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1 INTRODUCTION particular, participation also helps to stimulate the industrious nature, the spirit of inquisitiveness, the dynamism of rural residents to help them develop more stable household economy, upgrade housing and gardens, lakes, rivers, streams, fields create landscapes and make the countryside become spacious, clean and more beautiful The results of new rural construction have achieved certain victories, mobilizing great resources in the rural areas to develop relatively comprehensive in all areas of social life, quality of life The living standards of the rural population have been improved and improved, the forms of organizing production in the countryside have been increasingly renovated, the infrastructure has become more modern and advanced, the natural environment landscape is focused on better preservation to maintain, protecting the ecosystem inherent in rural areas However, the actual implementation of new rural construction still raises a number of shortcomings such as: following the criteria in a formal way, the quality of life of the rural residents according to the new standards has not yet been met or is not sustainable Some places still mobilize incorrectly, a part of rural residents still not understand the nature of the program, have not taken advantage of their advantages to rise up, there are still ideas that depend on the State support and investment Participation in implementing the criteria of income, production organization, environment and safety in agricultural production, business and processing is still very limited and not really active, some households small and unable to respond promptly to market fluctuations, epidemics, On the other hand, the need to upgrade new rural criteria (new model rural) in the coming period is also a big challenge that requires more active and active participation of rural residents Reason for research Around the world, participation is widely used in development theory and development projects By the late 1960s participation was mentioned in social or community development areas (Arnstein, 1969), and later in community research and community work increasingly being mentioned more to people's involvement (Abbott, 1995) Participation helps socio-economic development programs, projects or plans achieve the set goals more effectively and sustainably; At the same time, it also affects the sharing of development benefits to stakeholders and has a managerial support in the implementation process On the other hand, participation also helps to properly mobilize local resources for development (Chhetri, 2013) In Vietnam, new rural construction is a national target program to be implemented on a large scale to implement the Resolution No 26 of the Central Executive Committee on August 5, 2008 and the Government's Action Program to develop comprehensive and comprehensive development in rural areas in terms of economy, politics, socio-culture and ecological environment preservation After years of implementation and implementation (2010 - July 30, 2019), the participation of rural residents in general and rural residents in the Red River Delta region in particular has been increasingly evident in specific tasks such as: : enthusiastically contributing ideas, voluntarily contributing resources (money, material, land, workdays, ); being proactive and creative in organizing production, improving rural livelihoods, enthusiastically participating in cultural and social development movements, preserving security and order, etc The places where the active participation of rural households have really increased the feasibility and sustainability of infrastructure works, good traditional culture are preserved, the spirit of solidarity and cohesion The people are promoted and always show the responsibility to the community In Although there have been studies on the subjective role of mass organizations and the role of the people, the topics have not been fully studied in many aspects on the participation of the rural residents in new rural construction In particular, there has been no such research in the Red River Delta, where there are certain advantages and disadvantages in the process of building a new countryside Therefore, the participation of rural residents in new rural construction still needs to be further studied to promote the participation of rural residents for sustainable socio-economic development in rural areas From the abovementioned topics: "Researching the participation of rural residents in the construction of new rural areas in the Red River Delta" is necessary, selected by the author to be the doctoral dissertation topic Research objectives 2.1 General objective 2.2 Detail goal Firstly, systematize and elucidate theoretical and practical basis for rural residents' participation in new rural construction; Secondly, to analyze and clearly assess the situation of the participation of rural residents in the construction of new rural areas in the Red River Delta region; Thirdly, based on the situation analysis, the thesis makes some recommendations to promote the participation of rural residents in the construction of new rural areas in the Red River Delta in particular and Vietnam in general The thesis focuses on researching methods and contents of rural residents 'participation in new rural construction to clarify the relationship between rural residents' participation and the results of new rural construction Subject and scope of research 3.1 Research subject Study on the participation of rural residents in the new rural building The topic focuses mainly on people who are residing in rural areas 3.2 Scope of research - Scope of content: - Scope of space: Research in the Red River Delta region - Time scope: Focus on the study of the status of rural residents in the new rural construction period from 2010 to 7/2019 and the orientation of the recommendation to 2030 Research questions (1) What is the method and content of participation of rural residents in the new rural building? (2) What are the results, limitations and causes of the participation of rural residents in the construction of new rural areas in the Red River Delta? (3) How is the involvement of rural residents related to the results of new rural construction in the Red River Delta? (4) How to best mobilize the participation of rural residents in new rural construction? Research methodology The thesis uses both the method of quantitative research and quantitative studies (the author will present in detail in chapter III) The new constructions of the thesis Contributions in terms of academics and theoretical perspectives (1) Participation theory (Arnstein, 1969) and stakeholder theory (Freeman, 1984; Mitchell, 1997) shows that if managed subjects are heard more, are more involved and relevant Collaboration with managers is easy to achieve management goals The extended thesis examines the theoretical basis of the participation of rural residents in vocational training in terms of methods and content of participation 5 (2) Applying the theory of collective action (Tarrow 1988, Sandler 1992), the thesis explores the collective action of rural residents in the construction of new rural areas in the Red River Delta (3) The participation of rural residents in new rural construction is measured through: rural residents actively receive information about new rural construction; comments; contribute resources; improve livelihoods; supervision in new rural construction; implement regulations on safety in agricultural production and processing, food safety and participate in landscape creation and environmental sanitation New findings and recommendations are drawn from the thesis (1) The involvement of rural residents has always played a core role in the new rural construction The level of importance of rural residents is reflected as the main subject and directly performs each new rural criterion such as: improving living conditions, improving the inheritance, implementing safety in agricultural production, environmental sanitation, etc This is an indispensable subject in the process of new rural construction (2) The participation of rural residents in new rural construction is associated with better and more sustainable rural construction results This result has two effects: firstly, to help rural residents better understand their responsibilities, and secondly, to help managers to be aware of the role of rural residents to have the mechanism of encouragement, motivate their involvement in new rural construction The thesis structure In addition to the introduction and conclusion, the thesis is presented in 05 chapters: Chapter 1: Overview of research results related to the participation of rural residents in new rural construction Chapter 2: The theoretical and practical basis of the involvement of rural residents in new rural construction Chapter 3: Site characteristics and research methods Chapter 4: The status of participation of rural residents of the Red River delta in new rural construction Chapter 5: Proposing some solutions to promote the participation of rural residents in the construction in the Red River Delta region CONTENT SECTION CHAPTER 1: OVERVIEW OF RESEARCH RESULTS RELATED TO THE PARTICIPATION OF RURAL RESIDENTS IN NEW RURAL CONSTRUCTION There have been many domestic and foreign studies on the participation and subjective role of farmers in new rural construction, etc The results of the studies have explained: - Interpreting the content, method, concept, meaning of participation and factors affecting participation; - Interpreting the concept, role, content, mode of participation of rural residents; - Discuss the scale of participation of rural residents in separate aspects and scale on the results of new rural construction - Some works have discussed the participation of organizations and unions in construction in new rural construction, the role of participation of farmers in new rural construction from a general perspective However, there has been no comprehensive and comprehensive research on the participation of rural residents in the construction of new rural areas Based on the inheritance and selective works announced on participation and participation in new rural construction The thesis continues to solve the following issues: Firstly, theoretically: Supplementing and clarifying the theory of rural residents' participation in new rural construction, focusing on clarifying issues: concept, role, level of participation; content, and mode of participation of rural residents in new rural construction Secondly, practically: - What is the actual participation of rural residents in the Red River Delta in the process of new rural construction? - The results and limitations and causes limiting the participation of rural residents in the construction of new rural areas in the Red River delta; - Considering the relationship between the participation of rural residents and the results of new rural construction in the Red River Delta organizations, and economic units stationed in the locality, etc In which rural residents have the role of a host-they are both subject to performance, both the subject of development benefit, if they are valued, more listened to, and participated in many (highlights), the results of the program will be higher and more sustainable Therefore, the application of stakeholder theory to highlight the participation of rural residents in implementing the new rural construction program in an active, dynamic Facilitate and help them to perform well the central role of rural development Among the stakeholders to the new rural building process, rural residents are central to requiring special attention to this subject because their involvement has a huge influence on the results of new rural criteria 2.1.3 Theory of Collective Action: The theory of collective action is referred to as the synergy of many individuals involved in certain work to form collective action for the common good of the collective (Tarrow 1988, Sandler 1992) This is one of the theories that can explain the participation of rural residents to form collective action when they perform work for the benefit of the community In the process of new rural construction in Vietnam, rural residents' involvement is considered as collective action as they perform the work, the criteria in the new rural construction Because the new rural criteria are aimed at the comprehensive development of rural areas, these criteria relate to the rights and obligations of rural residents They work together to effectively implement production plans Helping each other products safely and preserve environmental sanitation Implementing sustainable production links; develop reasonable and modern rural infrastructure and effectively exploit production activities and people's daily life, etc 2.2 The theoretical basis of new rural construction and participation of rural residents in new rural construction CHAPTER 2: THE THEORETICAL AND PRACTICAL BASIS OF THE INVOLVEMENT OF RURAL RESIDENTS IN NEW RURAL CONSTRUCTION 2.1 Theory of application for research 2.1.1 Theory of involvement From the fundamental theory of the step of citizen participation in the Arnstein 1969 study, later studies have been applied to the study to provide a theoretical basis through the practice of participation in many fields The difference of social life and the concept of participation is that people participate in all aspects of social life equally within the framework of the law; They have access to, share information, discuss, discuss and participate in the decision-making process, and contribute resources to implement that decision 2.1.2 The theory of "stakeholders": If managers value stakeholders in the concept of stakeholders, it is successful to organize the implementation of issues in the management that will succeed and grow more sustainably (Fontaine, 2006) Any stakeholder is more listened to and engaged as much if they have higher prominence In the national target program of new rural construction, stakeholders can be named rural residents, local governments, 10 2.2.1 New rural concept and new rural construction 2.2.2 Participation of rural residents in new rural construction 2.2.3 Methods of participation of rural residents in new rural construction 2.2.4 The content of rural residents participating in the implementation of the criteria in the new rural construction 2.3 The practical basis for the involvement of rural residents in the new rural construction 2.3.1 Practical involvement of Rural residents in some new rural models in the world 2.3.2 Practices of rural residents' participation in the process of building new rural areas in some localities in Vietnam 2.3.3 Experience lessons for the new rural building process in the Red River delta region - Promote the internal strength of the people to implement the criteria in the process of new rural construction, the rural residents need to be involved in building planning, deciding on the type of construction, which project needs a priority to advance, publicly discuss, design decisions and supervision of construction and testing of works - Vocational training for rural workers, transfer of technical advances, new breeds, science technology to help farmers increase crop and livestock productivity, build specialized commodity areas, develop products to increase revenues import, and support the expansion of stable and sustainable agricultural consumption markets - It is necessary to create favorable conditions to encourage the participation of rural residents themselves in the work of new rural construction They must be truly owned Practical benefits of rural residents must be cared for and created mechanisms to help them proactively develop their economy, protect the ecological environment, develop infrastructure and improve the cultural and spiritual life in a healthy way - Need to promote self-reliance, initiative, and creativity of rural residents These characteristics enable rural residents to participate more fully, accurately, and responsibly to create good collective actions in implementing new rural construction criteria related to their interests - Need to raise awareness about the role of rural residents in building new rural areas They are the center, the ones who directly implement and directly benefit and play a decisive role in the effectiveness of the implementation of the criteria and the sustainability of the national target program on new rural construction CHAPTER 3: SITE CHARACTERISTICS AND RESEARCH METHODS 3.1 The natural and socio-economic conditions of the Red River Delta affect the participation of rural residents 3.2 Research methods 3.2.1 Approach and analytical framework a Approach: The thesis has used the following main weighing method: - Access to policies and institutions: Through the study of guidelines and policies related to the participation of rural residents in new rural construction - Participatory approach: Participatory research, exchange, and surveys of households and management staff to collect and assess the participation of rural residents in rural construction - Territorial approach: Studying the participation of rural residents in the construction of new rural areas in different territories of the Red River Delta, focusing on communes that have built new rural areas for comparison of the similarities and differences in the participation of rural residents in the construction of new rural areas between territories b Analytical framework Inherited the scale of the participation of previous studies, the author is expected to interview questions, conduct an interview directly with the organizational experts, implement the new Rural Building Program (Chairman, vice-Chairman of the commune's committee) and the households according to the questions on the questionnaire have been designed for information including: 11 12 Participation of rural residents - Receive and share information - Discuss, discuss and make decisions - Resource contributions - In supervisory activities - Implement planning criteria - Implementing the criteria of socio-economic infrastructure - Implementing economic criteria and organizing production - Implementing the criteria of landscape, environment, and safety in production Results of new rural construction: - Family economy, income after the new rural construction process - Rural infrastructure after the new rural construction process - Lifestyle and landscape of rural environment after new rural construction (Long et al., 2009) - Rural residents’ satisfaction level of results achieved in new rural construction 3.2.2 Information collection and processing methodology - Data: Research data is collected from two sources: secondary data sources are collected from reports, research results, officially published data of specialized agencies/units; Primary data sources were collected by the author through interviews and surveys within the scope of the thesis Collecting secondary Data: The figures are gathered from published materials such as Documents of the new Rural Coordination Office, Ministry of Agriculture and Rural Development, Ministry of Natural Resources and Environment, year of statistics, collected through works that have been published on the internet, etc Deep interview: The author selects the Non-probability sampling (as a judgment) to identify the subject to participate in the study But the predefined sample selection criteria and strict adherence to the standards should mistake can be minimized In this study, the provinces of Thai Binh, Nam Dinh, Ha Nam, Hung yen, Hai Duong have conditions to develop similar rural areas, so the authors choose Thai Binh as Representative; Ninh Binh and Vinh Phuc have a similar, more complex terrain, which is harder to develop in rural infrastructure, so the author selects Ninh Binh as Representative; Hanoi and Bac Ninh have relatively flat terrain, so the author selects Hanoi as representative; Quang Ninh and Hai Phong have conditions for developing rural areas similar to the author of Quang Ninh province as a representative to get more survey vouchers in Quang Ninh for quantitative research In qualitative research, the author directly contacts and interview 10 Chairman, vice-Chairman of the commune's committee in provinces and cities (Thai Binh, Ninh Binh, Hanoi) is the management and organization officer, implementing a new rural building program in the commune to understand about the participation of rural residents and 20 households in different communes has reached new rural in provinces, cities (Thai Binh, Ninh Binh, Hanoi) (interviews that take place from January 01/2017 to January 06/2018) Each interview takes from 30-45 minutes Through the interviewing process, the author brings new ideas and findings from previous interviews into the next interview Finally, discovery ideas are used by the author for data analysis The author stopped the interviewing activities when there were no new ideas about the participation of rural residents in building new rural areas Thus, with the analyzes obtained from the review of previous studies combined with qualitative research practice, the author has generalized the descriptive variables of rural population participation and the results description variables New rural construction is as follows: Table 3.3: Descriptive variables of rural residents' participation in new rural construction Based on Variables Symbol Interpretation select variables Rural residents receive information Through attending the meeting; leaflets; media; commune and village officials TN Proactively explore and listen to explanations about new rural construction Proactively receive full information about Hourdequin, 2012; Qualitative research 13 Variables Symbol Rural residents contribute their opinions YK Rural residents contribute to resources VC Rural residents participate in monitoring GS Rural residents participate in improving livelihoods SK Rural residents participate in activities to create landscapes and environmental sanitation MT 14 Based on select variables Interpretation new rural construction Contribute comments on rural planning schemes Opinions on rural infrastructure development, etc Comments on product development plans, etc Discuss, discuss contribution level Voting on contents of new rural construction of the commune Contribute the land Donate money Contribute labor days Other Forms Exercise right to direct supervision in the process of new rural construction Join local organizations to exercise supervision Exercise right to supervise through the delegates of the People's Council Participate in agricultural, forestry, and fishery extension classes Join the consolidation and exchange of plots to develop production Improve sustainable production (conversion of suitable crops and livestock) Application of science and technology in production Linking and actively consuming agricultural products Use clean water Implement safety in production and processing of agricultural products; food safety, etc Use sanitary toilets, create landscapes Finsterbusch 1987; Day, 1997; Qualitative research Finsterbusch 1987; Qualitative research Conrad 2011; Danielsen 2009; Qualitative research Ellis 2000; Cramb 2004; Aref 2011; Saidu 2014; Mak 2017; Qualitative research Gomez, 2002; Aylett, 2010; Qualitative research Garbage collection and general hygiene Table 3.4: Descriptive variables on new rural construction outcomes Variables Results of new rural construction Symbol KQ Interpretation Based on select variables The family economy has had many Bachmann 2007; Long changes and increased incomes et al., 2009; Laah The rural infrastructure is fully 2013; Nkwake 2013; Looney, 2015; developed and more convenient The village is cleaner, more civilized Chen, 2016; Qualitative research Rural residents are satisfied with the results achieved in new rural construction Survey: Based on the list of households and the suggestion of the commune leaders, the author chose the owner over 18 years old, understand Vietnamese, and could take time to answer the questionnaire Authors choose to combine both forms of direct and indirect voting: Direct investigation forms, appointment time for the answer slip Indirect form, send the inquiry by mail to the homestay (accompanied by funding to send the courier back) With the way to set up the questionnaire to AutoFill, the information obtained is quite adequate and the response rate is high, meet the requirements of obtaining 384 of the expected investigation slip From the documents and data collected, the thesis uses SPSS software (software supporting primary data processing and analysis) to process data for analysis Sampling in quantitative research: After the interview process in qualitative research to study the participation of rural residents in the construction of new rural areas in the Red River Delta and reaffirmed the scale reviewed from the previous study The author continues to apply the modeling formula of Hair et al 1998 to achieve 95% accuracy as N = Z2(pq)/e2 = 1,962(0,5*0,5)/0.052 = 384 observations, Inside: N: Sample size Z: Standard deviation with an acceptable level of confidence (95%) p: The estimated value of changes in the overall (50%) q: 100 - p e: The wrong number allowed (5%) The author applied a sample of 384 households to ensure it could be interpreted as an indicator of the overall index with a 95% confidence level There are two groups of sampling methods, probability, and non-probability Methods of probability sampling include simple, systematic random selection, class selection, cluster selection Non-probability sampling methods include convenient sample selection, sample selection according to subjective evaluation, sample introduction However, due to limited time and resources, 15 the author uses a convenient sampling method, which means selecting objects that are accessible in representative communes in four provinces (Thai Binh, Ninh Binh, Ha Noi, Quang Ninh) in the Red River Delta, different from the above-interviewed communes for the purpose of obtaining a wide range of respondents and other respondents survey questionnaire 3.2.3 Methods of information analysis a Qualitative analysis method Data collected from the interviews are coded into topics, the concepts are repeated many times until saturation to discover and supplement observation variables following theoretical models and practical conditions Based on a reference to the scale of people's participation in previous studies combined with the use of qualitative research methods in-depth interviews on the status of participation of rural residents in new rural construction In the Red River Delta, the thesis offers some additional assessments on the scale of rural residents' participation in new rural construction b Quantitative analysis method - Descriptive statistics - Comparative statistics - Test the quality of the scale The survey model has independent groups of factors measuring the participation of rural residents with 24 observed variables, and 01 dependent factors measuring the results of new rural construction with observed variables Cronbach's Alpha method is used to evaluate the reliability of the scale, the results of running Cronbach's Alpha have scales that ensure good quality with 28 characteristic variables (Appendix 1), in which: Cronbach's Alpha value of the representative variables are greater than 0.6 and less than 0.95 so the questions of the scale not have duplication in measurement, proving that these scales are of good quality - Analysis of discovery factors Through Cronbach’s Alpha test analysis, the model has quality assurance scales with 28 characteristic variables summarized in Table 3.5: 16 Table 3.5: Typical variables and good quality scales Order Scale Featured variable Cronbach’s Alpha of the scale TN YK VC GS SK MT KQ TN1, TN2, TN3 YK1, YK2, YK3, YK4, YK5 VC1, VC2, VC3, VC4 GS1, GS2, GS3 SK1, SK2, SK3, SK4, SK5 MT1, MT2, MT3, MT4 KQ1, KQ2, KQ3, KQ4 0.748 0.767 0.642 0.670 0.602 0.655 0.777 Source: author calculations on SPSS Based on the results of testing this scale, the author continues to use SPSS performing the Exploratory Factor Analysis (EFA) analysis Cronbach's Alpha test Results No variables were eliminated, the model also had quality scales with 24 characteristic variables included in the EFA test to measure elements The author evaluators The suitability of the model with the actual data through the KMO test In the first EFA run, the extracted variance value was 70.5% and factors had Eigenvalue ≥ 1, KMO = 0.668, Sig = 0.000