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Tài liệu Cải thiện sinh kế cho các hộ đồng bào dân tộc thiểu số tỉnh lào cai, việt nam

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VIETNAM NATIONAL UNIVERSITY OF AGRICULTURE KIM SUN HO IMPROVING LIVELIHOOD OF ETHNIC MINORITY HOUSEHOLDS IN LAO CAI PROVINCE OF VIETNAM DOCTORAL THESIS AGRICULTURAL UNIVERSITY PRESS - 2018 VIETNAM NATIONAL UNIVERSITY OF AGRICULTURE KIM SUN HO IMPROVING LIVELIHOOD OF ETHNIC MINORITY HOUSEHOLDS IN LAO CAI PROVINCE OF VIETNAM Major: Development Economics Code: 9 31 01 05 Academic supervisor: Assoc. Prof. Dr. Nguyen Thi Minh Hien AGRICULTURAL UNIVERSITY PRESS - 2018 THESIS DECLARATION I commit that the work presented in this thesis is, to the best of my knowledge and belief, original, except as acknowledged in the text, and that the material has not been submitted, either in whole or in part, for another degree at this or any other university. I acknowledge that I have read and understood the University’s rules, requirements, procedures and policy relating to my higher degree research award and to my thesis. I certify that I have complied within the rules, requirements, procedures and policy of the Vietnam National University of Agriculture. Hanoi, 26 August 2018 Author KIM SUN HO i ACKNOWLEDGEMENTS My doctoral work would not have been possible if it was not Vietnam for I have experienced several failures pursuing my academics in other universities due to my long duty of overseas consultancy works. When I first visited in Hanoi and Nha Trang city in 2004, I was deeply impressed by Vietnamese having similar culture to Korea and their warm-heart. It was a true happiness for me to study in such a prestigious school in Southeast Asia as Vietnam National University of Agriculture and I am grateful for allowing me to study course works in English from the most prominent professors. I cannot forget the dedicated teachings by Prof. Do Kim Chung, Assoc. Prof. Dr. Mai Thanh Cuc, Assoc. Prof. Dr. Pham Van Hung, and also my academic advisor, Assoc. Prof. Dr. Nguyen Thi Minh Hien. Classes mostly happened in weekends with insightful teachings and their exceptional academic knowledge. I would like to thank lecturers in Department of Rural Development for valuable comment and suggestion to improve my thesis. My special thank due to Assoc. Prof. Dr. Nguyen Mau Dung, Assoc.Prof.Dr. Nguyen Thi Duong Nga, Dr. Dinh Pham Hien, Dr. Hoang Thi Sen, Assoc.Prof.Dr Mai Thanh Cuc, Dr. Quyen Dinh Ha who commented during my faculty defense presentation. Their valuable comments became foundation to improve the quality of my thesis. Also, I am grateful to Assoc. Prof. Dr. Nguyen Bich Thuy who is in charge of International affairs of VNUA for the kind guidance from the beginning of my academic year. I thank Mr. Nguyen Tho Quang Anh, a international assistant of Faculty who used to support my complicated administrative works during my engagement in academics for three years. Lao Cai province has become my second home town thanks to KOICA’s Lao Cai Happiness Program during 2015 to 2018. What makes me more grateful is that my academic works happened at the same time. Livelihood improvement of ethnic minorities from Lao Cai province is the main concept of this thesis. Through the program and academic works, I had priceless opportunity to learn about ethnic minority’s unique wisdom and their life values. They are the true owners of my academic works. I would like to express my sincere gratitude to Dr. Dang Xuan Phong, Chairman of LAO CAI Provincial People’s Committee, Mr. Nguyen Huu The, my elder brother, Vice Chairman of LAO CAI Provincial People’s Committee, and Mr. Nguyen Thanh Duong, Vice Chairman of LAO CAI Provincial People’s Committee. My KOICA program has turned out to be successful and LAO CAI PPC endowed honorable medal for its outstanding achievements. All the program participants from Lao ii Cai province, officers, ethnic minorities from Bac Ha, Muong Khuong, Xima Cai and Sapa Districts have made it possible. I would like to thank once again to all professors and officers of VNUA and officers, ethnic minorities of program villages in Lao Cai who shared joys and difficulties together. I am glad that I could complete KOICA happiness program successfully and also achieve my life’s academic dream. I hope that this thesis can contribute and connect Korea and my school and furtherly Vietnam forever regarding academic exchange activities and various rural development programs for ethnic minorities with Korean friends. In addition, I really feel sorry that I could not mention specific professors’ and officers’ name from my university who used to encourage me and gave their insightful ideas. I have to confess that without their warm hearted encouragements, comments and kind guidance I doubt that how I could complete my thesis in the right time. My family, my beloved wife Ms. Lee Weh Seon who is the biggest supporter, my lovely first daughter Ms. Kim Hye Bin who did English proof reading and made correction with her outstanding English skills and my cute second daughter, Ms. Kim Hye In who always encouraged me and my beautiful mother, Ms. Kim Kyong Sook who always devotes herself to prayer for me. They are my real supporters and I would like to say that their prayer made my real life hopeful. Autumn 2018 Author KIM SUN HO iii TABLE OF CONTENTS Thesis declaration ................................................................................................................... i Acknowledgements ................................................................................................................ ii Table of contents ................................................................................................................... iv List of acronyms .................................................................................................................. vii List of tables........................................................................................................................ viii List of figures ........................................................................................................................ ix List of boxes.......................................................................................................................... ix Thesis abstract....................................................................................................................... xi Trích yếu luận án ................................................................................................................ xiii PART 1. INTRODUCTION.................................................................................................1 1.1 Problem statement .....................................................................................................1 1.2. Objectives of the study ..............................................................................................2 1.2.1. General objective ......................................................................................................2 1.2.2. Specific objectives ....................................................................................................2 1.3. Objects and scope of the study ..................................................................................3 1.3.1. Object of study ..........................................................................................................3 1.3.2. Scope of the study .....................................................................................................3 1.4. Contribution of the study ..........................................................................................3 PART 2. THEORY AND PRACTICAL REVIEW ON LIVELIHOOD IMPROVEMENT FOR ETHNIC MINORITY HOUSEHOLDS ......................4 2.1. Basic theory...............................................................................................................4 2.1.1. Concepts on ethnic minority households ..................................................................4 2.1.2. Features of ethnic minorities of Vietnam ..................................................................5 2.1.3. Theories and Framework of Livelihoods ..................................................................7 2.1.4. Content of assessment of livelihood status of ethnic minority household ..............15 2.1.5. Factors affecting livelihood of ethnic minority households ....................................19 2.1.6. Main characteristics of livelihood of ethnic minority households ..........................23 2.2. Experiences in improving of livelihoods of ethnic minority households ...............26 2.2.1. International experiences ........................................................................................26 2.2.2. Vietnam’s experiences ............................................................................................31 2.2.3. Research on livelihood improvement of ethnic minority households .....................37 2.2.4 Lesson learnt and knowledge gap ...........................................................................40 iv SUMMARY OF PART 2 .....................................................................................................41 PART 3. METHODOLOGY .............................................................................................42 3.1. Overview of Lao Cai province ................................................................................42 3.1.1. Natural characteristics .............................................................................................42 3.1.2. Socio-economic characteristics ...............................................................................44 3.1.3. Advantages and disadvantages in socio-economic development of Lao Cai Province ..................................................................................................................52 3.2. Approaches and analysis framework ......................................................................55 3.2.1. Approaches..............................................................................................................55 3.2.2. Analysis framework ................................................................................................56 3.3. Data collection method ...........................................................................................58 3.3.1. Study site and sample ..............................................................................................58 3.3.2. Collection of secondary data ...................................................................................58 3.3.3. Collection of primary data ......................................................................................59 3.4. Analysis method ......................................................................................................60 3.4.1. Descriptive and comparative Statistics ...................................................................60 3.4.2. SWOT Analysis ......................................................................................................61 3.4.3. Case study ...............................................................................................................61 3.4.4. Modeling method ....................................................................................................61 3.5. Research indicators .................................................................................................62 3.5.1. Indicator of livelihood assets ..................................................................................62 3.5.2. Indicators for livelihood status of ethnic minority households ...............................64 3.5.3. Indicators for impact factors ...................................................................................64 SUMMARY OF PART 3 .....................................................................................................64 PART 4. CURRENT SITUATION AND FACTORS AFFECTING LIVELIHOOD OF ETHNIC MINORITY HOUSEHOLDS IN LAO CAI PROVINCE ...................................................................................................66 4.1. Current situation on livelihood of ethnic minority households in Lao Cai .............66 4.1.1 Status of livelihood capital of ethnic minority households .....................................66 4.1.2. Livelihood strategies and activities .........................................................................88 4.1.3. Livelihood outcomes ...............................................................................................95 4.2. Factors affecting livelihoods of ethnic minority household in Lao Cai province .................................................................................................................100 4.2.1. Government policies .............................................................................................100 v 4.2.2. Shocks and risk .....................................................................................................102 4.2.3. Aid of Development programs ..............................................................................106 4.2.4. Typical characters of ethnic minority groups .......................................................113 4.2.5 Education and training ........................................................................................114 SUMMARY OF PART 4 ...................................................................................................118 PART 5. ORIENTATION AND MAIN SOLUTIONS TO IMPROVE LIVELIHOODS OF ETHNIC MINORITY HOUSEHOLDS IN LAO CAI PROVINCE .................................................................................................120 5.1 Bases for proposing orientation and solutions ......................................................120 5.2 Orientations of livelihood improvement for ethnic minorities in Lao Cai province .................................................................................................................124 5.3 Main solutions to livelihood improvement for ethnic minorities in Lao Cai province .................................................................................................................125 5.3.1 Diversifying source of livelihoods from agricultural development and improving household income through off-farm activities ....................................125 5.3.2 Enhancing people's ability access to the market ...................................................128 5.3.3. Improving household’s ability to access to formal financial resources ................130 5.3.4. Improving human resources, raising awareness of people and preserving traditional culture ..................................................................................................132 5.3.5. Upgrading infrastructure system ...........................................................................135 5.3.6. Strengthening the effectiveness of extension services ..........................................139 5.3.7. Reducing the negative impact of natural disasters ................................................139 5.3.8. Improving social relationship................................................................................139 SUMMARY OF PART 5 ...................................................................................................141 PART 6. CONCLUSION AND RECOMMENDATION ..............................................142 6.1. Conclusion ............................................................................................................142 6.2. Recommendations .................................................................................................143 6.2.1 Recommendations towards state agencies ............................................................143 6.2.2 Recommendations towards local authorities .........................................................144 6.2.3 Recommendations towards ethnic minorities .......................................................144 LIST OF AUTHOR’S PUBLICATION .............................................................................146 REFERENCES ...................................................................................................................147 APPENDIX........................................................................................................................154 vi LIST OF ACRONYMS Acronyms Definition CEMA Committee of Ethnic Minority Affairs DOH Department of Health EM Ethnic Minorities EMWG Ethnic Minorities Working Group LCHP Lao Cai Happiness Program MOLISA Ministry of Labor Invalids and Social Affairs NGO None Government Organization NRD New Rural Development NTP Nation Targeted Program PPFP Pro Poor Forestry Project SLA Sustainable Livelihoods Approach SU Saemaul Undong (New Village Movement) VDC Village Development Committee vii LIST OF TABLES Table No Content Page 3.1. Land resource in Lao Cai Province ...................................................................... 44 3.2. Shifting economic structure of Lao Cai Province ................................................ 46 3.3. GDP growth index and structure of GDP by economic sectors........................... 47 3.4. Survey samples and methods ............................................................................... 60 3.5. Definition of variables under Logit model........................................................... 62 4.1. Size of households and labor size by ethnic groups ............................................ 67 4.2. Education level of Household Heads by District ................................................. 68 4.3. Education levels of household heads by Ethnic minority groups ........................ 69 4.4. Distribution of land holding of ethnic minority households by district in Lao Cai 2016 ........................................................................................................ 73 4.5. Distribution of land holding of ethnic minority households in Lao Cai 2016 by ethnic group .................................................................................................... 74 4.6. Water supply to ethnic minority households in Lao Cai 2017............................. 76 4.7. Assessment by ethnic minorities on infrastructure of Lao Cai in 2017 .............. 84 4.8 Ownership of material assets of ethnic minority households for livelihood in 2017 ................................................................................................................. 85 4.9. Average household savings by ethnic minority ................................................... 86 4.10. Access to loans by ethnic minority households in 2017 ...................................... 87 4.11. Main livelihood activities of ethnic minority households by district .................. 88 4.12. Main livelihood activities of ethnic minority households by ethnicity .................... 90 4.13. Households' assessment of difficulties in livelihood development by district .................................................................................................................. 92 4.14. Household Income in 2016 by districts ............................................................... 96 4.15. Household Income in 2016 by ethnic groups ...................................................... 97 4.16. Livelihood strategies of households by districts .................................................. 98 4.17. Livelihood strategies of households by ethnic groups ......................................... 99 4.18 Risks facing by ethnic minority households in the last 5 years ......................... 104 4.19. Results of Logit model ....................................................................................... 117 5.1. SWOT Analysis of livelihood improvement for ethnic minorities in Lao Cai Province ............................................................................................................. 123 viii LIST OF FIGURES Figure No Content Page Figure 2.1. Scooner's Sustainable Rural Livelihood Framework ................................. 11 Figure 2.2. DFID Sustainable Livelihood Analysis ...................................................... 14 Figure 2.3. Sustainable Livelihood Framework ........................................................... 14 Figure 2.4. The five capitals of sustainable livelihood ................................................. 15 Figure 3.1. Administrative map of Lao Cai Province ................................................... 43 Figure 3.2. The livelihood analytical framework ......................................................... 57 Figure 4.1. Proportion of ethnic minority households receiving land use right certificates .................................................................................................. 75 Figure 4.2. Percentage of paddy land, food crops irrigated .......................................... 77 Figure 4.3. Assessment of Lao Cai ethnic minorities’ social relationships in 2017 ......... 78 Figure 4.4. Percentage of ethnic minority households with members joining Lao Cai mass organizations in 2017 .................................................................. 79 Figure 4.5. Level of participation of members in ethnic minority households in organizations and mass organizations ........................................................ 80 Figure 4.6. Transportation Network in Lao Cai Province ............................................ 83 Figure 4.7. Assessment of household’s difficulties in livelihood improvement .......... 91 Figure 4.8 Satisfaction ratio of their livelihood ........................................................... 92 Figure 4.9. Assessment of management officers about content and undertakings of policies for ethnic minorities in Lao Cai Province .............................. 101 Picture 4.10. Ethnic minority people joining hands to construct rural roads of LCHP ..... 107 Figure 4.11. Principles for Building New Villages of LCHP ....................................... 108 Figure 4.12. Percentage of households participating in training related to livelihood development ............................................................................ 115 Figure 4.13. Satisfaction Level of Mindset change and Capacity building .................. 116 Figure 4.14 Satisfaction level on livelihood assets ...................................................... 116 ix LIST OF BOXES Box No Content Page Box 4.1 Hired job near the border gate of China-Vietnam ............................................. 104 Box 4.2 High input, low output, good harvest – devaluation ......................................... 105 x THESIS ABSTRACT PhD candidate: Kim Sun Ho Thesis title: Improving livelihood of ethnic minority households in Lao Cai province of Vietnam Major: Development Economics Code: 9 31 01 05 Educational organization: Vietnam National University of Agriculture (VNUA) Research Objectives Livelihoods and livelihood improvement, especially for mountainous and remote areas with ethnic minorities, such as Lao Cai province, are issues that have received much attention from the state and local authorities. Although there have been many improvements, the livelihoods of ethnic minority households are still monotonous, low income, life is difficult, and research is needed to find solutions. The study aims (1) To review and develop theoretical and practical literature on livelihood, ethnic minority and improvement of livelihood for ethnic minority household; (2) To understand and evaluate current situation of livelihoods of ethnic minority households in Lao Cai province; (3) To analyze factors affecting livelihood outcomes of ethnic minority households in Lao Cai province; (4) To provide solutions and propose recommendations to improve livelihoods of ethnic minority households in Lao Cai province. Methods Participatory approaches, sustainable livelihoods approaches, and regional approaches are the main approaches used in this study. Secondary data were collected from various sources such as reports, statistical data, scientific research, articles and official websites. 371 households of the H'Mong, Tay, Nung and Giay ethnic groups in Bac Ha, Simacai, Muong Khuong and Sa Pa districts representing the regions of Lao Cai were interviewed. Group discussions and in-depth interviews with 85 key local government officials at three levels (provincial, district, commune), community leaders (village) were conducted. The survey content focuses on i) livelihood resources (current status and access levels), livelihood strategies and activities, livelihood outcomes of ethnic minority households, ii) Impacts, disadvantages of households in livelihoods and livelihood development in ethnic minority households and iii) Future expectations and livelihood strategies, recommendations and recommendations for improvement livelihoods for ethnic minority households. Descriptive and comparative statistics, SWOT, case study and modeling analysis are the main methods of analysis of the thesis. xi Main findings and conclusions Improving livelihoods in general and improving the livelihoods of ethnic minority households in particular depends on household livelihood assets. The five main livelihood resources that ethnic minority households have the right to own, use and access to are human resources, natural resources, social resources, physical resources, and financial resources. Different ethnic groups have different livelihood characteristics. Livelihoods are the means by which ethnic minorities implementing livelihood activities to generate income and improve household economy. Human resources are abundant but quality is low. Households still retain many indigenous knowledge applied in production and life. Land is an important material resource, most of the land of the households have been issued certificates of land use, land is mainly suitable for rice, perennial and forest land. Different groups of ethnic groups have their own unique socio-cultural characteristics, and the relationship among ethnic groups is quite cohesive. However, the level of participation of households in socio-political organizations is rather low. Access to basic social services of households is limited. Communities’ infrastructures have been improved, but they are still quite scarce. Production equipment and assets are poor. The majority of household groups have savings to invest in production and life but are very small. Households have access to a variety of financial sources, but access to formal sources is low. Most of the households lack capital for production. With limited livelihood resources, livelihood activities are rather monotonous. Households have different sources of livelihood but mainly focus on agriculture. Household incomes are low, unstable and unsustainable. The study also identifies the main groups of factors affecting livelihood outcomes of ethnic minorities: policy, natural hazards and effects of seasonality. Market factors affect input costs in production and in part on products sold in markets specifically for maize and pig producers. Support programs of international organizations, especially the KOIKA support program (Happiness program), have had a certain impact on the capacity building of the community. The characteristics of different ethnic groups with different farming methods, different practices and perceptions also affect livelihoods and livelihood outcomes. The study also proposes major groups of measures to improve livelihoods of ethnic minorities, such as: i) diversification of livelihoods from agriculture and livelihood improvement through non-farm activities ii) improved access to markets for ethnic minority households, iii) improved access to formal financial resources, iv) improved human resources, awareness raising and preserving traditional values; v) improving infrastructure, vi) improving the efficiency of extension services and enhancing access to extension services; vii) reduce and adapt to the negative effects of nature, viii) improve social relations xii TRÍCH YẾU LUẬN ÁN Nghiên cứu sinh: Kim Sun Ho Tên luận án: Cải thiện sinh kế cho các hộ dân tộc thiểu số tỉnh Lào Cai, Việt Nam Chuyên ngành: Kinh tế phát triển Mã số: 9 31 01 05 Cơ sở đào tạo: Học viện Nông nghiệp Việt Nam Mục đích nghiên cứu Sinh kế và cải thiện sinh kế đặc biệt cho các vùng miền núi, vùng sâu vùng xa có nhiều đồng bào dân tộc thiểu số như tỉnh Lào Cai là những vấn đề nhận được nhiều quan tâm của nhà nước và chính quyền địa phương. Mặc dù đã có nhiều cải thiện, song sinh kế của các hộ dân tộc thiểu số ở đây còn đơn điệu, thu nhập thấp, đời sống còn gặp nhiều khó khăn, rất cần có các nghiên cứu để tìm ra các giải pháp. Nghiên cứu nhằm (1) Hệ thống hóa và phát triển các vấn đề lý thuyết và thực tiễn về sinh kế của hộ dân tộc thiểu số; (2) Đánh giá thực trạng sinh kế của các hộ dân tộc thiểu số ở tỉnh Lào Cai; (3) Phân tích các yếu tố ảnh hưởng đến kết quả sinh kế của các hộ gia đình dân tộc thiểu số ở tỉnh Lào Cai; (4) Đề xuất các định hướng và giải pháp để cải thiện sinh kế cho các hộ dân tộc thiểu số ở tỉnh Lào Cai. Phương pháp nghiên cứu Tiếp cận có sự tham gia, tiếp cận sinh kế bền vững, tiếp cận vùng là những tiếp cận chính được sử dụng trong nghiên cứu. Các thông tin thứ cấp được thu thập từ nhiều nguồn khác nhau như báo cáo, dữ liệu thống kê, nghiên cứu khoa học, bài báo và các website chính thống. Với thông tin sơ cấp, luận án đã sử dụng thông tin khảo sát từ 371 hộ trong các nhóm dân tộc H'Mông, Tày, Nùng và Giáy của 4 huyện Bắc Hà, Simacai, Mường Khương và Sa Pa đại diện cho các vùng của Lào Cai. Thảo luận nhóm và phỏng vấn sâu 85 cán bộ chủ chốt của chính quyền địa phương ở 3 cấp đã được thực hiện. Thống kê mô tả, thống kê so sánh, phân tích SWOT, nghiên cứu trường hợp điển hình và mô hình định lượng các yếu tố ảnh hưởng là những phương pháp phân tích chủ yếu của luận án. Kết quả chính và kết luận Cải thiện sinh kế nói chung và cải thiện sinh kế cho hộ dân tộc thiểu số nói riêng phụ thuộc rất nhiều vào tài sản sinh kế của hộ gia đình. Năm nguồn lực sinh kế chính mà các hộ dân tộc thiểu số có quyền sở hữu, sử dụng và tiếp cận đó là nguồn nhân lực, nguồn tài nguyên thiên nhiên, nguồn lực xã hội, nguồn tài nguyên vật chất và nguồn lực tài chính. Các nhóm dân tộc khác nhau có các đặc điểm sinh kế khác nhau trong đó văn hoá xiii đóng một vai trò rất quan trọng. Nguồn lực sinh kế là phương tiện để các dân tộc thiểu số thực hiện các hoạt động sinh kế để tạo thu nhập và cải thiện kinh tế hộ. Nghiên cứu cũng cho thấy nguồn lực sinh kế của các hộ dân tộc thiểu số ở Lào Cai có những đặc điểm đặc thù của vùng miền núi phía Bắc và mang các nét đặc trưng của các nhóm dân tộc thiểu số khác nhau. Nguồn nhân lực khá dồi dào song chất lượng còn thấp, các hộ còn giữ lại nhiều các kiến thức bản địa áp dụng trong sản xuất và đời sống. Đất đai là nguồn lực vật chất quan trọng, đa số đất đai của các hộ đã được cấp giấy chứng nhận sử dụng, đất chủ yếu thích hợp cho trồng lúa, cây lâu năm và đất rừng. Các nhóm hộ dân tộc khác nhau có những đặc điểm văn hóa xã hội đặc thù riêng, mối quan hệ trong nhóm dân tộc khá gắn kết. Tuy vậy mức độ tham gia của các hộ trong các tổ chức chính trị xã hội còn khá thấp. Tiếp cận với các dịch vụ xã hội cơ bản của các hộ còn hạn chế. Nguồn vốn vật chất cộng đồng đã được cải thiện song cũng còn nhiều khó khăn. Các trang thiết bị sản xuất và tài sản của hộ còn nghèo nàn. Đa số các nhóm hộ đều có khoản tiết kiệm để đầu tư cho sản xuất và đời sống song rất nhỏ. Các hộ được tiếp cận với nhiều nguồn tài chính khác nhau, song tiếp cận với các nguồn chính thống còn thấp. Hầu hết các hộ đều thiếu vốn để sản xuất. Với các nguồn lực sinh kế hạn chế, nên các hoạt động sinh kế còn khá đơn điệu. Các hộ có các nguồn sinh kế khác nhau song chủ yếu tập trung vào nông nghiệp. Hầu như các hộ còn chưa khai thác hết các nguồn lực để phát triển sản xuất và kinh doanh. Vì vậy thu nhập của các hộ còn thấp, không ổn định và kém bền vững. Luận án cũng chỉ ra các nhóm yếu tố chính ảnh hưởng đến kết quả sinh kế của đồng bào dân tộc thiểu số đó là chính sách, các rủi ro về tự nhiên, các ảnh hưởng của tính thời vụ, yếu tố thị trường, các chương trình hỗ trợ đặc biệt là chương trình hỗ trợ của KOIKA và đặc điểm riêng của các nhóm dân tộc thiểu số Nghiên cứu cũng đề xuất các nhóm giải pháp chủ yếu để cải thiện nguồn lực sinh kế của đồng bào dân tộc thiểu số như: i) Đa dạng hóa nguồn sinh kế từ nông nghiệp và cải thiện sinh kế thông qua các hoạt động phi nông nghiệp, ii) Cải thiện năng lực tiếp cận thị trường cho các hộ dân tộc thiểu số, iii) Nâng cao năng lực tiếp cận các nguồn tài chính chính thống, iv) Cải thiện nguồn nhân lực, nâng cao nhận thức của hộ và bảo tồn các giá trị truyền thống đích thực, v) Cải thiện cơ sở hạ tầng, vi) Nâng cao hiệu quả các dịch vụ khuyến nông và tăng cường tiếp cận của hộ với dịch vụ khuyến nông; vii) Giảm bớt và thích ứng với các ảnh hưởng tiêu cực của tự nhiên, viii) Cải thiện các quan hệ xã hội xiv PART 1. INTRODUCTION 1.1 PROBLEM STATEMENT Lao Cai is a mountainous area, sharing border with Yunan province of China. There are 8 districts, 1 city, 164 communes, wards and towns. The population is over 637 thousand people, which 25 different ethnic minority groups accounts for 64.1%. The large area of agricultural, forestry land, many climate subregions together with rich natural mineral resource is a great potential for Lao Cai in the process of development of (Lao Cai Statistic Department, 2017). Over the past few years, Lao Cai Province has received support from many projects funded by Vietnamese government, other agencies and NGOs. Particularly from 2009 up to now, ODA donors and non-governmental organizations have invested a total capital of 154 million USD in Lao Cai for rural infrastructure development, urban infrastructure, economy development linked to sustainable poverty reduction, environmental protection and human resource development. Together with international donor funded projects on poverty reduction, programs, projects using state budget such as NTP on NRD, Program 135, Program 30a, NTP on fresh water and rural sanitation, National Program on education and training implemented in the province have brought positive changes. The poverty rate decreased rapidly at average of 5% per year. In the process of international integration, expansion of border trade and along with the government's support policies, Lao Cai has had a strong development pace in recent years and achieved various significant successes in all aspects. Economic growth for the period 2010 - 2015 reached an average rate of over 14%. Rural infrastructure has been significantly improved. The quality of education has been enhanced and enrollment ratio has been maintained. Lao Cai People’s health care has been improved as well as the guarantee of social security. In addition, public administration reform has achieved positive results. The business environment of the province has been highly appreciated by enterprises. However, Lao Cai still faces many difficulties and challenges, such as unfavorable weather including natural disasters like hail, flash flood, and snow in the mountainous districts like Muong Khuong, Bac Ha, Si Ma Cai, Sa Pa and Bat Xat, which causes great damages to people and materials. The poverty rate has declined, but it still remains high, especially among ethnic minority 1 households. The high poverty rate is still prevailing in some localities in the province, majorly in 6 districts such as Bac Ha (28.5%), Simacai (29.5%), Muong Khuong (31.3%), Sapa (25.3%), Van Ban (22.2%), and Bat Xat (21.6%). Most ethnic minority groups are involved in agricultural production. They grow maize as their main food crop and raise buffalo, cows, goats and pigs. Few ethnic minority members are involved in other activities (services, government, etc.). The livelihoods are not divers. The production is mainly for selfsufficiency and lack of commodity products, so the income level of households is lower than non-ethnic minority households. The poor in these regions are struggling to raise their livelihood and living standards, accessing new technologies, credit, market, but particularly being vulnerable to natural disasters leads to fragile livelihood. Therefore, it is necessary to conduct a research in order to find solutions for livelihood improvement for the ethnic minority household in Lao Cai province, generalize solutions to Lao Cai province, as well as for the further northern part provinces of Vietnam, which has similar geographical and natural conditions. 1.2. OBJECTIVES OF THE STUDY 1.2.1. General objective The study aims to assess current situation and analyze difficulties and factors affecting livelihoods of the ethnic minority households. Based on the study, solutions will be proposed to improve and ensure sustainable livelihoods for households of ethnic minorities in Lao Cai province. 1.2.2. Specific objectives (1) To review and develop theoretical and practical literature on livelihood and improvement of livelihood for ethnic minority household; (2) To evaluate current situation of livelihoods of ethnic minority households in Lao Cai province; (3) To analyze factors affecting livelihood outcomes of ethnic minority households in Lao Cai province; (4) To provide solutions and propose recommendations to improve livelihoods of ethnic minority households in Lao Cai province. 2 1.3. OBJECTS AND SCOPE OF THE STUDY 1.3.1. Object of study Research object of this study is theoretical and practical issues regarding livelihoods of ethnic minorities in Lao Cai Province. 1.3.2. Scope of the study Livelihood of farmer households will be studied via five types of capital, including human, natural, physical, social and financial capitals and then livelihood activities, strategies and outcome will be determined. After defining factors affecting to livelihood outcome, solution systems will be proposed to improve livelihood of ethnic minority household. The research is conducted in Lao Cai province. However, four representative districts of Lao Cai (Bac Ha, Muong Khuong, Sapa and Simacai) where many ethnic minority households living will be selected for in-depth surveys. The results will be generalized for the province as a whole. Secondary information on livelihoods was information and data in period of 2015-2017. Primary data on current livelihood status in the study sites were collected in 2017. The solution will be supposed to apply until 2020 and vision 2025 1.4. CONTRIBUTION OF THE STUDY This study contributes to make significant contribution to both theoretical and practical aspects as follows: * Theoretical aspect This study synthesizes theories and experiment lessons on livelihood, sustainable livelihood and livelihood improvement. It also contributes to develop current methods in analyzing and assessing livelihoods of ethnic minorities. * Practical aspect This study provided an updated database on livelihood status of ethnic minorities Lao Cai province; analyzed the current situation on livelihood of ethnic minority households and factors affecting livelihood of ethnic minority households in Lao Cai; drew applicable solutions to improve livelihood of ethnic minority households in Lao Cai province. The results of the study can also be applied to localities with similar characteristics to Lao Cai 3 PART 2. THEORY AND PRACTICAL REVIEW ON LIVELIHOOD IMPROVEMENT FOR ETHNIC MINORITY HOUSEHOLDS 2.1. BASIC THEORY 2.1.1. Concepts on ethnic minority households 2.1.1.1. Households A household is a unit of society consisting of one or more of a group of people living and eating together (demographics). For households with two or more members, household members may or may not have general income or general income fund. Households are not consistent with a concept of the family; people in the household may or may not have blood relations, nurture or marriage, or both. Households whose members jointly contribute their labor and common property for general economic cooperation in agricultural, forestry or fishery production or in a number of other business domains prescribed by law, being owners in such civil relations. 2.1.1.2. Ethnic minority “Ethnic minority is a group of people of a particular race or nationality living in a country or area where most people are from a different race or nationality” (Oxford University, 2014) In the 1960s, the government of Vietnam had paid attention to the identification of ethnic minorities. Under the government requirement, National Program of Ethnic Classification was first conducted by Vietnamese ethnologists by Institute of Ethnology. They defined an ethnic group (dan toc) as a stable or relatively stable group of people formed over a historical period with common territorial ties, economic activities, and cultural characteristics. And the official academic definition of an “ethnicity” is “a stable community, formed over a historical period, involving relationships of identity in regard to language, habitat, socioeconomic activities, and cultural characteristics – a community whose members are also conscious of their shared ethnic identity, on the basis of foregoing relations”. The Vietnamese population, therefore, was classified into 54 official ethnic groups, of which the Kinh is the vast majority and the remaining consists of 53 other groups, officially called the ethnic minorities (dan toc thieu so, dan toc it nguoi) (Dang, 1998). 4
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