TTLA: People's participation in waste management ensures sustainable urban development

1. Full name of PhD student: Nguyen Thi Kim Nhung

2. Gender: Female

3. Date of birth: November 7, 1986 4. Place of birth: Hai Phong

5. Decision on recognition of PhD students No. 5658/QD-SDH, dated November 17, 2008 of the Director of Hanoi National University

6. Changes in the training process: Decision to change the thesis topic name No. 685a/QD-SDH, dated June 2, 2010 of the President of the University of Social Sciences and Humanities

7. Thesis topic: People's participation in waste management activities to ensure sustainable urban development (case study of Hoan Kiem and Ung Hoa districts, Hanoi).

8. Major: Sociology 9. Code: 62.31.30.01

10. Scientific advisors: Associate Professor, Dr. Vu Cao Dam, Associate Professor, Dr. Nguyen Thi Kim Hoa

11. Summary of new results of the thesis

    The first, compared with previous research works, the thesis not only describes the current situation of people classifying, collecting and treating waste, but also adds other aspects of participation, which are indirect activities, such as paying sanitation fees, checking/monitoring, propaganda, mobilizing and contributing opinions in the decision-making process. The research results have shown that different social groups have different levels of participation in the direct and indirect process of waste management in residential areas. Individuals in families with members participating in management at the government level and social organizations have a higher level of participation in propaganda than other individuals. Women and those who are currently retired have a higher level of participation.

    Monday, the participation of people in the process of developing waste management regulations and policies ranges from the lowest level of compliance with the rules set by the government group to the highest level of participation in giving opinions but the decision-making power belongs to the government group. The level of people's participation is inversely proportional to the scope of influence of each regulation, meaning that the regulations with a smaller scope of influence, such as within the residential area, the higher the level of people's participation and the limits of people's power are expanded. On the contrary, when the scope of influence of the regulation is larger, beyond the community, the level of participation of the community's population groups is lower and the limits of people's power are also narrowed.

Third, the thesis has identified factors affecting the level of people's participation. People's participation in waste management activities will be more effective when there is consensus between two groups of factors, one side is the factors of individual needs, motivations, and awareness, and the other side is the institutions, including policies and customs and habits of the community. The thesis has found that the lack of transparency in the development and implementation of regulations, along with the lack of attention to disadvantaged and vulnerable groups are factors that limit the ability of people to participate in the process of urban waste management. In addition, the community's habits in the perception of gender roles in the process of waste management, the fear and lack of initiative in meetings in residential areas, and low communication efficiency are also factors that affect people's participation.

    Wednesday, this thesis has assessed the current situation and analyzed the factors affecting people's participation in the context of Vietnam implementing sustainable development goals. The analysis in the study has shown that, although there are signs of factors towards sustainability such as: providing more job opportunities for urban residents (scrap collection profession), mobilizing people to participate in building and implementing waste management policies, or community projects mobilizing people to participate in sorting waste at source, there are still many problems that do not meet economic, social and environmental sustainability, and do not ensure effective implementation of the principles of sustainable development, including the principle ofprevent, principlegenerational equalityand principlespaid service users.

12. Practical application:

- Is a reference document that can be used for the subject of Environmental Sociology.

- The thesis proposes a number of solutions to increase people's participation in waste management activities, such as continuing to maintain waste sorting activities at the source in localities that have piloted waste sorting under the 3R project, building an official feedback channel through which people can send their comments directly to the environmental sanitation company about the environmental services they are receiving, and implementing a process of collecting people's opinions on the development of regulations and policies through referendums in residential areas.

13. Further research directions: research on the process of building and implementing environmental policies and the impact of policies on the community.

14. Published works related to the thesis

- Nguyen Thi Kim Nhung (2014), “Theory of community participation in policy making and its application to the process of environmental decision making in Vietnam”,Journal of Sociology(2), pp.71-81.

- Nguyen Thi Kim Nhung (2014), “The influence of stakeholders on the level of people's participation in waste management activities in Hanoi”,VNU Science Journal(2), pp.16-27.

- Nguyen Thi Kim Nhung (2014), “Current household waste management in Hanoi: current situation and problems”,Journal of Human Studies(5), pp.48-62.

- Nguyen Thi Kim Nhung (2012), “Social policy for vulnerable groups under the impact of climate change in Vietnam”,International Workshop “Sharing international experiences on social policy and social security”,Vietnam National University, Hanoi, pp.283-294.

INFORMATION ON DOCTORAL THESIS

1. Full name: Nguyen Thi Kim Nhung 2. Sex: Female

3. Date of birth: November 7^th, 1986 4. Place of birth: Hai Phong city

5. Admission of decision number: 5658/QD-DH, date November 17^th, 2008, issued by the President of Vietnam National University, Hanoi

6. Changes in academic process: Decision on changing the thesis title, decision number 685a/QD-SDH, date June 2^nd, 2010, issued by the Rector of the University of Social Sciences and Humanities, Hanoi

7. Official thesis title: Public participation in waste towards urban sustainable development (a case study of Hoan Kiem and Ung Hoa Disctrict, Hanoi).

8. Major: Sociology 9. Code: 62.31.30.01

10. Supervisors: Assoc.Prof. Dr Vu Cao Dam, Assoc.Prof.Dr Nguyen Thi Kim Hoa

11. Summary of the new findings of the thesis:

First, compared to the previous studies, the thesis not only describes the situation of public participation in waste separation, collection and disposal, but also adds another level of involvement, such as environmental fee payment, monitoring the activities of waste management, community advocacy and contribution in decision-making processes. The results of this investigation have shown that various social groups have different levels of participation in the process of direct and indirect waste management in residential areas. Within the community, the females, retired-people and the people whose families are involved as leaders of the local government and social organizations participate the most.

Secondly, according to the results of this research, the public participation in establishing the regulations and policies exists in a wide spectrum. At the lowest degree of participation, the public complies solely with government rules and policies, while at the highest degree members of the public actually articulate their ideas, but decisions are still made by the local government. The degree of participation of the people is inversely related to the scope of impact of each rule. Policies with a lower scope (policies at residential areas level) will receive a higher degree of public participation. In contrast, policies with a broader scope of impact that is beyond the local community, will have lower involvement of public participation. As a result, the public lacks the power to significantly impact policies that extend beyond the local community.

Thirdly, the thesis identifies factors that affect the level of participation of the public. Citizens involve themselves more efficiently in waste management activities when alignment exists between two critical groups of factors: personal factors including the people's awareness, motivation and needs, and social factors, such as institutions, policies and the habits of community. This thesis has discovered that the lack of transparency in the development and implementation of regulations, along with inadequate attention to hazardous groups, are factors limiting the potential for public participation in the management of municipal waste. Additionally, the traditional self-limiting community perceptions of gender roles in the process of waste management, timidity of local citizens, lack of initiative during meetings in neighborhoods, and ineffective communication also limit the participation of the people

Finally, the thesis describes the current situation of public participation in urban waste management and analyzes factors affecting the level of public participation from the perspective of urban sustainable development in Vietnam. The thesis results indicate that there exists the potential for sustainable development in the process of waste management, such as providing jobs for urban citizens (waste pickers), improving the quality of public neighborhood meetings to provide people greater opportunities to express their opinions, their needs and problems in their neighborhood. Furthermore, there is a multitude of projects at the community level that strengthen people's awareness and action, such as the project 3R of waste separation in 4 wards in Hanoi. The attainment of the core principles of sustainable development, including the precautionary principle, intra-generational principle and the polluter/user pays principle, are hindered by many remaining issues.

12. Practical applicability

- The thesis could be used as the reference for the Sociology of Environment.

- The thesis recommends a number of solutions to improve public participation in waste management to enhance sustainable urban development, such as continuing waste separation, establishing an official channel for people to give their feedback of waste services to waste service suppliers, and proactively collecting people's opinions on issues related to waste management in the neighborhood through questionnaires.

13. Further research direction: the process of making and implementing environmental policies and the influences of these policies on the community.

14. Thesis-related publications

- Nguyen Thi Kim Nhung (2014), “The theory of public participation in policy making and its applicability into environmental decision making in Vietnam”,Sociology(2), pp.71-81

- Nguyen Thi Kim Nhung (2014), “The influence of stakeholders on the level of public participation in waste management in Hanoi”,Journal of Social Sciences and Humanities(2), pp.16-27

- Nguyen Thi Kim Nhung (2014), “Waste management in Hanoi household at present: situation and problems”,Human Studies(5), pp.48-62

- Nguyen Thi Kim Nhung (2012), “Social policies for the vulnerable people due to climate change in Vietnam”,International conference on “Sharing international experiences on social policies and social welfare”,the University of Social Sciences and Humanities, pp.283-294.