Introduction
Background
Irrigation accounts for 44% of global crop production while utilizing only 16% of the world's cultivated land (Alexandratos & Bruinsma, 2012) Approximately 2.4 billion people depend on irrigated agriculture for their food security and livelihoods (Comprehensive Assessment of Water Management in Agriculture, 2007) Despite its vital role, irrigated agriculture consumed 70% of all water withdrawals in 2010, a figure projected to increase by 5.5% by 2050, highlighting the growing demand for water resources in agriculture (Food and Agriculture Organization).
Countries that heavily depend on irrigation are working to ensure food security while minimizing pressure on water resources The United Nations advocates for improved governance as the most effective approach to address water management challenges and promote sustainability (United Nations World Water Assessment Programme, 2006).
Over the last four decades, many countries and international development organisations have attempted to improve irrigation water governance through Irrigation Management
Participatory Irrigation Management (PIM) has emerged as the most widely adopted approach among various water management strategies, including Transfer (IMT), Public-Private Partnership (PPP), and market instruments PIM focuses on actively involving local water users in all aspects and levels of irrigation management, promoting community engagement and sustainable water use This participatory approach enhances efficiency, encourages local ownership, and supports the long-term success of irrigation systems.
Peer Institutions Management (PIM) has gained significant popularity since the 1980s, especially as developing countries sought to address challenges in maintaining large-scale irrigation systems following extensive infrastructure expansions in the 1960s and 1970s (Barker & Molle, 2004) PIM aims to reduce government financial burdens while enhancing irrigation efficiency and agricultural productivity, and it has been adopted in nearly 60 countries as a solution to poor irrigation performance Despite its widespread adoption, there is no clear consensus on its effectiveness or the conditions necessary for its success or failure, highlighting the need for further research into its impacts (Araral, 2010; Meinzen-Dick, 1997; Senanayake).
Mukherji, & Giordano, 2015) This remains a topic of much debate and contestation
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Irrigation has been crucial to Vietnam's agricultural development, contributing 17% to GDP and employing 45% of the workforce With nearly 3,500 rivers and annual rainfall of 2,000 mm, expanding irrigated areas and improving water management enabled Vietnam to shift from a rice importer to the world's second-largest rice exporter Additionally, irrigation has supported Vietnam's status as the largest black pepper producer, the second-largest coffee producer, and the third-largest aquaculture producer globally.
Over the past 60 years, irrigation has dominated government spending in the agriculture sector, representing between 50% and 70% of total agricultural expenditure during the 1990s From 2009 to 2012, this investment further increased, accounting for approximately 65% to 70% of agricultural budgets, highlighting the sector's prioritization of irrigation development to enhance agricultural productivity and water management in Vietnam.
& World Bank, 2017; Hoang, 2014) By 2018, Vietnam had 904 diversion structures each serving more than 200 hectares, 6,000 irrigation reservoirs, 13,000 large pumping stations and
With over 235,000 kilometers of extensive canal networks, these advanced irrigation systems deliver vital water resources to support agriculture across the region They facilitate the cultivation of 7.5 million hectares of paddy land, 1.6 million hectares of diverse crops, and 0.4 million hectares dedicated to aquaculture, ensuring sustainable food production and rural livelihoods (MARD, 2018; World Bank, 2019).
Many irrigation systems currently operate at only 50% to 60% of their intended capacity, limiting agricultural productivity Additionally, approximately 1,500 small and medium-sized dams and reservoirs require urgent rehabilitation to enhance water management Despite ongoing efforts, only 26% of canal length is classified by the World Bank as "fully functional," highlighting the need for infrastructure improvements to ensure efficient irrigation and water distribution.
According to the World Bank (2019), poor performance in irrigation infrastructure results from low-quality and incomplete construction, infrastructure deterioration, and inadequate management These issues are primarily due to limited government expenditure on operation and maintenance, accounting for less than 5% of the total government budget for the irrigation sector Additionally, low farmer irrigation fees and high levels of non-payment further hinder effective irrigation system management Furthermore, irrigation and drainage companies face challenges such as limited resources and capacity constraints, exacerbating infrastructure issues.
1 These rivers are of more than 10 kilometres in length
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3 accountability to Water User Groups since they are now funded by the government (Barker,
Claudia, Minh Tien, & Mark, 2004; Pham, 2013; Pham, 2004; Vietnam Academy for Water
In the 1990s, the Vietnamese government initiated widespread reforms in the irrigation sector, supported by international development agencies, to enhance efficiency and sustainability This modernization was driven by the adoption of Participatory Irrigation Management (PIM) principles, emphasizing stakeholder involvement and community participation These reforms aimed to improve water resource management, increase agricultural productivity, and promote sustainable development in Vietnam's rural sectors.
Irrigation Management Transfer (IMT) was first introduced in Vietnam through the Irrigation and Flood Protection Rehabilitation Project funded by the Asian Development Bank (ADB) in 1995, marking the country's initial adoption of participatory irrigation management concepts (Huynh & Tessier, 2020; Nguyen, 2011) In 1997, Vietnam's Ministry of Agriculture and Rural Development (MARD) organized the country's first national workshop on Participatory Irrigation Management (PIM), with support from ADB, the World Bank, and the International PIM Network, further advancing the institutionalization of IMT practices across the nation.
Since 2013, Public Infrastructure Management (PIM) and Irrigation Management Transfer (IMT) have gained prominence in policy documentation, with 49 out of 63 provinces implementing supportive policies By that year, nearly 30 provinces had formally adopted PIM/IMT practices, resulting in the establishment of 16,238 Water User Organizations (WUOs), reflecting significant institutional uptake (Benedikter & Waibel, 2013; MARD, 2013).
Currently, PIM is usually adopted in new irrigation projects, especially those funded by international development agencies (Nguyen, 2008b; Tran, 2019) The 2017 Law on Hydraulic
Articles 50–52 emphasize the significance of farmer participation in investing in and managing small-scale and on-farm irrigation infrastructure, promoting a participatory approach to water management Vietnam’s 2017 irrigation strategy, developed with World Bank support, advocates devolving authority and responsibility to farmer organizations for operating and maintaining larger irrigation network sections and covering the full costs of water services This strategy highlights the critical role of local farmer involvement in sustainable irrigation system management.
2 WUOs in Vietnam have different names such as Water User Groups, Water User Associations, Agricultural
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Research problem and justification for this thesis
PIM is designed to improve irrigation efficiency by actively involving water users in management processes However, many projects have experienced limited farmer participation, primarily focusing on contributions of labor and funds rather than engaging farmers in decision-making, such as planning irrigation schedules and designing canals Despite its potential, the effectiveness of PIM in enhancing irrigation performance depends on higher levels of farmer involvement in management decisions.
Resource, 2008; Huynh & Tessier, 2019; Le, Huynh, Dinh, Nguyen, & Thao, 2015; Nguyen,
2008b) Farmers are mainly passive spectators in design and monitoring with little opportunity to influence system design or operation (Huynh & Tessier, 2019) Water disputes between farmers continue to be a problem and WUO Management Boards do not have sufficient incentives to properly undertake their irrigation management duties (Department of Water
Resource, 2008) A survey conducted across 15 provinces suggested that, in most cases, irrigation management models established under the PIM project could not expand or would stop working after the project finished (Nguyen, 2008b) This reality raises serious concerns for policymakers on the sustainability and impacts of the current PIM approach
Numerous researchers have explored challenges related to PIM, with previous studies in Vietnam primarily examining external institutional factors that influence the formation of WUOs These studies also assess the extent of WUOs’ involvement in management processes, highlighting the importance of institutional support for effective water user organization management.
They also investigate the relationship between WUOs and the other stakeholders involved in irrigation management, from central to local level (Benedikter & Waibel, 2013; Evers &
Benedikter, 2009; Fontenelle, 2001; Nguyen, 2008a, 2009; T Pham, 2017; Pham, 2013; Tran,
Irrigation performance encompasses both the activities involved in managing the irrigation system—such as acquiring inputs and converting them into desired outcomes—and the resulting impacts on the system and the surrounding environment A comprehensive understanding of irrigation performance includes analyzing specific indicators that measure the efficiency and effectiveness of these activities For a detailed definition and key performance indicators, refer to the comprehensive section outlined in the document.
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Previous studies on Water Users Organizations (WUOs) have primarily focused on qualitative and institutional analyses, often neglecting to explore the determinants of farmer participation within their own organizations Farmer involvement is a crucial first step, enabling farmers to voice their concerns, engage with stakeholders at higher levels of irrigation governance, and promote the long-term sustainability of WUOs Examining farmer participation in day-to-day irrigation management activities is essential to understand its direct impact on the quality of irrigation services received Understanding this link can inform strategies to enhance farmer engagement and improve overall irrigation efficiency.
Moreover, the question of whether participation contributes to the improvement of irrigation performance has only been investigated in a handful of previous studies (T T T
Previous studies (Pham, 2017; Tran, Gupta, Babel, & Clemente, 2005; Tuan & Nagaki, 2004) have evaluated the impact of Participatory Irrigation Management (PIM) on irrigation performance mainly at the scheme level or by comparing performance before and after project implementation However, these studies have not directly investigated the correlation between farmer participation and irrigation outcomes Evidence from unsustainable Water User Organizations (WUOs) and low farmer participation levels reported in prior PIM projects suggest that increased farmer engagement may not be a consistent outcome of PIM initiatives Instead, observed improvements in irrigation performance may primarily result from infrastructure enhancements commonly included in PIM projects, rather than from enhanced farmer participation itself.
This thesis examines the direct relationship between farmer participation and irrigation performance, providing new insights into the true impact of a participatory approach Understanding this linkage is essential for optimizing irrigation systems and promoting sustainable agricultural practices The findings highlight the importance of involving farmers actively to enhance irrigation efficiency and overall agricultural productivity.
The Vietnamese government’s primary goal in developing irrigation systems is to boost rice production and enhance food security Previous studies have explored the linkages between participatory irrigation management (PIM), irrigation efficiency, and rice productivity However, this thesis offers a new perspective by further analyzing the relationship between PIM and rice production, contributing valuable insights to the existing body of research.
First, scope for increasing rice production by increasing cultivated area or labour input in Vietnam is limited, due to increasing conversion of farmland to non-agricultural uses
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(Alcaide Garrido et al., 2011), a steady flow of labour away from agricultural activities
(Kinghan & Newman, 2017) and increasing migration from rural to urban areas (Amare &
According to Hohfeld (2016) and Narciso (2017), it is essential to focus on maximizing output per unit of input in rice cultivation This emphasizes the importance of evaluating rice farming's technical efficiency rather than solely concentrating on total production, ensuring more sustainable and productive agricultural practices.
Irrigation is a vital service provided to farmers and plays a significant role among off-farm factors influencing rice farming efficiency With 96% of rice cultivation dependent on effective irrigation practices, ensuring proper water management is crucial for maximizing crop yields and promoting sustainable agricultural development.
Vietnam's agricultural sector relies heavily on irrigation, but the quality of irrigation management is a critical limiting factor (World Bank, 2019) Evaluating the impact of irrigation quality—specifically its sufficiency and timeliness—on rice farming's technical efficiency is essential for optimizing productivity and sustainable growth.
Moreover, Vietnam is strongly impacted by climate change (Chen, McCarl, & Chang, 2012) and farmland is fragmented with small plot size (Markussen, Tarp, Thiep, & Tuan, 2016; Van
Hung, MacAulay, & Marsh, 2007) thus creating much heterogeneity in local conditions
Plot-specific environmental factors are essential to consider when assessing technical efficiency, as analyzing the impact of irrigation quality at the plot level offers more precise insights than farm-level analysis This approach enables a better understanding of how localized environmental conditions influence irrigation effectiveness and overall productivity By focusing on plot-level factors, the analysis provides targeted recommendations to improve irrigation practices, leading to increased efficiency and sustainable agricultural outcomes Incorporating environmental considerations into efficiency assessments ensures more accurate and actionable insights for optimizing irrigation management.
Technical efficiency refers to a decision-making unit's ability to maximize output with a given set of inputs and technology, or to minimize input use while producing a specific level of output This concept highlights how effectively resources are utilized to achieve optimal production levels For a more comprehensive understanding of technical efficiency, please refer to section 5.2.1.
Irrigation quality encompasses both the sufficiency and timeliness of water delivery to farmers throughout the irrigation-rotation period Ensuring adequate and timely irrigation is essential for optimal crop growth and yield, as detailed in section 4.3.2 Maintaining high irrigation quality helps improve water use efficiency and supports sustainable agricultural practices.
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Objectives and research questions
This thesis describes the determinants of farmer participation in irrigation management and the impact of participation on irrigation quality and irrigated agricultural production in the
Nam Thach Han irrigation system in Vietnam Specifically, the analysis in this thesis is divided into three distinct objectives, each associated with one or more research questions
Objective 1: To describe and assess the factors affecting farmer participation in irrigation management
- What is the level and form of farmer participation in irrigation management?
- What factors affect farmer participation?
Objective 2: To assess the impact of collective action on irrigation quality
- Is a higher proportion of farmers participating in collective action associated with more sufficient and timely irrigation (irrigation quality)?
Objective 3: To assess the impact of irrigation quality on rice farming technical efficiency
- Is there a significant correlation between irrigation quality and technical efficiency
- Is the impact of irrigation quality on technical efficiency under-estimated when we fail to control for environmental factors?
- Does aggregate household-level data give the same estimates of TE as unaggregated plot-level data if we control for environmental factors?
The overall conceptual framework in Figure 1.1 demonstrates the connection between research objectives, emphasizing two key concepts: farmer participation and irrigation performance Irrigation performance is primarily assessed based on the quality of the irrigation system, highlighting the importance of effective stakeholder involvement Understanding the linkage between farmer participation and irrigation performance is essential for optimizing irrigation systems and achieving sustainable agricultural outcomes This framework provides valuable insights for improving irrigation practices through active farmer engagement, ultimately enhancing water use efficiency and crop productivity.
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This article examines eight key services provided to farmers and their impact on rice farming technical efficiency The conceptual framework is based on the hypothesis that three local contextual factors—characteristics of Water Users Organizations (WUOs), the condition of irrigation systems, and the attributes of farmers and their farms—significantly influence farmers' participation Understanding these factors is crucial for improving service delivery and enhancing rice production efficiency among farmers.
We hypothesize that farmer participation influences irrigation quality, which subsequently affects the technical efficiency of rice production Our study examines the link between farmer involvement and irrigation performance, taking into account local contextual factors that may impact this relationship.
Figure 1.1 Conceptual framework of the thesis
Overview of this thesis
This thesis explores the relationship between farmer participation and irrigation performance from the farmer’s perspective, emphasizing its impact on agricultural efficiency It features three analytical chapters aligned with key research objectives, alongside an introductory chapter that sets the study context The study site description and data collection methods are detailed in Chapter 2, providing essential background for understanding the research The thesis concludes with critical insights and discusses the study’s limitations, highlighting areas for future investigation to improve irrigation management and farmer engagement.
Institution Irrigation system Farmer and farming characteristics
Technical efficiency of rice farming Local context
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Chapter 7 presents three independent analytical essays, each structured around specific research questions, literature reviews, analysis methods, and results, ensuring clarity and focus Since all three chapters utilize the same survey data set, detailed information about the study site, data collection process, and sample household and agricultural cooperative (AC) statistics are provided earlier in Chapter 2 to avoid redundancy In the subsequent chapters, data sections are streamlined to present key findings without repeating the detailed methodological descriptions This organization enhances the coherence of the research while maintaining compliance with SEO best practices by clearly outlining the study structure and data usage.
Chapter 2 aims to provide an overview of the socio-economic context of the study site in general and the sample households and ACs in particular It uses summary statistics of secondary data collected from districts and agricultural cooperatives, and primary data collected from survey households Chapter 3 investigates the level and dimensions of farmer participation by using principal component analysis, then the determinants of farmer participation are analysed using OLS regression and the institutional analysis framework developed by Ostrom (1994) Chapter 4 examines the linkage between collective action at the
The study assesses the relationship between AC level and irrigation quality at the plot level using a logit model, grounded in the institutional analysis framework developed by Tang (1992) This approach helps identify how institutional factors influence irrigation practices and overall water management efficiency The analysis highlights the significance of institutional variables in determining irrigation quality, providing insights for targeted policy interventions to improve agricultural productivity By applying the logit model within this theoretical framework, the research offers a robust understanding of the factors impacting irrigation systems at the micro-level.
Chapter 5 provides a detailed analysis of rice farming technical efficiency and the impact of irrigation quality on technical efficiency using stochastic production frontier analysis with the one-step approach Chapter 6 summarises the findings, draws some policy implications, summarises the contributions made by this thesis and offers suggestions for further research
Chapter 7 details some limitations of this thesis
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Study site and data collection
Description of the study site
2.1.1 Nam Thach Han irrigation system
The Nam Thach Han irrigation system is located in Quang Tri province to the north of
Vietnam’s Central Region features the largest irrigation system in the province, established in 1978 to channel water from the Thach Han River This extensive infrastructure spans 14 communes in Trieu Phong district, 11 communes in Hai Lang district, and two wards in Quang Tri town The irrigation system includes two dams, seven reservoirs, and two spillways, playing a crucial role in local agriculture and water management.
(CPIM, 2010) There are also 66 pump stations which supply or drain irrigation water By 2017, the irrigation canal network included 16 kilometres of main canal, 69 km of first-level canals,
The irrigation infrastructure includes 278 km of second-level canals and 405 km of third-level canals While 95% of main and first-level canals have been lined to improve efficiency and reduce water loss, only 55% of second-level canals and a mere 18% of third-level canals have undergone lining Enhancing the lining coverage, especially for lower-level canals, is essential for optimizing water management and ensuring sustainable agricultural practices.
According to data provided by the Nam Thach Han Irrigation Management Enterprise
Between 2009 and 2017, the total irrigated area in NTHIME expanded from 14,074 hectares to 15,519 hectares, indicating growth in agricultural water management The average volume of water supplied per hectare was approximately 11,300 m³ during the Winter-Spring season and around 10,800 m³ in the Summer-Autumn season, ensuring adequate irrigation for crops However, 30-40% of water is lost before reaching agricultural cooperatives, a common issue in Vietnamese irrigation systems, which impacts overall water efficiency Despite these losses, the remaining water volume generally suffices for farmers to achieve good crop yields during the Winter season.
Spring season, but water shortage in some irrigation rotations is common in the Summer-
Autumn season The capacity of the Nam Thach Han (NTH) system has been gradually increased through several infrastructure upgrades and improvements in irrigation management
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Figure 2 1 Map showing the six provinces included in the CRWR project
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Between 2009 and 2017, approximately 70% of irrigated land relied on gravity irrigation systems, while the remaining 30% was irrigated using pumps Rice remained the dominant crop, accounting for 93% of the total irrigated area in 2017 Notably, the non-rice irrigated area nearly doubled during this period, increasing from 264 hectares in 2009 to 441 hectares in 2017, indicating a diversification in cropping practices.
The Irrigation and Drainage Management Company of Quang Tri Province oversees the comprehensive management of all large and medium irrigation infrastructure statewide, including the NTH irrigation system NTHIME, a dedicated sub-unit within the company, is specifically responsible for the operation, maintenance, and management of the NTH irrigation system, ensuring its optimal performance and sustainability.
NTHIME oversees the management of headworks, main canals, and first- and second-level canals that serve multiple agricultural communities, covering an irrigated area exceeding 100 hectares Additionally, NTHIME delegates the responsibility for managing secondary and tertiary canals to 114 agricultural communities (CPIM, 2010).
The Nam Thach Han irrigation system was chosen as the study site due to its location in the Central Coast region, which is renowned as the third-largest rice-producing area in the country Covering approximately 1.2 million hectares, this region plays a vital role in national rice agriculture and offers significant insights into irrigation management and rice cultivation practices Its strategic importance and extensive agricultural landscape make it an ideal location for in-depth research on irrigation systems and rice production efficiency.
Approximately 16% of Vietnam's total rice cultivation area is located in this region (GSO, 2018), which is also one of the country's poorest areas with 83% of rural households engaged in agricultural activities (Liu, Barrett, Pham, & Violette, 2020) The region has been significantly impacted by climate change and natural disasters, exacerbating the challenges faced by local farmers (Beck, 2017) Participatory approaches are essential to address these issues effectively and promote sustainable agricultural development in this vulnerable region.
Irrigation Management (PIM) was introduced and adopted in the Nam Thach Han scheme under the Central Region Water Resource (CRWR) Project funded by ADB from 2007 - 2012
In the CRWR project, six medium-sized irrigation systems in six coastal provinces
The selected subproject areas include Thanh Hoa, Quang Binh, Quang Tri, Thua Thien Hue, Quang Ngai, and Binh Dinh, with their locations prominently highlighted in yellow.
Figure 2.1 (above) with the NTH irrigation system being located in the province numbered 30
The CRWR project focused on boosting agricultural productivity and reducing poverty by adopting a user-centered service approach that actively involved farmers in irrigation water management Key activities included implementing targeted interventions to enhance water efficiency and promoting farmer participation, ultimately fostering sustainable agricultural growth and community development.
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13 the irrigation management system, and irrigation and drainage infrastructure improvements
Improvements to the irrigation management system included:
The establishment of financially sustainable irrigation management companies focused on delivering user-oriented irrigation services is crucial for enhancing agricultural productivity Additionally, strengthening participatory irrigation management by forming Water User Groups (WUGs) and Water User Associations (WUAs) based on hydraulic boundaries promotes community involvement and efficient water resource management These initiatives collectively improve irrigation effectiveness and ensure sustainable water use for farmers.
(iii) developing on-farm irrigation infrastructure, and
(iv) operationalising a project performance management system
To strengthen water user participation, three key activities were implemented: forming or enhancing Water User Groups (WUGs) and Water User Associations (WUAs) with formal charters and irrigation rules, raising stakeholders’ awareness of Participatory Irrigation Management (PIM), and improving the capacity of WUG staff in developing business plans and managing irrigation operations and maintenance.
The CRWR subproject in the Nam Thach Han irrigation system, referred to as the PIM project in this thesis, focuses on promoting farmer participation in irrigation management Out of 114 agrarian communities (ACs) within the system, 52 received PIM support to enhance in-field canal systems and encourage active farmer engagement The project involved training 387 participants, including executive board members, water deliverers, and farmer representatives, to strengthen local capacity Additionally, 223 third-level canals were partially lined, with 127 of these canals being lined by ACs involved in the project, contributing to improved irrigation efficiency and community-led infrastructure development.
6 WUAs are formed from groups of WUGs which share second-level canals
7 Members of irrigation teams who deliver water to farmer plots and operate and maintain AC irrigation infrastructure
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14 project (MARD, 2012); one new WUG and four WUAs were established and 47 pre-existing
ACs updated their charters and irrigation rules based on the WUG model (CPIM, 2012)
Following the conclusion of the PIM project, funding for Water Users Associations (WUAs) was discontinued, and water delivery coordination between Agrarian Communities (ACs) shifted to informal agreements Although the Agricultural Cooperative Law of 2012 mandated each AC to establish its own charters and rules, these did not encompass the specialized irrigation regulations previously developed under the PIM project Consequently, by 2017, when the study data was collected, WUAs had dissolved, and the irrigation rules from the PIM project were no longer in practice.
The Nam Thach Han irrigation system features a main canal that diverts water from the Nam Thach Han river headworks to six first-level canals, supporting agricultural activities in different districts Four canals (N2A, N2B, N4, and N6) primarily serve Hai Lang district, while two (N1 and N3) mainly supply water to Trieu Phong district Most Water Users Groups (WUGs) and Water Users Associations (WUAs) established under the PIM project are situated along these first-level canals or within the middle and tail sections of the main canal The study's sample Agricultural Cooperatives (ACs) are marked by eleven red dots on the map, highlighting their locations within the irrigation network.
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Figure 2 2 General layout of Nam Thach Han irrigation system
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2.1.2 Some characteristics of Hai Lang and Trieu Phong districts
Hai Lang and Trieu Phong districts are located in the south of Quang Tri province Hai
Lang covers a total area of 425 km 2 while Trieu Phong stretches over a smaller area (353 km 2 )
Research design and data collection
To achieve targeted research objectives, I designed a data collection procedure and selected a sample to capture spatial and temporal heterogeneity in farmer participation, irrigation quality, agricultural production, and institutional aspects of ACs After reviewing available data, it became evident that retrieving sufficient information from five years prior to the PIM project’s completion was not feasible Consequently, I opted for a cross-sectional approach to compare key variables at the household and plot levels, ensuring a comprehensive analysis of current conditions.
AC level, between areas included and not included under the PIM project
This study focused on developing a representative sample to evaluate farmer participation and irrigation performance Key to the research was recognizing that water accessibility and irrigation effectiveness vary along different points of the canal system The PIM project adopted a participative irrigation management approach, aiming to enhance farmer engagement, improve water use efficiency, and boost agricultural productivity Consequently, the sample design includes observations of both involved and non-involved farmers across various locations within the NTH irrigation system to ensure comprehensive and accurate findings.
Using a multi-stage stratified random sampling method, I first randomly selected ACs from various locations within the scheme, ensuring inclusion of both participating (PIM ACs) and non-participating ACs In the second stage, I further refined the sample through additional random selection to enhance representativeness and data accuracy for comprehensive analysis.
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19 selected households within each AC A more detailed explanation of these two stages is provided in the following paragraphs
In the initial phase, the study focused on Hai Lang and Trieu Phong districts, which together cover 97% of the Nam Thach Han irrigation system, selecting ACs exclusively from these areas Since most PIM ACs are situated along primary canals such as N1, N3, N4, and N6, or within the middle and tail sections of the main canal, the sample was confined to these specific canal sections A total of 11 ACs were randomly chosen, with 3 from the head, 4 from the middle, and 4 from the tail sections, of which five were part of the PIM project.
Four of the selected ACs are in Hai Lang, and 7 are in Trieu Phong district, which is in proportion with the share of irrigated area in these districts
Household surveys conducted with limited budgets often utilize a minimum sub-sample size of approximately thirty respondents, as this threshold is sufficient for the central limit theorem to apply This ensures that the distribution of sample means is approximately normal, allowing for reliable statistical analysis and accurate inference Adopting this sample size helps maximize efficiency while maintaining the validity of survey results within budget constraints.
In the second stage of sampling, 40 households per sub-sample were targeted for interviews, adjusting for wastage to ensure at least 35 households per AC Households were selected systematically by choosing every fifth household from the AC register; however, some households declined participation and some data were excluded due to reliability concerns Consequently, the final number of eligible households per AC ranged from 30 to 40, ensuring a robust and representative sample for the study.
Ideally, sampling would have been proportional to the number of Administrative Cells (ACs) and households within each AC; however, proportional sampling was not feasible due to the skewed distribution of ACs across different system regions and the wide variation in household counts per AC Practical challenges in achieving the planned sub-sample size in some ACs further limited sampling representativeness To address these issues, sample weights were applied during analysis, ensuring accurate and unbiased results.
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Table 2.2 presents the total number of ACs, sampled ACs, and sampled households by location A total of 391 households participated in the survey, with 182 households from PIM ACs and 209 households from non-PIM ACs.
Table 2 2 Total number of ACs, sample ACs and sample households
Two questionnaires were developed to gather comprehensive data: a structured household questionnaire and a semi-structured questionnaire for collecting information from sample ACs Additionally, a list of secondary data sources was created, encompassing information from ACs and NTHIME The key components of these questionnaires and the secondary data collection plan are detailed in Table 2.3.
Table 2 3 Data collected from different stakeholders
(AC questionnaire and secondary data)
Input and output of rice production & plot characteristics
AC staff (number, experience and education)
Irrigation map of the NTH irrigation system
The household questionnaire is organized into five sections, beginning with household member characteristics, housing details, and land ownership The second section gathers comprehensive data on rice production, including rice plot characteristics, production inputs and outputs, contact with extension services, and irrigation quality.
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The 21st section focuses on farmers' involvement in irrigation management, highlighting their roles and perceptions The fourth section investigates farmers' perceptions of Agricultural Cooperatives (ACs), providing insights into their attitudes and experiences The final section examines the sources of household income, offering a comprehensive understanding of economic stability Additionally, the questionnaire used for data collection is included in Appendix 1 to facilitate transparency and reproducibility of the study.
The AC questionnaire was utilized to gather comprehensive information about ACs and their staff, including staff qualifications, irrigation practices, and rule compliance, as outlined in Table 2.3 It also collected data on the institutions facilitating farmer participation, mechanisms for ensuring farmer engagement, and accountability Additionally, the questionnaire served to cross-verify information obtained from households, ensuring data accuracy and reliability for effective agricultural management and community engagement.
AC questionnaire is included in Appendix 2
Secondary data on AC parameters such as area, population, number of members, irrigated areas, irrigation infrastructure, and associated expenditure and revenue were collected from sampled ACs Additionally, data on irrigated areas, irrigation infrastructure, and maps of NTH irrigation systems were obtained from NTHIME This secondary data from NTHIME was utilized to supplement and verify the information gathered from ACs, ensuring data accuracy and consistency for comprehensive analysis.
Draft questionnaires and the proposed sample selection procedure were reviewed by representatives from the Agricultural & Rural Development Department in Hai Lang and Trieu Phong districts, as well as the Director of the Nam Thach Han Irrigation & Drainage authority, ensuring thorough assessment and validation for effective data collection.
Enterprise They provided useful field-level insights into rice diseases, infestations and sufficiency of irrigation which enabled the questionnaire to be improved
Eleven enumerators experienced in rice production and with a good knowledge of local communities were recruited and trained in data collection using the household questionnaire
To ensure the suitability of the household questionnaire, I conducted a pilot survey by selecting three ACs positioned in the head, middle, and tail sections This pre-testing approach helped evaluate the questionnaire’s effectiveness across different sections, ensuring comprehensive and accurate data collection.
ACs that were included in the PIM project Four households in each ACs were interviewed
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Descriptive statistics of sampled households and agricultural cooperatives
This section provides some descriptive statistics of sampled households and ACs
National data are incorporated into the analysis to facilitate comparisons between the study site and other rural regions in Vietnam, providing broader contextual insights The study also compares PIM and non-PIM households to identify key differences and similarities, enhancing understanding of their respective characteristics and impacts.
Table 2.4 presents key demographic characteristics of household members, indicating that each sample household has an average of 4.4 members This figure aligns with the average household size in Quang Tri province in 2016 (ADB, 2020), and is slightly higher than the national average rural household size of 4.2 members in 2016 (Diem & Van Hoang,).
Table 2 4 Demographic characteristics of household members
Sample PIM Non-PIM P-value
Note: P-values refer to the difference between PIM and non-PIM; *** p