Modes of Governance in the Chinese Bureaucracy: A 'Control Rights' Theory
Abstract:
The Chinese bureaucracy presents a set of anomalies that need to be explained: In the presence of a strong central authority, why do we observe widespread collusive behaviors at the local level? Why are violations and problems uncovered in the inspection processes are left unaddressed? Why is performance evaluation conducted by the higher authorities is subsequently ignored by the local authorities? We develop a theoretical model on authority relationships in the Chinese bureaucracy by conceptualizing the allocation of control rights in goal setting, inspection and incentive provision among the principal, supervisor and agent. Variations in the allocation of control rights give rise to different modes of governance and entail distinct behavioral implications among the parties involved. The proposed model provides a unified framework and a set of analytical concepts to examine different governance structures, varying authority relationships, and behavioral patterns in the Chinese bureaucracy. We illustrate the proposed model in a case study of authority relationships and the ensuing behavioral patterns in the environmental protection arena over a 5-year policy cycle.
About the speaker:
Xueguang Zhou is the Kwoh-Ting Li Professor in Economic Development, a professor of sociology, and a Freeman Spogli Institute for International Studies senior fellow. His main area of research is on institutional changes in contemporary Chinese society, focusing on Chinese organizations and management, social inequality, and state-society relationships. Zhou's research topics are related to the making of markets, village elections, and local government behaviors. His recent publications examine the role of bureaucracy in public goods provision in rural China (Modern China, 2011); interactions among peasants, markets, and capital (China Quarterly, 2011); access to financial resources in Chinese enterprises (Chinese Sociological Review, 2011, with Lulu Li); multiple logics in village elections (Social Sciences in China, 2010, with Ai Yun); and collusion among local governments in policy implementation (Research in the Sociology of Organizations, 2011, with Ai Yun and Lian Hong; and Modern China, 2010) .
Philippines Conference Room
Xueguang Zhou
Shorenstein APARC
Stanford University
Encina Hall, E301
Stanford, CA 94305-6055
Xueguang Zhou is the Kwoh-Ting Li Professor in Economic Development, a professor of sociology, and a Freeman Spogli Institute for International Studies senior fellow. His main area of research is on institutional changes in contemporary Chinese society, focusing on Chinese organizations and management, social inequality, and state-society relationships.
One of Zhou's current research projects is a study of the rise of the bureaucratic state in China. He works with students and colleagues to conduct participatory observations of government behaviors in the areas of environmental regulation enforcement, in policy implementation, in bureaucratic bargaining, and in incentive designs. He also studies patterns of career mobility and personnel flow among different government offices to understand intra-organizational relationships in the Chinese bureaucracy.
Another ongoing project is an ethnographic study of rural governance in China. Zhou adopts a microscopic approach to understand how peasants, village cadres, and local governments encounter and search for solutions to emerging problems and challenges in their everyday lives, and how institutions are created, reinforced, altered, and recombined in response to these problems. Research topics are related to the making of markets, village elections, and local government behaviors.
His recent publications examine the role of bureaucracy in public goods provision in rural China (Modern China, 2011); interactions among peasants, markets, and capital (China Quarterly, 2011); access to financial resources in Chinese enterprises (Chinese Sociological Review, 2011, with Lulu Li); multiple logics in village elections (Social Sciences in China, 2010, with Ai Yun); and collusion among local governments in policy implementation (Research in the Sociology of Organizations, 2011, with Ai Yun and Lian Hong; and Modern China, 2010).
Before joining Stanford in 2006, Zhou taught at Cornell University, Duke University, and Hong Kong University of Science and Technology. He is a guest professor at Peking University, Tsinghua University, and the People's University of China. Zhou received his Ph.D. in sociology from Stanford University in 1991.
The Institutional Foundations of the Chinese Bureaucratic State
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Francis Fukuyama
Encina Hall, C148
616 Jane Stanford Way
Stanford, CA 94305
Francis Fukuyama is the Olivier Nomellini Senior Fellow at Stanford University's Freeman Spogli Institute for International Studies (FSI), and a faculty member of FSI's Center on Democracy, Development and the Rule of Law (CDDRL). He is also Director of Stanford's Ford Dorsey Master's in International Policy, and a professor (by courtesy) of Political Science.
Dr. Fukuyama has written widely on issues in development and international politics. His 1992 book, The End of History and the Last Man, has appeared in over twenty foreign editions. His book In the Realm of the Last Man: A Memoir will be published in fall 2026.
Francis Fukuyama received his B.A. from Cornell University in classics, and his Ph.D. from Harvard in Political Science. He was a member of the Political Science Department of the RAND Corporation, and of the Policy Planning Staff of the US Department of State. From 1996-2000 he was Omer L. and Nancy Hirst Professor of Public Policy at the School of Public Policy at George Mason University, and from 2001-2010 he was Bernard L. Schwartz Professor of International Political Economy at the Paul H. Nitze School of Advanced International Studies, Johns Hopkins University. He served as a member of the President’s Council on Bioethics from 2001-2004. He is editor-in-chief of American Purpose, an online journal.
Dr. Fukuyama holds honorary doctorates from Connecticut College, Doane College, Doshisha University (Japan), Kansai University (Japan), Aarhus University (Denmark), the Pardee Rand Graduate School, and Adam Mickiewicz University (Poland). He is a non-resident fellow at the Carnegie Endowment for International Peace. He is a member of the Board of Trustees of the Rand Corporation, the Board of Trustees of Freedom House, and the Board of the Volcker Alliance. He is a fellow of the National Academy for Public Administration, a member of the American Political Science Association, and of the Council on Foreign Relations. He is married to Laura Holmgren and has three children.
(October 2025)
Global Populisms
3ie: Evaluating Vocational Schools in Rural China
Original article at: http://www.3ieimpact.org/news.html?id=106
16 year old Kou Yaokang’s family are poor subsistence farmers. They cannot afford to pay for Kou's high school education. Instead of ending his formal education after middle school, Kou Yaokang enrolled in a vocational school. This seemed like a good idea at the time. “The government was providing subsidies for vocational schools, and I thought I could learn new skills to get a good job,” Kou Yaokang told a team from the Rural Education Action Project in December 2011.
Vocational schools are increasingly viewed as an appealing alternative to academic high schools in rural China. In recent years, the Chinese government—at both the local and national levels—has been encouraging students like Kou Yaokang to attend vocational schools. Shaanxi Province has invested US$ 80 million in vocational education in 2010.The central government gives a subsidy of US$ 250 per year for each student enrolled in a vocational school.
So what is behind this recent expansion of vocational schooling? The drive seems to be aimed at addressing the perceived failures of the country’s traditional schooling system. There is now a feeling that China’s higher education system, which has seen a 30-fold expansion over the past two decades, has sacrificed quality of education for quantity of diplomas. Each year the system churns out thousands and thousands of graduates with high expectations but few practical skills. These graduates then enter an economy that still relies heavily on low wage exports. At the same time, the upper secondary school system has not found a way of providing quality education to the large number of students from underserved rural areas. These students enter China’s extremely competitive higher education system without the skills to excel in the nation’s rigid, test-centered curriculum.
China’s policymakers believe that the expansion of vocational schooling can help redress these failures in two ways. On one hand it would reduce the pressure on the higher education system by drawing children to vocational schools. On the other hand it would also impart “useful” skills to young people who want to directly enter the workforce. The government’s goal is to have an equal number of students in academic and vocational high schools.
What is the quality of vocational education?
At REAP, we were concerned. Was the expansion of vocational education really good for students? There was little evidence on the quality of vocational education in China. No standardized evaluations of student performance had been conducted in Chinese vocational schools. Most of the available evidence was either anecdotal or based on scant data. From our preliminary assessment, it seemed like these vocational schools were hiring ill-qualified teachers. The facilities in these schools were poor and teachers were not able to maintain student discipline.
Unfortunately, Kou Yaokang’s story does not have a happy ending. He dropped out of the subsidized vocational school after just one semester, citing the poor quality of teachers, inability to gain practical experience at school, and lack of discipline in the school. “People would wrestle in class and the teacher would do nothing! How was I supposed to learn in this environment?” said Kou.
Were the other 12 million students in Chinese vocational schools also experiencing the same problems? Encouraging them to attend poor quality schools would have negative effects and their families. At REAP, we felt the need to assess whether students were actually learning in these vocational schools. However, a solid evaluation of vocational education alone would not have been enough to change or support policy. We also needed strategic partners who would help us communicate to the top leaders in China. REAP could not work alone.
Building Partnerships
Before we began any evaluation work, we contacted our long-time partners at the Chinese Academy of Sciences, the Chinese Institute for Education Finance Research (at Peking University), and Northwest University of Xi’an- three prestigious research groups.
Our partners were well positioned to translate our results to policy change. For example, the Chinese Academy of Sciences has a long track record in influencing national policy. They have published 12 policy briefs that have been read by top policymakers including Premier Wen Jiabao and State Councilor Liu Yandong. Our partners at Peking University were also part of an education finance research team, with previous work directly overseen by the Ministry of Finance.
Even though we had partners, we also wanted to directly collaborate with policymakers at all levels: local, provincial, and national. The Ministry of Finance and Ministry of Education were interested in this study as soon as we presented it to them. They pledged to provide access to any data they had and offered to write letters of introduction to provincial officials on our behalf.
At the provincial level, the Zhejiang Department of Education officially commissioned us to evaluate their vocational schools. The Shaanxi Department of Education also wrote a letter supporting our efforts and pledging to be a stakeholder in the final report. We even contacted individuals at the local level. These were people who were part of district education bureaus we had worked with before or bureaus we thought would be interested in our work.
Aiming for Policy Change
With the support of the government and our partners, and financial backing from 3ie, in the autumn of 2011, REAP began the first ever large-scale study to evaluate the impact of vocational schooling on student learning in China. Using standardized tests developed by our partners at Peking University, we conducted a baseline survey in Zhejiang and Shaanxi provinces covering over 120 randomly selected schools and 12,000 vocational school students. We also surveyed academic high schools that enrolled students with similar test scores and family backgrounds as our vocational school students.
Although our study is ongoing, preliminary results suggest that vocational schools are indeed not all that they promise to be. They do not offer much practical training, suffer from serious disciplinary problems, and lack well-qualified teachers. Of course, we still need to analyze our final results to see the “proof in the pudding”. Before the summer of 2012, we will return to each of these schools to conduct a second survey. It is only then that we will be able to compare the gains in standardized test scores between vocational and academic high school students.
Although our evaluation is still underway, we continue to communicate preliminary results to policymakers. Apart from our usual policy briefs and publications, we also periodically visit policymakers to inform them of our progress. In fact, because we took the lead in collaborating with them before undertaking the study, there are times when the policymakers themselves contact us, asking about our results.
We also periodically bring local and provincial policymakers to Beijing to attend policy relevant conferences. For example, we hosted a conference in March that brought together policymakers, students, school principals, academics and representatives from not-for-profit organizations, and foundations.
Ultimately, all of our efforts - building partnerships, conducting rigorous evaluations, and communicating results - are geared towards policy change. Conducting evaluations of new policies can sometimes be the best way to help students like Kou Yaokang stay in school. The results of the evaluation can help in designing programmes that achieve their intended goals and benefit the poor students of rural China. The fact that policymakers at all levels have been involved from the outset greatly increases the chances that our recommendations will be incorporated and lives will be changed.
The Valley of Despair and the Next Wave: Venture Finance in China
About the Speaker
Hany Nada is co-founder of GGV Capital and has worked as a long-term partner with more than 150 companies over the past decade to build companies that can succeed in today's global marketplace. He is a trusted resource to public and private company CEOs and management teams on global market development, customer introductions and M&A/IPO guidance across US and Asian markets. CEOs that have worked with Hany characterize him as their go-to advisor for both general direction and company growth strategies.
As a leading venture investor, Hany made his first investment in China in 2001, and has led the firm’s successful investments in athenahealth (NASDAQ: ATHN), Endeca (acquired by Oracle) Glu Mobile (NASDAQ: GLUU), Kintana (acquired by Mercury Interactive), Turbine (acquired by Time Warner) and Xfire (acquired by Viacom). Currently, he serves on the Board of Directors for Tudou, China’s leading video content provider, Vocera Communications, RootMusic, Glu Mobile, and Wild Tangent. In addition to actively making investments in the mobile and digital media sectors in the US and China, Hany is responsible for one of the industry’s most successful China/US investment teams as well as general oversight of the firm's funds.
Before entering the venture capital business, Hany spent ten years on Wall Street as a top-ranked research analyst at Piper Jaffray focusing on Internet software and infrastructure. Hany is a graduate of the University of Minnesota where he earned a B.S. in economics and a B.A. in political science.
G102, Gunn Building, Knight Management Center, 635 Knight Way, Stanford, CA 94305-7298
Obama’s Pivot toward Asia: Implications, Repercussions, Complications
So much has been written and said about the Obama administration’s “pivot” toward Asia that one might think diplomacy has become ballet. More than three years have passed since February 2009 when Hillary Clinton broke a 48-year-old precedent at the State Department by choosing Asia as the destination for her first trip abroad as secretary of state. “As the war in Iraq winds down and America begins to withdraw its forces from Afghanistan,” she wrote in November in Foreign Affairs, “the United States stands at a pivot point.” A skeptic might have stressed the negative: a pivot away from failure in the Middle East. She preferred the positive: a pivot towards greater “investment—diplomatic, economic, strategic, and otherwise—in the Asia-Pacific region,” itself the designated pivot of “America’s Pacific century.”
How much of this pivot talk is hype, and how much is real? How have Asians responded to this apparent turn toward them? What global and regional scenarios and strategies could it imply? Will future historians remember the pivot as the start of a Sino-American cold war, or the requisite of a realistic entente? Does the pivot illustrate renewed American leadership in foreign affairs, or belated American acquiescence in a multi-polar world? Is Washington being implicated in conflict over the South China Sea? Even if Obama is re-elected this November, will Clinton’s replacement continue to pivot? Or is it time for the pivot’s critics to do some pivoting of their own—to stop worrying about the downside, start acknowledging the upside, and help make the ballet a constructive performance for all concerned?
Donald K. Emmerson has discussed the pivot recently with analysts in Asia, Canada, and the United States. “America Pivots toward ASEAN” and “US, China Role Play for ASEAN,” datelined November 2011 in Asia Times Online, reflect his impressions of the East Asia Summit that President Obama and Secretary Clinton attended that month in Bali. Forthcoming work includes an essay on Southeast Asia in the Journal of Democracy and a chapter in Indonesia Rising: The Repositioning of Asia’s Third Giant.
Daniel and Nancy Okimoto Conference Room
Donald K. Emmerson
At Stanford, in addition to his work for the Southeast Asia Program and his affiliations with CDDRL and the Abbasi Program in Islamic Studies, Donald Emmerson has taught courses on Southeast Asia in East Asian Studies, International Policy Studies, and Political Science. He is active as an analyst of current policy issues involving Asia. In 2010 the National Bureau of Asian Research and the Woodrow Wilson International Center for Scholars awarded him a two-year Research Associateship given to “top scholars from across the United States” who “have successfully bridged the gap between the academy and policy.”
Emmerson’s research interests include Southeast Asia-China-US relations, the South China Sea, and the future of ASEAN. His publications, authored or edited, span more than a dozen books and monographs and some 200 articles, chapters, and shorter pieces. Recent writings include The Deer and the Dragon: Southeast Asia and China in the 21st Century (ed., 2020); “‘No Sole Control’ in the South China Sea,” in Asia Policy (2019); ASEAN @ 50, Southeast Asia @ Risk: What Should Be Done? (ed., 2018); “Singapore and Goliath?,” in Journal of Democracy (2018); “Mapping ASEAN’s Futures,” in Contemporary Southeast Asia (2017); and “ASEAN Between China and America: Is It Time to Try Horsing the Cow?,” in Trans-Regional and –National Studies of Southeast Asia (2017).
Earlier work includes “Sunnylands or Rancho Mirage? ASEAN and the South China Sea,” in YaleGlobal (2016); “The Spectrum of Comparisons: A Discussion,” in Pacific Affairs (2014); “Facts, Minds, and Formats: Scholarship and Political Change in Indonesia” in Indonesian Studies: The State of the Field (2013); “Is Indonesia Rising? It Depends” in Indonesia Rising (2012); “Southeast Asia: Minding the Gap between Democracy and Governance,” in Journal of Democracy (April 2012); “The Problem and Promise of Focality in World Affairs,” in Strategic Review (August 2011); An American Place at an Asian Table? Regionalism and Its Reasons (2011); Asian Regionalism and US Policy: The Case for Creative Adaptation (2010); “The Useful Diversity of ‘Islamism’” and “Islamism: Pros, Cons, and Contexts” in Islamism: Conflicting Perspectives on Political Islam (2009); “Crisis and Consensus: America and ASEAN in a New Global Context” in Refreshing U.S.-Thai Relations (2009); and Hard Choices: Security, Democracy, and Regionalism in Southeast Asia (edited, 2008).
Prior to moving to Stanford in 1999, Emmerson was a professor of political science at the University of Wisconsin-Madison, where he won a campus-wide teaching award. That same year he helped monitor voting in Indonesia and East Timor for the National Democratic Institute and the Carter Center. In the course of his career, he has taken part in numerous policy-related working groups focused on topics related to Southeast Asia; has testified before House and Senate committees on Asian affairs; and been a regular at gatherings such as the Asia Pacific Roundtable (Kuala Lumpur), the Bali Democracy Forum (Nusa Dua), and the Shangri-La Dialogue (Singapore). Places where he has held various visiting fellowships, including the Institute for Advanced Study and the Woodrow Wilson International Center for Scholars.
Emmerson has a Ph.D. in political science from Yale and a BA in international affairs from Princeton. He is fluent in Indonesian, was fluent in French, and has lectured and written in both languages. He has lesser competence in Dutch, Javanese, and Russian. A former slam poet in English, he enjoys the spoken word and reads occasionally under a nom de plume with the Not Yet Dead Poets Society in Redwood City, CA. He and his wife Carolyn met in high school in Lebanon. They have two children. He was born in Tokyo, the son of U.S. Foreign Service Officer John K. Emmerson, who wrote the Japanese Thread among other books.
China and the World
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SF newspaper covers REAP's technology and education work
The World Journal, a news daily targeting the Bay Area's Chinese speaking community, recently highlighted REAP's collaboration with Dell Youthconnect to bring computer assisted learning to China's remote rural schools. To read the full article, please click here.
San Francisco Newspaper Highlights REAP's Work on Technology and Education
The World Journal, a news daily targeting the Bay Area's Chinese speaking community, recently outlined REAP's work with Computer Assisted Learning and other initiatives in our technology and human capital theme area. Please find the full article here.
Looking at higher education in developing economies
Politics by Other Means: International Law in the Political Contest over Taiwan’s Status and Cross-Strait Relations
Abstract:
On both sides of the Taiwan Strait and on both sides of Taiwan’s partisan divide, international legal concepts—the criteria for statehood, other factors that matter for international status (including democratic politics and human rights), standards for and rights of self-determination and secession—have been key weapons in the political struggle over Taiwan’s international stature and security and the nature and trajectory of cross-Strait relations. Rooted in steps taken during the early days of China’s Reform Era, this pattern of politics developed dramatically during the Lee Tenghui and Chen Shui-bian presidencies on Taiwan and has taken new turns since Hu Jintao shifted Beijing’s cross-Strait policies and Ma Ying-jeou came to power in Taiwan. The prospect of Ma’s second term and a leadership transition on the Mainland raise new questions about future trends in this unusually international law-focused politics.
Speaker Bio:
Jacques deLisle is the Stephen A. Cozen Professor of Law, professor of political science, and associate director of the Center for the Study of Contemporary China at the University of Pennsylvania and the director of the Asia Program at the Foreign Policy Research Institute. His writings on Taiwan’s politics and international status, cross-Strait relations, China’s approach to international law, and domestic legal reform and its challenges in China appear in law reviews, international affairs journals, policy commentaries, and other media.
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