INTEGRATED NATURAL RESOURCES MANAGEMENT
OF COASTAL FISHERIES
- The Case of Nha Phu Lagoon, Vietnam -

Dissertation

zur Erlangung des akademischen Grades
doctor rerum agriculturarum
(Dr. rer. agr.)

eingereicht an der
Landwirtschaftlich-Gärtnerischen Fakultät
der Humboldt-Universität zu Berlin

von
M.Sc., Dipl.-Ing. agr. (FH) Harry Vincent Strehlow
geboren am 21.01.1975 in Jugenheim an der Bergstraße

Präsident der Humboldt-Universität zu Berlin
Prof. Dr. Christoph Markschies

Dekan: Dekan der Landwirtschaftlich-Gärtnerischen Fakultät
Prof. Dr. Hc. Otto Kaufmann

Gutachter:
1. Prof. Dr. Kurt Johannes Peters
2. Prof. Dr. Uwe Jens Nagel
3. Prof. Dr. Carsten Schulz

Tag der mündlichen Prüfung: 14. Juli 2006

Abstract

The selected study site, Nha Phu Lagoon is characterized by massive degradation of coastal fishery resources. As a result rural livelihoods in coastal communities are threatened. Since household decisions concerning resource use are influenced by several factors, a multi-sectoral approach is necessary. A multi-sectoral approach enables to comprehend the complexity and diversity of the resource system and its users.

Integrated natural resources management (INRM) is one multi-sectoral research approach that aims to develop innovative and flexible management forms to manage natural resources in a more sustainable way. The applied INRM-approach is characterized through strong interdisciplinarity and participation. Interdisciplinary means that socioeconomic and institutional aspects, e.g. resource-user groups and existing legal arrangements, are combined with biological as well as production system aspects, e.g. mangrove reforestation as well as aquaculture or gear-fishing techniques. For a period of six months participatory action research following an integrated natural resource management approach was carried out visiting 12 fishing villages around Nha Phu Lagoon. The inherent ‘learning cycle’ in participatory action research generates knowledge in a process of reflecting on the collected data that is continuously fed back to the participants. During questionnaires, semi-structured interviews, group discussions, observations, resource mappings, and Venn diagrams reasons for the degradation of fishery resources were gathered, e.g. trawling, population increase and pollution from shrimp ponds. This information was then shared with participants, which led to new insights as well as alternative resource management strategies.

The integration of biological and socioeconomic aspects identified the complexity of the coastal fishery resource system Nha Phu Lagoon and its users. This includes a multitude of different resources, actors, levels, institutions, decision-making structures, livelihood strategies, trends, and associated problems in the sustainable management of the natural resources. Illegal trawl-fishermen for example were said to be extremely poor and therefore needed to be treated with great tolerance despite their negative impacts on coastal fishery resources. But during follow-up visits it was discovered that illegal fishermen often belonged to middle-class households around Nha Phu Lagoon and that lax enforcement rather encouraged illegal fishing and punished those fishermen using traditional fishing methods. The participatory approach induced awareness-building and strengthened local decision-making structures. Exemplary for this process stakeholders of the fishery sector in Nha Phu Lagoon envisioned new management forms and ideas as well as guidelines and recommendations for the reorganization of institutions and organizations within the fishery sector. Meetings and gatherings in the course of applied integrated natural resources management prove to be effective forums for resource user groups to organize themselves and engage in decision-making. Considering socioeconomic, political and biological elements in a coastal fishery resource system through integrated natural resources management is a possibility to manage resources more effectively and with greater participation of the associated communities.

Zusammenfassung

Das Untersuchungsgebiet, die Nha Phu Lagune, weist eine massive Degradation der fischereilichen Ressourcen auf. Die „Rural Livelihoods“ in den Gemeinden dieser Küstenregionen sind durch diese Degradation gefährdet. Da, die Ressourcennutzungsentscheidungen einzelner Haushalte von vielen Faktoren abhängen, bedarf es eines multi-sektoralen Forschungsansatzes. Dieser ermöglicht, die Komplexität und die Diversität des Ressourcennutzungssystems und seine Nutzer, zu erfassen.

Das Integrated Natural Resources Management (INRM) ist ein multi-sektoraler Forschungsansatz, der innovative und flexible Managementformen zu entwickeln versucht, um natürliche Ressourcen nachhaltig zu nutzen. Interdisziplinarität und die Betonung von Partizipation sind zentrale Kennzeichen des angewandten INRM-Forschungsansatzes. Diese interdisziplinäre Vorgehensweise berücksichtigt sowohl sozio-ökonomische und institutionelle Einflussfaktoren, z.B. Ressourcennutzer-Gruppen und bestehende Regulierungen und Gesetze, als auch biologische und produktionstechnische Einflussfaktoren, z.B. Aquakultur und Fischfangtechniken. Während eines sechs monatigen Untersuchungszeitraums unter Anwendung Partizipativer Aktionsforschung und des INRM-Ansatzes wurden 12 Dörfer im Umkreis der Nha Phu Lagune besucht. Der innerhalb der Partizipativen Aktionsforschung angesiedelte Lernzyklus generiert Wissen durch die Reflektion von gesammelten Daten, die kontinuierlich an die Beteiligten zurückgeführt werden. Die Erhebung mittels Fragebögen, halbstrukturierter Interviews, Gruppendiskussionen, Observierung, „Resource Mapping“ und Venn Diagrammen identifizierte Ursachen für die Degradation fischereilicher Ressourcen, z.B. Schleppnetzfischerei, Bevölkerungswachstum und Verschmutzungen durch Schrimpteiche. Diese Informationen wurden dann an die Beteiligten weitergereicht, was zu neuen Erkenntnissen über alternative Ressourcenmanagementstrategien führte.

Die Integration biologischer und sozio-ökonomischer Aspekte erfasste die Komplexität des Ressourcensystems Nha Phu Lagune und seiner Nutzer. Dies beinhaltet eine Vielzahl von verschiedenen Ressourcen, Akteuren, Ebenen, Institutionen, Entscheidungsstrukturen, Livelihood Strategien, Trends und assoziierte Probleme des nachhaltigen Managements natürlicher Ressourcen. Zum Beispiel wurden illegale Schleppnetzfischer – trotz ihres negativen Einflusses auf die fischereilichen Ressourcen – als sehr arm angesehen und deshalb mit größter Toleranz behandelt. Bei weiteren Versammlungen wurde jedoch aufgedeckt, dass illegale Schleppnetzfischer häufig aus weniger armen Haushalten stammten und dass die mangelnde Umsetzung bestehender Gesetze illegale Fangmethoden fördert und Fischer mit traditionellen Fangmethoden benachteiligt. Der partizipative Ansatz induzierte Bewusstseinsbildung und stärkte lokale Entscheidungsstrukturen. Beispielhaft hierfür sind Vorschläge der Interessensgruppen zu neuen Managementformen und Ideen sowie Richtlinien und Vorschläge zur Umstrukturierung von Institutionen und Organisationen des Fischereisektors zu nennen. Versammlungen und Treffen im Rahmen des angewandten Integrated Natural Resources Management erwiesen sich als effektive Foren für Ressourcennutzer-Gruppen zur Selbstorganisation und Teilnahme an Entscheidungen. Die Berücksichtigung sozioökonomischer, politischer und biologischer Elemente eines Küstenfischerei Ressourcensystems durch Integrated Natural Resources Management ist eine Möglichkeit, Ressourcen effektiver und mit größerer Beteiligung der zugehörigen Gemeinden zu bewirtschaften.

Table of contents

• 1 General Introduction and Overview
  • 1.1  Natural Resources and the Need for Management
  • 1.2 Scope of the Study
  • 1.3 Thesis Structure
• 2 New Paradigms in Research for Development: Towards Integrated Natural Resources Management
  • 2.1  Addressing Poverty and Environmental Sustainability
    • 2.1.1  Introduction
    • 2.1.2 The Transfer of Technology Model
    • 2.1.3 Farmer First
    • 2.1.4 Participatory Learning and Action Research
  • 2.2 Shortcomings of Conventional Research Approaches
    • 2.2.1  Linear Research and One-way Thinking
    • 2.2.2 Rhetoric Research Development
    • 2.2.3 Neglecting the Diversity of Agro-ecosystems and its Socioeconomic Environment
    • 2.2.4 Limitations of Objective Research: Staying ‘Outside’
  • 2.3 Evolution of Integrated Natural Resources Management Research
    • 2.3.1  An Introduction to Integrated Natural Resources Management
    • 2.3.2 The Constructivist Paradigm: Multiple Realities
    • 2.3.3 Increasing Capacity for Adaptive Management
    • 2.3.4 Addressing People through Participatory Action Research
    • 2.3.5 Understanding Complexity: Becoming Focused System Thinkers
  • 2.4 Definitions of Terms and Concepts in Integrated Natural Resources Management
    • 2.4.1  Natural Resources
    • 2.4.2 Natural Resources Management
    • 2.4.3 Integration of Diverse Elements
    • 2.4.4 The Sustainable Livelihoods Concept
    • 2.4.5 Participatory Action Research
    • 2.4.6 Interdisciplinarity: Blending “Hard” and “Soft” Science
    • 2.4.7 Concepts of Vertical and Horizontal Scaling
    • 2.4.8 A Conceptual Research Framework
• 3 Methods of Integrated Natural Resources Management
  • 3.1  Research Design: From Concept to Practice
    • 3.1.1  Model of the Research Process
    • 3.1.2 An Operational Framework Emerging
    • 3.1.3 Choice of Methods
    • 3.1.4 Data Collection and Quality
    • 3.1.5 Qualitative and Quantitative Data Analysis
• 4 Global Fisheries
  • 4.1  Overview
  • 4.2 Status of Fishery Resources and Overfishing
  • 4.3 Managing Fishery Resources
• 5 A Case Study: Integrated Natural Resources Management of Coastal Fisheries
  • 5.1  Introduction
    • 5.1.1  Vietnam Country Profile
    • 5.1.2 Natural Environment of Nha Phu Lagoon
  • 5.2 ‘From Communism to Capitalism’
    • 5.2.1  Political and Economic Change
    • 5.2.2 Values and Belief Systems
  • 5.3 Vietnam’s Fishery Sector Overview
    • 5.3.1  Fishery’s Catch and Trends
    • 5.3.2 Policies and Guidelines
    • 5.3.3 Institutional Structure: Existing Laws and Regulations
    • 5.3.4 Organizations and Structures
    • 5.3.5 Management of Fishery Resources
  • 5.4 Natural Resources of Nha Phu Lagoon: Management, Trends, and Users
    • 5.4.1  Agro-ecosystems and Socioeconomics
    • 5.4.2 Coastal Livelihoods: Utilization of Natural Resources
    • 5.4.3 Organization of the Fishery Sector: Processing and Marketing
    • 5.4.4 Financial Institutions Providing Credit to the Fishery Sector
    • 5.4.5 Decision-making Structures and Processes: Actors and Goals
    • 5.4.6 Trends and Consequences: Sociological, Ecological, and Economical
  • 5.5 Problems of Maintaining Coastal Livelihoods
    • 5.5.1  Illegal Fishing
    • 5.5.2 Shrimp farming: ‘Riding the Tiger’
    • 5.5.3 Lobster cage culture
    • 5.5.4 Devolution of Natural Resources Management: Community Action to Protect Fishery Resources
• 6 Managing Complexity Through Integrated Natural Resources Management
  • 6.1  Critical Assessment of Integrated Natural Resources Management
    • 6.1.1  The Context in Goal-Oriented Research
    • 6.1.2 Impacts of Applied Research Methods in Integrated Natural Resources Management
    • 6.1.3 Specific Lessons Learned
  • 6.2 Limitations of Fishery Management: Discussion and Further Implications
  • 6.3 Discussion of the Case Study
    • 6.3.1  Analyzing the Fishery Sector
    • 6.3.2 Lessons from Nha Phu Lagoon
    • 6.3.3 Livelihood Strategies and their Externalities
  • 6.4 ‘People Planning their Future’
    • 6.4.1  Developing New Management Forms and Ideas
    • 6.4.2 Guidelines and Recommendations for the Reorganization of Institutions and Organizations
  • 6.5 Organizational Implications
• 7 Summary of Conclusions
• Acknowledgements
• Glossary
• References
• Annex
  • Institutions and Organizations
    • A-5.3.2 Institutional Structure: Existing Laws and Regulations
    • A-5.3.3 Organizations and Structures
  • Pictures
  • Data Sources
    • Questionnaire
    • Resource Maps
    • Quotation ID’s

Tables

• Table 1. Research paradigms compared.
• Table 2. Contextual variables and their attributes, field data collection techniques and the required researchers.
• Table 3. Distribution of respondents.
• Table 4. Fish stock and total allowable catch in Vietnam’s marine waters.
• Table 5. Number of fishing boats by engine capacity groups.
• Table 6. Type of fishing gear and minimum mesh size.
• Table 7. Major characteristics of studied villages.
• Table 8. List of fish and invertebrate species exploited in Nha Phu Lagoon.
• Table 9. Fishing gear used in near and offshore conditions, seasonality, type of fish caught, and spatial distribution in Nha Phu Lagoon.
• Table 10. Selection of fishery products and their consumer prices.
• Table 11. Stakeholders and their relative influence (ranking 1 to 10) on the local coastal fishery sector determined by participants from three villages.
• Table 12. Reasons of declining catches, identified by fishermen  and ranked according to their relative importance.
• Table 13. Livelihood strategies violating government decrees/directives and their associated negative effects on the coastal environment and its inhabitants.

Images

• Figure 1. The Transfer of Technology model.
• Figure 2. A simple action research spiral.
• Figure 3. Innovation as a social process where the influence of research on the users is highly complex and unpredictable.
• Figure 4. Integrated management deals with interacting nested systems. Subsystems contribute to viability and performance of component systems, which again contribute to the total system.
• Figure 5. Framework for adaptive management.
• Figure 6. Integration of diverse elements.
• Figure 7. The sustainable livelihoods framework.
• Figure 8. The cyclical process of action research
• Figure 9. Action research cycles.
• Figure 10. Changes in key characteristics of evolving approaches to involve people in natural resource management research and development.
• Figure 11. Research programs integrating (Program B) or excluding (Program A) participatory components to complement ‘hard’ technical components.
• Figure 12. Concepts of vertical and horizontal scaling.
• Figure 13. Reconciling top-down and bottom-up approaches.
• Figure 14. Operationalising integrated natural resources management.
• Figure 15. Components of integrated natural resources management.
• Figure 16. Implementation of the integrated natural resources management learning cycle.
• Figure 17. Schematic representation of an expanded framework for fisheries management.
• Figure 18. Operational research framework with sequence of process steps.
• Figure 19. Sample output of a Venn diagram.
• Figure 20. Integrating qualitative and quantitative analysis in the model of triangulation.
• Figure 21. Model of inductive category development.
• Figure 22. Qualitative analysis software (Atlas.ti^®) showing a group discussion write-up with coding stripes to the right of the screen, the code manager, a highlighted quotation, and two memos (ME).
• Figure 23. World capture fisheries production.
• Figure 24. Global fleet above 100 gross tonnage recorded in Lloyd’s Maritime Information Services database.
• Figure 25. Major marine fish stocks in various phases of fishery development.
• Figure 26. Level of exploitation of world’s main fish stocks.
• Figure 27. Fishing down marine food webs.
• Figure 28. The Schaefer model of the Philippine demersal fisheries.
• Figure 29. Map of Vietnam with indicated study area.
• Figure 30. Satellite image of study location Nha Phu Lagoon with bordering villages and indicated line of demarcation between the two capes (mui).
• Figure 31. Laborers in the fishery sector from 1990 until 2000.
• Figure 32. Total fishery’s production from 1990 until 2002 and latest figures from marine fishing.
• Figure 33. Total export value of Vietnam’s fishery sector from 1990 to 2002.
• Figure 34. Administrative levels in Vietnam (English/Vietnamese).
• Figure 35. Organization of the fishery sector jurisdiction and administrative levels with particular emphasis on the management of coastal fisheries resources.
• Figure 36. Organizations and structures in the fishery sector of Vietnam.
• Figure 37. Small-scale animal husbandry of pigs in Ha Lien.
• Figure 38. Various gear types and fishing techniques and the percentage of their use in Nha Phu Lagoon.
• Figure 39. Dragnet for nearshore fishing.
• Figure 40. Electric fisherman in Nha Phu Lagoon.
• Figure 41. Shallow stake trap with measurements according to the deep-water trap used in Nha Phu Lagoon.
• Figure 42. Traditional fish coral with fixed lift net at the end.
• Figure 43. Distribution of aquaculture activities in Nha Phu Lagoon and their frequency.
• Figure 44. View towards Nha Phu Lagoon with shrimp ponds in the foreground, Ninh Ich Municipality.
• Figure 45. Lobster cage.
• Figure 46. Resource map of Nha Phu Lagoon with indicated areas of fishing, aquaculture, resource distribution, and critical locations.
• Figure 47. Main marketing channels for fishery products.
• Figure 48. Organizational structures in the fishery sector of Nha Phu Lagoon.
• Figure 49. Venn diagram of Tan Dao Village representing stakeholder groups, their influence on the local coastal fishery and relationships between them.
• Figure 50. Venn diagram of Ha Lien Village representing stakeholder groups, their influence on the local coastal fishery and relationships between them.
• Figure 51. Venn diagram of Van Dang Village representing stakeholder groups, their influence on the local coastal fishery and relationships between them.
• Figure 52. Reasons for the failure of shrimp culture and impacts on the coastal environment.
• Figure 53. Lower middle-class house in Le Cam.
• Figure 54. Poultry production.
• Figure 55. Small, unmotorized fishing boats.
• Figure 56. Preparing crab traps with chopped eel.
• Figure 57. Boats prepared for lift net fishing with light.
• Figure 58. Wooden structures to catch lobster fry with drilled coral blocks.
• Figure 59. Big trawling boat for offshore fishing.
• Figure 60. Typicall dragnet landing with trash fish.
• Figure 61. Small-scale animal husbandry with cows.
• Figure 62. Informal market at Bon Bridge, Nha Trang.
• Figure 63. Informal market under poor hygienic conditions at Kai Bridge, Nha Trang.
• Figure 64. Trash fish landing.