MINISTRY OF EDUCATION AND TRAINING NHA TRANG UNIVERSITY HUYNH NGUYEN PHUC VULNERABILITY AND ADAPTATION OF COASTAL AQUACULTURE AND FISHING HOUSEHOLDS TO IMPACTS OF CLIMATE CHANGE IN QUY NHON CITY MASTER THESIS KHANH HOA – 2017 i MINISTRY OF EDUCATION AND TRAINING NHA TRANG UNIVERSITY HUYNH NGUYEN PHUC VULNERABILITY AND ADAPTATION OF COASTAL AQUACULTURE AND FISHING HOUSEHOLDS TO IMPACTS OF CLIMATE CHANGE IN QUY NHON CITY MASTER THESIS Major: Marine Ecosystem Management and Climate Change Code: 772/QĐ-ĐHNT dated 20/9/2016 Topic allocation Decision Decision on establishing the Committee: Defense date: Supervisors: 1: PROF JAHN PETTER JOHNSEN 2: DR NGUYEN LAM ANH Chairman of Committee: Faculty Studies: of Graduate KHANH HOA – 2017 i UNDERTAKING I undertake that the thesis entitled: “Vulnerability and adaptation of coastal aquaculture and fishing households to impacts of climate change in Quy Nhon City” is my own work The work has not been presented elsewhere for assessment until the time this thesis is submitted Nha Trang, April 28, 2017 Author Huynh Nguyen Phuc iii ACKNOWLEDGMENT I would like to express the deepest appreciation to the Graduate Study Faculty of Nha Trang University for helping and giving me best conditions finish my thesis My special thanks to Prof Jahn Petter Johnsen and Dr Nguyen Lam Anh for the continuous support of my Master study and research, for their patience, motivation, 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 for giving me the opportunity to study Marine Ecosystem Management and Climate Change Last but not the least, I would like to thank my family: my parents and to my brothers and sister for supporting me spiritually throughout writing this thesis Thank you! ……… ,Date month year Author Huynh Nguyen Phuc iv TABLE OF CONTENTS Undertaking iii Acknowledgement iv Table of contents v List of abbreviations ix List of tables x List of figures xi Abstract xii CHAPTER INTRODUCTION 1.1 Introduction 1.2 Thesis objectives and research questions 1.2.1 Thesis objective 1.2.2 Research questions CHAPTER THEORETICAL FRAMEWORK 2.1 Studies of climate change in Vietnam 2.2 The concepts of climate and climate change 2.3 Causes of climate change 2.4 Sustainable livelihood framework and climate change 2.5 Use sustainable livelihood framework to study impacts and adaptation to climate change 2.6 Livelihoods assets 2.7 Livelihood strategies 2.8 Livelihood outcomes 10 2.9 Institutions and policies 10 2.10 Vulnerability ability of coastal livelihoods to the impacts v of climate change .11 2.11 Adaptation of coastal livelihoods to the impacts of climate change 11 CHAPTER METHODOLOGY 13 3.1 Data Collection and Assessment 13 3.2 The field-survey method 13 3.3 Household interview 14 3.4 In-depth discussion 15 3.5 Key Informant Interviews 16 3.6 Data analysis and processing method 17 CHAPTER FINDINGS ABOUT CHANGES 18 4.1 General information of study area 18 4.1.1 Natural and environmental characteristics of Nhon Ly commune 20 4.1.1.1 Geography 20 4.1.1.2 Climate 21 4.1.1.3 Hydrology 22 4.1.2 Production of Aquaculture and Captured Fishery 23 4.2 Climate change 25 4.2.1 Climate change trend in Vietnam in the 21st century 25 4.2 Serious impacts caused by climate change in coastal areas of Vietnam 27 4.2.3 Scenarios for climate change in Quy Nhon City 30 4.2.4 Consequences of the above scenario in Quy Nhon City 31 4.3 Marine ecosystem under context of climate change 31 4.4 Awareness of local people on impacts of extreme variations 34 4.4.1 Frequency 34 4.4.2 Impact of extreme variations 35 vi 4.4.2.1 Impacts on Aquaculture 36 4.4.2.2 Impacts on fishing 37 4.4.2.3 Impacts on property and people of fishing and aquaculture households 39 CHAPTER CAPITAL BASED ADAPTATION CAPACITY 42 5.1 Natural capital 42 5.2 Human Capital 42 5.3 Physical capital 44 5.4 Financial capital 45 5.5 Social capital 47 CHAPTER ADAPTATION MEASURES TAKEN BY FISHING, AQUACULTURE HOUSEHOLDS AND LOCAL GOVERNMENT 51 6.1 Adaptation in aquaculture 51 6.2 Adaptation in fishing 52 6.3 Livelihood change 54 6.4 Ecosystem–based adaptation 55 6.4.1 Locally managed marine area 55 6.4.1.1 Organizational structure 56 6.4.1.2 Implemented ativities 56 6.4.2 Establishment of fishery- tourism cooperative under co-management team 59 6.4.3 Activities of local government 60 6.4.3.1 Preparation and cope with extreme variations 61 6.4.3.2 Activities after storm and flood 62 CHAPTER DISCUSSION 63 CHAPTER CONCLUSION AND RECOMMENDATION 66 8.1 Conclusion 66 vii 8.2 Recommendations for future research and for provincial and local goverment, local aquaculture and fishing housholds 67 8.2.1 Monitoring, assessing and forecasting the impacts of climate change 67 8.2.2 Research and proposed measures for the wild fisheries 67 8.2.3 Aquaculture 68 8.2.4 Policy related solutions 68 8.2.5 International cooperation 69 REFFERENCES 70 APPENDICES viii LIST OFABBREVIATIONS CPC Commune People’s Committee CRSD Coastal Resources Sustainable Development DARD Department of Agricultural and Rural Development DECAPFIREP Department of Capture and Fishery Resources Protection DONRE Department of Natural Resources and Environment LMMA Locally Managed Marine Area MCS Monitor, Control and Surveillance MONRE Ministry of Natural Resources and Environment ix LIST OF TABLES Table 4.1: Fisheries capture production in Quy Nhon City 20 Table 4.2: Aquaculture production of Quy Nhon City 20 Table 4.3: Types of capture 24 Table 4.4: Sea level rise scenario of Vietnam coastal area based on RCP scenario 27 Table 4.5: Biodiversity of Quy Nhon Bay 33 Table 4.6: Awareness of local people on frequency of extreme variations 34 Table 4.7: Awareness of local people on impacts of extreme variations on Aquaculture households 36 Table 4.8: Awareness of local people on impacts of extreme variations on fishing households 38 Table 4.9: Awareness of local people on impacts of extreme variations on property and people of fishing and aquaculture households 40 Table 5.1: Social and demographic characteristics of interviewed households’ members 43 Table 5.2: Fishing and aquaculture household’s assets with value of million VND ormore 44 Table 5.3: Occupation of members in fishing and Aquaculture households 45 Table 5.4: Income of household 46 Table 5.5: Social classification due to income 47 Table 6.1: Adaptive measures of aquaculture households 52 Table 6.2: Adaptive measures of fishing households 53 x IWE (Institute of Water and Environment) 2009 Assessment on Vulnerability and Impacts of Climate Change to QuyNhon City Keverern C 2009 Climate Change implications for fisheries and aquaculture MARD (Ministry of Agriculture and Rural Development) 2008 Sustainable Livelihood for Conservation Areas in Vietnam, Project Report, Hanoi Marshall et al 2010 A Framework for Social Adaptation to Climate Change Sustaining Tropical Coastal Communities and Industries MONRE (Ministry of Natural resources and Environment) 2009 Climate Change, sea level rise scenarios for Vietnam MONRE (Ministry of Natural resources and Environment 2016 Climate change and sea level rise scenarios for Vietnam Monirul I 2013 Vulnerability and Adaptation of Fishing Communities to the Impacts of Climate Variability and Change: Insights from Coastal Banglades Nha Trang Institute of Oceanography 2015 Report on Coral bleaching on a large scale” Neefjies, K.2009 “Climate Change and Sustainable livelihoods”, UNDP Report Nhon Ly CPC (Commune People’s Committee) 2016 Report on socio-economic situations Piero V 2004 Flood Modelling in Perfume River Basin, Hue province, Vietnam Smith B and Wandel J.2006 Adaptation, Adaptive Capacity and Vulnerability Global Environmental Change Quy Nhon PC (Quy Nhon People’s Committee) 2012 General Planning Adjustment of Quy Nhon City until 2020 Quy Nhon PC (Quy Nhon People’s Committee) 2012 Report on flood prevention task Solesbury 2003, “Sustainable Livelihoods; A Case Study of the Evolution of DFID Policy”, Overseas Development Institute, Working paper 217 Thang et al 2010 Climate Change and Impact in Vietnam 72 Ton N.D and Tuan T.V 2014 Climate Change and its impacts on agricultural production in QuyNhon City, BinhDinh Province Trang L.T.H 2012 Impacts of Climate Change and Adaptation Strategy Selection under Constrained Conditions in Ben Tre Province UNDP 2011 Mainstreaming Climate Change Adaptation into Development Planning USAID (United States Agency for International Development) 2009 Adapting to Coastal Climate Change: A Guidebook for Development for Development Planners World Bank 2007 The Impact of Sea level Rise on Developing Countries: A Comparative Analysis, World Bank Policy Working Paper 4136, February 2007 World Bank 2010 Climate Risks and Adaptation in Asian Coastal Mega cities A Sythesis Report Yovita J 2007 The effects of dissolved oxygen on fish growth in aquaculture National Fish Farming Centre, Fisheries Division Ministry of Natural Resources and Tourism Tanzania WEBSITE Ha T.T et al 2017 Encourage fishermen to opperate on the sea and protect national sovereignty Available at http://danviet.vn/nha-nong/dong-vien-ngu-dan-yen-tam-bambien-bao-ve-chu-quyen-757746.html Huy N.V 2011 Issues on Ecosystem- based Adaptation to Climate Change Available at http://isponre.gov.vn/home/dien-dan/650-mot-so-van-de-ve-thich-ung-bien-doi-khihau-dua-vao-he-sinh-thai 73 APPENDICES APPENDIX A:QUESTIONAIRE A INFORMATION OF HOUSEHOLD’S OWNER Date of born: …………………………………………………………….… Address: Gender:[… ] (1= Male, = Female) Main occupation: […….] (1=Fishing; 2= Aquaculture; 3= Fishery process; 4=Cultivation; 5= Animal husbandry; 6= Handicraft; 7=Business; 8= Service; 9= Tourism; 10= Public servant; 11= Pension; 12= Worker; 13=Support from relative; 14= Employee; 15=Others) Secondary job: Same as number INFORMATION OF MEMBERS IN HOUSEHOLD No Gender Age Relationship with household owner Education Major job Workplace Part time job Workplace * Relationship 2=Father/Mother; with household owner: B LIVING CONDITION OF HOUSEHOLDS Which type of your house? - At present: 1=Husband/Wife; 3=Son/daughter; 4=son-in-law/daughter-in-law; 5=Grandchild; 6=Others) - 2010: (0=owner; [……….] [……….] 74 (1=Solid multistory building; 2=Solid flat roof building; 3=Tile- roofed building; 4=Simple house; 5= Others ……….) What type of your household? (according to classification of local government) - 2010: [……….] [……….] - At present: (1=Poor; 2= Nearly poor; 3=Others) Which assets are there in your household? - 2010: [……….] [……….] - At present: (1=Radio/Cassette; 2=Television; 3=Telephone; 4=Mobile phone; 5=Computer; 6=Electric cooker; 7=Fridge; 8=Washing machine; 9=Air-conditioner; 10=Fresh water machine; 11=Electric generator) 10 Which means of transport are there in your household? - 2010: [……….] [……….] - At present: 1=Bicycle; 2=Motorbike; 3=Delivery tricycle; 4=Cart; 5=Car/truck; 6=Motor vessel; 7=Non-motor vessel) 11 How much is total income of your household per month? Total income: …………………….VND/month C PRODUCTION OF HOUSEHOLD 12 What are main sources for the total income? Jobs Yearly income (VND) 1=Fishing 2= Aquaculture 3= Fishery process 4=Cultivation 75 5= Animal husbandry 6= Handicraft 7=Business 8= Service 9= Tourism 10= Public servant 11= Pension 12= Worker 13=Support from relative; 14= Employee 15=Others 13 Among these above income sources, which is the biggest source of your household before 2010 and at present? - Before 2010: […………] - At present: [……… ] 14 Is there any change in type of income source of your household at the present compared with time before 2010? […….] (1= YES, 2=NO) 15 Please tell me reasons for change in main income source of your household at present compared with 2010? (For those who answer yes?) [………] (1=Productivity of aquaculture is more and more decreased; 2=Productivity of fishing is more and more decreased; 3=Change in structure of farmed species; 4=Cultivated land area decrease; 5=Cultivated land area increase; 6=Investment in higher income occupation; 7=Production meet difficulty due to extreme weather; 8=Change in labor structure of household; 9=Having new job; 10=Others) 16 Please tell me cost and income of below production activities: COST (VND) 1=Fishing 2= Aquaculture 3= Fishery process 4=Cultivation 5= Animal husbandry 6= Handicraft 76 INCOME (VND) 7=Business 8= Service 9= Tourism 10= Public servant 11= Pension 12= Worker 13=Support from relative 14= Employee 15=Others 17 Is there any significant change in income and production cost in last years? […….] (1= YES, 2=NO) 18 Please tell the reason for change in income resources of income: ……………………………………………………………………………………… D PRODUCTION ACTIVITIES 19 If your household carries out aquaculture, what are species? [……….] - 2010: - At present: [……….] [……….] (1=Shrimp; 2=Oyster/clam; 3=Fresh fish; 4=Sea water/saline water fish; 5=Crab; 6=Alga/seaweed; 7=Others) 27 Identify whether there is change between periods […….] (1=YES , 2=NO) (1=the production of old fishery species is low, 2=the old fishery species often get disease,3=the new fishery species has higher economic value, 4=aquaculture meet difficulty due to extreme variations, 5=members of house are trained new vocation, 6=meet demand of market, 7=others) 20 Please tell reason for the change? [……….] 21 If your household carries out fishery capture, what are they? - 2010: - At present: [……….] [……….] 77 (1=offshore fishery capture, 2=fishery capture in sea water/saline water, 3=fresh water fishery capture, 4=coastal fishery capture) 30 Identify whether there is change between periods […….] (1=YES , 2=NO) 22 Please tell reason for the change? [……….] (1=Fisheries capture meet difficulty due to much disaster; 2=Fisheries stock reduce; 3=Fishing technology change; 4=Supply to market demand; 5=Members of household study new vocation; 6=Intend to invest more; 7=Others) 23 Please tell information on your household’s cultivated land? Area (m2) Purpose of use Total area of cultivated land Area of the largest cultivated land Area of the smallest cultivated land (1=Land for rice cultivation; 2=Land for vegetable cultivation; 3=Land for afforesting; 4=Land for growing flower; 5=Uncultivated land; 6=Agricultural land for lease/lend; 7=Water surface for fresh water Aquaculture; 8=Water surface for sea water Aquaculture; 9=Others) 24 Since 2010, have your households changed anything in land use? [……….] (1=Area of used land increase; 2=Area of used land decrease; 3=Change in purpose of land use; 4=One part of land hasn’t been cultivated; 5=Others; 6=No change) 25 If any, please tell the reasons [……….] (1=Due to government policy; 2=Due to flood; 3=Due to drought; 4=Due to salt intrusion; 5=Due to change in market; 6=Due to change in transport conditions; 7=Due to inadequate human resources; 8=Due to having more human resources; 9=Others) 26 If there is change in land use, please tell what changes are? ………………………………………………………………………………………… ………………………………………………………………………………………… 78 E IMPACTS OF EXTREME VARIATIONS TO FISHING AND AQUACULTURE E1 PERCEPTION OF FISHERMEN ON FREQUENCY AND INTENSITY OF EXTREME VARIATIONS IN THE PERIOD 2010-2015 27 Compared with 2010, can you grade with which intensity of extreme weather/disaster occur in your commune? [……….] - Sea level rise - Salt intrusion - Drought [……….] - Long duration of hot weather [……….] - Long duration of cold weather [……….] - Inundation [……….] - Storm [……….] - Heavy rain [……….] - Others [……….] (1=not at all; 2=little; 3=rather; 4=much; 5=very much) 28 On which month, extreme variations occur? - Salt intrusion [……….] - Drought [……….] - Inundation [……….] 29 Do you receive warning/information on extreme variation? - Salt intrusion [……….] - Drought [……….] - Inundation [……….] (1=Usually; 2=Sometimes; 3=Seldom; 4=None/don’t know) 30 From which resource you receive warning/information on extreme variation? 79 [……….] - Salt intrusion - Drought [……….] - Inundation [……….] (1=Radio, newspaper, TV; 2=Local government; 3=Relative, friends; 4=Folk experience; 5=Others) 31 How you feel about impact level of following factors to households? Inundation [……….] Drought [……….] Salt intrusion [……….] Storm [……….] Governmental policy [……….] Market approach and market conditions [……….] Fund approach [……….] Labour resource approach [……….] Land approach resource [……….] Disease of households [……….] (1=Much impact; 2=Normal; 3=Little impact; 4= No impact) Please put them in order of lowest from to 5, strongest from to 10 ………………………………………………………………………………………… E2 IMPACTS OF EXTREME VARIATIONS TO FISHING AND AQUACUTURE 32 How have extreme variations occurring in your commune impact Aquaculture of your household since 2010 (compared with the time before 2010)? - Sea level rise [……….]- - Salt intrusion [……….] - Drought [……….] 80 - Long duration of hot weather [……….] - Long duration of cold weather [……….] - Inundation [……….] - Storm [……….] - Heavy rain [……….] - Others [……….] (1=Aquatic species grow slowly; 2=Reduction of production; 3=Water environment change; 4=More disease; 5=Hard to find food resource; 6=Completely lost sometimes; 8=Others ; 9=No impact; 10=None/ don’t know) 33 Under impacts of extreme variations occurring in your commune, what does your household change in aquaculture? […… ] (1=Much cost in investment; 2=Using more labour; 3=Change in aquaculture methods; 4=Change in seed of aquatic species; 5=Increase in scale of aquaculture; 6=Reduction in scale of Aquaculture; 7=Stopping aquaculture; 8=Some labors of household change job; 9=Some labors move to another place for living; 10= Others) 34 How have extreme variations occurring in your commune impactfishing activities of your household since 2010 (compared with the time before 2010) - Sea level rise [……….] - Salt intrusion [……….] - Drought [……….] - Long duration of hot weather [……….] - Long duration of cold weather [……….] - Inundation [……….] - Storm [……….] - Heavy rain [……….] - Others [……….] 81 (1=Slow growth of aquatic species; 2=Reduction of fishing production; 3=Change in fishing ground; 4=Others; 5=No impact; 6=None/don’t know) 35 Under impacts of extreme variations occurring in your commune, what does your household change in fishing? [……….] (1=Much cost in investment; 2=Using more labour; 3=Change in fishing methods; 4=Increase in scale of fishing; 5=Reduction in scale of fishing; 6=Stopping fishing; 7=Some labors of household change job; 8=Some labors move to another place for living; 9=Others) F ADAPTATION TO EXTREME VARIATIONS F1 NATURAL AND PHYSICAL CAPITAL 36 Since 2010, has your household fixed fishing gears/boats due to damage from extreme variations? […….] (1=YES , 2=NO) How many times?…………… 37 Since 2010, has your household bought more equipments to minimize damage from extreme variations? […….] (1=YES , 2=NO) 38 In the future, is your household going to buy more equipments to minimize damage from extreme variations? [….] (1=YES,2=NO; 3=DON’T KNOW) 39 If any, what are equipments? [….] (1=Fishing boats; 2=Fishing gears; 3=Frozen machine (to preserve fisheries); 4= Others) 40 In the future, is your household going to buy or lease land? [….] (1=YES,2=NO) 41 What is the purpose of your household when you buy/lease land? […… ] (1=Building house for living; 2=Building house for lease; 3=Others lease from you; 4=To cultivate rice; 5=To cultivate flower; 6=To graze cattle; 7=For aquaculture; 8=Others F2 FINANCIAL CAPITAL MOBILIZATION 42 Since 2010, has your household borrowed money for investment in production and business? [….] (1=YES,2=NO) 82 43 If any, how many times have you borrowed money? TIMES: 44 What is total money you borrow? Total .VND F3 SOCIAL CAPITAL MOBILIZATION 45 Since 2010, has your household received any support from local government? [….] (1=YES, 2=NO) 46 If any, what are kinds of support? (List up all mentioned) [….] (1=To exempt or reduce tax of using land; 2=To support science and technology; 3=To get preferential credit in fisheries activities; 4= Others) 47 Which year did you receive support? [….] (1=2010; 2=2011; 3=2012; 4=2013; 5=2014; 6=2015) 48 In years when inundation occurred, has your household received any support from local government? [….] (1=YES,2=NO) 49 Please specify the support (List up all mentioned) [….] (1=CASH; 2=MATERIAL (Clothes, food); 3= BORROW MONEY; 4=OTHERs ) 50 Are you willing with the support you received? [….] (1=YES,2=NO) 51 Has your family received support from following resources? (You can choose more than one) [….] (1=Brothers/Sisters; 2= Relatives; 3= Friends; 4= Neighbors; 5=Local social organizations; 6= Local government; 7= Others; 8= No support) 52 Which kind of support you often receive when coping with disaster? (you can choose more than one) 83 [….] (1=CASH; 2=MATERIAL (Clothes, food); 3= BORROW MONEY; 4=OTHERs ) 53 Among these above resources, what is the most important resource? 54 Evaluate different resources of finance used for support when coping with disaster by marking between 1(inconsiderable) and (very important) - From relative (in the same hamlet) 1-2-3-4-5 - From neighbour 1-2-3-4-5 - From local government 1-2-3-4-5 - From relatives (outside hamlet) 1-2-3-4-5 - Selling assets 1-2-3-4-5 - Insurance 1-2-3-4-5 - Associations 1-2-3-4-5 - Others 1-2-3-4-5 55 What is the estimated economic damage from disaster (since 2010) - 2010 VND - 2011 VND - 2012 VND - 2013 VND - 2014 VND - 2015 VND 56 Does any member of your household participated in following social organization? (You can choose more than one) [… ….] (1=Communist Party; 2=Farther land Front; 3= Farmer’s Association; 4= Veterans’ organization; 4=Communist Youth Union; 5=The old’s organization; 6=Former student’s organization; 7=Women’s organization; 8=Other; 9= Don’t participated in any organization) 84 57 Do you think that participation of members in your household is useful? [….] (1=YES,2=NO) 58 Is your local community proactive to cope with disaster For example: through holding meetings, working groups or supporting fund [….] (1=YES,2=NO) Specify activities if yes: 59 If government invests in disaster prevention measures, what you like? (you can choose more than one) [….] (1=Dyke; 2=Building up stronger houses; 3=Breaking water; 4=Port protection; 5=Building up higher bridge; 6=To develop plan to relieve disaster 60 Has your local government carried out your suggestions yet? [….] (1=YES,2=NO) Specify activities if yes: 61 Do you agree that everyone mainly wonders interest of their own family, but not interest of community? [….] (1=Completely agree; 2=Agree; 3= Disagree; 4= Completely disagree; 5=No idea ) 62 Do you have any suggestion in coping with extreme variations? 63 In your opinion, what are the best ways to disseminate these above experience to next generations? (You can choose more than one) […… ] (1=In community, previous generation orally transmit; 2= In community, previous generation transmit through written documents; 3=Through mass media; 4= From own experience; 5= Others) 85 APPENDIX B: MAP OF NHON LY COMMUNE KHU VỰC ĐỒNG QUẢN LÝ Note: Area where fishermen focus on capturing lobster seed by Lift net Area of trap for lobster juvenile Kinds of sea weed Ecosystem of coral reef, reef fish, shrimp and squid, etc Limited line for co-management area 86 ...MINISTRY OF EDUCATION AND TRAINING NHA TRANG UNIVERSITY HUYNH NGUYEN PHUC VULNERABILITY AND ADAPTATION OF COASTAL AQUACULTURE AND FISHING HOUSEHOLDS TO IMPACTS OF CLIMATE CHANGE IN QUY NHON CITY. .. aquaculture and fishing households to impacts of climate change in Quy Nhon City The purpose of this study is to evaluate how the impacts of climate on aquaculture and fishing activities are... role in minimizing vulnerability, enhancing resistance to climate change and creating sustainable livelihoods This paper investigates vulnerability and adaptation of coastal livelihoods to the impacts