Emerging Livelihood Vulnerabilities in an Urbanizing and Climate Uncertain Environment for the Case of a Secondary City in Thailand
1.1. Flood Risk Area
1.2. Urbanization, Climate Change, Vulnerability and Poverty
2. Materials and Methods
2.1. Conceptual Frameworks
2.2.1. Household Survey
2.2.2. In-Depth Interviews
- Khon Kaen City Municipality (KKCM)—three different sections
- Pra Lab Municipality (PLM)—three different sections
- Regional Environmental Office 10 (REO10)
- Provincial Department of Public Works and Town & Country Planning (PDPT) Khon Kaen
- Chi River Basin Organization (CRBO)
- Royal Irrigation Department (RID) Khon Kaen
- Provincial Department of Disaster Prevention and Mitigation (PDDPM) Khon Kaen
- Ubolratana Dam
- Northeastern Meteorological Center Khon Kaen
- Provincial Public Health Department Khon Kaen
3.1. Survey Results
3.2. Interview Results
3.2.1. Interviews with Households
3.2.2. Interviews with Policy Makers
4. Discussion and Conclusions
Conflicts of Interest
|Asset Human (H1)|Major Component Health|
|H1.1||HH with family member with illness (%)||Is anyone in your family chronically ill or gets sick very often?||Adapted from [43,52].|
|H1.2||HH with family member ill due to floods (%)||Has anyone in your family gotten chronically ill or gotten sick very often due to floods?||Adapted from [53,54].|
|H1.3||HH with family members with diarrhea, dengue incident, pneumonia, or skin infection (during/after flood) (%)||Has anyone in your family suffered from diarrhea, dengue, pneumonia, or skin infection during or after a severe flood?||Developed for the purposes of this questionnaire.|
|H1.4||HH with no medical insurance to cover health services and treatment expenses (during or after flood) (%)||Do you have medical insurance to cover health service and treatment expenses during and after flood?||Developed for the purposes of this questionnaire.|
|Asset Human (H2)|Major Component Livelihood Strategy|
|H2.1||Average agricultural livelihood diversification [1/(number of agricultural livelihood activities + 1)] (1/#crops) (range: 0.20–1)||Do you or someone in your household raise animals? |
Do you or someone else in your household grow crops?
Do you or someone else in your household farm fish?
|Adapted from .|
|H2.2||HHs dependent on agriculture as major source of income (%)||Does your household depend on agricultural farming as a major source of income?||Developed for the purposes of this questionnaire.|
|H2.3||HHs dependent on fish farming as major source of income (%)||Does your household depend on fish farming as a major source of income?||Developed for the purposes of this questionnaire.|
|H2.4||HHs with agricultural/fish farming that was affected by flood (%)||Does your farming (agricultural/fish) get affected by flood?||Developed for the purposes of this questionnaire.|
|H2.5||HHs that use more than 50% of harvest for own food consumption (%)||Does your household use more than 50% of your harvest for your own food consumption?||Developed for the purposes of this questionnaire.|
|H2.6||HH with family members employed outside of Pralab (at least one) (%)||Do you or someone else in your household work outside of the community (at least one; other municipalities, cities)?||Adapted from .|
|H2.7||HH with family member unemployed (during flood season) (%)||Have you or someone else in your household become jobless/unemployed during/after flood?||Adapted from .|
|Asset Human (H3)|Major Component Education|
|H3.1||HHs: head illiterate (%)||Have you or someone else in your household not gone to school?||Adapted from .|
|H3.2||HHs: head with only primary school education (%)||Did you or someone else in your household completed only primary school or until 6th grade?||Developed for the purposes of this questionnaire.|
|H3.3||HHs: head not trained to cope with flood (%)||Have you or someone else in your family not received training on how to cope with flood?||Developed for the purposes of this questionnaire.|
|Asset Natural (N1)|Major Component Land|
|N1.1||Landless HHs (%)||Does your household not own land?||Adapted from .|
|N1.2||HHs with land leasing (%)||Have you owned land before and sold it?||Developed for the purposes of this questionnaire.|
|N1.3||HHs with small land (10 rai) (%)||Is the land you own/lease/farm smaller than 10 rai?||Developed for the purposes of this questionnaire; Reference for 10 rai: .|
|Asset Natural (N2) | Major Component Natural Resources|
|N2.1||HHs that did not cultivate 3rd crop (%)||How many crops do you usually cultivate per year?||Developed for the purposes of this questionnaire.|
Reference for 3rd crop: .
|N2.3||HHs that depend on rainwater for rice farming (%)||If your household is doing agricultural farming, do you depend only on rainwater for rice farming?||Developed for the purposes of this questionnaire.|
|N2.4||HHs that are affected by wastewater through stream/rivers for farming (%)||Do you feel affected by wastewater contamination of the natural water bodies (like the Pra Keu stream/Chi river) in your area?||Developed for the purposes of this questionnaire.|
|Asset Natural (N3)|Major Component Natural Disasters & Climate Variability|
|N3.1||Average number of severe floods in the past 15 years (No) (range: 0–6)||How many times has this area been affected by severe floods in the past 15 years?||Adapted from .|
|N3.2||HHs did not receive flood warning (%)||Did your household receive an adequate flood warning from the government in the past 15 years?||Adapted from .|
|N3.3||Mean standard deviation of average precipitation by month (average 10–15 years)||2002–2017: provincial data|||
|Asset Social (S1)|Major Component Socio-Demography|
|S1.1||Dependency ratio (<15 and >65 years) − (((number of people aged <15) + (number of people aged >65))/(number of people aged 15–64)) × 100 (%)||Could you please list the ages and sexes of every person who eats and sleeps in this house on a regular basis?||Adapted from .|
|S1.2||Female HHs head (male away from home >6 months per year) (%)||Are you the head of the family?|
Does he/she live in your household?
|Adapted from .|
|S1.3||Average family members in HHs (%)||How many family members do you have in your households?||Adapted from .|
|S1.4||HHs moved into area despite knowing that it is a flood prone area (%)||Did you move to Pralab area from another area?|
If yes, when did you move to Pralab?
Did you know that Pralab is a flood-prone area when you moved here?
|Developed for the purposes of this questionnaire.|
|Asset Social (S2)|Major Component Social Networks|
|S2.1||HHs received help because of flood (%)||Have relatives or friends helped you because of floods?|
Did you receive support from the government during or after heavy flood?
|Adapted from .|
|S2.2||HHs not engaged in neighborhood helping network during flood (%)||Has your community a collaborative neighborhood network for flood relief (during and after flood)? If yes, do you participate in this network?||Developed for the purposes of this questionnaire.|
|S2.3||HHs experience no solidarity in area (%)||Do you experience strong collaboration or solidarity in your neighborhood during and after flood?||Developed for the purposes of this questionnaire.|
|Asset Physical (P1)|Major Component Housing and Means of Production|
|P1.1||HHs with poor quality housing (semi-constructed house/thatched roof) (%)||Is your house semi-constructed or thatched roofed?||Developed for the purposes of this questionnaire.|
|P1.2||HHs with housing affected by flood (partially to totally submerged) (%)||Is your house usually affected by the flood (partially to totally submerged)?||Developed for the purposes of this questionnaire.|
|P1.3||HHs experience floodwater in area for more than 7 days (%)||What was the longest duration floodwater has lasted in your area?||Developed for the purposes of this questionnaire.|
|P1.4||HHs experience floodwater in house for more than 7 days (%)||What was the longest duration floodwater has lasted in your house?||Developed for the purposes of this questionnaire.|
|P1.5||HHs that report no access to means of production (%)||Does your household have access to means of production like raw materials to improve housing?||Adapted from .|
|P1.6||HHs that have no or only motorbike as private means of transportation (%)||Do you have any private means of transportation?||Adapted from .|
|Asset Physical (P2)|Major Component Urban Systems|
|P2.1||HHs that report no access to wastewater treatment plant (%)||Is your household connected to the wastewater treatment plant?||Developed for the purposes of this questionnaire.|
|P2.2||HHs that report no consistent water supply and/or electricity during flood (%)||Does your household have no consistent water supply and/or electricity during flood?||Developed for the purposes of this questionnaire.|
|P2.3||HHs that report no adequate access to roads and streets during flood (%)||Do you have no adequate access to roads and streets during flood?||Adapted from .|
|Asset Financial (F1)|Major Component Finance and Income|
|F1.1||HHs borrowed money (more frequently after severe flooding) (%)||Have you borrowed money frequently after a severe flood?||Adapted from .|
|F1.2||HHs that report to obtain not enough savings to recover from flood damages (%)||Were your savings enough to recover from the damages you incurred from the flood?||Developed for the purposes of this questionnaire.|
|F1.3||HHs that report large financial debts (%)||Do you or anyone in your household have any large financial debts?||Developed for the purposes of this questionnaire.|
|F1.4||HHs that report significant income reduction or no income due to flood damage in agricultural/fish farming (%)||Have you experienced significant income reduction or no income due to flood and harvest loss in agricultural/fish farming?||Adapted from .|
|F1.5||HHs that did not have insurance or received compensation to recover from losses (%)||Have you had any insurance or received compensation that helped you recover your losses?||Adapted from .|
|F1.6||HHs with net HHs income lower than 100,000 THB/year (%)||What is your average household income?||Developed for the purposes of this questionnaire.|
Reference for 100,000 THB benchmark: .
|Asset||Major Component||Indicator Code||Unit||Observed Value||Index|
|Human (H2)||Health Vulnerability||0.223|
|Human (H2)||Livelihood Strategy Vulnerability||0.407|
|Human (H3)||Education Vulnerability||0.442|
|Natural (N1)||Land Vulnerability||0.357|
|Natural (N2)||Natural Resources Vulnerability||0.501|
|Natural (N3)||Natural disasters & climate variability||0.217|
|Social (S1)||Socio-Demography Vulnerability||0.193|
|Social (S2)||Social Networks Vulnerability||0.322|
|Physical (P1)||Housing and Means of Production Vulnerability||0.398|
|Physical (P2)||Urban Systems Vulnerability||0.607|
|Financial (F1)||Finance and Income Vulnerability||0.485|
|Livelihood Vulnerability Index (Weighted average of H, N, S, P, F)||0.385|
Appendix B. In-Depth Interview Questionnaires
- Present Address:
- Number of household members:
- Sources of income/employment:
- Land/house ownership
- Land/house rent:
- What is your understanding or definition of floods?
- How do you distinguish regular floods and severe floods such as in 2008 and 2011?
- Have you experienced any severe floods before in Pra Lab? If so, how many times and what did you learn about floods through your past experience?
- When did you feel the impact of flooding becoming more precarious or severe? Why?
- Were you worried about floods before the severe floods in 2008 and 2011? Did you think about moving away due to flooding?
- How would you describe Pra Lab community?
- Is your community cooperative or do you have many conflicts?
- Have you observed or experienced any significant changes in Pra Lab community throughout the past regarding income level, land prices, solidarity, infrastructure or migration?
- Do you or any household members have any pre-existing health problems or disabilities?
- Do you have a good network of friends/family/neighbors who would help during flooding?
- Do you and/or any household member have health insurance? If yes, which one?
- What did and do you usually prepare for the floods before they came/come?
- During which floods did the floodwater come to your house?
- How long did flooding last? How high did the water get?
- Where does floodwater usually come from in your village?
- How quickly does the water come in? Is the water quality good or bad?
- If you farm, how long does floodwater stay in the fields? When did/does flood water start affecting your crop/harvest?
- Were you and other household members affected by floods? How?
- Have you or your household evacuated because of a flood? If so, for how long and why? If not, why not?
- Do you think there is wastewater contamination in the flood water? If yes, why?
- Did you know that the wastewater treatment plant is affecting natural water bodies?
- Have you ever received adequate warning from the government about the floods before?
- In your opinion, what causes floods in Pra Lab?
- Is there someone to blame for the floods? If so, who? Do you think the cause of floods is heavy rain or the low land elevation? Why?
- Do you know other people in the village/Pra Lab who were badly affected by floods before (such as death, illness, etc.)? Why do you think these people were affected more than others?
- Do you think it’s fair or just that Pra Lab was or is more affected by flood than other municipalities in Peri-Urban Khon Kaen City? Why or why not?
- Do you think your village gets flooded more than other villages in Pra Lab? If so, why or why not?
- Is the water level equal throughout your village or Pra Lab during flood? If not, why?
- Were you surprised by how much water there was and for how long it stayed?
- What kind of direct losses have you incurred from floods? How different are losses due to severe foods?
- How was your house affected? How was your agricultural land/business affected?
- What kind of indirect losses from floods have you experience before (such as absence at work place, school, difficult reach work place, health problems, loss of convenience as shops and convenience stores, closed pharmacy)?
- Have floods caused stress for you and your family?
- What did you do to address flood damages for land, housing and health? How did you provide food for your household? What did you do to get rid of water in your house and on your land?
- What did you do to respond to the floods in terms of protecting your agricultural production?
- If you do fish farming, did the flood affect your farming? If yes, how? If no, why not?
- How did you learn to cope with floods? How did you receive knowledge (from the community, neighborhood, TV or government?
- How did the government help you to respond to floods in Pra Lab?
- Do you think the government’s help was adequate?
- Do you think the government does enough to improve the flood situation in Pra Lab?
- Do you know about any current approaches of the government to tackle flooding in Pra Lab?
- Have any other groups helped you, such as non-governmental organizations or private firms during flood?
- Do you think your community can cope well with floods compared to other municipalities/communities in Peri-Urban Khon Kaen City?
- What is your assessment of Pra Lab municipality’s role in flooding in Pra Lab?
- What is your assessment of the role of the Provincial Public Work’s and Town and Country Planning Authority in flooding in Pra Lab?
- What is your assessment of the role of Khon Kaen City Municipality in flooding in Pra Lab?
- After floodwater is gone, what do you usually do?
- Have you received any flood compensation from the government before? Was it sufficient to cover flood losses?
- Did you have any insurance which helped you to recover from pervious flood losses? If so, what kind of insurance was and how much did you receive? If not, why did you not have any insurance?
- Have you received support from any other groups such as NGOs and private firms after flooding before?
- Were your savings sufficient to recover from flood damages?
- What impacts have floods had on your life?
- What has Pra Lab municipality done since floods became worse?
- Are the municipality’s actions/activities adequate? If so, why/why not?
- Did your trust in authority change at all after experiencing more severe floods?
- Did your view of the government change?
- Does Pra Lab community have any actions in mind to prepare for future severe floods?
- Do you personally have any actions in mind to prepare for future floods?
- What do you recommend should be done to mitigate flooding in Pra Lab?
- Do you think Pra Lab will be flooded badly again soon? If so, do you feel prepared?
- Did flooding in your municipality become increasingly worse in the past 15 years? How?
- Do you have any documents on flood damage and flood compensations that you could share with us?
- How do you think does poor land use contribute to flooding in Peri-Urban Khon Kaen City?
- How did land speculation and real estate market contribute to flooding?
- How did water management policy create exposure to flood and in particular in Pra Lab? What are examples, such as in terms of dams and flood protection infrastructure?
- Do you think wastewater overflow has a severe impact on the environment and livelihood of people in Pra Lab, in particular in the event of flood in Pra Lab?
- Have people received flood warnings in time?
- What did you do or are doing to help people to cope with floods?
- What are other approaches that could help to mitigate flood in Peri-Urban Khon Kaen City, in particular in Khon Kaen City and Pra Lab?
- Do you think that the residents in Pra Lab are more vulnerable to floods than residents in Khon Kaen City who are exposed to flash floods in certain areas? Why do you think so?
- How relevant do you think is stronger cooperation among other municipalities for tackling the flooding in Peri-Urban Khon Kaen City?
- Do you have policies that deal directly with flooding? Do you have a disaster preparedness and prevention plan?
- What are the aims of such policies? What are the main problems that these policies aim to solve? Are those policies sufficient to tackle flooding in Pra Lab?
- How do you think does land use planning contribute to flooding in Peri-Urban Khon Kaen City? How important do you consider land use planning as a flood mitigation tool for Pra Lab?
- Why are drainage systems in certain areas not efficient enough in the event of heavy rainfall?
- Will efforts such as the newly established pump in Pralab be a long-term solution to improve flood protection and to mitigate flood? What are the problems?
- Do you think improved land use planning and water management in Khon Kaen City could mitigate the flood risk in Peri-Urban Khon Kaen City and particularly in Pra Lab?
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|Gender of Respondent||Age of Respondent||Household Ratio|
|Male||Female||18–49||50<||<15 & >65||15–64|
|73.3% (n = 173)||26.7% (n = 63)||24.5% (n = 58)||75.4% (n = 178)||24%||76%|
|22% (n = 2)||78% (n = 7)||22% (n = 2)||78% (n = 7)|
|Asset||Major Component||Observed Vulnerability|
|Natural disaster and climate variability||0.217|
|Housing and means of production||0.398|
|Financial||Finance and income||0.485|
|Overall LVI (weighted average of H, N, S, P, F)||0.375|
|Contributing Factors||Major Components||Observed Vulnerability|
|Adaptive Capacity||Livelihood Strategies||0.387|
|Finance and Income|
|Housing and Means of Production|
|Exposure||Natural Disaster and Climate Variability||0.217|
|LVI-IPCC = (Exposure − Adaptive Capacity) × Sensitivity||−0.069|
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Beringer, A.L.; Kaewsuk, J. Emerging Livelihood Vulnerabilities in an Urbanizing and Climate Uncertain Environment for the Case of a Secondary City in Thailand. Sustainability 2018, 10, 1452. https://doi.org/10.3390/su10051452
Beringer AL, Kaewsuk J. Emerging Livelihood Vulnerabilities in an Urbanizing and Climate Uncertain Environment for the Case of a Secondary City in Thailand. Sustainability. 2018; 10(5):1452. https://doi.org/10.3390/su10051452Chicago/Turabian Style
Beringer, Astrud Lea, and Jutamas Kaewsuk. 2018. "Emerging Livelihood Vulnerabilities in an Urbanizing and Climate Uncertain Environment for the Case of a Secondary City in Thailand" Sustainability 10, no. 5: 1452. https://doi.org/10.3390/su10051452