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China and the United States are usually cast as fierce rivals, but there are broad areas of society where the two nations share profound similarities. As they confront growing demands to provide their citizens with goods and services such as healthcare, education, housing, and transportation, both the Chinese and U.S. governments engage the private sector in the pursuit of public value, although they do so in different ways.

This type of engagement, in which the government calls on the private sector to meet public goals, is known as collaborative governance and it is becoming an increasing share of the economy in both China and the United States. A new book, The Dragon, the Eagle, and the Private Sector (Cambridge University Press), analyzes the application of collaborative governance in a wide range of policy arenas in China and the United States.

The book itself is the result of collaborative research by three co-authors: APARC Deputy Director Karen Eggleston, Harvard Kennedy School Raymond Vernon Senior Lecturer in Public Policy John Donahue, and Harvard Kennedy School’s Frank P. Ramsey Professor of Political Economy Richard Zeckhauser. On March 5, 2021, the three co-authors gathered for a virtual book launch, an event co-sponsored by Shorenstein APARC and the Mossavar-Rahmani Center for Business and Government at the Harvard Kennedy School.

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Introducing the new book, Lawrence H. Summers, president emeritus of Harvard University and the Charles W. Eliot University Professor at the Kennedy School, called the co-authors’ analysis of collaborative governance “micro microeconomics” that shows how particular tasks and particular commitments of resources, once decided on, are going to be best accomplished. This work, Summers noted, sheds light on situations involving both cooperation and competition — aspects that affect almost any complex problem yet are rarely considered by economists.

A key element of collaborative governance, noted Zeckhauser, is the sharing of discretion. Rather than contracting at one pole and complete laissez-faire at the opposite pole, in a collaborative governance process, the two parties involved play a role in determining what is produced and how it is produced. It is a process that calls on the best capabilities of both the private and public sectors and that grants each of them an element of control. Sometimes that process results in triumphs, sometimes in tragedies, and other times in outcomes that are “in-between.” The book analyses cases of this entire gamut. “We hope that this volume provides guidance on how the triumphs can become more common, the tragedies more scarce, and the in-between outcomes improved,” said Zeckhauser.

This book provides a key to understanding how to achieve [...] quality-public-private collaboration, done right. Delving deep into two very different societies, the US and China, the authors provide lessons that illuminate and should inform scholars and policymakers alike.
Fareed Zakaria
Journalist and Author

Collaborative Governance in the Time of COVID-19

The unfolding of the COVID-19 pandemic provides dramatic current illustrations of collaborative governance. The urgent need for an effective vaccine created the conditions for a successful partnership between the U.S. government and the pharmaceutical sector, with the former offering both regulatory processes and significant financing, the latter its innovation. Consider the Moderna vaccine, which, based on evidence from clinical trials, is over 90% effective at preventing laboratory-confirmed COVID-19 illness. The vaccine was created within less than a year using a new approach, based on Messenger RNA technology, by a company that had never before produced a commercial product. “This is a triumph of collaborative governance,” said Zeckhauser.

The vaccine distribution process in the United States, however, has proved to be challenging and chaotic. Zeckhauser contrasted this experience with China’s activation of technology giant Tencent, which is using its ubiquitous WeChat application to allow individuals to easily find where the vaccine is distributed and sign up for vaccination appointments. “There is probably a lesson here in the way these two outcomes came about. We hope that individuals in both China and the United States will examine the lessons in this volume to see how they can achieve outcomes for their citizens that produce public benefits more effectively.”

A Spectrum of Policy Domains

The book details how China and the United States grapple with the complexity of producing the goods and services they need to meet a broad array of public goals. Eggleston surveyed the five broad policy domains she and her co-authors examine in the book through detailed historical legacies and case studies of the application of collaborative governance in both countries.

These domains include the railroads that build the nation historically in both countries and China’s high-speed rail network; real estate's intricate tangle of public and private partnerships; hosting the Olympic Games and the experience of the public and private sectors in that endeavor in both countries; education provision; and state and market in population health and health care in both countries. The book spotlights the different ways in which both countries produce public goods and services in these broad policy domains.

It is crucial for China to embrace the transparency imperative because the evil twin of collaborative governance is cronyism or corruption.
John Donahue
Harvard University

East and West

Professor Yijia Jing of Fudan University, an expert on privatization, governance, and collaborative service delivery, participated in the discussion with the book co-authors and shared insights on public-private relationships in China. Collaborative governance in the country, he said, has undergone a gradual process of institutionalization. He observed that Chinese local governments apply different strategies in collaborating with private companies. For example, local governments like Guangdong and Shanghai partner in different ways with digital giants Tencent and Alibaba to build up their digital capacities — collaborations through which they have been learning how to balance their multiple roles as partners, policymakers, and market regulators.

Jing noted that China uses collaborative governance not only in domestic arenas but also in areas of international development, through entities such as the BRICS Development Bank and the Asian Infrastructure Investment Bank. China is also promoting collaborative governance as part of its Belt and Road initiative.

A Call for Transparency

The Dragon, the Eagle, and the Private Sector helps decision-makers apply the principles of collaborative governance to effectively serve the public. The book's overarching conclusion is that transparency is the key to the legitimate growth of collaborative governance. In the United States, said Donahue, the principle of governmental transparency is widely accepted as a broad-spectrum accountability device. He recognized that he and his co-authors do not expect China to adopt the U.S. approach to transparency, but expressed their hope to see more transparency “with Chinese characteristics.” “It is crucial for China to embrace the transparency imperative because the evil twin of collaborative governance is cronyism or corruption,” Donahue argued.

In many countries and policy arenas, collaborative governance could effectively increase innovation but is not available because the populace is convinced that any interaction between the public and private sectors amounts to corruption on the part of elites against the public interest. The potential in China to create public value through interaction between its public and private sectors is enormous, concluded Donahue. ”It would be a shame to squander that.”

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In their new book, APARC Deputy Director Karen Eggleston and co-authors John Donahue and Richard Zeckhauser of Harvard University seek to empower decision-makers to more wisely engage the private sector in the pursuit of public value by analyzing how China and the United States use collaborative governance strategies to meet growing demands for public services.

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Callista Wells
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On February 24, 2021, the China Program at Shorenstein APARC hosted Dr. Thomas Wright, director of the Center on the United States and Europe and a senior fellow in the Project on International Order and Strategy at the Brookings Institution. Professor Jean Oi, William Haas Professor of Chinese Politics and director of the APARC China Program, moderated the event.

The program, entitled "U.S.-China Relations in the Biden Era," explored the future of US-China relations based on experience from past administrations. Under former President Trump, U.S. relations with China evolved into outright rivalry. In his talk, Dr. Wright discussed whether this rivalry will continue and evolve during a Biden administration by analyzing the roots of strategic competition between the two countries and various strands of thinking within the Biden team. According to Wright, the most likely outcome is that the competition between the two countries will evolve into a clash of governance systems and the emergence of two interdependent blocs where ideological differences become a significant driver of geopolitics. Cooperation is possible but it will be significantly shaped by conditions of rivalry. Watch now:

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Dr. Thomas Wright examines the recent history of US-China relations and what that might mean for the new administration.

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How can the U.S. best manage its relationship with China? The country is at once a major and increasingly hostile competitor to the U.S., a formidable challenger to U.S.’ regional and global leadership, and an important partner on a range of transnational challenges. Will it be possible for both sides to coexist amidst intensifying competition? How great is the risk of US-China conflict, including over Taiwan? Ryan Hass, author of Stronger: Adapting America’s China Strategy in an Age of Competitive Interdependence, will address these questions and more in opening comments before engaging in an open Q&A on the future of the world’s most consequential bilateral relationship.


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Portrait of Ryan Hass
Ryan Hass is a senior fellow and the Michael H. Armacost Chair in the Foreign Policy program at Brookings, where he holds a joint appointment to the John L. Thornton China Center and the Center for East Asia Policy Studies. He is also the Interim Chen-Fu and Cecilia Yen Koo Chair in Taiwan Studies. Hass focuses his research and analysis on enhancing policy development on the pressing political, economic, and security challenges facing the United States in East Asia. He is the author of Stronger: Adapting America’s China Strategy in an Age of Competitive Interdependence, published by Yale University Press.

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From 2013 to 2017, Hass served as the director for China, Taiwan and Mongolia at the National Security Council (NSC) staff. In that role, he advised President Obama and senior White House officials on all aspects of U.S. policy toward China, Taiwan, and Mongolia, and coordinated the implementation of U.S. policy toward this region among U.S. government departments and agencies. He joined President Obama’s state visit delegations in Beijing and Washington respectively in 2014 and 2015, and the president’s delegation to Hangzhou, China, for the G-20 in 2016, and to Lima, Peru, for the Asia-Pacific Economic Cooperation (APEC) Leaders Meetings in 2016. Prior to joining NSC, Hass served as a Foreign Service Officer in U.S. Embassy Beijing, where he earned the State Department Director General’s award for impact and originality in reporting. Hass also served in Embassy Seoul and Embassy Ulaanbaatar, and domestically in the State Department Offices of Taiwan Coordination and Korean Affairs. 

 


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This event is part of the 2021 Winter/Spring Colloquia series, Biden’s America, Xi’s China: What’s Now & What’s Next?, sponsored by APARC's China Program.

 

Via Zoom Webinar. Register at: https://bit.ly/3c3v10W

Ryan Hass Senior Fellow, Michael H. Armacost Chair in Foreign Policy Studies, Brookings Institution
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Across the world, societies are experiencing unprecedented demographic shifts as migration and aging reshape population landscapes. At the forefront of this global transformation is the Asia-Pacific region, particularly the countries of East Asia. Demographics and Innovation in the Asia-Pacific — a new book edited by APARC Director Gi-Wook Shin, Deputy Director Karen Eggleston, and Joon-Shik Park, a professor in the Department of Sociology at Hallym University in Chuncheon, Korea — provides a multidisciplinary examination of the demographic challenges facing East Asian nations and possible solutions.

At a virtual book launch held on March 2, 2021, contributing chapter authors James Feyrer, Joon-Shik Park, and Kenji Kushida joined Karen Eggleston to discuss their findings.

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Published in APARC’s in-house series, the book is the second volume resulting from APARC’s Stanford Asia-Pacific Research Innovation project. It collects the research findings of participants at the project’s third conference that was held in South Korea in June 2019.

James Liang, a research professor of economics at Peking University and a leading scholar of demographics and social studies, opened the event by situating the discussion about population structure in the context of the U.S.-China technology race. China is quickly catching up with the United States in the quality of its talent pool and the number of its labor resources. It will continue to outpace and surpass the United States in talent and innovation power in the next 10-20 years, Liang says.

China, however, is on a demographic cliff, facing severe population aging and low fertility rates. Its population of young workers aged 25-44 year-olds is projected to decline much faster and sooner than its overall population, leveling out against the labor and innovation gains the United States makes through the inflow of international talent into U.S. universities and entrepreneurial ventures. To sustain its long-term growth in labor quality and innovation, China will need higher birth rates and additional talent gains through migration, argues Liang.

James Feyrer’s book chapter examines the macroeconomic relationship between workforce demographics and aggregate productivity in Asia. Feyrer confirms that the high-income Asian nations like Japan and Korea, and even some middle-income countries of the region, will no longer enjoy a “demographic dividend” boosting aggregate productivity. However, he finds that the negative consequences of shifting to an older population structure may be less severe than previously projected, and even weakening with time. Feyrer believes this may be a result of improved food security and better overall health experienced by old cohorts in childhood, reinforcing the long-reaching impacts of healthcare on societal well-being.

Joon-Shik Park focused on the specific challenges facing Korean society, where birth rates have dropped severely. These historic declines continue to contribute to rising social and political unevenness across Korean society today. Initially seen most visibly in rural areas and smaller villages, Park’s now sees this unevenness affecting the dynamics of medium-sized towns and more urban areas as well. Korea and other aging societies must find viable solutions to address these issues if they are to prevent demographic divides from hobbling development and innovation, Park says.

Closing the book launch event, APARC Research scholar Kenji Kushida offers perspectives from rapidly aging Japan. where the challenges of shrinking and aging populations, rural-to-urban population distribution, and labor shortages spur advances in technology and innovation. Kushida documents this trend across multiple sectors.

He shows that drone technology has increased the productivity of short-staffed surveying firms, while AI-assisted industrial machines allow a broader range of laborers to work in manufacturing. Even in traditionally human-dominated environments like nursing homes, staff increasingly use robots to help improve the physical and mental well-being of elderly patients. Rather than strictly retarding growth, Kushida makes the case that demographic challenges serve as a catalyst for the development and implementation of new technologies.

As the research collected in Demographics and Innovation in the Asia-Pacific demonstrates, the challenges facing aging Asian societies are complex, but there is reason to look to the future with optimism. As the editors of the volume state in their introduction to the book, “Few concepts are as critical for sustained improvement in living standards as innovation.” New technologies and solutions will be foundational to addressing the challenges of the new demographic frontiers many societies are now approaching.

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Demographics and Innovation in the Asia-Pacific
"Demographics and Innovation in the Asia-Pacific" examines the impacts of Asia's demographic challenges on the development of new technology and innovation.
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Contributing authors to the new volume 'Demographics and Innovation in the Asia-Pacific' convened for a virtual book launch and discussion of the challenges facing aging societies in East Asia and the roles technology and innovation may play in rebalancing them.

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Book cover showing a robotic hand holding an older human hand.

Demographic transition, along with the economic and geopolitical re-emergence of Asia, are two of the largest forces shaping the twenty-first century, but little is known about the implications for innovation. The countries of East Asia have some of the oldest age structures on the planet: between now and 2050, the population that is age 65 and older will increase to more than one in four Chinese, and to more than one in three Japanese and Koreans. Other economies with younger populations, like India, face the challenge of fully harnessing the “demographic dividend” from large cohorts in the working ages.

This book delves into how such demographic changes shape the supply of innovation and the demand for specific kinds of innovation in the Asia-Pacific. Social scientists from Asia and the United States offer multidisciplinary perspectives from economics, demography, political science, sociology, and public policy; topics range from the macroeconomic effects of population age structure, to the microeconomics of technology and the labor force, to the broader implications for human well-being. Contributors analyze how demography shapes productivity and the labor supply of older workers, as well as explore the aging population as consumers of technologies and drivers of innovations to meet their own needs, as well as the political economy of spatial development, agglomeration economies, urban-rural contrasts, and differential geographies of aging.

Desk, examination, or review copies can be requested through Stanford University Press.

Table of contents and chapter 1, introduction
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Karen Eggleston
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Oriana Skylar Mastro
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This article by Oriana Skylar Mastro was originally published in The Interpreter, a publication by the Lowy Institute.

When China began three days of military exercises in the South China Sea’s Gulf of Tonkin back in January, some observers speculated that Beijing was testing the new Biden administration. Harsh words from Beijing accompanied the exercises, with China’s foreign ministry spokesperson Wang Wenbin declaring the drills were “necessary measures to resolutely safeguard national sovereignty and security”.

Even against this backdrop, China’s official position is that it remains committed to a peaceful resolution of the South China Sea issue. And the rhetoric China employs at different times does make for a fascinating contrast. For example, China’s Foreign Ministry asserted in July 2020 that “China is not seeking to become a maritime empire” and that it “treats its neighboring nations on an equal basis and exercises the greatest restraint.”

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How then should we make sense of the mixed messages coming from Beijing? Most China experts find discourse to be informative – if not about China’s intentions, then at least about its aspirations. But which statements are indicative of China’s true position?

I argued recently in research for the Wilson Center that scholars need to evaluate the content and specificity of Chinese national discourse in addition to the position of the author or speaker involved. To that end, I analyzed all public speeches made by members of the Politburo of the Chinese Communist Party from 2013 to 2018. Xi Jinping led both of the Politburos I studied, and each had 25 members. Since some members served in both, this yields speeches by 39 unique individuals.

The speeches related to the South China Sea could be separated into those that mentioned cooperative themes and those with competitive themes. Cooperative themes have two subcategories, cooperation, and political solutions. Competitive themes have five subcategories: sovereignty, military, freedom, tension, and non-regional countries/the United States.

In what might appear good news for regional stability, China’s leaders used more cooperative discourse in public statements about the South China Sea than competitive themes. This might be taken to indicate a willingness to compromise with other claimants – a feature that is especially evident during the first year of each new Party Congress, namely 2013 and 2018.

However, one of the tenets of deriving intentions from discourse is that not all leadership statements are created equal. We need to consider personal power, accountability, and reputation for honesty. This means that statements by Xi, who is described as having “more power and more personal authority than any post-Mao leader”, take precedent.

Ambiguity suggests the leadership wants to have maximum flexibility and avoid being boxed in by its aggressive rhetoric.
Oriana Skylar Mastro
FSI Center Fellow

So here is the bad news. My analysis showed that Xi’s statements accounted for 42.7% of the competitive themes mentioned, even though he is only one of 39 leaders during this period.

There are additional reasons to discount Xi’s cooperative statements: his reputation for dishonesty.

In September 2015, Xi made a public statement at the White House promising not to “militarise” the artificial islands China had been building in the South China Sea. Xi stated that “relevant construction activities that China is undertaking … do not target or impact any country, and China does not intend to pursue militarisation”. While the language at the time was deemed “new”, the pledge remained unclear. Then and subsequently, Xi did not promise to freeze dredging, island-building or activities in the region, nor did he offer any clarity about what “militarisation” meant. In May 2019, then–Chairman of the Joint Chiefs of Staff General Joseph Dunford said that China had “clearly … walked away from that commitment” given the “10,000-foot runways, ammunition storage facilities, routine deployment of missile defence capabilities, aviation capabilities and so forth” on the islands. My analysis in a previous Interpreter article shows that China has indeed militarised these islands to establish control over the islands and the surrounding waters.

Interestingly, China’s foreign ministry also makes more competitive statements than cooperative statements, contrary to what might be the expectation that professional diplomats would lean towards negotiations and reassurance. If soothing language was supposed to mask China’s intentions, ministry statements would be the most likely source. But instead, China seems to prioritise articulating its position on sovereignty and issuing threats to those who violate it over reassurance.

None of this means China will use force in the South China Sea. Xi’s statements calling for a tough stance to protect China’s perceived sovereignty in the South China sea lack specificity – there are no allusions to a timeline or preferred methods. Such ambiguity suggests the leadership wants to have maximum flexibility and avoid being boxed in by its aggressive rhetoric, even if it is popular with the Chinese public. And the Chinese leadership undoubtedly prefers to use diplomatic, legal and economic tools to establish sovereignty over these waters.

But my analysis suggests that China will be unlikely to make the compromises necessary on its expansive territorial claims in these waters to facilitate a viable diplomatic resolution. Instead, China’s leaders hope that political, economic and military power will convince other countries to accommodate China’s position without a fight. And if the other claimants concede to Beijing, it will be harder for the United States or Australia to push back on China’s position.

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Oriana Skylar Mastro Testifies on Deterring PRC Aggression Toward Taiwan to Congressional Review Commission

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China’s leaders are using cooperative discourse in public statements about the South China Sea than competitive themes, but signalling more competitive actions. | Getty Images
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The rhetoric weaves between cooperative and competitive, leaving the question of what – and who – to believe.

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There are strong indications that the Biden administration intends to continue strengthening U.S.-Taiwan ties. The Biden team invited Taiwan's representative Bi-khim Hsiao to the presidential inauguration, supporters of Taiwan now hold senior roles in the administration, and officials have pledged "rock-solid" U.S. commitment to Taiwan, warning that PRC military pressure against Taiwan threatens regional peace and stability. But Cross-strait deterrence is arguably weaker today than at any point since the Korean War, according to Chinese military and security expert Oriana Skylar Mastro, FSI Center Fellow at APARC.

On February 18, 2021, Mastro testified to the U.S.-China Economic and Security Review Commission at a hearing on Deterring PRC Aggression Toward Taiwan. Her testimony on the political and strategic dynamics underpinning deterrence across the Taiwan Strait is available to watch below.

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Beijing has turned to increasingly hostile and combative rhetoric and actions since the democratic election of Taiwan’s president, Tsai Ing-wen. PLA air and water operations around Taiwan, particularly in the Taiwan Strait, have increased significantly in the past year, and concern is growing that the Chinese Communist Party is imminently planning to use force to compel Taiwan to accept unification with mainland China.

Drawing on her expertise in both policy and military security, Mastro explains why deterrence in Taiwan must be based on military capabilities rather than signaling through policy.

Catalysts to Conflict

Foremost, Mastro argues that the basic circumstances of aggression towards Taiwan have changed. In years past, it was accepted that China would launch military operations against Taiwan in response to actions or policy positions taken there or in the United States. However, Mastro believes that China is now primed to force a campaign of reunification regardless of either Taiwan’s or the U.S.’s policies moving forward.

By Mastro’s assessment, China is now in a position where it could prevail in cross-strait military contingencies even if the U.S. intervenes in Taiwan’s defense. The reform overhaul and modernization of China’s military have vastly improved the quality it equipment and confidence in its capability. China now possesses offensive weaponry, including ballistic and cruise missiles, which if deployed, could destroy U.S. bases in the Western Pacific. Sophisticated cyber attacks on domestic infrastructure both in Taiwan and the United States are also a credible threat and viable form of retaliation.

As long as President Xi is confident that the PLA can successfully back a forced unification in Taiwan, Mastro argues that action of some kind against Taiwan is not a matter of if, but of when, and what severity.

Types of Escalation

Failure to reunify Taiwan is too high a political and military cost for the PRC to risk, but there is also growing agitation amongst the mainland Chinese population for a resolution on the half-baked status of the island and its governance. Mastro believes that this pressure will ensure that action will be taken on Taiwan in the next 3 to 5 years.

Since Taiwan cannot withstand a sustained, active assault from China on its own, the deciding factor in when and how China moves against Taiwan is largely dependent on the signals the U.S. sends. And since China is increasingly confident in its own military, the signals the U.S. sends must likewise be ground in military capability, not policy, says Mastro.  

As long as the U.S. does not make significant changes to improve its force posture in the region, China can afford to wait. Until Beijing is ready to take Taiwan by force, its leadership will carefully calibrate responses to U.S. or Taiwan actions so as not to escalate to war.
Oriana Skylar Mastro
FSI Center Fellow

If China believes there will be little or no intervention or support from the U.S., it is likely to follow a graduated plan of attack, using economic blockages and targeted military action to bring about capitulation. If, however, it appears the U.S. will intervene, China is much more likely to move quickly and escalate violence and force rapidly to maximize damage before a full U.S. defense response can be coordinated.

Policy Recommendations

To effectively counter China on Taiwan, Mastro recommends crafting policy that creates doubt over China’s ability to successfully absorb Taiwan through military means. To do this, the United States needs to focus forces and develop operational plans that credibly off-set China’s goals while not triggering a panicked response from Beijing that could escalate into rapid conflict.

Mastro also urges the allocation of more resources toward intelligence, surveillance, and reconnaissance (ISR), base development, and firepower in the Asia-Pacific region. Investing in these signals U.S. commitment to determent and the capacity to follow through if need be.

Finally, Mastro urges additional research into U.S. war termination behavior. Any involvement in Taiwan must be as limited and without the possibility for escalating levels of violence and long term unsustainable, unwinnable commitments. In preparing to potentially fight a war, she reminds policymakers that they need to know how to end one as well.

A recording of the full hearing is available courtesy of the U.S.-China Economic and Security Review Commission.

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Oriana Skylar Mastro testifies to the U.S.-China Economic and Security Review Commission on Taiwan deterrence.
Oriana Skylar Mastro testifies to the U.S.-China Economic and Security Review Commission on Taiwan deterrence.
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China may now be able to prevail in cross-strait contingencies even if the United States intervenes in Taiwan’s defense, Chinese security expert Oriana Skylar Mastro tells the U.S.-China Economic and Security Review Commission. Changes must be made to U.S. military capabilities, not U.S. policy, she argues.

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This event is co-sponsored by the Center on Democracy, Development, and the Rule of Law.

How does autocratic lobbying affect political outcomes and media coverage in democracies? This talk focuses on a dataset drawn from the public records of the US Foreign Agents Registration Act. It includes over 10,000 lobbying activities undertaken by the Chinese government between 2005 and 2019. The evidence suggests that Chinese government lobbying makes legislators at least twice as likely to sponsor legislation that is favorable to Chinese interests. Moreover, US media outlets that participated in Chinese-government sponsored trips subsequently covered China as less threatening. Coverage pivoted away from US-China military rivalry and the CCP’s persecution of religious minorities and toward US-China economic cooperation. These results suggest that autocratic lobbying poses an important challenge to democratic integrity.


Portrait of Erin Baggott CarterErin Baggott Carter is an Assistant Professor at the Department of Political Science and International Relations at the University of Southern California. There, she is also a Co-PI at the Lab on Non-Democratic Politics. She received a Ph.D. in Government from Harvard University, is currently a visiting scholar at the Stanford Center on Democracy, Development and the Rule of Law, and was previously a Fellow at the Stanford Center for International Security and Cooperation.

Dr. Carter's research focuses on Chinese politics and propaganda. She recently completed a book on autocratic propaganda based on an original dataset of eight million articles in Arabic, Chinese, English, French, Russian, and Spanish drawn from state-run newspapers in nearly 70 countries. She is currently working on a book on how domestic politics influence US-China relations. Her other work has appeared or is forthcoming in the British Journal of Political Science, Journal of Conflict Resolution, and International Interactions. Her work has been featured by the New York Times, the Brookings Institution, and the Washington Post Monkeycage Blog.

 


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This event is part of the 2021 Winter/Spring Colloquia series, Biden’s America, Xi’s China: What’s Now & What’s Next?, sponsored by APARC's China Program.

 

Via Zoom Webinar. Register at: https://bit.ly/3beG7Qz

Erin Baggott Carter Assistant Professor, Department of Political Science and International Relations, University of Southern California; Visiting Scholar, Center on Democracy, Development and the Rule of Law, Stanford University
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This article by Oriana Skylar Mastro was originally published by the Lowy Institute.

Chinese exercises in the South China Sea last month, and the strong US response, show these disputed waters will not soon be calm. While the focus has largely been on military maneuvers, competition in legal positions has also been heating up. Last year, both the United States and Australia risked China’s wrath by officially stating that China’s claims in the South China Sea are unlawful. Other claimants were pleased by this change of policy, but none voiced it prominently.

The issue, however, is not that China flagrantly violates international law – it is that it does so while simultaneously creating a veneer of legal legitimacy for its position.

The conventional wisdom is that China claims sovereignty over “virtually all South China Sea islands and their adjacent waters.” Its claims are “sweeping” and more expansive than those of any other rival claimant. In 2009, Dai Bingguo, then a top Chinese official, first referred to the South China Sea as a “core interest”, a term often used for Taiwan, Xinjiang, and Tibet. While China has not been specific about the extent of its claims, it uses a “nine-dash line” which “swoops down past Vietnam and the Philippines, and towards Indonesia, encompassing virtually all of the South China Sea”, to delineate its claims.

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On the surface, it appears that Chinese leaders are relying on a historical argument to buttress their claims – China traces its interaction with the South China Sea back to the Western Han Dynasty. Thus, Beijing’s narrative about its claims begins as early as the 2nd century BCE, when Chinese people sailed in the South China Sea and discovered some of the region’s land features.

Scholars have meticulously cataloged the dubious nature of this history. And besides, the UN Convention for the Law of the Sea (UNCLOS) does not grant signatories the right make claims based on historical legacy, and the concept of “historic claims” lacks a clear basis in international law.

But this is not actually how China lays claim to 90% of the South China Sea. China’s abuse and misapplication of international law is a bit more complex. There are four levels that build on one another.

First, China claims it has the same rights as archipelagic states, those countries mainly made up of islands. One of the benefits of archipelagic status is that the waters between islands are considered internal waters, like rivers inside a country. Other countries have no right to transit these waters without permission. This archipelagic status is conferred through the UN, and only 22 nations claim it.

Spoiler alert: China is not one of them.

China is undeniably a continental country, but nevertheless, it drew straight baselines around the Paracel Islands and claimed the waters between the islands to be internal waters. Beijing has not done this explicitly for the Spratly islands area, but its reaction to the activities of other countries suggests that is its interpretation. My discussions with Chinese strategists reveal that China will likely explicitly draw baselines to claim internal waters between the Spratly Islands once it has the military capabilities in place to enforce it. (This is not an easy task, as the Spratlys’ sea zone is 12 times that of the Paracels, covering 160,000 to 180,000 square kilometers of water.)

While international law may support the position of the US and Australia on legal behavior within the EEZs, countries need to work harder to solidify this norm more broadly.
Oriana Skylar Mastro
FSI Center Fellow

China then claims a 12 nautical mile (nm) territorial sea from the Paracel baseline, not from the individual islands, and in the Spratlys from many features that under international law are not awarded this right, such as artificial islands. Moreover, China’s interpretation of the territorial sea is that the state has the exclusive right to make, apply and execute its own laws in that space without foreign interference. But according to UNCLOS, all ships, civilian or military, enjoy the right of innocent passage through other states’ territorial seas. Moreover, the contiguous zone is considered part of international waters, and states do not have the right to limit navigation or exercise any control for security purposes.

Lastly, China claims 200 nm from the end of the territorial sea as its exclusive economic zone (EEZ), where it claims to have the right to regulate military activity. The US insists that freedom of navigation of military vessels is a universally established and accepted practice enshrined in international law – in other words, states do not have the right to limit navigation or exercise any control for security purposes in EEZs. Australia shares this view, but not all countries accept this interpretation. Argentina, Brazil, India, Indonesia, Iran, Malaysia, the Maldives, Oman, and Vietnam agree with China that warships have no automatic right of innocent passage in their territorial seas. Twenty other developing countries (including Brazil, India, Malaysia, and Vietnam) insist that military activities such as close-in surveillance and reconnaissance by a country in another country’s EEZ infringe on coastal states’ security interests and therefore are not protected under freedom of navigation.

In other words, while international law may support the position of the US and Australia on legal behavior within the EEZs, countries need to work harder to solidify this norm more broadly.

Through these three positions alone on internal waters, territorial seas and EEZs, China lays claim to approximately 80% of the South China Sea. Then China uses the nine-dash line to cover the remaining territory and provide redundancy by claiming “historic waters” – i.e., that China has historically controlled this maritime environment – again, a view that has no basis in international law.

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Table comparing the practices of China in the South China Sea verus the norms of international laws

The US has taken steps to challenge the false legal basis of China’s claims. This is the main purpose behind freedom-of-navigation operations, or FONOPS – to demonstrate through action that the US does not accept China’s position that areas are not international waters but internal or territorial waters. In other instances, the US is signaling that it does not accept an area to be in China’s EEZ, although China would not have the right to regulate military activity there anyway.

But undermining China’s false legal claims will take more than military operations and harsh statements. In 2016, the Hague Tribunal ruled that China’s claims of historic rights in the South China Sea lacked legal foundation, China’s actions in the region infringed on the rights of the Philippines, and features in the Spratlys are not entitled to EEZs or territorial zones. Yet Washington’s ongoing refusal itself to ratify UNCLOS undermines the general effectiveness of pushing back against Beijing with legal tools of statecraft. Additionally, Washington squandered an opportunity to support the Philippines in enforcing the international legal tribunal’s 2016 ruling in its favor, further reducing the attractiveness for other claimants to challenge Beijing on legal grounds.

The US should not make the same mistake twice. It should support other claimants that may want to pursue legal action against China (Vietnam is currently considering this course of action). Then, when the tribunal rules once more against China, the US should lead the charge to enforce the ruling.

China is using all the tools of statecraft at its disposal to gain control over this vital strategic waterway. The US and its allies should do the same.

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Beijing’s misapplication of international law in the disputed waters is more complex than it seems on the surface.

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We often think of language as a democratic field, but it is not quite the common property of its speakers, argues Jeffrey Weng, APARC’s 2020-21 postdoctoral fellow on contemporary Asia. Rather, language is a skill that must be learned, says Weng, and it creates social divisions as much as it bridges divides. 

Weng studies the social, cultural, and political nature of language, with a focus on the evolution of language, ethnicity, and nationalism in China. His doctoral dissertation investigates the historical codification of Mandarin as the dominant language of contemporary mainland China. This summer, he will begin his appointment as an assistant professor at National Taiwan University. In this interview, Weng discusses the dynamics between linguistic and social change and the implications of his research for Asian societies today.


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What has shaped your interest and research into the study of language and linguistic dissemination?

As a first-grade student in the early 1990s attending Chinese school in central New Jersey on Saturday mornings, I learned how to write my first complete sentence in the language: “I am an overseas Chinese.” Now, this was a curious sentence to teach to a class full of American-born children of Taiwanese parents, and it’s a reminder that language is never a neutral conveyor of meaning. Language cannot but be freighted with social, cultural, and political import, a lesson reinforced in my high-school Spanish classes, in which I made my first forays into literature in a foreign language: stories by the great writers of Spain and Latin America not only spoke a wholly different language, but they told wholly different stories from those of their British and American counterparts.

Linguistic difference also is a signal of individual and social difference: my childhood visits with family in Taiwan opened my ears to a cacophonous Babel in the media and on the streets—though we spoke Mandarin at home, whenever we went out, people speaking Taiwanese were everywhere to be seen and heard. This was further amplified when I visited mainland China for the first time in my early 20s. Beijing, the supposed wellspring of the nation’s language, was bewildering—I could not understand much of the unselfconscious speech of the locals. And traveling several hundred miles in any direction would only deepen my incomprehension. And yet, on the radio and on TV, during formal events and on university campuses, there was always Mandarin to clear the way. I wanted to learn more about how this language situation came to be. For me, studying the social, cultural, and political nature of language is a way to a deeper understanding of how people are united and divided in vastly different contexts across the globe.

As you’ve looked deeper into how language shapes society and society shapes language, what is something surprising you’ve come to realize about that relationship?

People often see language as the ultimate democratic field when it comes to cultural practice. No matter how much you might tell people not to split their infinitives or end their sentences with prepositions, popular practice will always win the day. Or so we English speakers think. Ever since Merriam-Webster came out with its infamously descriptivist Third New International Dictionary in 1961, Anglophone language nerds have fought over whether dictionaries should be “prescriptive”—that is, rule-setting—or “descriptive”—reflective of popular usage. But really, these are two sides of the same coin. We take it for granted that privately-owned publishers of dictionaries spell out the supposed norms of our language. Not only that, we even think this ought to be the case. French is the usual counterexample: when government language authorities in Quebec or Paris try to stem the Anglophone tide, we think it absurd that so-called authorities would ever try to rule over something so fundamentally unruly as language.

In my research, however, I learned how fundamentally invented Mandarin as a language is—from its highly artificial pronunciation to the way its orthography has been stabilized. There used to be a lot of variability in how characters were written and how they could be used, much like English spelling before the 18th century. Mandarin, both spoken and written, was standardized only in the 1920s to facilitate mass literacy and national cohesion. So linguistic change might often follow and reflect social change, but the process can also operate in reverse—a government can change language in hopes of facilitating social change.

In your latest journal publication, you argue that language nationalization in Japan, Korea, and Vietnam between 1870-1950 was a state-led, top-down process directed at remaking society rather than the more traditional view of diffusion through trade, economics, and cultural exchange. Why is this an important distinction to make?

Again, we often see language as a democratic field, the common property of its speakers, but it isn’t really. Sociolinguists are often quick to remind us that linguistic differences reflect class differences—“proper” language is that of “educated” speakers. But language is a skill, and skills must be learned. Some people can learn skills more easily than others, whether through natural ability or, more importantly, the life circumstances they were born into. Rich people can more easily get a good education. Educational disparities are now part and parcel of today’s broader debates about inequality. But the very fact that we think this is a problem is a product of developments in the late 19th and early 20th centuries.

Before then, broad swaths of humanity were totally illiterate and had no chance at being educated, and most people did not think this was a problem. In Europe, the language of the Church and academia, even to some extent in Protestant areas, was Latin until the 18th century. Local vernaculars had gradually developed as independent media of communication in government chancelleries and popular literature since the Middle Ages, but they did not really gain ascendancy until the age of print-capitalism and nationalism in the 18th and 19th centuries. Marxian-influenced scholars have therefore concluded that the rise of national languages coincided with the rise of the bourgeoisie, whose own languages became those of the nations they constructed.

In France, for example, while revolutionaries in the 1790s advocated the use of Parisian French to unify a country divided by hundreds of local forms of speech, into the mid-19th century, even journeying 50 miles outside Paris found travelers having trouble making themselves understood to the locals. It took more than a century for French to gain a foothold in most of the country. Asia, too, was a polyglot patchwork for millennia, unified at the top by an arcane language much like Latin—Classical Chinese. This situation became politically untenable in the 19th century as European imperialism encroached on traditional sovereignties in China, Japan, Korea, and Vietnam. In order to counter the foreign threat, governments sought to strengthen their societies by educating their populations, which required making it easier to learn how to read and write. While standard languages have been described by historians and sociolinguists as “artificial” for less-privileged learners, Asia’s standard languages were artificial even to their bourgeois inventors.

Our understanding of the present is invariably colored by our interpretation of the past: if we understand a national language to be a bourgeois imposition that diffused via economic development, then we more easily see its continued imposition as a perpetuation of class prejudices. If on the other hand, we see an invented national language as a tool for bridging regional divisions and expanding economic opportunity for our children, then we feel much more positively about the spread of such languages. Both interpretations can be true at the same time, but we must remember that one is inseparable from the other.

Do you see any parallels between how language nationalization has occurred in the past to how language and society are shaping one another in the present?

The number of “standard” Mandarin speakers in the early 1930s could be counted on one hand. Today, it’s the world’s largest language by a number of “native” speakers. Though it began as an elite nationalizing project that was largely ignored by the masses of people in China, Mandarin is now more often seen as a hegemonic threat to local languages and cultures. Language can thus bridge divides, but also create new divisions. People in China are often ambivalent about the pace of change these days. When I visited cousins in rural Fujian during the Lunar New Year a few years ago, I noticed that all my nieces and nephews spoke Mandarin in almost all situations, to their parents, and especially to one another. Only my grandparents’ generation used the local Fuqing dialect as a matter of course. My parents’ generation spoke dialect to their parents, but a mix of Mandarin and dialect to their children—the cousins of my generation, who were able to speak the dialect, but were more comfortable speaking Mandarin among themselves and to their children. One of my young nieces who’d grown up in Beijing, where her parents had moved for work, even had a perfect Beijing accent. In a span of three generations, migration due to expanded opportunity had wrought enormous change in language habits. Much had been gained, but also much had been lost.

How has your time at APARC as one of our Shorenstein Postdoctoral Fellows aided your research project?

It’s certainly been a strange year to be a postdoc, given how we’ve all been operating remotely. Nevertheless, life and work have continued, and we’ve all been able to find new ways of building community and getting things done. I’ve personally benefited from the access to the vast academic resources of Stanford—library access, even online alone, is a lifeline to any researcher. Moreover, I’ve had the opportunity to chat on Zoom with Stanford faculty about research and connect with my fellow postdocs to support one another as we figure out how to move forward in our careers in these challenging times.

With your recent appointment as an assistant professor at National Taiwan University in Taipei, how do you anticipate your research interests growing and developing given the tension between Taiwan and China?

I am gratified to begin my academic career in a place of such diversity and openness as Taiwan. Language and identity are constant sites of contention in Taiwan's politics, and I look forward to expanding my on-the-ground understanding of these issues as I begin teaching in the sociology department at National Taiwan University. It is nothing short of miraculous that democracy has flourished at such an intersection of empires, colonialism, repressions, and struggles. And it is unsettling to see that flourishing takes place in such a precarious geopolitical location. NTU's sociology department is at the forefront of understanding all of these vital issues as we barrel forward into an ever more uncertain future.

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Jeffrey Weng's research examines the relationship between how language shapes society and society shapes language.
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Shorenstein Postdoctoral Fellow in Contemporary Asia Jeffrey Weng shares insights from his research into how language and society shape one another, particularly how the historical use of Mandarin affects contemporary Chinese society and linguistics.

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