Loan commune and Luong Ha commune; on Luong Ha commune and Lang San commune to the East ; on Lang San to the West To ensure the livelihood resources for forest-dependent households in Van Hoc commune, local authorities is advised to guide the people to effectively exploit the use of available resources To educate and to raise awareness to the cause of poverty will help reduce investment mistakes and increase capital preservation Monitoring and evaluating the effectiveness of the livelihood of the people is also an important issue in the process of helping people to develop sustainable livelihoods In recent years, Van Hoc's economy has developed quite strongly Local investment focused on transportation infrastructure; improve the means of production, applied science and technology, which contribute to improving productivity, labor efficiency However, rapidly growing population is placing a request for the allocation of the use of resources to meet the needs of future development Stemming from the fact that we choose to study the topic: "Assessing livelihood capitals and outcomes for forest dependence households in Van Hoc commune, Na Ri district, Bac Kan province.” 1.2 Objectives of the Study 1.2.1 General Objectives Analyzing current situation of livelihood capitals and outcomes, for forest dependence households From which, proposing some orientations and measures to improve livelihood capitals and outcomes for forest dependence households in Van Hoc commune, Na Ri district, Bac Kan province 1.2.2 Specific Objectives •Contributing systematize theoretical basis and practical livelihood, resources and the livelihoods of forest dependence households 80 APPENDIX Questionare General Information Full name: Household code: Address: Town/City: District/County: Commune / Ward:……………………… Village/Residential group: Area: City Country Total number of householdNo HHs members: Information about household members: No 1: 2: 3: 4: 5: 6: Full name Relationship Gender Year of Ethnic Education birth group situation Codes: Column 2: 1=Householder; 2=Wife/husband 3=Child; 4=Father/mother; 5=Grandfather/Grandmother; maternal; 6=Grand 7=Sister-in-law/son-in-law; 8= paternal/grand Brother/sister; 9=Other Column 3: 1=Male; 2=Female Column 5: 1=Kinh; 2=Tay; 3=Thai; 4=Hoa; 5=Kho Me; 6=Muong; 7=Nung; 8=HMông (Meo); 9=Dao; 10=GiaRai; 11=Ngai; 81 12=E Đe; 13=Ba Na; 14=Xo Dang; 15=Other Column 6: 1=Kindergarten; 2=Primary; 3=Secondary; 4=High school; 5=Intermediate; 6=College / University or other Scoreboard of assets owned Criteria Name Group Group Group Score (20 points) (5 points) (3 points) A The assets and durables Dwelling house Villas, permanent andPermanent Semiself-contained housing housing andpermanent not selfcontained Assets Automobiles, airGas stove,Landline, rice conditioners, washingelectric stove,cookers, machines, clothesblender, fruitradios dryers, vacuumpresses, cleaners, microwaves,trolley ovens, hot water per shower, fridge, freezer, camera, video recorder, piano, organ Using the Internet Using the Internet Motorbike 15 million or more From 10 toLess than 10 less than 15million million Bicycle From million orFrom to less more than million Bed million or more From to lessLess than than million million Cabinets, tables,10 million or more From to less Less than chairs, armchair, than 10million sofa million Stereo, VCRs, cell3 million or more From to lessLess than phones than million million 82 Computers million or more 10 Colour TV million or more Less than million From to lessLess than than million million ? ? 11 Mobile phone ? B Production and business assets 12 Manufacturing andManufacturing and business business establishments, establishments, factory; with land,factory, with land, buildings, houses,buildings, houses, shops for rent shops for rent 13 Printers, copiers,Printers, copiers, fax fax machines machines 14 Farms, perennial50 million or more From 25 gardens, less than aquaculture area million 15 Stores and shops million or more Less than million 16 Rudimentary 30 million or more Less than trucks, tractor, million plough frame 17 Boats, canoes,10 million or more Less than shells, offshore million fishing boats, fishing nets, Machinery, equipment and transport serving production 18 Cattle, horses for60 million or more From 40 ploughing, less than reproduction million 19 Sows, boars,15 million or more From 10 toLess than 25 50million 30 10 toThan 60million 40 toLess than 10 83 piglets 20 Livestock poultry and40 million or more less than 15million million From 30 toLess than 30 less than 40million million From to less Less than than 10million million 21 Milling machine,10 million or more threshing machine, cage / nets, shrimp for feeding fish and other aquatic 22 Punching million or more Less than machines, lathes, million welding, milling, sawmill, lumber, generators, other machines, 23 Sewing machines, More than 2Less than weaving, million million embroidery, overclock machine, C Characteristics of household members 24 Labour, have aWith members or2 members member stable income frommore salaries, wages, pension 25 Household With members or1 member members havemore college, university degrees, or higher 26 There are helpers There are helpers Housing situation: 1=Permanent  2=Semi-permanent  84 3=Temporary home  4=Homeless  Quality of house: 1=Good  2=Normal/average  3=Bad  Water: 1=Clean water  2=Unhygienic water  10 Total income and total expenses for operation of service production and business the past 12 months Unit: VND 1,000 dong Total Total Income Expenses Cultivation (including products sold and products for household consumption) - Food Crops - Industrial Plants - Fruit trees - By-products (stem, leaf, tree, straw, wood ) - Other crop products (seedlings, plants, ) Livestock (including products sold and products for household consumption) - Cattle - Pigs - Poultry - Other products (eggs, milk, cocoons, honey, breeds ) - By-products (manure, feathers, skin, ) Agricultural Service Activities Forest (including products sold and products for household consumption) and forestry services Fisheries (including products sold and products for household consumption) and aquatic services The business activities of non-agricultural services, (including products sold and products for household consumption) 85 Salaries and wages The other terms (including the terms: revenue from gathering, gifts, remittances from outside, savings interest, net rental income, pensions, grants privileges of persons, ) TOTAL 11 The income of the household the past 12 months: Unit: VND 1,000 dong Indicators Value (VND) Total income of the household (= Total revenue in question 10 - Total expenditures in question 10) Average income / person / month (= Total income in question 10 / demography of households / 12 months) 12 Results of previous year’s poverty assessment: Year At hamlet level (code) At commune / district / province level (code) 2014 2013 2012 2011 2010 2009 Code: 1=Old poor; 2=New poor; 3=Re-poor; 4=Out of poor; 5=Old near poor; 6=New near-poor 7=Not poor 86 Additional household information 13 Please indicate the amount of land (in hectares) that you currently own and have rented in/out Category Forest: Natural forest Managed forests Plantations Agricultural land: Cropland Pasture (natural or planted) Agroforestry Silvipasture Fallow Other vegetation types/land uses (residential, bush, grassland, wetland, etc.) 10.Total land owned (1+2+3+… +9) 11.Land rented out (included in 19) 12.Land rented in (notincluded in 1-9) Area Have red (ha) book? Main products grown/ harvested in the past 12 months Max (code-product) Rank3 Rank1 Rank2 87 14 How often are members of your household invited to participate in training class? 1= Never  2=Sometimes   4=Almost all  3=About half 5=All training classes  15 When you are invited, how often does members of your household take part in training classes 1= Never  2=Sometimes  4=Almost all  3=About half  5=All training classes  16 How often does your household participate in hamlet meetings? 1= Never  2=Sometimes  3=About half  4=Almost all  5=All training classes  17 Participation in associations at hamlet/commune level? Associations Husband Participation Level Code Code Farmers Union Women Union Youth Union Veterans Association Elderly Association Local officials Wife Participation Level Code Code Others Participation Level Code Code 88 Others Codes: code 1: 1=yes, 2=No Code 2: 1=Often, 2=sometimes 18 Please indicate the savings and debt of the household How much does the household have in savings in banks, credit associations or savings clubs? How much does the household have in savings in non-productive assets such as gold and jewellery? How much does the household have in cash holding How much does the household have in outstanding debt? 19 Has the household faced any major income shortfalls or unexpectedly larger expenditures during the past 12 months? Event How severe Code Rank the most important coping strategies applied Code Rank Rank Rank Serious crop failure Serious illness in family (productive agegroup adult unable to work for more than one month during past 12 months, due to illness, or to taking care of ill person; or high medical costs) Death of productive age-group adult Land loss (expropriation, etc.) Major livestock loss (theft, drought, etc.) Other major asset loss (fire, theft, flood, etc.) Lost wage employment Wedding or other costly social events Other, specify: Code 1: 0=no crisis; 1=yes, moderate crisis; 2=yes, severe crisis Code 2: 1=Harvest more forest products 89 2=Harvest more wild products not in the forest 3=Harvest more agricultural products 4=Spend cash savings 5=Sell assets (land, livestock, etc.) 6=Do extra casual labour work 7=Assistance from friends and relatives 8=Assistance from NGO, community org., religious org or similar 9=Get loan from money lender, credit association, bank etc 10=Tried to reduce household spending 11=Did nothing in particular 12=Other, specify: 20 Welfare perceptions and social capital All things considered, how satisfied are you with your life over the past 12 months? Codes: 1=very unsatisfied; 2=unsatisfied; 3=neither unsatisfied or satisfied; 4=satisfied; 5=very satisfied Has the household’s food production and income over the past 12 months been sufficient to cover what you consider to be the needs of the household? Codes: 1=no; 2=reasonable (just about sufficient); 3=yes Compared with other households in the village (or community), how well-off is your household? Codes: 1=worse-off; 2=about average; 3=better-off How well-off is your household today compared with the situation years ago? Codes: 1=less well-off now; 2=about the same; 3=better off now If or 3, go to If 2, go to If worseReason: Change in the following Rank orbetter-off: what 1-3 90 is the main reason for the change? Please rank the most important responses, max Off-farm employment Land holding (e.g., bought/sold land) Forest resource availability/access Output prices (forest, agricultural and other goods) Outside support (govt., NGO, etc.) Remittances received Cost of living (e.g., high inflation) War, civil strife, unrest ConflictsConflits in village (non-violent) 10 Change in family situation (e.g loss of family member/a major bread-winner) 11 Illness of family members 12 Access (e.g new road, transport facilities etc.) 13 Other (specify): Do you consider your village (community) to be a good place to live? Codes: 1=no; 2=partly; 3=yes Do you in general trust people in the village (community)? Codes: 1=no; 2=partly, trust some and not others; 3=yes Can you get help from other people in the village (community) if you are in need, for example, if you need extra money because someone in your family is sick? Codes: 1=no; 2= can sometimes get help, but not always; 3=yes Forest and Forest income 21 How well suited is the soil in your plot(s) in your opinion for planting trees? Very well suited  Well suited  Not well suited  22 How far is it from your plot(s) to a place where timber can be loaded onto a means of transport to a market? Kilometres by trail _ 91 2: Minutes walking by trail: _ 23 Approximately what is your net income earned from selling timber the past years? Note: includes local sale of timber in cash or kind Year Species Volume Costs (m3) transport etc.) (logging, Net income 24 Are you satisfied with your forest rights today? 1=Yes  2=No 92 25 Approximately what is the net value (i.e subsistence and cash income) that your household have obtained from different products grown and/or harvested in forest environments the past 12 months (excluding timber)? Note: For frequently harvested products, estimates should be made based on extrapolation considering seasonal differences Always cross check calculations with respondents Product Unit Quantity Quantity from from Total quantity Quantity Quantity Price Gross own use own plot other1 (3+4)=(6+7) sold 10 11 Costs Net per value (harvesting, income unit (5*8) transport (10-9) etc.) Firewood Rattan Peanuts Cassava Maize Bamboo Bamboo shots Star anise Wild meat Vegetables Mushrooms Other Illustrating on BS chart has three steps:  Step 1: Selecting variable, including variables of human well-being (H) and variables of ecosystem well-being (E) 93 Table 3.3 The Well-being variables system Variable Human well-being Variable Ecosystem well-being Household size Education of labor Have a stable income Cropland area Forest accessibility Clean water Getting helps from community Housing situation accessibility Soil quality Forest rights satisfaction  Step 2: Calculating , = x 100 x 0.2 = x 100 x 0.2 by the following formula With: - : Overall value of human well-being indicator - : Overall value of ecosystem well-being indicator - : Value of variable No i in human well-being - : Value of variable No i in ecosystem well-being indicator indicator - The weight of variables is the same and equal 0.2  Step 3: Illustrating and analyzing the indicators on the BS chart The barometer of sustainability is used in this research to assess the livelihood sustainability of ethnic minorities in X commune, Y district, Z province Thereby, providing some oriented solutions for communities and local authorities 94 [...]... living quality in Van Hoc commune, Na Ri district, BacKan province? 1.4 Scope of the study 1.4.1 Research Object Research on livelihood resources, forest dependence, and other related factors in Van Hoc commune, Na Ri district, Bac Kan province 1.4.2 Research Scope • Scope of content: Assessing livelihood capitals and outcomes for forest dependence households in Van Hoc commune, Na Ri district, Bac Kan. ..11 Assessing of the status of the livelihood capitals and outcomes for forest dependence households in Van Hoc commune, Na Ri district, Bac Kan province •Recommending some orientations and measures to improve the livelihood outcomes in Van Hoc commune, Na Ri district, Bac Kan province 1.3 Research Questions •What are the elements affecting livelihood outcomes, livelihood capitals, on forest dependence. .. Collection a) Primary data Primary data was collected through direct interview66 householdsinhouseholds in a three hamlets including Na Ca, Po Pheyeo, Po Ran (these hamlets located in the same forest area) in Van Hoc commune, Na Ri district, Bac Kan province b) Secondary data Secondary data is data which have been published in books, newspapers, magazines, reports, etc…The data collected in this study include:... district, Bac Kan province • Scope of space: Van Hoc commune, Na Ri district, Bac Kan province • Scope of time: From Jan 14, 2016 to Aug 10, 2016 12 CHAPTER 2 LITERAUTURE REVIEW 2.1 Basic definitions and concepts a) Livelihood A livelihood is defined as comprising ‘‘the capabilities, assets (including both material and social resources) and activities required for a means of living A livelihood is considered... of income or means of livelihoods or other benefits (Rakodi, 1999) c) Livelihood strategy This denotes the range and combination of activities and choices that people make and undertake ways of combining and using assets in order to achieve their livelihood goals (DFID, 1999) d) Sustainable livelihood A livelihood is sustainable when it can cope with and recover from stresses and shocks and maintain... appropriate entry points for support of livelihoods After livelihood analysis by using sustainable livelihoods framework, this results combining with other factors will be used to assess sustainability of ethnic minorities by using IUCN’s barometer of sustainability 26 Vulnerability ContextVulne rability Context Transforming Structure & Processes H STRUCTURE N S - Shock Livelihood Outcomes Influence... has 5 variables with the same weight The overall result will be illustrated on BS chart 35 CHAPTER 4 FINDINGS AND DISCUSSIONS 4.1 Introduction Introduction of Research Site 4.1.1 Natural Characteristics Geographical location Van Hoc is a commune in Na Ri district, Bac Kan province, Vietnam It is located bordering communes with localities as follows: In the North it borders on Vu Loan commune and Luong... capabilities and assets both now and in the future, while not undermining the natural resource base (Carney, 1998) Livelihoods are sustainable when they: (i) are resilient in the face of external shocks and stresses; (ii) are not dependence upon external support (or if they are, this support itself should be economically and institutionally sustainable); (iii) maintain the long-term productivity of natural... be sustainable when it can cope with and recover from stress and shocks and maintain or enhance its capabilities and assets both now and in the future, while not undermining the natural resource base” (Carney, 1998, 2002; DFID, 1999) b) Livelihood assets Livelihood assets refer to human and non-human resources (natural, physical, human, social and financial) upon which livelihoods are built and to which... (100 points); 5 people (80 points); 4 people (60 points); 3 people (40 points); 2 people or less (20 points) Training class participated: defined by the 5-points scales: (1) never = 0 point; (2) sometimes = 25 points; (3) about half = 50points; (4) almost all = 75 points; (5) all training class = 100 points Financial capital: Income covered household’s needs: (1) no = 0 points; (2) reasonable: 50 points;