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MINISTRY OF EDUCATION AND TRAINING

VINH UNIVERSITY

NGUYEN THI PHUONG THUY

SUSTAINABLE LIVELIHOODS FOR COASTAL RESIDENTS IN NGHE AN PROVINCE

Major: ECONOMIC MANAGMENT

Code: 9 31 01 10

SUMMARY OF DOCTORAL DISSERTATION OF ECONOMICS

NGHE AN, 2023

The work has been completed at Vinh University

SUPERVISORS:

1 ASSOC PROF DR DO THI PHI HOAI

2 ASSOC PROF DR NGUYEN THI MINH PHUONG

The dissertation is presented at the University-level Dissertation Assessment Council at Vinh university

Time (date) (month) 2023

The dissertation can be found at:

- Information Center Nguyen Thuc Hao – Library of Vinh University,

182 – Le Duan, Vinh, Nghe An

- National Library of Vietnam, 31 Trang Thi, Tran Hung Dao, Hoan Kiem, Hanoi

1

INTRODUCTION

1 Rationale for the study

Nghe An, with an area of 16,498.5 km2, is the largest province in the country It has a territorial sea of 4,230 square nautical miles; in general from the depth of 40m towards the coast, the seabed is relatively flat, from the depth of 40m outwards, there are many reefs and sand dunes Nghe An waters are home to many marine species of high economic value Cua

Lo beach is one of the beautiful and attractive beaches, which is an advantage for the development of tourism in Nghe An Nghe An’s coast has a length of 82 km, with 6 estuaries that are convenient for sea transportation, seaport development and salt production (1000 ha) However, people's livelihoods have not developed commensurately The livelihood strategy of households is still highly dependent on fishing, the proportion of average income from fishing to total income of households is still high (nearly 30%) [10] Activities and models of livelihood remain monotonous Thus, the livelihood outcomes are still limited and the imbalance of economy, society, and environment leads to unsustainable livelihood development, especially for the group of households that are highly dependent on marine fisheries The social and environmental aspects are quite secure for the residents, however, the economic factors are still inadequate The households’ income is quite low with an income average of about 34 million VND/household/year which is unstable due to high dependence on marine resources and small agricultural activities [9]

Thereby, the implementation of the thesis "Sustainable livelihoods for coastal residents in Nghe An province" is crucial in order to propose an innovative and

breakthrough direction for economic development for the coastal residents in Nghe An province in the near future This is a very critical and scientifically meaningful

2 Research purposes and assignments

+ Research purposes: The objectives of the study is to systematize and clarify

theoretical and practical issues relating to sustainable livelihoods for coastal residents; therefore, perspectives and solutions to create sustainable livelihoods for coastal residents

in Nghe An province are proposed

- The proper assessment of the current situation of sustainable livelihoods for coastal residents in Nghe An province in recent years, in order to highlight the achievements, challenges, limitation and its causes

- The recommendations on perspectives and measures to create sustainable livelihoods for coastal residents in Nghe An province

3 Objectives and scope of study

+ Objectives of the study: Sustainable livelihoods of coastal residents

+ Scope of study:

2

Scope of content: The thesis only focuses on studying the mechanisms and policies of

the state and local authorities (management decisions makers and organizers of the implementation of management decisions on the use of livelihood resources and strategies of coastal residents (subjected to management)

The subject of sustainable livelihood management for coastal residents mentioned in this thesis is the government of Nghe An province through its management decisions making and organization of the implementation of management decisions to impact the livelihood activities

of coastal residents

Spatial scope: The thesis studies the sustainable livelihoods for coastal residents in Nghe

An province

Time scope: The thesis focuses on the period of 2018 - 2021, and proposes solutions for

the period of up to 2030, with a vision to 2045

4 Analysis framework and research methodology

4.1 Research approach

4.1.1 Sustainable livelihood approach

4.1.2 Public - Private - Partnership Approach

4.1.3 Regional study approach

4.1.4 Participatory research approach

4.1.5 Systematic approach

The systematic approach is used to analyze and evaluate the interrelationships A system is an ordered whole of various elements that are interrelated and interacting The systematic approach is applied in this study to show the binding relationship, mutual influence between livelihood activities and livelihood capital sources, between livelihood activities and outcomes, impacts between livelihood measrues and other solutions This approach also points out the most limiting points which hinder the livelihood development and ranks the settlement order of each problem

In this thesis, the study approach of the economic management major is to study the central and local management mechanisms (policies, measures, management principles, results, ) that developed and implemented by the management subjects to take impact on the management objects which are coastal residents in order to realize the management objectives set by management subjects Management objectives include long-term objectives (sustainable livelihoods) and short-term ones (people's income, residents' spiritual lives, local economic growth, environmental and social issues)

4.2 Research methodology

4.2.1 Analysis framework

3

Diagram No.2 Analysis framework of sustainable livelihood for coastal residents

4.2.2 Research methodology

* Method of information collection

- Secondary documents

General information and data on fishing livelihood activities, lives and employment

of the residents, fishing situation, number and capacity of ships and marine resources; the organization and implementation of policies for residents are collected from published research works such as books, magazines, thesis, projects, conference records

of ministries and competent agencies

- Primary documents

Using PRA tool [20], information and data on the status of livelihood resources, vulnerable environment, resident's livelihood strategies, assessment by relevant undertakings and policies of the Party and State are collected through fact survey

* Data processing method

Data encoding: the collected qualitative data will be converted and encoded into

numbers for calculation

Data entry and correction: collected data, including encrypted data, will be entried

and archived for further processing and calculation During the data entry process, the data with errors in the collection process will be checked and corrected

Processing tools: The primary and secondary data will be synthesized and

processed mainly by excel software

* Analysis method

Descriptive statistics method

Comparative method

5 New scientific contributions of the thesis

As a systematic study related to sustainable livelihood development for coastal residents in Nghe An, the thesis has made new important theoretical and practical as follows:

- The thesis has systematized and clarified the theoretical issues on the concept of livelihoods, livelihoods for coastal residents, sustainable livelihoods for coastal residents; and resources to develop the livelihoods of coastal residents

- The thesis has analyzed and clarified the resources and criteria for evaluating those resources for the sustainability of coastal people Thereby, it identifies the factors that impact the livelihood resources to the sustainable livelihoods for coastal residents in Nghe An province

At the same time, the thesis has analyzed the influence of coastal residents’ sustainable livelihood strategies on the change of their livelihood resources From tha t, it can be seen that the influence of resources on people's livelihoods, especially coastal residents, is a gap in both theory and practice

- This study was conducted in Nghe An province - where there has yet been any in-depth research on this issue for coastal residents This study not only is scientifically meaningful but also has great practical significance in creating sustainable livelihoods for coastal residents in Nghe An province, which is the "gap" that the thesis expected to remove

6 Theoretical and practical contributions of the thesis

+ The theoretical contributions of the thesis

- Theory on sustainable livelihood development for coastal residents developed in the thesis contributes to affirm that promoting sustainable livelihood development for coastal residents is the most important factor to ensure the sustainable development of coastal livelihoods (the greatest concurrent benefit of the economy, society and

environment), is the necessary basis for further research

- Research results show that in order to develop sustainable livelihoods for coastal residents, it is necessary to pay attention to their livelihood resources

- Research results show that in order to attract and promote sustainable livelihood development for coastal residents, it is necessary to pay attention to all three aspects of economy, society and environment in the implementation process Therefore, the

consistency in the measures implementation needs to be paid special attention

+ The practical contributions of the thesis

- The thesis has proposed some measures to promote sustainable livelihood

development for coastal residents in Nghe An province; these measures, if applied, will contribute to increase the efficiency of sustainable livelihood development activities for coastal residents of Nghe An in the coming time

- The research results of the thesis can be a useful reference for those wishing to learn about sustainable livelihood development for coastal residents in Nghe An; These information can be useful for other localities in the country

7 Structure of the thesis

Beside the introduction, conclusion, appendices and references, the thesis is structured into 4 chapters as follows:

Chapter 1 Overview of research works related to livelihoods and sustainable livelihoods for coastal people and research methods

Chapter 2 Theoretical basis and practical experience on sustainable livelihoods for coastal people

Chapter 3 The current status of livelihood for coastal residents in Nghe An province

Chapter 4 Perspectives, orientations and solutions to create sustainable livelihoods for coastal residents in Nghe An province

CHAPTER 1 LITERATURE REVIEW ON RESEARCHES RELATING TO LIVELIHOODS AND SUSTAINABLE LIVELIHOODS FOR COASTAL RESIDENTS AND RESEARCH

METHODOLOGY

1.1 Literature review on related researches

1.1.1 Studies on development, sustainability and sustainable development

According to the author, sustainable development is understood as an integrated and

balanced development of all three dimensions of economy, society and environment All three dimensions need to be reflected comprehensively on the basis of a close and harmonious combination of sustainability and stability In which, stability is assessed by the extent to which there are no significant fluctuations or changes; Sustainability is considered by growth over time

1.1.2 Researches on livelihood, and sustainable livelihoods

In view of the content approach of this study, sustainable livelihood development is to

ensure a balance in all three dimensions, namely economy, society, and environment, which is reflected in an integrated manner on the basis of close and harmonizing combination of sustainability and stability This is a process that ranges from reviewing the sustainable livelihood development policy of local authorities, formulating livelihood strategies, developing livelihood activities to assessing sustainable livelihood outcomes under the influence of livelihood capital, and livelihood development context

1.1.3 Livelihood for coastal residents

Sustainable livelihood development for coastal residents is a process that ranges from reviewing sustainable livelihood development policies of local authorities, formulating livelihood strategies, livelihood development activities, etc to the assessment of sustainable livelihood outcomes That process is reflected on the basis of a close and harmonious combination of sustainability and stability in all three dimensions: economy, society, and environment for coastal households whose sources of living and income are sea-originated and sea-based significantly

1.1.4 General evaluation on literature review of research documents

1.1.4.1 Achievements

The studies that discuss issues on many levels and different aspects are quite comprehensive on livelihoods, livelihood development and sustainable livelihoods for coastal residents as well as analyze the influence of livelihoods approach for people in other regions Livelihood policies and approaches according to impact chain, by region and by beneficiary group, approaches by region, by sector, by stage and by multi-dimensional perspectives to assess sustainable livelihood development thereby pointing out the limitations and inadequacies in creating sustainable livelihoods, the studies have clarified the limitations and inadequacies; effectiveness and the positive spreading effects of livelihood creation, sustainable livelihoods, so that highly practical solutions can be offered

1.1.4.2 Existing limitation and research “gap”

The studies mainly evaluate each aspect, each indicator in livelihood creation and sustainable livelihoods with separate economic and social impacts or assess the overall livelihood status and livelihoods of coastal residents in particular, have not analyzed deeply the impacts of sustainable livelihood creation on livelihoods and changes in livelihood resources to residents in general and coastal residents in particular Thus, it can be seen that the influence of resources on resident's livelihoods, especially coastal residents, is a gap in both theory and practice In short, the above studies have mentioned the separate issues of livelihoods, livelihood strategies, and livelihood activities Some of the dissertations have used approaches that based on the livelihood analysis framework of DFID, IFAD more specific research, but only focus on analyzing livelihood resources, livelihood change, livelihood activities, vulnerable context or institutional environment There have not been many studies on developing sustainable livelihoods or livelihoods in specific in Nghe An province Therefore, this thesis systematizes and clarifies sustainable livelihood development, which comes from considering policies for sustainable livelihood development at all levels of government, formulating livelihood strategies, livelihoods development activities, the results of livelihood development based on the influence of factors such as livelihood capital, policies of different levels of government, and vulnerability context At

the same time, this study was conducted in Nghe An province - where there has yet been any depth research on this issue for coastal residents This will be a study that is not only scientificially meaningful but also practically significant in creating sustainable livelihoods for coastal residents in Nghe An province; and that can remove the mentioned “gap”

in-From the above analysis and evaluation, the author confirms that the study of the

thesis "Sustainable livelihoods for coastal residents in Nghe An province" is of

theoretical and practical significance, suitable for the major of Economics Management

1.2 Methodology and method of study

1.2.1 Methodology and research approach

1.2.1.1 Methodology

Following are the basis for the author to complete the thesis:

- The methodological basis of the thesis is dialectical materialism (that is, the study of objects on the basis of historically specific viewpoints, development principles, principles of universal relations) and historical materialism of Marxism-Leninism The historical materialism methodology is specified by the viewpoints and orientations of the Party, the guidelines and policies of the State's and of Nghe An province on issues related to sustainable livelihood development

- The thesis also inherits the results of a number of published research works related

to the research topic

1.2.1.2 Research approach

The thesis uses several approaches: systematic and interdisciplinary approach, institutional policy approach, historical approach, sustainable development approach to study the livelihoods for coastal residents in Nghe An province

The thesis uses qualitative research methods combined with quantitative methods to collect and process data as follows:

1.2.2.1 Method of data collecting

* Collection of secondary data

The secondary data used in the study were collected from the General Administration Division of the Department of Planning and Investment of Nghe An Province, the Sub-Department of Fisheries, the Sub-Department of Cooperative Development under the Department of Agriculture and Rural Development of Nghe An Province, the Statistics Department of Nghe An Province, internet-originated data, etc and works related to livelihood resources for coastal residents The above data is only for statistics, evaluation and intepretation of some criteria related to sustainable livelihood development for coastal residents in Nghe An province

* Collection of primary data

The study’s main subject is the coastal residents of Nghe An province with the following characteristics:

 Diverse livelihood resources, including farming land, aquaculture area, marine resources and coastal mangroves

 Diversified livelihood activities, mainly dependent on marine resources

 Vulnerable livelihoods regarding to typical coastal weather hazards such as typhoons, high tide, and saline intrusion

The author conducted a survey in 4 coastal districts, with a total of 240 questionnaires, including: Quynh Luu (Quynh Thach commune, Son Hai commune), Dien Chau (Dien Kim, Dien Ngoc), Nghi Loc Nghi Thiet, Nghi Tien) and Cua Lo town (Nghia Tan, Nghi Thuy, Thu Thuy, Nghi Thu, Nghi Huong, Nghi Hai), in which 140 sheets are for the districts and

124 sheets are for Cua Lo town The surveyed content: livelihood resources which include resources at the household and local community levels According to the livelihood analysis framework reviewed in the introduction, there are five types of livelihood resources, however the study in Nghe An province is based mainly on natural resources (cultivated land, forests, and natural resources in coastal areas), corresponding to the livelihood activities associated with that resource as the criterion of stratified sampling The combination of livelihood activities based on the existing resources of the household, in the context of the vulnerable environment and policy institutions, shall formulate the livelihoods of each different group of households The results of key staff interviews and group discussions in coastal districts show that some key livelihoods are linked to resources and livelihood activities in each context

1.2.2.2 Method of information processing

Secondary and primary information will be aggregated, classified according to specific criteria and processed as follows:

- Regarding qualitative information: classified, synthesized and stored according to each research content box

- For quantitative information: classified, synthesized and processed by SPSS software according to each research content

1.2.2.2 Analysis method

a Overview on policy

The policies related to the research issue include official documents, laws, programs and projects related to coastal livelihoods issued by all levels of government The policies are reviewed generally and its impacts on livelihoods at the studied area shall be analyzed

b Situation analysis

Climate change and its impacts have different effects on communities with different socio-economic background Therefore, it is critical to comprehend the specific background of each community group (for example, what kind of resources do people in that community have, how are their livelihoods, and how are they able to adapt ) for the design and proposal of solutions to improve livelihoods, stabilize lives and production for coastal residents

c Livelihood analysis

Livelihood analysis focuses on how individuals, households and communities make a living? how do they access resources and services? in what socio-economic and political conditions? Thus, livelihood analysis helps to identify the activities and livelihoods that people engage in to meet their basic needs and increase their income

In this study, livelihood analysis is applied throughout the research process: from context analysis (vulnerable environment, institutions, policies, seasonality), to livelihood, factors affecting livelihoods, and solutions to improve livelihoods

d Method of economics statistics

Descriptive statistics were used to describe: (i) demographic characteristics; (ii)

socio-economic conditions of the studied area; (iii) vulnerable environment and

livelihood practices in each specific context

Comparative statistics will be used to compare groups of households in different

farming systems that are affected by the vulnerable environment and perform their

livelihoods in different ways Using an economic statistical approach, the study

compares the economic performance of livelihoods in specific contexts

Some criteria to classify coastal households:

Based on livelihood resources: households in the areas with or without mangroves

Households with arable land, aquaculture area or not

Based on livelihood activities

Livelihood activities based on agriculture: Cultivation, animal husbandry, fishing,

aquaculture Livelihood activities are based on hired labor in agriculture: farming for

hire, clam fishing for hire, fishing for hire

Non-agricultural activities: workers, officials, migrants, etc

CHAPTER 2 THEORETICAL AND PRACTICAL BASIS ON LIVELIHOOD AND

SUSTAINABLE LIVELIHOOD FOR COASTAL RESIDENTS

2.1 Theoretical basis on livelihood and sustainable livelihood

to the sea [5]

* Characteristics of coastal area

Table 2.1 Strengths, weaknesses, opportunities and challenges for the coastal area

• High biodiversity and relatively abundant

seafood resources

• Tourism potential - attracting and expanding

the tourism market

• Cheap and strong labor

• Port that provides services for offshore fishing

vessels and cargo ships

• Relatively favorable local market

• Isolation from diseases of plants and animals

on the mainland (for small islands)

• Social solidarity and firm community bonds

• Typhoons and monsoons cause difficulties for economic activities

• Being isolated from the mainland market (for small islands)

• Being isolated from services and information from the mainland on education, health (for small islands)

• Weak infrastructure and services, especially electricity, water, waste and wastewater treatment

• Low-skilled labor

• Few livelihood options to generate stable and sustainable income

Opportunities Challenges

• Income from fisheries can be sustainable if

marine resources are better managed

• Aquaculture has growth potential for some

households

• Development of seaport services

• Seasonal migration

• Local products can replace imported products

• Continued decline in marine resources and unsustainable long-term income

• Increased pollution, especially from solid waste, industrial wastewater, oil spills

• Excessively development of tourism which

do not bring fair benefits in return to the community

• Typhoons and floods tend to increase more

• Climate change, sea level rise

(Source: [154]) 2.1.1.2 Concept on livelihood and sustainable livelihood

a Livelihood

Livelihood in this study is understood as a way of earning a living, generating income and employment A livelihood includes capabilities, assets, activities and access to these assets and activities through institutions and social relations All together determine the lives that individuals and households receive

b Sustainable livelihood

Figure 2.1 DFID sustainable livelihoods framework

Source: [117]

c Household livelihood

From the above theoretical bases on livelihoods, it is possible to come to the most general

concept of people's livelihood: the set of resources and capabilities that people have, combined

with their decisions to earn a living against the impacts of social development

2.1.1.3 Concept on livelihood for coastal residents

The framework for sustainable livelihoods of coastal residents is a process that ranges from the use of livelihood resources by coastal households, the formulation of livelihood strategies, the livelihood development activities to the assessment of outcomes

of sustainable livelihood That process is reflected on the basis of a close and harmonious combination of sustainability and stability in all three dimensionss: economy, society, and environment for coastal households whose sources of living and income are sea-originated and sea-based significantly

2.1.2 Characteristics and importance of the study on livelihoods for coastal residents

2.1.2.1 Characteristics of livelihoods for coastal residents

Firstly, the coastal area has a large population with a relatively high population

density of about 2.7 billion people - accounting for about 40% of the world's population [16]

Secondly, the livelihoods of coastal residents are more diverse than in other regions

due to abundant coastal resources in addition to other resources as of rural areas

Thirdly, in comparison to other agro-ecological regions, the coastal area is a dynamic

development area, but at the same time, it is also a place subjected to many impacts from nature as well as human living and production activities

Fourthly, coastal livelihoods are characterized by low technology and productivity,

are dependent on informal socio-economic agreements, and are frequently exposed to

economic vulnerability as well as difficulties in forecasting the outcome of labor and other investments

Fifthly, livelihood strategies of coastal residents are at risk of being narrowed under the impact of climate change, environmental pollution and other pressures

2.1.2.2 The importance of the study on livelihoods for coastal residents

2.2 Discussion on sustainable livelihoods for coastal residents

2.2.1 The management policies and mechanisms of the State and the province

2.2.2 The sustainable livelihood resources of coastal residents

According to DFID's sustainable livelihoods framework, five types of livelihood assets or livelihood capital are understood as: (i) Physical capital, (ii) Financial capital, (iii) Social capital (iv) Human capital and (v) Natural capital [117]

2.2.3 Strategies for the development of livelihoods for coastal residents

2.2.3.1 Strategic adaptability of coastal residents

2.2.3.2 Changing livelihood strategies of coastal residents

2.3 Factors impacting the sustainable livelihoods of coastal residents

- State policy on sustainable livelihood development

2.4 Practical basis on sustainable livelihoods of coastal residents

2.4.1 Experience by several countries in the region

2.4.2 Experience on sustainable livelihoods of coastal residents in several localities in the country

* Coastal area of Ninh Thuan province

* Coastal area of Nam Dinh province

* Coastal area of Ben Tre province

* Coastal area of Da Nang city

* BA Ria Vung Tau

2.4.3 Lesson learnt for Nghe An province

Firstly, focus on developing coastal cities

Secondly, exploit the advantages to strongly develop the coastal economic sectors Thirdly, uniform the policies on coastal economic development

Fourthly, attach importance to investment in building infrastructure

CHAPTER 3 CURRENT SITUATION OF LIVELIHOODS OF COASTAL RESIDENTS IN

NGHE AN PROVINCE

3.1 Potential and advantages on coastal products of Nghe An province

3.1.1 Natural conditions and characteristics of coastal area

Nghe An has a coastline of 82 km and a sea area of 4,230 square nautical miles, along the coast there are 6 estuaries (Con creek, Quen creek, Thoi creek, Van creek, Cua Lo, Cua Hoi estuary)

With a long coastline and many estuaries, Nghe An has a lot of potential for marine transport development, including Cua Lo port and Cua Hoi fishing port Cua Lo Port (currently 10,000 ton ships can easily enter and exit, the warehouse area is about 13,000 m²) has been invested by the State to upgrade and expand it into a deep-water port with capacity

of up to 50,000 tons, and to start the exploitation in 2015 This is a favorable condition, meeting the needs of socio-economic development of the province and the North Central region in the future

3.1.3 Characteristics of livelihoods of coastal residents in Nghe An province

Table 3.1: Livelihoods strategies for groups of households, period of 2010-2020

Low-Moderate -income househol

ds

off house holds

Well- income househo lds

Low-Moderate income househol

ds

off house holds

- Mainly based on animal husbandry 14,7 22,3 12,3 11,5 17,5 9,2