IMPROVING LIVELIHOOD OF ETHNIC MINORITY HOUSEHOLDS IN LAO CAI PROVINCE OF VIETNAM

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

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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.

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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

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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).

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2.1.1.3 Ethnic minority household
Combining the two concepts above, ethnic minority households are
understood to be household with members are ethnic minorities. In the case of
marriage between different ethnic groups, it is generally understood that
household head is an ethnic minority.
2.1.2. Features of ethnic minorities of Vietnam
Vietnam is a unified nation which is home to 54 ethnic groups (53 groups
of ethnic minorities, accounting for 14% of the total population) with some

following basic traits:
i) They are mainly living in mountainous, remote and border areas
Non-Chinese minority people of Vietnam are mostly highlanders who live
in relative independence and follow their own traditional customs and culture.
They are classified as either sedentary or nomadic. The sedentary groups, the more
numerous of the two kinds, are engaged mainly in the cultivation of wet rice and
industrial crops; the nomadic groups, in slash- and-burn farming where forested
land is cleared for a brief period of cultivation and then abandoned. Both groups
inhabit in the same four major areas: the northern Chinese border region and the
uplands adjacent to the Red River Delta, the northwestern border region adjoining
Laos and China, the Central Highlands and the area along the Truong Son, and
parts of the Mekong River Delta and the central coastal strip.
ii) Ethnic minorities live together with others. Each has a different level of socioeconomic development, but there is no separate territorial division and social
regime among groups
The pattern of residence with many ethnic groups show the solidarity and
unification of Vietnamese as a nation. In recent years, the trait is now on an
increasing trend, together with the development of economy, culture and society.
Nowadays, in mountainous areas, there is almost no province or district where
there are only two ethnic groups, namely provinces of Lai Chau, Lao Cai, Yen
Bai, Ha Giang, Kon Tum, Gia Lai, Dak Lak, Dak Nong, and Lam Dong ... Due to
different geographical location, custom, psychology and lifestyle, the level of
socio-economic development of regions and ethnic groups is uneven. Some ethnic
groups have small population in remote areas, and encounter many socioeconomic difficulties, such as ethnic groups of Si La, Pu Pon, Ro Mam, Brau, O
Du (Ha Thi Dang Huong, 2016).

5


They are living in harmony. Since the country’s establishment, ethnic
groups have collaborated with each other to fight against natural disasters; the

spirit of unity has been further promoted in the history of fighting against foreign
aggressors for national liberation.
iii) Each ethnic group has its own cultural identity, creating a diverse, rich and
unified Vietnamese culture
These groups are notable for their diverse cultural characteristics. Each has
its own customs, habits, psychology, lifestyles and religious beliefs, which
develop a unique cultural trait of each ethnic group, exist and develop in the
diversity and system of the Vietnamese culture (Ha Thi Dang Huong, 2016). They
are distinguished from one another not only by language but also by other cultural
features, such as architectural styles, colors and shapes of dress and personal
ornaments, shapes of agricultural implements, religious practices, and systems of
social organization.
The number and variety of languages used by Vietnam's minorities reflect
the country's ethnic complexity. Minority groups are distinguished by more than a
dozen distinctive languages and numerous dialects; the origins and distribution of
many of these languages have not yet been conclusively established. They can,
however, be classified loosely into three major language families, which in turn
can be divided into several subgroups. Eleven of the minority groups--Tay, Thai,
Nung, Hmong, Muong, Cham, Khmer, Kohor, Ede, Bahnar, and Jarai--have their
own writing systems.
Religious practices among highland minorities tend to be rooted in
animistic beliefs. Most worship a pantheon of spirits, but a large number are
Catholics or Protestants. In contrast to the Mahayana Buddhist beliefs of the
majority of Vietnamese, the Khmer practice Theravada (or Hinayana) Buddhism,
and the Cham subscribe to both Islam and Hindu beliefs.
iv) The residence place of ethnic minorities play a very important role in politics,
economics, culture, security, national defense and foreign affairs and sustainable
protection of ecological environment
They live along the borderlines in the north, west and southwest where
there are many trade gateways between the country and other countries in the

region and in the world. Those areas have rich and diversified resource, protective
forests and specially-used for national development and sustainable ecology.

6


Under the current context, the mountainous area is the potential, strategic and
fundamental one for the country development and protection.
v) The economy in the mountainous areas or in areas of ethnic minorities is still
underdeveloped
The situation of shifting cultivation, nomadic and free migration is still
occurring. Infrastructure (electricity, roads, schools, stations, services) in remote
areas still faces many difficulties; and in some areas, the ecological environment
continues to deteriorate (Ha Thi Dang Huong, 2016).
The proportion of poor and hungry households in ethnic minority and
mountainous areas is higher than the national average rate. The gap in living
standards and socio-economic development among ethnic groups and among areas
is on increase. The quality and efficiency of education and training is still low.
Healthcare for ethnic minorities is encountering many difficulties. Some good
cultural identities of ethnic minorities are getting lost whilst some backward
practices and superstitious belief tend to develop (CEMA, 2015).
2.1.3. Theories and Framework of Livelihoods
2.1.3.1 Concept of livelihood
There are numerous approaches and definitions on livelihood. In the report
of an Advisory Panel of the World Commission on Environment and
Development, a concept of livelihoods was put forward as follows: “livelihood is
defined as adequate stocks and flows of food and cash to meet basic needs”.
Chambers et al. (1992) stated that a livelihood comprises the capabilities,
assets (including both physical and social capital) and activities required for a
means of living. A livelihood is sustainable when it can cope with and recover from

stress and shocks and manage to enhance its capabilities and assets both now and in
the future, while not undermining the natural resource base.
Ellis defined livelihoods as the assets (natural, physical, human, financial
and social assets), activities and opportunities to access to these assets and
activities (via institutions and social relations) that jointly determine the living
gained by individual or households (Ellis, 2000). The five main categories of
assets include natural resource base that yields products for human survival;
physical capital that refers to assets created by economic production processes
such as tools and irrigation schemes; human capital referring to the education and
health of the individual or population; financial capital referring to stocks of cash
and access to credit; and social capital that refers to the social networks and
7


associations that people can derive support from (Ellis, 2000).
According to the Department for International Development (DFID, 1998),
livelihood could be defined as a bundle of resources and human abilities,
incorporating with decisions and activities they make for their livings and
realizing their targets and expectations.
A livelihood can be studied by taking into account with the changes in
social, cultural and natural capital of a geographical area or it can be studied more
narrowly, for example, defining livelihood as comprising income, both cash and in
kind, as well as the social institutions and property rights geared to support it
(Lipton et al., 1992; Ellis, 2000). This study is focusing on the latter perspective of
livelihood as considering how people make a living.
Thus, this study considers a livelihood system as one in which with the support
of entitlements and institutions and through natural and/or man-made processes,
people’s labor and materials (input) will be converted into income and subsistence
benefits (output). Again, the income would sustain people, their households and their
supporting institutions to pursue a livelihood. Rural livelihoods most often involve two

or more activities, depending upon people’s capabilities, assets and entitlements,
markets, and availability of local resources (Kydd et al., 2001).
2.1.3.2. Sustainable livelihoods
Although a variety of explanations are offered in the literature on
livelihoods, it is a highly contested concept. Consequently, governments,
organizations and individuals have adopted it according to their own
understanding (Development, 1999). However, the genesis of this concept can be
traced back to the work of Chambers and Conway (1992), who sought to
theoretically locate sustainable livelihoods within the actor-oriented approaches to
development, the framework of environmental and social sustainability and the
rhetoric of poverty reduction. Chambers introduced this thinking as a response to
the Brundt land Report (WCED, 1987), which had, for the first time, firmly put
sustainable development on a global political agenda. In the 1992 United Nations
Conference on Environment and Development (UNCED), it was conceded that
sustainable livelihoods can serve as an integrating factor that allows policies to
address development, sustainable resource management and poverty eradication
simultaneously (Hoon et al., 1997). The 1995 World Summit for Social
Development and the 1996 World Food Summit had also shared much of this
analysis. Hence, the social and ecological costs of the conventional development

8


models, the subsequent environment and development movements of the late
1980s and 1990s gave rise to the need for sustainable development paradigm.
Since then, the sustainable livelihoods perspective has an overarching discursive
influence in both national and international policy circles (Shaw, 2007).
Chambers and Conway (1992) provided a definition of sustainable
livelihoods, relating it to the assets that are used by the poor to withstand shocks
and stresses including the three concepts of capabilities, equity and sustainability.

Capabilities in this context refer to a person's or a household's ability to cope with
stresses and shocks as well as to find and make use of livelihood opportunities.
Assets refer to the basic physical and social capital that people have in their
possession. Activities indicate the ways in which capabilities and assets are
combined to achieve livelihood outcomes (Scoones, 1998). In accord, Ashley and
Carney (1998) illustrated that the significance of the concept of sustainable
livelihoods is borne by desire to empower capacity of people to earn income that
meets their current and future economic and social needs and minimizes their
vulnerability to external stresses and shocks (Ashley et al., 1999). In addition,
Scoones (1998) cautioned that an inequitable access to livelihood opportunities
lead to income disparity and widespread poverty coupled with environmental
degradation, social unrest and political instability.
There is pertinent literature to suggest that sustainable livelihoods
perspective helps to enlist objectives, scope and priorities for development, based
on the core principles of people-centered, participatory and sustainable activities.
Krantz (2001) applauded it as a more reasoned and holistic approach to poverty
eradication and pro-poor development (Krantz, 2001), Ludi and Slater (2007)
called it a distinct perspective on understanding the lived reality of people. They
concurred that it can be used to analyze how interventions tackle the non-material
dimensions of poverty and contribute to strengthen a household's asset portfolio,
thus enhancing their livelihood options and well-being. Additionally, many of the
early reviews suggested that this approach was particularly useful for: the
systematic and holistic analysis of poverty; providing an informed view of
development opportunities, challenges and impacts; and placing people at the
center of development (Jones et al., 2010). The sustainable livelihoods
approaches have also led to: improving understanding of poor people's lives; the
constraints facing them, and inter-group differences; increasing inter sectoral,
collaborative and interdisciplinary community development research and work;

9