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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
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thecreationofmeasurableindicatorstoassessthesocio‐culturaland
economicimpactsofdamconstructionandhydropowerdevelopmentinthis
region.Moreover,itillustratesthepresenceofenvironmentalconflictbetween
indigenousgroupsandgovernmentalandprivatesectors.Theresultsofthis
researchcontributetothelargerbodyofknowledgeapplicabletodevelopment
projectsaroundtheworld,inwhichnaturalresourcesarereallocatedfrom
localizedcommunitiestoservelargereconomicandinfrastructuralneeds.
KeyWords:PoliticalEcology,Xibukaifa(OpeningtheWestCampaign),CriticalDevelopment,HydroelectricPowerStation,WaterCatchmentScheme,Yunnan,China
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ClimbingtheMountainWithin:UnderstandingDevelopmentImpactsandOvercomingChangeinRural
SouthwestChina
byMarcoClark
ATHESIS
submittedto
OregonStateUniversity
Inpartialfulfilllmentoftherequirementsforthe
degreeof
Master’sofArts
PresentedMay29,2009ComencementJune2009
4
MasterofArtsthesisofMarcoClarkpresentedonMay29,2009APPROVED:_____________________________________________________________MajorProfessor,representingAppliedAnthropology_____________________________________________________________ChairoftheDepartmentofAnthropology_____________________________________________________________DeanoftheGraduateSchoolIunderstandthatmythesiswillbecomepartofthepermanentcollectionofOregonStateUniversitylibraries.Mysignaturebelowauthorizesreleaseofmythesistoanyreaderuponrequest._____________________________________________________________
MarcoClark,Author
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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
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project.Ithastrulybeenapleasureworkingwithyou.Thankyouforplaying
suchanimportantroleinmydevelopmentasastudentandprofessional.
Finally,IwanttoexpressmygratitudetotheIDAMteam.PhillipBrown,
KellyKibler,DesireeTullos,DarrinMagee,AaronWolf,ElinaLin,andBryanTilt.
Thankyouforlettingmebeapartofsomethinggreat.
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TABLEOFCONTENTS
Page
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
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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
2
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)
3
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
4
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
5
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
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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.
7
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.
8
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)
9
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.
10
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;
11
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.
12
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
13
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
14
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).
15
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
16
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).
17
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
18
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.
19
stationanddiversiondam,andanewpublichighwayhashadimmense
impactsinthisrespect.
20
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
21
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
22
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
23
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.
24
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.
25
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
26
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.
27
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
28
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.
29
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
30
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
31
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
32
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).
33
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,
34
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,
35
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.
36
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.
37
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.
38
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
39
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
40
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
41
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,
42
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
43
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.
44
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.
46
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
47
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
48
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.
49
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
50
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
51
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
52
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
53
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
54
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
55
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.
56
InChina,perhapsthemostinsidiousofeffectsfromdevelopmenton
economiclivelihoodistheseizureofland.Thosewhoaredisplaced,orloseland
duetoreservoirfloodinganderosion,areveryunlikelytoacquireanotherlease
ofanamountandqualityequaltothelandtheyleasedbeforehand.Asthe
world’smostpopulouscountry,landisscarce,andresettlementalmost
certainlymeansrelocatingtoanurbanenvironment,whichisforeigntothose
fromafarmingculture.Often,compensationisinadequatetomeetingtheneeds
oftransformingtheequityoffarmingknowledgetothedemandsofurbanliving
andurbanoccupationalskills.Onesmallbusinessownerandfarmertoldme
that:
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
57
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,
58
thebirdschirpingintheearlymorningjustbeforethesunrises,theringing
ofchurchbellsonSundaymorning,andthesteadyrushingsoundoftheriver
thatpermeatesthevalley.Itisnosurprisethatanydisruptiontothiscontinuity,
realorimagined,causesamajordisruptiontocommunitylife.
Thegovernmentplansonbuildinganewhighwaybisectingthemountainontheleft(east)sideofthevalley.Photoby:MarcoClark
Governmenttransparencyisacentralissuetotheconflictover
developmentinthevalley.TherespondentsIspokewithareawareofChina’s
EnvironmentalImpactAssessmentLaw,andinformedmethattheyarecertain
thatofficialsdidnotcompleteanimpactassessmentforeitherthedamornew
road.Inaconversationwiththevillageleaderheinformedmethathehad
59
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
60
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.
61
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
62
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
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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.
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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
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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.
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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
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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
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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.
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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,
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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.
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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
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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).
73
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
74
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).
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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
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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
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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
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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
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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
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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.
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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
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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
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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).
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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
85
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)
86
becauseofthedevelopmentprojects.Thefollowingquestionsmaybeof
assistancetofurtherstudy:Howhaveresettlementpoliciesimprovedor
damagedlivelihoods?Howhavechangesingeomorphology,includingerosion
andfloodingimpactedthecommunity?Whatlatentecologicalandsocialeffects
emergedfromthedevelopmentprojectsthatwerenotknownorunderstood
beforehand?
87
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
88
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
89
world,Ialsobelievethispresentsanopportunityfordevelopment
practitionersandpolicymakerstofindbetterwaystoaccomplisheconomicand
infrastructuraldevelopmentwithoutalienatingminoritiesintheprocess.
90
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