MINISTRY OF EDUCATION AND TRAINING NHA TRANG UNIVERSITY MAI THI CAM HUYEN SUSTAINABLE LIVELIHOODS AND ADAPTATION TO CLIMATE CHANGE: A STUDY OF COASTAL COMMUNITIES IN NHA TRANG CITY, VIET NAM MASTER THESIS KHANH HOA – 2018 MINISTRY OF EDUCATION AND TRAINING NHA TRANG UNIVERSITY MAI THI CAM HUYEN SUSTAINABLE LIVELIHOODS AND ADAPTATION TO CLIMATE CHANGE: A STUDY OF COASTAL COMMUNITIES IN NHA TRANG CITY, VIET NAM MASTER THESIS Major: Marine Ecosystem Management and Climate Change Code: 1006/QĐ-ĐHNT dated 10/10/2017 Topic allocation Decision Decision on establishing the Committee: Defense date: Supervisors: 1: PROF PETER ARBO 2: PROF NGUYEN THI KIM ANH Chairman of Committee: Dr LE KIM LONG Faculty of Graduate Studies: KHANH HOA – 2018 UNDERTAKING I undertake that the thesis entitled: “Sustainable livelihoods and adaptation to climate change: a study of coastal communities in Nha Trang City, Viet Nam” is my own work The work has not been presented elsewhere for assessment until the time this thesis is submitted Khanh Hoa, June 25, 2018 Author Mai Thi Cam Huyen iii ACKNOWLEDGMENT I would like to express the appreciation to the Graduate Study Faculty of Nha Trang University for helping and giving me best conditions to finish my thesis My special thanks to Prof Peter Arbo and Dr Pham Thi Thanh Thuy for the continuous support of my Master study and research, for their patience, enthusiasm, and immense knowledge Their guidance helped me in all the time of research and writing of this thesis I also would like to acknowledge and thank to Norhed program, University of Nha Trang and Tromso as well as Prof Nguyen Thi Kim Anh for giving me the opportunity to study Marine Ecosystem Management and Climate Change Last but not the least, I would like to thank the leaders of POU university where I am working for giving the chance, time as well as motivation to finish my master course and my family, friends for supporting me spiritually throughout writing this thesis Thank you! Khanh Hoa, June 25, 2018 Author Mai Thi Cam Huyen iv TABLE OF CONTENTS UNDERTAKING iii TABLE OF CONTENTS v LIST OFABBREVIATIONS viii LIST OF TABLES ix ABSTRACT xii CHAPTER 1: INTRODUCTION 1.1 Introduction 1.2 Thesis objectives and research questions 1.2.1 Thesis objective .2 1.2.1.1 General objective 1.2.1.2 Specific objectives 1.2.2 Research questions 1.3 Subject and scope of study .3 1.3.1 Research subject 1.3.2 Scope of the study 1.4 Structure of the thesis CHAPTER 2: OVERVIEW OF CLIMATE CHANGE AND SUSTAINABLE LIVELIHOODS .6 2.1 Climate change 2.1.1 Concepts related to climate change .6 2.1.2 The situation of climate change in the world 2.1.3 The situation of climate change in Viet Nam 2.2 Sustainable livelihoods 2.2.1 Sustainable livelihoods framework .10 2.2.2 Typical sustainable livelihoods frameworks .12 2.3 Sustainable livelihoods and climate change 15 2.3.1 Sustainable livelihood framework and climate change .15 2.3.2 Impacts of climate change to coastal livelihoods 16 2.3.3 Adaptability of coastal livelihoods to the impacts of climate change 17 v 2.3.4 Support livelihoods to adapt to climate change 19 CHAPTER 3: METHODS OF DATA COLLECTION AND PROCESSING 20 3.1 Method of data collection .20 3.1.1 Primary data 20 3.1.1.1 Focus group discussion 20 3.1.1.2 Household survey 21 3.1.2 Secondary data .21 3.2 Data processing methods 22 3.3 Sample 24 CHAPTER 4: BACKGROUND INFORMATION OF THE STUDY AREA .25 4.1 Khanh Hoa province 25 4.1.1 Geographical features 25 4.1.2 Climate .25 4.1.3 Population characteristics 26 4.1.4 Current status of coastal household livelihoods in Khanh Hoa province 26 4.2 Current status of coastal household livelihoods in the two study areas 30 4.2.1 Vinh Luong ward 30 4.2.1.1 Geographic location 30 4.2.1.2 Livelihood resources 31 4.2.1.3 Livelihood activities 33 4.2.1.4 Livelihood outcome 34 4.2.1.5 The status of basic social services 35 4.2.2 Vinh Nguyen ward 35 4.2.2.1 Geographic location 35 4.2.2.2 Livelihood resource 36 4.2.2.3 Livelihood activities 38 4.2.2.4 Livelihood outcome 39 4.2.2.5 The status of basic social services 40 CHAPTER 5: CLIMATE CHANGE AND ADAPTATION TO CLIMATE CHANGE IMPACTS 42 5.1 Climate change on coastal households in Nha Trang city 42 5.1.1 Temperature 42 vi 5.1.2 Rainfall 43 5.1.3 Floods 45 5.1.4 Drought 46 5.1.5 Salinity intrusion 46 5.1.6 Sea rise level 46 5.1.7 Other types of natural disasters 47 5.1.8 Possible impacts of climate change to coastal households in Khanh Hoa province 47 5.2 Climate change and climate change impacts in the two study areas 49 5.2.1 Affected household livelihood resources 50 5.2.2 Affected livelihood activities 51 5.2.3 Affected livelihood outcomes 53 5.3 Analyzing adaptive capacity of coastal household livelihoods to the impacts of climate change .54 5.3.1 Livelihoods of aquaculture 54 5.3.2 Livelihoods of capture fisheries 55 5.4 Adaptation measure to the impacts of climate change 56 5.4.1 Adaptation activities in fishing 56 5.4.2 Adaptation activities in aquaculture 58 5.4.3 Demand for the forms of State support 59 5.4.4 Discussion on household-level and community-level adaptation activities to the current climate change 61 5.4.4.1 Aquaculture Group 61 5.4.4.2 Fishing Group 62 5.4.4.3 Discussion on local and state support and some sustainable livelihoods in the context of climate change 62 CHAPTER 6: SOME POLICY RECOMMENDATIONS TO SUPPORT LIVELIHOODS IN ADAPTATION TO CLIMATE CHANGE FOR COASTAL COMMUNITIES IN NHA TRANG CITY, KHANH HOA PROVINCE 65 CHAPTER 7: CONCLUSION 68 REFERENCE 71 APPENDIX: QUESTIONAIRE 75 vii LIST OFABBREVIATIONS UNDP : United Nations Development Programme MONRE : Ministry of Natural Resources and Environment DFID : Department for International Development IPCC : Intergovernmental Panel on Climate Change MARD : Ministry of Agriculture and Rural Development ADB : Asian Development Bank IMM : Integrated Marine Management SLF : Sustainable livelihoods framework CARE : Cooperative for Assistance and Relief Everywhere DANIDA : Danish International Development Agency IMOLA : Integrated Management of Lagoon Activities CV : Cheval Vapeur in French equal to Horse Power in English viii LIST OF TABLES Table 2.1: Impacts of climate change coastal livelihoods .17 Table 2.2: Some measures to adapt to climate change by sector 18 Table 3.1: The analytical framework 20 Table 4.1: Average temperature and rainfall in Khanh Hoa province 25 Table 4.2: Agricultural land area 27 Table 4.3: Number of employees working in Khanh Hoa province 28 Table 4.4: Access to information in Nha Trang city .28 Table 4.5: Numbers of laborers by livelihood activity 29 Table 4.6: Average income per capita/a month in Khanh Hoa province 29 Table 4.7: Unemployment rate in Khanh Hoa 30 Table 4.8: The poverty rate 30 Table 4.9: Socio-demographic characteristics of household members surveyed in Vinh Luong commune 32 Table 4.10.: Assessment of respondents on income changes over the past five years in Vinh Luong commune 34 Table 4.11: Socio-demographic characteristics of household members surveyed in Vinh Nguyen ward .37 Table 4.12 Number of fishing boats, aquaculture rafts and catch and aquaculture output 39 Table 4.13.: Assessment of respondents on income changes over the past five years in Vinh Nguyen ward .39 Table 5.1: Annual average temperature in Nha Trang (1978 - 2015) 42 Table 5.2: Average annual rainfall of the areas in each period .43 Table 5.3: Rainfall in 2020 under the average emission scenario (B2) 44 Table 5.4: Tropical cyclones and storms hit Khanh Hoa and neighboring provinces 44 Table 5.6: The impact of climate change on people's lives in two coastal areas, Nha Trang city .49 Table 5.7: Household livelihood resources affected by storms and floods in two coastal areas, Nha Trang city .50 ix Table 5.8: Livelihoods activities affected by storms and floods in two coastal communities, Nha Trang province 51 Table 5.9: Results of livelihood outcome affected by floods and storms in two coastal communities, Nha Trang city 54 Table 5.10: Adaptation in capture fisheries 57 Table 5.11: Adaptation in aquaculture 58 Table 5.12: Demand for the Forms of State Support 60 x APPENDIX: QUESTIONAIRE FOCUS GROUP DISCUSSION Socio-economic situation of the locality - The main livelihoods in the ward: How people make a living? - How is the state of basic social services such as electricity, water supply, roads, schools, clinics ? - How have the economic, social, cultural and environmental conditions developed over the last 5-10 years? The impacts of climate change on coastal livelihoods - Given current trends and expected climate change in the years ahead, how is it likely that the ward will be affected (households, basic social services)? Which groups of people get the most risk? Household-level and community-level adaptation activities - Have the households taken measures to adapt to climate change and reduce their own vulnerability? How did people respond? (Name the specific method for each type of livelihood) - Are there measures implemented at community level ? - What kind of adaptation measures are implemented at the community level? - What kind of support is offered from the state to the ward or the ward to the households? (Concessional loans, production materials, technical training, output support ) Livelihood sustainability assessment - Which livelihoods are the most sustainable today? Why? - How can the ward be made more sustainable in the face of future climate change? HOUSEHOLD SURVEY Dear Sir/Madam, We are conducting a survey program for the research topic: “Sustainable livelihoods and adaptation to climate change: a study of coastal communities in Nha Trang, Viet Nam” This is a questionnaire that collects data from coastal communities This interview is very important to the research, so we would like to take time to discuss with you the issues related to the topic All of your comments are important to us and will help us a lot in the research At the same time, we want to make clear that participation is voluntary You will not receive any particular benefits by taking part in the survey Any information given will also be held confidencial No personal information will be published or conveyed to others, so you should feel free to express your own opinion Based on this, we are looking forward to your cooperation Sincerely thank! I GENERAL INFORMATION ON FAMILIES Year of birth: (Family head) Gender composition of the Family (Record Number): Male ; Female… Address: ……… Age in Family (Record Number): 55…… Which is the highest education level in your family? (Please write quantity in each box): Unlettered: ….; Level 1: … ; Level 2: … ; Level 3: … ; Professional Intermediate : ; Short-term vocational training: ; Long-term vocational training: ; College: … ; University: … ; Never attended school: ; Not yet to go to school: Main work of family workers (Numbering in appropriate box): Growing rice/vegetables ; Breeding ; Aquaculture ; Capture fishery ; Tourism  Seafood processing ; Services, trading ; Handicraft ; Officer ; Industrial workers ; Others  How has your income developed over the last years? Increased ; Reduced ; As before  The area of used land of the family (m2): Agricultural land Household land Lake, water surface II CLIMATE CHANGE AT THE LOCAL LEVEL Do you regularly watch weather forecasts? Yes ; No  - Have you heard of "climate change"? Yes ; No  10 Has your household been more seriously affected recently by some type of weather event? 11 What kind of weather event? (Circle the appropriate cell and number) Weather Events Not affected Less affected Medium Affected Much Affected Very much Drought Hurricanes, floods Salinization Affected III AFFECTED LIVING RESOURCES 12 What assets have thereby been affected? Not affected Less affected Medium Affected Much Affected Very much Cultivation Land Livestock farm Aquaculture land/cages Ships, boats, fishing nets House Human & Health Transport system Water system Bank loan Access to information Asset Affected IV AFFECTED LIVELIHOOD ACTIVITY 13 What activities have thereby been affected? Livelihood activities Not affected Less affected Medium Affected Much Affected Very much Affected Cultivation Breeding Fishing Aquaculture V AFFECTED LIVELIHOOD RESULTS 14 Have the affected activities been affected in a positive or negative way? 15 What are the implications in terms of income? Increased ; Reduced ; As before  VI RESPONSE ACTIVITIES FOR LIVELIHOOD 16 If your aquaculture activities have been affected, what did your family do? (mark X in the appropriate box, there may be multiple options) Strengthening cages e aquaculture scale business activities -farm jobs (hired labor, small businesses, etc.) natural disasters, ) aculture 17 If your fishing activities have been affected, what did your family do? (mark X in the appropriate box, there may be multiple options) Invest in fishing gears (fishing boats and fishing nets) -farm jobs (hired labor, small businesses, etc.) other places to find new employment opportunities natural disasters, etc.) Stop fishing during storms, floods Move to safe shelters VII RESPONSE ACTIVITIES FOR LIVELIHOOD 18 What kind of support would you consider it helpful for your family in order to better respond to local climate change? (Tick the box in the appropriate box, there may be multiple options) (replanting mangroves and reforestation, banning destructive fishing) (roads, clean water supply systems, low voltage stations) Issuing insurance techniques in agricultural production) disaster risk management policies climate change sification programs oint staff to guide aquaculture and fishing SOCIALIST REPUBLIC OF VIETNAM Independence – Freedom – Happiness THESIS EVALUATION FORM - Thesis title: Sustainable livelihoods and adaptation to climate change: a study of coastal communities in NhaTrang, Viet Nam - Major: Master of Marine Ecosystem based Management and Climate Change - Code: 58CH139 - Student: Mai Thi Cam Huyen - Supervisor: Peter Arbo and Nguyen Thi Kim Anh - Training Insitution: Nha Trang University - Reviewer: Claire Armstrong - Position in the Evaluation Committee: Reviewer - Workplace: UiT CONTENTS I EVALUATION: Thesis Format: The thesis meets the requirements for format of master thesis, and largely has the scientific style required The language is for the most part good, and the thesis is reasonably clear, coherent, well formulated and proportioned Citations meet the requirements for the format and arrangement of the master’s thesis Thesis Contents: Research issues are for the most part presented clearly and significant to science and practice The research objectives are clear and feasible The literature review is sufficient, though methodological references and other case study examples are limited The theoretical basis could be expanded upon, explaining the social science, or more specific approach taken The research methodology is appropriate and for the most part accurately described, but more information about the how the survey was carried out would be beneficial (and make clear how many surveys were collected at each site) The choice of the two villages is not well explained, and not much is made of the comparison The research results seem for the most part reliable, and answer the questions posed The analysis is however relatively simplistic and descriptive, with no additional analysis A few of the tables comparing the two sites seem to have mistakes, in that an average of two percentage is taken as the total percentage, despite there being different numbers of surveys made in the two sites Furthermore, when you include figures or tables they should always be commented upon in the text, or otherwise taken out The discussion is sufficient and the conclusions seem for the most part acceptable Some reference to critical aspects in relation to choices made in the analysis would be good (to show one is aware of potential limitations in the research) II CONCLUSION: I grade the thesis to be good and in accordance with the regulations for master’s thesis evaluation of Nha Trang University June 2018 Reviewer Claire Armstrong 2018 MINISTRY OF EDUCATION & TRAINING NHA TRANG UNIVERSITY SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness REPORT OF THESIS CORRECTION At the request of the thesis evaluation Committee Full name: Mai Thị Cẩm Huyền St code: 58CH139 Thesis title: “Sustainable livelihoods and adaptation to climate change: a study of coastal communities in Nha Trang City, Viet Nam” Supervisors: Prof Peter Arbo and Prof Nguyen Thi Kim Anh Study Program: Marine Ecosystem Management and Climate Change Thesis defense date: June 7th, 2018 Based on the requirements of thesis evaluation committee I would like to submit the revised thesis statement as follows: Request 1: Make the grammatical changes in the thesis where necessary Content has been modified: For example: The grammatical changes have been made Request 2: Explain why two villages were chosen in this study Content has been modified: Vinh Luong and Vinh Nguyen were chosen as study areas because they are coastal communities in South Central Vietnam, which are highly exposed to climate change, and because there is a high concentration of fishing and aquaculture livelihoods in these two communities and these livehoods are most vulnerable to climate change Request 3: An average of two percentage is taken as the total percentages, despite there being different numbers of surveys made in the two sites Content has been modified: the total percentages in Table 5.10 and Table 5.11 have been deleted Nha Trang, 20th June 2018 Student Chairman Supervisor ...MINISTRY OF EDUCATION AND TRAINING NHA TRANG UNIVERSITY MAI THI CAM HUYEN SUSTAINABLE LIVELIHOODS AND ADAPTATION TO CLIMATE CHANGE: A STUDY OF COASTAL COMMUNITIES IN NHA TRANG CITY, VIET NAM. .. projects and resource management in rural and coastal areas in Asia and Africa in a pro-poor approach Looking at the current and future impacts of climate change, one can see that climate change is a. .. change is an urgent need nowadays in the context of increasingly abnormal climate in coastal areas in general and coastal areas in Khanh Hoa province in particular According to the 2014 Vietnamese