Economy and Environment Program

for Southeast Asia

22 Cross Street
#02-55 South Bridge Court
Singapore 048421
Tel: (65) 6438 7877
Fax: (65) 6438 4844
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RESEARCH REPORT

No. 2010-RR9

Adaptation Behaviors of
Communities and Households
to Extreme Climate Events in
Quang Nam Province, Viet
Nam: Towards a Set of
Possible Adaptation
Measures
Phong Tran et al
College of Economics – Hue University
100 Phung Hung Street, Hue City, Viet Nam.
Tel: +84 54 538332; Fax: +84 54 529491
Email: giaiphongjp@gmail.com

This study identifies the adaptation behaviors of local

institutions and households in order to determine a set of
adaptation possibilities appropriate to Central Viet Nam.
The constraints and barriers to implementing a set of
adaptation possibilities have been analyzed from different
angles, such as the economic status and education level of
each household or the adaptation mechanisms of local
organizations. The study also outlines lessons learned and
policy recommendations for climate change adaptation at a
household level in Central Viet Nam.

The findings reveal that there are various local government

units, agencies and community organizations involved in
adaptation to climate change from provincial to commune
level. At household level, traditional risks such as annual
typhoons and floods are ever-present, while new risks,
thought to be caused by climate change, are increasing,
putting traditional disaster-coping mechanisms under
pressure. Households need financial and technical
assistance to prevent or minimize the impacts of climate
change-induced events. There is a big gap between
expected adaptation options and their actual
implementation during an extreme climate-change event.
The barriers and constraints to implementing climate
change adaptation options are various. One of the most
important recommendations is to improve the housing
sector to protect human lives and property, as safe housing
could significantly contribute to the resilience of
households and is the first defense against the impacts of
climate-induced disasters.
Published by the Economy and Environment Program for Southeast Asia (EEPSEA)
22 Cross Street, #02-55 South Bridge Court, Singapore 048421 (www.eepsea.org)
Tel: +65-6438-7877, Fax: +65-6438-4844, Email: eepsea@idrc.org.sg

EEPSEA Research Reports are the outputs of research projects supported by the Economy and
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condensed into EEPSEA Policy Briefs, available upon request. The Economy and Environment Program
for Southeast Asia also publishes EEPSEA Special Papers, commissioned works with an emphasis on
research methodology.

ISBN: 978-981-08-7071-3

The views expressed in this publication are those of the author(s) and do not necessarily represent those
of the Economy and Environment Program for Southeast Asia or its sponsors. Unless otherwise stated,
copyright for material in this report is held by the author(s). Mention of a proprietary name does not
constitute endorsement of the product and is given only for information. This publication may be
consulted online at www.eepsea.org.
Adaptation Behaviors of Communities and Households to
Extreme Climate Events in Quang Nam Province, Viet
Nam: Towards a Set of Possible Adaptation Measures

Phong Tran
Tran Huu Tuan
Bui Dung The
Bui Duc Tinh

January, 2010
Comments should be sent to: Phong Tran, College of Economics – Hue University, 100
Phung Hung Street, Hue City, Viet Nam.
Tel: +84 54 538332
Fax: +84 54 529491
Email: giaiphongjp@gmail.com

The Economy and Environment Program for Southeast Asia (EEPSEA) was
established in May 1993 to support research and training in environmental and resource
economics. Its objective is to enhance local capacity to undertake the economic analysis
of environmental problems and policies. It uses a networking approach, involving
courses, meetings, technical support, access to literature and opportunities for
comparative research. Member countries are Thailand, Malaysia, Indonesia, the
Philippines, Viet Nam, Cambodia, Lao PDR, China, and Papua New Guinea.

EEPSEA is supported by the International Development Research Centre (IDRC);

the Swedish International Development Cooperation Agency (Sida); and the Canadian
International Development Agency (CIDA).

EEPSEA publications are also available online at http://www.eepsea.org.

 ACKNOWLEDGEMENTS

The authors wish to thank EEPSEA and IDRC for funding this research and
especially for the support of Dr. Herminia Francisco, Ms. Catherine Ndiaye and Ms. Ang
Cheng Hiang, whose help has been invaluable in every aspect of this undertaking. The
research would not have been possible without the cooperation of local communities and
governments, from commune level to provincial level, in Quang Nam Province. The
analyses and opinions in this report are those of the authors and do not necessarily reflect
the views of EEPSEA. The authors alone remain responsible for any errors in this report.
 TABLE OF CONTENTS
EXECUTIVE SUMMARY
1.0 INTRODUCTION ............................................................................................................. 1
1.1. Background ............................................................................................................... 1
1.2. Objectives .................................................................................................................. 2
2.0 RESEARCH METHODOLOGIES ................................................................................... 3
2.1. Data Collection Methods ........................................................................................... 3
2.2. Data Analysis............................................................................................................. 5
3.0 THE STUDY AREA: QUANG NAM PROVINCE ......................................................... 6
3.1. Historical Climate Trends in Quang Nam ................................................................. 6
3.2. Xangsane Typhoon .................................................................................................... 7
3.3. Natural Conditions in Quang Nam ............................................................................ 8
3.4. Economic Conditions in Quang Nam...................................................................... 10
3.5. Most Vulnerable Community/Locality.................................................................... 12
3.6. The Study Site ......................................................................................................... 14
4.0 INSTITUTIONAL ANALYSIS ...................................................................................... 15
4.1. Adaptive Capacity of LGUs and Local Organizations ............................................ 15
4.2. Adaptation Strategies of LGUs and Local Organizations ....................................... 24
4.3. Lessons Learned, Needs, Gaps and Plans for Climate Change Issues .................... 27
5.0 HOUSEHOLD ADAPTATIONS/RESPONSES ............................................................. 31
5.1. Adaptive Capacities/Profiles of Interviewed Households ....................................... 31
5.2. Xangsane Typhoon and its Impacts ......................................................................... 38
5.3. Xangsane Yyphoon and Adaptation Behaviors ....................................................... 40
5.4. Relationship between Socio-physical Indicators and Economic Loss/Damage...... 44
5.5. Collective Adaptation by Communities .................................................................. 48
6.0 CONCLUSIONS AND RECOMMENDATIONS .......................................................... 51
6.1. Adaptation Options ................................................................................................. 51
6.2. Barriers ................................................................................................................... 53
6.3. Recommendations to Cope with ECEs ................................................................... 57
REFERENCES ....................................................................................................................... 60
APPENDICES ......................................................................................................................... 61
Appendix 1: Key Informant Interviews conducted by administrative level ..................... 61
Appendix 2: Distribution of Focus Group Discussions by administrative level ............... 62
 LIST OF TABLES
Table 1: Level of intensity of storms .......................................................................................... 7
Table 2: Damage and social disruption caused by Xangsane typhoon (2006) ........................... 8
Table 3: Climate change-related disasters, impacts by sub-regions ......................................... 10
Table 4: Quang Nam population and labor, 2007..................................................................... 12
Table 5: Local programs and policies for climate change responses ....................................... 18
Table 6: Resources rated by LGUs and local organizations ..................................................... 19
Table 7: Adaptation strategies adopted by LGUs and organizations in response to Xangsane
typhoon ............................................................................................................................. 25
Table 8: Average household income ........................................................................................ 35
Table 9: Frequency of extreme typhoons/flooding................................................................... 38
Table 10: Household (HH) damage caused by Xangsane typhoon .......................................... 39
Table 11: Adaptations made before Xangsane typhoon ........................................................... 42
Table 12: Adaptation options during Xangsane typhoon ......................................................... 43
Table 13: Adaptation options after Xangsane typhoon ............................................................ 44
Table 14: Houses by permanence and income group ............................................................... 45
Table 15: Average flood level and level of house base by income ........................................... 45
Table 16: Loss and damage caused by Xangsane by income group ........................................ 46
Table 17: Levels of education and perceptions of the severity of future disaster events ......... 47
Table 18: Level of education and perceptions of future risks .................................................. 48
Table 19: Collective action and Xangsane typhoon ................................................................. 48
Table 20: Collective activities of households ........................................................................... 49
Table 21: Needs of households................................................................................................. 50
Table 22: Percentage of households unable to take adaptive measures before Xangsane
typhoon ............................................................................................................................. 51
Table 23: Percentage of households that did not take adaptation measures during Xangsane
typhoon ............................................................................................................................. 52
Table 24: Percentage of households unable to implement adaptation measures after Xangsane
typhoon ............................................................................................................................. 53
Table 25: Expert adaptation proposals ..................................................................................... 57
 LIST OF FIGURES
Figure 1: Frequency of climate change-related disasters by year of occurrence ....................... 7
Figure 2: Map of Viet Nam and Quang Nam Province .............................................................. 9
Figure 3: Gross Domestic Product and annual growth rate by year......................................... 11
Figure 4: Gross Domestic Product by sector ............................................................................ 11
Figure 5: Rating climate change-related ECE responses in planning at local level ................. 17
Figure 6: Rating local monitoring and warning systems.......................................................... 21
Figure 7: Managing and exchanging information on climate change-related risk ................... 22
Figure 8: Managing and exchanging information on disasters ................................................ 23
Figure 9: Locations of surveyed households ............................................................................ 31
Figure 10: Locations of permanent, semi-permanent and non-permanent housing ................. 32
Figure 11: Location of housing by number of storys ............................................................... 33
Figure 12: Houses close to rivers ............................................................................................. 34
Figure 13: Houses close to main roads..................................................................................... 34
Figure 14: Proximity of households to buildings that can be used as shelters ......................... 36
Figure 15: Location of housing according to level of damage ................................................. 40
Figure 16: Provincial forecasting and warning system ............................................................ 41
ADAPTATION BEHAVIORS OF COMMUNITIES AND HOUSEHOLDS TO
EXTREME CLIMATE EVENTS IN QUANG NAM PROVINCE, VIET NAM:
TOWARDS A SET OF POSSIBLE ADAPTATION MEASURES

Phong Tran
Tran Huu Tuan
Bui Dung The
Bui Duc Tinh

EXECUTIVE SUMMARY
Climate change and adaptation to its impacts are pressing issues. Great efforts
have been made locally to prevent and adapt to climate change events but problems
related to climate change are exacerbated in poor communities in developing
countries. Understanding local adaptation capacity and responses to climate change
events is important so that barriers that constrain adaptation capacity can be
identified and solutions to bridge the gaps and enhance local capacity can be sought.
Located in the heart of Viet Nam, Quang Nam is one of the poorest provinces
in the country. In recent years the province has been affected by more frequent,
intense, and extreme climate events. Climate change events such as Xangsane
typhoon in 2006, historic floods in 2007, and typhoon Ketsana in 2009, have had a
variety of adverse impacts on socio-economic development, particularly in poor
communities in disaster-prone areas. Using Quang Nam as a case study province, this
report argues that it is essential to understand the coping behaviors of households in
the face of a changing climate and accompanying extreme events. This study
identifies the adaptation behaviors of local institutions and households in order to
determine a set of adaptation possibilities appropriate to Central Viet Nam. The
constraints and barriers to implementing a set of adaptation possibilities have been
analyzed from different angles, such as the economic status and education level of
each household or the adaptation mechanisms of local organizations. This study also
outlines lessons learned and policy recommendations for climate change adaptation
(CCA) at a household level in Central Viet Nam.
The findings reveal that there are various local government units (LGUs),
agencies and community organizations involved in adaptation to climate change from
provincial to commune level. The Center for Storm and Flood Control plays the most
important role in planning and preparedness for adaptation to climate change events.
Full-time local staff work in the area of climate change in government units and
community organizations. A limited budget, limited knowledge/expertise and a lack
of equipment suited to adaptation for climate change events are the main constraints
on these local government units and community organizations.
At household level, traditional risks such as annual typhoons and floods are
ever-present, while new risks, thought to be caused by climate change, are
increasing, putting traditional disaster-coping mechanisms under pressure.
Households need financial and technical assistance to prevent or minimize the
impacts of climate change-induced events.
There is a big gap between expected adaptation options and their actual
implementation during an extreme climate-change event. The barriers and constraints
to implementing climate change adaptation options are various. However, they can
be summarized as follows: there are a high percentage of non-disaster resistant
houses and infrastructure; there is insufficient access to disaster risk management
information and planning; there is a lack of mutual help between people; traditional
coping mechanisms are under pressure; there is a lack of emergency response
equipment and trained personnel; people have low and instable incomes; and there is
limited access to financial resources.
Based upon a household survey and discussions with local people, a set of
suggestions to overcome these challenges has been recommended. One of the most
important recommendations is to improve the housing sector to protect human lives
and property, as safe housing could significantly contribute to the resilience of
households and is the first defense against the impacts of climate-induced disasters. It
is also recommended that support and rescue teams be established in each
community, that better emergency information systems and disaster-planning
mechanisms are instituted, that awareness of climate change is raised in local
communities, that rural infrastructure be upgraded, that environmental sanitation be
improved, and that improved productivity and the resulting increase in household
incomes are pursued as priorities.
 1.0 INTRODUCTION
1.1 Background
Climate change and its impact on human life has become a burning issue for
not only environmentalists but also for policy makers and for whole communities all
over the world. Climate change is taking place accompanied by significant changes
in precipitation, temperature, and changes in the frequency and intensity of some
extreme events. These changes will affect natural and human systems independently
or in combination with other determinants to alter the productivity, diversity and
functions of many ecosystems and livelihoods around the world. Yet these impacts
will not be distributed or felt uniformly, as those “with the least resources have the
least capacity to adapt and are the most vulnerable” (IPCC, 2007).
It is recognized that the poor will be most vulnerable to climate risks.
Settlement on marginal or unstable land such as coastal areas, the slopes of
mountains, river basins and urban slums, heightens their exposure to the impacts of
climate change. With limited capacities and resources at their disposal to respond to
stresses such as droughts and floods, typhoons and rain-induced landslides, their
ability to meet their basic needs and improve their lives is constrained. Climate
change impacts threaten to exacerbate existing vulnerabilities and further entrench
development disparities (IISD, SEI, IUCN, Intercooperation, 2003).
Climate change is primarily caused by the emission of greenhouse gases.
However, international negotiations at Copenhagen in December 2009 failed to
achieve consensus on targets for climate change mitigation. It is predicted that the
severity and frequency of extreme climate events will increase and poor communities
will be the groups most vulnerable to these changes. Until now, there has been no
consensus among the developed countries regarding the reduction of greenhouse
gases. Furthermore, scientists estimate that even if emissions of all greenhouse gases
stopped today (the mitigation approach) some degree of climate change would still
occur and developing countries would suffer greatly (Huq et al., 2003). Developing
countries have no alternative but to adapt. Mitigation is not cost-effective, especially
for developing countries (IPCC, 2007), so “mitigate we might; adapt we must”
(Pielke, 1998, cited in Huq, Rahman, Reid, 2003). According to Briguglio (2003), a
community’s resilience is associated with adaptation. So adaptation to climate
change and its impacts means that climate disaster-resilient communities need to be
built.
Large numbers of people in coastal and lowland areas are at risk from the
effects of climate change and yet do not currently receive adequate attention. Many
coastal communities have already faced life-threatening risks from climate-change-
induced events such as storms of increased intensity, flooding and riverbank erosion.
These and other climate change impacts threaten their livelihoods, property,
environment and future prosperity. Considering the alarming threat to coastal
communities, this is a good time to pay attention to them and to increase their
resilience to climate change and its associated disasters. Literature on climate change
adaptation largely focuses on the vulnerability of people and communities at risk –
we are well acquainted with vulnerability. Therefore, we now need to focus on what
people have already done, could have done, and can do in the future, to adapt to
climate change events. Adaptation behaviors play an important role in shaping
natural disaster coping mechanisms and disaster risk management. It can influence

1
both the design and operational aspects of climate change adaptation, and
particularly disaster risk management. When extreme events are perceived as hazard-
led events, the most common adaptation behavior focuses on physical issues,
structural measures, and external relief. In contrast, if disasters are thought of as a
product of hazard and vulnerability, then coping and management focuses on non-
structural measures. Therefore, understanding how people behave towards an
extreme event is important in formulating a climate change adaptation policy and
plan.
Located on the Indochina Peninsula in Southeast Asia, Viet Nam is one of the
ten countries “at risk” from the impacts of climate change (IPCC 2007). In different
parts of Viet Nam a significant shift has been noted between summer and winter rain,
causing prolonged dry days that in turn have caused significant damage to
agriculture. Similarly, changes in the salinity of water in coastal lagoons threaten
aquaculture and agricultural activities. The tropical cyclones (typhoons) and floods
of the past few decades are a major cause for concern for both the government and
local communities. Typhoon Xangsane and its accompanying floods (2006, Central
Viet Nam) is one such example of an extreme climate change event. Despite all of
these concerns, this region lacks an in-depth study that focuses on the adaptation
experiences of households and communities. This report looks into the adaptation
behaviors of local communities and decision makers in climate risk areas in Central
Viet Nam. The report also examines adaptation possibilities appropriate to the socio-
economic capacity of Central Viet Nam. By comparing actual action and behaviors
undertaken, gaps and needs in climate change adaptation were identified. Barriers to
undertaking possible climate change adaptation measures and how these barriers can
be overcome are also analyzed in this research.

1.2 Objectives
This research project aims to achieve the following objectives.
(1) Identify the adaptation behaviors of households and local communities.
(2) Determine a set of adaptation possibilities appropriate to the socio-
economic capacity of Central Viet Nam.
(3) Analyze the constraints and barriers to the implementation of adaptation
possibilities.
(4) Develop human behavior scenarios for coping with extreme disaster
events given the increasing impacts of climate change and the socio-economic context.
(5) Look at the lessons learned and make policy recommendations for climate
change adaptation in Central Viet Nam.

2
 2.0 RESEARCH METHODOLOGIES

2.1 Data Collection Methods

Document-based research, key informant interviews, focus group discussions and
questionnaire surveys were used for data collection and analysis.

2.1.1 Secondary data collection method

Document-based research was used to obtain relevant reports, statistical data and
published information. Secondary data was sourced from web-based research and
government departments at both provincial and commune levels including: the
Department of Agriculture and Rural Development; the Department of Environment and
Resources; provincial Storm and Flood Control committees; the Center for
Hydrometeorology Prediction; the Women’s Union; the Youth Union; the Center for
Medical Prevention; and the Department of Health. These sources of information were
used to contextualize the study site and the profile of climate change and disasters as well
as the impacts of disasters on local communities. These sources of information also
helped to illustrate the collaboration between government agencies and their efforts to
mitigate the impacts of climate change on local communities. The focus was also on
generating an overview of government practices and strategies aimed at adapting to
climate change issues in Quang Nam Province.

2.1.2 Key informant interviews

Based on the theoretical framework and objectives of this study, a questionnaire
was designed for informant interviews with key people in government agencies and
community and mass organizations (organizations found throughout the country that
function as a focal point for people and local authorities or development organizations to
address various issues) at both provincial and local levels. Note-taking and tape recording
was used to capture information during the key informant interviews. Sixty-eight
interviews were conducted, ranging from provincial to household levels (Appendix 1).
Key informant interviews were conducted at provincial government agencies, including
with the Head of the Committee for Flood and Storm Control and representatives from
the Department of Agriculture and Rural Development, the Department of Environment
and Resources, the Department of Health, and the Health Prevention Center. Seven
interviews were conducted with provincial mass organizations such as the Red Cross, the
Youth Union, the Women’s Union, the Farmers’ Association, the Veterans’ Association
and a representative from the Quang Nam Donation Organization. A similar distribution
of key informant interviews also took place at district level. At local level, interviews
were conducted with the heads of communes, community organizations, villages, and
households.
Conducting key informant interviews face-to-face enabled the collection of
qualitative information about local government, its preparedness, adaptation options, and
capacity to mitigate the adverse impacts of climate change on local communities. This
technique also enabled the investigation of adaptation behaviors of households and local
communities. Using the information collected via key informant interviews, a set of
adaptation possibilities were determined, particularly taking into account the socio-

3
economic capacity of Quang Nam Province. The key informant interviews also focused
on barriers to the local implementation of adaptation options.
2.1.3 Focus group discussions
Conducting focus group discussions is an excellent method of collecting data in
the participants’ own words and of acquiring deeper insights into the study issues.
Participants are able to build on other participants’ responses and come up with new
ideas, as well as identify factual errors or highlight overly-critical views. During key
informant interviews, Hue College of Economics (HCE) researchers invited
representatives from government agencies and community and mass organizations to
participate in focus group discussions. HCE researchers also prepared an agenda,
including an introductory script that explained the purpose of the discussions, the
objectives of the study, how the discussions would be run and a list of the most important
issues that would be tackled.
Eight focus group discussions were conducted from provincial to community
level. Each focus group included between eight and ten participants (Appendix 2). The
following information was collected from focus group discussions.
An overview of Quang Nam Province in terms of its ecosystem and socio-
economics. A profile of climate-change disasters and their impacts, with special
attention given to the Xangsane typhoon. The most disaster-prone sub-region and
most disaster-prone household group were identified.
Information about collaboration between local government agencies at
different levels when dealing with disasters. Information about activities the province
has conducted to support local communities when dealing with disasters in general
and Xangsane typhoon in particular.
Information about the local authority’s awareness, attitudes and responses
to climate change-related disasters and Xangsane typhoon. Learning lessons (i.e.
effective measures) from before, during and after disasters in order to reduce the
effects of disasters.
Information about barriers and difficulties that constrain provincial
agencies, mass organizations and local communities when coping with disasters.

2.1.4 Questionnaire survey: design and sampling

Based on the results of key informant interviews and focus group discussions, the
questionnaire was revised for the household survey. A list of the households in each
village was compiled during the secondary data collection. Based on these lists, the
survey questionnaire was conducted across a sample size of 400 households selected at
random and coded by GPS kits.
In order to determine the sample size most likely to represent the adaptation
behaviors of households and communities within the project area, lists of households
within the communes together with the location of each village, lists of main livelihood
activities, and the economic status of households (comprising three levels: poor, medium-
income and better-off) were obtained from each commune’s People’s Committee (PC)
and every village. From this list, households were randomly selected across economic
status and coded using the GPS kits. The final sample size was approximately 392
households, 10% of the total number of households in each commune. Since the sampling

4
procedure was not completely random, investigators deliberately paid attention to the
selection of the survey sites and to respondents that were equally distributed across the
entire commune.
2.1.5 GIS and GPS data collection and survey
An additional component of this study is spatial analysis using GIS and GPS
tools. The main information collected for spatial analysis included: hydrological
information and flood records; geographical information, including topography and land
use; river morphology (in terms of return flood periods, duration, water levels and levels
of danger); meteorological information relating to flood seasons; information about
existing infrastructure (housing conditions, public facilities); demographic and socio-
economic conditions (such as poverty and education); and information on the damage and
loss caused by previous flood disasters. Data also included spatially-referenced variables
dealing with topography, land cover, and demographic information. Each pre-tested
household was located by GPS.

2.2 Data Analysis

While data collection is an important step, data analysis is also a vital factor in the
success of a project. The survey questionnaire was transcribed into numerical variables in
Statistical Package for the Social Sciences (SPSS) for analysis. The main results obtained
from this quantitative data analysis were:
Identification of the adaptation behaviors and adaptation possibilities of
different groups of households.
Identification of the barriers and difficulties constraining different groups
of households.
Identification of Xangsane typhoon’s impacts on different household
groups in the project site.
Data collected via the survey questionnaire was used in combination with
GPS information to sketch out maps.
A digital map and database of the terrain, inhabitants, and the
infrastructure of the project site were created.
The status of, and risk and vulnerability caused by, natural disasters was
defined.
The spatial analysis took advantage of GIS tools to produce disaster-risk maps at
village level. These maps were presented to communities as risk assessment tools. In
addition, household disaster risk index maps were created, analyzed and presented, with
vulnerability indicators and hazard indicators taken into account as key determinants of a
household’s disaster index, using the following formula: Household disaster index =
Vulnerabilities x Hazards.

5
 3.0 THE STUDY AREA: QUANG NAM PROVINCE

3.1 Historical Climate Trends in Quang Nam

Increased climate changes and climate change-related disasters have been
occurring widely throughout Viet Nam, particularly in the Central region, which has been
identified as the most disaster-prone region of the country in the last decade. Projections
suggest that this situation will worsen as the frequency and severity of extreme disaster
events increases. Climate changes, especially extreme disasters, have killed many people,
have destroyed livelihoods, and have pushed many communities back into poverty year
after year.
Facts indicate that there has been an increase in the frequency and intensity of
climate change-related disasters, such as floods and storms, in Quang Nam (See Figure 1
and Table 1). Records at the Quang Nam Center for Hydrometeorology Prediction
(QCHP) indicate that historically there have been two main seasons every year in the
province. The rainy season takes place between September and February, however the
heaviest rainfall is often from September to November, so floods regularly occur during
this period. Because of the typical topography of the region, with mountain slopes
running from west to east, with short rivers, lakes and low-lying areas, floods often
happen quickly and inundate large areas rapidly. This flooding has serious impacts on
local communities. During the rainy season Quang Nam also suffers from monsoons that
cross from the north, reinforcing the area’s reputation as the most flood-prone province.
For example, Quang Nam experienced nine floods within a period of two months in
2007. This had a devastating effect on local communities, with the cost of damage
estimated at up to VND 2000 billion. The dry season (when it is sunny), lasts from mid-
March to late August with between 10 and 15 heat waves, especially in July and August
(Quang Nam Center for Hydrometeorology, 2007). As a result of these conditions local
communities often deal with droughts during periods of agricultural production. In
addition, storms are a major hazard in Quang Nam, usually occurring from July to
December every year.
Anecdotal information from focus group discussions and official records from the
Quang Nam Center for Hydrometeorology indicate that there have been changes in
climate patterns, resulting in an increase in the frequency and severity of climate change-
related disasters in the province. Focus group discussions identified the early arrival of
the rainy season and out-of-season rains in April and May that cause damage to crops.
Focus group discussions also identified an increase in the intensity of floods and storms
in recent years. This result was confirmed by the annual records of the QCHP for last five
years.
As shown in Figure 1, annual rainfall increased from 2,071 mm in 2003 to 3,440
mm in 2007. A similar trend was identified regarding floods in Quang Nam, which
increased in number from two in 2003 to nine in 2007, earning 2007 the title of “the year
of flooding’ (Quang Nam PC, 2008). From 1 October to 7 December 2007, three big
floods occurred in only 20 days. Many communes were inundated by between 1.5 and 1.7
meters of water – this was between 0.5 and 1.5 meters higher than the water level of the
historic floods of 1999.
Focus group discussions indicated that storms rarely occurred in the last three
decades, and a storm of Xangsane-like proportions used to be a once-a-century event in
the province. The records of the QCHP (2007) indicate an increase in the frequency and

6
intensity of storms in last five years (Figure 1). Table 1 shows the increased intensity of
storms during the last five years: three out of four of the storms that have hit Quang Nam
in this period have reached an intensity level of 12, or even 13, which is equal to
Xangsane typhoon (however only Xangsane hit inland). Local communities’ lack of
experience in dealing with Xangsane-type storms is the main reason for the losses caused.

10 9 4000
9 3158 3440 3500
8
3000
Storm/rain (time)

2356

(Rainfall - mm)
7 6 6
2009 2500
6 2071
5 4 4 4 4 4 2000
4 1500
3 2 2 1000
2
1 500
0 0
2003 2004 2005 2006 2007
(Year)

Flood Storm Rainfall

Figure 1: Frequency of climate change-related disasters by year of occurrence

Source: Quang Nam Center for Hydrometeorology Prediction, 2003-2007

Table 1: Level of intensity of storms

Level of intensity
Year 7 8 9 10 11 12 13
2003 2 1 1
2004 1 1
2005 2 1 1 2
2006 1 1 2
2007 1 3
Source: Quang Nam Center for Hydrometeorology Prediction, 2003-2007

It is evident that there have been changes in the climate of Quang Nam,
particularly in the frequency and intensity of climate change-related disasters. This
climate trend threatens socio-economic development and local livelihoods.

3.2 Xangsane Typhoon

The year 2006 was recognized as “the year of typhoons” with four typhoons,

7
including Xangsane typhoon, which was recognized as a once-a-century event in Quang
Nam (Quang Nam PC, 2007). These typhoons caused serious damage to local
communities, leaving 14 people dead, 307 people injured and damage of nearly VND 600
billion.
After four days of warnings from the media (from 27 September onwards),
Xangsane typhoon made landfall in Dailoc District in Dai Hoa and Dai Cuong
Communes at about 7 a.m. on 1 October and lasted for four hours. Xangsane hit Quang
Nam with an intensity level of 13, accompanied by heavy rain which caused extreme
floods in Dai Loc (Dai Loc PC, 2007). This storm took the lives of seven people in the
districts of Dai Loc (two in Ai Nghia, one in Dai Minh, one in Dai Hoa, one in Dai
Cuong, one in Dai Phong and one in Dai Nghia) and 295 people were injured. The cost of
the damage was estimated to be VND 459.217 billion. Details of the damage are
presented in Table 2.

Table 2: Damage and social disruption caused by Xangsane typhoon (2006)

Damage Value (bil VND)
1. Homes and assets 336.561
2. Educational infrastructure 12.292
3. Healthcare system 0.883
4. Agriculture – aquaculture and forestry 90.82
5. Infrastructure 110.364
Total damage 459.27

Social disruption Recovery time (days)

1. Electric power 15
2. Education 7
3. Healthcare stations 5
4. Water supply 15
5. Road 10
6. Business 7
7. Bridges 60
Sources: Dai Loc PC, 2007, and focus group discussions conducted in 2009

3.3 Natural Conditions in Quang Nam

Quang Nam is located at the heart of Viet Nam, about 860 km to the north of the
city of Ho Chi Minh and 865 km south of the country’s capital, Ha Noi. The south of
Quang Nam shares a border with the province of Quang Ngai, which is famous for Dung
Quat – the largest industrial zone in the Central region of Viet Nam. Da Nang is the
neighbor city to the north of Quang Nam, which is at the heart of the Central region. To
the west of the province, Quang Nam shares a border with the Republic of Laos, Kontum
Province and the South China Sea in the east (Figure 2).
The province is located at the point of intersection between the north and the
south of Viet Nam, characterized by aslope topography from west to east with many
mountain ranges, short rivers, and delta and coastal areas with a diversified ecosystem. It
has become one of the most disaster-prone regions in Viet Nam.
The province has an interlacing river system, about 900 km in length, which
spreads through many districts, including A Vuong, Kon, Cai, Trach, Vu Gia, Thu Bon,

8
Vinh Dien, Ba Ren, Truong Giang, Ly Ly and Tam Ky. The river system flows to the
South China Sea, its two main estuaries being Cua Lat in Hoi An town and An Hoa in Nui
Thanh.
In terms of topography, Quang Nam Province can be viewed as three sub-regions:
coastal areas, lowland delta areas, and mountainous areas.
The coastal sub-region consists partly of Hoi An, Duy Xuyen, Nui Thanh, Thang
Binh and Tam Ky. Much of the land of this region is sandy and the groundwater is salty.
Communities in this region are mainly involved in fishing activities and the processing of
seafood and its related products, such as fish sauce. Few agricultural activities, such as
raising cattle and other livestock, are part of their livelihoods. Communities here are also
involved in small businesses such as selling groceries, fish sauce processing, and tourism.
This area is considered to be one of the most badly affected by climate change-related
disasters such as typhoons, floods, and flood tides that cause considerable damage in
terms of human fatalities, people injured, social disruption, loss of fishing and household
assets, e.g. boats, engines, and houses, and damage to public buildings and roads.

Figure 2: Map of Viet Nam and Quang Nam Province

Source: authors

9
 The second sub-region is the lowland delta area, which consists of parts of Dien
Ban, Duy Xuyen, Thang Binh, Nui Thanh, Dai Loc, Que Son, Tien Phuoc, Hiep Duc and
Tam Ky. This sub-region is characterized by low-lying paddy fields and plentiful water
resources for agriculture, however it is also recognized as the most flood-prone area of
Quang Nam. Every year local communities have to endure serious floods. Household
income is mainly generated from agricultural activities such as growing rice, maize,
ground beans and vegetables, and raising livestock such as cattle, pigs and poultry. Non-
farm activities and family-based industries account for a relatively small proportion of the
local economy. Annually, due to its low-lying topography, this sub-region suffers between
four and six floods – with nine in 2007. The floods cause damage to crops, livestock,
assets and homes. About 7,000 households in the estuaries and along rivers need
resettlement to areas safe from flooding (focus group discussions and Quang Nam PC,
2007).
The third sub-region is the mountainous area, which consists of parts of Dai Loc,
Que Son, Phuoc Son, Bac Tra Mi, Nam Tra Mi, Tien Phuoc, Hiep Duc, Dong Giang, Tay
Giang and Nam Giang. This sub-region is characterized by a landscape of aslope uplands
and mountains. It is also important to note that all the ethnic minority groups of Quang
Nam live in this region, making them vulnerable to the effects of climate change. The
main ethnic minority groups are the K’Ho, Van Kieu, Ca Dong, Xe Dang, Mo Nong, and
Co. The livelihoods of these peoples mainly depend on upland agricultural production
and forest products. Annually, this sub-region is affected by flash floods, landslides
during the rainy season, and droughts in the dry season. Table 3 summarizes the results of
focus group discussions about climate change-related disasters, looking at the significant
impacts on each sub-region.

Table 3: Climate change-related disasters, impacts by sub-region

Sub-region Main disasters with Note
significant impacts
1. Coastal region - Typhoons In rainy season
- Floods and tides
2. Lowland delta - Floods accompanied by In rainy season
inundation
- Typhoons
3. Mountainous area - Flash floods In rainy season
- Landslides and erosion In rainy season
- Droughts In dry season
Source: Focus Group Discussions conducted by HCE team, Quang Nam, 2009

3.4 Economic Conditions in Quang Nam

Thanks to the National Economic Reform Policy, Quang Nam has made
remarkable economic strides, with the annual growth rate averaging in excess of 10%
over the last five years (Figure 3). The industrial sector has gained in importance, with its
share of Quang Nam’s GDP increasing from 34% in 2005 to 38% in 2007 (Quang Nam
Statistical Yearbook, 2007). The service sector has made considerable progress in terms
of its diversification and contributes 36% of provincial GDP (Figures 3 and 4).
Despite the devastating impacts of climate change-related disasters in recent

10
years, the rapid growth rate of economic development has made significant contributions
to the improvement of living standards for both urban and rural communities, with an
increase in GDP from about USD600 to USD800. Economic growth has also contributed
to remarkable progress in the elimination of hunger and the reduction of poverty within
the province. The proportion of the population living in poverty has reduced by more than
half in the last decade, from over 50% in 1993 down to 21% in 2007 (Quang Nam
Statistical Yearbook, 2007; Quang Nam People’s Committee, 2007).
Quang Nam Province is famous for its cultural resources and natural beauty and
has become a major tourist destination. Quang Nam People’s Committee has
acknowledged the important role of the tourism industry in strengthening the link
between economic growth and the alleviation of poverty at a local level. With its recent
rapid economic growth and comparative advantages, the Viet Nam National Overall
Comprehensive Development Strategy to 2020 has recognized the province as the key
economic zone in the Central region of the country.

7000 6447

6000 5636 140

4968
5000 4416
3959 125
4000 3588
(VND-Billion)

3290

(Per cent)
3000 112 113 114 110
110 112
109
2000
100 95
1000

0 80
a2001 a2002 a2003 a2004 a2005 a2006 a2007

GDP (VND-Bil) Annual growth rate of GDP

Figure 3: Gross Domestic Product and annual growth rate by year

Source: Quang Nam Statistical Yearbook, 2007

40 38
36 35 36
34 35
35
31
29
30
26
(Percentage)

25
20
15
10
5
0
2005 2006 2007
(Year)

Agriculture Industry Service

Figure 4: Gross Domestic Product by sector

Source: Quang Nam Statistical Yearbook, 2007

11
 As shown in Table 4, over 82 % of the population of Quang Nam Province live in
rural areas. It is important to note that 67.4% of the workforce is engaged in agriculture,
and this contributes 26% of provincial GDP. These figures indicate that agriculture still
has the potential to create jobs within local communities, despite its small share of
provincial GDP. Table 4 also illustrates the negative gap in income between people
working in agriculture and people working in the industrial service sector.

Table 4: Quang Nam population and labor, 2007

Item Unit # %
A. Total population
by residential area People 1,489,279 100
1. Urban " 260,110 17.5
2. Rural " 1,229,169 82.5
2
Population density People/km 143
B. Total labor by sector Labor 778,349 100
1. Agriculture Labor 524,735 67.4
2. Industry and construction " 93,447 12.1
3. Commercial and service sector " 121,166 15.6
4. Others " 38,511 4.9
Source: Quang Nam Statistical Yearbook, 2007

The sector that provides the biggest challenge to the socio-economic development
of Quang Nam is agriculture (which involves over 67% of the total labor force). Focus
group discussions indicated that Quang Nam’s agricultural production centers around
food crops such as vegetables, aquaculture, fishing activities, and livestock. These
activities are sensitive to climate change and have suffered significant impacts from
climate change-related disasters in recent years. Strengthening local communities for
climate change adaptation in order to mitigate its impacts and reduce their vulnerability to
climate change will safeguard the sustainable socio-economic development of the
province.

3.5 Most Vulnerable Community/Locality

Different groups are vulnerable to certain types of disasters in particular areas.
Generally, the most vulnerable groups are the poorest households in the areas most
affected by climate change, whose livelihoods are mainly dependent on agricultural
production and natural resource-based activities.
Groups of poor households live on coastal areas or near riverbanks and estuaries.
Their livelihoods depend on fishing activities, seafood processing and a few agricultural
activities. These groups of people are badly affected by typhoons and floods. They have
been identified as the most vulnerable groups in Quang Nam and need to be resettled to a
safer environment. Focus group discussions concluded that these households live in the
most disaster-prone areas, along an exposed coastline, without the protective cover of
forests. These households are poor and their livelihoods depend on natural resources. Key
informant interviews referred to the fact that local government finds it hard to define

12
groups that are vulnerable to climate change. The definition of vulnerable groups for
government preventive strategies normally focuses on features of specific locations,
poverty and annual damage, such as the number of people killed, the number of people
injured, and the number of days of social disruption. In other words, vulnerable groups
are often defined by their experiences rather than on a scientific basis. A lack of data
about vulnerable groups and a lack of risk maps also constrain local government when
responding to climate change issues.
Seeking practical solutions for the vulnerable groups outlined above, a recent
study by the Quang Nam People’s Committee (Annual Report on the Socioeconomics of
Quang Nam Province, 2008) recommended a resettlement strategy but, unfortunately, the
constraints of a limited budget and the difficulty of finding sustainable livelihoods for
resettled people have reduced the number of households that have been resettled.
Participants also mentioned solutions to prevent and reduce the impact of disasters on
these groups, such as raising awareness about climate change issues, adaptive measures,
seeking sustainable livelihoods, which are less dependent on natural resources, and
improving local infrastructure by building safer public buildings in disaster-prone areas.
Additionally, it is also important to strengthen the capacity (both knowledge-based and
means-based) of local staff in communes to respond to climate change-related issues.
Secondly, the study also highlighted communities of poor households in lowland
deltas, such as those living along the banks of the Vu Gia, Thu Bon, Ai Nghia, and Vinh
Dien rivers, where landslides and floods are common. Focus group discussions indicated
that these groups of households are very poor with livelihoods based on agriculture and
natural resource-based activities. Consequently, annual floods have a devastating impact
on these vulnerable groups.
The description outlined above indicates that the vulnerable groups living in
lowland deltas share some characteristics with the vulnerable groups living on the coast –
most of them are poor, own a semi-permanent house, and have vulnerable livelihoods that
depend on access to natural resources. Interviews showed that there are a number of
measures that could be adopted that would mitigate the impacts of disasters on these
groups. The solution that has been tried most recently was resettlement of households
from low-lying areas to safer locations. Unfortunately, this strategy was not successful
due to a lack of financial resources and a lack of sustainable/suitable livelihoods for
relocated people. Another strategy that has been adopted is adjusting the farming calendar
from growing three paddy crops a year to growing two paddy crops a year. This measure
has been highly effective as it has increased the rice yield and has also mitigated the
impacts of climate change. A number of short-term vegetable varieties have also been
delivered to households for planting, in an effort to change crop patterns. Another
mitigation measure relates to infrastructure, with new public buildings such as schools,
health stations, and government offices, constructed with more permanent frames and
higher foundations. These buildings are safer, leading to a reduction in social disruption.
They also act as evacuation centers during disaster events.
The study also found that ethnic minorities living in nine of the upland and
mountainous areas of Quang Nam are the third-most vulnerable group to climate change-
related disasters. These areas are prone to flash floods and landslides, which result in
deforestation and slash-and-burn cultivation. These ethnic groups are very poor. They live
on the surrounding natural resources and few of them are involved in forest or upland
agricultural production and cattle raising. Most of these ethnic minorities just have access
to natural forest. This group is characterized by a low awareness of climate change and its
impacts on themselves. The extreme climate events of 2007 demonstrated that flash

13
floods and landslides are the main disasters that occur in this area and they cause serious
damage to local communities – more so than any other community, not in terms of total
financial cost but in terms of social issues. Many communes, such as Nam Tra Mi, Que
Son, Dong Giang and Tay Giang, are isolated from the rest of the province for several
months during the rainy season. Lack of food, medical care, the possibility of epidemic
disease, and social disruption threaten these vulnerable groups.
Seeking solutions for these vulnerable groups is now a major challenge for Quang
Nam Province. This study found that great efforts are being made to support vulnerable
groups in the short term, with local government providing food, clothes and medical care
after a disaster. In the long-term, the Department of Agriculture and Rural Development
has made a number of technological advances by introducing new varieties of crops and
farming techniques for local people, including new cropping models in upland areas and
the planting of trees of high economic value, such as cinnamon trees, and Ngoc Linh
Ginseng. Local government has also made improvements in infrastructure such as the
construction of roads, improvements to the electricity supply, schools, post offices and
markets. Participants in focus group discussions highlighted the fact that in order to
mitigate the impacts of disasters on these ethnic minority groups it is important to change
their traditional patterns of cultivation and to give them financial support. Seeking new
livelihoods and new ways of generating income for these groups is an important part of
climate-change mitigation. The study found that local government has found it hard to
identify adaptation possibilities for these groups.

3.6 The Study Site

This research project uses the example of Xangsane typhoon to investigate local
responses to disaster events. Quang Nam’s northern district of Dai Loc was one of the
areas most seriously affected by Xangsane. Dai Cuong and Dai Hoa were two of seven
communes within the district of Dai Loc that particularly suffered as a result of Xangsane
typhoon. Dai Cuong and Dai Hoa communes were chosen for this study because of how
badly affected they were by Xangsane and also because these locations satisfied
EEPSEA’s guidelines for events occurring in lowland coastal areas.
Located in disaster-prone areas of Dai Loc, with two main rivers, Vu Gia and Thu
Bon, about 2 km to the north of Ai Nghia (the main town in Dai Loc District), Dai Hoa
and Dai Cuong are low-lying communes which are vulnerable to climate change-related
disasters such as typhoons and floods. Large areas of Dai Hoa and Dai Cuong are home
to paddy fields and other food crops, such as maize, watermelon, bananas and various
varieties of vegetables, which are the main sources of income for local people.
The total populations of Dai Cuong and Dai Hoa are 8,779 and 14,148
respectively. The population density is relatively high, with total areas of 963 ha and
1,363 ha, there are 954 people per km2 in Dai Cuong and 1,038 people per km2 in Dai
Hoa. Local communities depend on agriculture and food crops tend to be subsistence in
nature. Fortunately, the land is fertile and local communities have diversified their crop
pattern to adapt to climate change by growing short-term varieties of vegetables, maize
and water melons. Non-farming activities, such as making fishing nets and clothing, are
also important sources of income for local communities. However, due to the low average
of cultivated land per person – less than 400 m2 per person – local communities have to
cope with an annual lack of food. Families try to produce enough food to meet family
demand rather than for sale, but many people have to buy food for their families for
several months of the year. The study found that in households along the Vu Gia and Thu

14
Bon riverbanks, for example those in Giao Thuy village, almost all of the cultivated land
was lost to flood-related landslides.
The existing infrastructure allows anyone located near a district town in Dai Hoa
or Dai Cuong to have good access to public services such as markets, banks, high schools
and healthcare. The study also found that there are kindergartens, primary and secondary
schools and medical stations located at the center of each commune that meet the basic
needs of local communities. Inter-village roads and inter-commune roads are concreted
and run through the center of each commune and the center of Dai Loc District.

4.0 INSTITUTIONAL ANALYSIS

4.1 Adaptive Capacity of LGUs and Local Organizations

4.1.1 Institutions and governance

Framework and structure

Understanding the adaptive capacity of local government units and local
organizations is helpful when exploring the associations between capacity, preparedness
and responses to the impacts of extreme climate events (ECEs). The Quang Nam
Committee for Storm and Flood Control (CSFC) is the most senior unit that deals with
ECEs at provincial level. The CSFC consists of 24 members who are from provincial
departments, agencies and mass organizations. The Vice-Chairman of Quang Nam
Province is the Chair of the provincial CSFC committee. The main task of the provincial
CSFC is to collaborate with provincial departments and agencies to design plans for
adaptation to climate change for the whole province. A meeting between the CSFC and
provincial departments and agencies is held in July every year to assess the previous
year’s disaster prevention and reduction measures and actions. This meeting also
discusses future preparedness and entrusts disaster-prevention and disaster-reduction
action plans to each district, government department, agency and to mass organizations.
The CSFC action plans are often specifically designed for each district, each department,
each agency and each organization. The CSFC committee has the same structure at
district level, where the committee plays the most important role in dealing with annual
disasters. At commune level, the commune CSFC consists of between 22 and 24
commune staff and heads of villages where the Vice-Chair of the commune is the Chair
of the commune CSFC.
There is strong collaboration between the CSFC and other government units,
agencies and mass organizations and within the CSFC system from provincial to
commune level. CSFCs are in charge of designing general action plans and operate early
warning systems for the whole province. When the CSFC receives a warning that a
disaster may take place in Quang Nam, it organizes an urgent meeting between CSFC
members to design a coping strategy. The coping strategy is then sent to the relevant
organizations and districts by email, fax or telephone. Each government unit and
organization will prepare their own coping strategy based on the CSFC strategy.
Focus group discussions indicated that the provincial CSFC has put in place many
plans to prevent and reduce the impacts of annual disasters, such as the establishment of

15
early warning systems throughout the province, the institution of flood warning marks in
nearly 20 flood-prone areas, practicing evacuations for communities in disaster-prone
areas, delivering training courses about disaster prevention and adaptation to local staff at
district and commune level, and the resettlement of 5,000 households living in disaster-
prone areas. These adaptation measures have been evaluated as highly effective in terms
of strengthening local resilience to ECEs and reducing the impacts of ECEs.
The results of focus group discussions and key informant interviews indicate that
the most significant barriers to the CSFC’s activities are that all the members of the
CSFC, from provincial to commune level, hold several official positions at once. In
addition, none of the CSFC members are specialized in disaster prevention and reduction,
and none of them have been trained in climate-related change and ECEs. The absence of
an institutional framework to regulate these tasks and a lack of interest in climate change
in the people who work in this area also limits the effectiveness of disaster impact
prevention and reduction activities.
A closer look at LGUs and local organizations indicates that in addition to the
CSFC, each government unit and local organization often establishes “storm and flood
control committees”, which consist of between 12 and 15 members chosen from different
offices. The members of this committee are directly involved in preventing and reducing
the impacts of climate change-related ECEs and are a part of the overall planning made
by the provincial/district/commune CSFC. The study found that about 25% of the
members of these organizations had training in this area.
Another important aspect of these LGUs and mass organizations is that they are
fully dependent on the state budget – none of them have their own budget for activities
related to ECE impact prevention and reduction, except the provincial CSFC, which
receives about VND 500 million a year. The study also found that the members of CSFC,
from provincial to local level, do not receive a monthly salary for their work or benefits
of any kind. All the participants of the focus group discussions, at both local and
provincial levels, agreed that a lack of budget for climate change prevention activities is
one of the main constraints limiting the effectiveness of their adaptation activities.
Focus group discussions also showed that a lack of equipment, such as effective
transportation and communication during extreme events, and lack of proper preparation
for extreme disasters constrain their ability to respond to climate change impacts in
effective ways. Nearly 100% of LGUs working on climate change issues recommended
that they need their own budget and equipment in order to actively respond to climate
change from the planning stage to implementation. For instance, many participants stated
that the main reason for the huge damage to property and loss of life was a lack of
experience in dealing with a disaster on the scale of Xangsane typhoon. An effective early
warning system would have been of value and the availability of suitable equipment such
as motorised boats and a reliable communication system were needed to prevent and
reduce the impacts of Xangsane on local communities.
The study also shows that mass organizations and LGUs at commune level
consider a lack of funds, a lack of equipment for operations, and the absence of proper
preparation for extreme disasters to be the most serious problems they face when trying
to respond to climate change. Local mass organizations often play an important role in
climate change impact prevention and reduction. However, they often do not have the
budget for these activities.
The leader of a provincial youth union reported:

16
 “…after Xangsane typhoon, [we] deployed hundreds of youth
volunteer groups to help disaster victims in various activities,
such as house reconstruction, cleaning up the environment, and
infrastructure reconstruction, such as roads, schools, and
healthcare stations. We found this hard as we could not just ask
youth volunteers to do such activities without any budget
support. Some youth members were injured, or lost property,
such as a motorcycle, but we could not support them as we do
not have a mechanism for this or regulations about volunteer
activities. We really need a budget for that…” (KII, 2009)

A provincial government representative reported that:

“…after Xangsane typhoon, we knew that many members of
our union houses had collapsed, and that there were dead and
injured people. They really needed help but we could not do it
or in just a few cases as we did not have enough budget for
that. We just tried to mobilize resources among members...”
(KII, 2009)

Programs and policies

When asked if programs or policies regarding disaster preparedness existed, about
70% of key informants from LGUs and organizations stated that policies or programs
regarding climate change preparedness were in existence. The participants of focus group
discussions also stated that they have to plan responses to climate change annually, based
on the general provincial climate change plan.
When assessing whether adaptation to climate change-related ECEs was
incorporated into overall planning at a local level in key sectors such as education,
healthcare, agriculture, housing and the environment, the study results show that nearly
40% of key informants stated that many climate change responses/activities have been
incorporated into their overall plans (Figure 5). About a quarter of key informants
confirmed that they have incorporated climate change responses into some of the
activities of their units/agencies, and a further quarter stated that they had incorporated
very limited responses into the activities of their units/agencies. About 8% of key
informants stated that they had incorporated climate change responses into all of their
plans, while the same percentage stated that they had not incorporated climate change
responses into any of their plans.

17
 45.0%
38.5%

30.0%
23.1% 23.1%
(%)

15.0%
7.7% 7.7%

0.0%
No, not at very Some Many All
all limited activities activities activities
activities

Figure 5: Rating climate change-related ECE responses in planning at local level

Source: Survey, 2009
Table 5 shows specific local programs and policies designed to deal with climate
change: 58% of key informants from LGUs and organizations stated that they have set up
information and education campaigns in order to adapt to climate change-related ECEs.
About 50% of key informants mentioned that they have created community mobilization
programs and flood warning systems. About 42% of participants stated that they have set
up typhoon warning systems, 25% have put evacuation drills in place, and about 17%
have established training. The study highlights that a lack of funding and a lack of
knowledge and expertise are the main difficulties in implementing programs and policies
related to climate change responses.

Table 5: Local programs and policies for climate change responses

Programs and policies % Constraints
Information and education Lack of funding, lack
1 58.3
campaigns of knowledge
Lack of funding, lack
2 Community mobilization 50
of knowledge
Lack of funding, lack
3 Flood warning systems 50
of knowledge
Lack of funding, lack
4 Typhoon warning systems 41.7
of knowledge
Lack of funding, lack
5 Evacuation drills 25
of knowledge
Lack of funding, lack
6 Training 16.7
of knowledge
Source: Survey, 2009

Financial and human resources

Adequate budget and adequate manpower are important for LGUs and local
organizations trying to implement climate change responses.

18
 The study shows that none of the LGUs and organizations have adequate financial
resources, with only a quarter answering that they have some funding but that it is
limited. Half of the respondents said that they have a very limited budget available to
respond to climate change, and about 8% of participants stated that they do not have any
budget at all to respond to climate change (Table 6).
In terms of human resources, all of the respondents stated that their officials and
leaders had participated in training courses about adaptation to climate change. However,
a close look at this rating indicated that only 10% of respondents thought that these
training courses were satisfactory, sustainable and effective (Table 6).

Table 6: Resources rated by LGUs and local organizations

Financial Human
resources resources
Rating (%) (%)
1 None at all 8.3 0.0
2 Very limited in extent 50 30
Some, but with significant scope for
3 improvement 16.7 20
Yes, but with some limitation in
4 resources 25 40
Yes, satisfactory, sustainable and
5 effective 0 10

A further analysis of budget availability for LGUs and organizations for

adaptation to climate change showed that over 35% of LGUs used their own internal
budget to finance adaptation to climate change. The internal budget is often made up
from the unit’s annual budget and from the fee contribution of members. Over 60% of
LGUs have some form of grant from a bilateral source or multilateral source such as the
Japan International Cooperation Agency (JICA), the World Bank, or the East Meet West
Foundation. Only 14% of LGUs received a portion of the state budget specifically
intended for adaptations to climate change. These results reinforce what some LGUs and
mass organizations stated regarding their lack of budget, equipment and knowledge to
deal with climate-change related issues. The CSFC, at provincial and district level, is the
only organization with a state-allocated budget for adaptation to climate change.
Focus group discussions indicated that a regular budget for adaptation to climate
change was not allocated due to a lack of government budget set aside for for LGUs and
organizations. LGUs have to use their own budget (e.g. internal budgets, project funds
and fees from members) for adaptation to climate change rather than depend on the state
budget. Accordingly, budgeting difficulties constrain their capacity to adapt. Focus group
participants reported that their units often incur costs in adapting to climate change. Some
of these costs are recovered via the state budget, or via their internal funds. Another
option LGUs and organizations use to overcome budget constraints is to seek extra funds
from NGOs and foundations and to mobilize resources and contributions from members
and communities. It is recommended that provincial governments allocate a budget to
each LGU and mass organization so that they are able to actively plan for adaptation to
climate change.

19
 In terms of human resources, over 75% of key informants answered that they had
not conducted training and consultation on climate change for stakeholders. Training
appears to focus mainly on disaster preparedness. Rescue operation demonstrations are
very general and are not aimed at any particular group or specific event. Participants are
mainly staff from LGUs and organizations at provincial and district levels. Focus group
discussions show that there is a high demand for training amongst the staff of LGUs and
organizations as many of them do not have the knowledge and experience necessary to
adapt to climate change. Budget constraints mean that only a few people, mostly leaders
of units, get access to training. Statistical data from the CSFC shows that every year
before the start of the disaster season the CSFC works with local military forces to
organize a number of demonstrations of rescue practices. There is only one training
course organized for 50 staff from government units and organizations at provincial and
district levels. In 2008, a project funded by the United Nations Development Program
delivered training courses for about 1,000 fishermen in Quang Nam.
At commune and community level, focus group discussions in Dai Cuong and Dai
Hoa found that no staff or households participated in training courses in adaptation to
climate change. Focus group participants were given an opportunity to recommend
themes for future training activities in order to enhance their capacity to adapt to climate
change. The study found that the adaptation of livelihoods, planning for disaster impact
control, and first aid skills to treat the injured victims of disasters, were the main areas of
interest for participants.
It is evidently budget difficulties and human resource issues that hold back LGUs
and organizations in their efforts to adapt to climate change. Lack of money, stresses on
human resources, lack of equipment, and the absence of training courses for staff and
households are all restricting factors.

4.1.2 Risk assessment, monitoring and warning systems

The ability of LGUs and local organizations to assess risk, conduct monitoring
and employ early warning systems plays a crucial role in local adaptation to climate
change. Using five-point Likert questions ranging from 1 – no, not at all, to 5 – yes,
satisfactory, sustainable and effective, the study found that no LGUs or organizations
have all three of these elements (satisfactory risk assessment, effective monitoring, and
suitable early warning systems).
With the participation of representatives from all sectors of local communities, the
study found that about 36% of LGUs and organizations conduct climate change-related
assessment but that this is limited by resources and capacity. Around 27% admitted that
their agencies conduct very limited climate change-related risk assessment and a further
27% conduct some, but with significant scope for improvement. It is important to note
that none of the LGUs and organizations described their climate change-related risk
assessment as satisfactory and about 10% do not conduct any form of risk assessment
(Figure 6).
Figure 6 shows that a large proportion (55%) of interviewees have effective early
warning systems in place but they are limited by resources and capacity. Other
participants have to deal with difficulties regarding early warning systems, for instance
27% of them have access to some form of early warning system, but there is significant
scope for improvement. Another 27% of participants have very limited access to early
warning systems, and about 10% of LGUs do not have any form of access to early

20
warning systems.
Figure 6 indicates that half of LGUs, mainly at provincial level, use local climate
change risk management systems that manage annual hazards and risks but that this is
limited by resources and capacity. About 20% of district and commune government units
have a very limited capacity and another 20% have some capacity but there is significant
scope for improvement. None of the LGUs, at both provincial and district level, are
satisfied with their climate change risk management systems.

60 55 Climate
50 change-
related risk
45 assessments
36
Early
%
27 27 27 Warning
30 Systems
20 20

15 9 9 10 9 Climate-
change risk
0 0 0 management
0 systems
1-No, not at all 2-Very limited 3-Some 4-Yes 5-Yes, with
Rating from 1 to 5 satisfactory,

Figure 6: Rating local monitoring and warning systems

Source: Survey, 2009

Key informant interviews and focus group discussions highlighted the fact that
Quang Nam Province in general and Dai Loc District in particular do not have risk maps,
though all of the participants recognized the importance of maps of this kind in the
struggle to adapt to climate change. Quang Nam’s Department of Resources and the
Environment conducted a project to map climate change-related risk for the whole
province, but the results were not used because they were incomplete due to a lack of
expertise and community participation. It is recommended that risk maps should be
drawn based on community participation, with different levels of risk identified and
specific adaptation strategies for each risk highlighted to the relevant communities.

4.1.3 Information management and exchange

Information on climate change-related risks is readily available and accessible to
key stakeholders, including government officials, the general public, the private sector
and local leaders. Managing and exchanging this information is important for LGUs and
organizations in change of adapting to climate change. The study found that LGUs and
organizations receive information from the National Center for Storm and Flood Control,
television, radio and newspapers between five and seven days before a disaster occurs.
They also receive information and early warnings from provincial committees for storm
and flood control. The information is often about the type of coming disaster, its level of
intensity, its direction, the weather forecast, and early warnings for areas of possible
landfall.

21
 The study found that 20% of key informants from LGUs and organizations have
satisfactory, sustainable and effective management and exchange of information related
to climate change. About 40% of participants confirmed ready availability and access to
climate-change related risk information for different stakeholders, but limited resources
and capacity. Around 20% of participants said that they have to deal with many
difficulties when managing and exchanging information on climate change-related risks,
and about 10% do not have any information of this type at all (Figure 7).

50
40
40

30
(%)

20 20
20
10 10
10

0
1-No, not at

3-Some
2-Very

4-Yes
limited

5-Yes, with
satisfactory,
all

Rating from 1 - 5

Source: Survey, 2009

Figure 7: Managing and exchanging information on climate change-related risk

The number of training courses for both LGUs and local organizations is very
limited. Before the 2000s, no training courses on climate change adaptation were held for
local staff and communities. In recent years there have been a number of training courses
and rescue demonstration practices held in Quang Nam. For example, in 2008, the United
Nations Development Programme (UNDP) funded the training of 1000 fishermen from
the coastal region of the province in climate change and adaptation. A lack of training
courses is one reason why local communities living in disaster-prone areas have limited
experience in adaptation to climate change. Focus group discussions indicated that the
public have a low awareness of climate change-related risks and adaptation. In 2006 local
people were limited in their preparedness for a typhoon as strong as Xangsane, despite
receiving early warning information about the typhoon. Serious damage was inevitable:
14 people died and the destruction of property and infrastructure cost more than VND
600 billion.
After receiving information about a climate change-related disaster, the Provincial
Committee for Storm and Flood Control organizes a meeting between representatives
from different provincial government units, local organizations and districts. In this
meeting information about the disaster and preparedness to respond to the disaster is
discussed. Information is then disseminated to lower administrative levels via various
routes (Figure 8).

22
 Information on
disasters and risks

(1) National Committee for Storm and Flood Control

(2) National Center for Hydrometeorology Prediction

- TV, (1) Provincial Committee for Storm and Flood - Document,

- Radio, Control - Fax
- Newspaper (2) Provincial Center for Hydrometeorology
- Phone,
Prediction
-... - ...

- Provincial Vice-chairman of
departments Districts
- Provincial mass
organizations

- District Vice-chairman of
departments communes
- District mass
organizations

- Commune Communes
organizations
- Head of village
- Households

Figure 8: Managing and exchanging information on disasters

4.1.4 Climate change adaptation technology

Technologies related to climate change adaptation pertain mainly to
communications and transport. The study found that LGUs and organizations need
specialized instruments for climate change adaptation, such as river walls, two-way
radios, and evacuation centers. Without these things it is difficult for LGUs and
organizations to adapt to climate change events, particularly extreme ones. During and
after Xangsane typhoon many districts in Quang Nam were isolated due to flooding and
the collapse of telecommunications. Key informants from the Provincial Center for Storm
and Flood Control reported:
“...we could not communicate and approach many areas for
relief activities during and after Xangsane typhoon because
telecommunications collapsed completely and there were intense
inundations... we recommend that the government install a modern
communication system with two-way radios in order to keep the
communication system working in extreme weather conditions.”
(interviewee, 2009)
Representatives of the Provincial Women’s Union said that:
“...We knew that many of our members were in emergency
situations and needed aid during and right after the typhoon but we

23
 could not do anything as we do not have motorized boats to
approach these areas...” (Interviewee, 2009)

4.2 Adaptation Strategies of LGUs and Local Organizations

4.2.1 Adaptation strategies in response to Xangsane typhoon

The study found that LGUs and local organizations are aware of the variety of
impacts of climate change, such as floods, storms, droughts, and so on. LGUs and local
organizations can employ different adaptation strategies in order to prevent and mitigate
the impacts of climate change. The study reveals that before Xangsane typhoon made
landfall, activating early warning systems, mobilizing organizations involved in climate
change-related risk management and informing local communities were the three main
strategies that LGUs and organizations used to prevent and mitigate the impacts of the
typhoon, with implementation rates of 81.8%, 72.7% and 72.7% respectively. Other
measures activated before Xangsane struck included preparing relief and recovery
equipment, stocking relief goods, evacuating people, and preparing early warning
systems.
Adaptation strategies used during Xangsane typhoon included monitoring the
damage caused by the typhoon and monitoring the progress of the event: these strategies
were widely adopted by LGUs and organizations, with employment rates of 89% and
78% respectively. LGUs and organizations also rescued local people at risk (55.6%) and
updated local communities on the progress of the event (55.6%). As mentioned
previously, a lack of money and resources has constrained LGUs and local organizations’
capacity to adapt to climate change ECEs. During the extreme conditions of Xangsane
typhoon, LGUs and organizations could not operate any other strategy options, such as
evacuating victims to safer shelters or providing relief goods to households in isolated
areas. For example, only 44% of respondents stated that they managed to get relief goods
to households during Xangsane typhoon.
After Xangsane typhoon most local governments engaged in various adaptation
measures to help local communities to recover. The study found that about 60% of local
governments assessed the extent of the damage, continued relief and rescue operations,
and carried out basic rehabilitation as their main adaptation strategies. Repairing public
infrastructure, such as roads, schools, public health stations and electricity and water
supplies, took place after the typhoon (Table 7). It is important to recognize that fewer
LGUs and organizations were involved in adaptation strategies after the typhoon – this is
because this requires resources and budget (to buy or deliver relief goods, to help local
communities rebuild homes, to repair public infrastructure, etc.).

24
Table 7: Adaptation strategies adopted by LGUs and organizations in response to
Xangsane typhoon
Adaptation strategies adopted before the
%
disaster
1 Activate early warning systems 81.8
Mobilize organizations involved in climate
2 72.7
change-related risk management
3 Inform people 72.7
4 Prepare relief and recovery equipment 63.6
5 Prepare early warning systems 54.5
Stock-up relief goods (specify type of goods, no.
6 45.5
of people served, quantity and cost)
7 Evacuate people 45.5
8 Coordinate with other organizations 27.3
9 Others (specify) (committee on duty) 9.1
Adaptation strategies adopted during the
%
disaster
1 Monitor damage 88.9
2 Monitor the progress of the event 77.8
3 Rescue people at risk 55.6
4 Update people on the progress of the event 55.6
5 Provide relief goods 44.4
Adaptation strategies adopted after the
%
disaster
1 Assess extent of damage 66.7
2 Continue relief and rescue operations 55.6
3 Continue basic rehabilitation 55.6
4 Repair public infrastructure 44.4
5 Help people to rebuild houses 33.3
6 Provide seedlings/fingerlings 22.2
7 Provide alternative livelihoods 22.2
Source: Survey, 2009

In order to identify the most effective adaptation measures, the study asked
participants “If the same typhoon occurred again, what would you do to mitigate the
typhoon’s impacts?” Participants indicated that before the typhoon the dissemination of
warnings and information to local communities via early warning systems and
preparation for the impact of the event were the main adaptation measures that needed to
be performed by LGUs and organizations. During the typhoon, monitoring the progress
of the event and keeping the local community informed were deemed to be of the most
importance. After the event, rescuing local communities and mobilizing the resources
needed for recovery in terms of repairing infrastructure, restarting livelihoods and
cleaning up the environment, were the adaptation measures with the highest priority.

25
 4.2.2 Sector adaptation measures
In recent years LGUs and local organizations have made great efforts to
strengthen local capacity to adapt to and increase their resilience to climate change-
related disasters. Provincial governments have conducted a resettlement program,
removing over 5,000 households from flood-prone areas to safer environments. However,
because there is a change in the frequency and intensity of disasters, with impacts
becoming more far-reaching, LGUs have determined a strategy of “living with floods”,
for communities located in disaster-prone areas of Quang Nam. The Provincial
Department of Science and Technology is in the process of designing “anti-flood” homes
for local communities, built on raised bases and with mezzanine floors. The Department
is also organizing training courses on how to reinforce houses.
In terms of agriculture, great efforts have been made to adapt to climate change,
such as adjusting the cropping calendar to different crops, reducing the number of rice
crops from three a year to two a year, and sowing early to avoid the impacts of annual
early flooding. The Department of Agriculture and Rural Development is also
experimenting with crop patterns on aslope land. Many new short-term varieties of
vegetables, such as hybrid capsicum, hybrid maize, and watermelon, have been delivered
to households. Re-greening barren hillsides, planting trees along rivers, and building
dunes along the coast are other adaptive measures being carried out in Quang Nam.
In terms of fishing and aquaculture, efforts have been made to strengthen fishing
communities to adapt to climate change. Berths have been constructed for fishing boats,
radio systems have been fitted in all fishing boats, and insurance schemes have been
provided to cover fishing gear.
In terms of education, schools now begin the new school year a month earlier (5
August instead of 5 September) in order to cope with the early arrival of disasters and
their impacts. Schools shut when they receive urgent warnings about a disaster event and
they provide lifebuoys for pupils in flood-prone areas.
There are still many adaptive measures that could be implemented in Quang Nam
but local authorities cannot apply them because of budget constraints, a lack of human
resources, and a lack of knowledge and local awareness. These measures include:
Having full-time CSFC staff at different levels.
Increasing community awareness of climate change, disasters and their
impact, and adaptation possibilities.
Having better early warning systems and weather forecasts.
Having well-designed plans to maintain agricultural production and
safeguard urban areas.
More investment in equipment such as motorized boats for communes,
and safe shelters for local evacuees.
Organizing training courses in storm and flood control and adaptive
measures for local communities.
Enhancing the capacity of local staff and households to deal with
emergency medical care, primarily first aid for people injured in natural disasters.
Mapping out disaster-related risk maps.
Creating a dataset of vulnerable groups in each disaster-prone area.

26
 Information should include detailed descriptions of the number of vulnerable
households, socio-economic conditions, main livelihoods and types of risks related to
types of disasters. Possible adaptive measures to enhance resilience should be
included.

4.2.3 Collective adaptation of local communities

The study results show a number of collective adaptations local communities have
undertaken to prevent and reduce the impacts of disasters. Before disasters commune
authorities and villages play a crucial role in undertaking tasks such as providing
information via early warning systems and disseminating practical information about
reinforcing houses. There is strong collaboration between the CSFC at national level and
communes in terms of providing information of these types. Communes and villages are
the last authorities to use local mass media to disseminate early warning information to
households. At commune level, structural options (e.g. reinforcing homes) and behavior
options (e.g. quickly harvesting crops) before a disaster are often undertaken by the Youth
Union, under the control of the commune or village. The Youth Union also helps
households in the disaster area to evacuate to safe shelters.
During disasters the Youth Union and local policemen play an important part. The
most dangerous period is when the disaster is actually taking place so fewer adaptive
measures are undertaken at this point. The concentration is on activities such as behavior
options, e.g. helping households to evacuate to safe shelters, participating in rescue and
relief operations and monitoring the situation throughout the commune.
The role of, and collaboration between, local organizations such as the Youth
Union, the Women’s Union, the army, and farmers’ associations are important factors in
mitigating the impacts of disasters. Local organizations often undertake structural tasks,
e.g. reinforcing and repairing damaged dwellings and public infrastructure, and behavior
options, e.g. cleaning up the environment in collaboration with local authorities. Local
organizations also play an important role in relief work, such as mobilizing volunteers
and distributing goods to disaster victims. Overall, local organizations often contribute
manpower or work as third parties to deliver goods to disaster victims. Focus group
discussions point to the importance of the role of local organizations when responding to
disasters, from commune to provincial level, with the Youth Union and Veterans’
Association (more specifically the Vanguard Youth Brigade of the Youth Union and the
Disaster Damage Recovery Group of the Veterans’ Association) cited as the organizations
playing the most important roles before, during and after disasters.

4.3 Lessons Learned, Needs, Gaps and Plans for Climate Change Issues

4.3.1 Lessons learned from adaptation to climate change ECEs

The statistical data regarding the damage caused by Xangsane typhoon indicates
that it was one of the most damaging typhoons of the last 100 years in Quang Nam. Focus
group discussions indicated that the main reasons for this were a lack of preparedness and
a lack of experience in adapting to a disaster as powerful as Xangsane – this was common
to LGUs and organizations across provincial and community levels. Many LGUs and
organizations did not have access to proper early warning information, did not have
reliable communications and transportation, and did not have relief goods. Consequently,

27
the communication system collapsed during and after Xangsane and many regions were
isolated and inaccessible thanks to damaged roads and a shortage of boats to reach
inundated areas. Local communities in many communes were short of food, water and
medical care, and the social welfare system was disrupted for between 10 and 20 days.
The main lesson learned from the experiences of LGUs and organizations in
response to Xangsane is the need to be well prepared for adaptation (100% of participants
in the study confirmed this view). A proper information and education campaign is the
second most important lesson learned from the reality of dealing with Xangsane typhoon.
Early warning information about typhoons and information about the prevention and
reduction of the impacts of extreme weather events would help local communities to
mitigate the impacts of disasters – without adequate early warning, people did not
respond to Xangsane in time, increasing the number of fatalities and damage to property.
The importance of collaboration between and within LGUs and organizations
across different administrative levels when planning and implementing adaptation to
climate change is another lesson learned from Xangsane typhoon. For instance, in Quang
Nam the annual plan that addresses adaptation to climate change is created with the
participation of multiple sectors, such as agriculture, healthcare, education, the
environment and natural resources, communications, the army, and so on. Collaboration
and networking also play a crucial role in mobilizing and distributing resources to
communities. For instance, the Women’s Union and the Red Cross Association played an
important role during Xangsane typhoon by mobilizing resources (goods and equipment)
for relief activities, and distributing relief to communities in affected areas. During the
typhoon the army and the Youth Union were vital to the relief effort.
Providing local communities with training courses about climate change
adaptation makes a significant contribution to enhancing local capacity to deal with
climate change ECEs – the deaths that occurred as a result of Xangsane typhoon mainly
took place in low-lying or upland areas rather than in coastal communities, where many
fishermen had benefitted from training courses on climate change adaptation. However,
restricted funding means that the number of training courses available is still limited,
despite the fact that they are in demand in a large number of communities.
A closer look at the reasons why some regions are more susceptible to climate-
change events than others identified areas without trees as vulnerable. For example, the
absence of protective forest along the coast of Quang Nam allows more severe damage to
be inflicted on houses and infrastructure by extreme weather events. In Dai Loc District,
barren areas long the district road through Ai Nghia town were where the most serious
impacts of Xangsane typhoon were felt. Accordingly, one recommendation for future
adaptation plans is for protective forests to be planted along coastlines, the banks of
rivers, and barren areas in deltas and uplands.
The practice of prohibiting local people, especially schoolchildren, from leaving
safe shelters during a climate change-related event should be standard throughout the
province of Quang Nam. Many deaths have occurred because victims left safe shelters to
do things like go fishing or collect wood.
Local people should construct their homes with permanence in mind – with strong
structures and materials – or they are vulnerable to climate change ECEs. The study
found that thousands of households collapsed partly or wholly as a result of Xangsane
typhoon because of their semi-permanent structure. Participants in focus group
discussions confirmed that if they reconstructed their home, depending on the available
family budget, they would rebuild it with a permanent structure or at least one permanent-

28
structured room.
Many deaths and injuries occur when people try to evacuate to safer shelters,
perhaps in a neighbor’s house or a public building, during a climate change-related event.
There are not enough safe buildings for communities to evacuate to and many of the
buildings of this type that do exist are often constructed at the center of communes rather
than in disaster-prone areas. Local governments should consider the location of public
buildings such as schools, healthcare stations and government offices when they construct
them.
Early warning information that encourages local people to evacuate to safe
shelters before a disaster occurs is important but it also requires enforcement. This is a
lesson learned from Xangsane typhoon where local communities did not follow
government evacuation strategies, so could not get to safe places in time.

4.3.2 Needs and gaps in adaptation to climate change-induced ECEs

The study found that local communities have made great efforts to adapt to
climate change-induced events. However, there are still many effective adaptation
strategies LGUs and organizations could adopt. LGUs and organizations have many
demands on their annual budget for climate change adaptation. It is important to allocate
a budget before planning for annual disaster adaptation, so LGUs and organizations can
actively plan their strategies.
It is important to recognize the lack of dedicated manpower to tackle adaptation to
climate change. As mentioned previously, all of the staff of LGUs and organizations
involved in climate change adaptation concurrently hold full-time positions in their units.
There is a lack of regulation regarding the responsibilities and benefits that local staff are
entitled to if they are involved in climate change adaptation activities. It is recommended
that the government employ full-time staff to work in response to climate change.
The effectiveness of training courses for both government staff and local
communities is widely recognized. Unfortunately, in the context of budget constraints and
a lack of knowledge and expertise, the number of training courses being delivered is very
limited. Accordingly, there is high demand amongst the staff of LGUs and local
organizations for training courses on adaptation to climate change. The training courses
should focus on central themes such as the operation of early warning systems (from
provincial to village level), the prevention and reduction of the impacts of disasters, the
provision of alternative livelihoods for local communities, and first aid.
Suitable technology needs to be available and to function well for adaptation to
climate change to take place. LGUs and local organizations confirmed that the collapse of
the communications system during Xangsane typhoon created a major obstacle to
managing the event and its aftermath. It is important that the communications system
works well before and during extreme climate-change events. In addition, equipment
such as boats, life vests, electric generators, medical kits and radios are needed to deal
with disasters.
As mentioned previously, communities in disaster-prone areas lack public shelters
for evacuation purposes. Often there are no safe public shelters other than schools,
government buildings and healthcare stations, but most of these types of facilities are
found at the center of communes rather than in disaster-prone areas. It is important to
construct safe community buildings located in or near vulnerable areas. Additionally,

29
local authorities need to mobilize resources to strengthen and improve roads between
districts and communes, especially roads to public shelters.
A map of risks related to certain types of disasters and appropriate prevention
measures should be drawn up for the use of LGUs and local organizations. However, in
order for these maps to be genuinely useful, stakeholders such as LGUs, local
organizations, local communities, and scientists, must participate in the mapping process.

4.3.3 Future planning for adaptation to climate change-induced ECEs

As part of their response to adapting to climate change ECEs, LGUs and local
organizations have been encouraging businesses, factories, companies and households
located in or just outside Quang Nam Province to become involved in, or make a
contribution to, climate change adaptation. This will allow the province to mobilize
resources from different areas to bridge the budget and resources gaps LGUs and
organizations currently have to manage.
In order to increase local capacity and resilience to climate change issues, the
government should make it compulsory for households to store extra food and essential
supplies before the start of the disaster season. The government should also provide
additional support for the poor and other vulnerable groups before the disaster season
commences. Alternative livelihoods, such as non-farming activities and the migration of
labor to Asian countries or industrial zones within Quang Nam, need to be encouraged so
that there is less dependence on agriculture.
The government has been conducting land use and urban planning with the
impacts of climate change in mind. Creating a dataset of groups of people vulnerable to
climate change is also an essential task.
Programs for re-greening barren areas, especially the barren uplands and coastline
of Quang Nam Province, are also being planned. The province should also mobilize
resources to consolidate local housing. The infrastructure, particular of communication
systems, water supplies, electricity and roads in disaster-prone areas, should be prioritized
in provincial investment and improvement programs.
The province should use part of the annual budget and projects funded by non-
government organizations to deliver more training courses on adaptation to climate
change ECEs for government staff and communities, particularly for commune-level staff
and people in vulnerable groups.

30
 5.0 HOUSEHOLD ADAPTATION/RESPONSES

5.1 Adaptive Capacities/Profiles of Interviewed Households

A household survey was conducted in two communes: Dai Hoa and Dai Cuong in
Dai Loc District (see

River, stream, lake

Figure for the location of surveyed households). There were 392 respondents, of which
47% were male and 53% were female. Most respondents were the head of their
household (82%). All the respondents were aged between 16 and 85 years old, with an
average age of 51. Most of respondents had a primary and secondary education, with an
average of seven years of schooling. The average number of people in each household
was 4.6, of which 23% and 14% were children below 15 years old or adults above 60
years old respectively. Almost all of the respondents were born and grew up in their
villages. The average number of years respondents’ families had been living in the area
was 33 years.

31
 River, stream, lake

Figure 9: Locations of surveyed households

Source: authors

One effect of Doi Moi policy has been that the relative wealth of many families
has increased. A visible effect of this is that families have put their savings into creating
stronger homes, rebuilding incrementally with more durable materials. This has cost
money; where before materials were gathered, now construction materials have to be
bought. Few of these new houses have been built in a manner that will enable them to
resist a flood or a typhoon, so the investment in time and money that families have made
is vulnerable to this type of damage (Tran et al. 2009). The survey showed that a majority
of households consider their homes to be permanent (54%). However, these houses have
features that are vulnerable to storms (e.g. the roof). Semi-permanent houses (34%) are
easily damaged or unroofed by a storm, and temporary houses (12%) are extremely
vulnerable to flood and storm disasters (Figure 10). Unlike urban areas, 98% of homes in
rural areas are owned by the people who live in them. However, the quality of the homes
varies a great deal between households. The average rural family home has a main house
with a floor area of 35 m² (5 x 7 m) divided into three bays, a covered terrace (2 x 7 m) in
front, and an enclosed kitchen/multipurpose area to the right of the house.

32
Figure 10: Locations of permanent, semi-permanent and non-permanent housing
Source: authors

Almost all of the surveyed households are in flood-prone areas and so have
elevated foundations. However, only about 4% of households are two-storied, with a
small attic for storing food and essentials and to serve as a shelter during flooding (Figure
11). The GIS survey demonstrated that two-storey homes that can be used as safe shelters
are not evenly distributed. Some residential areas are highly concentrated with semi-
permanent and temporary homes that do not have an area where property and human life
can be protected during severe floods.
All households can access power (100%), and most of them (99%) use wells for
drinking water that are often polluted during the flood season. After Viet Nam moved to a
market economy, rural areas experienced a significant improvement in housing,
infrastructure such as roads, and public services such as electricity. However, people in
rural areas are still vulnerable to the impacts of climate change-related disasters,
particularly floods and typhoons, because a high percentage of the housing still does not
have a safe area for use during disasters and there are few public buildings that are
accessible, can meet demand, or are of a high-enough standard to be used as safe shelters.
The results of the GIS survey show that proximity to a main river (Figure 12) is
an important flood-risk factor because houses close to rivers are often subject to flash
flooding and the effects of riverbank erosion. The survey showed that 7.4% of houses are
located very close to riverbanks (within a 50-m buffer zone). The families living in these
houses need to have as much advance warning about flood events as possible and they
need to have an emergency plan for moving to a safer place and, if possible, a plan for
protecting their belongings. A further 6% of households live close to a riverbank (within

33
a 50-100-m buffer zone). Within this area, preventative measures should be implemented
to reduce the impact of flooding and there should be improved access to safe shelters,
storage and escape routes.

MAP OF HOUSE STORY

Figure 11: Location of housing by number of storeys

Source: authors

34
Figure 12: Houses close to rivers
Source: authors

Figure 13: Houses close to main roads, Source: authors

35
 Proximity to a main road (Figure 13) is an important factor in emergency
evacuation. As mentioned earlier, 70% of households have no means of transportation
and have to walk to escape a climate change-related disaster. Given the fact that 57% of
households live far from a main road (defined as more than 300 m), this may cause
difficulties during an emergency evacuation.

5.1.1 Economic indicators

Within the surveyed households, 27%, 36% and 37% were classified as better-off,
medium-income and poor respectively. The average household and per capita income is
shown in Table 8.

Table 8: Average household income

Average Average income Average income
Income group income (VND) (USD)
Household income
23058131 1281
(year)
Better-off
Income per capita
465362 26
(month)
Household income
16208886 900
(year)
Medium-income
Income per capita
287865 16
(month)
Household income
12460923 692
(year)
Poor
Income per capita
220551 12
(month)

In Viet Nam land is the property of the state. The average amount of land
(including a garden) owned by a household is 738 m2 and 99% of households have long-
term land use rights. Farm land is very limited – only 1,753 m2 is allowed per household
of which 1,534 m2 has irrigation and 219 m2 does not. This is due to the high population
density and land loss caused by riverbank erosion during annual flood disasters. Dai Hoa
and Dai Cuong communes are located in plain areas so only two households have
forestland, with areas of 3 ha and 4 ha. There are no aquaculture activities in the surveyed
communes. Agriculture in the surveyed areas is climate-sensitive so income sources from
agricultural activities are unreliable. Agricultural production is mainly for domestic use
with 72% of respondents using more than 50% of the food they produce. The main
sources of income for all the surveyed households are agriculture (rice growing, home
garden with bananas and peanuts, etc.) and waged labor in non-farm activities. Around
75% of households have their own vehicle (typically a motorbike) to travel to work.
However, only 28% of households have their own boat despite the fact that boats are
important for harvesting crops and for evacuation during the flood season.

5.1.2 Technological indicators

Severe flooding is a traumatic experience for villagers, particularly for those who
live in temporary or weak houses and have nowhere to seek refuge because they live far
from the public facilities which function as shelters (this is defined as an average of 2 km

36
from the household to the commune center, the typical location of shelters). During
flooding water can rise to roof level and strong winds can cause fierce waves.
It is interesting to note that only 54% of buildings are classified as permanent
dwellings capable of resisting a strong flood and/or typhoon. However 70% of
respondents believe that their house is strong enough to withstand disasters so they stay at
home. It is common practice for people to remain in their homes during disasters. There
are several reasons for this behavior. Local communities experience disasters every year
so they get used to them. People also believe that their homes are safe or that there is no
other place as safe as their house. Among the households that did not or would not
evacuate to shelters, only 30% stated that they had no safer place to go or could not
access safer places. The GIS survey showed that more than 45% of households are
located more than 300 m from a safe shelter. It is very difficult to move to a shelter this
distant from your home during a typhoon and this may be a major reason for loss of life.
Among the households who did or would evacuate to other places in the event of
a severe disaster, 85% of them did or would move to an easily-accessible neighbor’s
house (72% of respondents). The main means of evacuation is by boat (30%) or walking
(70%) (see Error! Reference source not found. for a map of safe shelters). These
important factors should be taken into account when planning public buildings that also
double as shelters.

Figure 14: Proximity of households to buildings that can be used as shelters

Source: authors

It should be noted that mass media such as television and radio are the main
sources of early warning information for both local government and communities in the

37
surveyed areas. The possibility of involving the mass media in awareness raising or early
warning systems should be considered for future disaster management. It has been noted
that almost all households have televisions (95%) and this is an important means of
receiving disaster-related information during the disaster season. In addition, during
disasters local government commonly uses loudspeaker systems and megaphones to
disseminate early warning information to households. The survey indicated that 74% of
households received disaster information via this system.

5.1.3 Social capital indicators

Social capital generally refers to trust, social norms or the networks upon which
communities or individual households can rely. These differences influence many aspects
of a community, such as mutually beneficial collective action, which is an important
factor in the sustainability of community activity and the livelihoods of all. In the
household survey questionnaires were used to understand social capital.
An indicator for discussing common issues and building networks is community
meetings. The survey shows that meetings are regularly organized in communities.
Around 52% and 24% of respondents said that meetings are organized once a month and
once every three months respectively. In rural areas, a high percentage of people interact
and share experiences related to disaster and climate change issues. The survey shows
that more than 12% of people often share climate change and disaster-related experiences
and 58% of people sometimes share climate change and disaster-related experiences.
Networking capacity is a major social capital indicator. The majority of
respondents (56%) are members of formal organizations such as farmers’, women’s,
elders’, or veterans’ associations, and more than 70% of them are active members. In Viet
Nam formal organizations, called mass organizations, are found throughout the country
and function as a focal point for people and local authorities or development
organizations to address various issues. In the surveyed areas, two major mass
organizations, the Farmers’ Association and the Women’s Union, are very popular and
many people are active members. It is common for people to receive help from the
government through these mass organizations.
More than 90% of households have turned to outside help in order to cope with
their problems. Most respondents get help from the government (73%), from relatives
(24%), from friends (6%), and from others (30%). Most participants (64%) responded
that, if necessary, they can borrow money to support their needs but help and support
mainly takes the form of labor to help repair houses, labor to help with harvesting,
construction materials, money for disaster recovery, or food and clothing after a disaster.

5.1.4 Skill and knowledge indicators

Most respondents (88%) have not been invited to attend any disaster-related
training in their commune in the last five years. Only 12% of respondents have attended
disaster management training. Training mainly focuses on first aid and rescue techniques,
constructing safer housing, environmental issues related to disasters, and the activities
that need to be undertaken before, during and after disasters. More than 91% of trainees
found that the information they learned was useful. Although most respondents have not
attended training courses on disasters, many of them learn about disasters from sources
such as the media, and relatives or neighbors.

38
 The three most important areas of disaster risk management are: techniques for
reinforcing houses prior to the start of the disaster season; how to store and preserve food
and protect property during a disaster; knowledge or experience of natural phenomenon,
particularly floods and typhoons, in order to respond to them in enough time. However,
only 50% of respondents believe that traditional disaster prevention knowledge and
responses are useful.

5.2 Xangsane Typhoon and its Impacts

More and more climate change-related disasters have been taking place
throughout Viet Nam, particularly in the Central region, which has been defined as the
most disaster-prone area of the country. The frequency and severity of extreme disaster
events is projected to worsen. Extreme climate change-related disasters have killed many
people, destroyed livelihoods, and push communities back into poverty every year.
Climate change-related disasters such as floods and storms have been increasing
in frequency and intensity in Quang Nam. The records of the Quang Nam Center for
Hydrometeorology Prediction (QCHP) indicate that historically there are two main
seasons in the province. The rainy season takes place from September to February but
heavy rainfall often occurs from September to November, causing flooding during this
period. As a result of the typical topography of the region (aslope hills from west to east
with short rivers, lakes and low-lying areas) floods often occur rapidly and widely
inundate. During the rainy season Quang Nam also suffers from monsoons that cross
from the north, increasing flood problems. Nine flood events hit the province within two
months in 2007, causing devastating damage to local communities, with an estimated cost
of up to VND 2,000 billion. The dry (sunny) season lasts from mid-March to late August
with between 10 and 15 heat waves, especially in July and August (QCHP, 2007), leaving
local communities with droughts during periods of agricultural production. In addition,
storms are one of the major and most dangerous types of disasters in Quang Nam, often
happening from July to December every year.
The survey indicates that 50% of respondents suffer from extreme weather-related
events (typhoons/floods) every year and that 25% of households face severe disasters
every five years. It can be concluded that the level of exposure to extreme disasters in the
surveyed areas is very high.

Table 9: Frequency of extreme typhoons/flooding

Frequency Percentage
Yearly 50.0
Every five years 25.8
Every 10 years 8.4
Rarely 15.8
Total 100.0

The year 2006 was recognized as “the year of typhoons” with four typhoons
including Xangsane typhoon, which was recognized as a once-a-century event in Quang
Nam. These four typhoons caused serious damage to local communities with 14 people
dead, 307 injured and total damage of nearly VND 600 billion.
After four days of warnings from the media (from 27 September), the Xangsane

39
typhoon made landfall in Dai Loc District, hitting Dai Hoa and Dai Cuong communes at
7 a.m. on 1 October. Xangsane lasted for about four hours and its intensity level reached
13. The typhoon was accompanied by heavy rain and caused severe flooding that affected
93% of surveyed households, with an average of 1.1 metres of floodwater inside people’s
homes.
Of the surveyed households, 47% claimed that the Xangsane typhoon caused
severe damage and loss to their homes. Most of the damage was to houses (e.g. roofs) and
food production, with an average cost of VND 2.89 million and VND 1.97 million per
household respectively (see Table 10 for the cost of the damage caused and Figure 15 for
the location of the most damage). However, most households were able to recover within
six months.

Table 10: Household (HH) damage caused by Xangsane typhoon

Mean (million
Description VND)
HH property damage (house) 2.89
Production damage (crop) 1.97
Production damage (livestock and poultry) 0.61
HH property damage (others) 0.42
HH property damage (appliance) 0.32
Forgone income (loss of business) 0.19
Other damage/loss 0.15
Production damage (fishing) 0.12
Injured 0.08
Production damage (aquaculture farm) 0.05
Business 0.04
HH property damage (vehicle/boat) 0.03
Disease/illness 0.03
HH property damage (amenities) 0.02
Forgone income (loss of income/wages) 0.01
Total loss 6.95

Overall, 98% of households claimed that Xangsane typhoon had a negative

impact. Only 2% of households – those working in the service sector – benefited from the
typhoon, as they could sell construction materials in the recovery period following the
typhoon.
Xangsane typhoon also had a significant impact on human health because most
communities did not have access to drinking water. Floodwater following the typhoon
increased the risk of water-borne pathogens and insect-borne infection. The surveyed
areas were located along a river, and so received solid waste, dead animals, mud and
debris from upstream communities. Solid waste, unsafe drinking water and stagnant
water caused serious environmental problems after Xangsane. The study also found that a
lack of ability to deal with the “new garbage”, such as industrial waste, human waste,
mineral waste, pesticides, and waste from agricultural production, brought severe
environmental hazards, making living conditions for many people uncertain.

40
Figure 15 Location of housing according to level of damage
Source: authors

5.3 Xangsane Typhoon and Adaptation Behaviors

5.3.1 Early warning and Xangsane typhoon

In Viet Nam different ministries, bodies and offices are responsible for monitoring
and forecasting imminent disasters. However, the focus is on floods and typhoons, with
minimal investment in other hazards. Every year ministries, sectors, provinces, districts
and communes have to prepare response plans outlining clear roles and responsibilities
and they are also responsible for communicating this information to individuals and
communities. Vietnamese television and radio broadcast imminent flood and storm
warnings to the public. The most inaccessible groups of people, i.e. those living in remote
areas and poor fishermen, do not always receive information and warnings in time.
At provincial level, every year before the rainy and typhoon season begins, the
provincial CFSC organizes a meeting to draw lessons from the past year and to plan the
coming disaster season. Representatives from relevant bodies in the CFSC at province
level and the heads of the district CFSC are present. In turn, the district CFSC will
organize the same kind of meeting with the heads of the commune-level CFSC.
Figure 16 illustrates the Quang Nam provincial forecast and warning system.
Desk phones are used to disseminate information. Between provincial and district offices
fax machines are used as a means of communication, supported by generators in case of
power cuts. Mobile phones are not provided by the government for use in emergency
situations. The field survey shows that most leaders, from commune level and above,
have personal mobile phones which they use during emergencies. Internet access and the
computer network is very limited and is only available at provincial CFSC level.

41
Figure 16: Provincial forecasting and warning system

Staff members of the CFSC are responsible for gathering as much information as
possible from other sources, including correspondence from the Central Committee for
Flood and Storm Control (CCFSC), websites and daily weather forecasts on national
television and radio, and local television and radio.
At provincial level, warning messages received from the CCFSC are passed on to
the district level, and then, in turn, to commune level. Daily weather forecasts are
broadcast on national television and radio but warnings are given to all provinces via
telephone and fax through the CCFSC communication network, with more detailed
information about wind speed, floodwater levels, etc.
At commune level, loudspeakers are used to disseminate information and warning
messages. The household survey indicated that 99% of households received early
warning information regarding Xangsane typhoon so it can be said that the system for
disseminating disaster information throughout the surveyed areas is effective.
Most households received early warning information via the government system
(98%), and from the mass media (mainly television) (85%) during Xangsane typhoon.
Most households (92%) understood the information and took action to cope with the
typhoon. Early warnings were disseminated to households with an average lead time of
44 hours and each household spent an average of 1.4 hours responding to the warnings by
taking measures to protect themselves and their property.

5.3.2 Adaptation options before Xangsane typhoon

Most people in the villages surveyed are aware of seasonal disasters. The survey
showed that households engage in a whole series of activities at least a month before the
storm and flood season begins (Table 11). Here are some of the most common adaptation
options people used to prepare for Xangsane typhoon.

42
 1. Reinforce and repair homes, particularly the windows and the roof.
2. Buy and store food, drinking water and other necessities.
3. Move ships, small boats, livestock, and household items to safer places.
4. Move family members to safer places.
5. Cut and trim trees near homes to prevent damage from falling branches.
The commune People’s Committee and mass organizations played a major role in
encouraging households to make these preparations. As mentioned earlier, housing in the
surveyed areas is vulnerable to typhoons, so 90% of respondents reinforced and repaired
their homes before the typhoon. In most villages, households who owned a boat brought
them to rivers and canals nearer their houses in preparation for emergency evacuation.
The preparation of drinking water depends on available sources – in some households
water tanks were used to store rainwater and they were set high enough to protect the
domestic water supply from the flooding. Since most households depend on well water,
73% of them prepared and stored water well in advance of the flood season.
In terms of collective action in response to the typhoon, focus group discussions
showed that activating early warning systems, mobilizing organizations involved in
climate change-related risk management, and informing local communities, were the
three main adaptation strategies used by local government units to prevent and mitigate
the impacts of the typhoon. Preparing relief and recovery equipment, stocking relief
goods, and evacuating people, were also used as prevention and mitigation methods.

Table 11: Adaptations made before Xangsane typhoon

Percentage of
households
Adaptations
that took this
option
Reinforce and repair homes 90
Buy and store food, drinking water and other necessities 73
Move ships, small boats, livestock, and household items to safer
44
places
Move family members to safer places 29
Cut and trim trees near houses to prevent damage from falling
28
branches
Reinforce breeding facilities (animal husbandry facilities), ponds
15
and dykes
Build mezzanine floors 9
Prepare a means of evacuation (buy a boat to move family) 7
Other options 5
Harvesting aquaculture/crops before the disaster season begins 4
Plant trees along rivers and around gardens to protect against wind
3
and prevent soil erosion.
Change cropping pattern (from three seasons a year to two) 2
Migrate to cities for work; get involved in non-farming activities 2
Contribute to a local fund for anti-disaster activities 2
Diversify agricultural production (groundnuts, forest plantation,
1
animal husbandry…)
Regularly update warning information about disasters 1

43
 Focus group discussions conducted in Dai Hoa and Dai Cuong communes
indicated that households have made great efforts to change their crop varieties both in
their gardens and in their paddy fields. Focus group discussions also found that shifting
from three paddy crops a year to only two is considered to be one of the most effective
adaptation measures to mitigate the adverse impacts of annual disasters. However, only
2% of households have adopted new varieties of vegetables in their gardens, such as hot
chilies, ground beans, bananas and maize instead of fruit trees as before. This is due to a
lack of knowledge and technical ability to change crop patterns. Agricultural services
should take this into account when planning adaptation activities.

5.3.3 Adaptation options during Xangsane typhoon

The study shows that the main action taken by households during the Xangsane
typhoon was to stay in shelters and wait for the disaster to end (60%) (Table 12). This
was due to the extreme conditions created by the typhoon. It was very dangerous for
people to move out of their homes during the typhoon. In Central Viet Nam flooding
often accompanies a typhoon and the Xangsane event was no exception – most houses
were flooded quickly after the typhoon. Other adaptation options undertaken were to
clean houses and belongings when the floodwater receded (55%), and to reinforce the
house (34%), mostly to secure the roof. It is important to note that during the Xangsane
typhoon local communities, government units, and mass organizations could not evacuate
victims to safe shelters or provide relief goods to households in isolated areas, etc.

Table 12: Adaptation options during Xangsane typhoon

Percentage of
households
Adaptation options
that took this
option
Stay in shelters, wait for the disaster to end 60
Clean house or belongings when flooding water recedes 55
Reinforce home 34
Move ships, small boats, livestock, and household items to
25
safer places
Move family members to safer places 24
Keep disaster warning information and instructions for
16
information
Cut and trim trees near houses to prevent damage from falling
7
branches
Help injured neighbors to evacuating to safer places 6

5.3.4 Adaptation options after Xangsane typhoon

After the typhoon almost all households (94%) repaired or strengthened their
houses before asking for outside support. However, for those whose houses were heavily
damaged or had entirely collapsed, it took a long time to recover and they needed to
borrow money from many sources to rebuild their homes. The typhoon had a severe
impact on the environment and drinking water and the majority of respondents (60%)
were aware of this problem and treated the water source their family uses and cleaned the

44
surrounding environment (Table 13).
The villages in the surveyed areas have been recognized as “cultural villages”.
One of the criteria for this recognition is good relations between villagers. Community
members helped each other to overcome day-to-day difficulties and were motivated to
participate in social and cultural activities in order to promote traditional cultural values.
More than 20% of the respondents contributed time and money to repair disaster damage.

Table 13: Adaptation options after Xangsane typhoon

Percentage of
households
Adaptation options
that took this
option
Repair/strengthen homes and damaged items 94
Treat water source for family and clean surrounding
60
environment
Recover production activities (repair dams, paddy fields and
36
ponds)
Reconstruct homes using more durable materials/more
21
resilient structures
Contributing time and money to local government to repair
20
disaster damage
Consolidate dykes, roads, etc. 11
Ask for aid/support from the government 8
Ask for support from relatives 7
Migrate to other areas for work; work more to earn extra
5
income to support family recovery
Cope with financial shortage (withdraw from savings, sell
4
stocks, borrow money)
Sell assets: gold, motorbike, land, livestock; sell means of
3
production: seeds, machines.

5.4 Relationship between Socio-physical Indicators and Economic Loss/Damage

5.4.1 Relationship between economic status and the loss caused by disasters
The survey noted that there are still many households living in weak and semi-
permanent homes located far from main roads and public facilities. To view information
about homes by category of permanence and by income group see Table 14.
Very poor families living in temporary houses typically live more than 200 meters
from multi-story or safe public buildings and, compared to families living in better
quality houses, they live further from evacuation roads. These circumstances make these
families more vulnerable in the event of floods and highlight for local authorities where
additional safe public infrastructure could be created.

45
Table 14: Houses by permanence and income group
State of
Income group Number of storys Percent Percent
housing
One story 39 Permanent 62
Semi-
One story with attic 52 30
Better-off permanent
Two storys 8 Temporary 8
Total 100 Total 100
One story 51 Permanent 50
Semi-
Medium- One story with attic 45 37
permanent
income
Two storys 5 Temporary 13
Total 100 Total 100
One story 57 Permanent 51
Semi-
One story with attic 41 34
Poor permanent
Two storys 2 Temporary 15
Total 100 Total 100

The 2006 typhoon and the floods that followed were very traumatic for villagers,
particularly for those in temporary or weak houses, as they did not have anywhere to seek
refuge when the water level rose to the roofs of their houses. In addition, strong winds
caused fierce waves, making mobility difficult. The survey results show that poverty and
vulnerability to floods are linked and mutually reinforcing.
Table 15 shows that the poor are more exposed to floodwater. There is a
statistically significant difference between the water levels reached by flooding during the
2006 event in better-off households and in poor households. In absolute terms, the
Xangsane typhoon had a greater economic effect on better-off households, while those
living in poor households suffered more from the event.

Table 15: Average flood level and level of house base by income
Household Height reached by Total economic loss Total economic loss
income water during caused by Xangsane caused by Ketsana in
Xangsane (cm from in 2006 (million 2009 (million VND)
the ground floor) VND)
Poor 119 6.8 2.0
Medium-
109 6.4 1.7
income
Better-off 115 7.6 3.5

It is important to note that medium-income households experienced less damage

and loss as a result of Xangsane typhoon in 2006 and Ketsana typhoon in 2009 (Table
15). This is because although socio-economic vulnerability is important in determining
the loss and damage caused by a disaster, other factors such as the physical condition of
houses and roads, and exposure factors, such as proximity to a river or flood plain, also
have an impact on loss and damage. It is clear that a mixture of actions are needed to

46
reduce climate-risk problems and these measures should combine structural and spatial
measures (such as reduced access and reduced proximity to rivers, the establishment of
safe havens) with structural measures (rebuilding or retrofitting houses with safety in
mind), and social measures (reducing poverty in particular, as this is a fundamental
contributor to vulnerability).

Table 16: Loss and damage caused by Xangsane by income group

Medium
Better-off (average Poor
(average loss (average
Loss and damage loss VND) VND) loss VND)
HH property damage (house) 2884579 3265429 2543867
Production damage (crop/aquaculture) 2688571 1185429 2196181
Production damage (livestock and poultry) 551869 487929 762292
HH property damage (others) 390566 537956 338621
HH property damage (appliance) 365566 457554 142958
Forgone income (loss of business) 179541 235365 167014
Production damage (aquaculture farm) 149533 16667 0
HH property damage (vehicle/boat) 122642 0 0
Others business losses 113208 0 327902
Production damage (fishing) 91776 228248 43752
People injured 46729 50000 142847
Business 38684 69203 19792
HH property damage 5283 20146 43239
Forgone income (loss of income/wages) 3429 13285 25000

At household level, the poor have fewer resources upon which to draw to
counteract the impacts of climate-induced disasters. In the study areas 37% of the
households surveyed live below the poverty line, with an average per capita monthly
income of USD 12 or less. Disasters make the farming activities and livelihoods of the
poor unstable. The survey shows that most poor households have between two and five
different sources of income, such as farming activities, and non-farming activities, such
as self-employment. In addition, the vulnerability of poor households is often cyclical
with regard to climate hazards because the disruption caused by one disastrous event
often makes households more vulnerable to the impacts of the next disaster. After each
disaster, the same families tend to lose their homes, possessions and livelihoods, and
therefore find themselves forced to over-exploit environmental resources for survival, e.g.
going fishing in dangerous areas during the flood season or mining sand from the river
during the dry season for construction purposes. These activities, accompanied by the
unregulated destruction of upland forests, exacerbate both the risk of, and exposure to,
future flood disasters. Increased population pressures are also leading to the over-
exploitation of agricultural resources in environmentally vulnerable areas. For example,
rice-growing areas are intensively farmed, flushing greater and greater quantities of
fertilizers and pesticides into river systems. These practices directly affect the natural
world and hurt the very resource base upon which many poor people depend. As a result,
the rural communities that rely on resource-based activities are the ones who pay the

47
highest price for climate change.

5.4.2 The relationship between education and coping behaviors

Risk perception plays an important part in shaping climate change-induced event
coping mechanisms and adaptation to climate change. Risk perception can influence both
the design and operational aspects of disaster risk management. If disasters are perceived
as hazard-led events, then coping and management mainly focuses on physical problems,
structural measures, and external relief. In contrast, if disasters are thought to be the
product of hazard and vulnerability, then the adaptation measures employed recognize
that human behavior is important and coping and management policies focus on non-
structural measures. Therefore, understanding how people perceive disasters is important
when formulating disaster risk management policy and plan.
The study showed that a majority of people (63%) perceive a disaster such as
Xangsane typhoon as a hazard-led event that people have little control over. As a result,
the common coping strategy is to “live together with the disasters” – houses are often
reinforced before the start of the disaster season to reduce the impacts of floods and
typhoons, farming has been adjusted to reduce the adverse impacts of disasters as much
as possible, and people move livestock and property to higher places before the disaster
season commences.

Table 17: Levels of education and perceptions of the severity of future disaster events

Do you agree that you have little control

over extreme typhoons/flooding?
% Within level of education Strongly Strongly
agree Agree Disagree disagree Total
Level of No schooling 36.4% 54.5% 00.0% 09.1% 100%
education Elementary
12.5% 58.3% 20.8% 08.3% 100%
school
Secondary
8.2% 52.9% 27.1% 11.8% 100%
school
High school 6.7% 44.9% 36.0% 12.4% 100%
Total 10.0% 52.8% 26.4% 10.8% 100%

The majority of respondents (60%) think that in the future disaster events will be
more severe, however 63% of respondents have no specific plan for responding to this
increased severity. It is important to note that respondents who have been through higher
education tend to disagree that they have little control over extreme typhoons/flooding (

Table 17).

48
Table 18: Level of education and perception of future risks
How do you assess the risk that your
house/farm/business faces with regard to
future typhoon/flooding events?
Future events Future events
% Within level of education will be more will be about
severe the same Not sure
Level of No schooling 45.5% 54.5%
education
Elementary
52.9% 9.2% 37.8%
school
Secondary
62.9% 10.6% 26.5%
school
High school 65.2% 11.2% 23.6%
Total 59.9% 10.0% 30.1%

More than 60% of respondents believe that the overexploitation of natural

resources, particularly of upstream forests, is the reason for the increasing impacts of
climate change. A further 67% of respondents also perceive climate change to be
responsible for the increased frequency of disasters. People who have had access to
higher education have more understanding of climate change-related disaster (Table 18).
This is an important indicator for awareness raising and capacity building in climate
change adaptation and disaster risk reduction (DRR) programs. A total of 37% of
households plan and prepare in order to reduce the impacts of climate change-induced
events. These activities vary from household to household depending on their conditions,
resources and their perceptions of future risks.

5.5 Collective Adaptation by Communities

5.5.1 Collective adaptation

A total of 34% of households acted collectively to deal with Xangsane typhoon.
Some 76% of households surveyed coped with the disaster on their own because they did
not know how to respond to the event collectively (44%) or they did not know their
neighbors well (15%).

Table 19: Collective action and Xangsane typhoon

Collective adaptation Percent
No, because we did not know how to act collectively 44
Yes, our community acted collectively to deal with
Xangsane typhoon 34
No, because we did not know each other 15
No, because of other reasons 6
Total 100

49
 Of the 34% of households that engaged in collective action, most of them
contributed labor and time, only a few families gave cash or goods in kind.

Table 20: Collective activities of households

Average
Average
value of cash,
Adaptation measures time (days
or goods in
of labor)
kind (VND)
1. Provide early warning system and
1.0 375
disseminate early warnings
2. Coordinate with commune-level
0.2 375
authorities to provide evacuation equipment
Before 3. Raise awareness of disaster prevention 0.1 0
event
4. Mobilize fund for disaster risk reduction 0.0 600
5. Prepare evacuation roads 0.1 0
6. Help people to reinforce and harvest crops 0.5 0
7. Others, please specify 0.1 0
8. Assist evacuation 0.2 750
9. Participate in rescue operations 0.1 0
10. Organize and provide necessities at
0.0 0
During event evacuation centers
11. Assist relief operation 0.2 375
12. Monitor the situation 0.1 0
13. Others, please specify 0.0 0
14. Assessment of social conditions as a
0.3 0
basis for the distribution of relief
15. Repair/reconstruct damaged dwellings 4.6 1876
16. Extend credit to members 0.2 0
17. Send goods to/give disaster assistance to
After 0.4 1501
affected people
event
18. Work together to clean up the
3.5 2251
environment
19. Mobilize disaster goods assistance to
0.1 375
communities
20. Others, please specify 0.5 2326

According to the survey, national and local governments as well as other

organizations mainly focused on initial responses to Xangsane typhoon followed by
recovery during Xangsane typhoon. None of the respondents received support in any of
the following areas: labor, finance, construction materials, emergency response
equipment, and basic necessities, before or during Xangsane typhoon, despite the fact that
early warnings of the typhoon reached families almost two days before it hit
communities.
However, before Xangsane typhoon came, commune authorities and villages

50
played a crucial role in disseminating early warnings among communities, instructing
people to reinforce their homes and protect their property. There was strong collaboration
between the CSFC at national level and commune level in terms of providing information
and disseminating early warnings to households. While the disaster is taking place
conditions are very dangerous so fewer adaptive measures can be applied during this
period. No support was given by the government or any other organization during
Xangsane typhoon.
After Xangsane typhoon, 48% of households received support from national
government in the form of basic necessities such as water, food, clothing, and finance.
Around 58% of households also received support from local government in of the form of
basic necessities, money, emergency response equipment, and labor. Some 22% of the
households surveyed received labor and financial support from relatives and friends, and
20% of households received support in the form of labor from neighbors. NGOs provided
basic necessities and finance to around 10% of households, and other organizations and
individuals provided food and finance to 24% of households.

5.5.2 Needs of households

When asked “What does your household need to deal with climate change-
induced disasters?” 75% of respondents said that they need financial assistance to
implement climate change adaptation measures, and 60% of people require assistance to
build strong homes.

Table 21: Needs of households

The two most important options that households need to
deal with disasters Percent
Financial assistance for adaptation expenses (Economic
indicator) 75
Building strong homes to prevent the impacts of climate
change-induced events 60
Set up an insurance market for climate change-induced events
(institution indicator) 14
Provide technology/knowledge/information on how to cope
with climate change-induced events 40

However, it is important to note that local communities have to deal with many
barriers and constraints in order to adapt to climate change. Some of the main constraints
are listed below.
- Lack of safe shelters in disaster-prone areas.
- Lack of transportation for evacuation to safe shelters during disasters.
- Lack of budget to implement adaptations that will reduce the impacts of
disasters.
- Local livelihoods are mainly dependent on agricultural production but
most households do not have cultivated land.
- Lack of experience in dealing with typhoons.

51
 6.0 CONCLUSIONS AND RECOMMENDATIONS

6.1 Adaptation Options

6.1.1 Before the event

The most severe damage caused by Xangsane typhoon was to housing. In light of
this fact, the main adaptation measure which should have been employed against
Xangsane typhoon was the improvement and reinforcement of homes. Unfortunately
64.5%, 65%, and 72.4% of better off, medium-income and poor households respectively
could not afford to do this (Table 22). Some households feel regret that they were unable
to undertake other adaptation measures such as protecting family property, or prepare
their own means of evacuation. Some of these options may be inappropriate depending
on the local context.

Table 22: Percentage of households unable to take adaptation measures before Xangsane
typhoon

Improving - Strengthening roofs, reinforcing the house

Structural house/ - Securing the house to the ground
reinforcing the - Building a mezzanine area
house (68%) - Constructing an anti-storm trench
- Reinforcing breeding facilities
- Building a new house on a higher base
Protecting - Moving domestic animals to safes places
Behavioral family property - Moving food and household items to safes places
(2.3%) (e.g. mezzanine)
Preparing - Buying a boat to move the family during disasters
evacuation
(0.6%)
Evacuation - Evacuating family members to safer places
Changing crop - Quick-harvesting crops
patterns/calendar - Sowing earlier
(1.3%) - Adjusting the timing of the crop calendar
- Using crop varieties that can avoid the impact of
disasters
- Harvesting crops before the disaster season begins
Diversifying - Diversifying agricultural production (groundnuts,
sources of forest plantation, animal husbandry…)
income (1.3%) - Migrating to cities to seek work
- Involvement in non-farm activities, waged labor, etc.
- Doing extra work to make more money
Update disaster - Regularly upgrading warning information about
Technology information disasters from the media and local government
(1.3%) - Exchanging warning information with neighbors

52
 6.1.2 During the event
The most common option that should have been undertaken during Xangsane that
was not was storing food. Around 7% of households regretted that they did not prepare
enough food for the family for during Xangsane typhoon. More than 86% of households
believed that they could do nothing during a typhoon as severe as Xangsane. Therefore,
according to them, prevention and disaster risk reduction prior to the event was more
important and during the event the priority was to protect human life. It is worth noting
that 2% of households could not evacuate family members and domestic animals to safety
during the typhoon.

Table 23: Percentage of households that did not take adaptation measures during
Xangsane typhoon

Continue - Reinforcing the house

Structural reinforcing - Securing the house to the ground
the house - Cutting and trimming trees near the house
(1.5%)
Evacuation - Evacuating family members to safer places
Behavioral (2%) - Evacuating domestic animals to safer places
Protecting - Moving livestock to higher ground
family - Moving food and furniture to higher ground
property - Preparing food
(7%)
Updating - Keeping disaster warning information and instructions
Technology disaster as a prevention measure
information
(0.3%)

6.1.3 After the event

Of the surveyed households, 34% could not completely repair or reconstruct their
homes to the condition they were in prior to Xangsane typhoon (Table 24). The average
rural home for a family with a monthly income of between USD 25 and USD 40 has a
main house with a floor area of 35 m² (5 x 7 m) divided into three bays, a covered terrace
(2 x 7 m) in front and an enclosed kitchen/multipurpose area to the right of the house. A
family may have made their own cement tiles and blocks but will buy most of the other
construction materials they need including cement, steel, ceramic roof tiles or roof
sheeting, bricks, shutters, doors and windows, and they may have borrowed money in
order to buy these items. Many of the flood- and storm-resistant features of traditional
housing have been neglected, e.g. a roof that is tied down to the ground, holding the
structure together. Household investment in these new building materials, structural
improvements and modern building methods are at great risk of being lost and destroyed,
partly due to the rejection of traditional building methods and types. It is a paradox that
the improvements that have been made in building have contributed to the increased
vulnerability and loss of property. Because more time and money has been invested in
people’s homes, the cost of these losses is considerable. As a result, vulnerability has in

53
fact increased and this is the reason why a high percentage of families cannot afford to
repair or rebuild their homes to pre-typhoon standards.

Table 24: Percentage of households who were unable to implement adaptation measures
after Xangsane typhoon

Reconstruction - Repairing houses and damaged family items

Structural and repair
(34%)
Diversifying - Migrating to other areas for work
Behavioral livelihoods - Changing jobs, etc.
(1%) - Working more to earn extra income to aid the family’s
recovery
Recovering - Resuming normal production activities
(4%)
Coping with - Borrowing money from relatives and friends
Financial financial - Taking a loan/credit from banks and social sources
shortage
Asking for - Asking for compensation
compensation - Asking for aid/support from the government

6.2 Barriers

6.2.1 High percentage of non-disaster resistant houses and infrastructure

The Doi Moi moved Viet Nam towards a market economy and one effect of this
has been that the financial situation of many families has improved. A visible effect of
this is that families have progressively began to rebuild their houses with more durable
and costly materials. However, changes in construction materials and building techniques
to “modern” styles without the adaptation of appropriate safety measures have threatened
the integrity of the built environment. Few of these new houses have been built with
safety features that will enable them to resist floods or typhoons. The unfortunate result
of this has been an increase in the vulnerability of the built environment. The survey
shows that to avoid the damage of normal floods to housing, most traditional houses were
constructed on a high plinth, elevating the ground floor to an average of 71 cm above the
ground. This was not enough to prevent damage from the Xangsane typhoon where
floodwater reached an average height of 110 cm. The Xangsane typhoon disaster caused
an average loss to housing of about VND 6.95 million or USD 460 per household, but the
GDP per capita of the province is only USD 193. Despite this, a high percentage of the
population still do not prepare for disasters – in fact a high percentage of households
(63%) do not have any plan to cope with future disasters.

6.2.2 Insufficient access to disaster risk management information and

planning
Households have insufficient access to information regarding natural disaster

54
planning and mitigation and severe weather preparedness and planning to allow them to
respond properly to disasters. Beyond the household and village level, at commune,
district or provincial level, the disaster management planning process (mainly flood and
storm control) takes place every year, but it is usually prepared by technical experts
without any community participation. Once the plan is approved, commune authorities
disseminate it to people before the flood and storm season via loudspeakers or via hamlet
leaders in charge of community meetings. This annual flood and storm control plan is not
detailed and mainly focuses on the organization, structure, roles and responsibilities of
members, rather than on a comprehensive preparedness, mitigation and response plan.
This is one of the barriers that many households encounter when trying to respond
properly respond to ECEs.

6.2.3 Lack of mutual help

Viet Nam’s move from a centrally-planned economy to a market economy has had
three major impacts on disaster management:
• Social capital has been eroded.
• There is increased social vulnerability.
• There is less social responsibility for infrastructure repair and maintenance.
Social capital, cohesion or bonding, which is very important in disaster
management, has been gradually eroded due to the rapid advance of urbanization and
privatization. In the surveyed areas, local communities used to have the knowledge and
social institutions to cope with traditional risks, but with the current shift in government
economic policy to a market economy, these practices have broken down in many areas.
Although Viet Nam’s transition from state central planning is often heralded as a
macroeconomic success story, this policy transition has had negative impacts on social
vulnerability. For example, whereas each community previously had to donate labor,
equipment and materials towards the maintenance and emergency repair of flood
protection infrastructure, they now receive payment for these efforts from the
government. Unfortunately, with an increase in ECEs, an increase in voluntary
contributions to ECE disaster funds, and the limited capacity of the government to pay for
ECEs, less money will be available to upgrade and maintain infrastructure.
As flood protection work is perceived more and more to be the government’s
responsibility, ECE staff will become identified with the maintenance of flood protection
infrastructure. It is already becoming increasingly difficult to mobilize the population for
maintenance and preparedness during the dry season and emergency repairs during the
flood season, and this indicates that public support for infrastructure monitoring and
repair is gradually reducing.

6.2.4 Traditional coping mechanisms under pressure

This research showed that in the areas studied, besides the traditional risks such as
floods and typhoons, new risks are rapidly increasing, e.g. environmental, and health
(epidemic) problems. While floods have been a part of human life for centuries in Viet
Nam, and local communities have evolved ways of coping with the annual cycle of
floods, they lack experience in dealing with these new risks. In addition, in the past
floodwater quickly drained away through the network of rivers and canals in flood-prone

55
areas. In recent years, the increasing degradation of the natural environment through
deforestation and the conversion of agricultural land to urban use has made the impact of
floods more serious and longer lasting in lowland areas. For example, because of the
expansion of the road network and other barriers to drainage, flood levels have increased
beyond anticipation. Fatefully, although most interviewed households (60%) agree that
disasters are becoming worse in both severity and frequency, they are still preparing for
disasters at a level commensurate with the worst disaster they experienced, not for the
greater disasters that are likely to strike in the future. In the case of the Xangsane
typhoon, for example, individual and collective preparation for the typhoon was based on
previous experience. Some respondents admitted that they did not begin to make any
preparations until the typhoon was virtually upon them. As a result extreme losses and
damage occurred.
Furthermore, disaster risk management methods in villages still follow “old
customs”, which is to say that villages are mostly dependent on large-scale infrastructure
such as dykes, dams and reservoirs, that were once funded by the government, but are
now too costly to maintain. While these old practices are under pressure, the new
methods needed to deal with modern risks have yet to materialize.
Ultimately, the worsening environmental problems of Viet Nam appear to be the
result of many different interacting factors including geography, declining traditional
practices, and the institutional structure of the country. These factors are a backdrop to the
recent rapid environmental changes brought about by the expansion of the market
economy, population pressures, urbanization, industrialization, inappropriate or poorly
implemented disaster mitigation policies, and a lack of adequate knowledge and
understanding of the environment. Hence, as Viet Nam is entering this new critical phase,
traditional hazards remain high, new risks are rapidly appearing, and disaster coping
mechanisms are becoming inadequate. Without scaling up existing programs and
initiating new and more innovative ones, the future of many cities and rural regions will
be subject to severe environmental deterioration and increased vulnerability to disasters.

6.2.5 Lack of emergency response equipment and trained personnel

Communities did not have access to proper rescue equipment when Xangsane
typhoon occurred. The survey showed that there were no rescue activities before and
during the event. Respondents said that the lack of necessary rescue equipment to
effectively respond to Xangsane, such as boats, life vests, communication equipment,
emergency medical supplies and facilities, were major obstacles. Trained personnel such
as doctors, health workers and engineers were needed to deal with emergencies such as
breached dykes, or to repair damaged community water systems but trained personnel
were often unavailable.

6.2.6 Low and instable income

Economic activity in the surveyed communities derives mainly from agriculture.
Other services and non-farm activities, e.g. small-scale manufacturing, account for a very
small part of the local economy. Thus, household income is typically not very high and
very sensitive to weather and climate. As a result, people have few opportunities to invest
in infrastructure development, or to increase their capacity to plan and prepare for natural
disasters.

56
 6.2.7 Limited access to financial resources
Private loans (borrowing money from relatives or local money lenders) are a
common way for poor people to bridge the food gap in the months before the winter-
spring crops are harvested. These loans are paid back directly after harvest and are
normally not a problem if they do not accumulate. However, after Xangsane typhoon, the
situation became more difficult, as people took out more private loans than usual.
Incomes have been low in the years following the typhoon and people have struggled to
repay their loans.
Moneylenders are often local traders or the more well-off households in the
community or neighboring communes. There is a degree of social pressure on these
households not to demand interest rates that are too high but there is little open discussion
about this issue at commune level. Households who take out loans do not normally talk
about it. Loans from traders are more difficult to control, as they are outside community
social pressure.
In the studied communes, the formal credit fund (from mass organizations, NGOs,
the Government Social Policy Bank, etc.) for disaster recovery was not sufficient. Credit
was largely used to replace lost resources, mainly rice, and did not contribute to the
accumulation of new resources. Therefore this credit was difficult for many people to
repay.
A combination of old debts, which were difficult to pay back after Xangsane, and
new debts, both formal and informal, put some households into a spiral of negative debt.
These households need special attention to help them out of their difficulties. Normally,
the Viet Nam Bank of Agricultural and Rural Development (VBARD) does not give new
loans if old loans have not yet been repaid. The bank also does not allow loans to be used
to repay private debt.
A special program is needed for households caught in a debt spiral, with a
combination of credit to service old debts and to facilitate income generation. These
households need special support to make sure that their income generation efforts pay off.
They also need support with overall long-term household economic planning. This could
possibly be a role for a mass organization at commune level, with support from
household economic experts from district planning and finance.
The commune authorities and mass organizations have experience of managing
loan schemes. They reported that most families that have had an accident or have
experienced a natural disaster have problems repaying debt. Repayment through groups is
a common method. Typically there are between 20 and 30 members per group and the
group leader collects money from group members. Loan terms vary according to the
purpose of the loan, and can be from one to three years or up to five years for raising
animals and/or planting fruit trees.
With regard to interest, there is much debate within the microfinance program
regarding improvements to housing. On one hand, local authorities and mass
organizations insist that interest rates for poor families should be as low as possible. On
the other hand, development credit specialists believe that the level of interest should
cover all management costs and take into account the risk of inflation, etc. According to
VBARD, the minimum interest rate to cover all of the above-mentioned costs should be
1.18% per month, and this is considered very high for villagers taking advantage of
housing microfinance. Most respondents would borrow money to improve their houses if

57
the interest is below 1% a month.
There is no official loan scheme for housing in the two communes surveyed in the
study but almost all local government officers have confessed that a large number of
families who receive loans from the official credit scheme for economic development use
part of it or all of it to rebuild or repair their homes.

6.3 Recommendations to Cope with ECEs

6.3.1 Improve houses to withstand typhoons and floods

The survey shows that 90% of people expressed the need to upgrade their homes,
and 72% of them agreed with the option proposed by experts to build community
shelters. The results of the household interviews indicate that 98% of the interviewees
need support to “disaster-proof” their homes so that they can be reasonably confident that
their homes will survive natural disasters and severe weather in the future. In particular,
people want to be able to storm-proof their houses. In addition, households need sanitary
latrines (such as pour-flush latrines with a septic tank or tanks) to minimize
environmental pollution when flooding occurs, and a properly sealed drinking water tank
or reservoir fitted on the roof to help ensure appropriate water quality and emergency
storage.

Table 25: Expert adaptation proposals

Not
Expert adaptation proposals Yes (%) No (%) sure
(%)
Building safe community shelters 72 13 15
Providing emergency response equipment such as lifebuoys,
68 4 28
life vests, medical kits and medicine
Providing training in CCA and DRR for all households 53 10 37
Developing an CC-induced disaster insurance scheme for
20 31 49
housing and crops
Relocating communities at risk to safer places 12 38 50

6.3.2 Establish and support rescue teams in each community

A total of 68% of surveyed households suggested developing rescue support
teams in each community and providing emergency response equipment such as
lifebuoys, life vests, medical kits, and medicine. These teams should be composed of
trained volunteers who are young and from better-off households, so that they can readily
contribute time and skills to support their community. In all the communities surveyed in
this study, emergency rescue teams have already been established. However, these groups
typically do not yet operate effectively because: (a) While some community members
participate, many others do not, and (b) Prospective members do not always have the
requisite training, equipment and financial support needed to ensure successful
implementation. Therefore, the following is needed:
Formulate specific working regulations for rescue teams and provide an

58
 adequate operating budget. Explain their rights and responsibilities, providing the
necessary equipment and facilities, such as boats, lifebuoys and life vests.
Provide climate change adaptation-related vocational training for
individuals who want to change jobs to help design, build and maintain new
residential areas.
Provide adequate funding to help poor families in particularly difficult
situations to move to new areas of housing and build supporting infrastructure (e.g.
sanitary latrines) in safer residential areas. However, this would probably be a very
expensive undertaking, and the source(s) of funding must be made clear, particularly
the level of co-financing by beneficiary households.

6.3.3 Improve emergency information systems and disaster planning

mechanisms
Analysis of the survey data indicates that local communities expressed a need to
improve the emergency information system. In fact, 96% of all the households
interviewed said that they would support an upgrade of the information system. Support
is needed for local people to effectively gain a better awareness of:
- Relevant government policies.
- Weather forecasts.
- The need for timely notification of impending weather events.
- Information about planning and implementing training on natural disaster
preparedness, planning and climate change adaptation.
- How local people can actively and effectively participate in emergency
response activities when natural disasters occur.

6.3.4 Raise the awareness of local communities about climate change

Around 53% of households think that training on CCA and DRR should be
provided to all households. The results showed that climate change is still a new concept
for most local people. However, people do understand about the impacts of natural
disasters. Basic knowledge of climate change and its impacts will help local people to
better understand the nature, impacts and increasing frequency of natural disasters, and
how they are affected by climate change, in particular:
- What can people do to minimize the adverse impacts of climate change on
their families and communities?
- How can local communities modify their behaviors to more effectively
deal with climate change impacts?
The survey shows that 97% of interviewees felt that on-the-job training for
households on topics such as natural disaster preparedness, adaptation, and lessons
learned is needed. To enhance the local community’s capacity to do this, the following
activities were recommended:
On-the-job training courses for local communities on knowledge, skills in
formulating and organizing the implementation of natural disaster preparedness,
planning, and climate change adaptation measures.

59
 Organizing a local rescue team to undertake natural disaster preparedness,
planning and climate change adaptation, and providing on-the-job training courses.
Carrying out exercises to practice tasks required to effectively deal with
natural disasters.

6.3.5 Build and upgrade rural infrastructure

Respondents also recommended upgrade of rural infrastructure, including roads,
irrigation systems, dykes, clean water systems, safe centers for evacuation, as well as
improved kindergartens and schools. Two-story schools can provide a safe haven during
flooding and also provide additional schooling space, the lack of which is a significant
problem in many rural areas.
Identifying the financial resources needed to address these large-scale problems
will not be easy. A methodology must be developed that will take into account people’s
priorities for improving rural infrastructure, with the clear understanding that this will
strain available resources (financial, human, and technical). Therefore, such a program
will require the support of the government and supplemental funding from bilateral and
multilateral organizations to provide loans and grants to project beneficiaries.
Beneficiaries must be willing to make substantial contributions to co-finance the
development of the new and improved infrastructure from which they will benefit.

6.3.6 Improve environmental sanitation

When floods and typhoons occur, adverse environment impacts caused by animal
waste, dead animals and human waste can badly affect communities and households. All
of these can result in the contamination of water supplies (groundwater and/or surface
water), and of the broader environment. This could result in disease in people and
livestock. Potential mitigation activities include the following:
Provide material and manpower support to properly restore the
community’s environment as quickly as possible. Environmental sanitation
improvement activities include proper disposal of trash, dead animals and human
waste, promotion of proper hygiene, such as regular hand washing with soap,
recommended vaccinations, and epidemic prevention measures.
Provide support in the form of tools and equipment for decontamination.
Organize on-the-job training to raise awareness and improve the skills of
local communities regarding sanitation, disease prevention and environmental
protection.

6.3.7 Improve productivity and household income

Most households said that they need both technical and financial support to
improve existing economic activities such as increasing crop productivity and upgrading
techniques and equipment to initiate more profitable economic activities. Many
households proposed economic activities that could improve their income and at the same
time make substantial contributions to environmental protection, such as gardening in
combination with short-term income generation activities including finding a market for
their garden products.

60
 REFERENCES

Asian Development Bank (ADB). 2005. Climate Proofing: A Risk-based Approach to

Adaptation. Asian Development Bank Pacific Studies Series. Philippines.
Briguglio, Lino. 2003. The vulnerability index and small island developing states: a
review of conceptual and methodological issues. AIMS regional preparatory
meeting on the BPOA+10. 1–5 September 2003. Praia, Cape Verde.
Huq, S.; A. Rahman; M. Konate; Y. Sokona; and H. Reid. 2003. Mainstreaming
Adaptation to Climate Change in Least Developed Countries (LDCs). IIED,
London, p 40.
International Institute for Sustainable Development (IISD), Stockholm Environment
Institute (SEI), International Union for Conservation of Nature (IUCN). 2003.
IUCN-IISD-SEI-IC Task Force on Climate Change, Vulnerable Communities
and Adaptation: Report of the Second Meeting, 2–3 December 2003,
International Environment House, Geneva, Switzerland. Available at:
http://www.iisd.org/pdf/2003/envsec_mtg2_report.pdf
Intergovernmental Panel on Climate Change (IPCC). 2007. Asia. Climate Change 2007:
Impacts, Adaptation and Vulnerability. Contribution of Working Group II to the
Fourth Assessment Report on the Intergovernmental Panel on Climate Change.
Cambridge University Press. Cambridge. UK. 469-506 p.
McCarthy, J.J.; O.F. Canziani Neil; A.L. David; J.D. Kasey; and S. White. 2001. Climate
Change: Impacts, Adaptation, and Vulnerability. Cambridge University Press,
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 APPENDICES

Appendix 1: Key Informant Interviews conducted by administrative level

Administrative levels LGUs & Government Agencies of Community and mass

KIs you have interviewed organizations of KIs you
(this depends on your
have interviewed
context) (A)
(B)

1. Head of Committee for Flood and 1. Head of Youth Union

Storm Control

2. Representative from Department 2. Head of Farmers’

of Agriculture and Rural Association
Development

3. Representative from Dept. of 3. Head of Women’s Union

Planning and Investment

4. Representative from Dept. of 4. Head of Veterans’

Environment and Resources Association
PROVINCE LEVEL
5. Representative from Dept. of 5. Vice-Director of Red
- # of KI from A: …9….
Science and Technology Cross
- # of KI from B: …7….
6. Representative from Dept. of 6. Vice Head of Fatherland
Total: 16
Health Front

7. Director of Preventive Center for 7. Head of donation

Health organization

8. Representative from Hydro-

metrological Center

9. Head of Committee for Flood and

Storm Control

DISTRICT LEVEL 1. Vice-President of District 1. Head of Youth Union

2. Head of Agriculture and Rural 2. Head of Farmers’

- #of KI from A: 9 Development Office Association
- # of KI from B: 7
3. Head of Planning and Financial 3. Head of Women’s Union
Office

62
 4. Vice-Head of Environment and 4. Head of Veterans’
Total: 16 Resource Office Association

5. Representative from Office of 5. Vice-Director of Red

Labor – Invalids and Social Affaire Cross

6. Representative from Health 6. Vice-Head of Fatherland

Office Front

7. Head of Preventive Center for 7. Head of donation

Health Organization

8. Representative from Hydro-

metrological Center

9. Head of High School

1. Head of Communes (2) 1. Heads of villages (3)

2. Head of Youth Union (2) 2. Representatives of

households (6)
COMMUNE
LEVEL (Dai Hoa and Dai 3. Head of Women’s Union (2)
Cuong)
4. Head of Veterans’ Association (2)
- # of KI from A: 18 5. Director of Red Cross (2)
- # of KI from B: 18
6. Head of Fatherland Front (2)

Total: 36 7. Head of Farmers’ Association (2)

8. Head of Secondary School (2)

9. Head of Health Center (2)

63
Appendix 2: Distribution of Focus Group Discussions by administrative level

Administrative level # of FGDs # of participants

Provincial government agencies 1 8
Provincial mass organizations 1 7
District agencies 1 9
District mass organizations 1 5
Commune agencies (FGDs) 2 18
Farmers (FGDs) 2 20

64