Community Resilience, Disaster Risk Reduction and Climate Change Adaption: Learning with Coastal Communities in Central Vietnam by Nguyen Huu Trung A thesis submitted to the Faculty of Graduate and Postdoctoral Affairs in partial fulfilment of the requirements for the degree of Doctor of Philosophy in Geography Carleton University Ottawa, Ontario © 2016, Nguyen Huu Trung ABSTRACT Vietnam has made significant efforts through disaster risk reduction (DRR) and climate change adaptation (CCA) programs to enhance the resilience of its coastal communities and reduce climate risks. These programs have contributed to significant declines in weather-related human fatalities, but the increases in human injuries and economic losses over the last two decades reveals that these programs have not been fully successful. This research explores and evaluates factors shaping the success of the recent DRR and CCA efforts in central Vietnam’s coastal communities and investigates opportunities to enhance community resilience (CR) and thereby reduce risks of future climate change. The empirical part of this research relied on community-based participatory action research approaches to engage local residents in Tuong Van community and their representatives from local to provincial agencies. Findings from the case study showed that the success of DRR and CCA programs in enhancing CR and reducing climate risks were shaped by the availability, quality and interplay of five forms of capital (physical, financial, natural, human and social resources) as well as the quality of DRR and CCA governance across multiple scales. Factors that need to be addressed in the transition towards more resilient coastal communities in central Vietnam include limited public participation, low transparency and accountability, as well as lack of responsibility of, poor collaboration and co-ordination amongst actors at local through national levels in the development and implementation of the two programs aimed at reducing climate risks. Overall this research reinforces recent efforts to engage local communities in global environmental change research. It not only contributes to efforts to reduce the i uncertainties about global climate change and its impacts at the community level, but also advances our knowledge about the interplay between DRR and CCA approaches (concepts and practices) to enhancing CR and reducing climate risks. The research also shows that fostering the development of climate-resilient communities will depend in part on our capacity to further integrate five research themes: climate change, the five capitals, CR, DRR and CCA. ii ACKNOWLEDGEMENTS This thesis was completed with the extraordinary support and helps of many people and institutions. First and foremost, I express my special thanks to my supervisor, Dr. Mike Brklacich for his invaluable guidance and support throughout my academic journey. He gave me broad and insightful suggestions to think beyond each of social and natural sciences, towards merging them to address the complexity of coupled nature-human systems. I am also grateful for letters of his strong nomination for a number of valuable scholarships and awards. My advisors, Dr. Peter Ricketts and Dr. Nguyen Quang Dung, also provided me with useful and constructive suggestions and encouraged me to think more deeply about my research results. My sincerely thanks to Peter, not only for his valuable and timely advice on my thesis, but also for giving me a wonderful opportunity to participate in the Coastal Zone Canada 2014 Conference in Halifax, where I learnt and got inspired by efforts of scholars and practitioners from various parts of Canada and different countries. To Dung, besides his insightful suggestions for my thesis, I owe his valuable introduction to provincial and national agencies, which allowed me to address practical issues during my field research in Vietnam in a timely manner. To leaders of institutions, my thesis could not be completed without their accepting and welcoming me at their doorsteps. Special thanks to Mr. Pham Trong Yen from Ministry of Agriculture and Rural Development, Mr. Hoang Dinh Lien from Quang Tri’s provincial Department of Agriculture and Rural Development (DARD), Ms. Nguyen Hien Thi of Oxfam Hong Kong for their valuable advices while I finalized my research proposal, introducing me with welcoming words to government agencies from national to iii local level. To leaders of Trieu An commune, I highly acknowledge the enabling environment they created and the productive workshops they held for communal officials to share experiences and provide feedback to the preliminary findings of the research. I highly appreciate the strong collaboration and support from Mr. Nguyen Huu Nam, Ms. Bui Thi Thuy Nhi, Ms. Nguyen Thi Van from Quang Tri’s provincial Department of Natural Resources and Environment (DONRE). Their ideas and open communication as well as their rich experiences with local communities in Quang Tri were helpful for me to conduct my field research. To Tuong Van villagers, I much appreciate their welcome when I visited their village and their active involvement in long and lively discussions, and accepting me as a member of their football and volleyball games. I give my sincere thanks to members of the research team, Mr. Nguyen Van Hoa of DARD, Ms. Truong Thi Ngoc Thao of DONRE, Mr. Nguyen Minh Kiem, Mr. Pham Xuan The and Mr. Tran Van Dung on the leadership board of Tuong Van village, for all the time they spent with me. Their ideas, experiences with governmental activities and local collaboration, and contribution to my field research were significant for successful completion of this thesis. I also appreciate interesting moments following focus group discussions we spent to share experiences about our family lives and friendships. I would like to thank my late Mom and my brother. They always keep me spiritually warm and encourage me to move forwards with my aspirations. I am also indebted to my wife. She put her career on hold to accompany me to a new land to shoulder the duties of looking after my own family in my stead. She has shared in happiness and in the difficulties of my academic works with me throughout the process. To my daughters, Nhat Mai and Ha Lan, I am proud of your academic and art medals you achieved each iv past year despite your study in a foreign language and a little support from your busy Daddy. While you have strongly encouraged and empowered me, I owe you many games that you have missed over the long years. I acknowledge my financers as without their support this thesis could not be fruitful. I am grateful for graduate scholarship (2011-2015), Canadian Standards Association Pat Keindel Graduate Scholarship in Climate Change (2012-2014), Ina Hutchison Award in Geography (2013-2015), Torrance Graduate Research Award (2013-2014), and Neil Huckavle Memorial scholarship (2014-2015) from Carleton University. I especially thank the International Development and Research Centre (IDRC) for granting me an IDRC Doctoral Research Award to undertake my four month fieldwork in Vietnam. The awards not only provided me with financial support, but also complemented my academic training with valuable, practical experiences. Finally, I would like to thank all staff and faculty of the Department of Geography and Environmental Studies (DGES) for its warm and friendly environment for foreign students. In particular, I specially thank Dr. Fran Klodawsky for giving me not only valuable advice to become a social scientist and a letter of her strong recommendation for my IDRC award, but also her warm concern about my family. To Dr. Chris Burn, Natalia Pressburger and Erin Johnston, I appreciate their great help throughout my study at Carleton. I am also indebted to my friends in DGES, especially Beth Mburu, Gary Martin, Andrea Carrion and Gabrielle Hardy for their warm and caring concerns about my family and their help in my academic life. v TABLE OF CONTENTS ABSTRACT ..................................................................................................................................... i ACKNOWLEDGEMENTS ......................................................................................................... iii TABLE OF CONTENTS ............................................................................................................. vi LIST OF TABLES ...................................................................................................................... viii LIST OF FIGURES ....................................................................................................................... x LIST OF APPENDICES .............................................................................................................. xi LIST OF ACRONYMS ............................................................................................................... xii 1. CHAPTER 1: INTRODUCTION.......................................................................................... 1 1.1 Background ............................................................................................................1 1.2 Goals, research questions and strategy .................................................................5 1.3 Structure of thesis ..................................................................................................6 1.4 Significance of the research ..................................................................................8 2. CHAPTER 2: INTELLECTUAL