an abstract of the thesis ofrivers.bee.oregonstate.edu/sites/default/files/transfers/...an abstract...

ANABSTRACTOFTHETHESISOF

MarcoClark,forthedegreeofMastersofArtsinAppliedAnthropologypresentedonMay29,2009Title:ClimbingtheMountainWithin:UnderstandingDevelopmentImpactsandOvercomingChangeinRuralSouthwestChinaAbstractapproved:_______________________________________________________________________________________

BryanD.TiltDevelopmentinChinaoverthelastthirtyyearshasemphasizedinfrastructural

andeconomicadvancement.Despiteenormousgainsinlivingstandardsinthe

industrializedeasternprovinces,muchofChina’sinteriorandwestern

provincesremainrelativelyunderdeveloped.Populatedmostlybyethnic

minorities,thesouthwestprovinceofYunnan(meaningsouthoftheclouds)has

inrecentyearsundergonerapidandexpansivechangedrivenbythe“Opening

theWestCampaign.”However,thiscampaignisfocusedmostlyonhydroelectric

potentialandtourismastheprincipalformulaforgrowth,ratherthan

interventionthatismoredirectlyaimedatimprovingthelivelihoodsofthose

wholiveinthemostremotepartsofthisprovince.Thisstudyidentifiesthe

impactsofdevelopmentinasmallvillageinnorthwestYunnanProvincenamed

Dimaluo,asunderstoodbythelocalswhoselivesaremostaffected.Thisstudy

revealedthathillslopeerosion,governmenttransparencyindecision‐making

andinformationsharing,andadequatecompensationforlandanddisplacement

wereperceivedassignificantthreatstoindividualandcommunitywellbeing.

Utilizingqualitativedataacquiredinsummer2008,thisthesisdirectlyinforms

thecreationofmeasurableindicatorstoassessthesocio‐culturaland

economicimpactsofdamconstructionandhydropowerdevelopmentinthis

region.Moreover,itillustratesthepresenceofenvironmentalconflictbetween

indigenousgroupsandgovernmentalandprivatesectors.Theresultsofthis

researchcontributetothelargerbodyofknowledgeapplicabletodevelopment

projectsaroundtheworld,inwhichnaturalresourcesarereallocatedfrom

localizedcommunitiestoservelargereconomicandinfrastructuralneeds.

KeyWords:PoliticalEcology,Xibukaifa(OpeningtheWestCampaign),CriticalDevelopment,HydroelectricPowerStation,WaterCatchmentScheme,Yunnan,China

ClimbingtheMountainWithin:UnderstandingDevelopmentImpactsandOvercomingChangeinRural

SouthwestChina

byMarcoClark

ATHESIS

submittedto

OregonStateUniversity

Inpartialfulfilllmentoftherequirementsforthe

degreeof

Master’sofArts

PresentedMay29,2009ComencementJune2009

MasterofArtsthesisofMarcoClarkpresentedonMay29,2009APPROVED:_____________________________________________________________MajorProfessor,representingAppliedAnthropology_____________________________________________________________ChairoftheDepartmentofAnthropology_____________________________________________________________DeanoftheGraduateSchoolIunderstandthatmythesiswillbecomepartofthepermanentcollectionofOregonStateUniversitylibraries.Mysignaturebelowauthorizesreleaseofmythesistoanyreaderuponrequest._____________________________________________________________

MarcoClark,Author

ACKNOWLEDGEMENTS

PerhapsmybestmemoryofDimaluovillageiswhenIfirstapproached

theopeningofthevalley,andwalkingtowardsmeontheroadwasanolder

gentlemanwearingastrawhatandcarryingaheavyloadinawickerbasketon

hisback.Heraisedhisheadandoncehesawmeanenormoussmileopened

acrosshisface.Placinghispalmstogetherinfrontofthischest,hebowedhis

headwithawarmgreeting.Thenshakingmyhand,inalmostunintelligible

Mandarinhewelcomedmetothevillage.ThoughIhavereceivedmanywarm

greetingsinruralChina,thisonetouchedmemorethananyother.Iinstantly

feltathome,andknewthatwithsuchnaturalbeautyinpeopleandplace,

Dimaluowasidealformyproject.Theinteractionsandexperiencesthat

unfoldedovermytimeinthisvalleyconfirmedthis.Thehumilityandkindness

ofthiscommunityistrulyunparalleled,andIthankthemall.Thisthesisis

dedicatedtothem.

Ithankmyfamilyforbeingabastionofsupportthroughoutthisprocess.

YouneverletmedoubtthatIcandoanythingIputmymindto.Thankyouto

myfriendsCharlieBloedon,AimeeBrown,DustyRhodes,NateandShannon

Richardson,whooverthelasttwoyearsIhavepickedyourbrainsandreceived

patientencouragement.

Mycommittee:AaronWolf,SunilKhanna,JoeHendricks,andmyAdvisor

BryanTilt,Ihopethisthesishonorsthehardworkyouhavecontributedtothe

project.Ithastrulybeenapleasureworkingwithyou.Thankyouforplaying

suchanimportantroleinmydevelopmentasastudentandprofessional.

Finally,IwanttoexpressmygratitudetotheIDAMteam.PhillipBrown,

KellyKibler,DesireeTullos,DarrinMagee,AaronWolf,ElinaLin,andBryanTilt.

Thankyouforlettingmebeapartofsomethinggreat.

TABLEOFCONTENTS

Chapter1 Introduction…………………......... 1 StatementofProblem…………….. 5 CulturalIdentityinChina…………… 8 TheStudySite…………………………….. 15 HumanPopulationandDemographics16 Chapter2 TheoreticalFramework………… 20 PoliticalEcology………………………….. 20 CriticalDevelopmentTheory……….. 25 CaseStudies 28 China’sruralminoritiesincontext 31Chapter3 ResearchMethods……………….. 36 PhaseI………………………………………... 38 PhaseII……………………………………. 39 PhaseIII………………………………………. 40 ResearchBias………………………………. 42 Chapter4 CommunityPerceptionsof DevelopmentImpacts………………. 44 DevelopmentImprovements……… 47 NegativeEnvironmentalImpacts… 51 NegativeEconomicImpacts………… 54 Transparency………………………………. 57 Corruption………………………………….. 60 CommunityLevelConflict……………. 61 Chapter5 TowardResponsibleDecision‐ makingandDevelopmentPolicy 64

IDAMIndicators………………………….. 66 PolicyImplications………………………. 74 BroaderImplications…………………… 84

Chapter6 LookingBeyondDevelopment 87

Bibliography………………………… 90

Chapter1Introduction

“Agoodtravelerhasnofixedplans,andisnotintentonarriving.”~LaoTzu

Themodusoperandiformany,ifnotmost,developmentprojectsin

Chinaisexploitingnaturalresourcesforeconomicgrowth.Thebyproductsof

thisapproachhaveimpactsontheecologyandhuman‐biophysicalrelationships

inresourcerichareas.Theseresource‐richareasinChinatendtobeintherural

countryside,andinthecaseofsouthwestChinaarepopulatedmostlybyethnic

minorities.Whatisseldomaddressedbygovernmentdevelopmentpolicy

plannersandprivatecompaniesthatexploitnaturalresourcesarethe

experiencesandperceptionsofdevelopmentamongthoselivinginaffected

areas.Thisresearchprojectwillprovideacasestudyoflocalperceptionsof

developmentprojectsinarivervalleyinSouthwestChinathatisundergoing

threemajorinfrastructuraldevelopmentinterventions:anembankmentdam,a

smallhydroelectricpowerstation,andahighway.

Theresearchquestionsguidingthisprojectare:Howdoruralresidents

understandimpactsofgovernmentandprivatedevelopmentprojects?Howdo

thesesameruralpopulationsperceivedevelopmentimpactsontheirculture,

economicactivity,andecology?Theresultsofthisstudywilldemonstratethat

ruralcommunities,specificallythecommunityinDimaluo,areresistantto

privateandgovernmentdevelopmentprojectsandholdnegativeperceptionsof

developmentimpacts.Afterkeyinformantinterviewsitbecameapparenttome

thatmembersoftheDimaluocommunityweredistrustfuloflocalgovernment

policyregardingdevelopmentandlookedunfavorablyuponthedevelopment

projectsunderwayinthevalley.Thisisdueinparttonuancedecological

knowledgeoftheirenvironment,alackoftransparencyandinclusionin

decisionmakingandassessmentofdevelopmentimpacts,andthesenseamong

villagersthattop‐downpoliticaldecisionmakingand‘perceived’provincial

levelcorruptionserveasthedrivingforceofchangetotheirenvironmentand

threatentheirlivelihood.

Inthesummerof2008,ItraveleduptheNuRiver(knownasthe

SalaweeninSoutheastAsia)infarnorthwestYunnanProvince.Thisriverbasin

bordersBurma(Myanmar)tothewestandflowsdownfromtheTibetan

Plateautothenorth.Characterizedbyitsextremetopographicalgradient,this

regionisripeforhydroelectricdevelopment,althoughbringingthenecessary

equipmentandpersonnelthroughthesemountainsisachallengeinandof

itself.PerhapsthatiswhyafteralmostthirtyyearsofeconomicreforminChina

thisareaisstillrankedamongChina’spoorest,withlivingstandardsfallingwell

belowthenationalaverage.1Yet,thisenergyrichlandscapehasundergonean

enormoustransformationastheNuRiverValley,adjacenttotheDimaluo

tributary,nowhostsoverforty‐fivesmall‐scalehydropowerstations.The

turbinesarefedbyelaboratewatercatchmentschemesthatstartintheupper

1UnitednationsHumanDevelopmentReport(2005)

elevations,divertingwaterthroughchannelsandpenstockstothepower

stations.

SharinginternationalborderswithBurma(Myanmar),Laosand

Vietnam,Yunnanisanimportantterritoryduetointernationalwatershedsand

commercialtrafficbetweenthesecountries.HanChinese,whichcomprises

some92%ofthecountry’spopulation,haveinthelast50yearsemergedasthe

majorityethnicityinYunnanduetoimmigration(Harrel;2001).IntheThree

ParallelRiversarea,theNujiang,Lancang,andJinshariversaretheheadwaters

ofthreemajorAsianriverbasins:theSalween,MekongandYangtze

respectively.TheconvergenceoftheIndianandEurasiantectonicplates

crumpledwhatisnowknownasnorthwestYunnan,creatingsteepcanyons

withelevationchangesfromglaciatedpeaks,tolowlandtemperaterainforest

(Gupta;2005).ThegeomorphologyoftheNuRiverBasinhasallowedforthe

emergenceofseveralmicro‐biospheres.TheNatureConservancyandthe

UnitedNationsEducational,ScientificandCulturalOrganization(UNESCO)have

listedthisregionofnorthwestYunnanasoneoftheworld’stwenty‐five

biodiversity“hotspots”.2Abiodiversity“hotspot”ischaracterizedby

2Althoughtheyhavelistedtheregionasaprotectedarea,theseorganizationsareunabletoimplementorenforceanyenvironmentalpolicyinChina,sincetheyhavenoofficialregulatoryauthority.OnekeyinformantinDimaluohasworkedwithTheNatureConservancy,whileUNESCO’spresenceintheareawasfoundonlyonabillboardatthefeestationfortheNuRiverNationalParkinBingzhongluo.www.unesco.organdwww.nature.org

ConservationInternationalas“therichestandmostthreatenedreservoirsof

plantandanimallifeonearth.”3

HydropowerdevelopmentcametoDimaluoin2003,withthe

constructionofanembankmentdamadammadefromcompactingsoiland

rockthatdoesnothaveaconcretecore,thereforemakingitsusceptibletorapid

erosionandfailureduringfloodingevents.4Onahillsideabovethedam,a

powerstationhasbeenconstructedtogenerateelectricityfromwaterdiverted

throughatunnelhighuponthemountainside.Thedam,powerstation,andnew

publichighway—slatedtobebuiltabovethevillageonthesteephillslope—

arethefocalpointsofconflictbetweentheresidentsofDimaluoand

developmentprojectsinthevalley.

Usingpoliticalecologyandcriticaldevelopmenttheoryasatheoretical

framework,widelyrecognizedtheoreticalapproachestounderstand

environmentalconflictandpowerrelationsinresourceuse,Iwillanalyzelocal

understandingsandattitudestowardsdevelopmentinDimaluovillage.

Qualitativeinterviewsconductedinthesummerof2008systematicallyasked

residentsofthevillagehowtheyunderstandandexperiencetheserecent

changes.Thisanalysisshouldanswerthekeyresearchquestionsandcontribute

tothebodyofliteratureofpoliticalecologyandcriticaldevelopment.

3Seewww.biodiversityhotspots.org

4Forinformationondamconstructionandtypesofdamssee:www.stucky.ch/en/a_6.php

TheimplicationsofthisstudyextendtothegreaterNu/Salweenand

Lancang/MekongRiverbasins,becauseproposeddamprojectsthreatento

imposesimilarexternalitiesonruralcommunitiesalongtheserivers.An

interdisciplinaryresearchteamiscurrentlydevelopinganIntegratedDam

AssessmentModel(IDAMtool)tomeasurethebiophysical,geo‐politicaland

socio‐economicimpactsofdamconstructionalongtheNuandLancangrivers

(Brownetal.;2008,McNalleyetal.;2008,Tiltetal.;2008).Thefindingsofthis

studywilldirectlyinformthecreationofsocio‐economicindicatorsusedinthe

IDAMtool.Theseindicatorsaredevelopedfromspecificconcernsand

experiencesofresidentsofDimaluo.

StatementoftheProblem

HistoricalContext

InChina,thelastthirtyyearshavebroughtunprecedentedeconomic

growth,atanequallyunprecedentedenvironmentalcost.Sinceitsinceptionthe

People’sRepublicofChinahassoughttoaccomplisheconomicgoalsthat

providegoodgovernanceaimedatimprovingthequalityoflifeamongan

ethnicallydiversepopulation.However,asdevelopmentgoalshavefocusedon

theindustrializedsectorlocatedintheeast,themountainousinteriorand

westernprovincesfellbehindinbothinfrastructuredevelopmentand

improvinglivingstandardsbymeansofeducationandeconomicgrowth.

Moreover,followingChairmanMao’sphilosophyof“mansubduingnature”the

politicaltrendinChinaisoneofpragmatism,namelythateconomicgrowth

willjustifytheexternalitiesoframpantpollutionandenvironmental

destruction(Shapiro;2001).

Inthe1980’sDengXiaopingbroughteconomicgrowthtoeastChinawith

hisgaigekaifang(reformandopening)policies.Withthesuddenbroad

expansionofamarketeconomy,twoproblemsemerged.First,energydemands

inChinarosetoepiclevels,andthenationreliedprimarilyoncoal‐firedenergy

plantstokeepupwith10%annualeconomicgrowthforseveraldecades,which

contributedtotoxicairquality.Simultaneously,developmentinthewestern

provinceslaggedbehindthatoftheeasternprovinces,creatingdisparitiesin

livingstandardsthatminoritiesinthewestareacutelyawareof.Recently,to

amelioratethiscondition,thecentralgovernmenthasunleashedexpansive

projectstodevelopwesternChina’snaturalresources,andhavefocused

primarilyonhydroelectricenergyresources.TheNuRiverbasininYunnan

provinceisnoexception,asaprivateandgovernmentconsortiumisplanningto

buildatleastfourlargehydroelectricdamsontheriver.5

Labeledasoneoftheworld’stwenty‐fiveecologicalhotspots,theNu

RiverBasinishometothousandsoffloralspeciesandhundredsoffaunal

5Thisnumbercomesfromobservedconstructionofdamsites,andinformationfromconfidentialsourcesassociatedwiththeAsianInternationalRiversNetwork.Thecompleteplanningdocumentscallfor13dams,butthereisconsiderabledisagreementamongscholarsabouthowmanywillactuallybebuilt.

species.6Withtheproposalfortheconstructionhydroelectricdamsinthe

ruggedmountainousheadwatersoftheNuRiver,theviabilityofthisfragile

riparianecosystemisthreatened.Duetothetop‐downpowerstructureof

Chinesepoliticaldecision‐makingprocesses,localvillagersandofficialsaffected

bytheproposeddamshavelittleopportunitytoparticipateintheplanning

process(Brownetal.;2008,Rossabi;2004,Jian‐Chu&Salas;2003).The

proposedconstructionofthesedams,amongtherecentlybuiltDimaluodam,

placesthesurvivalofamountainbiosphereandtheculturalheritageof14

minoritynationalities—thathavepersistedinthisremoteregionforthousands

ofyears—atrisk.Thefloodingofthiswatershedwilllikelydisplaceover

50,000people,radicallytransformingtheirsenseofplaceandtraditionaltiesto

theriver(Brownetal.;2008).

TheconsequencesfortheDimaluoRiverandtheinhabitantsofDimaluo

Villagearenolessdismal.Evidenceoferosioncausedbythenewhighway(still

underconstructionatthetimeofthiswriting)andthehydroelectricpower

station(dianzhan),inadditiontoseveralfamiliesdisplacedbythedamand

tensionssurroundingtheprocessbywhichthegovernmentdecidedtobuildthe

newroadandthedamhaveunderscoredthecentralissuesofdevelopmentin

China.Asthefindingsofthisresearchwilldemonstrate,residentsofDimaluo

6TheNuRiverisdescribedasanecologicalhotspotamong:TheNatureConservancyThreeRiversProject,UNEPProtectedAreaandUNESCOWorldHeritageSite.TheDimaluowatershedlieswithintheboundariesoftheseprotectedareas.

haveconcernsoverthelastingecologicaleffectsofthesetwoprojects,anddo

notbelievethegovernmentcarriedoutanimpactanalysis,asitislegally

requiredtodounderChina’sEnvironmentalProtectionLaw.7

ThebenefitsofdamconstructionintheDimaluoandNuRiver

watershedsinclude:renewableenergy,waterstorageandincreasedeconomic

developmentinthearea.Thepotentialhydropowergeneratedbythecascadeof

13damsisestimatedtobe21,000megawatts,morethantheThreeGorgesDam

ontheYangtze(Brownetal.;2008).Thepowergeneratedbythesedamswill

significantlyreduceChina’sdependenceoncoal‐firedpowerplants,which

accountfor78%ofChina’senergyproduction(Brownetal.;2008).Himalayan

glacialmeltingisoccurringfasterthananywhereelseintheworld,andresearch

suggeststhattheseglacierscoulddisappearby2035(Khoday;2008).Ifthese

predictionsarecorrect,waterstoragewillbecrucialtoregulatingin‐stream

flowsthatprovidewaterforthousandsofinhabitantsofthelowerNuRiver

(Salween)inBurma.

CulturalIdentityinChina

Inordertounderstandtheethnicmake‐upofminoritiesinChina,and

specificallyinnorthwestYunnan,theprocessbywhichChina’s55minority

7Passedin2003,andsimilartotheU.S.’sEIAlaw,China’sEnvironmentalImpactAssessmentLawrequiresanassessmentofenvironmentalandhumanimpactsbeforeanylarge‐scaleconstructionprojectscanbegin.OntheNuRiver,thislawpromptedPremierWenJiabaotohalttheconstructionof13dams(www.internationalrivers.org)

nationalitiesareclassifiedmustbeconsidered.Inhisbook,“WaysofBeing

EthnicinSouthwestChina,”StevanHarrellexaminestheoriginofethnicityin

southwestChina.Harrellpointstohistoricalfamilialtiesthroughwhich

marriage,languagesimilarity,customandrace,havebroughtforthcollectives,

orgroups,whoslowlybegantoorganizethemselvesintodistinctivecultures.

Overtime,theseculturescoalescedintoboundedcommunitiesandwereableto

distinguishthemselvesfromotherethnicities.However,despitethecultural

characteristicsthatdrawdistinctivelinesamongthem,manyofChina’s

minoritiesarepigeonholedintoonehomogenousminoritynationality.This

conditionisnomoreevidentthaninChina’ssouthwest,theregioncomprising

mostofChina’sethnicdiversity.Duringthe1950stheprocessbywhichthe

Chinesegovernmentclassifiedxiaoshuminzu,orminoritynationalities8,was

Stalinesque,usingapriorigroupboundariesamonglargergroups,suchas

Tibetan,Yi,Mongol,NaxiandNuosu.(Harrell;2001p.40).However,southwest

ChinadoesnotconformwelltoStalin’smodelofethnicclassification.Stalin’s

modeluseslanguageasacriterionforgroupidentity,butsouthwestChinahas

manydifferentdialectsandsimilardialectsamonggroupsthatareculturally

verydistinct(Harrell;2001p.150,171,315).Amongtheclassifiednationalities,

56inall,membersofsmallerethnicgroupsoftenfindthatminzustatushasits

rewards,includingexemptionsfromtheplannedbirthsprogram,and

8InChina,ethnicminoritiesarecommonlytitlednationalities.

preferentialaccesstoeducation.Thispromptedmanynationalitiestoapply

forminzustatusinordertoreceivegovernmentbenefitsandgreaterautonomy

throughtherecruitmentorelectionofgroupmembersintopositionsofpower

intheCommunistparty.

InthefarnorthwestofYunnanprovince,borderingTibet(Xizang)and

Burma,ethnicpopulationsconsistofprimarilyDulong(Drung),Tibetan,Lisu,

andNu,whichcanbefairlyhomogenousintheirrespectivevillages(Miller;

1994).AlthoughtheyareneighborswiththeNunationality,theDulongare

mostlyconcentratedintheDrungrivervalleyandnumberapproximately7,426

inpopulation(Brownetal.;2008).Furthersouth,intheLisu‐Nujiang

AutonomousPrefecture(LNAP),villagesarecomprisedofmostlyLisuandNu

nationalities.TheLisuandNuhavemanysimilarculturaltraits,butare

distinguishedbydifferentlanguage,ritual,dressandhistoricalorigins(Miller;

1994).TheLisunationalityismostcommontonorthwestYunnan,butcanalso

befoundthroughoutThailand,northernIndiaandBurma.

Dubbedahilltoptribe,theLisutypicallyinhabithighmountainslopes

ranginganywherefrom1500to3,000metersinelevation(Miller;1994p.281).

Forwomen,traditionaldressincludesanklelengthskirts,long‐sleevedblouse,a

blackscarfwrappedaroundtheheadandadarkvest(Miller;1994p.281),

althoughmostwomentodaydressincontemporaryfashion.Slaveryissaidto

havebeenpracticedinLisucommunitiesaslateasthe20thcentury(Miller;

1994p.281).TraditionalLisucommunitiesusetotemssuchas“Tiger,Mouse,

Bee,BuckwheatandFrost”asnamesfordifferentfamilialclans(Miller;1994p.

282).TheNunationalityinhabitspartsofsoutheasternTibetandnorthwest

Yunnan,intheLNAP.SomebelievetheNuaredistantrelativesoftheNuosu

nationality,whileothersclaimtheyarerelatedtoanancientpeoplewhocall

themselvesthe“LongClan”(Miller;1994p.284).TheNuoftheNuRiverBasin

areseparatedbytwodistinctlanguageorigins,oneTibeto‐Burmanlanguage

relatedtotheDulonginthenorth,andanotherlanguagerelatedtotheYiinthe

south.ThesouthernNuwholiveinBijiangcountypracticeasimilarformof

totemworshipthatisalsofoundamongtheBlackYi,asub‐branchoftheYi

nationalityfoundinsouthwestSichuanprovince(Miller;1994p.286).Women

oftheNunationalitydressin“alengthofwovenlinenwrappedaroundthe

body,orastripedskirtovertrousers”(Miller:1994p.286).Menarefoundto

wearalinengownwithlinenshorts(Miller;1994p.286).Whilemostmenand

womentodaydressquitecontemporary,somewomenstillchoosetowear

traditionalclothing.

TwoTibetanwomenwearingtraditionalclothing.Photoby:MarcoClark

Cultivationpracticesappeartobesimilar,thoughdifferencesinspiritual

andmedicinalvalueofvariousplantspeciescanbequitedistinctbetweenthe

LisuandNunationalities(Boetal.;2003).AgriculturecropsintheLNAP

includebarley,corn,soy,paddyrice,kidneybean,sorghumandbuckwheat(Bo

etal.;2003,Miller;1994).Thesecrops,onceexclusivelygrownusingshifting

cultivation,orslashandburntechniques,arenowgrownwithgreater

frequencyusingsedentary,mono‐crop,market‐orientedagricultural

techniques.Thischangeinpracticehasbeentheresultofmarketreforms,

pressureonminoritiesbygovernmentofficialstoadopt‘modern’approachesto

cropproduction,andrestrictionsplacedonforestrypracticesthatwereoncea

primarysourceofincome(Boetal.;2003).

TheethniccompositionoftheNuRiverconsistsofamultitudeofethnic

groups,primarilytheNuandtheLisuwhonumberapproximately28,759and

480,000respectively(Brownetal;2008,Miller;1994).Otherminorities

includetheDulongandTibetannationalities(Miller;271).Thepercapitanet

incomeofYunnanprovince,2,042RMB9,iswellbelowthenationalaverageof

6,367RMB(Brownetal;2008).Furthermore,theaveragepercapitanetincome

ofFugongandLushuicountiesintheLNAPis752RMB(Brownetal.2008).

Approximately90%oftheinhabitantspartakeinagriculturalproduction,much

ofwhichissubsistence‐basedhorticulture(Brownetal;2008).

ALisufamily;notetheyounggirlwearingtraditionalLisuclothing.Photoby:MarcoClark

9RenMinBi(RMB)alsoknownas“Yuan,”isChinesecurrency.U.S./Chinaexchangerateatthetimethisdatawascollectedwasapprox.$1to8.27RMB

SituatedalongtheDimaluoRiver,oftenhigheruponamountainside,

aretwelvevillagesthatareaneclecticmixofminorities,includingTibetan,Nu,

LisuandNong10,whohaveinhabitedtheDimaluoRivervalleyforhundredsof

years.Somefamiliesidentifiedsixgenerationsofcontinuoushabitation.Unlike

manyethnicallyhomogenousareasinYunnanprovince,theminoritiesin

Dimaluohaveintermarriedwitheachother.Theresultisthatsomeindividuals

donotidentifywithaspecificethnicheritage,whileclaimingtheyidentify

mostlywithTibetanculturethroughlanguage.Duringmyinterviewsitwas

commonforparticipanttotellmetheydidnotknowwhatethnicitytheywere.

EthnicNugrandmotherandhergrandson.Photoby:WadeClark

10The“Nong”minzuisnotanofficiallyrecognizedminority—butaregroupedwiththeZhuangminoritybytheCentralGovernment.TheNongoftenconsiderthemselvesseparatefromtheZhuangminority(Palmer;2000p.38).

TheStudySite

Dimaluovillageislocatedinthebiologicallyandculturallydiverse

southwesternprovinceofYunnan,China(Fig.1).TheDimaluoRivervalleyis

nestledinthecascadingfoldsofmountainsandvalleysonthesoutheast

foothillsoftheHimalayanPlateau.Steepmountainsguardthevalleytotheeast

andwest,whileallowingplentifulsunshineandmonsoonalrainstoenterfrom

thesouthofthevalley.Totheeastofthisvalley,risingoversixthousandmeters

abovesealevel,aretheBiluomountains,aparallelpartitionbetweenthe

DimaluoandMekongriversforthreehoundedkilometers.

Thealtitudinalandclimaticvariabilityofthisregionalsopresents

challengestothehorticulturalpatternsoflocalinhabitants.Cropsaregrown

throughouttheNuandDimaluoRivervalleys;however,mostcultivatedland

Fig1.1

clingstothesteephillsidesinadelicatebalancebetweengravityandhuman

determination.OneinformanttoldmethatthesoilinDimaluoisofpoorer

qualityforgrowingcropsthanthesoilintheNuRivervalley.Thethreatofsoil

erosiononthesteepslopeslimitsfarmerstogrowingcropswithshallowroot

structures,asnottodisturbthestabilityofthesubsoil,whichwouldleadto

severeerosion(Brownetal.;2008,Boetal.;2003).Furthermore,aforestation

programsaimedatimprovingforestedlandsandpreventerosionhavestrained

availabilityofflatlandwithinthebasin(Brownetal.;2008,Boetal.;2003).The

apparentlackofindustrialorothernon‐farmingeconomicopportunities

indicatesahighdependencyonagriculturaloutputandgovernmentsubsidies,

demonstratingthattheimpactoflandusechangeandrestrictionsexperienced

bythesenationalitieswouldbeveryacute(Brownetal.;2008).

HumanPopulationandDemographics

ThereisminimalpublishedresearchontheNuRiverbasin.Of

importancehere,thereappearstobeagapinethnographicstudyofspecific

culturalandsocio/economicindicatorsamongthediverseminoritieswho

inhabittheLisu‐NujiangAutonomousPrefecture(LNAP).Researchpublished

byPhillipBrownandChenBo,andabooktitled“SouthoftheClouds:Tales

fromYunnan,”editedbyLucienMiller,provideabriefsketchofculturaland

socio‐economicconditionsinthisremoteregion(Brownetal;2008,Boetal;

2003,Miller;1994).

Ofinteresttotheethnographicmake‐upoftheupper‐LNAPand

DimaluotributaryistheoccurrenceofCatholicism.Upwardsof80%of

residentsinthisregionarecatholic.IntheDimaluoRivervalleyalonethereare

sevenchurchesspreadoutamongthetwelvevillages.Apriestcomesfromthe

countycapitalofGongshantoadministermassonceamonth,orwillmakea

specialvisitforfuneralevents.DuringmystayinDimaluoIattendedseveral

services,includingafuneral.Icountedapproximately250peopleinthechurch

withmanyothersjustoutside.Withapopulationof300inthevillage,itis

evidentthatalmosteveryonegoestochurch.

CatholicchurchinDimaluowhereservicesareheldeverySunday.Photoby:MarcoClark

Dimaluovillage,namedforitsrelativelylevelareaforfarminginthe

region,restsalongtheDimaluoRiverapproximatelyeightkilometersupstream

fromtheNuRiver.AsatributarytotheNuRiver,thesecondorderDimaluo

RiverdropsdownfromtheBiluomountainrange,fedbyseasonalmonsoon

glaciersandsprings.Thevillageishometosomethreehundredpeople,whoare

anethnicmixofLisu,Nu,andTibetan.LikemostruralcommunitiesinChina

thesepeoplepracticehorticulture,thoughgrowingcropsisalsoaprimary

sourceofsubsistenceinthevalley.DuetoitslocationinNorthwestYunnan,and

theabsenceofapublicroadsystemthatpassesthroughthevillagetoother

destinations,thevillageremainsfairlyremoteandinfrastructureundeveloped.

Thereisnowastewatertreatment,sewagesystem,orgarbageandrecycling

service,andtheelectricalgridiscrudeandunreliable.11Theimposing

mountainsoneithersideofthevalleyfunneldailymonsoonalstormsupthe

valleyinthesummermonths,causingtheDimaluotoswellandbrownwithsilt.

Moststrikingtothisobserverarethesmallplotsofcorn,beans,squash,

andcottongrownhighuponthehillsidesinaseeminglyimpossiblecontestwith

gravity.Thefarmersappeartohaveestablishedabalancebetweensuccessful

cropproductionandlimitedagriculturalspaceinthevalley.Comparedtothe

NuRivervalley,agricultureinDimaluoismorerigorous,withpoorersoil

qualityanddifficultyinaccessingflatland.Arablelandisscarceinthevalley,

whichmeansthatanychangestotheavailabilityofcroplandcanresultinan

acuteimpactonrurallivelihoods.Theconstructionofahydroelectricpower

11Duringmyperiodoffieldwork,itwascommontoexperienceatleastonepowerfailureeachday.

stationanddiversiondam,andanewpublichighwayhashadimmense

impactsinthisrespect.

Chapter2

TheoreticalFramework

“Naturedoesnothurry,yeteverythingisaccomplished.”~LaoTzu

PoliticalEcology:

Originatingfromthetheoreticalmodelsofculturalecologyandpolitical

economy,politicalecologyhassoughttocombinetheanalyticaltoolsofbiology

andethnographytoexaminehuman‐environmentrelationshipsastheyare

influencedbylargersocio‐politicalregimes.Often,followinganeo‐Marxist

tradition,politicalecologistsseektoframediscursivepatternsinrace,gender

andclassthatdriveenergyflowsfromperipheralthirdworldcountriestocore

firstworldcountries.SinceanthropologistEricWolf,aclosecolleagueof

culturalecologistRoyRappaport,firstcoinedtheterm“politicalecology,”the

theoryhasspreadtootheracademicdisciplines,includinggeography,biology

andpoliticalscience.

Politicalecologyhasitsrootsinthefieldofculturalecology.Julian

Steward,aleadingfigureinthismovement,laidthegroundworkforcultural

ecology,makingaconnectionbetweenbehaviorpatternsandadaptationtothe

environment.PeterVaydaandRoyRappaportin1967organizedwhatwould

laterbecoinedastheColumbiaschoolofecologicalanthropology.Thissub‐

disciplineofanthropologytreatedhumansasinteractiveagentsofan

ecosystem,providingagroundedframeworkforanalyzingsustainable

subsistenceliving.Applying“cognizedmodels”todeterminespheresof

rituals,beliefs,symbolismandreligionallowedRappaporttoviewadaptive

structuresofculture‐environmentrelationshipsamongtheTsembagaofPapua

NewGuinea.TheethnographicstudyofthePapuaNewGuineanTsembaga

peopleillustratesanintimaterelationshipbetweencultureandenvironment

withinthecontextofsustainablelivelihoodandwell‐being(Rappaport;1984).

Thischallengedthedualismbetweenhumansandtheenvironment,pavingthe

wayforpoliticalecology.

EricWolfemployedthisnewscopeofanalysisinhiscritiqueof

colonialismandpeasantstudies(1969),whichaddressedtheperturbationsof

Third‐worldruralsocietiesinflictedbyFirst‐worldcountries.Thesestudies

addressedbothequilibriumandnon‐equilibriumsocieties,drawingattentionto

theshiftingbalanceinducedbyculturaldisintegration,markets,andpolitical

conflicts(Paulson2003;p.208).Equilibriumsocietiesarecharacterizedbyself‐

regulation,adaptation,andhomeostasiswithintheirrespectiveecosystems.

EricWolf(1972)broughttogetherculturalecology,communityecology,

cyberneticsandsystemstheorytofocusonflowsofmatter,energyand

informationwithinintegratedhuman‐environmentalsystems(Walker;2005).

Politicalecologyprovidesamultidisciplinaryapproachtounderstand

thedifferentinfluencesthatcontributetoinequalitiesofwealthandpower.

WolfpointstotwoofMarx’sassertionsasthetheoreticalbasisforpolitical

ecology:first,thathumansareapartofnatureand,secondly,thatproduction

linkshumanstotheenvironmentthroughresourceuse,creatingasocial

networkoflaborandexchange,andtheharnessingofenergytocreatematerial

goods(Wolf;1982,Watts;1983).Scholarswhoworkinthepoliticalecology

frameworktendtofocusonaccessandcontroloverresources,andthepolitical‐

economiccausesandoflanddegradationandpollution.Thisprovidesa

structuralframeworkforinitiatingconservation,environmentalrehabilitation

andsustainablealternativesforagriculture(Paulsonetal.2003p.206).

Inthe1990’s,politicalecologyturneditsfocustogenderroles,

environmentalgovernance,resourcemanagementandinternationalaid

institutions.Feministresearchfocusesonthegenderednatureofecological

knowledgeandlabordistributiontodeterminesocialandinstitutional

inequality(Zimmerer;1996).Bringingtogethersocialmovements,

environmentaljusticeandactivism,politicalecologysoughttocommenton

structuralinequalitiesgeneratedbyfailedgovernance(Escobar;1996).

InadditiontoitsMarxistroots,politicalecologyisalsogroundedin

discourseanalysis.AstheanthropologistDonaldMoorehassuggested,

“Competingunderstandingsofthelandscapeplayaformativepartinstruggles

thataresimultaneouslymaterialandsymbolicandthatshapethedistribution

ofresourcerights”(Moore;1998).Politicalecologistsarguethatinequalitiesof

powerhaveadirectrelationshiptolanddegradation,pollutionandsocial

marginalization.Theyquestiontheassertionthattheenvironmentismade

upofnaturallaws,focusinginsteadonthedivergentconceptualizationsand

discoursesofnature(oftentermedthe“constructionofnature”)(Escobar;

1998).Itispreciselythesedifferentperceptionsoftheenvironmentthatleads

toconflictandinequality.Gender,raceandethnicityplayacrucialrolein

determininghuman‐environmentrelationships,fundamentalideastolinking

humanimpactedecologicalprocesses.Thisallowspoliticalecologiststocreate

appliedresearchtoconfrontstructuralinequalityinthepolicymakingprocess.

Thestudyofpoliticalecologyexaminestheimpactsofglobal

influencesanddevelopmentstrategiesastheybecomeimbeddedinstate,

local,andhouseholdstruggles,whichthencreateafeedbackloopthataffects

theglobalsphere.Thestudyofpoliticalecologyrequiresmulti‐scaleresearch

modelsthatconnectin‐depthethnographicinterviewsacrossspecial

hierarchiesofgender,classandethnicitytorecordecologicalevents(Vayda

&Walters;1999).

Theoreticalassumptionsthatdrivepoliticalecologicalresearch

include;localknowledgecanbeusedasanalternativedevelopmentstrategy,

arejectionofwestern‐centricconceptsofeconomicdevelopmentthrough

marketizationofnaturalresources(Peet&Watts;1996).Politicalecology

positsthatlanddegradationisaresultofalargerpoliticalandeconomic

contextratherthan“backward,”traditionalsubsistencebasedagriculture.

Furthermore,environmentalconflictsarelinkedtolargergenderandclass

strugglethatareoftenexacerbatedbyglobalmarkets(Carney;1996p.321).

Politicalecologyalsocriticizesconservationefforts—oftenimposedby

internationalagentsfromthewesternworld—areshowntohavea

perniciouseffectandsometimesfailasaresultofconflictwithtraditional

valuesandindigenousunderstandingofboundedterritories(MaCabe;2005,

Peet&Watts;1996).Politicalandsocialstrugglesthatarisefromaccessto

naturalresourcesarelinkedtobasicissuesoflivelihoodandenvironmental

protection,oftencharacterizedbyclassstrugglebetweenpovertyandwealth.

Applyingthisresearchtopolicyrecommendationsallowspolitical

ecologyto“contributebothtosoundenvironmentalmanagementandtothe

empowermentofdisadvantagedsocialgroups”(Zimmerer;1996p.357).

Cultivatinghumanagency—orempowermentofmarginalizedgroups,is

anothercriticalcomponentofappliedpoliticalecology—promotingactivism

andsocialchange.Socialandresourcegovernanceimplicationsinclude:

opportunitiesforcollaborativegovernance,negotiation,framing

environmentalissuesanddecisionmakingamongdifferentstakeholders.

Thisallowspolicymakersabettervenuetomakeinformedresource

managementdecisionsandraisethestatusofperipheralsocietiesby

includingtraditionalknowledge.

Politicalecologyisalsoausefultoolinanalyzingtheeffectsof

internationalaidagencies,whichinsomecircumstanceshavebeen

detrimentaltotraditionalcultureandknowledge.Somedevelopment

strategieshaveledtogreatergenderandsocialinequalityaseconomic

reformsredistributelaborandwealthunequally.Withpoliticalecology,even

thediscourseofdevelopmentiscalledintoquestionasahegemonic

expression,aconstructofwesternethnocentricnotionsofsuperiority(Peet

&Watts;1996).

CriticalDevelopmentTheory

SincepostWorldWarTworeconstruction,thecreationoftheBretton

WoodsInternationalMonetaryFund,andfollowedbytheWorldBank,

developmentinwesternideologyandpracticehasfocusedonbuilding

infrastructuretosupportandmaintainamarketeconomy.Thisnihilist

approachtopovertyalleviationprovedsuccessfulinthewartorncountriesof

Europe,Japan,SouthKoreaandTaiwan,buthasmissedthemarkinproducing

meaningfulchangeinAfrica,partsofcentralAsia,southeastandEastAsia.

Perhapsthemostinfluentialpoliticalphilosopherandcriticofmarket

economicsisKarlMarx,whoiscreditedwithdevelopingthetheoretical

underpinningsofCriticalDevelopmentTheory(CDT).Inhiscritiqueof

capitalism,Marxemphasizestheproductionofcapitalthroughadivisionof

laborultimatelycreatesdisparityinwealthandpower.Itispreciselythis

disparityinwealthandpowerthatpermeatesglobal,nationalandregional

economicregimeswhichcriticaldevelopmenttheoryattemptstounraveland

understand.

Westernapproachestodevelopmenttendtoforcecommunitiestore‐

inventsocialrelationshipsandhuman‐biophysicalrelationships(Munck&

O’Hearn;1999p.3).CDTchallengestheunderlyingassumptionsofa

westernizedmodelofdevelopmentandmodernizationasillfittedtothe

contextofindigenouscommunities.“CDTrejectsthegrowthorientedmodelof

development”thathasbeenaggressivelypursuedbydevelopedcountriesand

imposedinhegemonicfashioninlessdevelopedregions(Munck&O’Hearn;

1999p.12).Often,disparitiesinpowerrelationshipsshapediscourseover

programplanningandimplementationindevelopingregions.Inthissense,

powercanbedefinedinapoliticalcontext,as“one’sabilitytoimposeorexert

one’swill”(Chen;12).Quiteoftenthesepowerdisparitiesarisefrom:a)

productionofspecializedlanguageandknowledgeindevelopment,b)opaque

impactassessmentprocesseswhichlackaccountability,c)corruptpractices

amongpublicandprivateconstituencies(Munch&O’Hearn;1999p.13).

CriticalDevelopmentTheorytendstoframepowerinequalitiesinterms

ofrace,genderandclass.InsomeinstancesCDTsuggeststhatgeographicand

rural/urbandichotomyalsoshapeinequalities.Allofthesevariablesmay

individuallyorcollectivelyinfluencethepoliticaleconomyofacommunity.

Wherepoliticalecologydealssolelywithpowerrelationshipsbasedon

knowledgeofresourcesandaccesstoresources,CDTaddressestheconflict

overdecision‐makingprocessesandinequalitiesinherentinacapitalistmarket

economythatdominatedevelopmentdiscourse.

InthecontextofDimaluo,respondentsclaimedgovernmentcorruption

wasprimarilyresponsibleforlackoftransparencyindecision‐makingand

suspectedalinkbetweenprovincialpolicymakersandpowercompanies.This

ismostevidenttoresidentsofDimaluobytheabsenceofanEnvironmental

ImpactAssessment(EIA).Residentsofthevalleyunderstandhydropower

developmentintermsoffuelingeconomicinterestsinotherpartsofChina,

ratherthanintheirowncommunity.FromtheperspectiveofCDT,theabsence

ofbenefitsfromdevelopmentandexclusionfromtheprocessbywhichimpacts

aredeterminedandmeasuredhasestablishedahierarchyofdiscrimination

basedoninstitutionalprocesses.

IntheanalysissectionofthisthesisIwilldiscusshowCDTcanbe

appliedtochangethedynamicsofdevelopmentdiscoursesothatmarginalized

playerstakemoresubstantialrolesindecisionmaking.Thisisastepawayfrom

developmentasmeasuredbytheWorldBankas“theextentofparticipationin

andintegrationwiththeworldmarket”(Munch&O’Hearn;1999p.199).The

fatalisticassertionheldbyChinesepolicymakersandpassedontothe1.3

billioncitizensthat“developmentistheindisputabletruth”mayholdtrueby

virtueofalackofalternatives(Tilt&Young;2007).Butthearcofdiscourse

overdevelopmentpolicyandpracticecanbecontinuallypushedtowardsa

morejust,equitableandsustainableprocessofreflexivecritique.

Whatismostunusualaboutthisanalysisisthatitistakingplace

withinapoliticalsystemthatidentifiesitselfassocialist.Thisironyofusing

criticaldevelopmenttheory,withrootsinMarxianthought,toanalyzethe

impactsofmarketdrivendevelopmentinChinamakesthisstudyalmost

paradoxicalinnature.Atbest,thisthesischargestheCentralGovernmentin

Beijing,theProvincialGovernmentinKunming,andtheprivateenergy

companieswiththeverysamecritiquesonceleveledatWesterncapitalist

countriesbytheChina’scommunistgovernment.

CaseStudies

Thefollowingcasestudiesdescribethecontextinwhichruralminorities

areviewedbygovernmentofficials,andhowtop‐downdecisionmakingby

thesesameofficialsleadstochangesinlanduseandsubsequentnegative

externalitiesfromdevelopment.Thesestudiesareimportanttoelucidatethe

roleofgovernanceinanumberofdifferentculturalandpoliticalcontexts,and

howthelivelihoodofruralminorityfarmers—onceheraldedinChinaashero’s

oftherevolutionagainsttheproletariat—arenowfacedwithgrowingpressure

tomodernizeinfrastructureandjoinalargernationaleconomy.

MikeDavis(2004)providesaninterestinghistoricalaccountof

famineinthelate1800’sinhisarticletitled“ThePoliticalEcologyofFamine:

Theoriginsofthethirdworld.”Inhisstudy,Davisarguesthatwhilea

droughtservedasacatalystforcropfailureandstresstoagricultural

systems,institutionalstructuresofgovernanceandtheeconomyfailedto

distributecommoditizedfoodaslocalpopulationsdiedofstarvation(Davis;

2004p.53).AccordingtoDavis,thefaminewasnotaresultoffoodshortage,

butwasadirectresultofinstitutionalfailureinducedbyarelianceonmarket

incomeratherthansubsistenceagriculture.AccordingtoDavis,“Theactual

sourceoffaminesinthelastfiftyyearswasthefreemarketingofgrainwith

localfailuresofincomes”(2004;p.53).GrainsurplusesintheVictorian

economycouldhaveallowedfordistributiontocountriesindireneedof

food.Davismakestheconclusionthattheforcedintegrationintoamarket

economyisthelargestcontributingfactortofoodinsecurityinthethird

world(Davis;2004p.58).Inthiscasestudy,stateinterventionproduced

negativeconsequencesforthegreaterpublic,supportingthePoliticalEcology

thesisofnegativeconsequencesbornfromanunequaldistributionofpower.

TerrenceMcCabegivesadetailedaccountoftheAfricanTurkana’s

humanenvironmentrelationship.Usingapolitical‐ecologyperspective,McCabe

attemptstocharacterizetheTurkana’srelationshipwiththeenvironmentin

termsofDarwinianevolutionandbehavioralecology,focusingonself‐interest

andpoliticalecology(McCabe;2005p.7).McCabearguesthattheTurkana

arelivinginapersistentdisequilibriumsystem,dependantonclimate,security,

politicsandlivestockmanagementtoreproducetheirlivelihood.TheTurkana

communityisdescribedasindisequilibriumprimarilyduetotheharshand

unpredictableclimateoftheAfricandesert(McCabe;2005p.26).Thisdoesnot

meantheTurkanaaredoomedtoextinctionorafailedsociety;quitethe

oppositeistrue.TheTurkanahaveadaptedtodisequilibrium,makingdecisions

basedonclimatechanges,availablerangelandandthreatsfromothertribes.

Thisofcoursehascausedsomeconfusionamongdevelopmentspecialistsand

agenciesdesignedtoensuretheprotectionoftheTurkana.McCabepointstothe

“mainstreamview”ofpastoralpeoplewhichclaimspeopleliketheTurkanaare

arelic,andshouldbeabsorbedintoalargersocietysotheycandeveloprather

thanvanishontheplains(McCabe;2005p.33).McCaberejectsthisnotion,

arguingthatalthoughsemiaridrangelandsareaharshenvironment,the

Turkana’sabilitytobemobileandadapttoextremeconditionsallowsthemto

thriveinthistypeofenvironment.

JudithCarney’swork(1996)intheGambianwetlandsisanexampleof

feministpoliticalecology,examininghouseholdlaborandpropertyrights.

Carneyclaimsthatdespiteincomegains,women’saccesstoresourceshas

becomeincreasinglydifficultduetothemarketizationprocessofturning

wetlandsintoagriculturalspaceforgrowingrice.Thegenderdivisionin

lowlandswampsbeganwiththeintroductionofcolonialmarketforcesthat

encouragedcommodityfarmingratherthantraditionalricefarming,apractice

moreevenlydistributedamongthesexes.Carneystatesthatdevelopment

projectsaimedatimprovingtheGambianeconomyforcedwomentoworkin

thefieldswhilemenclaimedrightstosurpluses(Carney;1996p.321).Women

contestthenewagriculturaltechnologiesplaceagreaterburdenonthem,

leadingtoconflictovergenderinequalities.Carneydeterminedthatchangesto

theenvironmentthroughagriculturaldevelopmentalsomightpreclude

changesinsocialdynamicsandfamilystructure,warningdevelopment

institutionstocarefullyconsiderexternalitiesofeconomicdevelopment.

China’sruralminoritiesincontext

TheChinesegovernmentoftenviewsruralminoritiesas“backwards,”

lackingsophisticated,scientificknowledgeoftheirenvironment(Sturgeon;

2007).Despitethischaracterization,theminoritynationalitiesinChinahave

managedtomaintainapersistentculturalrelationshiptotheenvironmentfor

hundredsofyears(Boetal.2003).Thispersistencecanbedefinedasaculture’s

abilitytoadaptovertimetoafragileecosystem(McCabe;2005).Onlyinthe

last50years,duemostlytoChina’sambitiouseconomicandruraldevelopment

policies,hasintensivelandscapechangeforcedtheminoritiestoadaptto

agronomicreforms(Boetal;2003,Litzinger;2004).Thesepoliciesinclude:the

HouseholdResponsibilitySystem,whichallocateslandbasedonaleasesystem

tosmallfarmholders;OpeningTheWestCampaign,whichdirectlytargets

peripheralwesternprovincestodevelophydroelectricenergypotentialthat

willalsobringeconomicdevelopment;andChina’saggressivereforestation

programsaimedatcurbingtopsoilerosionandflooding.

TheworkofJian‐ChuandSalas(2003)providesanaccountofthedivide

betweentheChinesestateandtheperipheralminorityculturesofwestern

provinces,includingYunnan.Thesocialandeconomicseparation,reinforced

throughethnocentricpolicies,haslimitedthedevelopmentofruralethnic

minorities(Chu&Salas:2003).Asanexampleoftheimpactofgovernment

developmentpolicies,thestudyofDongtingLakeexaminestheenvironmental

impactofarelocationprograminstitutedbytheCentralGovernmenttitled

“ReturnLandtoLakeProgram.”Initiallydesignedtoprovidenewsettlementfor

thosedisplacedbytheThreeGorgesDam,theprogrambroughtanunforeseen

environmentalbyproductofschistosomiasis,awater‐borneparasiticdisease

causedbyabloodfluke(Yue‐Sheng;2007).Thisexampleofanthropogenic

changestotheenvironmentoccurswithgreaterfrequencythroughoutChina.

EffectsofgovernmentpolicyhavepressuredYunnan’sethnicminoritiesto

adapttolandusechanges,includingthatofdamconstruction.Researchhas

shownthatduetoChina’stop‐downpowerstructure,minoritieshavenochoice

buttoacceptthesechangesregardlessofhowitaffectsthepersistenceoftheir

culture(Rossabi;2004,Chu&Salas;2003).

Studieshaveshownthatconflictoverresourcesoftenstemfrom

differentmeaningsascribedtoaculturalunderstandingofnature(Medin;

2006).Whileextensiveresearchhasdocumentedcross‐culturalconflictsover

resources,thereisasignificantgapinknowledgeofculturaldomainsamong

China’sethnicminorities(Tilt;2008).Morespecifically,littleisknownabout

human‐environmentrelationshipsamongtheethnicminoritiesinnorthwest

Yunnan(Magee;2005).Fillingthisprovidesvaluableknowledgeofminority

culturalknowledgeoftheenvironmentandtheimportanceoflandtenure

amongfarmersinthisregion.Thisimportance,asthisstudywilldemonstrate,

isrootedinnuancedunderstandingandattitudestowardstheirland.As

academicsandpolicymakers,uponreachinganunderstandingofhowthese

minoritiesunderstanddevelopmentimpacts,wecanthenusethisknowledgeto

informgovernmentpolicymakersandbettermeasurethesocio‐economic

impactsofdevelopmentintheNuandDimaluoRivervalleys.

Tounderstandthesocio‐economicimpactsofdevelopmentreformsin

theDimaluoRivervalley,Iproposetodrawfromatheoreticalframework

groundedinpoliticalecologyandcriticaldevelopmenttheory.Togainan

understandingofthesediverseculturesinterpretationsofhowdevelopmentis

carriedout,anunderstandingofdevelopmentimpactsmustberevealed.This

understandingsharedamongthosewhobelongtoaparticularcultureprovides

knowledgeofculturalrelationshipstotheenvironment(D’Andrade;1995,

Paolisso;2002).Thisstudyaimstodeepenourunderstandingofcultural

knowledgeandtodeterminehowethnicminoritynationalitieshaveadaptedto

theDimaluovalley’sfragileecosystemthroughcarefuluseofwaterandland.A

culturespecificethnographicstudywillshedlightonthesalientaspectsof

environmentalknowledge,fromtheperspectiveofthisrichculture.

Oneimportantcontributionofpoliticalecologyistoexaminetheviews

ofvariousstakeholdersinenvironmentalconflictstoimprovehowdecisions

aremadeanddevelopmentprogramsarecarriedout.Ihavedonethisby

documentingtheperceptionsofdevelopmentheldamongruralfarmersin

Dimaluovillage.Thisinformationcanbridgethegapinunderstandingand

practiceamonggovernmentandprivateentitiestobetterserveandprotectthe

minoritypopulationinthisregion.TheWorldCommissiononDamsandthe

principlesofIntegratedWaterResourceManagementclearlystatethat

communitieshavetherighttoparticipateinthedecisionmakingprocessand

shoulddirectlybenefitfromdamconstruction(Lucia&Gustavo;2005p.976).

Studieshavefoundthatincludingpublicparticipationindecision‐makingand

developmentprocessleadstogreatertransparencyandmoreacceptable

outcomesamonglocalresidents(Chavez&Bernal;2008p.163,).

Critiquesofpublicparticipationpointoutthatwithoutinstitutionsto

holdhigherlevelsofgovernmentaccountable,the“builtin”advantageofruling

elitesmakesitdifficultforpublicparticipationtobecomeareality(Crawford,

Gordon;2009p.57,Wampler,Brian;2008p.61).Furthermore,public

participationmayonlyrepresentasmall,politicallyestablishedsegmentofa

largercommunity(Marshall&Jones;2005p.715).

Thesetwotheories—politicalecologyandcriticaldevelopment

theory—togetherarethefoundationofthisstudy.Inmyexaminationofthe

situationinDimaluo,theimportantcontextualandnuancedmeaningsof

developmentamongtheminoritiesofthevalleyarerootedindiscriminatory

relationshipswiththeprovincialgovernment.Theseattitudes,orbeliefs,are

connectedtotheperceptionofruralminorityfarmersthattheyhaveno

politicalpower,orcapacity,toinfluencethedecisionsthatareaffectingthem.

Politicalecologyandcriticaldevelopmenttheoryareaboutactorsandagency,

explainingthenegligenceofdevelopmentplanner’sdecision‐makingandhow

theyimplementengineeringprojectsinthevalley.Byexaminingthe

developmentthroughthelensofthesetwotheoriesIcanrevealtheperceptions

andattitudesthatstemfrompositiveandnegativeimpactsonecology,culture

andeconomicviability—whicharelinkedtolargepoliticalandeconomicforces

inChina.

Chapter3

ResearchMethods

“Respondintelligentlyeventounintelligenttreatment.”~LaoTzu

ThevillagedemographicsinDimaluoconsistofapproximatelythree

hundredresidentsfromonehundredhouseholds.Ethnically,thevillage

comprisesamixofTibetan,Lisu,Nu,NongandDulongminorities.Informants

statedthatfiftypercentoftheresidentswereofTibetanorigin,andmost

respondentsreportedsomegenealogicalconnectiontotheTibetanethnicity.

TheprimarylanguagespokenwasTibetan,whilemostrespondentswereable

tospeakMandarinasasecondorthirdlanguage.

Methods

Ethnographicmethodsareeffectivetoolstogainanunderstandingof

environmentalperceptionsacrossspatialandtemporalscales.These

methodsallowresearcherstoincorporatein‐depthinterviewswith

participantobservationtotriangulatetheaccuracyofresults.Researchareas

include:biophysicalchange,humanadaptationstotheenvironment,

environmentaljustice,collaborativegovernance,environmentalperceptions,

failedenvironmentalgovernance,relationshipsbetweenknowledgeand

powerandlocal/globalrelationships.

Theinitialmethodologicalapproachtothisprojectwasdesignedwith

certainassumptionsaboutthepoliticalcontextandsensitivityofdevelopment

discourseintheregion.However,uponarrivingatthepre‐selectedresearch

sitelocationsitquicklybecameevidenttomethatselectingafieldsiteonthe

NuRiverwouldposeasignificantrisktothestudypopulationandfuture

researcheffortsonbehalfofthemultidisciplinaryIDAMresearchproject.Since

theconstructionofdamsontheNuRiverisstillasubjectofcontroversy,I

activelyavoidedanydirectconfrontationwithlocalofficialsandconstituents.In

ordertoadjusttothepoliticalenvironmentIchosetofindasitesituatedina

lesscontentiousareathatwouldprovidesafeguardsfromscrutinybythePublic

SecurityBureau.

Ethnographicresearchusingsemi‐structuredinterviewswasfocusedon

thefollowingquestionsthatguidedtheresearch;howdoruralresidents

understandimpactsofgovernmentandprivatedevelopmentprojects?Howdo

thesesameruralpopulationsperceivedevelopmentimpactsontheirculture,

economicactivity,andecology?

Iaddressedtheabovequestionsthroughasitespecific,multi‐method

researchprojectintheDimaluoRivervalley.IspentfiveweeksfromJuly2008

totheendofAugust2008inthisrivervalleylivinginDimaluovillage.Data

collectionmethodsforthestudyincludedin‐depthinterviews,participant

observationanddailyinteractionswithlocalvillagersinthestudycommunity.

Thestudysiteislocatedwheredamconstructionhasalreadyimpactedthe

community,andahighwayprojectiscertaintoimpactthecommunityinthe

comingyear.Themethodsofthisstudylendthemselvestoreliabilityand

replicabilityoffindings.Byaskingthesameresearchquestionstoresidentsof

Dimaluotoillicitunderstandingandperceptionsofdevelopment,theresponses

alongwithobservationsoftheimpactsofengineeringprojectsshouldproduce

thesameresults.Theprojectwascarriedoutintwophases.Researchmethods

foreachphase,includingsamplinganddatacollectionaredescribedbelow.

PhaseOne:Purposive,KeyinformantInterviews

Duringphaseoneoftheproject,Iselectedtwokeyinformantstoconduct

purposive,informalinterviewsusingopen‐endedquestionsaboutdevelopment,

andwaterandlanduse.Thesekeyinformantsservedtogroundtruthcertain

assumptionsIhadgainedfromareviewofliteratureondevelopmentimpacts,

andtheareaofnorthwestYunnan.Theseinterviewswereimportantto

determinelocalattitudestowardstheproject,andlaynecessarygroundworkto

beginsnowballsampling.Thisapproachisusedbyanthropologiststobegin

qualitativefieldworkinastudysite(Paolisso;2002).Althoughtheinformation

maybebiasediftheresearcherinterviewsonlyinformantsfromasinglegroup,

theinformationelicitedisanimportantsteptowardsunderstandingsalient

issuesinthecommunity.Thisaddstotheconstructvalidityofthestudyinthat

keyinformantswillunderstandthespecificproblemsfacingthecommunityand

identifywhichquestionswillbestaddressdevelopmentissuesinthevalley

(Creswell;1994).

Theinterviewspresentedahistoricalcontextofthecommunityand

providedrelevantconceptsspecifictotheregion’senvironmentandqualityof

life.Topicsdiscussedintheinterviewsincluded:irrigation,agriculture,

governmentpolicyrelatingtodevelopment,andwaterandlanduse,the

HouseholdResponsibilitySystem,Reforestationpolicies,andspiritual

significanceoftheenvironment.Thesetopicsservedtoinformthemainthemes

ofthesubsequentin‐depth,semi‐structuredinterviewsinphasetwoofthe

study.

PhaseTwo:SemistructuredInterviewsandParticipantObservation

Basedonthekeytopicsprovidedinphaseone,anopportunistic

snowballsampleof30informantswasrecruitedatthestudysite.Insimilar

studies,approximately30informantsweresufficientinreachingconcept

saturationamongalocalcommunity(Dressler;2005,Paolisso;2002).In

additiontoparticipantobservation,in‐depth,semi‐structuredandopen‐ended

interviewswereconductedwiththeseinformantsonabroadrangeofsalient

topicsregardingsocialpolicies,householddemographics,livelihoodstrategies,

andperceptionsofwaterandlanduse,usingthetopicsrecommendedbykey

informantsasaguide.12Theseinterviewsandinteractionsexploredhowthe

12SamplequestionsforthisphasearefoundintheAppendix

ethnicminoritiessubjectivelyunderstanddevelopmentissuesrelatedto

environmentalquality,transparencyofdecision‐making,andimpactsof

infrastructuraldevelopment.Duringmyresidenceinthestudycommunity,I

spentanaverageoffivehoursperdayrecordingobservations.These

observationsfocusedonbasicbehaviorpatterns,agriculturalbehaviorand

otherrelevantoccurrenceswithinthestudycommunityandsurrounding

geomorphology.

PhaseThree:DataAnalysis

Dataanalysisincludedcodingofinterviewsbasedonfrequencyoftopics

andisolatedspecificnodesofunderstandingofdevelopmentprocesses.Once

coded,themostfrequentthemesfoundintheinterviewswereanalyzedto

determinesalientattitudes,perceptionsandvaluesamongtheethnic

minorities.Thesefindingswerethentriangulatedwithobservations

documentedinthestudycommunitythatprovideclearrepresentationsofhow

theDimaluoresidentsunderstanddevelopmentimpactscomparedtoactual

eventsunfoldinginthevalley.Participantobservationisanaccepted

methodologytotriangulatedatainqualitativeresearch(Paolisso;2002).For

example,manyresidentsexpressedthatthenewroadandthehydropower

stationarecausingextremeerosion,whichwaseasilyverifiedbyobservations

oferosionatbothconstructionsites.Theresultsderivedfromthisanalysiswill

directlyinformthediscussionchapterbydemonstratingspecificattitudes

towardsthevarieddomainsofenvironmentandgovernmentpolicyas

experiencedbytheethnicminoritieslivinginDimaluovillage.

ToanalyzethedatacollectedinthisstudyItranscribedallnotestaken

duringinterviewsandparticipantobservationperiods.Ithensystematically

readeachpageofnoteshighlightingreoccurringthemesastheyrelateto

interviewquestionsandthethematicrelationshipsofdevelopmentimpacts

(Bernard;2006;463‐521).Onceeachthemewasappropriatelyhighlightedto

indicatefrequency,Ireanalyzedthetranscripttoillicitnuancedthemesof

specificwordsorphrasesastheyrelatetodevelopmentimpactsonecology,

community,livelihoodandeconomy.

OnceIisolatedtheabovethematicinterpretationsofcommunity

understandingandattitudestowardsdevelopment,IusedMicrosoftExcelto

createdatasetsbasedonfrequencyofthemes.ThenIcalculatedtheaverage

frequencywithwhicheachthemeappearedintheinterviewtranscripts,using

themode.Asameasureoffrequency,themoderesponseistheresponsemost

oftengiventoaquestion,andthereforerepresentsthecentraltendencyof

understandingandattitudesamongapopulation.Identifyingthemostfrequent

referencetoenvironmentalimpacts,suchaserosion,allowsmetoaccurately

describesalientunderstandingsofenvironmentalimpactsamongtheDimaluo

community,andthenidentifyingwhethertherespondenthadeitherpositive,

negativeorsharedfeelingstowardsthedevelopmentprojectstakingplacein

thevalley.

Resident’sperceptionstendedtofocusontheimpactsofinfrastructural

development,especiallyroadbuildinganddamconstruction.Thethemes

expressedintheirperceptionsofdevelopmentimpactsincluded:negative

attitudestowardseconomicandenvironmentalimpacts,positiveattitudes

towardseconomicandenvironmentalimpacts,andperceptionsof

transparency,corruption,andcommunitylevelconflictandgovernmentreform

policies.

Onestepintheanalysisofvillageperceptionsandattitudeswastosee

whetherrespondent’sattitudeswerelargelypositive,negative,ormixed.Using

theChiSquaretestofequalproportions,Ianalyzedtheattitudinal

characteristicsofinformants’responses.TheChiSquaretestcomparesthe

observedresponsesagainstwhatwouldbeexpectedinanormaldistributionto

findsignificanceintheproportionofresponses(Salkind;2008p.264‐275).This

isdiscussedfurtherinthenextchapter.

Researchbias

Respondentswereaskedeachquestionintheinterviewprotocol,

althoughsomeparticipantsrefusedtoanswerquestionsthatdealtspecifically

withimpactsofdamsandroadconstruction.Thisintroducesabias,inthatthe

villagerswhodidnotparticipatemayhavehelddifferentviewsthanthosewho

didparticipate.Arefusaltoparticipatecouldalsobeduetothesensitivityof

damdiscourseintheregion,andthewelldocumentedrepercussionsofdissent

ifthegovernmentdeterminesacitizeniscompromisingsocialstability.The

opportunisticandsnowballsamplingmethodsalsointroducebiastothestudy,

asthevillagerswhowerenotfrequentlyavailabletobeinterviewedwerenot

includedinthestudy.Participantbiasisevidentinthestudyinthatthe

majorityofrespondentsheldsuchnegativeviewsofdevelopmenttheydidnot

reportanypositiveaspects,eventhoughtheymayhavebeenawareofbenefits.

Observerbiasinthisstudywasintroducedfromthestart,asIbegana

criticalexaminationofdevelopmentlookingthroughthelensofpolitical

ecology.Criticaldevelopmenttheoryonlyreinforcesthebiasinthisstudy,

focusingonthenegativeimpactsandpowerinequalitiessooftenfoundin

developmentapproaches.WhileconductingfieldworkIwashighlycognizantof

myownpositionality,andmadepurposefuleffortsnottointroducequestions

orinitiateconversationsthatplaceddevelopmentineitherapositiveor

negativelight.Whenrespondentslamentedoverthetroublestheyare

experiencingfromdevelopmentIlistenedemphaticallywhilerefrainingfrom

anykindofsuggestionthatIwasencouragingthemtocriticizedevelopment.

Chapter4

CommunityPerceptionsofDevelopmentImpacts

“Torealizethatyoudonotunderstandisavirtue;Nottorealizethatyoudonotunderstandisadefect.”~LaoTze

Qualitativedataanalysisrevealedthatthemostimportantthemesof

understandingamongresidentsofDimaluorelativetodevelopmentimpacts

are:positiveimprovementstoinfrastructure,governmentalcorruption,

transparency,negativeenvironmentalandeconomicimpacts(suchasland

seizureordisplacement),andcentralgovernmentpolicies(Listedintable1.1).

Alsoindicatedinthetablebelowareexamplesofresponsesrelativetoeach

interviewquestionasked.

ThematicTable1.1

Interviewquestion ParticipantResponse(example)

DevelopmentImprovements

WhatkindsofeffectsdoyouthinkdevelopmenthashadinDimaluo?

“Itiseasiertotransportpeopleandgoodsontheimprovedroads”

NegativeEnvironmentalImpacts

Whatkindsofeffectsdoyouthinkthedamorthenewroadwillhave?

“Thenewroadisgoingtoruinthevillageandtheriver’secology”

NegativeEconomic/LivelihoodImpacts

Whatkindsofeffectsdothinkthedamorthenewroadwillhave?

“Nowtheirlivesareworseoff,theyhavenoland,andtheydon’thavefreedomtofarm.”

Transparency DidthegovernmentdoanEnvironmentalImpactAssessment?

“Thegovt.hasstillnotsaidwhichhouseholdsaregoingtobeaffected(bythenewroad)andwhatkindofcompensationisoffered”

Corruption DidthegovernmentdoanEnvironmentalImpactAssessment?

“Thegovt.inKunmingisworkingwiththeenergycompanytobuildthedam,theyarecorrupt(fubai)”

45GovernmentReformPolicies

WhatkindsofeffectsdoyouthinkdevelopmenthashadinDimaluo?

“OurliveshaveimprovedsinceReformandOpening”

CommunityLevelConflict

HowdoresidentsinDimaluogetalongwiththedamworkers?

“Someofthedamworkersgotintoafightinthevillage”

Thenextstepinmyanalysiswastoexaminewhetherinformants’

attitudesaboutthedevelopmentprojectswerelargelypositive,largely

negative,ormixed.Basedontherespondent’scomments,speakingeither

favorablyorunfavorablyofimpacts,Iidentifiedeachoftherespondentsas

havingpositive,negative,orinsomeinstances,mixedattitudes.When

respondentsheldbothpositiveandnegativeattitudes,Ididnotattemptto

weighthenumberofstatementstodetermineanoverallfavorableor

unfavorableattitude.Thiskindofanalysiswouldbeinaccurateduetothelack

ofdetailedtranscriptionfromanaudiorecordingthatwouldaccountforthe

exactnumberoftimespositiveandnegativereferencesweremade.13

Respondentswhoreportedexclusivelynegativeattitudestowards

infrastructuraldevelopmentcomprisedthemajority(80%,n=30).Seventeen

percentoftherespondentsidentifiedbothpositiveandnegativeaspectsofdam

androaddevelopment,whileonlythreepercentspokeofonlypositivebenefits

ofdamandroaddevelopment(SeeFig.2.1).

13Asnotedearlier,audiorecordingdeviceswerenotusedduetothepoliticalandculturalimplicationsofspeakingoutagainstgovernmentpolicies.

ThenextstepintheanalysiswastousetheChiSquaretesttodetermine

whethertheobservedproportionofpositive,negativeandmixedattitudeswas

significantlydifferentfromanevenlydistributedsample.TheChiSquaretestis

anequalityofdistributiontest(Salkind;2008p.264‐275).Withahypothesis

thatrespondents’attitudestowardsdevelopmentarelargelyunfavorableata

statisticallysignificantlevel,thenullhypothesiswouldbethatthedistribution

ofpositive,negativeandmixedattitudesiseven.Anevenlydistributedsample

wouldmeanthatoutof30informants,tenheldpositiveattitudes,tenheld

negativeattitudes,andtenheldmixed(bothpositiveandnegativeattitudes)

towardstheengineeringprojects.TheresultsoftheChiSquaretestshowedthat

thedistributionofrespondents’attitudesweresignificantlydifferentatthe

95%confidencelevel(X2=30.2,df=2,p=0.05).Infact,theresultsshowed

statisticalsignificanceatthe99%confidencelevel,indictingthattheobserved

distributionofattitudesdepartsconsiderablyfromtheassumptionofequal

Blue:NegativeRed:positiveGreen:Mixefd Fig.2.1

proportion(positive,negative,andmixed).Thisrejectsthenull‐hypothesis

thatasaruralcommunity,Dimaluoresidentshaveanevendistributionof

attitudestowardsprivateandgovernmentdevelopmentprojects.Inthecontext

ofpublicpolicy,negativeattitudesprovenstatisticallysignificantindicatethere

isspacetoimproveexistingpoliciessothatcommunitiesidentifybenefitsand

arenotsooverwhelminglyopposedtodevelopmentprojects.Inthefollowing

section,Iexploreindetailthecontentsofthesethemesinordertoofferabetter

qualitativeunderstandingoftheperceivedimpactsofdevelopmentinthe

community.

DevelopmentImprovements

Thesmall,flatvalleyofDimaluoisuniqueinthatupstreamanddown

streamthesteephillsidesoneithersideoftheriverpreventlarge‐scale

agricultureproductionandhousingdevelopment.Manyofthehouseholds

outsideofDimaluovillageareperchedprecariouslyonthehillsides,etchedout

ofthesoilandbuiltwithtimber.Thetopographyofthevalleymakesitdifficult

faranykindofexpansionofagricultureorsettlement,soanychangeinlanduse

hassignificantimpactseconomicallyandsocially.

ThefirsttimeIwalkedintoDimaluovillageitwasaboutthreeinthe

afternoon.Ihadbeenwalkingforthreehours,gainingalmostthreehundred

metersinelevation.Iwastired,andmystomachwasnotsogentlyreminding

methatithadbeensevenhourssinceIlastate.Istoppedatthefirstgroupof

peopleIcameupon.Onemaninthegroupworeacowboyhatandheldthereins

toastoutwhitehorse.Theurgencyinmyeyesbetrayedmyself‐controlasI

quicklyrushedthroughformalgreetingsandinquiredwherethenearesthotel

orrestaurantwaslocatedsothatImightgetabitetoeat.Themeninthegroup

allgavemeexaggerated,toothysmileswhilepointingtoallthebuildings

around,sayingthatthereisnorestaurantorhotel,butIcouldlikelyeatandstay

atanyone’shouseinthevillage.TheyjokinglysuggestedIpurchasesome

instantnoodlesfromthexiaomaibu(conveniencestore)theywerestanding

nextto.Thegentlemanwiththehorsethenpointeduptheroadandinathick

TibetanaccenttoldmetherewasaguesthousefurtheruptheroadwhereI

couldfindamealandaplacetostay.

Thereareseveralsmallshops,butcarryonlybasicfood,simple

toiletries,locallymadecrafts,andalcohol.Otherwisethevillageisdevoidofany

amenities,sewage,orwastedisposal.Residentsaredependantonsmall‐scale,

semi‐subsistencebasedfarming,inwhichmostfoodisgrownlocally,and

excessgrain,typicallycorn,isgroundandsoldtoaregionalmarket.Most

improvementstovillagelifecomefromthelaborofthecommunitymembers

andarefundedbytheprovincialgovernment.Forexample,thegovernment

providedthevillagewithconcreteinwhichtobuildanewbasketballcourtand

provideapavedsurfaceattheentrancetotheirhouses.

Positiveattitudesamongrespondentsfocusedontheimprovementsto

transportationandthepromiseofeco‐tourismorienteddevelopment.Positive

attitudestendedtocomefromyoungerrespondentsaged19to22yearsold.

Youngerrespondentsunderstoodthenegativeimpactstoecologyandthe

consequencesoferosiononthesafetyofthevillage.However,these

respondentswereencouragedbythemodernizationofroads,making

transportationmoreefficientandthevalleymoreaccessible.Infrastructurewas

alsoviewedasprovidingaccesstonewtouristinvestmentschemessuchas

guesthouses,barsandrestaurants.OneTibetanmanwhoworkspart‐timefora

guideserviceandoftentravelstonearbycitiestodoconstructionwork

commented;

(Thenewroad)willallowforgoodstobebroughttoandtakenoutofDimaluo.Itwillincreasetourism,briningmoreguesthousesandbarstoDimaluo.

Dimaluoisdividedintotwoseparatevillages,thoughtheyarelocated

lessthanonehundredyardsawayfromeachotherseparatedbytheDimaluo

River.Ontheeastsideoftheriver,whichisaccessibletomotorizedvehicles,

housingdevelopmenthastransformedthevillagefromolderwoodenhousesto

newcementstructures.Housingdevelopmentonthewestsideoftheriver,

lackingaccesstomotorizedtransportation,consistsoflong‐establishedwooden

structuresprevalentintheregion.Thecontrastbetweenthesetwovillages

demonstrateshowtransportationaccessibilitycaninfluencedevelopmentand

promoteimprovementstolivingstandards.Thoughadirectcausal

relationshipcannotyetbedeterminedbetweentheexistingroadandhousing

improvementsinDimaluo,twothingsarecertain—amajorityofresidentsdo

notseetheneedforanewhighwaypassingabovethevillage,andresidentson

thewestsideoftheriverperceiveaneedforimprovedhousing.

ThemostcommonlymentionedimprovementswereattributedtoDeng

Xiaoping’sreformandopeningpolicies.Thesepoliciesareperceivedasthe

drivingforcebehindeconomicgrowthinthevillageandgreaterfreedomof

religiousexpression.Asapredominatelycatholiccommunity,Dimaluowas

subjecttoreligiouspersecutionduringtheCulturalRevolution,inwhich

churcheswereclosedandreligiousfollowerswerecriticizedforhaving

backwardthinking.Asthereformsgraduallyreorganizedtheagriculture

collectivesandpermittedfarmerstoleaselandandgrowcropsoftheir

choosingtosellforprofit,farmerssawslightincreasesintheirstandardof

living.Theincreaseineconomicproductivityalongwithreligiousfreedomis

creditedwithimprovingthequalityoflifeinthevillages,thoughonlybyasmall

amount.

Our liveshave improvedsinceReformandOpening.Beforewe didn’t have our own businesses,we traded for things, nowwecanbuythem.Withthisdevelopmentourlivesarealittlebetter,wehaveTV,electricity,roads,butthebenefitsaresmall.—50yearoldTibetanmanwhomakesyakbutterteachurns

Otherpositiveattitudesexpressedduringinterviewsweredirected

towardthereformandopeningpoliciesofthe1980’sthatreallocatedland

basedonthetownship‐villageenterprisesystem,whichallowedfarmersto

leaselandandgavegreaterfreedomsovercropproduction.Respondants

expressedthatreforms,whichprovideflexibilityinwhattheycandowiththeir

landandprivateenterprise,werefavored.AndinthecaseofDimaluovalley,

severalrespondentsnotedthatpostMaoreformshaveallowedthemtofreely

practicetheCatholicreligion,whichwereviewedmorefavorablythan

developmentprojectsthatwereimposeduponthem.

Thepositivenatureofresponsesamongparticipantsinregardto

governmentreformpoliciesindicatesthatnationallevelreformsarehavinga

positiveimpactonrurallivelihood.WhileconductingfieldobservationsInoted

thatasatellitedishandcolortelevisioncouldbefoundineachhousehold.

Negativeenvironmentalimpacts

ThesecondtimeIwalkeduptheroadfromtheNuRiver,towards

Dimaluovillage,someconstructionworkersinhardhatswhowereworkingon

theroadstoppedme.Aftergettinganodfromanotherworker,theyletmepass

onanarrowsectionofroadthatwasmostlycoveredinrockdebrisandsoil.AsI

passedtwoworkerssquattingaroundatreetrunkInoticedthedistinctshape

ofdynamite,withalongfuseprotrudingfromoneendwaitingforaspark.I

quicklyrealizedthatIwasinaplacethatwouldsoonnolongerexist,and

movedonpost‐haste.Afterjoggingahundredyardsdowntheroadand

aroundabendIdecidedtostopandwatchthefireworks.Severalworkers

continuedonpastme,andhidbehindlargeboulders.Theblastsenta

thunderousroarandshockwaveupthegorge,shakingtheearthanddrowning

outtheDimaluoRiverjustbelow.Iwokefromthesuddenshockofthemoment

tobaseball‐sizedrockslandingaroundmeineverydirectionandquicklytook

cover.Theaftermathofthisexplosion,alongwithuntoldothersalongtheriver,

leftdebrisslidingintotheriverasthehillsidebecamedestabilizedfromthe

blast.Iimaginedthissamescenariotakingplacejustabovethetranquilvillage

ofDimaluoandunderstoodwhytheresidentsofthevillageweresodisturbed.

TheimageaboveisofthedamandpowerstationinDimaluoValley(thepowerstationisontherightbelowtheerodedhillside).Photoby:MarcoClark

Negativeimpactsreportedbyinformants,ineachinstance,referenced

erosionofthehillsidesandtheuncertaintyofwhowillbeaffectedfromthe

damagecausedbythenewroad.Otherconcernsrelatedtotheenvironment

includedwaterquality,andthebeliefthatthenewroadanddamwillthreaten

theecologyofthevalley,whichincludesthesurvivalofplantandanimal

species.Erosionisseenasbothathreattosecurityalargelandslideovera

decadeagokilledovertwentypeopleinavillageup‐riverandlandslides

continuallyruinthescarcelandavailableforagriculture.Thevillagedoctor,one

obviouslyconcernedwiththewelfareofDimaluo’sresidents,exclaimed;

The new road will ruin the shencun (village), the existence andecology of this place. A landslide happened last year where thepowerstation is. I thinkthepowerstationwillendup intheriversomeday(helaughs).

Observationsmadeatthestudysiteconfirmedthepresenceoftopsoil

erosionaroundconstructionsites.Atthedamsiteandalongthenewhighway

thehillsidehaslostallvegetationandloosedebrisextendsdowntotheriver.

Erosionmayalsocontributetofutureproblemswiththedam,asthereservoir

spillwaysmaybecomepluggedwithdebriscausedbyconstructionofthenew

highway,generatingacatastrophiccircumstanceforthoselivingdownstreamin

theeventofadamfailure.Damfailureisadistinctpossibilitysinceitisan

embankmentdam—whicharenotoriousforexperiencingrapiderosion

eventswhenwaterbeginstoflowoverthetopofthedam(Yochum;2008,p.

1285).14

Itisimportanttonotethatwhilethemoderesponseindicated

environmentalimpactsasthemostfrequentnegativeimpact,thecontextin

whichthisimpactwasdiscussedwasmoreorientedtowardsinsecurity,safety

andlandloss—ratherthanimpactsonspeciesandecosystemservices.Asa

mentorofgroupfacilitationoncetoldme;“itismoreimportanttolistentowhat

isnotbeingtalkedabout”—whichinDimaluoistheecologicallynuanced

impactsofsedimentloadingintheriverandlossofhabitat,amongothers.

Negativeeconomicimpacts

BeforestrikingoutonmyowntotraveluptheNuRiver,andeventually

theDimaluotributary,IstayedinthecityofNanjingforafewdaystocatchup

witholdfriends.Naturallytheywerecuriousastothepurpose,or“mudi,”ofmy

visit.ItoldthemIhadcomebacktoChinatoexploretheimpactsofdam

constructioninYunnanProvince,andtofindouthowethnicminoritieshad

beenimpactedbydevelopment.Myfriends’immediatereaction,astheyleaned

backandeyesgrewwider,forcefullytoldmethatdevelopmentinruralYunnan

14Seehttp://www.simscience.org

was“henkuai”15(veryurgent),andthatthepeoplewholivedtherewere

amongthepoorestinChina.Itriedtoreassurethemthatcriticismsofdam

developmentdoesnotnegatetheimportanceofdevelopment,andthat

hydropowercontributestoregionaldevelopmentasawhole.Thisledtoan

interestingdiscussionaboutdevelopmentprocessesandexternalities,though

myfriendsremainedconvincedthatanydevelopmentintheregionshouldbe

consideredasuccess.ThisillustratesthepragmatismofChinesesociety—

particularlyamongurban‐dwellingHanChinese,andthealmostfatalisticnature

ofimpactsfromdevelopmentasinevitableconsequencesandsacrificesthat

comewithprogress.

EconomicimpactsinDimaluodealtmostlywiththeproblemoflandloss.

Informantsclaimed16toknowthefamilieswhoweredisplacedbythedamin

2003—aroundthesametimeChina’snewEnvironmentalImpactAssessment

Lawtookeffect.Theyreported,asdidawomanIinterviewedwhowasherself

displaced,thatcompensationwasinsufficienttobuyanewhouse,andthe

compensationmoneyquicklyranout.ManyoftheresidentsofDimaluoare

concernedthatthenewroadwilldisplacemorepeople,andthegovernmenthas

notrevealedwhowillbeaffectedandhowthoseimpactedwillbecompensated.

15Italicizedforemphasis

16Thisclaimiseasilysubstantiatedthroughparticipantobservationofsocialintegrationandrespondentsreportingthattheywerefamiliarwithorrelatedtoalmosteveryoneelseinthevillage,includingthosedisplacedbythedam.

InChina,perhapsthemostinsidiousofeffectsfromdevelopmenton

economiclivelihoodistheseizureofland.Thosewhoaredisplaced,orloseland

duetoreservoirfloodinganderosion,areveryunlikelytoacquireanotherlease

ofanamountandqualityequaltothelandtheyleasedbeforehand.Asthe

world’smostpopulouscountry,landisscarce,andresettlementalmost

certainlymeansrelocatingtoanurbanenvironment,whichisforeigntothose

fromafarmingculture.Often,compensationisinadequatetomeetingtheneeds

oftransformingtheequityoffarmingknowledgetothedemandsofurbanliving

andurbanoccupationalskills.Onesmallbusinessownerandfarmertoldme

They have already spent the compensation money (2030,000Renminbi).Theynowno longerhave enough to eatandhave losttheirfarminglivelihood.

Similarly,awomandisplacedbythedamrecountedthat:

The power company made us move. They (the power company)gaveus10,000Renminbianddidn’tpayforanewhouse.Theydon’tcareaboutus,theywouldn’tevencareifwedied.

Itisnaturaltoassumethatinfrastructuraldevelopmentwouldbring

moreeconomicproductivitytoDimaluo,creatingjobs,andincreasingdemand

forgoodsandservices.However,basedonmyobservationsandinterviewsthis

hasnotbeenthecase.Severalrespondentsreportedthatduringtheearly

phasesofdambuildingsomelocalresidentswereemployedaslaborers,though

oncetheprojectnearedcompletiontheywerelaidoff.Thepowercompany

seemsunconcernedaboutemployinglocalresidentsinapermanentcapacity.

OneformerlaborerandresidentofDimaluoexclaimed,

They(powercompany)willnotgiveusanytrainingtoworkatthedam.Allwecandoismovetothecitytofindconstructionjobs.

Fieldobservationsindicatethatmuchofthevillages’agricultural

productivityisdirectedtowardssubsistence‐basedfarming.Somegrainsare

soldforoutsidemarkets;however,duetotheremotelocationofDimaluo,

transportationcostsandaccessibilitymakelong‐distancemarketssub‐optimal.

Transparency

WalkingisanimportantpartoflivinginDimaluoValley.Inordertovisit

anyoftheuppervillagesinthevalleyonemusttaketonarrowtrailsthat

switchbackuptheflanksofthevalleyalmostathreehundredmetersabovethe

valleybelow.EachThursdaymembersoftheelevenothervillagesupthevalley

descendonDimaluotoparticipateintheweeklymarket,playbasketball,and

visitoldfriendsandfamilymembers.Theatmosphereduringthistimeis

festive,astheolderwomendressintraditionalclothingwhiletheyoungmen

donbasketballjerseysforthebiggame.Drinkingandsocializingcontinuesinto

thelateafternoonastentsslowlycomedownandsalesmenpackuptheirwares

andreturntotheirhomessomewherealongtheNuRiver.Theweeklymarkets

addtothecontinuityofDimaluo,justliketheafternoonmonsoonalrainstorms,

thebirdschirpingintheearlymorningjustbeforethesunrises,theringing

ofchurchbellsonSundaymorning,andthesteadyrushingsoundoftheriver

thatpermeatesthevalley.Itisnosurprisethatanydisruptiontothiscontinuity,

realorimagined,causesamajordisruptiontocommunitylife.

Thegovernmentplansonbuildinganewhighwaybisectingthemountainontheleft(east)sideofthevalley.Photoby:MarcoClark

Governmenttransparencyisacentralissuetotheconflictover

developmentinthevalley.TherespondentsIspokewithareawareofChina’s

EnvironmentalImpactAssessmentLaw,andinformedmethattheyarecertain

thatofficialsdidnotcompleteanimpactassessmentforeitherthedamornew

road.Inaconversationwiththevillageleaderheinformedmethathehad

solicitedtheprovincialgovernmentfourtimestoprovidehimwiththe

impactassessmentforthenewroad,butthegovernmenthasnotyetresponded

tohisrequests.Otherinformantsnotedthatifthegovernmentdiddoanimpact

assessmenttheydidnotincludeanyofthevillagers,whichismandatedin

China’sEnvironmentalImpactAssessmentLaw.AmiddleagedTibetanman

reportedthat,

They (Provincial government officials) say they’ve done animpact assessment but they haven’t told anyonewhat the resultsareandnooneknowsifandwhentheydidit.Theydidnotconsultwithanylaobaixing(commonpeople).

Thebiggesttransparencyconcernfortherespondentsisthelackof

informationregardingwhomthenewpublichighwaywillimpact.Thishas

generateduncertaintyamongthevillagersandraisesquestionsastohowmuch

compensationwillbegivenandwheretheywillberelocatedifnecessary.One

32year‐oldmalefarmertoldmethat,

Someofus(villagers)willhavetomove,butthereisnowheretogo,andthegovernmenthasnottoldusanything.

TheuncertaintysurroundingthefateofDimaluohasgeneratedanxiety

amongthevillagers,andinmostcaseshassharpenedthedistrustofprovincial

levelgovernance.Afterspeakingwithmanyofthevillages—inbothinterviews

andinformalconversations—Iwasleftwiththesensethatprovinciallevel

administrationwaslessconcernedwithinformeddecision‐makingand

communitybuy‐inofpublicprojects,andmoreorientedtowardsatopdown

decision‐makingprocessthatmettheneedsoftheprovince.Moreover,the

linkbetweenprovincialofficialsandenergycompaniesindecision‐makingis

viewedbyDimaluoresidentsasethicallydubiousatbest.

Corruption

Theinfluenceofgovernmentofficialsoverlocalpoliticsandpoliciesis

wovenintointricatepersonalrelationshipsandsocialnetworksknownas

guanxi.Wheretheculturallyacceptednormofguanxiendsandcorruption

beginsisagreyarea,andsubjecttointerpretationbasedonthedistributionof

benefitsintheoutcome.Oftenpoliticalpowerisabusedinthemoreremote

areaswherethereislittleoversightfromhigherlevelsofadministration(Gong;

2006p.86).Decentralizationpolicieshavearguablyincreasedtheincidenceof

lowandmid‐levelcorruptioninruralareasasprivatecompaniesviefor

ownershipofdismantledStateOwnedEnterprises(SOEs)andpayofflow‐level

officialsasintermediaries(Gong;2006p.88;Sieh;2005p.68).

Identifyingincidencesofcorruptionasanoutsiderisdifficult.Ioften

lookforclues,sometimeswhenpassingthroughrestaurants,noticingmenin

businesssuitsdrinkingandeatingmiddaywithothermeninPublicSecurity

Bureauuniforms.Itrynottoletmybiaschannelmythoughts—yetsomething

aboutthistypeofsceneisunsettling—asthoughaselectgroupinChinahas

accessandinfluencefargreaterthantheaveragecitizen,letaloneethnic

minoritieslivinginthecountryside.

Perceivedcorruptionamonggovernmentofficialsandenergy

companiesisthoughttobeoneofthedrivingforcesofdevelopmentinthe

valley.ItisthebeliefamongseveraloftherespondentsinDimaluothat

governmentofficialsarereceivingkickbacksfromenergycompaniesifthey

approvehydropowerdevelopmentprojects.Expressinghisoutrageoverthe

developmentprojects,one52year‐oldTibetanshopownerexclaimed

Fubai!(Corruption!)Thatiswhytheyarebuildingthedam.Thatisthemostimportantthing.

Similarly,afarmerwhorunsasmalltrekkingbusinesssaidthat,

The government is collaborating with the energy companies.Meanwhile,thelaobaixing(commonpeople)arepoor.

SomescholarsclaimthatcorruptioninChinawillbetheCommunist

government’sundoing,aswidespreadreportsofmalfeasancecontinueto

underminelegitimacyandcorrodesocialorder(Han;2008,Gong;2006).The

greaterconsequencesofcorruptioninruralChinawillbefurtherdiscussedin

thenextchapter.

CommunityLevelConflict

OneafternoonIdecidedtowalkdowntothedamreservoirandmingle

withtheworkers.Ihappenedupontwoyoungermenmillingaboutahousing

unitbuiltfortheworkers.ThisparticularunitwaslocatednearesttoDimaluo

village,awayfromtherestofthedamworkershousing.Theunitwasfencedin

withmenacingstrandsofbarbedwire,whichstoodincontrasttothewarm

greetingsofferedbythetwomen.Iengagedtheminaconversationaboutthe

dam,askinghowhighthewaterwouldreach,whatimpacttheythoughtthe

damwashavingonthevillage,howoftentheyvisitedDimaluotointeractwith

thelocals.

Theprimaryconflictidentifiedbyrespondentswasconflictbetween

damworkersandvillagers.Participantobservationrevealeddiscordbetween

thedamworkercommunityandtheresidentsofDimaluo.Thoughlocatedonly

approximatelyonehalfofakilometerfromthevillage,therewaslittletono

interactionbetweendamworkersandvillagers.Initially,somevillagerswere

employedaslaborerstobuildthedam.However,nowthatconstructionhas

beenmostlycompletedvillagersdonothavetherequisiteexpertisetoworkon

thepowerstation.Thisproducedconsiderableresentmentonthepartoflocal

villagers.AsoneTibetanfarmer/laborerputit,

Hanzu (Ethnic Han Chinese) move here to open shops and doconstruction.Itishardfordandiren(farmers)tofindworkoutsideofDimaluo.Thereasonlifeishardnowisbecausewecan’tworkonthepowerstationorthenewroad,andagricultureislessnowthanitwasbefore(development).

Thereisasenseofdistrustbetweenboththeconstructionworkersand

thevillagers.Awomanwhorunsasmallstoreatthepowerstationcampsite

explainedthatshedoesnottrustthevillagers,whoshethinksmightstealfrom

herbecausetheyare“sopoor.”DuringmytimeinDimaluoInoticedthatthe

damworkercommunityisolateditselffromthevillage,andinter‐community

interactiondidnotseemtobepresent.

Itisevidentfromthesefindingsthatthecommonpeople,or“old

hundrednames”(laobaixing)ofDimaluodonotperceivethedamandnewroad

asbeneficialtothem—botheconomicallyandtotheecologyofthevalley.This

perceptionhasbeendrivenbyinadequateinformationprovidedbythe

governmentastowhatspecificimpactsthenewroadanddamwillcause.

Moreover,giventheirperspective,villagersaremoredistrustfulofgovernment

officialsandmorelikelytofeelviolatedbydevelopmentthanassisted.Inthe

nextchapterIwilldiscusssevensocio‐economicindicators—largelydeveloped

fromthisresearch,andofferarevolutionarypolicy/developmentplanto

remediatemany,ifnotallofthenegativeimpactsassociatedwithdevelopment

inDimaluo.

Chapter5

TowardsResponsibleDecisionMakingandTransparency

“Hewhotalksmoreissoonerexhausted”~LaoTze

DatacollectedinDimaluoduringthesummerof2008demonstratesthat

impactsfrominfrastructuraldevelopmentprojectssuchasdamandroad

constructionarecomplexandfarreaching.Suchimpactsrangefromanincrease

inalcoholconsumptionandbehaviorsconsistentwithalcoholism,toecological

impactsthatthreatenhumansafetyandagriculturalviability.Thisstudyhas

demonstratedwithhighlevelofsignificancethatresidentsholdanegativeview

ofengineeringprojectsinthevalleythatareseentohavelittletonobenefitto

thelocalcommunityandhavepotentialnegativeimpactstolivelihoodsand

environmentalhealth.Thisanalysishasprovidedindetailthenuancedopinions

oflocalperceptionsofdevelopment,linkingacommonunderstandingofhow

developmentimpactsthecommunitythroughsharedperceptionsofsocio‐

economicstatusandenvironmentalthreats.

Byitsdefinition,appliedanthropologyisusedinsomeway,shapeor

formtosolvepracticalproblems.Sometimestheproblemathandcenterson

imbalancesofpowerandaccesstopoliticalresources,suchasthecasein

Dimaluo.Wheninequalitiesofpowerareevident,anthropologistshavetaken

theroleofadvocatetoraiseawarenessofinequalitiesandtherightsof

indigenouspeople(Kirsch;2002).Advocacycanalsocomeintheformof

protectingintellectualpropertyrights,landownership,andpreserving

traditionalculture(Baueretal;2006,Kirsch;2002).

Afaircritiqueofthisthesisistosayitisapieceofadvocacy,not

scholarlywork.TothischargeIrespondbysayingthatwemustcutthethreads

ofindifferencethatarewoundinidealsofdetachedinvolvementandobjective

science.ThestoryofDimaluoisinextricablyboundtotheexperienceofits

residents,andcannotescapetherealityofpowerlessnessinthefaceofchange.

Itismyobjectiveinthischaptertoillustratealternativeapproachesto

developmentinDimaluoinordertomitigatenegativeexternalities.AsHastrup

andElsassnoteinthearticletitle“AnthropologicalAdvocacy,”“Itisthedutyof

anthropologytoshowthatotherfuturesarepossible,anditiswithaviewto

thisdutythatadvocacymaysometimesbeseenasanacuteimplicationof

anthropologyforanypractitioner”(1990,p.308).

Thefollowingdiscussionwilladdresssevenconceptualsocio‐economic

impactindicatorscreatedbytwootherscholarswithinputbasedonthis

researchstudy.17Thisdiscussionwillbefollowedbypolicyrecommendations

fortheDimaluoRivervalley,basedonfindingsofthisresearch.These

indicators,whichhavebeendevelopedbythemultidisciplinaryresearchteam,

include:socialcohesion,culturalchange,localhydropower,healthimpacts,

17PhillipBrownofColbyCollegeandBryanTiltofOregonStateUniversityformulatedthesesevenindicators.

income,wealth,macroimpacts.Mygoalinthischapteristooutlinehowthe

findingsofmystudymayhelprefinethedevelopmentoftheseindicatorsinthe

on‐goingIDAMproject.

IDAMIndicators

TheIDAMtoolisamulti‐disciplinaryresearchprojectaimedatdeveloping

aninformativemodelingtooltoassistdevelopmentplannersinselecting

appropriatesitesforhydroelectricdams.The1992UnitedNationsconference

onEnvironmentandDevelopmentrecommendedthreespheresofdevelopment

impactsbestudied—socio‐economic,biophysicalandgeopolitical—and

weighedsoastoreducetheoverallimpactsofdevelopment(Brownetal.;

2008).InresponsetotheserecommendationstheIDAMtoolis“aconceptual

modelthatexplicitlycallsforavarietyofdisciplinaryperspectivesinevaluating

thepositiveandnegativeimplicationsofdamconstructionandremoval.This

toolalsoovertlyacknowledgesbothobjectiveandsubjectivevaluationsfora

transparentconsensus‐buildingevaluationofdams”(Brownetal.;2008p.5).

Thefollowingdiscussionisbasedonmyobservationsandqualitativedata,

whichassistedthemultidisciplinaryteaminselectingimpactindicatorsto

valuatesocio‐economicimpactsofdamdevelopment.

SocialCohesion

Intraandextra‐familyrelationshipswerevitalpointsofsupportinDimaluo.An

ethnicmixofLisu,Nu,TibetanandDulongpopulatethelowervalley,while

ethniccompositionismostlyLisufurtherupinthemountains.Mostofthe

householdsinDimaluohavesomekindofrelationalconnectionthrough

marriage.Thisisuniquetotheextentthatintermarriageamongdifferentethnic

groupsisrelativelyuncommoninChina(Harrell;2001).Disarticulationofthese

networksandrelationshipsisanegativeimpactinthatthesenetworksarevital

duringtimesofeconomichardship,cropharvesting,andinter‐household

tradingofcrops.Amongthevitalnuancesofcommunityrelianceandsocial

cohesion—andavaluableexperienceIwasabletopartakein,arefuneral

ceremonies.

DuringmystayinDimaluomyhostJohanna’sfatherpassedawayaftera

fatalfallfromahillsidewhileharvestingcotton.Beforehisbodywasfoundthe

communityofDimaluobandedtogetherasvolunteerscameforwardtojointhe

searchparty.OnceJohanna’sfatherwaslocated,morecommunitymembers

arrivedatthehousetoperformacustomaryslaughteringofapig.Thesupport

providedbycommunitymembersduringthefuneralprocesswas

understandablyimperativetoJohanna’sfamilyandtheirgrievingprocess.

Disarticulationfromcommunityandfamilyremovespeoplefromavital

resourceofcommunity,duringatimewhentheyneedsupporttohelpthem

throughdifficultchanges.Developmentthatprotectssocialcohesionwill

minimizedisplacement,oratbestensurethatdisplacedpeoplehaveaccessto

formercommunitiesorcanassimilateeasilyintonewcommunities.Thisimpact

maybemitigatedintheNuRivervalleyduetotherelativehomogeneityof

ethnicities,languages,religion,andprevalenceofethnicintermarriage.

CulturalChange

AgrarianculturepervadesDimaluovalley.Thevalleyhasbeeninhabited

forgenerations,formingatiethatbindsthepeopletothisplaceisthelandand

theculturaladaptationsthathaveallowedthemtopersistinthisdifficult

landscape.Amoreearnestwayofframingthisrelationshipmightbeto

understanditasasenseofplace,communityandbelongingtothevalley.

Perhapsthemoststrikingculturalfeatureinthevalleyisthenumerous

churches,whichstandasornamentsofpastmissionaryinfluenceinthevalley.

Towhatextentdevelopmentwillimpacttheseculturaltraditionsisuncertain;

however,displacementandrelocationtoanurbanenvironmentwill

undoubtedlytransformhistoricaltiestotheland.OneafternoonmyTibetan

friendAluoandIweresittingoutsidetalkingwhenhepointedtoasmallbird

thatlandednearby.Aluotoldmethattheweatherwouldchangesoon,indicated

bythepresenceofthebird,whichcomesdownfromthehighermountainsjust

beforefallarrives.Nuancedecologicalinformationisstoredincultural

traditionsandknowledge,andcouldbelostifthepopulationcarryingthe

informationisdisplacedtourbanenvirons.

LocalHydropower

Governmentofficialsandprivateenergycompaniesviewhydropower

developmentasbenefittotheruralcommunities.However,thesebenefitsseem

marginalatbest,aslocalshaveseenenergypricesincreaseandareunableto

usepowergeneratedbythesmallhydrostations.Aresidentinthenearbytown

ofGongshanontheNuRivervoicedthissamecomplaint.Whilecookingme

dinnerhegaveanexasperatedsigh—thepowerhadgoneout,again,andhe

emphaticallytoldmethatthesmallhydrostationshadnotbroughtdownthe

priceofelectricity,buthadonlycausedmorepowerfailures.Thepower

generatedbyallofthesmallhydrostationswillbeshippedtoLijiangand

Zhongdian,twolargeurbanareasontheothersideoftheBiluomountains.This

leaveslocalswithonlyexternalitiesoferosionandlossofland.Moreover,many

residentsbelievethatbenefitsshouldnotovershadowthecoststoecologyand

threatsoflandslidesandfloods.

HealthImpacts

Damdevelopmentoftenleadstoadeclineinwaterquality,andposes

riskstohumanhealth(Jian‐chuandSalas;2003).Whileitisunclearthatan

increaseintoxicityhasoccurredintheDimaluo,residentsofDimaluovillage

informedmethattheydonotrelyontheriverasaprimarywatersource.

Rather,thewatersupplyforthevillageisdrawnfromspring‐fedcisterns.The

spring‐fedcisternsareusuallysufficientinsupplyingwatertothevillage,

however,duringthedrymonthsfromNovembertoJanuary,thespringshave

beenknowntodryupuntillatewintermeltingrechargesthesubsurfaceflow.

Duringthetimewhenthespringsaredry,thevillagewilluseanalternate

spring,conservewater,andifneedbewilluseriverwater.Whiletheexact

geologyandhydrologyofsubsurfaceflowandrechargerateisunknown,one

couldexpectthatthewatercatchmentschemedevisedbythehydropower

engineerswillimpactthesubsurfaceflow,disruptingtherechargerateof

groundwaterfedsprings.Furthermore,studieshaveshownthatroadbuilding

candisruptpeakdischargeresponsesinstreamsthroughsubsurfaceflow

interception(Jones;2000,seefig2.1).Thepotentialconsequencesofdecreases

insubsurfaceflowfortheresidentsofDimaluoincludeagreaterrelianceon

riverwater,asourcethatisknowtobepollutedbyvillagesfurtherupthe

valley.

Income

Economicactivityinthevalleyconsistsmostlyofsmall‐scalemercantile

businesses,farming,orgenerallabor—ofteninlargerurbanareasoutsideofthe

valley.Damsandhighwaysmeanlessavailablelandforharvestingcropsand

medicinalherbs,mushroomsandroots,resultinginanegativeeconomic

impact.ThereissometouristactivityinDimaluo,butnotmuch.Asmall

trekkingserviceandguesthousehostsanumberofChineseandforeign

backpackerswhoreachthisremoteareainsearchofadventuretravel.Oncethe

newroadisbuiltaboveDimaluoacircuitfromLiukuthroughDeqin,Zhongdian,

LijiangandDali—enormouslypopulartouristdestinationsinYunnan—the

touristindustryinthisregionisgoingtoexplode.Nowwouldbeagoodtimeto

Fig2.1

investintouristdevelopmentschemes,whichisexactlywhatmanymigrants

totheareaareseekingtodo.Forexample,oneofthedamengineersisplanning

toturnthereservoircreatedbytheDimaluodamintoa“waterpark”.Perhaps

thelocalpeoplewillbenefitfromtheexternalitiesofthistypeofdevelopment,

althoughitismostlyoutsiderswhohavethecapitaltoinvestinsuchschemes.

Wealth

WealthisatrickyconceptwhentalkingaboutChina.Nottoolongago

duringtheCulturalRevolution(1962‐1976)itwasconsideredacrimetobea

“capitalistroader”,andwealthylandownersweresummarilyroundedupand

publicallycriticized,evenbeatenandmurdered.Thesedays,wealthcanbe

consideredaslandandhousingvalues,particularlysincetheOctoberplenary

sessionof2008,iffolksarereallyabletomortgage,buyandsellleasesforprofit

(Lam;2008).18Housingvaluesinthepoorervillagesarelow,about1000RMB

forastandardwoodenhouse.Manyrespondentscomplainedtometheywould

prefertoliveinamodern,cementhouse.Thiscouldbeapositivebenefitof

relocationifvillagerswereprovidedbetterhousing.However,ifimpactsleadto

inadequate,ornoaccesstofarmland,andadjustingtoanurbanenvironmentin

whichtheymustpayrent,theeffectsofdisplacementwillundoubtedlybe

18ThoughPresidentHuJintao,inhisopeningkeynotespeechinthe3rdplenarysessionofthe17thcongress,statedthatheintendedto“ceaselesslyincreasethescaleofpreferentialpoliciesfortheagriculturalsector”,byallowingfarmerstotransferlandleasesonanopenmarket,therehasnotbeenanychangetotheconstitutionallowingthemtodoso(Lam;2008).

severe.Moreover,sincelandleasesarepasseddownfromgenerationto

generationtheseeffectswillcontinuetoimpactfuturegenerationsiffamilies

failtoadapttourbanlifestylesandgainaccesstoeducation(He;2007p.28).A

partofthisindicatorshouldaccountforcompensation:whatkindof

compensation,howlongisthedistribution,andisitsufficienttoestablish

familiesinapositiontobuildcapacityinnewenvironments.

MacroImpacts

Macroimpactsaccountfortheoverallcostofresettlement,

infrastructureandthepresentmarketvalueofcommercialhydropower.This

indicatorweighsthetotalmonetarycostsofdamconstructionagainstthe

potentialmonetarybenefitofsellinghydropower,exclusiveofallothersocial

andenvironmentalimpacts.Theprofitfromhydropowercanbetaxed,thus

benefitingthecountyandprovinciallevelgovernments.Thiscouldhavetrickle

downeffectsthatultimatelybenefitruralfarmers.

Creatingtheseindicatorsamongthenumerousandcomplexsocio‐

economicimpactsofdamconstructionisnoeasytask.Myroleinthisprocess

hasbeento1)groundtruthcertainassumptionsaboutdamimpactsand2)

critiquethemeritofeachindicatorsothatitaccountsforasmuchcomplexityas

possible,oratleastreflectsanaccuratepictureofwhatweshouldbe

measuring.Myfinalcritiqueoftheseindicatorsisoneoftemporalscale.

LivelihoodscanreachakindofequilibriuminplaceslikeDimaluo,where

changescomeatapacethatiseasilydigestedbytheculture,andtheculture

inturnadaptstothesechanges(Barger;1982p.17,Pottinger;1987p.306).

Whenlargedisturbancessuchasadam,ornewhighway,fundamentallychange

equilibrium—orinsomecasessuchasresettlement—removeequilibrium

altogether,howcanweaccountfortheimpactsonsuccessivegenerations?I

willaddressthisquestionlateroninthediscussionofcatalyticeffects.

PolicyImplications

DevelopmentDiscourse

Thisstudyhasimplicationsforthewaythatdevelopmentdiscourseis

carriedoutinChina,andthroughouttheworld.AsChinabeginstotransition

froma‘state‐planned’economytoacomplex,private,civilorientedeconomy,

provincialandsatelevelofficialsshouldensureresponsiveaccountingfor

developmentimpacts.Theconsequencesforignoringthesubtleandobvious

impactsofdevelopmentareevidentinthediscordamongruralChinese—who,

onceimpactedbydevelopmentprojectstendtovoiceopposition.Publicprotest

oftenescalatesintoriotsanddeepensthedivideamongeliteofficialsandrural

farmers(Jacobs;2009).19Theresidentswerenotincludedinthedecision‐

makingprocessesatanylevelofvillagegovernment.Includingtheconcernsof

19Therewereapproximately120,000incidentsofriots,protests,orstrikesin2008,manyofwhichoccurredoverillegalconfiscationofpropertyandgovernmentcorruption(Jacobs;2009).

thevillagerswouldseemtoalleviatesomeofthenegativeimpactsofthe

developmentprojects,thusaffectingtheattitudesheldbyvillagers.

ParticularlytroublingtoresidentsofDimaluoistheperceivedcorrupt

relationshipbetweenprivatepowercompaniesandprovincialandcounty

officialswhobenefitfromhydropowerdevelopment.Partofthisperceptionlies

indisparityinwealthbetweenruralfarmersandurbanpopulations.

Aggravatingthesituationarereportsinthemediaoframpantcorruptionin

ruralareas,whichcontributetothesentimentthatlocallevelofficialsarenot

trustworthyandactonlyinself‐interest(Han;2008p.146).Inordertoassert

theircredibilityinruralareas,provincialandcountygovernmentofficialsmust

ensuretransparencyandinclusionindecision‐making,whichmeansallowing

ruralresidentstoobserveandparticipateintheprocessbywhichdevelopment

projectsarecreatedandimplemented.

Theadvantagestoamoreinclusivedecisionmakingprocess,whenit

comestoinfrastructuraldevelopment,include;communitybuy‐in,increased

communicationamongstakeholders,reducedconflictamongstakeholders,

increasedtransparency,andtheinclusionofspecializedknowledgethatcan

onlybeacquiredbyexperiencingacertainecosystem(Ostrom;1990,McKean;

1998).InElinorOstrom’sbook,GoverningtheCommons,(1990)sheprovidesan

analysisofcommonpoolresourceissuesandoutlinesvariousapproachesto

solvingtheseissues,whilecritiquingtheeffectivenessofactuallydeveloping

collectivegovernancethatleadstosustainableresourceuse.Ostromisa

proponentofcollectiveaction,whichcanbedescribedasthebuildingofopen

dialogueandtrustamongadversestakeholdersinresourcemanagement

conflict.Shearguesthatthisprocessleadstogreatermutualtrust,self‐

accountabilityandcooperationbetweenstakeholders.

ApplyingOstrom’sframeworktothepolicyanddecisionmakingprocess

practicedbyChinesegovernmentelitesisnoeasytask.Thetop‐downpower

structureinChinaleavesnobargainingroomorinclusionofdifferent

stakeholdersinthestate–leveldecision‐makingprocess.However,the

potentialforcollectivegovernanceincreasesatmorelocallevels.Township

VillageEnterprisesandHouseholdCollectivesarealreadyoperatingina

“boundedterritory”withclearlydefinedmembership,twoofthekeyfeaturesof

self‐organizationincollectivegovernance(Ostrom;1990p.56).Inthissense,

appropriatorscaneffectivelymanageself‐organizedcollectives,whichinthe

caseofmanyChinesevillageshasbeenthetraditionalstructureoflandtenure

forcenturies.Themoderndayfailureofthesetraditionalsystemshasbeenat

thehandsofgovernmentpolicymakers,whoseeconomicdevelopmentschemes

havecreatedindividualisticmarketincentivesandopaquedecision‐making

processesthatunderminetheinclusionofcollectivegovernancestrategies.

FromtheDimaluoRiverbasininYunnantothegrasslandsofInner‐

Mongolia,China’sethnicminoritiesarestrugglingtopreservearichheritage

thatisinextricablyboundtotheirenvironment.Attemptsbythecommunist

partytoseatminoritiesinpositionsofpowerinlocalgovernmentsis

overshadowedbytheauthoritativenatureofChinesepolitics,andChina’squest

forenergyandeconomicdevelopment(He;2007p.37).Whilesomeminorities

enjoyrelativeautonomyalongChina’speriphery,particularlyinthesouthwest

provinceofYunnan,theprospectsforattaininggenuineautonomyseemdimat

best.Resourceextraction,hydroelectricdamsandcontinuedHanmigrationinto

theseareasareupsettingthepoliticalbalanceofregionalautonomy(Hansen;

2004p.58.70).Whilethegovernmentpromisescompensationtominorities

displacedbyeconomicdevelopmentandresourceextraction,thesumsare

generallyinsufficienttosecurelastingeconomicprosperityanddolittleto

ensurethepersistenceofculturalheritage(Hansen;2004p.71,Brownand

Magee;2008).

Theresultsofthisstudyhavecontributedtothegreaterdiscussionof

developmentandlandreformpolicyinChina.ThegovernanceofChina’sethnic

frontiershaschallengedpolicymakersinBeijingtoreconcilewithminorities

whodesirepreservationofculture,autonomyandeconomicprosperity.Inthe

editedvolumebyMorrisRossabititled“GoverningChina’sMultiethnic

Frontiers”theperipheralprovincesofTibet,Inner‐MongoliaandXinjiang,that

atonetimeenjoyedindependentstatehood,arenowsubjecttoChineserule.

Theeffectsoftheseterritorieshavingbeenabsorbedintoagreaternational

entityarefraughtwithconflictoverresourceallocation,ethnic

discriminationandculturalassimilation.Policiesimposedbythecentral

governmentinBeijinghaveattemptedtoreconcilethedifferencesbetweenthe

ethnicminoritiesintheseregions.Whilethegovernment’sofficialpolicyisto

allowtheseregions—includingYunnan,autonomy,dissentamongthe

minoritiesismetwithfiercereprisal(Rossabi;p.120).

ThiswasclearlythecaseduringmystayinDimaluo.Inresponseto

unrestinTibet,thePublicSecurityBureaumadefrequenttripsuptheDimaluo

valleytoenforceabanonalltravelbyTibetans.Itappearsthatthegovernment

wasconcernedthatethnicTibetanswouldattempttoreturntoTibettosupport

aseparatistmovement.Thiseventexemplifiesthecommandandcontrol

approachtodealingwithminoritygroupsinruralareas.Amongthedifferent

regionssimilaritiesexistbetweenthedichotomouspoliciesgoverningChina’s

frontierprovinces—anopenhandtryingtobringeconomicdevelopmentand

integrationintoChinesesociety,andtheclosedfistoftopdownauthoritative

controlofresourcesandobediencetoChineserule(Bulag;2004p.112).

Thepoliciesthatpromoteruralconstruction,educationandeconomic

developmentasameanstointegrateperipheralregionsintotheChinesestate

economyhaveworkedinsomeinstances.Thepoliciesofintegrationhavebeen

successfulinfrontierprovincesandamongtheMulsimHuiminority.Inner

MongoliaandthesouthwestprovinceofYunnanhavebeenlargelypacifiedby

economicgrowthandassimilationinto“civilized”society(He;2007p.37).

AttemptsatacculturationstemfromthebeliefamongmanyHanelitesthatnon‐

Hanminzuareprimitive,orbackwards,andrequiretheleadershipofthe

ethnocentricHaninordertodevelopandprosper(Lipman;2004p.48,

Sturgeon;2007).Thiscondescendingviewisexpressedinthecharacterization

ofminoritiesas“colorfulexotics,”asoftendepictedbythetouristindustryto

enticeHanvacationerstovisittheseremoteareas(Litzinger;2004p.490).

IdentityisnottheonlyresourceexploitedontheChinesefrontier.

Naturalresourceextractionandcolonizationhavereduced,oreliminated

altogether,historicaltiestominoritylandscapes(Bulag;2004p.93).TheLand

Reformpoliciesofpost‐revolutionChinareallocatedgrazinglandtoHan

farmers.Mineral,gasandoilrightsintheseprovincesareextractedbymostly

HancorporationsusingHanlabor,furtheralienatingthelocalminorities

economicallyandsocially(Bachman;2004p.158).Thistypeofexploitive

governancefuelsanimosityandantagonismbetweentheHanandethnic

minorities(Bovingdon;2004p.143).Thesamesituationhasunfoldedin

Dimaluo.MostofthelaboronthedamwasbroughtinfromthecityofBaoshan

andtheworkerswhowillrunthepowerstationwilllikelybemigrantsfrom

outsidethevalley.

ThesocialimpactofChina’spoliciestowardsminoritiesandthegreater

ruralpeasantryhasimposeddramaticchangestosociallife,spiritualityand

culturalrelationshipstothelandscape.Resistancetothesechangesinthe

formofpublicprotestanddissentisoftenmetwithheavyhandedpolitical

reprisals.SeparatistmovementsthatthreatentheintegrityofChina’sterritorial

boundariesfaceevengreatersuppressionbythegovernment.However,the

threattominoritiesinthefrontierregionsofChinacomesintheformofpolices

promotingassimilationandnationalunity,resultinginadeclineofethnic

diversity.Thediversityofthesouthwestiscouchedinamosaicoftraditional

ecologicalknowledge,language,dressandcustoms.

IntheaftermathofChina’sethnicclassificationpolicy,whichcondensed

hundredsofdifferentculturesinto55recognizedminorities,thesetraitsthat

makeeachidentitysouniquemustwithstandthegrowinginfluenceoftheHan.

Atstakeintheseperipheralregionsisthebiologicaldiversityandnatural

resourcesthathavesustainedtheseminoritypopulationsforcountless

generations.Inorderfortheseminoritiestopersistinamannerthatpreserves

theirculturalidentity,governmentpolicymustbemoreunderstandingand

responsivetothethreatofacculturationonthebasisofbuildingaunified

country.Ifpolicymakersignoreminorityinterests,theywillfaceadeclinein

ethnicdiversityandthewealthofculturalknowledgethathasallowedthese

minoritiestopersistupuntilnow.Furthermore,resolvingthesocio‐economic

inequalitiesthatarebasedprincipallyonHanethnocentrismmayengender

morepeacefulrelationsbetweenethnicminoritiesandtheHanmajority.

Onepotentialpathtoreconciliationandinclusivityofruralminorities

canbeachievedbycreatingasystemofgovernancethatmodelsWatershed

Councils.LocalizedsystemsofgovernancesuchasWatershedCouncilscouldbe

aneffectiveapproachtoconservationofecologyandculture.Asystemof

governancesimilartowatershedcouncilsisademonstratedbytheAndean

communalirrigationsystems,whichhavebeensuccessfullygovernedby

indigenousAndeanHighlandcommunitiesforgenerations(Trawick;2001p.2).

Duringnormalconditions,waterisoftenscarceintheHuaynacotaswatershed,

makingefficientuseofwatermandatoryforthesmallholderfarmsinthevalley.

Thecampos,orelectedwaterofficial,overseetheallocationofwateramongthe

smallholderfarms,distributingwaterevenlyamongthem.Duringperiodsof

drought,sectionsofthefragmentedfarmsareputintofallow,toconservewater

andallowthelandscapetorecover.Sincethissystemdistributeswaterand

fallowedlandevenlythereisnoconflictoverhowmuchwateranyindividual

receives.Asanautonomous,boundedsystem,thelocalcommunityhas

exclusiverightstomanagethealpinespringswithoutinterferencefromthe

governmentandthelargeholderfarms,whichlivedownstream.The

Huaynacotas’ssmallfarmholdersareexcellentexamplesofpersistent,

communitybasedwatermanagement.

TheQerosystemoftheEthiopianGuassagrasslandsisanexampleof

howindigenous,communitybasedresourcemanagementwasreplacedby

governmentimposedreforms,resultinginusufructrightsamongallfarmers

anddeteriorationtolandscapeviability(Tefera;2005p.539).TheQerosystem,

activeuntilthe1975agriculturereforms,providedanenforceablemanagement

systemthatempoweredtheAbbaQera,anelectedenforcerofthebylawsofthe

Qerosystem.The1975AgrarianReformendedtheQeracommonproperty

regime,nationalizingallofEthiopia’sfarmland.Sincethen,agriculturalspace

hasbeendiminished,andfamiliesreporttheyhavelesslandnowthanbefore

the1975reforms(Tefera;2005p.546).

Astheseexamplesdemonstrate,community‐basedmanagementthat

drawsontraditionalformsofgovernancecanbeapowerfulagentofresistance

againstoutsideinterferenceandimpactsfromdevelopment.Otherculturesthat

areunabletoresistintrusionbygovernmentregulatorsandlandreform

policiesaremorevulnerableto—privatizationofresources,monoculture,anda

declineinculturalidentity,anddramaticchangestothelandscape.Moreover,

theseexamplesarenotisolatedphenomena.Onecanrestoretraditionalforms

ofcommonresourcemanagementthroughtherestorationoftraditionalland

ownershipandvalues.

The“mutuallyagreeduponandmutuallyenforced”(Ostrom;1990)

governanceofresourcesmightbethesolutiontothedevelopmentdilemma.

Thedominantparadigmofdevelopmentandprivatizationmustberejectedin

caseswheretraditionalformsofgovernancehaveprovenmoreeffectiveat

protectingthecommoninterestofusers.Ifwearetoensurefuture

generationsaregrantedthesamefoodsecurityandenvironmentalabundance

wearehavetoday,thenitisvitalwelooktothosewhostandtriumphantin

theirabilitytopersistentlyemploysuccessfulmeansofbalancedecologyanda

modestlivelihood.InDimaluo,threadsofcommunity‐basedmanagementhave

beensewnbyoneinfluentialfigure,Aluo,whowithassistancefromtheCenter

forBiologicalandIndigenousKnowledge(CBIK)hasbroughtconservation

managementintothevalleyonthecommunitylevel.DuringmystayinDimaluo

Iobservedacommunityledefforttofenceoffalargeareaknowlocallyasthe

shaba(sandbar)toprotectitfromanimalgrazingsothatitcouldberestored

withlocalgrassspeciesandprovidebettergrazinglateron.Notonlywerethe

communitymemberspaidfortheirlaborinconstructingthefence,thebenefit

tothecommunity’slivestockwillpaydividendssolongastheshabais

maintainedasrestoredriparianarea.

UsingOstrom’smodelofresourcegovernance,acollaborativewater

managementschemewouldbeusefulinreshapingChina’sriparianzones.A

possiblesolutionwouldbeanintegratedwaterresourcemanagement(IWRM)

program.“Aprocesswhichpromotesthecoordinateddevelopmentand

managementofwater,landandrelatedresources,inordertomaximizethe

resultanteconomicandsocialwelfareinanequitablemannerwithout

compromisingthesustainabilityofvitalecosystems(Falkenmark;2003p.6).

Startingfromthisdescription,approachestoprotectingcrucialwater

resources,whileallowingforsocialandeconomicdevelopmentcouldease

waterscarcityproblemsandaidinthecleanupofexistinghotspots.SinceTVEs

managewatersources,thereisvastpotentialtoinstitutewatermanagement

programsacrosstheruralcountryside.Apotentialobstacletothistypeof

integratedmanagementsystemmaybetheinvolvementofindustry

stakeholderswhohavemoreinfluenceoverstateandlocalgovernmentsthan

averagecitizensdointheprocess.Asthisanalysissuggests,collaborative

governancemayposecertainbenefitstowardsbetterdevelopmentpractices,

however,thesuccessofthesechangeswillonlycomewiththeChinese

government’swillingnesstobeproactiveinsupportingcommunityorganized

governanceandregulatingprovinciallevelgovernanceandprivate

corporationsthatunderminetheneedsofruralcommunities.

BroaderImplications

ThebroaderImplicationsofthisstudyreachbeyondtheDimaluovalley

toAfrica,SouthAmerica,andSoutheastandCentralAsia.Notonlyarethese

largerregionsexposedtothesamevulnerabilitiesthatstemfromdevelopment

asthevillagersofDimaluoare,manyofthecountriesintheseregionsare

solicitingChineseengineersandfundingfromtheChinesegovernmentin

exchangefornaturalresources.20AnotherimportantimplicationofChina’s

watershedgovernanceisthateighteeninternationalriverbasinsflowfrom

Chinaoutto20countriesthroughoutAsia.21Thelessonslearnedinthisstudy

makeanimportantcontributiontothegrowingbodyofliteratureexplaining

thenegativeconsequencesofcommandandcontroldevelopmentpolicies.As

ChinaexpandsitsambitioushydropowerdevelopmentschemesinChinaand

reachesfurtherabroadforenergyandmineralresources,development

practitionersandpolicymakerswillneedtotakeaproactivestancetoensure

environmentalprotectionandhumanrightsarenotlostalongtheway.Thisis

particularlyimportantincountrieswithweakpoliticalsystemsandfew

environmentallaws,suchasMyanmarandSudan.

Recommendationsforfurtherstudy

Furtherstudymaytakealongitudinallookathowdevelopmentinthe

Dimaluovalleycontinuestoshapelivelihoods,andtheefficacyofresettlement

andcompensationpoliciesovertime.Futureworkmayalsoincludeanalysisof

whetherornotenvironmentalconcernsheldbylocalresidentscametoreality

20China’sgrowinginfluenceinAfricaiswelldocumentedinaNationalPublicRadiospecialtitled“ChinaRising:China’sInfluenceinAfrica”AlsonotethatChinaisamajorplayerinbuildingdamsabroad,includinginAfrica.

(http://www.npr.org/templates/story/story.php?storyId=92990229).

21InformationtakenfromtheTransboundaryWaterswebsitewhichcatalogsalltransboundarywatershed(http://www.transboundarywaters.orst.edu)

becauseofthedevelopmentprojects.Thefollowingquestionsmaybeof

assistancetofurtherstudy:Howhaveresettlementpoliciesimprovedor

damagedlivelihoods?Howhavechangesingeomorphology,includingerosion

andfloodingimpactedthecommunity?Whatlatentecologicalandsocialeffects

emergedfromthedevelopmentprojectsthatwerenotknownorunderstood

beforehand?

Chapter6

LookingBeyondDevelopment

EconomicgrowthhastransformedChinasociallyandculturallyfromthe

streetsofShanghaiintheeast,totheariddesertsofthewest.Resource

dependantcommunitiesinChinaarefeelingthebruntoftheseeffects,coping

withchangestotheirwayoflifeinaneraofuncertainty.AsChina’sgovernment

continuestoemphasizeinfrastructuralandeconomicadvancement,thecosts

willlikelycontinuetobeexternalizedtounderdeveloped,minorityareas.This

studyidentifiedtheattitudesandperceptionsofdevelopmentinruralChina,as

understoodbyresidentsofDimaluo.Thepresenceofenvironmentalconflict

betweentheseresidentsandgovernmentalandprivatesectorsisaclear

indicationthatgovernanceinnorthwestYunnancanbeimproved.Thiscan

easilybeachievedbygreatertransparencyandinclusivityinthedecision‐

makingprocess,andequitablecompensationforlandandrelocation.Perhaps

mostimportantly,thecurrentparadigminChinathatviewsruralminoritiesas

“backwards”andinurgentneedof“help”mustbesmashed.Thesubtle,andnot

sosubtlesuggestionthatruralminorityfarmersareimpoverishedandinneed

ofdramaticchangesinorderto“civilize”themisremnantofantiquatedideasof

governmentpaternalism.Whiletheresultsofthisresearchcontributetothe

largerbodyofknowledgeapplicabletodevelopmentprojectsaroundthe

world—inwhichnaturalresourcesarereallocatedfromlocalizedcommunities

toservelargereconomicandinfrastructuralneeds,itismyhopethatthese

resultsmightreshapediscursivebarriersencounteredbyruralminorities.

ThisthesisalsoaddressedthemultidisciplinaryIDAMproject,informing

theprocessofreducingcomplexsocio‐economicimpactsintosevenindicators.

Duringmyresearch,Iwasabletodrawexpertisefrommultipledisciplinesto

revealgeomorphologicdimensionsandconnectthemtocurrentandpotentially

futureimpactsofdevelopmentinDimaluovalley.Notonlywasthisbeneficialto

theanalysisofthisstudy—itequippedmewithaskillsettoidentityfuture

challengesbasedonchangestotheenvironment.

Thetitleofthisthesis;“ClimbingtheMountainWithin:understanding

developmentimpactsinruralsouthwestChina”isintendedtoconjurethe

challengesandobstaclesthatcomewithfindingamicablesolutionstocomplex

resourceconflicts.AstheTaoistphilosophersaid:“Becarefulwhatyouwater

yourdreamswith.Waterthemwithworryandfearandyouwillproduceweeds

thatchokethelifefromyourdream.Waterthemwithoptimismandsolutions

andyouwillcultivatesuccess.Alwaysbeonthelookoutforwaystoturna

problemintoanopportunityforsuccess.Alwaysbeonthelookoutforwaysto

nurtureyourdream.”Itisnotmyintentiontofosterpanicorcontemptoverthe

situationinDimaluo.Justasamountainmaypresentitselfasanobstacle,itis

alsoathingofbeauty,andrepletewithanabundanceofresources.While

underdevelopmentimposesadiresituationonmanyruralpeoplearoundthe

world,Ialsobelievethispresentsanopportunityfordevelopment

practitionersandpolicymakerstofindbetterwaystoaccomplisheconomicand

infrastructuraldevelopmentwithoutalienatingminoritiesintheprocess.

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