Sharing Capacity through Collaboration and Trust: A Case Study of Collaborative Governance for Reforestation in Rural Shanxi, China Item Type text; Electronic Dissertation Authors Liu, Yurong Citation Liu, Yurong. (2021). Sharing Capacity through Collaboration and Trust: A Case Study of Collaborative Governance for Reforestation in Rural Shanxi, China (Doctoral dissertation, University of Arizona, Tucson, USA). Publisher The University of Arizona. Rights Copyright © is held by the author. Digital access to this material is made possible by the University Libraries, University of Arizona. Further transmission, reproduction, presentation (such as public display or performance) of protected items is prohibited except with permission of the author. Download date 27/09/2021 21:40:54 Item License http://rightsstatements.org/vocab/InC/1.0/ Link to Item http://hdl.handle.net/10150/660141 SHARING CAPACITY THROUGH COLLABORATION AND TRUST: A CASE STUDY OF COLLABORATIVE GOVERNANCE FOR REFORESTATION IN RURAL SHANXI, CHINA. by Yu-Rong Liu __________________________ Copyright © Yu-Rong Liu 2021 A Dissertation Submitted to the Faculty of the DEPARTMENT OF ARID LANDS RESOURCE SCIENCES In Partial Fulfillment of the Requirements For the Degree of DOCTOR OF PHILOSOPHY In the Graduate College THE UNIVERSITY OF ARIZONA 2021 2 THE UNIVERSITY OF ARIZONA GRADUATE COLLEGE As members of the Dissertation Committee, we certify that we have read the dissertation prepared by Yu Rong Liu, titled “Understanding Collaborative Governance for Reforestation in North China” and recommend that it be accepted as fulfilling the dissertation requirement for the Degree of Doctor of Philosophy. 05/24/2021 _________________________________________________________________ Date: ____________ Diane Austin Kirk Emerson 05/27/2021 _________________________________________________________________ Date: ____________ Kirk Emerson Stuart E. Marsh 04/20/2021 _________________________________________________________________ Date: ____________ Stuart E. Marsh 04/20/2021 _________________________________________________________________ Date: ____________ Ben McMahan Katherine A. Snyder 04/20/2021 _________________________________________________________________ Date: ____________ Katherine A. Snyder KuoRay Mao 04/20/2021 _________________________________________________________________ Date: ____________ KuoRay Mao Final approval and acceptance of this dissertation is contingent upon the candidate’s submission of the final copies of the dissertation to the Graduate College. We hereby certify that we have read this dissertation prepared under our direction and recommend that it be accepted as fulfilling the dissertation requirement. 05/24/2021 _________________________________________________________________ Date: ____________ Diane Austin Dissertation Committee Co-Chair Arid Lands Resource Sciences, GIDP Kirk Emerson 05/27/2021 _________________________________________________________________ Date: ____________ Kirk Emerson Dissertation Committee Co-Chair Arid Lands Resource Sciences, GIDP Acknowledgements To my parents, whose interests in people and passion for the common good constantly encouraged me, whose abilities to work across the boundaries of human institutions inspired me, and whose undying support made this journey possible. I will always be indebted to my committee members for their dedication and patience in supervising my work. Professor Diane Austin, for taking on this project, mentorship, and introducing me to anthropology. Professor Kirk Emerson, whose unflagging guidance helped me believe I can achieve a research like this, and whose integrity and encouragement raised my spirits when doubts about the worth of my endeavors crept in. Professor KuoRay Mao, whose strength of character and support made my research in rural China more meaningful. Professor Katherine Snyder, whose interpretation on my findings helped improved my discussion. I am grateful for the research participants in Shanxi province for answering my incessant questions, sharing their insights, and their hospitality; for the members of the Green Action Charity Foundation who supported me and the opportunity to learn about China. Special thanks to Professor Ching-Liang Lin who always took the time to chat with me, shared her experiences to help me see the bigger picture. Thank you to Dr. Yi-Jen Hsieh for inspiring me to do a study on collaborative governance; to Professor Stevan Harrell for offering comments on my research when I was in a chaotic stage; to Dr. Brian McVeigh for the honest feedback and encourage me to ask hard questions; to Marie Blanche whose spirit helped me see the world in a different light and suggestions enhanced the quality of my research; to Dr. Marianne Pugatch for being my accountability partner; to Nadia Moraglio for being a positive force during the last two years of dissertation writing. 3 Table of Contents Lists of Figures…………………………………………………………...……………..……6 Lists of Tables …………………………………………………………………………..……7 Abstract……………………………………………………………………………….….…...8 Chapter 1 Introduction: Understanding Collaborative Governance in Rural China….……...10 1.1 Introduction……………………………………………………….………………….10 1.2 General Interest and Overarching Research Question…………….…………………11 1.3 Statement of the Problem………………………………………….…………………12 1.4 Consideration of Different Theoretical Lens…………………….…………………..14 1.5 Research Questions and Propositions…………………………….………………….15 1.6 Research Approach……………………………………………….………………….16 1.7 Organization of Dissertation…………………………………………………………18 1.8 Significance of Research…………………………………………………………….19 Chapter 2 Literature Review………………………………………………………………...22 2.1 Introduction………………………………………………………………………….22 2.2 The Context of Collaborative Governance in the US and China……………………22 2.3 A Conceptual Framework for Understanding Collaborative Governance…………..31 2.4 The Context of Environmental Governance in Rural China………………………...39 2.5 The State and Society Nexus…………………………………………………..….....42 2.6 Conclusion……………………………………………………………………..….....58 Chapter 3 Research Design and Methods……………………………………………….…...59 3.1 Introduction……………………………………………………………………….….59 3.2 Case Study Approach…………………………………………………………….…..59 3.3 Data collection and Analysis……………………………………………………..…..70 3.4 Conclusion………………………………………………………………………..…..83 Chapter 4 Rural Development Challenges………………………………………………..….84 4.1 Introduction………………………………………………………………………..…84 4.2 Rural Livelihoods in Shanxi Province, Loess Plateau…………………………….....84 4.3 The Impacts of Rural and Fiscal Reform………………………………………….....92 4.4 The Returning Farmland to Forest Program……………………….………………..105 4.5 Shilou County in Context…………………………………………………………...111 4.6 Conclusion…………………………………………………………………………..126 Chapter 5 Reforestation Implementation Context and Challenges………………………….127 5.1 Introduction………………………………………………………………………….127 5.2 Policy Implementation Contexts and Challenges……………………………………132 5.3 Forestry in Shilou County……………………………………………………………138 5.4 Conclusion…………………………………………………………………………...166 Chapter 6 The Case of Shilou Reforestation Partnership……………………………………168 4 6.1 Introduction…………………………………………………………………………..168 6.2 Case Overview……………………………………………………………………….168 6.3 The Initiation Phase: Multi-level Leaders Initiating Collaboration………………….188 6.4 Phase Two: Collaboration in the Face of Limited Deliberation……………………..206 6.5 Phase Three: Enhanced Capacity and Increased Participation……………………....219 6.6 Is Shilou Reforestation Partnership an Example of Collaborative Governance?........228 6.7 Performance………………………………………………………………………….232 6.8 What Contributed or Hindered the Collaboration’s Productivity…………………....238 6.9 Conclusion……………………………………………………………………………243 Chapter 7 General Discussion and Conclusion………………………………………………245 7.1 Introduction…………………………………………………………………………..245 7.2 Case Analysis…………………………………………………………………...……245 7.3 Re-Examine Previous Assumptions……………………………………………….....254 7.4 Implications for Theory, Research and Practice……………………………………..255 7.5 Conclusion……………………………………………………………………………259 References……………………………………………………………………………………262 5 List of Figures 2.1 The spectrum of collective actions and governance………….……………….…….…...26 2.2 Integrative Framework for Collaborative Governance. …………………...….…………34 2.3 The relation between public and private in Euro-American societies (left) and Japanese society (right). …………………….…………………………………...….48 3.1 The study site Shilou county on the topography Map of Shanxi Province……….……...62 3.2 Shanxi province administrative map…………………………………………...…...……63 4.1 Shanxi province vegetation map and Shilou county’s location………………………….85 4.2 Forest coverage change (shaded areas) on the Loess Plateau from BC 700 (top-left), AD 100 (top-right), AD 800 (bottom-left), to AD 1800……...………………88 4.3 The structure of government in China forming five level of vertical hierarchy: central, provincial, prefectural, county and township level………………………………………94 4.4 Shilou county administrative map……………………………………………………...113 4.5 Dam-land as a management and development unit……….……………………………124 4.6 Shilou county land expropriation valuation standard based on regions………….…….115 4.7 The fiscal position of Shilou county in Lulian prefecture in 2015……………….…….116 4.8 The distribution of GDP across three sectors of economy in Luliang prefecture. …..…117 4.9 Corn storage (left) and pen-raising …………………………………….………………122 4.10 Precision poverty alleviation poster…….……………….……..…………………...…..125 5.1 Flat upland area is planted with Red dates, walnuts or other economic