Essays on Local Governance and Public Service Provision in Multiethnic China by Sara Alexis Newland
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Diversity and Distribution: Essays on Local Governance and Public Service Provision in Multiethnic China by Sara Alexis Newland A dissertation submitted in partial satisfaction of the requirements for the degree of Doctor of Philosophy in Political Science in the Graduate Division of the University of California, Berkeley Committee in charge: Professor Kevin O'Brien, Chair Associate Professor Leonardo R. Arriola Associate Professor Laura Stoker Professor Edward Miguel Summer 2015 Diversity and Distribution: Essays on Local Governance and Public Service Provision in Multiethnic China Copyright 2015 by Sara Alexis Newland 1 Abstract Diversity and Distribution: Essays on Local Governance and Public Service Provision in Multiethnic China by Sara Alexis Newland Doctor of Philosophy in Political Science University of California, Berkeley Professor Kevin O'Brien, Chair Persistent inequality and poverty in ethnic minority areas have long been thorns in the side of the Chinese Communist Party. While coastal cities have grown at a rapid pace, life in minority areas has changed little since the onset of economic liberalization. At first blush, this is hardly surprising: ethnic minorities typically live in remote, moun- tainous areas, conditions that hardly lend themselves to rapid economic growth. But what makes the stagnation of minority areas particularly puzzling is the fact that it has occurred in spite of large-scale policy interventions designed to prevent it. Out of fear of the kind of ethnic unrest that occurred in Tibet in 2008 and Xinjiang in 2009, the central government has made investment in minority areas a clear priority, tar- geting domestic and foreign aid to these areas and granting them preferential access to subsidized loans, infrastructure development projects, and teacher training and recruitment programs, among others. And yet, these areas have remained poor|and poorly served by local governments|even as once comparably poor Han areas have grown. This dissertation argues that local governance in multiethnic areas of China is plagued by a set of distinctive problems that lead to poor provision of public goods and services|a key component of the failure of these areas to develop. Social and in- stitutional elements come together to produce public goods and services that benefit only those citizens who are already relatively advantaged, give officials little incen- tive to provide high-quality public services to the population as a whole, and make citizens reluctant to use the services that officials do provide. Several factors come together to produce these outcomes. First, the formal mechanisms for monitoring, promotion, and punishment of local officials in rural China work poorly in areas that are geographically remote or contain large minority populations. Mid-level officials in these areas are poorly supervised by officials at higher levels in the geographic- administrative hierarchy of the Party-state, and have little formal incentive to provide high-quality public goods to citizens as a result. When they do provide high-quality 2 services to citizens, they only have an incentive to serve those areas that are likely to be observed by higher-level officials, which places geographically central, Han areas at an advantage. Second, informal mechanisms of accountability operating through social networks, which are often effective at constraining local officials in Han areas, break down in ethnically diverse ones. The way that China's ethnic representation policies are implemented impedes the formation of these networks in ethnically di- verse areas. Furthermore, ethnic divisions in local leadership mean that even when citizens do try to use social ties to hold their coethnics in government accountable, officials are often unable to act in accordance with the wishes of their coethnics. And third, while non-state public service providers (NGOs, GONGOs, social enterprises, etc.) are often eager to work in minority areas with the specific intent of ameliorating inequalities in public service provision by the local state, they are highly dependent on the local state for access and information. Although relationships between service providers and the state can vary, nonstate providers' dependence on the local state often means that they exacerbate rather than ameliorating existing spatial and ethnic inequalities. Local officials treat nonstate services as another resource to distribute in ways that maximize their own prospects for promotion. i To Devin and Milo For filling my pomodoro breaks with joy ii Contents Contents ii 1 Introduction 1 2 Who Represents Multiethnic China? 21 2.1 Introduction . 21 2.2 Existing Literature . 22 2.3 Descriptive and Substantive Representation on Paper . 25 2.4 Data . 29 2.5 Descriptive Representation in Practice . 30 2.6 Obstacles to Substantive Representation . 39 2.7 Conclusion . 42 3 The Political Geography of Public Service Provision in China's Minority Areas 45 3.1 Introduction . 45 3.2 Existing Literature . 47 3.3 Data and Methods . 51 3.4 The Public Services Crisis in China's Minority Areas . 53 3.5 Top-Down Supervision: Career Incentives and the Spatial Logic of Public Service Provision . 54 3.6 Bottom-Up Supervision: Spatial Social Networks Between Officials, Service Providers, and Citizens . 58 3.7 Exploring Public Service Provision, Remoteness, and Ethnic Diversity in a Broader Range of Cases . 63 3.8 Testing the Mechanism: Assessing Attention by Higher-Level Officials Using the Timing of Policy Implementation . 80 3.9 Conclusion, Extensions and Future Research . 84 4 Building the Fourth Wall: Nonstate Service Providers and the Local State in Multiethnic China 93 4.1 Introduction . 93 4.2 Disaggregating the State . 95 iii 4.3 Disaggregating Non-State Service Providers . 109 4.4 Conclusion: Moving Beyond Autonomy . 115 5 Conclusion 117 5.1 Findings . 118 5.2 Implications . 121 Bibliography 127 iv Acknowledgments Research can sometimes be a lonely endeavor, but I have been blessed with a group of advisors, friends, and colleagues who have supported and challenged me throughout graduate school and the long process of writing this dissertation. First and foremost, I am tremendously grateful for the help and advice of my dissertation committee. From advice on data collection to moral support to detailed and thought- ful comments in the weeks before the filing deadline, they have pushed me to think in new ways and helped me to refocus when my confidence in the project was flagging. I owe an enormous debt to Kevin O'Brien, who gamely accepted my changing intellectual interests during my first few years at Berkeley as few advisors would have done, and has engaged deeply with my writing for many years. I have benefitted tremendously from his generosity with his time, as well as his intellectual curiosity; countless articles that he recommended to me in 6:30 a.m. emails, many with little connection to his own research interests, have informed this dissertation. Leonardo Arriola's ethnic politics seminar introduced me to many of texts that inspired this dissertation. As a scholar and a teacher, Leo serves as a model for me of how to do comparative politics, and I am grateful for his insightful feedback and encouragement. Laura Stoker's infectious enthusiasm made me (almost) eager to trek from Oakland to an 8 a.m. statistics class during my first year of graduate school, and her research design seminar trained me to think like a political scientist. Her rigorous feedback, constant cheerleading, and seemingly boundless energy for both research and teaching have inspired me to become a better teacher and writer, and a more precise thinker. Ted Miguel's work on ethnic diversity and public goods provision is a touchstone for much of this dissertation, and I am grateful to have had the opportunity to learn from him in person as well. My work has also been enriched by the mentorship I have received from several other members of the political science department at UC{Berkeley. T.J. Pempel has been unfailingly helpful, sending me detailed written comments on my work despite seeming to be on his way to or from Asia at all times. Peter Lorentzen's courses on game theory and Chinese political economy shaped the way I think about politics, even if they didn't convince me to become a formal modeler, and I continue to learn a great deal from Peter as a coauthor. Vinod Aggarwal taught me how to wrangle undergraduate research assistants into line and have fun while doing so. It is no secret that Ron Hassner is incredibly generous with his time; both the presentation and the substance of my work are better because of Ron's feedback, as is the case for so many graduate students. I was lucky to spend my time at Berkeley surrounded by an exceptionally smart and kind group of fellow graduate students, and their support, encouragement, and insight contributed to this project and to my intellectual and personal happiness. I v am particularly grateful to Poppy Alexander, Margaret Boittin, Sara Chatfield, Emily Chua, Sarah Garding, John Givens, Reid Hamel, John Henderson, Keith Mattrick, Dan Mattingly, Theresa MacPhail, Beth Neitzel, Seung-Youn Oh, and John Yasuda. A special note of thanks is due to two of the Asian politics scholars in my cohort, Kristi Govella (for her friendship and for suggesting the title of this dissertation many years ago) and Rongbin Han. Both in Berkeley and in Beijing as we conducted re- search on our respective dissertation topics, Rongbin was a thoughtful interlocutor, and my understanding of Chinese politics has been greatly enriched by our conversa- tions over the years. My many trips in and out of Beijing were made more pleasant by frequent con- versations with Diana Bates, Sarah Burton, Han Xiaobing, Huang Yuting, Wendy Leutert, Kristen Looney, Shi Peipei, Charlene Wang, and Rachel Wasser. Kate Hart- ford provided helpful advice in the early stages of this project.