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Supplementary information on case study context and methods
Chilika lagoon, on the eastern coast of India, possesses a unique combination of biological and
human systems. Located in Odisha state near the Bay of Bengal, it extends over an area of
approximately 1200 square kilometres. Chilika hosts a mix of estuarine, marine and freshwater
ecosystems and is a Ramsar wetland of global conservation importance. 225 species of fish, 800
species of fauna, 710 species of plant flora and a variety of phytoplankton, algae and other forms
of life characterise the lagoon ecosystem. Some of these species are included in the IUCN Red
List of Threatened Animals. More than 400,000 caste-based fishers in approximately 150
villages comprise the active human system of the lagoon. There are seven different types of
fisher castes and sub-castes in Chilika. There exists a rigid hierarchy between the fisher and nonfisher castes, whereby the non-fishers are considered higher and fishers as lower castes, which
clearly reflects power dynamics and equity concerns inherent in fisher caste structures. See
Nayak (2011), Nayak and Berkes (2010, 2011) for a detailed analysis of the dynamics associated
with such socio-political arrangements in Chilika lagoon. These fishers have customarily worked
in Chilika’s productive ecosystem for cultural and livelihood (a mix of subsistence and
marketing for income) needs, creating and sustaining a functional human-environment system
for generations. However, there is an increased disconnect between the lagoon and its fishers due
to significant environmental changes (Nayak and Berkes 2012; Nayak 2014).
The Tam Giang lagoon, a system of three interconnected lagoons, plays a strong economic role
in central Vietnam’s Thua Thien-Hue Province. The lagoon stretches for approximately 70
kilometres along the coast of the South China Sea, covering an area of approximately 220 square
kilometres. The lagoon is estimated to directly support at least 100,000 of the 300,000 people
who live in 33 communes and villages around the lagoon (Tuyen et al. 2010). High biological
productivity within the lagoon is attributed to the rich influx of nutrients from surrounding rivers
and the intrusion of saltwater through two openings to the South China Sea. Over 900 species
have been identified in the Tam Giang lagoon (Tuan et al. 2009). Resource use in the lagoon was
historically relatively low intensity until the 1980s when aquaculture and more intensive capture
gear fishing technologies began appearing, in conjunction with local population increases. Since
the late 1980s there has been increased pressure placed on the lagoon ecosystem which has
resulted in occasional conflicts between fisher groups and eventually the introduction of new
forms of management based on collective property rights (Marschke et al. 2012).
In Chilika, the first phase of the research was undertaken during 2007 – 2009 (28 month data set)
through household surveys, household level livelihood monitoring (18 months) and a general
survey of two fisher villages. In one village, 35 percent of the 285 fisher households were
sampled for survey. A mix of purposive and stratified random sampling was used to include
households with a range of socio economic and livelihood profiles, and their exposure to socialecological change. In the second village, 100 percent sampling was done to include all the 60
fisher households. For the purpose of household livelihood monitoring, 20 households in the first
village and 10 households in the second village were purposively selected from the pool of
already surveyed households in both the villages. Attention was given to factors such as ongoing
outmigration, loan transactions, role of fishing as a livelihood source, and health issues in
selecting households for monitoring. This monthly household monitoring was conducted using a
questionnaire. Additionally, all 150 fisher villages were selected for general survey in
collaboration with the Fisher Federation and other local contact persons. Each village was given
one questionnaire to fill out in larger village meetings or in a meeting of the village committee.
Survey questionnaires were distributed through village visits and federation meetings, and the
village was asked return the survey using an attached return postal envelope.
In addition, a number of interviews and focus groups were conducted with multiple actors at
community (e.g., caste, gender, occupation, non-fishers, etc.), NGO, fisher federation and
government department levels. Even though the main focus of the study was on the fishers,
representation from non-fisher castes, fish traders, large buyers, aquaculturists, tourist
associations. Several community consultations and workshops were organised to follow up on
findings, share and interpret these findings, and explore policy implications. The second phase
started in 2011 and is currently in progress. Recently, a series of interviews were conducted in
January-March 2013 to assess new developments and record the status of social-ecological
change. A state level policy workshop with 30 fishers and other resource persons was organised
in February 2013. For more details on the methods used in Chilika case refer to Nayak (2011,
2014).
The work in the Tam Giang lagoon has involved participatory action research in collaboration
and consultation with a research team based at Hue University of Agriculture and Forestry
(HUAF) since 2006. The first phase of the research was supported by an International
Development Research Centre (IDRC) project that worked in three communes (Vinh Giang in
the south, Phu My in the central region, and Huong Phong in the north) to develop a model for
establishing Fishers Associations and allocating collective property rights for fishers. The
research component of the project was directed towards examining the implications of these new
property rights regimes for fisheries. Research activities included 12 district and communal level
workshops conducted annually (2006-2009) with a range of stakeholders concerned with
fisheries management and allocation of communal property rights for fishers (for more details
see Tuyen et al. 2010; Armitage et al. 2011; Marschke et al. 2012). A total of 51 semi-structured
interviews with key informants from district and provincial government officials took place
between 2007 and 2011. Livelihood surveys with 87 households (representing roughly 15
percent of households in the communes) in 2009 investigated fisher rights over common pool
resources in line with formal institutional arrangements or traditional practices (Marschke et al.
2012).
A second phase of research in the Tam Giang lagoon, ongoing since 2012, is based on the
doctoral work of one of the co-authors and is also carried out in collaboration with the team from
HUAF. This research focuses on the Cau Hai region of the lagoon and is using resilience
thinking and a social-ecological transformations lens to evaluate the interplay between
environmental change, shifts in livelihoods, and the new property rights arrangements. Research
has focused on two communes (Vinh Giang and Loc Binh) and one town (Phu Loc) around the
Cau Hai region of the lagoon. Nine focus groups took place in 2012 with groups of fishers in
order to assess their perceptions of social-ecological changes. The focus groups were followed
up with 15 key informant interviews with local experts familiar with the history and recent
changes in the lagoon. Another set of 73 surveys and 59 semi-structured interviews were used to
assess the levels of collaboration among all 8 communes and 15 FAs in this region of the lagoon,
district and provincial government agencies, and local researchers and NGOs who have been
involved with the rights allocation processes.