Books on Africa

crocodile-uganda

To prepare for my summer trip, I have started reading about Africa in general and Uganda in particular. Here is a list of books recommended by my professors and which I think might be interesting:

Lovers on the Nile. Richard Hall. It is written in the 1980s so there are few reviews available. It seems to be a biography of two explorers searching for the source of the Nile.

The White Nile and The Blue Nile. Alan Moorehead. Classic books about history of the Nile region. The former is about Central Africa while the latter is about Egypt and Ethiopia.

Captain Sir Richard Francis Burton: The Secret Agent Who Made the Pilgrimage to Mecca, Discovered the Kama Sutra, and Brought the Arabian Nights to the West. Edward Rice. Describes the life of Captain Sir Richard Francis Burton, who explored India,
the Near East, and Africa, went to Mecca, discovered the Kama Sutra, and introduced the Arabian Nights to the West (Amazon).

Cry, The Beloved Country. Alan Paton. A story about Zulu paster Stephen Kumalo and his son Absalom in the background of racial injustice in South Africa. A classic. I am planning to read it on the plane.

Uganda Since Independence: A Story of Unfulfilled Hopes. Phares Mutibwa. The author, a Ugandan historian, guides readers through the Uganda post-independence history with comments about impacts of different regimes. Useful reading for anyone who wants to know more about Uganda politics since independence. Here is an excerpt:

When it came to nation-building, Tanzania and Kenya, Uganda’s sister-nations in East Africa, were luckier than Uganda in many ways. Tanzania had tribes that were mostly small and scattered widely round the arid centre of the country, … , a common African language, Swahili. In Kenya the prolonged struggle for power and independence with European settlers proved to be of immense political advantage to Jomo Kenyatta in forging a united nation despite the existence of many tribes. In Uganda … the country contains ethnic groups, each with its unique cultural features and outlook … the population is divided into three major linguistic groups … these groups did not augur well for the new state.

The Teeth May Smile but the Heart Does Not Forget: Murder and Memory in Uganda. Andrew Rice. About the violent reign of Idi Amin.

First Kill Your Family: Child Soldiers of Uganda and the Lord’s Resistance Army. Peter Eichstaedt. American journalist unfolding the stories of child soldiers in Uganda.

I don’t think I will have the time to read all of them, but this list will provide a reference. Comments and suggestions are welcome.

“Barbarians” with sophistication: James Scott on the Art of Not Being Governed

Yale professor and celebrated writer James Scott gave a talk at Duke today. He walked us through a set of interesting ideas in his new book The Art of Not Being Governed. A similar interview is here. His main argument is that Southeast Asian upland people choose their living arrangements, farming practices, and even illiteracy (over which I have doubts) strategically in order to remain stateless.

The area he refers to is called Zomia. It is a mountainous region consisting of parts of seven Asian countries. The people in this area have remained anarchist throughout the history.

He first pointed out that sedentary crop farming is usually necessary to establish states, as can be demonstrated by civilizations in major river valleys all over the world. However, states can also emerge without sedentary farming. For instance, trade and transportation centers can also turn into states.

States have control over its territory and interact with areas beyond its territory — “barbarian peripheries”.  Historically, states trade with and demand labor (slavery) from peripheries. This statement is no longer after World War II for two reasons. First, accurate positioning technologies have increased states’ capacity to occupy the full territory. Second, “barbarian peripheries” are no longer fiscally sterile. Their rich natural resource deposits are often necessary for states to advance in science and technology.

Hills, valleys, and wetlands are three geographical environments that lead to different population arrangements and institutions. Wet rice cultivation is widespread in valleys because of good irrigation, while slash-and-burn is more prevalent in hilly areas. According to Scott, societies are more egalitarian in hills than in valleys. Kingdoms are more likely to occur in valleys. One reason may be that wet-rice farming requires skills and is likely to differentiate households with different level of productivity in terms of income. On the contrary, slash-and-burn requires little sophistication and is likely to generate similar incomes for all. Another reason may be that valley residents are likely to produce more surplus, and the increase in surplus calls for an institution — a state — to allocate the surplus, to facilitate trade among people, and to establish norms and regulations.

The most interesting concept in Scott’s lecture is “runaway crops”. Scott made a case that wet rice production is favorable for tax collectors because rice grows above the ground and matures at a predetermined time. Tax collectors can come at the harvest season and easily demand the amounts due by the household. By contrast, root crops such as potato and maize are easy to grow but not immediately visible at harvest. Such crops will make tax-collection difficult. It is also surprising for me to learn that people seem to adjust their portfolio of farming produces depending on their desired relationship with the state. They may plant crops maturing in different seasons so that one-time tax visits are not profitable for the state.

Although I have found Scott’s arguments about the relationship between geographical features and governance schemes compelling, I still doubt to what extent do the “barbarians” select into such lifestyles.

Thoughts about Seeing Like A State (1)

Seeing Like A State by James Scott is in my reading list for the vacation. So far I have found the book insightful and provocative. As it says on its cover, the book is about “how certain schemes to improve the human condition have failed”. I’ve been jotting down my thoughts as I read along. The following are my thoughts on the first two chapters.

The author started off by comparing the state to a forest. To get an idea about the composition of a forest, one has to classify the trees into several categories with certain standards, and record the number of trees in each category. This procedure sacrifices precision for the general idea (the “big picture”). Likewise, if a states needs to manage its people for fiscal or political purposes, it has to assign unified measures to people to categorize them.

The tension between local powers and the central government is present in all states. The central government is the political focal point and steers the policy direction of the whole country. But it lacks information about local situations, which may discount the effects of policy implementation. This is especially evident in ancient and contemporary China given its size and heterogeneity among regions. Qin Shihuang (the first emperor in China) unified units of measurement and currency. This accommodated for market activities between regions and fostered political unity. Without comparable units of measurements, market activities are limited to a small, local scale. Units of measurements also comes into play in tax collection.

These arguments remind me of what I learned in my development seminar. One feature of the development microeconomics is nonanonymity. Everyone in the village knows each other well. Trust can be established easily through repetitive interaction. When market transactions are limited to the local community, it seems safe, but it also greatly restricts the resources available. As the market grows, people will need to interact with the outside to consume a wider array of goods, to gain more information, and to make more diversified investment portfolios. These requires the adoption of unified measurements and currency, accepted rules about market order, and legal enforcement institutions.

The author argues that the administrative simplification of the state progresses from control over nature (e.g. forest) to control over space (e.g. land tenure), and then to inherited, permanent patronyms. In China, many patronyms were given in the Qin dynasty for better identification and easier tax collection.

The state can design cities to be more legible to outsiders and therefore increase its control over local areas. An example is the redesign of Paris. The military security of the state was the central concern of Louis Napoleon’s and Haussmann’s plans. The boulevards were designed to be wide and directly accessible from the center, which allows the army to march quickly in case of insurrection.

The central power balance in Chinese hereditary monarchy

The Chinese monarchy lasted for several thousand years and had great impact upon the economic and social structure of the contemporary Chinese society. The ideology and mechanism supporting autocratic elements entrenched in the Chinese political system persist long after the original institutions collapsed. In this paper, I will use theories of autocracy, dictatorship to analyze the central power balance mechanism of the Chinese monarchy.

I.           The Theory of Autocracy in the Chinese Setting

A hereditary monarch and a dictator are fundamentally different. The former faces less risk of being overthrown because there are pre-existing legitimacy and ethical grounds for him to “speak for the divine” and possess the ultimate decision power. A dictator’s legitimacy is easily questioned. Dictatorship tends to be transitory, but hereditary monarchy lasts longer and is more stable (Tullock, 1987). The relative security enables a hereditary monarch to adopt policies with longer time horizons and structure the government in a delicate balance of power.

For a dictator, it is important to curb his launching organization after gaining power. Haber (2006) suggests three methods to achieve this goal: co-optation, organization proliferation, and terror. Although a hereditary monarch usually does not have a launching organization (except for the first emperor of a dynasty), he still need to keep control over major government officials and other interest groups so that they cannot challenge his supreme power. In Han and Tang, the emperor held major stakes in the country and could blame and fire the chancellor. The chancellor acted like the emperor’s secretary.

II.        Central Power Balance

1.Co-optation

I refer co-optation in the Chinese context to the rent sharing between the emperor and multiple interest groups on which he relies to run the country. The key to co-optation is the source of rent. For stability, three parties are usually involved in rent sharing: the dictator, the leadership of the organized group that can sanction him, and a group of investors who generate a stream of rents in privately owned enterprises (Haber, 2006). Throughout pre-industrial Chinese history, private owned enterprises never fully developed and thus the last group was absent. Instead, Chinese monarchies were based in a “flat society” (Huang, 1988) where the vast population of peasants contributed tax for government expenditure. Therefore government officials who implemented policies can be viewed as the party to generate rents. The monarch had to establish a scheme of rent sharing between himself, his administrative officials, and sanction posts in the government.

The Tang dynasty set an example for the central government structure. Instead of the Chancellor (宰相) as the primary single minister of the government (as was the case in Han), the Tang adopted a “rule by committee” system (Chien, 1982). Three administrative departments (三省) — the Imperial Secretariat (中書省), the Imperial Chancellery (門下省), and the Executive Department (尚書省) — shared the highest administrative power. The power of drafting and issuing policies lay within the three departments, and the emperor only needed to sign on the draft. A decree could not be effective until it was passed by the Imperial Chancellery. Remonstrators (諫官) attached to the Imperial Chancellery were responsible for censoring the signed decrees. If a decree needed to be revised, the Imperial Chancellery would send suggestions to the Imperial Secretariat and the previous procedures would repeat. Therefore, the Imperial Chancellery retained the “counter signature” power (Chien, 1982). The Executive Department consists of six ministries (六部), personnel (吏部), finance (戶部), rites (禮部), war (兵部), justice (刑部), and public works (工部), which implements policies according to their specialization.

The emperor did not have the final power to decide a particular policy, and considerable power was given to high-rank government officials. But there exists a fundamental conflict between the emperor’s arbitrary power and the rigid censorship required. The emperor could always find ways to evade the regulations and carry out the decision to his discretion. For example, Empress Wu (武則天) passed decrees without being censored by the Imperial Chancellery. This conflict was finally resolved in Song dynasty when the final decision power was returned to the emperor. Imperial Secretariat was instructed to draw up decrees reflecting the emperor’s view and Chief Ministers (丞相) were only responsible for the implementation of the decrees. Moreover, the Imperial Secretariat and Imperial Chancellery were moved out of the Three Departments. The remonstrators were obliged to comment according to the emperor’s will. Political power was concentrated to the emperor.

2.Organization Proliferation

Chinese emperors often promulgated organizations to create confusion and internal conflicts within government officials, therefore restricting the power of the officials.

The Ming dynasty represented the peak of the emperor’s absolute power over the country. During the previous dynasties of Han, Tang, and Song, the emperor’s power was always kept in check by Chief Ministers, although the allocation of power varied from time to time. But Ming Tai Zu (明太祖) abolished prime ministership and left only a set of subordinate officials to carry out daily government routines. In addition, the head of the Censorate (督察院) and the other two commissioners were formed into the Nine Chief Ministers (九卿). Since no Presiding Minister (尚書令) or Vice Ministers (左僕射,右僕射) were present, the six ministries began to operate separately. The task of coordination was left to the emperor. By creating more organizations, the emperor greatly increased the cost of collective action against him and improved his security. But this came at the cost of declined government efficiency.

3.Terror

Some emperor created terror within the central government and among the masses. The fear of being punished by devising policies against the dictator’s will would make the government officials the mere puppets for the emperor. But creating terror is highly risky and is likely to undermine the administrative efficiency.

The Qing dynasty was one ruled by the Manchus. As “invaders”, they had weaker legitimacy to govern the country and were especially concerned to the security of their political power. The Qing government lacked “rational institutions” established for the public interests (Chien, 1982). Instead of literati running the government, the Qing placed the government in the hands of the Manchurian tribesmen who firmly supported the emperor. Emperor Yong-Zheng (雍正) set up another secretarial government organ, the Grand Council (軍機處), in addition to the Grand Secretaries left by the Ming. The Grand Council evolved into a tool for the emperor to exercise arbitrary power. The emperor could issue direct orders to local officials by “court letters” and maintain direct control of the whole country, thus creating secret policies unfettered by existing rules.

References:

Chien, Mu. Traditional government in imperial China: A Critical Analysis. Hong Kong: Chinese University of Hong Kong Press, 1982.

Huang, Renyu. China: A Macro History. Armonk, New York: M.E. Sharpe, 1988.

Haber, Stephen. “Authoritarian Government”, in B R Weingast and D A Wittman, ed., The Oxford Handbook of Political Economy, Oxford University Press, 2006, Chap 38, pp. 633-707.

Tullock, Gordon. Autocracy. Dordrechet, The Netherlands: Kluwer Academic Publ. Co., 1987.

Is Industrial Revolution an accident? Reflections on The Great Divergence by Kenneth Pomeranz

The book is the main reading for my course Economic History of China. Pomeranz’s main argument is simple: Europe and China pursued divergent paths of economic development, one capital-intensive and the other labor-intensive, largely because Europe had the New World to supply them with adequate energy, resources, and labor. I found most parts of his reasoning convincing. In the following, I will supplement my thinking about this issue.

1. The Crops-Only Agriculture

The English adopts crops-cum-animal agricultural system and Chinese a crops-only one. The crops-only agriculture was an essential response to China’s huge population size and limited land resources.

Daniel Little puts forward three issues are worth investing in China’s agriculture: First, the nature and rate of agricultural development (output, productivity and application of new technologies). Second, the direction and nature of change in rural welfare during the period. Third, the character and pace of social change during this period (rural to urban migration, land tenure change, concentration of landholdings).

Chinese agriculture was neither in a boom nor in decline in the eighteenth century. Robert Allen uses convincing data collecting methods and finds out that labor productivity in the Yangzi Delta was about 79% of that in England in 1800. England and Jiangnan went on divergent paths in the mid-eighteenth century, with sustained productivity growth in manufacturing and agriculture in England, and static or worsening productivity in Jiangnan.

Although the labor productivity in the Yangzi delta was comparable to that in England, the Chinese crops-only agriculture generated resistance to labor-saving technological innovation, since the crops were already chosen to have high yields and were likely to cover the peasants’ subsistence needs. In Britain, however, the enclosure movement allowed land owners to combine grain and animal husbandry and increased livestock production by 73 percent (other than farm horses) between 1700 and 1800 in the eighteenth century (Huang, 2002).

2. China’s size effect

We should note the different political unit of Jiangnan and Britain in our comparison. Jiangnan was one region in China and was bound to be affected by market dynamics, labor mobility, demographic change and other factors in the rest of China. Pomeranz argues that the socioeconomic crisis outside the delta had nonetheless affected the delta powerfully (Pomeranz, 2002).

According to the world system theory put forward by Immanuel Wallerstein (1974), there are core regions and peripheral regions in the world. There can be a sustainable economic development mechanism as long as the core region can supply manufactures to and receive raw materials from the peripheries. Because of the sheer size of China and her unbalanced regional developments, the argument also applies to China’s inter-regional trade.

The Jiangnan and Lingnan regions were the most advanced areas by the end of the eighteenth century and could be viewed as the “core”; southwest China (e.g. Sichuan and Yunnan), northeast China, and even southeast Asia (although China’s international trade was insignificant compared with internal trade) could be viewed as the “peripheries”. China’s internal trade patterns, however, were blocked by the import substitution in the middle and upper Yangzi River. During 1750 and 1850, the population growth there exceeded China’s average and local residents began to develop proto-industries on their own instead of importing from the Yangzi delta (Pomeranz, 2000). This was partly because newly developed areas were not located at convenient transport centers and costs would be high if they were to continue importing manufactured goods from Jiangnan. Moreover, the Qing government promoted the gender norm of “men plows, women weaves” and encouraged import substitution in the peripheries. Jiangnan’s ability to exchange manufactures for primary products from the peripheries diminished. The reduced demand lowered profits of rural industries in Jiangnan and discouraged merchants and peasants from production innovation.

China as a big country did not have a great enough cushion to buffer its resources shortage shock in Ming and Qing during a population surge. In addition, the sheer size of China means extended bureaucracy with more intermediate layers and difficulties of effective co-ordination. The advantages of size — resources and imperial wealth– were unfortunately located far from the most developed region of Jiangnan and Lingnan. Moreover, by Elvin’s high-level equilibrium argument, a much larger stimulus would be needed in order to provoke a technological breakthrough in China (Elvin, 1973). In Europe, however, there were “slack” resources which could be tapped into when institutional and prices changes make it profitable. This “slack” resources could be gradually mobilized to meet the new population and resource pressures in nineteenth century (Pomeranz, 2000).

References:

Elvin, M. 1973. The Pattern of the Chinese Past. Stanford University Press.

Huang, P. 2002. “Development or Involution in Eighteenth Century Britain and China: A Review of Kenneth Pomeranz’s The Great Divergence,” The Journal of Asian Studies 61 (2): 501-538.

Little, Daniel. “The Involution Debate: New Perspectives on China’s Rural Economic History,” http://www-personal.umd.umich.edu/~delittle/new%20perspectives%20short%20journal%20version.htm

Pomeranz, K. 2000. The Great Divergence. Princeton University Press.

Pomeranz, K. 2002. “Beyond the East-West Binary: Resituating Development Paths in the eighteenth Century,” The Journal of Asian Studies 61 (2): 539-590.

Wallerstein, Immanuel. 1974. The Modern World System: Capitalist Agriculture and the Origins of the European World-Economy in the 16th Century. New York: Academic Press.

* To those who want to read The Great Divergence: it’s very technical and requires a lot of thinking. If you want light-hearted stuff, this is not for you.

China’s civil service examination system as a form of power sharing

In Mu Chien’s book Traditional government in imperial China: A Critical Analysis (中国历代政治得失), he argues that the civil examination exam was a way for the Chinese emperors to share their political power with the masses.

This sounded weird at first insight. Chinese emperors had absolute political in their hands. Why do they have to share their power, then?

A ruler always makes sure the elite class is on his side. The personnel selection system is often used as a way for the emperor to share power with the elite class and thus consolidate the base of their legitimacy. From a society in which social position and political power were based largely on kinship credentials, China was transformed into a meritocracy in which social prestige and political appointment depended mostly on classical examinations to establish legitimate academic credentials (Elman, 1989). For the emperor, producing talented and loyal officials for the state to employ had been the prime concern. Also, by spreading the chances of participating in politics among the masses regardless of their family backgrounds, the emperor promulgated a feeling of equality and empowerment of the poor.

The emperor also created many organs to limit the personnel power of the chief ministers. If the central government officials were equipped with too much power to appoint lower ranked officials, they would create clans and influence the emperor’s actual decision power in important country-level matters. Moreover, since China had a vast territory, transmission of information was cumbersome. With excess power in hand, the central officials could establish barriers between the emperor and the local officials and skew the information in their favor. The Song emperor proliferated personnel management organs by creating Council of Merit Rating (考課院) which was later renamed the Council of Administrative Personnel (審官院). The Council of Administrative Personnel was again divided into two parts — Eastern Council (東院) for civilian officials and Western Council (西院) for military officials. The complex personnel arrangements made the Chief Ministers no longer have the complete authority over appointment of lower ranked officials. Therefore the power of the emperor was enhanced.

References:

Chien, Mu. Traditional government in imperial China: A Critical Analysis. Hong Kong: Chinese University of Hong Kong Press, 1982.

Elman, Benjamin.A. 1989. “Imperial Politics and Confucian Societies in Late Imperial China: the Hanlin and Donglin Academies,” Modern China 15(4): 379-418.

Notes on the China’s Ming Dynasty

I have been reading Ray Huang’s book China: A Macro History. Huang analyzed Chinese history with a macro economic and social perspective, pointing out the long-term effects of many seemingly trivial events. It is definitely worth reading, either for foreigners to get an idea of Chinese history or for Chinese readers to refresh their memory and deepen their thinking about the past.

One of the biggest problems with monarchies is that the enforcement of rules and regulations can easily be arbitrary, since the power is in the hands of the emperor. But the emperor had to strike a balance between his personal will and the will of his bureaucracy which he depended on to run the state. There were constant conflicts, sometimes subtle and sometimes turbulent, between the two powers.

The Ming dynasty was when the power was most concentrated to the emperor in Chinese history. The first Ming emperor set an example to put strict limitations to military powers (which could be explained by his low social status before he became the emperor). He also abolished the post of Zai Xiang (head of bureaucracy), resulting in chaos in the Chinese bureaucracy and increased burden on the emperor.

The Ming rulers after him were less diligent though. They designated their teachers, supposedly the most knowledgable and responsible man, to help them read the messages from local officials. As time went by, the “teacher” essentially took up the role of the “Zai Xiang”. The most obvious example was Zhang Juzheng in the Wanli years (for details, please refer to Ray Huang’s 1587: A Year of No Significance). But the political system then lacked an efficient way to allocate human resources and most importantly, a practical and effective hierarchy. It was no wonder, then, that the Ming politics ended up being manipulated a great deal by eunuchs. They were the closest to the emperor.

In economics terms, the inflow of silver through trade enabled people to use it as currency. The government neglected to manufacture more copper coins and gradually lost control of the prevalent currency. This also contributed to Ming’s break-down.