How to respond to Climate Change Impacts

in Urban Areas
A Handbook for Community Action

Community-Based Adaptation
to the Impacts of Climate Change
in Urban Areas
Experiences from Ho Chi Minh City
Manual for Community Action

Published by
Brandenburg University of Technology Cottbus
Department for Urban Planning and Spatial Design &
enda Vietnam
2011 Brandenburg University of Technology Cottbus
ISBN 978-3-00-034353-7
Authors
Ulrike Schinkel, L Diu nh, Frank Schwartze
Team
Nguyn Th Xun, o c Khnh, Nguyn Ngc Ging, Nguyn
Th Dung, Phm Th Vit H, L M Linh, Nguyn Th Thanh Ph,
Nigel Downes, Paula Hentschel, Moritz Maikmper
Acknowledgement
The CBA model project has been a joint initiative of the Megacity Research Project TP. Ho Chi Minh - Integrative Urban and Environmental
Planning Framework Adaptation to Climate Change, funded by the
German Federal Ministry of Education and Research (BMBF), and
enda Vietnam (Environment and Development in Action).
enda Vietnam is the Vietnamese antenna of enda Tiers Monde; enda
Vietnams work focuses on community development, poverty reduction
and environmental improvement.
2

Preface
With this handbook, we attempt to make a
contribution to the current imperative discussion on climate change, its impacts felt on the
local level by communities and opportunities
for adaptation and vulnerability reduction. It is
predominantly dedicated to urban communities
that are presently and will be in the future affected by climate variability, by flooding and by
thermal discomfort. The handbook traces the
adaptation approach of one local community in
Ho Chi Minh City and makes the tools utilised
available to other communities with a similar

How to read this Handbook

Causes of Climate Change - The Greenhouse Effect M1
This figure briefly explains the Greenhouse Effect, causing Global Warming and Climate
Change.

Some radiation is reflected by the Earths

surface and the atmosphere.
The Earths surface
radiates the heat back
out towards space.
Solar radiation passes through the atmosphere. A significant portion of solar
radiation
is absorbed
.
by the Earths surface
and warms it.

EARTH
Greenhouse gases in
the atmosphere trap
a portion of the heat
and leads to rising
temperatures.
.

ATMOSPHERE
Rising temperatures lead to
the melting of glaciers, the expansion of the oceans, to sealevel rise and to the increasing
likelihood of tropical storms
and heavy rainfall events.

Climate Change 1
The Global Perspective

Adapted from the European Commission28

6

Flooding Scenario for 2050 M5

taking into account a projected
sea-level rise of 1,5m

Ho Chi Minh City and its Vulnerability

Community-Based Adaptation A Local-Level Approach

Do it yourself Low-Tech Adaptation Measures

Hc Mn
12
Th c
Go Vap
Bnh Thnh
Tn Bnh
Ph Nhun

Tn Ph
Bnh Chnh

Bnh Tn

11
6

10
5

3
1

4
7

Nh B

not built-up area

built-up area
river and canal network
inundation due to sea-level rise

11

ech Adaptation Measures - Responses to Flooding M6

Even if you do not have influence on the occurrence of

heavy rain events or tidal flooding, you may reduce their
impact on your home and on your neighbourhood by taking some of these measures.

ater Barriers

Water Channels

ater barriers in front

of your doors.

Construct water channels to

collect and discharge rainwater.

Identify safe paths in to evacuate

the most aggected areas.

Step 1 - Assessment: Climate Change Impacts and related Problems T3

Problem Tree

The Problem Tree tool highlights the underlying problems and their effects on the community.

Instability of
Structures

Roof Projections
Soiling

Inundation

Construct roof projections to

Mosquito
Loss
Plague
Mobility
protect
facades
from
rain.
Constraints

groundfloor levels perntly or temporarily.

ages for rain water to

uce flood levels.

Evacuation Routes

Community of HCMC, District 4, Ward 8, Sub Ward 2

n of Ground Floors

ary Water Storage

exposure portfolio, as well as to civil society

organizations and local governmental institutions which can support adaptation processes
within their own spheres of influence.
Hereby, we would like to thank the local government of District 4, Ward 8, and all members of
enda Vietnam for their invaluable support.
Nevertheless, this project could not have been
possible without the spirit and enthusiasm of
the model community; to them we wish to express our heartfelt appreciation and our sincerest thanks.

Health
Constraints

Flooding

Damage

Overheating

Do it yourself Participatory Tools

Waste Management
Do not litter drainages,
collect waste in bins.

Pollution

24

Roof Securing + Repair

Repair leaking roofs.

The handbook is divided up into five parts: The

1st part summarizes the causes and drivers of
climate change from a global perspective, whereas the 2nd part highlights the impacts on Ho
Chi Minh City and on precarious settlements
in particular. In the 3rd part, community-based
adaptation is presented as one feasible approach to respond to climate stimuli, outlining
the set-up, implementation and results of our
model project. Part 4 gives instructions to stimulate adaptation processes in other communities and lists measures which can be easily
implemented. Parts 1 to 4 contain materials for
capacity-building and awareness-raising; all
assessment, decision-making and evaluation
tools used in the model project are compiled
and prepared for individual use in part 5.

Early Warning System

Appoint persons for weather observation,

warning and securing of resources.

Part 1

Causes of Climate Change - The Greenhouse Effect M1

The Greenhouse Effect is mainly responsible for global warming and climate change.
This figure briefly explains the process.
2

Some radiation is reflected by

the Earths surface and the atmosphere.

The Earths surface radiates this heat back

out towards space.
1

Solar radiation passes

through the atmosphere. A significant portion
of solar radiation is absorbed by the Earths
.
surface and warms it.

EARTH

However, greenhouse
gases (GHGs) present
in the atmosphere trap
a portion of this reflected heat leading to rising temperatures and
global warming.

ATMOSPHERE
5

Global warming leads to the melting of glaciers, to the expansion

of the oceans, to sea-level rise
and to changes in climate, increasing likelihood of tropical storms
and heavy rainfall events.
Adapted from European Commission1

In this figure selected human activities, causing significant greenhouse gas emissions,
are summarized.

CO2 Carbon Dioxide

CH4 Methane

Use of fossil
and other fuels

Production and
use of energy

Deforestation

Rice cultivation

Production
of cement

Animal
husbandry

64%

N2O Dinitrogen
Monoxide*
Use of fertilizers

Part 1

Human Activities as Producers of Greenhouse Gases (GHGs) M2

20%
6% 10%

Alkyl Halides
Power lines
Production of
aluminium

Biomass burning

Use of air conditioning,

chemical industry

Use of fossil fuels

* Although the share of N2O in overall GHGs emissions is low,
its impact as a driver of global warming is exceptionally high.

Adapted from the German Federal Agency for Civic Education2

Part 1

Carbon Footprint M3
Most daily activities cause carbon emissions; in this figure you can see how much of this
greenhouse gas is emitted by different means of transportation, by food production and
in production of everyday items.

100g of...

To go 10km by...
car

motorbike

1.0 - 5.0kg

0,9kg

bus

beef

pork

bread

0,4 - 0,8kg

1.3kg

0.3kg

0.6kg

per person

1 piece of...

1 tree per...

plastic
bottle

plastic
bag

can

0.4kg

0.2kg

0.2kg

Emitting Carbon

recycled
can

month

year

0.01kg

-0.5kg

-6.0kg

Offsetting Carbon

Sources: European Commission3, Planet Green4, Institute for Applied Ecology5, EEA6, Hope & Gibson7

If waste is not disposed of correctly, but dumped on roads and into drains, it will have
a long-lasting impact on your communitys environment. This figure shows examples of
different kinds of waste and their durability.

Part 1

Waste Durability M4

glass
bottle
1000 years

plastic bottle
100 years

aluminium can
plastic cup

10 years

plastic bag
wood
wool sock

2000
2000

lottery ticket

1 year
1 month
Source: The Ocean Conservancy8

Ho Chi Minh City and its Vulnerability to Climate Change

Part 2

Ho Chi Minh City (HCMC) is the countrys main driver of growth and economic
development. Being situated in a low-lying delta region, the city is vulnerable to
impacts of climate change, such as sea-level rise, tidal flooding and overheating.

HCMC is Vietnams largest urban agglomeration and of great importance for matters of
economic growth and modernization. The city
is the main target area of foreign direct investment and attracts great numbers of migrants
from rural areas seeking jobs and a better living standard; current projections show that
the population of HCMC will reach 10 million
people by 20209.
As a result, large parts of the city have become
built-up in the course of rapid and uncontrolled
urbanization. A great number of precarious
settlements have also evolved around the citys
outskirts or on vacant land in the city centre, in
low-lying areas and alongside canals, being
characterized by severe infrastructure shortcomings and the lack of urban services10.
HCMC ranks amongst the cities most vulnerable to the impacts of climate change; the metropolis is exposed to climatic extremes, the
increasing likelihood of severe storms and tidal flooding11.
As 72% of HCMCs urban area lies below two
metres above the current mean sea-level, it
is exceptionally at risk by inundation caused
by changes in sea-level rise12. Currently, the

reach of tidal influence into the urban canals

causes periodic flooding events in adjacent
areas. In addition, heavy rainfall events are increasing in number and intensity.
Besides flooding events related to climate
change and sea-level rise, HCMC is affected
by rising temperatures; the annual average
temperature of the urban area is 26.9C. However, the annual average temperature has
increased at a rate nearly double that of the
surrounding Mekong Delta region in the recent
past13 and will further rise by 1 - 2C till 205014;
this is due to the escalating heat production
from air conditioning units, transportation and
industry as well as due to the on-going surface
sealing, which reduces vegetation cover and
natural cooling areas.
The figure on the adjacent page shows a flooding scenario for the year 2050 for the current
urban extent of HCMC, taking into account a
projected sea-level rise of 1.5m15. It highlights
all built-up and non built-up areas which will
be at risk by future inundation caused by rising
sea levels.
For more information take a look at our website:
www.megacity-hcmc.org

Flooding Scenario for 2050 M5

taking into account a projected
sea-level rise of 1.5m

Hc Mn
12
Th c
Go Vap

Bnh Chnh

Bnh Thnh
Tn Bnh
Ph Nhun
2
Tn Ph
3
Bnh Tn
10
1
11
4
5
6
7
8

Nh B

District
Non built-up area
Built-up area
River and canal network
Inundation due to sea-level rise

Source: Megacity Research Project TP. Ho

Chi Minh (2010): Research Results from
Action Field 1, STORCH, H.; DOWNES, N.
and RUJNER, H.

The Vulnerability of Precarious Settlements

Part 2

Climate change vulnerability is the susceptibility to loss, damage, disturbance or

injury from climate change impacts. Precarious settlements are particularly vulnerable to overheating and flood events due to their density and their location in
low-lying, flood-prone areas and because of the often limited capacities of their
inhabitants to respond.
The vulnerability of a community or a neighbourhood is dependent on a wide range of factors. Vulnerability can be sub-classified into social, economic and physical vulnerabilities16.
Settlements located in the direct proximity to
the Sai Gon River and to urban canals are
highly prone to flooding, caused by high tide
or heavy rainfall events.
Where housing areas have evolved spontaneously and without adequate infrastructure
provision, a sufficient drainage system and in
the absence of solid waste collection, flooding
events may not only cause mobility constraints,
damage to buildings, the loss of resources and

Settlement along canal, HCMC

10

income, but may also lead to an environmental

crisis having a serious impact on health and
hygiene.
In many cases, unplanned areas face the impact of overheating. Here, the already rising
temperatures are aggravated by the high density of housing which prevents natural ventilation, together with the high degree of ground
sealing and the general lack of vegetation.
Dwelling units, constructed from non-durable
materials and on undeveloped land, are also
vulnerable to extreme climate events and
ground instability17.
The vulnerability of settlements related to their
location may be further heightened by endangered and unstable income generating activities, the lack of access to credit facilities for
adaptation and rehabilitation, weak community
structures or the lack of awareness18 regarding
climate change, its causes and impacts.
Nevertheless, the issue of vulnerability cannot be discussed without acknowledging that
local communities possess a range of individual capacities and potentials to respond and
to tackle the underlying causes and drivers of
vulnerability.

Community-Based Adaptation

Successful adaptation efforts have to be undertaken from the national to the local level19,
they require the linking of indigenous knowledge and practices provided by communities
with the projections and adaptation research
of the wider scientific community as well as to
a supportive policy environment.
All communities cope with and adapt to climatic or environmental changes; while coping
strategies may be temporary or emergency
solutions in times of difficulty or hardship, adaptation signifies permanent changes in livelihood systems20 and therefore strives to be
more sustainable.
CBA enables local communities to strengthen
their own existing adaptive capacity and to
build resilient livelihoods, to reduce their individual vulnerability and disaster risk21, 22. CBA
combines long-term strategies, such as structural adaptation and livelihood diversification,
with short- and medium term strategies, such
as temporary migration, the setting up of warning systems and evacuation plans.
Local communities know their area very well;
they have the capacity to assess the local impacts of climate change on a day-to-day ba-

sis and to find individual solutions to respond.

In order to avoid the affects of maladaptation,
they need to be provided with further information on climate change impacts and on existing
larger-scale adaptation plans.
In CBA processes, communities have full control over assessments, planning and the implementation of adaptation measures; they
also play a vital role in awareness raising by
sharing their local site knowledge. They can
be assisted significantly by civil society organizations and the local government, who can
provide information, capacity-building, adaptation and community mobilization activities.

Part 3

Adaptation is the response to current or projected future changes in climate - from

the national to the local level. Community-Based Adaptation (CBA) enables vulnerable communities to build resilient livelihoods and to take action within their
living environment and their own sphere of influence using their own resources
and capacities.

Community workshop

11

The CBA Model Project

Part 3

In order to initiate community-based adaptation processes in HCMC, a model project was carried out in a local community of District 4, Ward 8. In a series of
workshops, the community assessed the impacts of climate change on their living
environment, discussed various options for adaptation and implemented the most
feasible measures.
District 4 is situated south of the city centre,
enclosed between the Sai Gon River, the Ben
Nghe Canal and the Te Canal. Ward 8 of District
4 is regularly affected by flood events, caused
by high tide and heavy rainfall. The ward is
divided up into four blocks; while the majority
of the inhabitants of block 1 and 2 have more
stable jobs generating a higher income and
reside in spacious houses with clear alleys,
the narrow houses and small alleys of blocks 3
and 4 are occupied by low-income households
engaged in small-scale businesses.
The CBA model project aimed at facilitating the

Distribution of environmentally friendly carrier bags

12

local community to develop small-scale adaptation strategies. The set-up followed the action planning approach, holding the view that
individuals and communities, even with limited
resources, are capable of improving their living
environment, while integrating outsiders as
disseminators, catalysts or facilitators. The key
component of the model project were community workshops, combining expert inputs and
community activities.
Preparatory Phase
In the preparatory phase, representatives of
the community, the local government and the
NGO enda Vietnam fixed the setting of the
model project. Climate change impacts were
assessed as well as the local capacities and
resources to respond.
1st Workshop (March 2010)
The 1st Community Workshop, involving all
interested community members of Block 2, focused on awareness-raising of climate change
and its impacts on the community.
The assessments revealed that flooding
caused by heavy rainfall events and high tide

2nd Workshop (May 2010)

The 2nd Community Workshop addressed capacity-building for low-tech adaptation. The applicability of presented small-scale measures
were discussed in small groups. In a plenary
session, the measures to be collectively implemented were selected: The growing of plants
by the roadside, on balconies or rooftops in order to benefit from the cooling effect of shade
and evapo-transpiration, the initiation of waste management activities to avoid the littering
and blocking of drains and the cleaning up of
living spaces to allow for natural ventilation.

Hazard mapping

Implementation Phase
Following the 2nd Workshop, the chosen adaptation measures and strategies were implemented within a fixed timeframe.
3rd Workshop (July 2010)
The 3rd Community Workshop focused on the
evaluation of initial adaptation activities. Besides the implemented measures, the community started to save energy and to utilize reusable environmentally friendly carrier bags
instead of the previously used plastic bags in
order to avoid the littering drains. Moreover,
the community members actively engaged
in awareness raising activities in the market
place and amidst neighbours. The first multiplier effects were initiated by integrating new
community groups into the workshops and by
sharing knowledge and experiences.

Part 3

are notably aggravated by the inadequacy of

the drainage system, the blocking of drains as
well as by landfill projects undertaken in adjoining areas. As a reason for heat stress, the
lack of vegetation was identified.

Community workshop

13

Do it yourself! - Your individual Adaptation Process

This section is dedicated to civil society organizations and local governmental institutions, but first and foremost to communities who wish to reduce their vulnerability to climate change impacts. On the following pages, useful tools, tested in the
CBA Model Project, are summarized in order to guide and support your activities.

Part 4

What you need

A meeting room or place
Paper, pencils, optionally a microphone
Time for workshops (in the evening, once a
month, can vary)
Preparation
Read this handbook attentively. Does your
community face problems related to climate change? Find additional information in
newspapers, in radio or tv programmes.
Approach the local government, in order to
obtain backing for your activities, and civil
society organizations (NGOs) for practical
assistance.
Exchange your experiences of climate
change impacts with your neighbours.
Appoint a moderator for the workshops.
1st Community Workshop
Carry out a first workshop with your neighbours, local government representatives and
a civil society organization.
Raise awareness about climate change and
its impacts. Use the materials M1 , M2 and M5 .
Compile historical events related to environ14

mental and climate change which have affected your neighbourhood. Integrate especially
the elderly community members into the discussion. Use tool T1 .
Assess the impacts of climate change on your
community by drawing a hazard map and filling out a seasonal calendar. Use tool T2 as
exemplar.
Discuss the interrelation of climate change
and the problems faced by your community.
Summarize the results in tool T3 .
How has your community responded to the
problems faced? Register your findings in
tool T4 .

Community workshop, panel session

3rd Workshop - Evaluation

2nd Community Workshop
Set-up a second workshop about one month Arrange a third workshop following the implementation phase.
after the first.
Begin with a summary of the findings of the Discuss your communitys consumer behaviour and waste management. Can the
first workshop.
purchase of plastic be avoided in order to
Raise awareness about individual carbon
reduce the individual carbon footprint and to
footprints and waste durability; initiate a discussion on waste reduction and manageminimize the waste production? Use tool T7 to
M3
M4
ment. Use the materials and .
monitor and reduce your consumption.
Continue with a presentation on low-tech ad- Answer the following questions: What has
aptation measures. You may use the materibeen positive or negative? Are you satisfied
als M6 and M7 .
with the results? Has everyone participated?
Discuss the adaptation measures in smalUse tool T8 for your review.
ler groups. Which measures do you already Invite further neighbours who have not yet
implement, which are within or beyond your
participated in the workshops. Present your
capacity, which can you imagine to impleproject and share your knowledge on climate
ment and which additional measures come
change and adaptation. Support their initiatito mind? Present your findings to the other
ve to set-up their own activities.
groups in a small panel session. Use tool T5 . Continue with the workshops in order to carry
Subsequently, all members should be reforward the adaptation process.
quested to place on paper the measures he
or she would be willing to implement. The
papers shall be evaluated by the moderator
and the measures should be ordered from
the highest to the lowest priority. Use tool T6 .
Fix a manageable timeframe for the implementation of the chosen measures.
Implementation Phase
Implement the chosen measures and strategies within the timeframe. Document your
activities with the help of photographs.

Community workshop, group discussion

15

Low-Tech Adaptation Measures - Responses to Flooding M6

Even if you are not able to influence the occurrence of
heavy rainfall events or tidal flooding, you may still be
able to reduce their impact on your home and on your
neighbourhood by implementing some of these simple
measures23.

Water Barriers

Part 4

Install water barriers in front

of your doors.

16

Elevation of Ground Floors

Water Channels

Construct water channels to

collect and discharge rainwater.

Roof Projections

Elevate the ground-floor permanently or temporarily.

Construct roof projections to

protect facades from rain.

Temporary Water Storage

Roof Securing + Repair

Build storage for rainwater to reduce flood levels.

Repair leaking roofs.

Evacuation Routes

Identify safe paths out to evacuate

the most affected areas.

Waste Management

Do not litter drains; instead

collect waste in bins.

Early Warning System

Appoint people for weather observation, warning and securing of resources.

Low-Tech Adaptation Measures - Responses to Overheating M7

C

The annual average temperature of HCMC is rising; you

can adapt with these simple measures,
helping you to
pocket parcs
reduce the heat stress and to increase the liveability of
your neighbourhood24.

Preserve Vegetation and Reduce Ground Sealing

Preserve existing vegetation for its shading and cooling functions. Additionally,
unsealed surfaces act as infiltration areas and help to reduce flooding.

Shading - Climbing Plants

Grow climbing plants on your outside

walls to benefit from shade.

Natural Ventilation

Allow for natural ventilation in

your home.

Shading - Trees

Grow trees to benefit from their shade and

from the cooling effect of evapo-transpiration.

Shading Elements

Install shading elements over walkways

to reduce direct sunlight.

Light Materials

Use light materials to increase

the reflection of the sunlight.

Part 4

Cooling - Pot Plants

Grow pot plants to benefit from the cooling effect of evapo-transpiration.

Shading Elements

Install shading elements in front of windows to reduce direct sunlight.

17

Step 1 - Assessment: Historical Profile T1

Community of HCMC, District 4, Ward 8, Sub Ward 2
In order to understand the recent history of their neighbourhood, the community members have summarized past events, shocks and stresses in a Historical Profile.

Year

1922
1963
1962/63
1963/65
Before
1968
1970

Part 5

1973
Before
1975
1980
1985
1991/93
Before
1996
1997
1997
2000
2002/03
2004/05
2008
18

Historical Events

Houses on stilts as common building type

Reduction of the rice cultivation area in several wards
Destruction of several houses by fire
Reconstruction of houses
Destruction of natural environment and houses by fire
and conflict
Construction of a new road in order to respond to increasing traffic volumes
Installation of an 110V electrical power line
Accessability of canals and river by boats; natural vegetation: cork and guava trees
Canal filling, disappearance of houses on stilts
Installation of tap water supply
Canal filling for new housing areas during a housing
land crisis
Construction of several alleys in order to respond to
increasing traffic volumes
Relocation of inhabitants due to fire incident
Filling of a canal for road construction
Destruction of the market by fire
Installation of the first culvert along the river
Highest flooding level marked following heavy rain
Flooding events aggravated by highway construction

Location
Wards 5, 6, 8, 9
Wards 5, 6, 8, 9
Wards 5, 6, 8, 9
Ward 8, Block 1

Ward 8
Ward 8, Block 4
Ward 8, Blocks
3, 4
Ward 8, Blocks
1, 3, 4
Ward 8, Block 4

Your Community

Summarize past events, shocks and stresses specific to your community (with the help
of elderly community members) and compile them in the table below.

Historical Events

Location

Part 5

Year

19

Step 1 - Assessment: Mapping T2

Community of HCMC, District 4, Ward 8, Sub Ward 2

Hazard Map

A Hazard Map has been drawn on the basis of a cadastral plan; roads and houses affected by flooding due to high tide and heavy rainfall events have been marked as well as
aggravating factors such as blocked drains and solid waste dumps.

BLOCK 2, WARD 8, DISTRICT 4

HM 243A HD

20

HM 129F/123/3 BV

The section below has been generated, in order to highlight low-lying and most affected
areas.

0,20 mA
0,35 m
VAN DON
Secondary
School

1m

Alley no. 129F/123/9 BV

Alley no. 129F/121 BV

Alley no. 129F BV

BN VN N

. HONG DIU

Transect

Flooding due to high tide

Flooding due to heavy rain
Inadequate drainage system
Solid waste
Sewer

1m

0,20 m

0,3m

0,3m

0,3m

0,20 m

0,3m

0,3m

Your Community

Your Hazard Map and Transect

Organize a cadastral plan or (if not available) sketch the roads, alleys and buildings belonging to your neighbourhood on a large sheet of paper. Mark the areas, houses and
roads regularly affected by the impacts of climate change, for example flooding. Distinguish between different kinds of impacts and / or degrees of severity. Include factors
aggravating the situation.
If flooding is a problem, on the basis of your hazard map you can draft a transect, showing the low-lying areas and flood levels.

Seasonal Calendar

In this table, the community of District 4, Ward 8 highlighted the occurence and intensity of flooding events.

Months /
Hazards

Flood due to
high tides
Flood due to
heavy rainfalls

10

11

12

slightly

slightly
heavily

Mark the hazards or events affecting your community; distinguish between different degrees of intensity: slight / moderate / heavy.

Months /
Hazards

10

11

12

Part 5

Your Communitys Seasonal Calendar

21

Step 1 - Assessment: Climate Change Impacts and related Problems T3

Community of HCMC, District 4, Ward 8, Sub Ward 2

Problem Tree

The Problem Tree tool helps to highlight the underlying problems and their affects to your
community.

Instability of
Structures
Soiling

Mosquito
Plague

Inundation

Loss

Damage

Part 5

Health
Constraints

Mobility
Constraints

Flooding
22

Overheating

Pollution

Your Community

Your Problem Tree

Part 5

Note down the underlying problems at the roots of the tree (the root problems) and the
impacts faced by your community on the tree branches. Discuss the interrelationships
between the different causes and impacts felt.

23

Step 1 - Assessment: Impacts and Response T4

Community of HCMC, District 4, Ward 8, Sub Ward 2

Impacts and Response

In focus group discussions, the underlying problems, the prevailing impacts and the responses were collected according to gender.

Impacts on the Community

Impacts

Problems faced by the Community

Women
Men
Inundation of ground floors

Flooding due to high tides

and heavy rainfall events

Leaking roofs
Bad odor from sewers
Mobility constraints
Sellers face difficulties to
display their goods / Loss
of income

Instability of walls due to

water penetration
Health constraints
Bad odor from sewers
Mosquito plague
Soiling of motorbikes

The Communitys Response

Part 5

Impacts

24

Flooding due to high tides

and heavy rain events

Communitys Response
Women
Men
Elevation of ground floor
Construction of elevated
platform as safe storage
areas for valuables
Bailing of water during flooding events
Using planks as bridges in
order to push motorbikes

Elevation of ground floors

Petitions for drainage
cleaning sent to authorities
Cleaning of streets and
alleys after flooding event
Mobilization of households
to dredge sewers

Your Community

Impacts faced by your Community and your Communitys Response

Discuss the problems, such as flooding or overheating, and their resultant impacts on
your community. Afterwards, summarize your personal or your communitys response to
these impacts. Men and women should discuss in separate groups, as their impressions,
problems and responses might be different. Come together at the end for a joint discussion and compare the results. Note down the findings and make them visible for all.

Impacts on your Community

Impacts

Problems faced by your Community

Women
Men

Impacts

Your Communitys Response

Women
Men

Part 5

Your Communitys Response

25

Step 2 - Action Planning: Local Capacities T5

Community of HCMC, District 4, Ward 8, Sub Ward 2

The Communitys Capacity to Adapt to Climate Change

In smaller groups, the community members discussed the various adaptation measured
summarized on pages 16 and 17. They decided which measures were within or outside
their capacities, which measures could be implemented separately and which collectively.

Low-Tech Measures within the Communitys Capacity

Measures and Activities

Mitigation

Reduction of energy consumption: Reduction in air conditioning (if unnecessary)

Reduction of plastic item consumption (high carbon footprint)

Part 5

Heat Reduction

26

Waste Reduction
(in order to avoid the
littering and blocking
of drains)

Growing of plants / trees in front of every house; growing of

vines on balconies
Re-arrangement of interiors and opening of windows in order
to allow for natural ventilation inside individual houses
Utilization of re-usable hand baskets for shopping at markets,
re-use of plastic bags
Participation in private waste collection, payment of fees
Sorting of waste at home, separate organic waste (food) and
inorganic waste (plastic, glass)

Your Community

Your Communitys Capacity to Adapt to Climate Change

Discuss your capacities and resources available to adapt to the impacts of climate
change. Which measures are beyond your capacities and resources? Summarize measures which seem feasible for your communitys specific situation. Decide which measure can be implemented individually and which need to be carried out collectively.

Low-Tech Measures within your Communitys Capacity

Part 5

Your Measures and Activities

27

Step 2 - Action Planning: Priorization and Planning for Implementation T6

Community of HCMC, District 4, Ward 8, Sub Ward 2

Selection of Adaptation Measures

Every community member noted down the adaptation measures he or she is willing
and able to implement. Subsequently, the workshop moderator counted out the votes
openly and the ranking list was displayed.
Adaptation Measures
Reduction in plastic bag use
Reduction of energy consumption
Growing of plants and trees
Utilization of hand basket
Sorting of waste at home
Payment of waste collection fees
Opening of windows
Promotion / Awareness Raising
Avoidance of littering

Number of Community Members (agreed)

13 persons
11 persons
22 persons
18 persons
8 persons
6 persons
1 person
1 person
1 person

Plan for Implementation

Part 5

The community members fixed a timeframe for the implementation of the adaptation
measures.

28

Adaptation Measures
Utilization of hand baskets for shopping
Reduction of plastic bag use
Sorting of waste at home
Reduction of energy consumption
Growing of trees and plants

Timeframe

from May 18th 2010 onwards

Your Community

Your Communitys Adaptation Measures

Every community member shall note down the adaptation measures he or she is willing
and able to implement on a sheet of paper. The moderators shall then evaluate these
proposals and note down the adaptation measures in a ranking list, starting with the
ones most preferred.
Adaptation Measures

Number of Community Members (agreed)

Plan for Implementation

Adaptation Measures

Timeframe

Part 5

After chosing adaptation measures, fix a binding but manageable timeframe for their
implementation.

29

Step 3 - Implementation
Community of HCMC, District 4, Ward 8, Sub Ward 2

Implementation of Measures

The community of District 4, Ward 8 implemented their chosen measures.

Use of environmentally
friendly carrier bags

Street view
30

Growing of plants in front of

exterior walls

Growing of pot plants

Growing of pot plants

Your Community

Implementation of Measures

Carry out your chosen activities and implement the scheduled structural or environmental measures. Take photographs for documentation.

Growing of climbing plants on

access balconies

Growing of plants in front of

windows

Development of green spaces

for recreation

Creation of roof gardens

Creation of green facades

Creation of roof gardens

31

Step 4 - Evaluation and further Activities: Monitoring T7

Community of HCMC, District 4, Ward 8, Sub Ward 2

Monitoring Card: Reducing Plastic Consumption

All households of the pilot community were provided with a monitoring card, in which all
members were asked to note down the plastic items purchased on a day-to-day basis.
This tool was introduced in order to support the community in controlling and reducing
their plastic consumption.

Plastic Items purchased

Monday

Wednesday

Thursday

14

15

21

28

plastic
toys

Part 5

32

Tuesday

June 2010
Friday

Saturday

Sunday

10

11
plastic
cups

12

13

16

17
plastic
toys

18

19

20

22
plastic
bags

23

24

25
plastic
bags

26

27

29

30
plastic
bottle

plastic
bottles

plastic
bags

Your Community

Your Monitoring Card: Reducing your Plastic Consumption

In order to reduce your plastic consumption, note down the plastic items purchased
in the monitoring card every day. Discuss with your family, household and community
members, which items have been bought unnecessarily. Continue the record keeping
and try to avoid their additional purchase in the following months.

Monday

Tuesday

Wednesday

/
Thursday

Friday

Month / Year

Saturday

Sunday

Part 5

Plastic Items purchased

33

Step 4 - Evaluation and further Activities: Review T8

Community of HCMC, District 4, Ward 8, Sub Ward 2

Review: Opinions and Experiences

The 3rd Community Workshop was set up in order to evaluate the initial adaptation
efforts and to maximize the first multiplier effects, e.g. the sharing of knowledge and experiences with other community groups and the initiation of further activities. The tables
below summarize a range of opinions and experiences the community of District 4, Ward
8 wanted to share.

Part 5

What has changed in your behaviour?

Garbage is collected and sorted at the household level in order to improve the environmental condition of the neighbourhood and in order to avoid the littering or even
blocking of the drainage system.
Electronic devices and lights are switched off, when they are not in use, in order to
reduce overall energy consumption.
Environmentally friendly and re-usable carrier bags are utilized for shopping in order
to reduce waste production.
The consumption of plastic items has been reduced.
Do you want to share any experiences? Do you have any remarks?
The green, conspicuous carrier bags, distributed by enda Vietnam are recognized by
shopkeepers and sellers at markets. This gives the community members the opportunity to inform on the CBA model project, on climate change and the necessity to keep
the environment clean and to reduce plastic consumption.
It was found more efficient to use one big bag instead of many plastic bags.
It was suggested that the distribution of the shopping bags shall be expanded to other
blocks and wards.
The growing of plants in public open spaces, along the roadside and on balconies
increases the attractiveness of the neighbourhood and provides a welcoming atmosphere.
34

Your Community

Review: Your Opinions and Experiences

Use the questions below to share your opinions and experiences with your community.
Highlight positive aspects but be honest and do not hesitate to bring up negative impressions, too, as a starting point for the improvement of the overall process.

What has changed in your behaviour?

Are you satisfied with the measures and their impacts? If not, why not?

Do you want to share any experiences? Do you have any remarks?

Part 5

Has everyone participated? If not, why not?

35

36

Encouragement and Concluding Remarks

At this point, we would like to summarize a variety of findings from the CBA model project,
in order to encourage vulnerable communities,
civil society organizations and local governmental institutions to start an adaptation initiative by themselves.
At the starting point of an adaptation project,
it may seem that the objective of adaptation
to climate change and vulnerability reduction
is out of reach. The experiences with the community of District 4, Ward 8, have proved, that
local communities may have limited resources
for structural adaptation, but they possess indigenous knowledge as a basic component of
CBA; they have the ability to assess the local
impacts of climate change, to organize workshops, to communicate with civil society organizations and the local government.
Of course, we cannot conceal that the CBA approach has to rise to various challenges: Local
level activities are limited in scale and scope;
major impacts of climate change, such as floo-

ding due to sea-level rise, or overheating due

to rising temperatures may not be addressed
effectively. If a community is heavily endangered by inundation, only the migration to a safer
site will bring about the needed change to their
situation.
CBA activities might be pertubed and even nullified by larger scale developments; in order to
be sustainable, small-scale, community-based
initiatives therefore need to be integrated into
the overall planning procedures.
Nevertheless, take courage, be proactive and
make the first move to initiate your own CBA
project in your neighbourhood!
And of course, we want to learn from your experience. We wish to hear from you. For any
feedback, comments or project reports please
contact the Megacity Research Project TP. Ho
Chi Minh or enda Vietnam.
We wish you a lot of success!

37

References and Photo Credits

EUROPEAN COMMISSION (n.d.): The Greenhouse Effect. (URL: http://ec.europa.eu/clima/sites/campaign/pdf/greenhouse_effects_en.pdf retrieved Feb. 2011).

GERMAN FEDERAL AGENCY FOR CIVIC EDUCATION (n.d.): Klima-Killer (URL: http://www.bpb.
de/popup/popup_grafstat.html?url_guid=79PP5C
retrieved Feb. 2011).

EUROPEAN COMMISSION (n.d.): Climate

change. What can you do to fight it? (URL: http://
ec.europa.eu/clima/sites/campaign/pdf/ppt3-notes-en.pdf retrieved Feb. 2011).

PLANET GREEN (2009): The Mysterious Carbon

Footprint of Packaging. (URL: http://planetgreen.
discovery.com/tech-transport/mysterious-carbonfootprint-packaging.html retrieved Mar. 2011).

FRITSCHE, U. R.; EBERLE, U.; WIEGMANN,

K. and SCHMIDT, K. (2007): Treibhausgasemissionen durch Erzeugung und Verarbeitung von
Lebensmitteln. Institute for Applied Ecology (URL:
http://www.oeko.de retrieved Mar. 2011).

EUROPEAN ENVIRONMENT AGENCY (2008):

Climate for a Transport Change. ISSN 17259177
(URL:
http://www.eea.europa.eu/publications/
eea_report_2008_1 retrieved Mar. 2011).

HOPE, A. and GIBSON, J. (2008): Carbon Dioxide Offsetting for Conferences. (URL: http://www.
nzsses.auckland.ac.nz/conference/2008/papers/
Hope-Gibson.pdf retrieved Mar. 2011).

38

THE OCEAN CONSERVANCY (2005): Pocket

Guide to Marine Debris. (URL: http://www.cobsea.
org/cleanupeas/docs/ICC_PocketGuide_EN.pdf
retrieved Mar. 2011).
HO BA THAM (2009): Urbanization for Ho Chi
Minh City in the Future: Forecasting Cultural and
Social Challenges and Opportunities. HCMC Institute of Development Studies, Conference Paper
(URL: http://www.eastwestcenter.org/fileadmin/resources/seminars/Urbanization_Seminar/HCMC_
Workshop/Additional_Materials/Urbanization_for_
HCMC_in_the_Future__Dr._Ho_Ba_Tham.pdf
retrieved Feb. 2011).
WUST, S.; BOLAY, J.-C. and THAI THI NGOC
DU (2002): Metropolization and the ecological crisis: precarious settlements in Ho Chi Minh City, Vietnam. In: Environment and Urbanization (2002),
No. 14, pp. 211-224.

10

ADB Asian Development Bank (2010): Ho Chi

Minh City - Adaptation to Climate Change. Summary Report, ISBN: 9789715618939, Manila, The
Philippines.

11

STORCH, H.; DOWNES, N.; KATZSCHNER, L.

and NGUYEN XUAN THINH (2010): Building Resilience to Climate Change through Adaptive Land
Use Planning: The Case of Ho Chi Minh City. In:
Zimmermann, K.O. and Zimmermann, M. (Eds.)
Resilient Cities; Berlin: Springer.

12

13

ADB Asian Development Bank (2010): ibid.

14

BOOTH, T. H.; NGUYEN HOANG NGHIA;

KIRSCHBAUM, M. U. F.; HACKETT, C. and JOVANOVIC, T. (1999): Assessing Possible Impacts of
Climate Change on Species Important for Forestry
in Vietnam. In: Climatic Change (1999), No. 41, pp
109-126, Dordrecht, The Netherlands.

21

MEGACITY RESEARCH PROJECT TP. HO CHI

MINH (2010): Research Results from Action Field
1, Work Package 1, STORCH, H.; DOWNES, N.
and RUJNER, H.

22

15

WISNER, B.; BLAIKIE, P.; CANNON, T. and DAVIS, I. (2004): At Risk. Natural Hazards, Peoples
Vulnerability and Disasters. Second Edition. ISBN
9780415252164, Routledge, London, UK.

16

WUST, S.; BOLAY, J.-C. and THAI THI NGOC

DU (2002): ibid.

17

DAVIS, I.; HAGHEBAERT, B. and PEPPIATT, D.

(2004): Social Vulnerability and Capacity Analysis.
Paper, ProVention Project (URL: http://www.proventionconsortium.org/themes/default/pdfs/VCA_
ws04.pdf. retrieved Feb. 2011).

18

IPCC Intergovernmental Panel on Climate

Change (2007): Climate Change 2007: Synthesis
Report. (URL: http://www.ipcc.ch/pdf/assessmentreport/ar4/syr/ar4_syr.pdf retrieved Nov. 2010).

19

DAVIES, S. (2009): Are Coping Strategies a

Cop-Out? In: Schipper, E. L. F. & Burton, I. (Eds.)
(2009): The Earthscan Reader on Adaptation to Climate Change, pp 99-116, Earthscan, UK & USA.

20

BAAS, S. and RAMASAMY, S. (2007): Improved

Adaptive Capacity to Climate Change for Sustainable Livelihoods in the Agriculture Sector. Food
and Agriculture Organization of the United Nations, UNDP (URL: http://www.fao.org/nr/clim/abst/
clim_080303_en.htm retrieved Feb. 2011).
CARE INTERNATIONAL (2010): Framework of
Milestones and Indicators for Community-Based
Adaptation. (URL: http://www.careclimatechange.
org/files/toolkit/CBA_Framework.pdf
retrieved
Sept. 2010).

MEGACITY RESEARCH PROJECT TP. HO

CHI MINH (2010): Research Results from Action
Field 2, Work Packages 7 and 8, ECKERT, R. and
SCHINKEL, U.

23

MEGACITY RESEARCH PROJECT TP. HO CHI

MINH (2010): ibid.

24

Photos
ENDA VIETNAM:
Community Workshops, Pages 12 and 13 (left)
Project Implementation, Pages 30 and 31.
MEGACITY RESEARCH PROJECT TP. HO CHI
MINH; ECKERT, R.:
Settlement along canal (HCMC), Page 10.
MEGACITY RESEARCH PROJECT TP. HO CHI
MINH; SCHINKEL, U.:
Canal Settlement, Title
Community Workshops, Pages 11, 13 (right), 14, 15.

39

Megacity Research Project TP. Ho Chi Minh

Brandenburg University of Technology Cottbus
www.megacity-hcmc.org
megacity-hcmc@tu-cottbus.de

enda Vietnam

www.endavn.org.vn
2011 Brandenburg University of Technology Cottbus
ISBN 978-3-00-034353-7

40