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INTRODUCTION resource management in Thac Ba Reservoir, Yen Bai Province The Significance of the study Nowadays water area is chosen for study as it has a community with different uses of resource management faces many water resource which may conflict with each other Framework of challenges that needed integrated approach Vietnam has adopted the community participation in management and behavioural change integrated water resource management (IWRM) since 2013 as the theory will be used Law of Water Resource came into effect In IWRM, public Objectives of the study participation in water resource management is mandatory The The general objective of the study is to identify the level and “public” here may include households, enterprises, organizations and behaviours of participation in water resource management of local anyone who has impact on water In this thesis, households as community in Thac Ba Reservoir, Yen Bai Province, to find out the members of local community are studied when mentioning the factors affecting their participating behaviours and to make community participation in water resource management recommendations for the government and community To recruit the participation of local community in water resource management, it is necessary to understand their motivations The specific objectives include: • To review the previous studies in the field of community • To identify the level and behaviours of participation in water • To identify the factors influencing the community’s • To make recommendations to improve the community Behavioural approach is useful in this issue as it helps to find out the social factors that affecting the community’s behaviours participation in water resource management; Behavioural change theories assume that it is possible to forecast the individual behaviour from different factors such as attitudes, resource management of local community in study area; perceptions and values Previous studies showed that individual socio-economic characteristics including gender, age, level of education, income, livelihoods also influence the behaviour Since there are a number of participating behaviours, models of forecasting behaviour are needed to identify which factors have impact on which participating behaviours in water resource management participating behaviours; and participation in water resource management Scope of the study The study is conducted in the area of Thac Ba Reservoir, which includes the water surface, the islands and the surrounding There are some studies of community participation in water land of the reservoir and Yen Bai City where residents use tap water resource management in Vietnam These studies focus on the level of from the reservoir Secondary data in the period of 2010-2014 was community participation and the challenges Little has been done on collected and a field survey was done in 2015 The survey was the motivations of participating behaviours This thesis will fill in conducted at the household level, which means participating this gap by studying the local community participation in water behaviours in water resource management of firms and other management including planning, decision making, implementing and organizations are not included in this study monitoring Structure of the thesis According to Vandergeest (2006, p 344), community-based The thesis consists of Introduction, Conclusion, List of natural resources management is “a way of increasing community Abbreviation, List of Figures, List of Tables, Reference, Appendices participation in natural resources management at the local level” Do and five chapters as follows: Thi Kim Chi (2006) stated that community-based natural resources Chapter 1: Literature Review management is “to bring the community to participate in different Chapter 2: Theoretical Framework and Hypotheses stages of management, from making initiatives to planning, Chapter 3: Research Methods implementing, monitoring and giving feedback” Chapter 4: Findings and Discussions Chapter 5: Policy Implications Nguyen Viet Dung and Nguyen Danh Tinh (2006) concluded that the bottom line of community-based water resource management is “to have the community participating in planning, operating and maintaining the water supply system at local level” Thus, community- CHAPTER 1: LITERATURE REVIEW 1.1 Community-based Water Resource Management 1.1.1 Natural resources management approaches The economic approach to natural resources brings us based water resource management requires the participation of local community Community participation is a way that the people (community) involves in development process, especially in making models and instruments to analyze and manage the natural resources decisions and uses of resources Meanwhile, Ostrom (1990) found that natural resources as 1.1.3 Literature review of community participation in water “commons” can be used efficiently and sustainably with the resource management participation of local community Thus it is possible to develop the 1.1.3.1 International studies community-based management model for natural resources 1.1.2 Community-based natural resources management Community consists of people living in one geographical area, making decision and acting together for shared benefits Community-based management (CBM) is a range of management models with the participation of local community, Karimi (2003) concluded that community participation in water resource management helped increase the social benefit as well as avoid the conflicts Their participation at the very first step of project would be the most important to success (Garande and Dagg, 2005) But “new” member in management process may face resistance from “traditional” decision makers (Teodosiu et al, 2013) which means the community participates in all the stages of for an individual to change his behaviours: precontemplation, 1.1.3.2 Vietnamese studies In Vietnam, one of the factors affecting community contemplation, preparation, action and maintenance participation in water resource management is capacity (Nguyen Viet The Theory of Reasoned Actions (TRA) (Ajzen and Fishbein Dung and Nguyen Danh Tinh, 2006) Community participation in in Sutton, 2001, p.4) assumes that the major factor that determines water resource management in the reservoirs of hydropower plants in the possibility of a behaviour is its intention, which in turn is Thua Thien – Hue is limited due to lack of legal framework, low influenced by attitudes and subjective norms perception of community’s role, lack of information and the sole The Theory of Planned Behaviour (TPB) (Ajzen, 1991) leading role of the hydropower plant managers (Nguyen Dinh Hoe extends the TRA with the inclusion of another factor which is and Nguyen Bac Giang, 2011) In Vu Gia – Thu Bon basin, Quang perceived behavioural control Nam Province, the challenges included lack of experiences in 1.2.2 Literature review of factors affecting the participation in organizing community consultation, lack of legal framework, lack of water resource management information, limited capacity and lack of feedback system for 1.2.2.1 Perception of values community consultation In Canada, community’s perception of economic and 1.1.3.3 Lessons learned for community participation in water environmental values of water determines the water policies that they resource management prefer (Russenberger et al, 2012) Sakurai et al (2015) found that Legal framework for community participation in water Asian community’s perception of shared responsibility is associated resource management needs improvement with their participation in environment conservation Moreover, Local government should be more open when working with Asian people tends to comply with others’ expectation than Western the community (Sakura et al, 2015) Ferraro et al (2011) concluded that those • Community’s characteristics should be investigated appreciate social norms would save more water • Local religion and customs should be utilized 1.2.2.2 Socio-economic characteristics • Community’s capacity should be improved • Community should have representatives to participate in in water resource management Young people with high level of management process education are highly aware of environmental issues (Van Liere and • • Socio-economic characteristics have impact on participation 1.2 Factors affecting the participating behaviours Dunlap, 1980) Similarly, place of residence affects the perception of 1.2.1 Behavioural change theories environmental problems (Sharp and Adua, 2009) Zuo et al (2011) and had similar conclusions that urban residents with higher income and DiClemente in Tlou, 2009, p.12) assumes that there are five stages level of education and better access to information put higher value The Transtheoretical Model (TTM) (Prochaska on environment Participating behaviour of member of community is Water resource management consists of water allocation, correlated with level of education (Hamid, 1996) and income (Sheikh basin et al., 2014) monitoring, applying economic and financial instruments and 1.3 information management (GWP, 2010) Current knowledge gaps planning, stakeholder participation, pollution control, The literature review shows some current knowledge gaps According to Dower (2004), there are five stages of Firstly, previous studies focus on community participation in one or community participation in water resource management: (1) more aspects of water resource management, for example water Information; (2) Consultation; (3) Cooperation; (4) Partnership and supply, water allocation and pollution control Community (5) Leadership To find out which stage the community is on, it is participation in all aspects of water resource management has not necessary to identify the participating behaviours Nguyen Viet Dung been researched Secondly, most of previous studies of community and Nguyen Danh Tinh (2006) summarized the popular participating participation in water resource management in Vietnam are behaviours in water resource management in Vietnam, which qualitative There has been no quantitative study with models to includes (i) to attend the community meeting, (ii) to contribute ideas investigate the participating behaviours and their motivations to the plan and implementation, (iii) to appoint a representative, (iv) Thirdly, behavioural change theories are popular in the world but to contribute labour and money and (v) to pay the water use fee rarely used in environment researches in Vietnam The thesis is expected to fill in those gaps Factors influencing the community participation There are two groups of factors affecting the community participation The first group consists of endogenous factors CHAPTER 2: THEORETICAL FRAMEWORK AND including the socio-economic characteristics, the community HYPOTHESES representative, the religion and the customs The second is 2.1 Theory of community-based water resource management exogenous which includes legal framework and the relationship Community-based water resource management between the community and other stakeholders Community-based water resource management is “a 2.2 Theory of Planned Behaviour participatory process in which the community plays the leading role The Theory of Planned Behavior (Ajzen, 1991) helps to in water management” (Nguyen Viet Dung and Nguyen Danh Tinh, understand factors affecting individual behaviors One person’s 2006) intention to undertake a certain action will largely determine whether Aspects and levels of community participation in water resource management he performs it Behavioral intention is influenced by three factors: Attitude towards Behavior, Subjective Norms, and Perceived Behavioral Control Attitude towards Behavior is how one person assesses his own action The attitude can be favorable or The TPB is used to investigate the factors affecting the unfavorable, depends on his values Subjective Norms refers to intentions of participating behaviours Thus there are three TPB perceived social pressure, in other words, the normative expectation factors which are analyzed: attitudes, subjective norms and perceived of others on one’s action Perceived Behavioral Control refers to behavioural controls Variables of perceptions of water’s values and one’s perception of how easy or difficult to perform a certain action socio-economic characteristics are included in the models The The more favorable the attitude towards the behavior and the expected effect of each variable is summarized in Table 2.2 subjective norms and the greater the perceived control, the stronger Table 0.2 Expected effect of variable in the models of intentions the intention of a person to undertake the behavior of participating behaviours 2.3 Hypotheses The community participation in water resource management in Thac Ba Reservoir is assessed by investigating their participating behaviours in each aspect of water resource management Then the stages of participation are identified Hypotheses of participating behaviours associating with stages of participation are presented in Table 2.1 Table 2.1 Participating behaviours associating with Independent variables Attitude Stages of participation Complying with the regulations on water resource management Information Subjective norm Positive Ajzen (1991) Perceived control Positive Ajzen (1991) Perceptions of water’s values Depending on value Russenberger et al (2012) Main use of water Depending on the main use Age Positive Ethnicity Depending on ethnicity Level of education Positive Household size Depending on each case Monthly income Depending on each case behavioural Sheikh et al (2014) Hamid (1996), Sheikh et al (2014) Attending the community meetings Contributing ideas and feedbacks in the community meetings and by other channels Consultation Contributing resources for water resource management Appointing community’s representative to Cooperation Source: Summarized by the author manage the water resource Source: Summarized by the author Sources Ajzen (1991) stages of participation Participating behaviours Expected effect Positive 10 CHAPTER 3: RESEARCH METHODS 3.1 Research framework - Socio-economic characteristics in which respondents’ age (tuoi), household size (QMH) and monthly income (thunhap)are Because of different demand for water and different socio- continuous variables, level of education (TĐHV) is an ordinal economic characteristics, each member of community has his own variable, ethnicity (dantoc), groups of household dividing by main water use behaviour This results in inefficient use of water resource use of water (households using tap water: honuocmay, households Community-based water resource management can solve the living next to the reservoir: hovenho, fishing and aquacultural problem In order to recruit the participation of the community, it households: hothuysan) are categorical variables necessary to understand its motivation to participate In this thesis, - Perceptions of water’s values (giatri)which are measured the theory of community-based management is used to investigate by a 5-point scale in which denotes “totally disagree” and means the current status of community participation in water resource “totally agree” with statements regarding the water’s values management in Thac Ba Reservoir The Theory of Planned - TPB variables include attitude (TĐ), subjective norm Behaviour is used to investigate the factors affecting the participating (CMCQ) and perceived behavioural control (NTKSHV)are measured behaviours, based on which recommendations are made to improve by a 5-point scale in which denotes “totally disagree” and means community participation “totally agree” with statements regarding each factor 3.2 Models and variables 3.3 Data collection Current status of community participation in water resource management: Community’s participating behaviours and stages of participation are presented in Table 2.1 3.3.1 Secondary data Secondary data is collected from local government’s reports and statistics as well as online law database 3.3.2 Primary data Regression models: DKHVTG = β1 x TĐ + β2 x CMCQ + β3 x NTKSHV + β4 x The current participating behaviours and stages of honuocmay + β5 x hovenho +β6 x hothuysan + β7 x tuoi + β8 x participation in water resource management, respondents’ socio- Dantoc + β9 x TĐHV + β10 x QMH + β11 x thunhap + βi x giatrii economic characteristics, perceptions of water’s values and TPB Variables: variables are collected by survey using a structured questionnaire Dependent variables DKHVTG: Intentions of participating 3.3.2.1 Questionnaire design behaviours as presented in Table 2.1 Each intention is measured by Questionnaire was developed after literature review and deep a 5-point scale in which denotes “totally disagree” and means interview with some local government officers and residents It was “totally agree” with a certain statement also based on guide of TPB questionnaire by Ajzen (2013) A pretest Independent variables includes: 11 was conducted before the survey for necessary adjustments 12 works in agriculture Luc Yen District’s population in 2013 is 3.3.2.2 Sampling method The population of the survey is about 12,000 households A 105,807 with annual income of VND 20 million per capita (USD sample of 350 households from groups of households with 890) There is a number of ethnic minorities living in the area: Tay, different main uses of water were selected with nearly equal Nung, Dao, Cao Lan proportion The sampling method is multi-stage After eliminating 4.1.2 The roles of water resource in Thac Ba Reservoir questionnaires with large proportion of missing values, the sample It is the reservoir of the Thac Ba Hydropower Plant which size for the study is 302 households was built from 1964 to 1971 and has been operated since then Thac 3.3.2.3 Survey method Ba Reservoir was built for electricity production, flood controls and The survey is conducted by face-to-face interview with the irrigation Besides, local community’s fishing, aquaculture, forestry, heads of household The interviewers are staffs of Yen Bai water transportation and tourism also depend on the water from Thac Cooperative Alliance Ba The Reservoir provides tap water for domestic use of citizens 3.4 Data analysis living in the nearby urban areas which are Yen Bai City and Yen Data was presented by frequency statistics and descriptive Binh Town statistics Factor analysis, regression and ANOVA were used to 4.1.3 Regulations on community participation in water resource analyze the data management CHAPTER 4: FINDINGS AND DISCUSSIONS Regulations on community participation in water resource 4.1 Introduction of study site management can be found in Law on Water Resource 2012 and Yen 4.1.1 Natural and socio-economic characteristics of study site Bai’s Regulations of Exploitation, Usage and Protection of Thac Ba Thac Ba Reservoir is a part of Chay River in the north east of Yen Bai Province The reservoir is 23,400 hectare with the surface Reservoir These regulations have some shortcomings as follows: - The timespan for community consultation of 15 days is too short area of 19,050 hectare, which makes it one of the three biggest man- Besides, there can be groups of people who are affected by the made freshwater reservoirs in Vietnam The length of the Reservoir project may not be invited by the People’s Committee to the is 80km, maximum width is 10km, the average depth is 15 - 25m and maximum depth is 42m Thac Ba Reservoir consists of 3-3.9 billion consultation - Article of “researching and accepting the reasonable feedback m3 of water The Reservoir is located in Yen Binh and Luc Yen and recommendations from the stakeholders” in the Law on District, Yen Bai Province The population of Yen Binh in 2013 is Water Resource is considered to be too general 107,080 The annual income is VND 28.6 to 29.5 million per capita (USD 1,270 to 1,310) The labour force is 45,037; 76.5% of which 13 14 - - The investor has to explain any questions from stakeholders to water allocation and applying the economic instruments They also the authorities but these explanations may not be informed to the contribute ideas and feedbacks in the community meetings and other community channels on the issues of water planning, pollution control and The community has the right to assess information But the monitoring Their participating behaviours show that they have a part frequency of information dissemination is not clear in information management 4.2 Socio demographic characteristics of the respondents The sample consists of four groups of households based on their use of water from Thac Ba Reservoir: households using tapwater from Thac Ba Reservoir (20.9%); fishing and aquaculture households (24.2%); forestry households (31.1%) and households living next to the Reservoir and using water for other purposes (23.8%) 182 respondents or 60.3% of the sample are male Female respondents account for 39.7% The mean age is 38.6 with standard deviation is 12.1 The average residency in the study site is 34.2 years (standard deviation is 13.36) so it can be seen that most of the respondents are local people 45% of them have finished high school The average household size is 4.29 The average monthly income is VND 4.51 million 4.3 Community participation in water resource management in Thac Ba Reservoir 4.3.1 Current status of water resource management in Thac Ba Reservoir Yen Bai People’s Committee has the responsibility to manage the water resource in Thac Ba Reservoir The local community participates in water resource management at the stages of information and consultation They comply with the regulations in 15 4.3.2 Community’s awareness of participation in water resource management 298 respondents (84.9%) said that it was necessary to have community participation in water resource management Only people (1.7%) disagreed with it 66 respondents had not heard about the community participation in management 4.3.3 Participating behaviours in water resource management in Thac Ba Reservoir It can be seen that local community are participating in water resource management in Thac Ba Reservoir at the stages of information and consultation and they are about to step on cooperation stage However they have not fully complied with the regulations as there are still some violations that negatively affect the water resource The number of households participating in giving feedback and contributing ideas to the authorities is low Most of them have not been on cooperation stage 4.4 Factors affecting the participating behaviours of community in Thac Ba Reservoir 4.4.1 Descriptive statistics of the variables The variables are presented with descriptive statistics 4.4.2 Factor analysis Eight statements regarding the perception of water’s values are put into Factor Analysis Three factors with Eigen value greater 16 than are extracted with the cumulative rotation sums of squared - Negatively affected by household size loadings are 58.42% The first factor regarding the values from - Positively affected by attitude, and fishing, forestry and transportation can be called “economic value” - Positively affected by subjective norm The second consists of statement on the values from domestic water, 4.4.3.4 Intention to contribute resources to water management tourism, recreation and micro climate, which is The R2 is 0.339 At the significance level of 5%, the called “environmental value” The third factor associating the social intention to contribute resources to water management is: interaction and living condition that water brings to life, thus it can - Negatively affected by hothuysan be named “social value” Factor scores are calculated by SPSS and - Positively affected by attitude, and used in the regression models - Positively affected by subjective norm 4.4.3 Regression models 4.4.3.5 Intention to appoint a community’s representative to 4.4.3.1 Intention to comply with the regulations on Thac Ba water participate in water management The R2 is 0.115 At the significance level of 10%, the The R2 is 0.241 At the significance level of 5%, the intention to comply with the regulations is: intention to appoint a community’s representative to participate in - Negatively affected by hothuysan and hovenho and water management is: - Positively affected by attitude 4.4.3.2 Intention to contribute ideas in the community meeting - Negatively affected by hothuysan and honuocmay - Negatively affected by perception on economic value of water, - Positively affected by attitude, subjective norms and perceived The R2 is 0.277 At the significance level of 5%, the intention to contribute ideas in the community meeting is: - Positively affected by hothuysan and honuocmay - Positively affected by perception on social value of water and - Positively affected by the attitude towards the role of government and behavioural control 4.4.5 Discussion The study shows that the TPB variables are associated with the local community’s intentions to participate in water management, 4.4.3.3 Intention to actively contribute ideas and giving feedback to which is consistent with findings from previous studies Perception the local government on social value of water positively affects the local community’s The R2 is 0.504 At the significance level of 10%, the intention to contribute ideas and feedbacks in the community intention to actively contribute ideas and giving feedback to the local meeting In other words, people are willing to have this participating government is: behaviour because they believe that their behaviour would improve - social interaction and living conditions Among the socio-economic Positively affected by honuocmay 17 18 variables, the variables regarding group of household or the whom to contribute ideas and feedbacks to the authorities The households’ main use of Thac Ba water influence the intention to feedback from the authorities has not met the community’s participate in water management expectation 4.5 Summary of community participation in water resource management in Thac Ba Reservoir Factors affecting the community’s participating behaviours in water resource management in Thac Ba Reservoir include attitude, Based on the factors affecting the participating behaviours and challenges to participate, some recommendations can be made to improve the local community participation in water resource management in Thac Ba Reservoir subjective norms, perceived behavioural control, main use of water CHAPTER 5: POLICY IMPLICATIONS of household and perception of water’s social and economic value The study shows that there are a number of challenges for the community to participate in water resource management in the 5.1 Principles to improve the community participation in water resource management study site as follows: - A legal framework is necessary condition - There are some shortcomings in the regulations on community - The government facilitates the participation of community participation in environmental management in general and in - Local characteristics and knowledge must be understood and - Different stakeholders should be involved water management in particular - Legal framework for the community to contribute resources for applied water management has not been developed The local 5.2 Recommendations to improve the community participation government has not encouraged the community to step on the in water resource management in Thac Ba Reservoir, Yen Bai state of cooperation in water resource management (contributing Province resources and appointing representatives to participate in water 5.2.1 To improve the legal framework for community participation management) It is recommended (1) to identify all the groups to be - The community’s attitude towards some participating behaviours consulted in environmental impact assessment and community is low consultation for water-related project; (2) to clarify the consultation - Each member of the community found that other people did not process; (3) to expand the timespan to more than 15 days; (4) to participate much in water management, thus he/she does not develop a process to provide information to and get feedback from want to participate, either the community; and (5) to set the frequency of information The local community finds it hard to know the regulations on dissemination - water resource management They not know how and to 19 20 In Thac Ba Reservoir, there should be regulations for local of community’s characteristics, the awareness of local community, community to contribute resources to protect the water and to the adaptation and adoption of local customs and religions, and the contribute ideas and give feedback to the local government representative of local community The factors affecting the 5.2.2 To improve the community’s access to information community participation in water resource management are their Community should be encouraged to access to information social cognitive, awareness of water’s values and socio-economic by different channels The disseminated information is the characteristics This thesis aims to identify and analyse the current regulations and the impacts/outcomes including improvement in level of community participation and their participating behaviours social interactions of community participation in water management in water resource management in Thac Ba Reservoir, Yen Bai 5.2.3 To improve the social activities Province as well as the factors affecting their participation The Social activities such as festival or contests relating to water theoretical framework is the Theory of Planned Behaviour (TPB) An should be organized in World Environment Day, World Wetlands empirical study with a household survey was conducted in the study Day… with the leading role of Youth Union and Women Union area The findings are as follows: 5.2.4 To improve the capacity of local authorities Capacity of local authorities should be improved by training, - Local community in Thac Ba Reservoir, Yen Bai Province appreciates the role of the Reservoir to their life They assess the improving the working process and changing the staffs’ attitude current management of water resource in Thac Ba as fairly good 5.2.5 To establish the associations They know the concept of community participation and have Forestry/ aquacultural/ agricultural/ processing associations participated in water resource management They managed to should be established so that household members have a comply with the regulations in water use, attend the community representative to participate in water management meeting and contribute ideas and feedbacks to the local authorities Thus they are at the stage of information and consultation The CONCLUSION Fresh water is a resource that is limited and vulnerable while essential for our daily life It is necessary to have stakeholder proportion of residents participating is low, the level of satisfaction is medium and less people expect to participate more in water management participation including water users, planner and decision makers in - The more the local community trusts the government, the water resource management at all levels Domestic and abroad case more they are willing to contribute ideas and feedbacks to the local studies show that community – based water management is a authorities in water resource management relevant model The conditions for success are legal framework, the - The TPB factors affect the intentions of participation in openness and cooperation from local government, the understanding water resource management, which is consistent with the theory In 21 22 particular, the variable of attitude has positive effect on intentions to Based on these findings, to improve the local community in comply with regulations, to contribute ideas and feedbacks to the water resource management in Thac Ba Reservoir, Yen Bai government, to contribute resource to water management and to Province, it is recommended: appoint a representative to participate in water management In other - words, the more favourable the attitude towards the mentioned To improve the legal framework for community participation; behaviours, the more they are willing to conduct them Subjective - To improve the community’s access to information; norms positively affect the intentions to contribute ideas and - To conduct activities of social interaction; feedbacks to the government, to contribute resource to water - To improve local authorities’ capacity; and management and to appoint a representative to participate in water - To establish forestry/ aquacultural/ agricultural/ processing management It means that the local community has stronger associations intention to have such behaviours if they find these behaviours Due to the limitations in scope and methodology, the improving social interactions Perceived behavioural controls have findings of the thesis are limited Firstly, only households in the area positive effect on intention to appoint a representative to participate are included in the research while enterprises and households living in water management, or the local community will be willing to downstream should be investigated Secondly, the models may appoint a representative if they find it easy and being supported by include more variables Thirdly, factors affecting the level of the government participation and the relationship between values, socio-economic - The households using piped water from Thac Ba Reservoir have higher intention to participate in water resource management characteristics and TPB variables were not analysed These issues can be solved when the author expand the research in the future while fishing/aquacultural households have lower intention to participate Other socio-economic variables generally not affect the intention to participate of the local community - Water’s values including economic, social and environmental value are significant variables that affect the intention to participate Social value of water has positive effect on intention to contribute ideas and feedbacks in the community meeting, while economic value has negative impact on intention to appoint a representative to participate in water resource management 23 24