Ảnh hưởng của vốn xã hội đến lợi ích của người dân địa phương trong phát triển du lịch sinh thái tại các vườn quốc gia vùng đồng bằng sông hồng và duyên hải đông bắc tóm tắt tiếng anh

1 CHAPTER INTRODUCTION 1.1 The thesis necessity 1.1.1 Theoretical aspect The ecotourism term attached with responsible tourism tendency “seeing, enjoying but not damaging” (Orams 1995) has been notified since 1980s Ecotourism is different from other types of mass tourism in the way of developing sustainability, supporting efforts in environmental presevation and education, and bringing about benefits for local people (Wood, 2002) Since its appearance, ecotourism has been researched from various perspectives Previous studies emphasized ecotourism as a responsible and ideal tourism to achieve sustainable development goal Also, the exploration of ecotourism should take notice of its effects on the effectiveness of ecotourism development One important factor ensuring the success of ecotourism is the local people’s involvement attached with their benefits (Sharpley and Telfer, 2008) Therefore, analyzing factors having effects on ecotourism development also means evaluating these factors’ effects on local people’s benefits when they participate in tourism development Among different factors influencing ecotourism development, social capital is a quite new one, which has been researched since 2000 Unlike other capital sources, social capital is an “unphysical source” established from cooperative relationships of social networks, which are built up based on trust, norms and regulation sharing and reciprocity Also, it has a significant distraction to participants Under the context of developing ecotourism attached with local people’s participation, studies on the relationship between ecotourism and social capital are essential, which aim at promoting benefits for local people through developing values based on their social capital source Previous studies on the relationship between social capital and ecotourism (Foucat, 2002; Sawatsky, 2003; Jones, 2005; Nguyen, 2007; Okazaki, 2008; Liu et.al, 2011; Marcinek and Hunt, 2015; Musavengane, 2017, etc) focused on the effects of social capital on certain specific benefits for local people Thus, there is a lack of studies on a comprehensive evaluation of social capital on economic, socio-cultural and environmental benefits as well as the enhancement of local people’s position In fact, this is a concerning aspect to develop ecotourism in a responsible basis, which ensures the philosophy of sustainability Thus, this thesis has theoretical meaning, which contributes to the knowledge of social capital and its relationship with benefits for local people in developing ecotourism 1.1.2 Practical aspect Since 1990s, there have been various successful models of ecotoursim development, such as those in America, Canada, Belize, Kenya, Australia, Thailand and Japan, etc Although it appeared later than other types, ecotourism is assessed by UNWTO as the highest growing with 10 - 15%/year (Sharpley, 2006) The effectiveness of ecotoursim development in reality shows its “advantages” in bringing about potentials of preservation and local livelihood cooperation as well as achieving these two objectives based on sustainable development In Vietnam, ecotourism development is trendy in National parks, especially in Cát Bà, Cúc Phương, Ba Vì, etc located in Red river delta and north east coast area However, the role and benefits for local people are not clear This is partially because social capital of these people in communities of National parks is not strong and their relationship with other stakeholders is not effective Due to those rationales, the author selected the thesis on “Effects of social capital on local people’s benefits from the development of ecotourism of national parks located in Red river delta and north east coast” This aims at filling in the “gap” of theory; and providing suggestions for policy makers, managers, local people and relevant stakeholders to improve the effectiveness of ecotourism in practice through social capital for the community 1.2 Researh objectives 1.2.1 General objectives To analyze and investigate the effects of social capital on local people’s benefits in the development of ecotourism in national parks in Red river delta and north east coast 1.2.2 Specific objectives (1) To determine elements of social capital, which have an influence on benefits for local people in the development of ecotourism in national parks Then, it is the foundation for building up the theoretical framework (model) and research hypothesis (2) To identify, test and analyze influencing level of social capital elements on different benefits (politics, economy, socio-culture and environment) of local people in the development of ecosystem in National parks in red river delta and north east coast (3) To analyze the inluencing level of demography on the benefit for local people from the development of ecosystem in National parks in red river delta and north east coast (4) To seek for solutions and recommendations based on the research results so that these suggestions can help to increase social capital and improve benefits of local people in the development of ecosystem in National parks in red river delta and north east coast 1.3 Research questions Question 1: What are elements of social capital that put an effect on the benefits (politics, economy, socio-culture and environment) of local people from the development of ecosystem in national parks? In addition to the studied elements, are there any “new” ones identified and discovered in the influence of social capital on local people from the development of ecotoursim in national parks? Question 2: How differently different elements influence on benefits (politics, economy, socio-culture and environment) of local people from the development of ecosystem in national parks in red river delta and north east coast? Question 3: Are there any differences among National parks in Red river delta and north east coast regarding effects of social capital on local people’s benefits from the development of ecotoursim? If yes, how different are they? Question 4: Which elements of control variable (social capital) have influence on benefits of local people from the development of ecotourism in Red river delta and north east coast? Are there any differences among these elements in terms of influencing level and tendency? Question 5: Which elements of socail capital need to be improved and increased to help local people gain better benefits from ecotoursim development? 1.4 Research subject and scope 1.4.1 Research subject - Research subject: Effects of social capital on local people’s benefits from the development of ecotourism 1.4.2 Research scope - Content: This study concentrates on exploring the relationship, analyzing and testing effects of social capital’s elements on benefits of local people in the development of ecotoursim - Location: The research focuses on the area with participation and benefits of local people in ecotoursim development in National parks of Ba Vi, Cat Ba and Cuc Phương (belonging the Red river delta and north east coast) - Duration: Mainly in the period from 2013 to 2017 (secondary data collection) and 2016 - 2017, early 2018 periods (primary data collection) 1.5 Thesis organization - Chapter 1: Introduction to the thesis Chapter 2: Theroretical basis and literature review on effects of social capital on benefits of local people in the development of ecotourism - Chapter 3: Research methods - Chapter 4: Research results - Chapter 5: Discussion on research results and recommendations, solutions CHAPTER 2: THERORETICAL BASIS AND LITERATURE REVIEW ON EFFECTS OF SOCIAL CAPITAL ON BENEFITS OF LOCAL PEOPLE IN THE DEVELOPMENT OF ECOTOURISM 2.1 Theories on social capital 2.1.1 Definition of social capital According to various studies, social capital term appeared the first time in 1916 by Hanifan So far there have been different ways of understanding this term However, in general, social capital can be defined as one type of “special resource” with “social” identity of human beings, social capital is established through relationships between individuals or groups (organization/society), improved through reciprocity and sharing, cooperation and partnership of social networks which are based on trust and respect for regulations, norms aiming at bringing about benefits for individuals /groups when they participate and invest in relationships institutionalized to some extent 2.1.2 Typical features of social capital First, social capital derives from participation in social networks or investment in relationships of individuals/ groups in order to achieve benefits for them as well as their groups Second, social capital is considered as a “resource”, bringing about either economic or noneconomic benefits, which cannot be measured by “physical” tools, “tangible” values but “intangible”, “non-physical” elements of trust, norms, cooperation and responsibility for the groups Third, social capital is maintained and developed through internal and exteral interactions of the networks Forth, social capital is a “chain” - “missing link” in developing sustainably, improving position and bringing about sociocultural benefits for the community 2.1.3 Measurement elements for social capital Social capital is comprised of various elements Different studies have had different perspectives and discoveries on these elements However, the basic ones cover trust, reciprocity, sharing, norms/rules, cooperation and social networks/connectedness Although social capital is not a new research trend, recently, it has been explored based on the relationship with tourism development In this thesis, the author only selected certain elements of social capital depending on their appropriateness with the research objectives, subject and context, which would help to figure out and test effects of social capital on benefits of local people in the development of ecotourism These elements are sorted out through consultancy with experts and selection of their popularity in previous studies by Lascurain (1983, 1987) which puts an emphasis on experiences improving visitors’ awareness and developing effectiveness attached with the rule of preservation; and by World Ecotoursim Association (1991, 2015) which focuses on natural sustainability, culture attached with lecturing activities and environmental education From my own perspective and inheritance from revious studies, I define ecotourism as a type of tourism based on attracting values of neglected natural resources and unique local culture;it is attached with great involvement of local people and relevant stakeholders; there are environmental education and lectures as well as preservation activities; there is promotion of tourism business activities in local area at small scale with low consumption (resources), which still satisfy experiencing demand and improve visitors’ awareness; at the same time, it helps to bring about economic, sociocultural and environemental benefits as well as improve the position of local people and relevant stakeholders 2.2.2 Studies on the development of ecotourism 2.2.2.1 Studies on the appearance and development of ecotourism Studies by Wood (2002), Obenaus (2005), Weaver and Lawton (2007), Cobbinah (2015), Chandel and Mishra (2016), etc show that the development of ecotoursim has experienced changes and supplimentaries, which are reflecting more and more apparently the typical features of a responsible and sustainable type of tourism 2.2.2.2 Studies on features, rules and instructing tools of ecotourism development Features and rules of ecotourism were integrated in the research by Butler (1992) Then, there have been different studies on rules providing specific instructions on ecotourism development for relevant stakeholders A set of rules for implementation of ecotourism has been largely recognized, which was issued in 1990 by World Association of Ecotoursim and amended in 2015 In these rules, there is an emphasis on “the key pillar” of ecotourism development, which is not only attached with preservation, participation and benefits for local people, but also focuses on elements of lectures, explanations and environmental education 2.2.2.3 Studies on factors influencing ecotourism Studies on factors that have an influence on ecotourism development aim at improving those with positive effects and minimizing those with negative effects This is carried out through sustainable management tools Discussing these influencing factors, there are three main aspects: (1) elements leading to ecotourism development (Jamal et al., 2006); (2) elements affecting effectiveness of ecotourism development (Fennell, 1999; Fennell and Dowling, 2003) and (3) elements influencing benefits Table 2.1: Summary of social capital elements researched in tourism No Author, published year Foucat (2002) Jones (2005) Liu et al (2005) Zhao et al (2011) Park et al (2012) Baksh et al (2013) Gaitho (2014) Marcinek and Hunt (2015) Musavengane (2017) Elements of social capital Trust Reciprocity, sharing X X X X X x X X Cooperation Social networks x X X X X x x x X X X X Norms X X X X X X X X X X X Others X1,2 X1 X X3 x X X4 X Source: Compiled by the author In particular: X: the same studied element x: compatability X1: conflict and linkage X2: Power, equality and decision making X3: Involvement of local community X4: Local institutions, attitude and awareness of community 2.2 Literature review on effects of social capital on benefits of local people in the development of ecotourism 2.2.1 Definition of ecotoursim Ecotourism has been researched since 1980s There have been numerous definitions so far The most frequently cited concepts are given of local people participating in ecotourism development (Shemshad and Mohammadi, 2012; Kombo, 2016) 2.2.2.4 Studies on participation of relevant stakeholders in the development of ecotourism Stakeholders of ecotoursim development is also a “topic” for different researchers (Honey, 1985; Drake, 1991; Brandon, 1993; Wood, 2002; Drumm and Moore, 2005…) Among previous studies, the model of essential partners for the success of ecotoursim development given by Drumm and Moore (2005) is mentioned much more than others In this model, the authors emphasized the participation of main subjects such as non-governmental organizations, local authorities, tourism businessmen, local people and other supporting groups/organizations 2.2.2.5 Studies on the role of local people in the development of ecotoursim The participation of the community is the bottom – up approach to promote the positive role if local people who are provided with the right to explore, manage and develop ecotourism (Kiss, 2004; Nelson, 2004; Boonzaaier and Philip, 2007; O’Neill, 2008; Mensah et al, 2013) The participation from normal role to managers, investigators owners of the resources and activities of ecotoursim development can not only bring about great benefits in terms of socio-economy, environment, social welfare; but also provide “added” benefits for stakeholders Especially, the provision for local people with those rights would help to improve their position, voice and benefits (Salafsky and Wollenberg; 2000; Sultana, 2009) 2.2.3 Factors measuring benefits of local people in ecotoursim development Political benefits of local people when they participate in ecotourism (according to Scheyvens (1999), Jones (2005)) are chances to raise their voice and solve mutual problems as fairly as possible; give their ideas in making decision in the mutual forusm of the community Economic benefits: are physical beneits (converted to money, items, assets, etc) reflecting the purpose and objective motivation of the community in joining the development of ecotourism The most direct economic benefits are prodiving jobs and increasing income as well as improving infrastructure for local people (Yacod et al, 2008; Kiper et al, 2011; Scheyvens, 1999) Socio-cultural benefits not only help to preserve local cultures but also bring about other benefits: jobs, social welfare (education, healthcare, etc), raise awareness of the community and promote the cooperation within the community as well as social networks Environmental benefits, from the perspective of researching local people’s benefits in ecotourism development, environmental benefits are helping local people to gain more knowledge or having behavior, initiatives protecting the environment (Tran and Walter, 2014) 2.2.4 Studies on the effects of social capital on local people’s benefits in the development of ecotoursim Social capital has an influence on the benefits of local people in the development of ecotourism In fact, previous studies (Foucat, 2002; Sawatsky, 2003; Liu et al, 2005; Jones, 2005; Zhao et al, 2011; Park et al, 2012…) proved that in order to develop ecotourism, it would be essential to effectively cooperate between local people and stakeholders This cooperation was considered as the “central” factor ensuring the success of cooperation network The main objectives of ecotourism development are preserving resources and bringing about benefits to the community To achieve those objectives, it is essential to obtain the belief of local people in local authorities and stakeholders as well as the support, sharing and cooperation between them The development is in the long run only when these relationships are based ont trust and commitment to respect rules and norms of the society/community In any community, if local people strongly cooperate and join in social networks, it will receive many more benefits from tourism than the community, in which people are incooperative or restricted to group activities and there are no supporting associations/organziations for local community development (Claiborne, 2010) A community with low background knowledge would “prevent” local people from gaining objectives and benefits from ecotourism development (Kamuti, 2014) Therefore, communities with advanced knowledge will have more conditions, favors and benefits from tourism development In order to provide the influencing relationship between social capital and benefits of local people in ecotoursim development, this thesis consolidated relevant studies (diagram 2.4) to reveal this relationship with different results in different contexts and objectives Along with the basement of previous theories, in-depth interviews with experts and local people in National parks, the author created the research frame, in which, there is a new element/ scale identified based on this study entitled “Particiaption in implementing regulations on operational management of ecotoursim in National parks” 2.5 Research frame Based on analysis, comments and evaluation on good and bad points of each study; research subject, scope covering the exploration, description and analysis into effects of social capital elements on local 10 people’s benefits in ecotourism development in National parks of Red river delta and north east coast; and selection of experts’ contributions, the author designed research frame as presented in diagram 2.4 H1 BENEFITS OF LOCAL COMMUNITY FROM ECOTOURISM DEVEOPMENT SOCIAL CAPITAL - Trust - Sharing - Norms - Cooperation - Social networks Participation in implementing regulations operational management of ecotourism in national parks Politcial benefits H1a H1b Economic benefits H1c H 1d Socio-cultural benefits Environmental benefits Demographic features: age, gender, ethnic, background knowledge, main job, average income H2a,b,c,d Diagram 2.4: Research model on effects of social capital on local people in ecotourism development in National parks of Red river and north east coast Source: Compiled and designed by the author Table 2.5: Research hypothesis Symbol Hypothesis H1: Social capital has positive effects on benefits of local people from ecotourism development H1a Social capital has positive effects on political benefits H1a1 Trust has parallel effect on political benefit H1a2 Sharing has parallel effect on political benefit H1a3 Norms have parallel effect on political benefit H1a4 Cooperation has parallel effect on political benefit H1a5 Social networks have parallel effect on political benefit H1a6 Participation in implementing regulations on operational management of ecotourism in National parks has parallel effect on political benefit H1b Social has positive effects on economic benefits H1b1 H1b2 H1b3 H1b4 H1b5 H1b6 H1c H1c1 H1c2 H1c3 Trust has parallel effect on economic benefit Sharing has parallel effect on economic benefit Norms have parallel effect on economic benefit Cooperation has parallel effect on economic benefit Social networks have parallel effect on economic benefit Participation in implementing regulations on operational management of ecotourism in National parks has parallel effect on economic benefit Social capital has positive effects on socio-cultural benefits Trust has parallel effect on socio-cultural benefit Sharing has parallel effect on socio- cultural benefit Norms have parallel effect on socio- cultural benefit H1c4 H1c5 Cooperation has parallel effect on socio- cultural benefit Social networks have parallel effect on socio- cultural benefit H1c6 Participation in implementing regulations on operational management of ecotourism in National parks has parallel effect on socio- cultural benefit Social capital has positive effects on environmental benefits Trust has parallel effect on environmental benefit Sharing has parallel effect on environmental benefit H1d H1d1 H1d2 H1d3 H1d4 H1d5 H1d6 Norms have parallel effect on environmental benefit Cooperation has parallel effect on environmental benefit Social networks have parallel effect on environmental benefit Participation in implementing regulations on operational management of ecotourism in National parks has parallel effect on environmental benefit H2: Demographical features of local people which have controlling influence on benefits of local people from ecotourism development H2a Demographic features have controlling influence on political benefit H2b Demographic features have controlling influence on economic benefit H2c Demographic features have controlling influence on socio-cultural benefit H2d Demographic features have controlling influence on environmental benefit Source: Compiled by the author CHAPTER 3: RESEARCH METHODS 3.1 Research design 3.1.1 Selection of research methods This thesis combines both qualitative and quantitative methods In particular, qualitative methods aim at exploring, discovering information 11 12 related to features of social capital, status and development benefits of ecotourism under the context of research context; identifying brief compatibility within scales and their relationships; collecting information to give comments and explain research results Quantitative methods aim at analyzing the reliability of the scales and the exporatory factor, and testing research model and hypothesis 3.1.2 Research process 3.2 Qualitative research - Qualitative methods: the thesis applies: observation, interview with focus group and in-depth interview - Interviewees: these are local people participating in activities of ecotourism in National parks in Ba Vì, Cúc Phương and Cát Bà (18 interviewees) Also, there are interviews with representatives of Board of management of national parks, local authorities (6 interviewees) and interviews with experts (11 researchers related to ecotoursim and social capital) Focus group interview is carried out with 03 groups, each of which has 06 poeple who are local ones in research places - Data analysis: All information is collected based on each specific content (encoding) to give a mutual conclusion; results are gathered and compared with the theoretical model to build up the official model and hypothesis, at last, the qualitative results are used to present explanation to the effects and complex relationships which are not explained by the quantitative model 3.3 Quantitative research - Research sample: This thesis uses the convenient sampling method with selection and categorization The sampling is carried out based on criterion of exporatory factor analysis and multiple regression; the research sample’s size is 323 - Measuring scale: + Social capital measuring scale (independent variable): trust, reciprocity and sharing, norms, cooperation, social networks and participation in the implementation of operational management regulations on ecotourism at National parks + Benefit measuring scale (dependent variable): benefits of politics, economy, socio-culture and environment + Demography measuring scale (control variable) - Data analysis: SPSS 23.0 is used to insert data and analyze research model through different steps: reliability test (Cronbach’s alpha - CA), convergent valiadity and discriminant validity (EFA), multiple regression to test the relationship and effects of social capital and control variable of demography on benefits of local people in the development of ecotourism Phase Theore tical overvie w Step1: Theoretical overview of social capital and benefits of local people from ecotourism development Step4: Pilot study at national parks Phase Pilot study Step 2: Initial model and theory construction Step 3: Design of qualitative question and planned questionnaire Step5: Interview with experts, determination of new scale Step 6: Official research model and survey questionnaire Step7a: Official quantitative survey (n = 323) Step7b: Analysis into reliability of scale Step7c: Exporatory factor analysis (EFA) Phase Official research Deletion of variables with low correlation (