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VIETNAM NATIONAL UNIVERSITY OF AGRICULTURE KIM SUN HO IMPROVING LIVELIHOOD OF ETHNIC MINORITY HOUSEHOLDS IN LAO CAI PROVINCE OF VIETNAM DOCTORAL THESIS AGRICULTURAL UNIVERSITY PRESS - 2018 VIETNAM NATIONAL UNIVERSITY OF AGRICULTURE KIM SUN HO IMPROVING LIVELIHOOD OF ETHNIC MINORITY HOUSEHOLDS IN LAO CAI PROVINCE OF VIETNAM Major: Development Economics Code: 31 01 05 Academic supervisor: Assoc Prof Dr Nguyen Thi Minh Hien AGRICULTURAL UNIVERSITY PRESS - 2018 THESIS DECLARATION I commit that the work presented in this thesis is, to the best of my knowledge and belief, original, except as acknowledged in the text, and that the material has not been submitted, either in whole or in part, for another degree at this or any other university I acknowledge that I have read and understood the University’s rules, requirements, procedures and policy relating to my higher degree research award and to my thesis I certify that I have complied within the rules, requirements, procedures and policy of the Vietnam National University of Agriculture Hanoi, 26 August 2018 Author KIM SUN HO i ACKNOWLEDGEMENTS My doctoral work would not have been possible if it was not Vietnam for I have experienced several failures pursuing my academics in other universities due to my long duty of overseas consultancy works When I first visited in Hanoi and Nha Trang city in 2004, I was deeply impressed by Vietnamese having similar culture to Korea and their warm-heart It was a true happiness for me to study in such a prestigious school in Southeast Asia as Vietnam National University of Agriculture and I am grateful for allowing me to study course works in English from the most prominent professors I cannot forget the dedicated teachings by Prof Do Kim Chung, Assoc Prof Dr Mai Thanh Cuc, Assoc Prof Dr Pham Van Hung, and also my academic advisor, Assoc Prof Dr Nguyen Thi Minh Hien Classes mostly happened in weekends with insightful teachings and their exceptional academic knowledge I would like to thank lecturers in Department of Rural Development for valuable comment and suggestion to improve my thesis My special thank due to Assoc Prof Dr Nguyen Mau Dung, Assoc.Prof.Dr Nguyen Thi Duong Nga, Dr Dinh Pham Hien, Dr Hoang Thi Sen, Assoc.Prof.Dr Mai Thanh Cuc, Dr Quyen Dinh Ha who commented during my faculty defense presentation Their valuable comments became foundation to improve the quality of my thesis Also, I am grateful to Assoc Prof Dr Nguyen Bich Thuy who is in charge of International affairs of VNUA for the kind guidance from the beginning of my academic year I thank Mr Nguyen Tho Quang Anh, a international assistant of Faculty who used to support my complicated administrative works during my engagement in academics for three years Lao Cai province has become my second home town thanks to KOICA’s Lao Cai Happiness Program during 2015 to 2018 What makes me more grateful is that my academic works happened at the same time Livelihood improvement of ethnic minorities from Lao Cai province is the main concept of this thesis Through the program and academic works, I had priceless opportunity to learn about ethnic minority’s unique wisdom and their life values They are the true owners of my academic works I would like to express my sincere gratitude to Dr Dang Xuan Phong, Chairman of LAO CAI Provincial People’s Committee, Mr Nguyen Huu The, my elder brother, Vice Chairman of LAO CAI Provincial People’s Committee, and Mr Nguyen Thanh Duong, Vice Chairman of LAO CAI Provincial People’s Committee My KOICA program has turned out to be successful and LAO CAI PPC endowed honorable medal for its outstanding achievements All the program participants from Lao ii Cai province, officers, ethnic minorities from Bac Ha, Muong Khuong, Xima Cai and Sapa Districts have made it possible I would like to thank once again to all professors and officers of VNUA and officers, ethnic minorities of program villages in Lao Cai who shared joys and difficulties together I am glad that I could complete KOICA happiness program successfully and also achieve my life’s academic dream I hope that this thesis can contribute and connect Korea and my school and furtherly Vietnam forever regarding academic exchange activities and various rural development programs for ethnic minorities with Korean friends In addition, I really feel sorry that I could not mention specific professors’ and officers’ name from my university who used to encourage me and gave their insightful ideas I have to confess that without their warm hearted encouragements, comments and kind guidance I doubt that how I could complete my thesis in the right time My family, my beloved wife Ms Lee Weh Seon who is the biggest supporter, my lovely first daughter Ms Kim Hye Bin who did English proof reading and made correction with her outstanding English skills and my cute second daughter, Ms Kim Hye In who always encouraged me and my beautiful mother, Ms Kim Kyong Sook who always devotes herself to prayer for me They are my real supporters and I would like to say that their prayer made my real life hopeful Autumn 2018 Author KIM SUN HO iii TABLE OF CONTENTS Thesis declaration i Acknowledgements ii Table of contents iv List of acronyms vii List of tables viii List of figures ix List of boxes ix Thesis abstract xi Trích yếu luận án xiii PART INTRODUCTION .1 1.1 Problem statement .1 1.2 Objectives of the study 1.2.1 General objective 1.2.2 Specific objectives 1.3 Objects and scope of the study 1.3.1 Object of study 1.3.2 Scope of the study .3 1.4 Contribution of the study PART THEORY AND PRACTICAL REVIEW ON LIVELIHOOD IMPROVEMENT FOR ETHNIC MINORITY HOUSEHOLDS 2.1 Basic theory .4 2.1.1 Concepts on ethnic minority households 2.1.2 Features of ethnic minorities of Vietnam 2.1.3 Theories and Framework of Livelihoods 2.1.4 Content of assessment of livelihood status of ethnic minority household 15 2.1.5 Factors affecting livelihood of ethnic minority households 19 2.1.6 Main characteristics of livelihood of ethnic minority households 23 2.2 Experiences in improving of livelihoods of ethnic minority households .26 2.2.1 International experiences 26 2.2.2 Vietnam’s experiences 31 2.2.3 Research on livelihood improvement of ethnic minority households .37 2.2.4 Lesson learnt and knowledge gap 40 iv SUMMARY OF PART .41 PART METHODOLOGY .42 3.1 Overview of Lao Cai province 42 3.1.1 Natural characteristics .42 3.1.2 Socio-economic characteristics .44 3.1.3 Advantages and disadvantages in socio-economic development of Lao Cai Province 52 3.2 Approaches and analysis framework 55 3.2.1 Approaches 55 3.2.2 Analysis framework 56 3.3 Data collection method 58 3.3.1 Study site and sample 58 3.3.2 Collection of secondary data 58 3.3.3 Collection of primary data 59 3.4 Analysis method 60 3.4.1 Descriptive and comparative Statistics 60 3.4.2 SWOT Analysis 61 3.4.3 Case study .61 3.4.4 Modeling method 61 3.5 Research indicators 62 3.5.1 Indicator of livelihood assets 62 3.5.2 Indicators for livelihood status of ethnic minority households .64 3.5.3 Indicators for impact factors 64 SUMMARY OF PART .64 PART CURRENT SITUATION AND FACTORS AFFECTING LIVELIHOOD OF ETHNIC MINORITY HOUSEHOLDS IN LAO CAI PROVINCE 66 4.1 Current situation on livelihood of ethnic minority households in Lao Cai .66 4.1.1 Status of livelihood capital of ethnic minority households .66 4.1.2 Livelihood strategies and activities 88 4.1.3 Livelihood outcomes .95 4.2 Factors affecting livelihoods of ethnic minority household in Lao Cai province 100 4.2.1 Government policies .100 v 4.2.2 Shocks and risk .102 4.2.3 Aid of Development programs 106 4.2.4 Typical characters of ethnic minority groups .113 4.2.5 Education and training 114 SUMMARY OF PART 118 PART ORIENTATION AND MAIN SOLUTIONS TO IMPROVE LIVELIHOODS OF ETHNIC MINORITY HOUSEHOLDS IN LAO CAI PROVINCE 120 5.1 Bases for proposing orientation and solutions 120 5.2 Orientations of livelihood improvement for ethnic minorities in Lao Cai province 124 5.3 Main solutions to livelihood improvement for ethnic minorities in Lao Cai province 125 5.3.1 Diversifying source of livelihoods from agricultural development and improving household income through off-farm activities 125 5.3.2 Enhancing people's ability access to the market 128 5.3.3 Improving household’s ability to access to formal financial resources 130 5.3.4 Improving human resources, raising awareness of people and preserving traditional culture 132 5.3.5 Upgrading infrastructure system 135 5.3.6 Strengthening the effectiveness of extension services 139 5.3.7 Reducing the negative impact of natural disasters 139 5.3.8 Improving social relationship 139 SUMMARY OF PART 141 PART CONCLUSION AND RECOMMENDATION 142 6.1 Conclusion 142 6.2 Recommendations 143 6.2.1 Recommendations towards state agencies 143 6.2.2 Recommendations towards local authorities 144 6.2.3 Recommendations towards ethnic minorities .144 LIST OF AUTHOR’S PUBLICATION .146 REFERENCES 147 APPENDIX 154 vi LIST OF ACRONYMS Acronyms Definition CEMA Committee of Ethnic Minority Affairs DOH Department of Health EM Ethnic Minorities EMWG Ethnic Minorities Working Group LCHP Lao Cai Happiness Program MOLISA Ministry of Labor Invalids and Social Affairs NGO None Government Organization NRD New Rural Development NTP Nation Targeted Program PPFP Pro Poor Forestry Project SLA Sustainable Livelihoods Approach SU Saemaul Undong (New Village Movement) VDC Village Development Committee vii LIST OF TABLES Table No Content Page 3.1 Land resource in Lao Cai Province 44 3.2 Shifting economic structure of Lao Cai Province 46 3.3 GDP growth index and structure of GDP by economic sectors 47 3.4 Survey samples and methods 60 3.5 Definition of variables under Logit model 62 4.1 Size of households and labor size by ethnic groups 67 4.2 Education level of Household Heads by District 68 4.3 Education levels of household heads by Ethnic minority groups 69 4.4 Distribution of land holding of ethnic minority households by district in Lao Cai 2016 73 4.5 Distribution of land holding of ethnic minority households in Lao Cai 2016 by ethnic group 74 4.6 Water supply to ethnic minority households in Lao Cai 2017 76 4.7 Assessment by ethnic minorities on infrastructure of Lao Cai in 2017 84 4.8 Ownership of material assets of ethnic minority households for livelihood in 2017 85 4.9 Average household savings by ethnic minority 86 4.10 Access to loans by ethnic minority households in 2017 87 4.11 Main livelihood activities of ethnic minority households by district 88 4.12 Main livelihood activities of ethnic minority households by ethnicity 90 4.13 Households' assessment of difficulties in livelihood development by district 92 4.14 Household Income in 2016 by districts 96 4.15 Household Income in 2016 by ethnic groups 97 4.16 Livelihood strategies of households by districts 98 4.17 Livelihood strategies of households by ethnic groups 99 4.18 Risks facing by ethnic minority households in the last years 104 4.19 Results of Logit model 117 5.1 SWOT Analysis of livelihood improvement for ethnic minorities in Lao Cai Province 123 viii ... deeply impressed by Vietnamese having similar culture to Korea and their warm-heart It was a true happiness for me to study in such a prestigious school in Southeast Asia as Vietnam National University... policy of the Vietnam National University of Agriculture Hanoi, 26 August 2018 Author KIM SUN HO i ACKNOWLEDGEMENTS My doctoral work would not have been possible if it was not Vietnam for I have...VIETNAM NATIONAL UNIVERSITY OF AGRICULTURE KIM SUN HO IMPROVING LIVELIHOOD OF ETHNIC MINORITY HOUSEHOLDS IN LAO CAI PROVINCE OF VIETNAM Major: Development Economics