ROLE OF SOCIAL CAPITAL IN CLIMATE ADAPTATION OF FISH-POND FARMERS IN NORTHERN REGION OF THAILAND WEERAKAN KENGKAJ MASTER OF ARTS IN SOCIAL SCIENCE GRADUATE SCHOOL CHIANG MAI UNIVERSITY OCTOBER 2014 1 ROLE OF SOCIAL CAPITAL IN CLIMATE ADAPTATION OF FISH-POND FARMERS IN NORTHERN REGION OF THAILAND WEERAKAN KENGKAJ MASTER OF ARTS IN SOCIAL SCIENCE GRADUATE SCHOOL CHIANG MAI UNIVERSITY OCTOBER 2014 a ROLE OF SOCIAL CAPITAL IN CLIMATE ADAPTATION OF FISH- POND FARMERS IN NORTHERN REGION OF THAILAND WEERAKAN KENGKAJ A THESIS SUBMITTED TO CHIANG MAI UNIVERSITY IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF ARTS IN SOCIAL SCIENCE GRADUATE SCHOOL, CHIANG MAI UNIVERSITY OCTOBER 2014 i ROLE OF SOCIAL CAPITAL IN CLIMATE ADAPTATION OF FISH- POND FARMERS IN NORTHERN REGION OF THAILAND WEERAKAN KENGKAJ THIS THESIS HAS BEEN APPROVED TO BE A PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF ARTS IN SOCIAL SCIENCE Examination Committee: Advisory Committee: ………………………….Chairman .....…………………….…Advisor (Dr. Louis Lebel) (Lecturer Dr. Santita Ganjanapan) ………………..................Member …………………..............Co-advisor (Lecturer Dr. Santita Ganjanapan) (Lecturer Dr. Mukdawan Sakboon) ………………..................Member (Lecturer Dr. Mukdawan Sakboon) 15 October 2014 Copyright © by Chiang Mai University ii ACKNOWLEDGEMENT This thesis would never have been completed without the support and guidance of my committee members, friends, fish farmers, many organizations, and my family. First and foremost, I would like to express my sincere gratitude to my advisor, Lecturer Dr. Santita Ganjanapan for the continuous support of my master’s studies and research, for her patience, motivation, enthusiasm, and immense knowledge. Her guidance helped me through all the time of research to the writing of this thesis. Besides my advisor, I am also highly indebted to the rest of my thesis committee: my second supervisor, Lecturer Dr. Mukdawan Sakboon for their constructive suggestions and insightful questions to improve my thesis. I would like to offer special thanks to Associate Prof. Dr. Jamaree Chiengthong and Lecturer Dr. Amporn Jirattikorn, the co-committee of my thesis proposal defense who gave me insightful comments and help. I would like to express my respect and appreciation to all the RCSD lecturers for their fruitful efforts to improve my knowledge scheme and ideas of thinking and linking. I also thank the RCSD coordinators and in particular, Ms. Muttika Thungsuphuti for her kind and friendly assistance throughout the studying period. Moreover, my thanks should go to Ms. LiLi Tan for editing the English grammar in my thesis. Above all, I would like to take this opportunity to offer my gratitude to the grant from the International Development Research Centre (IDRC), Ottawa, Canada, as a contribution to the AQUADAPT project. This opportunity would not be achieved without the support and coordination of the Unit for Social and Environmental Research (USER). In particular, I would like to thank Dr. Louis Lebel, Director of USER, and Ms. Phimphakan Lebel, office manager as well as the other USER staff for their kind support and encouragement of my fieldwork and studies. I am in charge of the Activity A 3.1, which is led by Lecturer Dr. Santita Ganjanapan and the two other co-workers, Mr. Phaothai Sin-amphol, also my iii classmate, and Ms. Paweena Tapa for their research assistance, great support and all the fun we have had together. I also pay gratitude to Lecturer Suriya Smutkupt, Mr. Lee Kian Cheng and Ms. Pensiri Phanpar for their stimulating encouragement and valuable advice. I thank my fellows in RCSD, Mr. Autsadawut Mongkolkaew, Ms. Pichmolika Dara, Mr. Khun Moe Htun, Mr. Vilaykone Chalernesouk, Ms. Faye Ann Reagon, Ms. Ka Ji Jia, Mr. Pyae Lwin Soe, Mrs. Flora Bawi Nei Mawi, Mr. Sengvilayvanh Singthavikhoune, Mr. Paul Miles and Ms. Phan Thanh Thanh for all the encouraging discussions, culture exchanges and all joys, especially during the time of the party. I am greatly indebted to the related organizations and the people living in my study areas, Sanpakhee, Maekaedluang and Tamphralae villages. It is not possible to mention all the people who supported me during my research period. But without their participation, time and patience, I would not be able to complete the thesis. I would like to thank Mr. Nawin Mahawong, DOF official, Chiang Rai, for fruitful information. Many thanks go to the Royal Irrigation Department: Mr. Bunrung Aunchaksao and Mr. Suphaluck Sangthong, RID officials, Mae Lao Weir; Mr. Virut Janjoub, RID official; Mae Lao Transmittal and Maintenance Project, Chiang Rai; Mr. Worrawat Pienprasith, irrigation officials, Muang Phayao Transmittal and Maintenance Project; Mr. Dusit Chaimongkol Muang Wa Transmittal and Maintenance Project and Mr. Kasem Athun, the communal irrigation leader, Sansai District, Chiang Mai. I also wish to thank Mr. Santiwat Phithakphol, lecturer, School of Agriculture and Natural Resources, Phayao University. Without his valuable information, the thesis would not be fulfilled. Special thanks should go to the representatives of the seed agencies: Mrs. Chamaiporn Keawmai and Mr. Sarawut Bualom. I own a huge debt of gratitude to the key informants in Sanpakhee: Mr. Chamnong Bunlert, Chiang Rai tilapia expert, Mr. Pramote Authaphongsai, Mr. Thawan Chaipanyo, Mr. Sanong Aunnoi and Mrs. Nattida Pengyawong from Chiang Rai herdsman cooperative; Mr. Sriwan Wongsam, Mr. Suphon Thongpinta, Mr. Suthat Pongkaew, Mr. Sunthorn Khamta, Mrs. Phin Kanthawong, Mr. Prasith Khamta, Mrs. Somboon Singphad, Mr. Srinuan iv Wanchai, Mr. Fu Wongsam, Mr. Tha Yodmoon, Mr. Muen Yodmoon, Mrs. Sook Kanthanwongchai and Mr. Phan Chaithanin. I wish to thank the fish farmers and their family members who are my case studies: Mr. Wichien Sithiwongsa, Mr. Thong Pongkhamlue, Mr. Thawatchai Khanwong, Mr. Chaiporn Wongchaitha, Mr. Sawang Infong, Mr. Khanong Kambin, Mrs. Sumaree Kambin, Mrs. Orapan Wongsam, Mrs. Somsri Khongpara and Mr. Prayun Sirikhun. Without their valuable advice and encouragement, it would not have been possible to achieve my aims. I wish to express a deep sense of gratitude to the key informants and fish farmers in Maekaedluang: Mr. Chanthip Khamkaew, Mr. Thawee Khayan, Mrs. Kraisri Khayan as well as Mr. Thanorm Rahong, Mr. Inthron Phromsen, Mr. Khamchan Khamtuek, Mr. Sao Boondet and Mr. Sommueng Khamkaew, Ms. Thongin Khoses, Mrs.Somchit Yawuth, Mrs. Anong Mengrawan. Mrs. Buakaew Kiriya, Mrs. Warissara Khamtuek, Mr. Boonsong Sommit, Mr. Siri Thawon, Mr. Anan Koses, Mr. Ronachit Sommit, Mr. Thongin Kuson, Mr. Pramuan Khatuek, Mrs. Chandee Kaenmueng, Mrs. Phimchai Rattanang, Mrs. Sunee Khayan, Mrs. Amporn Khattimongkol, Mrs. Somchad Chalearnsap and Mr. Boonyuen Uthorn. They encouraged me and provided me with the help I required during my field research activities. I owe much to the key informants and fish farmer case studies in Tamphralae: Mr. Chankham Thammachai, Mr. Wirat Chaipan, Mr. Mueng Oywan, Mr. Somsak Oywan, Mr. Poon Oywan Mr. Prapan Moonkao, Mrs. Orapan Kaewsima, Mr. Nim Oywan, Mrs. Somsri Yod-oy in addition to Mr. Thaweesak Pinwong, Mr. Suthat Mianghom, Mrs. Khammon Oywan, Mr. Sombat Yana, Mr. Sak Oywan, Mrs. Raphin Sankaew, Mr. Panya Oywan, Mrs. Kanya Namban, Mr. Pongthep Phithakrathanapong, Mr. Saming Oywan, Mr. Manas Namban, Mrs. Pornnipha Aphiwong, Mr. Detch Ketbangchak, Mrs. Suay Aphiwong, Mrs. Khampan Khrueafun, Mr. Banchob Thammachai, Mrs. Mingkhuan Ratthanasopha, Mrs. Walaikorn Wetsapraweenarong, Mr. Sima Moonkao as well as Mr. Boonmee, Mrs. v Phatkaew and Mr. Kritsana Prachomkhong. Their unconditional help, care and contributions have left me forever in their debt. Although I cannot adequately express my gratitude to all the people who helped me during my studies, it does not take away from how much I appreciate the help they provided. Last but not the least, I would like to thank my family: my parents Mr. Sommai and Mrs. Monthien Kengkaj, for giving birth to me in the first place and supporting me spiritually and understandingly throughout my life. I would like to express my gratitude to my uncle, Mr. Ruengrit Mangma and my aunties, Ms. Thongin Monkpaeng, Mrs. Piraporn Khamtan, Mrs. Sriruam Mangma, and Mrs. Suphajin Cooper. I also would like to thank my brother and sister, Ms. Jatuporn Wongchai and Master Aukkarachai Mangoma. They are always cheering me up and standing by me through the good times and bad with their best wishes. Weerakan Kengkaj vi CONTENTS Page Acknowledgement iii English Abstract vii Thai Abstract x List of Tables xiii List of Figures xviii List of Abbreviations xxi Chapter 1 Introduction 1.1 Rationale 1 1.2 Research Questions 5 1.3 Research Objectives 6 1.4 Operational Definitions 6 1.5 Literature Review 8 1.6 Conceptual Framework 30 1.7 Research Methodology 33 1.8 Organization of the Thesis 41 Chapter 2 Development of Freshwater Aquaculture 2.1 Development of Aquaculture at National Level 43 2.2 Development of Aquaculture in Northern Region 47 2.3 Overview of Community Structure and Irrigation System 49 2.4 Village Contexts 50 2.5 Reasons for Adopting Pond-Based Aquaculture 77 2.6 Fish Farmer Cooperation Development 78 xiii CONTENTS (Continued) Page 2.7 Summary 82 Chapter 3 Vulnerabilities of Fish Pond Farming Households with Scale Operations 3.1 Incidents Resulted from Multiple Climate-Related and Socio- 85 Economic Risks 3.2 Vulnerability of Pond-Based Aquaculture 110 3.3 Summary 128 Chapter 4 Farm Sizes and Adaptive Capacities 4.1 Converting Capitals to Access