U.S. Assistance Programs in China
Thomas Lum
Specialist in Asian Affairs
August 9November 10, 2011
Congressional Research Service
7-5700
www.crs.gov
RS22663
CRS Report for Congress
Prepared for Members and Committees of Congress
U.S. Assistance Programs in China
Summary
This report examines U.S. foreign assistance activities in the People’s Republic of China (PRC),
including U.S. Department of State and U.S. Agency for International Development (USAID)
programming, foreign operations appropriations, policy history, and legislative background.
International programs supported by U.S. departments and agencies other than the Department of
State and USAID are not covered in this report.
U.S. foreign assistance efforts in the PRC aim to promote human rights, democracy, the rule of
law, and environmental conservation in China and Tibet and to support Tibetan livelihoods and
culture. The United States Congress has played a leading role in initiating programs and
determining funding levels for these objectives. Congressionally mandated rule of law, civil
society, public participation, and related programs together constitute an important component of
U.S. human rights policy towards China. According to the Organization for Economic
Cooperation and Development, the United States is the largest provider of “government and civil
society” programming among major bilateral foreign aid donors.
During the past decade, the U.S. Department of State and USAID have administered a growing
number and range of programs in China. Between 2001 and 2010, the United States government
authorized or made available nearly $275 million for Department of State foreign assistance
efforts in the PRC, of which $229 million was devoted to human rights, democracy, rule of law,
and related activities, Tibetan communities, and the environment. U.S. program areas include the
following: promoting the rule of law, civil society, and democratic norms and institutions;
training legal professionals; building the capacity of judicial institutions; reforming the criminal
justice system; supporting sustainable livelihoods and cultural preservation in Tibetan
communities; protecting the environment; and improving the prevention, care, and treatment of
HIV/AIDS in China. The direct recipients of State Department and USAID grants have been
predominantly U.S.-based non-governmental organizations (NGOs) and universities. Some
Chinese NGOs, universities, and government entities have participated in, collaborated with, or
indirectly benefited from U.S. programs and foreign aid grantees.
Some observers have debated the efficacy of U.S. foreign assistance efforts in China. Some
policy analysts argue that U.S. democracy, rule of law, and related programs have had little effect
effect in China due to political constraints and restrictions on civil society imposed by the PRC
government. Furthermore, some policy makers contend that the United States should government should
not provide
assistance to a country, like China, that has significant foreign aid resources of its
own. Other
observers argue that U.S. assistance activities in China have helped to build social and legal
legal foundations for political change and bolster reform-minded officials in the PRC
government.
Some experts also propound that U.S. programs have nurtured relationships among governmental
governmental and non-governmental actors and educational institutions in the United States and
the PRC, which
have helped to develop common understandings about democratic norms and
principles.
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U.S. Assistance Programs in China
Contents
Overview .......................................................................................................................................... 1
Comparisons with Other Aid Providers... (OECD Data) .................................................................... 1
Policy Debate...........1
Policy Debate........................................................................................................................2
Developments in 3
Civil Society in China ............................................................................................................... 3
Program History....................................................................................................................4
Major Programs ........... 4
Major Programs ............................................................................................................................... 4
Human Rights and Democracy Fund (DF)—Democracy Programs ......................................... 4
Development Assistance (DA)—Rule of Law and Environmental Programs ....................5....... 6
Economic Support Fund (ESF)—Tibet ..................................................................................... 6
Livelihood and Education ................................................................................................... 7
Environment ........................................................................................................................ 7
Cultural Preservation.................6
Global Health and Child Survival (GHCS)—HIV/AIDS Programs ..................................7
International Narcotics Control and Law Enforcement (INCLE)—Criminal Law
and Procedure .......................................................................................... 7
Global Health and Child Survival (GHCS)—HIV/AIDS Programs ......................................... 7
International Narcotics Control and Law Enforcement (INCLE)—Criminal Law and
Procedure....................7
Other Programs and Assistance .............................................................................................8
ASHA................................... 8
Other Programs and Assistance ..........................................................................................8
Disaster Assistance............. 8
ASHA ..........................................................................................................8
Legislative Restrictions on Foreign Aid to China.............................. 8
Disaster Assistance ..............................................8
Foreign Operations Appropriations FY2010-FY2011...................................................................9
Tables
Table A-1. U.S. Foreign Assistance Programs and Funding in China, FY2000-FY2012 ............. 10
Table A-2. U.S. Foreign Operations Appropriations for China: Legislative History .................... 11
Appendixes
Appendix. ............... 8
Legislative Restrictions on Foreign Aid to China............................................................................ 9
Foreign Operations Appropriations, FY2011-FY2012 ..................................................................................................................... 10
Contacts
Author Contact Information 9
Tables
Table 1. U.S. Foreign Assistance Programs and Funding in China, FY2000-FY2012.................. 11
Table 2. U.S. Foreign Operations Appropriations for China: Legislative History......................... 12
Contacts
Author Contact Information....................................................................................................... 12.... 13
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U.S. Assistance Programs in China
Overview
U.S. foreign assistance efforts in the PRC primarily aim to promote human rights, democracy, the
rule of
law, and environmental conservation in China and(including Tibet) and to support Tibetan
livelihoods and
culture. culture. With the exception of programs in Tibet, U.S. assistance to China generally does does
not focus on development objectives such as
poverty reduction, economic growth, basic health
care and education, and governmental capacity.
Congressionally mandated human rights and
democracy efforts—rule of law, civil society, public
participation in government, and related
programs—constitute an important component of U.S.
human rights policy towards China, along
with the U.S.-China Human Rights Dialogue, public
diplomacy efforts, and reporting on human
rights conditions in the PRC.1 The U.S. Agency for
International Development (USAID) does not
have an aid mission in China and administers PRC
programs through its regional office in
Bangkok, Thailand.
During the past decade, U.S. assistance to China has grown in size and breadth. Between 2001
and 2010, the United States government authorized or made available nearly $275 million for the
State Department’s foreign operations programs in China, of which $229 million was devoted to
human rights, democracy, rule of law and related activities; Tibetan communities; and the
environment.2 (See Table A-1.) U.S. program areas include the following: promoting civil
society, the rule of law, and democratic norms and institutions; training legal professionals;
building the capacity of judicial institutions and reforming the criminal justice system; supporting
sustainable livelihoods and cultural preservation in Tibetan communities; protecting the
environment; and improving the prevention, care, and treatment of HIV/AIDS. The direct
recipients of State Department and USAID grants have been predominantly U.S.-based nongovernmental organizations (NGOs) and universities, although Chinese NGOs, universities, and
some government entities have participated in, benefited from, or collaborated with U.S.
programs and grantees. In 2010, USAID provided the following overview of its programs:
The USAID Regional Development Mission for Asia (RDMA) works with its partners to
promote, change and solidify China’s role as a stable, secure and reliable stakeholder in the
international community. The U.S. Government’s (USG) priorities are to work with nongovernmental organizations (NGOs), universities and other partners to promote the rule of
law and human rights and effective action on environmental and health issues. Activities
promote transparency, citizen participation and good governance. The Mission will also
continue to support activities which preserve cultural traditions and promote sustainable
development and environmental conservation in Tibetan communities.3
Comparisons with Other Aid Providers (OECD
Data)
According to data from the Organization for Economic Cooperation and Development (OECD),
in 2009, the largest bilateral aid donors, in order of the amount of “official developmentofficial development assistance
(ODA) provided to China, were Japan, Germany, France, the United Kingdom, Spain, and the
United States. With the exception of the United Kingdom and the United States, the top bilateral
donors all provided over half of their assistance in the form of concessional loans. In terms of
1
See U.S. Department of State, 2010 Human Rights Report: China, April 8, 2011.
Including Peace Corps programs.
3
USAID, Congressional Notification #185, September 9, 2010. The notification does not refer to programs
administered by the Department of State’s Bureau of Democracy, Human Rights, and Labor.
2
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grant disbursements, in 2009, Japan, Germany, France, and the United Kingdom provided $300
million, $361 million, $179 million, and $86 million, respectively, largely focused on education
programs. 4 The United States government extended $65 million in grant assistance to China in
2009, and was the largest source of “government and civil society” programming, providing $19
million per year on average between 2007 and 2009, according to OECD data.5assistance” (ODA) provided to China or programs related to China, were Japan, Germany,
France, the United Kingdom, Spain, and the United States. With the exception of the United
Kingdom and the United States, the top bilateral donors all provided over half of their assistance
in the form of concessional loans. In terms of disbursements of ODA grants for China programs,
in 2009, Germany, Japan, France, and the United Kingdom provided $381 million, $297 million,
$183 million, and $77 million, respectively.
The United States government committed or obligated $64 million and disbursed nearly $53
million in grant assistance for programs related to China in 2009, according to OECD data.
Disbursements or allocations in 2009 included the following departments and agencies: USAID
($25.7 million); the State Department ($9.8 million); the Department of Health and Human
Services ($7.2 million); the U.S. Trade and Development Agency ($3.4 million); the Department
of Energy ($2.4 million); and the Department of Agriculture ($1.4 million). The United States is
the largest provider of “government and civil society” programming among major bilateral
foreign aid donors in terms of committed funds.4
European Union (EU) aid efforts in the PRC, particularly in the area of legal development,
reportedly have exceeded those of the United States in terms of funding, but have placed greater
emphasis on commercial rule of law. The EU also has set up a joint law school administered
through the University of Hamburg and located at the China University of Politics and Law in
Beijing. According to the European Commission, during the middle of the last decade EU
assistance to China moved away from the areas of infrastructure and rural development and
towards support for social and economic reform, the environment, sustainable development, good
governance, and the rule of law. The EU funded aid projects and programs in China worth €128
million ($182 million) in 2007-2010.65 Recent program areas and funding levels include the
following: Democracy and Human Rights (€ 1.9 million); NGO Co-financing (€7.2 million);
Gender (women migrant workers– – €.7 million); Health (€1 million); Environmental programs
(€8.5 million); Urban Development (environmental, social, and cultural programs– – €5.3 million);
Business Cooperation (cooperation, training, and technical assistance– – €7.9 million); Higher
Education (€5.2 million); and Information Technology and Communication (€5.3 million).76
In other comparative terms, the Ford Foundation, which does not receive U.S. government
support, has offered grants worth $275 million for programs in China since 1988. The Ford
Foundation aims to “develop the social sector and help marginalized groups access opportunities
and resources.” Working with research entities, civil society organizations, and government
institutions, Ford Foundation efforts promote transparent, effective, and accountable government;
civil society; criminal and civil justice system reform; access to secondary and higher education;
community rights in sustainable development; and education in the areas of sexuality and
reproductive health.87
4
OECD, http://stats.oecd.org/Index.aspx?DatasetCode=CRSNEW. OECD data for the State Department included
National Endowment for Democracy grants for China-related programs.
5
European Commission: External Cooperation Programs, http://ec.europa.eu/europeaid/where/asia/countrycooperation/china/china_en.htm. The Euro-U.S.Dollar conversion rate in April 2011 is €1 = $1.4.
6
European Union, China: Strategy Paper 2007-13, http://eeas.europa.eu/china/csp/07_13_en.pdf.
7
http://www.fordfoundation.org/regions/china
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Policy Debate
As with many other efforts to promote human rights and democracy in China, U.S. assistance has
not led to fundamental changes. Some experts argue that foreign-funded rule of law, civil society,
and related efforts in China have produced marginal results due to PRC political constraints, such
as the lack of judicial autonomy, restrictions on lawyers, weak enforcement of laws, and severe
curbs on civil liberties and the ability of Chinese citizens to perform social functions
independently of state control. Some analysts suggest that the limited influence of China’s
judicial, legal, and civil society institutions, organizations, and actors significantly reduces their
4
Spain provided $4.6 million in grant assistance to China in 2009.
OECD, http://stats.oecd.org/Index.aspx?DatasetCode=CRSNEW. OECD totals include U.S. disaster assistance, U.S.
Trade and Development Agency funding, National Endowment for Democracy programs, and other, non-State
Department programs in China, such as activities of the Department of Energy and the Department of Health and
Human Services.
6
European Commission: External Cooperation Programs, http://ec.europa.eu/europeaid/where/asia/countrycooperation/china/china_en.htm. The Euro-U.S.Dollar conversion rate in April 2011 is €1 = $1.4.
7
European Union, China: Strategy Paper 2007-13, http://eeas.europa.eu/china/csp/07_13_en.pdf.
8
http://www.fordfoundation.org/regions/china
5
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value as real agents for democracy, and suggest that U.S. programs should focus on changing
China’s approach to the law rather than expanding existing rule of law programs. 98 Some policymakers contend that a country such as China, which has significant government resources, should
not receive U.S. foreign assistance.
Other analysts contend that U.S. human rights and democracy programs in the PRC have helped
to build foundations for political change – —more comprehensive and detailed laws, more
professional judicial and legal personnel, more worldly and assertive NGOs and social
organizations, and a cadre of human rights activists and lawyers – —and have bolstered reformminded officials in the PRC government. Some experts add that efforts that support incremental
rather than fundamental change have the best chance of achieving results in the current political
environment, in part through increasing “the capacity of reform-oriented individuals in China to
be effective in their own work,” including those within the government and without.109 Many
foreign and Chinese observers have noted that awareness of legal rights in many areas of PRC
society is growing.11 Another study suggests that rule of law and civil society programs are
especially valuable through their direct impact on social organizations, lawyers, local officials,
and others.12
Developments in 10
Civil Society in China
U.S. democracy programming operates in a difficult but resilient Chinese social environment. In
the past decade, civil society organizations have mushroomed while a small network of human
rights activists and lawyers has emerged. China now has roughly 190,000 lawyers, compared to
roughly 110,000 in 2005, or about one for every 7,000 people. 1311 This ratio compares to about one
lawyer for every 6,000 people in Japan and every 300 in the United States. However, in the past
few years, the PRC government has stepped up harassment of lawyers and closed law firms that
work on politically sensitive or human rights cases. In 2010, six prominent human rights lawyers
were detained by government authorities, along with dozens of other political activists and
bloggers.14
According to PRC official estimates, there are over 400,000 officially registered civil society
groups or social organizations in China
According to PRC official estimates, China has nearly 450,000 registered non-governmental or
social organizations, compared to 288,000 in 2004. When unofficial,
grassroots groups are included, the total number of social organizations is estimated to be several
million. 15 PRC civil society groups, some of which have participated in U.S. assistance programs,
have raised concerns among China’s leadership about their growing influence and foreign
contacts. In 2005, Beijing began to tighten restrictions on social organizations while expressing
suspicions towards foreign NGOs in China and their support for Chinese civil society groups. As
one example of the increasingly restrictive environment for NGOs, in 2010, leading Chinese
9social organizations that are not
officially registered are included, their total is estimated to be several million.12 Environmental
8
Paul Eckert, “U.S., China Set 2011 Rights Meeting in ‘Candid’ Talks,” Reuters, May 14, 2010.
Paul Gewirtz, “The U.S. China Rule of Law Initiative,” William & Mary Bill of Rights Journal, Vol. 11 (2003).
10
11
Jamie P. Horsley, “The Rule of Law in China: Incremental Progress,” The China Balance Sheet in 2007 and Beyond,
Center for Strategic and International Studies, May 2007.
12
10
William F. Schulz, “Strategic Persistence,” Center for American Progress, January 2009.
1311
Glenn Norris and Daniel Ren, “Legal System Less Arbitrary but Still a Work in Progress,” South China Morning
Post, April 4, 2011.
14
“China: Arrests, Disappearances Require International Response,” Human Rights Watch Asia, March 31, 2011.
1512
Congressional-Executive Commission on China, Annual Report, October 10, 2010.2012.
9
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HIV/AIDS activist Wan Yanhai, founder of an organization that supports HIV/AIDS awareness
and prevention, left China for the United States, expressing concerns for his personal safety.16groups have been at the forefront of the development of the NGO sector in China. Other areas in
which social organizations operate include legal aid, public health, education, poverty alleviation,
and rural development. Chinese NGOs, some of which have participated in U.S. assistance
programs, have raised concerns among China’s leadership about their growing influence and
foreign contacts. In the middle of the last decade, Beijing began to tighten restrictions on social
organizations while expressing suspicions about foreign assistance and foreign NGOs operating
in China.
Program History
The U.S. Congress plays a greater role in determining foreign operations appropriations for China
than it does for many other bilateral aid recipients. Congress has determined funding levels for
democracy programs in China and aid activities in Tibet through annual foreign operations
appropriations earmarks. Over the past decade, funding to support other purposes, such as
HIV/AIDS programming and other efforts, has been supported by Congress as well. (See Table
A-2.) (see
Appendix).
In 1997, President Bill Clinton and PRC President Jiang Zemin agreed upon a U.S.-China Rule of
Law Initiative, though funding for the program was not provided until 2002. In 1999, Congress
began authorizing assistance for the purpose of fostering democracy in China. In 2000, the act
granting permanent normal trade relations (PNTR) treatment to China (P.L. 106-286) authorized
programs to promote the rule of law and civil society in the PRC. The Consolidated
Appropriations Act for FY2000 (P.L. 106-113) provided $1 million for U.S.-based NGOs to
preserve cultural traditions and promote sustainable development and environmental conservation
in Tibet. In 2002, Congress made available $10 million from the Economic Support Fund (ESF)
account for activities to support democracy, human rights, and the rule of law in China, including
up to $3 million for Tibet.
Since 2006, Congress has set aside special Development Assistance account funds for American
universities for education and exchange programs related to the rule of law and the environment
in China. The United States government began implementing HIV/AIDS programs in the PRC in
2007. Criminal justice and other programs conducted by the Resident Legal Advisor at the U.S.
American Embassy in Beijing expanded later in the decade.
Major Programs
Human Rights and Democracy Fund (DF)—Democracy Programs
Congress plays an important role in determining the size of U.S. human rights and democracy and
programming in China. The State Department’s Bureau of Democracy, Human Rights, and Labor
(DRL) administers democracy programs in China using Democracy Fund account appropriations
as determined by Congress. DRL aims to promote or empower the rule of law, civil society, and
citizen input into government decision making, and to build the capacity of related institutions in
the PRC.
DRL directly funds U.S.-based non-governmental organizations (NGOs) and U.S. universities.
Some Some
funding passes through U.S. NGOs to Chinese social organizations as part of projects to
train train
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local NGOs. Through the Bureau’s programs, U.S. government and non-governmental
entities entities
engage and influence Chinese NGOs; government-sponsored social organizations and
institutions, such as women’s groups and universities; reformist or progressive government
16
Edward Wong, “AIDS Activist Leaves China for U.S., Citing Pressure,” New York Times, May 10, 2010.
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bodies; and legal and judicial institutions and individuals. Due to political sensitivities and to
protect its grantees working in China, DRL does not openly disclose the names of its grant
recipients. By comparison, the National Endowment for Democracy (NED) supports relatively
overtly pro-democracy groups and activities, including NGOs in China and the efforts of Chinese
dissidents in exile (see textbox).1713 Major DRL program areas in China include the following:
•
Rule of Law: strengthen legal and
judicial institutions and promote their
independence; train legal and judicial
professionals; increase public access
to the justice system; promote
criminal and civil law reform. Temple
University’s Master of Laws degree
program in Beijing has beenwas a major
recipient of USAID grants and
Democracy Fund support.2016
National Endowment for Democracy
Established by the U.S. government in 1983, the National
Endowment for Democracy (NED) is a private, nonprofit organization that promotes freedom around the
world. NED has played a majoran active role in promoting
democracy in China since the mid-1980s. Activities of
NED and its core institutes include supporting Chinese
pro-democracy organizations in the United States and
Hong Kong, helping to advance the rule of law,
promoting the rights of workers and women, and
assisting in the development of Tibetan communities. The
Endowment’s China programs have received support out
of the annual foreign operations appropriation for NED
(an estimated $118 million in FY2010) and congressional
earmarks to NED for democracy-related programs in the
PRC and Tibet.18 In addition, NED’s core institutes have
received grants from NED and DRL.19The
Endowment carries out its mission in China largely
through grantees which include the International
Republican Institute, the Center for International Private
Enterprise, the Princeton China Initiative, Chinese,
Tibetan, and Uighur human rights and democracy groups
based in the United States and Hong Kong, and a small
number of NGOs based in China. The Endowment’s
China programs have received support out of the annual
foreign operations appropriation for NED (an estimated
$118 million in FY2011) and congressional earmarks to
NED for democracy-related programs in the PRC and
Tibet.14 NED’s core institutes have received grants from
both NED and DRL.15
•
Civil society: strengthen the capacity
of non-governmental organizations,
foundations, and charitable groups in
fund-raising and NGO management.
•
Citizen participation: promote public
input in policy formation and public
dialogue.
•
Labor: advance labor law, rights, and advocacy; develop collective bargaining
mechanisms; strengthen migrant worker rights.
•
Good governance: support government transparency and electoral reform.
•
Civil liberties: promote freedom of expression, the press, and information;
advance mass media development; support freedom of religion.
Development Assistance (DA)—Rule of Law and Environmental Programs
Since 2006, Congress has earmarked Development Assistance (DA) account funds for rule of law
and environmental programs through annual foreign operations appropriations measures. U.S.
assistance helps to provide Chinese law students with legal training, build the capacity of Chinese
law colleges and judicial institutions, develop citizen awareness of the legal system, and enhance
legal safeguards for human rights. U.S. institutions involved in these programs include the
1713
Some experts suggest that NED’s non-governmental status affords it greater ease with which to support democracy
efforts in China due to its relative insulation from the political tensions of the U.S.-China bilateral relationship.
1814
U.S. Government Accountability Office, Foreign Assistance: U.S. Funding for Democracy-Related Programs
(China), February 27, 2004. Congress provided special authorizations out of the Democracy Fund to NED for programs
in China between 2001 and 2007 and Tibet between 2004 and 2009.
1915
NED’s core institutes are: the International Republican Institute (IRI); the American Center for International Labor
Solidarity (ACILS); the Center for International Private Enterprise (CIPE); and the National Democratic Institute for
International Affairs (NDI).
2016
Temple University received $13 million in USAID grants (2001-2003) and Democracy Fund support between 1999
and 2009.
Goldie Blumenstyk, “In China, Thinking Like an American Lawyer,” The Chronicle of Higher Education,
February 20,
2009.
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University of the Pacific McGeorge School of Law, American University Washington College of
Law, and the University of Massachusetts. PRC partner universities are China University of
Political Science and Law, Zhejiang Gongshang University, and South China University of
Technology. USAID supports a rule-of-law program that works with local institutions to enhance
criminal defendants’ rights, strengthen their legal counsel, and promote fair criminal justice
procedures. Another USAID-funded administrative law and procedures program aims to make
government agencies and officials more transparent and equitable in their exercise of powerDevelopment Assistance (DA)—Rule of Law and Environmental
Programs
Since 2006, Congress has earmarked Development Assistance (DA) account funds for rule of law
and environmental programs through annual foreign operations appropriations measures. U.S.
assistance helps to provide Chinese law students with legal training, enhance the capacity of
Chinese law colleges and judicial institutions, support U.S. engagement with PRC bar
associations, develop citizen awareness of the legal system, and enhance legal safeguards for civil
rights and women’s rights. USAID’s criminal justice program supports efforts to promote fair
criminal justice procedures, protect criminal defendants’ rights, and strengthen the public
defender’s office in Shanghai. The USAID-funded administrative law program aims to make PRC
government agencies and officials more transparent and accessible in their exercise of power.
U.S. educational institutions involved in some of these programs include the University of the
Pacific McGeorge School of Law, American University Washington College of Law, and the
University of Massachusetts. PRC partner universities are China University of Political Science
and Law, Zhejiang Gongshang University, and South China University of Technology.
USAID administers four environmental programs in China using Development Assistance funds.
The U.S.-China Partnership for Environmental Law helps to train environmental law
professionals, advance reform in China’s environmental law, and build capacity in environmental
governance. Vermont Law School, in partnership with Sun Yat-sen University in the city of
Guangzhou, is carrying out this program. The Guangdong Environmental Partnership (GEP) was
launched by the U.S.-based Institute for Sustainable Communities with funding from USAID,
support from U.S. private corporations, and the collaboration of Chinese educational institutions
and communities. GEP promotes improved energy use and environmental, health, and safety
policies and regulations.
The U.S.-China Sustainable Buildings Partnership (SBP) promotes energy efficiency in China’s
commercial buildings by offering new policy tools and construction methods. SBP is being
implemented by ICF International with USAID support, in collaboration with the China Academy
of Building Research, Tongji University (Shanghai), China Standard Certification Center, and
U.S. environmental foundations and other groups. The U.S.-China Partnership for Climate Action
focuses on industrial and power plant energy efficiency and urban policies for low greenhouse
gas emissions in two Chinese provinces. The lead implementers are the Institute for Sustainable
Communities and the World Resources Institute, with USAID and U.S. private sector support and
the collaboration of U.S. and PRC research institutions and Chinese government agencies. Other
USAID environmental efforts in China have included water and sanitation projects, financing for
clean energy investment and development, combating illegal logging and trafficking of wildlife
and marine products, and quality assurance of energy-saving compact fluorescent lampsquality assurance of energy-saving compact
fluorescent lamps, and combating illegal logging. In 2011, USAID provided a grant to the
Freeland Foundation for countering the trafficking of wildlife in China and elsewhere in Asia.
Economic Support Fund (ESF)—Tibet
U.S. assistance has supported cultural preservation, sustainable development, and environmental
conservationsustainable development, environmental conservation, and cultural
preservation in Tibet since 2000. The implementing partners for USAID programs in Tibet and
Tibetan communities are the Bridge Fund, the Tibet Poverty Alleviation Fund, and Winrock
International.
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Livelihood and Education
USAID activities in Tibetan areas aim to promote the formation and development of small
businesses, business business
associations, business development centers, herder cooperatives, crop and
livestock production, and eco-tourism enterprisessmall businesses, eco-tourism
enterprises, and crop and livestock production. U.S. assistance programs include professional,
business, and management training and vocational education for Tibetans. Education Other educational
projects and
activities include primary school facilities improvements, teacher training, and
English language
instruction. ESF funds support efforts to provide Tibetans with water and
sanitation services,
improved access to health services, teacher training and schools, greenhouses,
and micro-loans.
USAID U.S. programs aim to expand citizen involvement in local community
development planning,
economic enterprises, and social services.
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Environment
U.S. assistance to Tibetan communities includes support for research and development regardingrelated to
environmentally safe grassland management and endangered species mitigation. USAID
programs promote the use of solar energy and the sustainable use of forests. They have helped to
build water supply and waste management systems. Other USAID efforts include training
Tibetans in natural resource management and environmental conservation and raising awareness
about climate change and its local effects, reducing vulnerability, and developing responses to
environmental changes.
Cultural Preservation
USAID cultural efforts in Tibet include the following: Tibetan language instruction; preservation
of traditional heritage, culture, and art, including scriptures, books, and dance; restoration of
historical sites and buildings; and the marketing of traditional products.
Global Health and Child Survival (GHCS)—HIV/AIDS Programs
Since 2007, the United States has supported programs to address HIV/AIDS problems in regions
of high incidence in China. The Department of State, USAID, and the U.S. Centers for Disease
Control and Prevention have aimed to help build the capacityenhance the ability of Chinese local and provincial
governments to respond to the disease in the areas of prevention, care, and treatment. U.S.
assistance focuses on the buildingdevelopment of health systems or models—including monitoring and
research—that
can be replicated or adopted by PRC provincial governments. Efforts have been
made to bring
non-state actors, such as health experts, into the policy-making process. Recipients
of direct and
indirect U.S. assistance include local non-governmental organizations, community-basedcommunitybased groups,
government-sponsored social organizations, clinics and health care workers, and
provincial health
bureaus. USAID works with, but does not provide assistance to, local PRC Centers the PRC Center
for Disease
Control. Implementing partners are Family Health International, Population Services
International, Private Agencies Collaborating Together, Research Triangle Institute, Micro
International, and Management Sciences for Health.
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U.S. Assistance Programs in China
International Narcotics Control and Law Enforcement (INCLE)—
Criminal Law
and Procedure
INCLE account funding supports the Resident Legal Advisor (RLA), based in the U.S. Embassy
in Beijing, to provide expertise on U.S. criminal law and procedure to PRC government officials,
legal scholars, and academics, and to “promote long-term criminal justice reform consistent with
international standards of human rights.” Reform areas include coerced confessions, the rights of
defense lawyers, and evidence at trial. The PRC government reportedly has taken steps to apply
more rigorous standards towards pre-trial detentions and capital convictions, reduce abusive
interrogation practices, and protect some rights of defense lawyers. The RLA also is involved in
U.S.-PRC law enforcement cooperation in the areas of counter-narcotics, corruption, money-laundering,
counterterrorismmoneylaundering, counter-terrorism, computer crime, and intellectual property rights. Most of the
RLA’s activities
are conducted by the RLA alone or in cooperation with nongovernmental organizations. 21
21
U.S. Department of State, FY2012 Congressional Budget Justification for Foreign Operations.
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U.S. Assistance Programs in China
organizations.17
Other Programs and Assistance
ASHA
The Office of American Schools and Hospitals Abroad (ASHA) of USAID’s Bureau for
Democracy, Conflict, and Humanitarian Assistance provides grants to private and non-profit
educational and medical institutions in foreign countries. The purposes of such assistance include
fostering mutual understanding, introducing foreign countries to U.S. ideas and practices in
education and medicine, and promoting civil society. Since 1997, ASHA has supported projects in
China, including helping to establish the Center for American Studies at Fudan University in
Shanghai, supporting the Hopkins-Nanjing Center for Chinese and American Studies in Nanjing,
and providing a grant to Project Hope for its efforts at the Shanghai Children’s Medical Center.
Disaster Assistance
In July 2008, the United States government (USAID and the Department of Defense) provided a
total of $4.8 million in humanitarian relief to areas and victims affected by the May 2008
earthquake in Sichuan province that killed nearly 70,000 people. USAID’s Office of U.S. Foreign
Disaster Assistance awarded $1.2 million to the Asia Foundation to promote rural housing
reconstruction and raise public awareness about natural disasters. Other funding went to the
International Federation of the Red Cross and Red Crescent Societies (IFRC) for relief supplies
and to the Los Angeles County and Fairfax County fire departments for related support. The
Department of Defense provided $2.2 million for tents and emergency relief supplies.
17
U.S. Department of State, FY2012 Congressional Budget Justification for Foreign Operations.
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U.S. Assistance Programs in China
Legislative Restrictions on Foreign Aid to China
The FY2002 appropriations measure (P.L. 107-115) removed China from a list of countries
prohibited from receiving U.S. indirect foreign assistance and no longer stipulated that ESF
account funds for democracy programs in China be provided to NGOs located outside the PRC.2218
Ongoing restrictions on U.S. foreign assistance in China and other relevant legislative provisions
include:
22
•
Some U.S. sanctions in response to the Tiananmen military crackdown in 1989
remain in effect, including the requirement that U.S. representatives to
international financial institutions vote “no” or abstain on loans to China (except
for those that meet basic human needs). 2319
•
U.S. representatives to international financial institutions may support projects in
Tibet only if they do not encourage the migration and settlement of non-Tibetans
into Tibet or the transfer of Tibetan-owned properties to non-Tibetans, which
some fear may erode Tibetan culture and identity.24
See Section 523, Prohibition Against Indirect Funding to Certain Countries, and Section 526, Democracy Programs.
23
Pursuant to Section 902 of the Foreign Relations Authorization Act of 1990-91 and Section 710(a) of the
International Financial Institutions Act.
24
Consolidated Appropriations Act, 2010 (P.L. 111-117, Sec. 7071(a)(1)).
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U.S. Assistance Programs in China20
•
None of the multilateral assistance made available for the United Nations
Population Fund (UNFPA) may be used for a country program in China.2521
•
U.S. laws that can be invoked to deny foreign assistance on human rights
grounds include Sections 116 and 502B (security assistance) of the Foreign
Assistance Act of 1961 (P.L. 87-195).
Foreign Operations Appropriations FY2010-FY2011
For FY2010, funding for DRL-administered democracy programs continued at FY2009 levels
($17 million). 26 The Consolidated Appropriations Act, FY2010 (P.L. 111-117) provided support
for HIV/AIDS and criminal justice programs in China totaling $7 million and $800,000,
respectively. 27 In addition, P.L. 111-117 included the following provisions:
•
Notwithstanding any other provision of law, not less than $12,000,000 of
Development Assistance funds shall be made available to United States
educational institutions and nongovernmental organizations for programs and
activities in the People’s Republic of China relating to the environment,
governance, and the rule of law. (P.L. 111-117, Sec. 7071(g)(3))
•
Notwithstanding any other provision of law, not less than $7,400,000 of ESF
funds should be made available to nongovernmental organizations to support
activities which preserve cultural traditions and promote sustainable development
and environmental conservation in Tibetan communities in the Tibetan
Autonomous Region and in other Tibetan communities in China. (P.L. 111-117,
Sec. 7071 (a) (2))
For FY2011, the State Department requested $7 million for HIV/AIDS efforts and $850,000 for
the Resident Legal Advisor; the final allocations were $5 million and $800,000 for HIV/AIDS
programs and the RLA, respectively. For Tibet programs, the State Department requested and
allocated $5 million. Development Assistance funds for rule of law and environmental programs
are to total approximately $7 million in FY2011, compared to $12 million in FY2010. U.S.
democracy programs in China using DF account funds are to continue in FY2011, although actual
appropriations remain undetermined.28
25
Consolidated Appropriations Act, 2010 (P.L. 111-117, Sec. 7078(c)). The “Kemp-Kasten” amendment to the
FY1985 Supplemental Appropriations Act (P.L. 99-88) bans U.S. assistance to organizations that support or participate
in the management of coercive family planning programs. For further information, see CRS Report RL32703, The U.N.
Population Fund: Background and the U.S. Funding Debate, by Luisa Blanchfield.
26
Funds made available for the promotion of democracy may be made available notwithstanding any other provision of
law. (P.L. 111-117, Section 7034(m)(1))
27
Support for child survival activities or disease programs including activities relating to research on, and the
prevention, treatment and control of, HIV/AIDS may be made available notwithstanding any other provision of law
except for the provisions under the heading “Global Health and Child Survival” and the United States Leadership
Against HIV/AIDS, Tuberculosis, and Malaria Act of 2003 (117 Stat. 711; 22 U.S.C. 7601 et seq.), as amended. (P.L.
111-117, Section 7060).
28
U.S. Department of State: FY2011 Congressional Budget Justification for Foreign Operations, FY2012
Congressional Budget Justification for Foreign Operations, and other documents.
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Appendix.
Table A-, FY2011-FY2012
For FY2011, the State Department requested $7 million for HIV/AIDS efforts and $850,000 for
the Resident Legal Advisor; the final allocations were $5 million and $800,000 for HIV/AIDS
programs and the RLA, respectively. For Tibet programs, the State Department requested and
allocated $5 million. Development Assistance funds for rule of law, human rights, and
environmental programs totaled approximately $7 million in FY2011, compared to $12 million in
FY2010. U.S. democracy programs in China using DF account funds are likely to continue at
FY2010 levels ($17 million).22
The Department of State, Foreign Operations, and Related Programs Appropriations Act, 2012 (S.
1601) makes available $7.5 million for non-governmental organizations to support activities
which preserve cultural traditions and promote sustainable development and environmental
18
See Section 523, Prohibition Against Indirect Funding to Certain Countries, and Section 526, Democracy Programs.
Pursuant to Section 902 of the Foreign Relations Authorization Act of 1990-91 and Section 710(a) of the
International Financial Institutions Act.
20
Consolidated Appropriations Act, 2010 (P.L. 111-117, Sec. 7071(a)(1)).
21
Consolidated Appropriations Act, 2010 (P.L. 111-117, Sec. 7078(c)). The “Kemp-Kasten” amendment to the
FY1985 Supplemental Appropriations Act (P.L. 99-88) bans U.S. assistance to organizations that support or participate
in the management of coercive family planning programs. For further information, see CRS Report RL32703, The U.N.
Population Fund: Background and the U.S. Funding Debate, by Luisa Blanchfield.
22
The Department of Defense and Full-Year Continuing Appropriations Act, 2011 (P.L. 112-10) did not specify
funding amounts for foreign assistance programs in China.
19
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U.S. Assistance Programs in China
conservation in Tibetan areas of China and $20 million to U.S. universities and nongovernmental
organizations for programs and activities in China related to democracy, governance, rule of law,
and the environment.
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Table 1. U.S. Foreign Assistance Programs and Funding in China, FY2000-FY2012
(thousand U.S. dollars)
Account
(Program)
2000
2001
2002
2003
2004
2005
2006
2007
GHCS
(HIV/AIDS)
DA (Rule of
Law,
Environment)
ESF/DF
(Democracy
Programs)
2008
2009
2011
estimate
2010
2012
request
6,750
6,960
7,308
7,000
5,000
7,000
4,950
5,000
9,919
11,000
12,000
7,000
—
1,000
(Tibet)
0
10,000
15,000
13,500
19,000
20,000
20,000
15,000
17,000
17,000
—17,000
—
ESF (Tibet)
0
0
0
0
3,976
4,216
3,960
3,960
4,960
7,300
7,400
5,000
5,000
INCLE
(Criminal
Justice)
0
0
0
0
0
0
0
0
600
800
800
850
ESF/DF
(Democracy
Programs)
Peace Corpsa
1,435
1,298
1,559
977
863
1,476
1,683
1,748
1,980
2,057
2,718
2,900
4,700
Totals
1,435
1,298
11,559
15,977
18,339
24,692
30,593
37,458
38,819
45,265
46,918
—37,700
—
Sources: U.S. Department of State Congressional budget justifications for foreign operations; Congressional foreign operations appropriations legislation.
a.
CRS-1011
The Peace Corps has been involved in teaching English language and environmental awareness in China since 1993.
U.S. Assistance Programs in China
Table A-2. U.S. Foreign Operations Appropriations for China: Legislative History
(FY2000-FY2009FY2010)
Fiscal
Year
Legislation
Provisions
2000
P.L. 106-113
Provided $1 million from the ESF account for U.S.-based NGOs to preserve cultural
traditions and promote sustainable development and environmental conservation in
Tibet and Tibetan communities as well as $1 million to support research about China,
and authorized ESF account funding for NGOs to promote democracy in the PRC.
2001
P.L. 106-429
Authorized up to $2 million for Tibet.
2002
P.L. 107-115
Made available $10 million for activities to support democracy, human rights, and the
rule of law in China, including up to $3 million for Tibet.
2003
P.L. 108-7
Provided $15 million for democracy-related programs in China and Hong Kong,a
including up to $3 million for Tibet and $3 million for the National Endowment for
Democracy (NED) for programs in China; continued the requirement that assistance for
Tibetan communities be granted to NGOs but lifted the stipulation that they be located
outside China.
2004
P.L. 108-199
Made available $13.5 million for activities to support democracy, human rights, and the
rule of law in China, including $3 million for NED; provided a special ESF earmark for
Tibet ($4 million).
2005
P.L. 108-447
Provided $19 million for democracy-related programs in China, including $4 million for
NED, and authorized $4 million
for Tibet and $250,000 for NED for human rights and
democracy programs relating to
Tibet. Authorizedrelated to Tibet; authorized the use of Development Assistance
account funds for American
universities to conduct U.S.-China educational exchange
programs related to
democracy, rule of law, and the environment the environment, democracy, and the rule of law.
2006
P.L. 109-102
(H.Rept. 109265)
Extended $20 million for democracy-related programs in China, including $3 million for
NED; authorized $4 million for
Tibet and Tibetan communities in China and $250,000 for
to NED for Tibet; provided $5
million in Development Assistance account funds to
American educational institutions
for democracy, rule of law, and environmental
programs in the PRC.
2007
P.L. 110-5
Because of the late enactment of the Continuing Appropriations Resolution for FY2007,
funding levels for many U.S. foreign aid programs for the year were not specified but
continued at or near FY2006 levels. In 2007, NGOs in China began to receive assistance
for HIV/AIDS prevention, treatment, and control efforts ($6.75 million).
2008
P.L. 110-161
Provided $15 million for democracy, and rule of law, and environmental programs in the
PRC; mandated $5 million for activities that preserve cultural traditions and promote
sustainable development and environmental conservation in
million for Tibetan communities in
China and $250,000 to NED for Tibet; appropriated
$10 million to American
educational institutions and NGOs for programs and activities in the PRC; extended $7
million for HIV/AIDS programming in China
in the PRC.
2009
P.L. 111-8
Appropriated $17 million for the promotion of democracy in China and $7.3 million for
NGOs to support activities that preserve cultural traditions and promote sustainable
development and environmental conservation in Tibetan communities in the Tibet
Autonomous Region and other areas ofto
NGOs for aid activities in Tibetan communities in China; provided $250,000 to NED for programs
programs in Tibet; made available $11 million to American educational institutions and
NGOs for
programs and activities in the PRC related to democracy, rule of law, and the
environment; approprited $600,000 in INCLE account funds for the Resident Legal
Advisorthe environment, governance,
and the rule of law.
2010
P.L. 111-117
Authorized funding for democracy-related programs in the PRC and $7.4 million for
NGOs to support activities related to cultural preservation, sustainable development,
and environmental conservation in Tibetan areas. Appropriated $12 million to U.S.
educational institutions and NGOs for programs and activities related to the
environment, governance, and the rule of law.
Source: Congressional foreign operations appropriations legislation.
Notes: Not all special appropriations for China were allocated fully or allocated during the year in which they
were authorized.
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a.
Since FY2003, congressional authorizations for democracy programs in China have included Hong Kong. In
FY2006, Hong Kong received assistance for strengthening political parties ($840,000). Since FY2003, ESF or
DF account funds have been made available for Taiwan
The U.S. government provided $450,000 and $922,000 in FY2006 and FY2010, respectively, for programs to
strengthen Hong Kong political parties. Since FY2003, U.S. funds also have been made available to Taiwan
for the purposes of furthering political and legal
reforms, if matching funds are provided. To date, Taiwan
has not received U.S. democracy assistance.
Acronyms
DA: Development Assistance
DF: Human Rights and Democracy Fund (Democracy Fund)
DRL: Bureau of Democracy, Human Rights and Labor
ESF: Economic Support Fund
GHCS: Global Health and Child Survival
INCLE: International Narcotics Control and Law Enforcement
NED: National Endowment for Democracy
NGO: Non-governmental Organization
USAID: United States Agency for International Development
Author Contact Information
Thomas Lum
Specialist in Asian Affairs
tlum@crs.loc.gov, 7-7616
Congressional Research Service
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