The Hukou System
A comprehensive examination of China's household registration framework, its historical trajectory, and its profound socio-economic implications.
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The Hukou System
Definition and Origins
The Hukou (户口) system is a comprehensive household registration framework integral to the People's Republic of China (PRC). While hukou specifically refers to an individual's registration or family register, the term colloquially denotes the entire system, formally known as huji (户籍). Its roots trace back to ancient Chinese administrative practices, evolving through various dynasties and influencing similar registration systems in neighboring East Asian nations.
Classification and Stratification
Established in its modern form in 1958, the system historically classified citizens into agricultural (rural) and non-agricultural (urban) categories, tied to their registered location. This classification profoundly influenced access to social welfare programs, including rationed goods, housing, employment, and healthcare, thereby creating significant socio-economic stratification and inequality between rural and urban populations.
Global Context and Influence
The PRC's hukou system, while unique in its scale and impact, shares functional similarities with historical household registration mechanisms in countries like Japan (koseki) and Korea (hoju, now abolished). It also drew inspiration from Soviet models of resident registration, serving as a foundational element of state control and social management.
Historical Evolution
Ancient Foundations
The concept of household registration in China dates back millennia, with early forms documented as early as the 21st century BC. Systems like xiangsui and baojia were employed for taxation, conscription, and population control, laying the groundwork for more formalized registration processes during subsequent dynasties like the Qin and Han.
Imperial and Republican Eras
During the Qing dynasty, registration laws were codified to monitor individuals and fund state activities. Following the dynasty's fall, various regimes, including the Japanese occupation forces and the Kuomintang, utilized identification systems for control and resource mobilization. The Chinese Communist Party also employed methods like the lianbao system for tracking and control.
PRC Implementation (1949-Present)
Upon the establishment of the PRC in 1949, the hukou system was formally implemented in 1958 to manage rapid industrialization and urbanization. Initially designed to control migration, ensure agricultural output, and maintain urban stability, it became a critical tool for resource allocation and social engineering throughout the Maoist era and beyond, with reforms gradually introduced post-1978.
Rationale and Function
Economic Development and Stability
The hukou system was initially conceived to support China's nascent industrial sector and ensure food security. By restricting rural-to-urban migration, it aimed to maintain agricultural productivity and prevent the overpopulation and strain on resources that could destabilize urban centers. This control was deemed essential for achieving modernization goals.
Social Control and Governance
Beyond economic management, the system served as a potent instrument of social control. By making urban residents dependent on state-provided resources and employment, the government could foster compliance and prevent dissent. The system also facilitated the state's ability to monitor and manage its population, ensuring adherence to policies and ideological directives.
Resource Allocation and Welfare
The distinction between agricultural and non-agricultural hukou status was intrinsically linked to the distribution of state welfare benefits. Urban residents typically received preferential access to essential goods, housing, education, and healthcare, creating a tiered system that reinforced the divide between rural and urban populations.
Socio-Economic Impact
Perpetuating Inequality
The hukou system has been a primary driver of social stratification in China. The disparity in access to essential services and opportunities between rural and urban populations has created persistent inequalities, limiting social mobility for those with agricultural hukou status and contributing to a dualistic society.
Disadvantage for Rural Populations
Rural hukou holders have historically faced significant disadvantages, including limited access to education, healthcare, and employment benefits available to their urban counterparts. This systemic disparity has often relegated rural citizens to lower-paying jobs and precarious living conditions, particularly when migrating for work.
The Great Famine Context
During the Great Chinese Famine (1958-1962), the hukou system starkly differentiated survival outcomes. Urban residents with non-agricultural hukou received state-provided food rations, while rural populations, collectivized and reliant on agricultural output, faced widespread starvation due to policy failures and exaggerated production reports. This highlighted the life-or-death implications of hukou status.
Migrant Workers' Challenges
Navigating Urban Labor Markets
Since the economic reforms of 1978, millions of rural residents have migrated to urban areas seeking employment. However, without urban hukou, these migrant workers (mingong) often face limited job opportunities, lower wages compared to urban residents, and fewer employment protections. Local governments, focused on urban prosperity, have had little incentive to improve their conditions.
Labor Rights and Exploitation
Despite the Labor Contract Law of 2008 aiming to equalize rights, migrant workers frequently experience wage arrears, poor working conditions, and inadequate access to benefits. Their lack of urban hukou status often leaves them vulnerable to exploitation and without recourse in labor disputes, despite legal protections.
Housing and Social Integration
Migrant workers often struggle with housing, living in crowded dormitories or informal settlements. Their children face significant barriers to accessing urban education and healthcare, leading to the phenomenon of "left-behind children" or challenges for children who migrate with their parents, impacting their social and academic development.
Impact on Children
The "Left-Behind" Phenomenon
The demand for labor in cities has led to a mass migration of working-age adults, leaving an estimated 61 million children (as of 2010) in rural areas without one or both parents. These "left-behind" children often experience developmental challenges, including behavioral issues, emotional distress, and academic pressure.
Educational Disparities
Children of migrant workers face significant hurdles in accessing urban education. Without local hukou, they are often required to pay higher fees for public schooling or attend lower-quality private institutions catering to migrants. This disparity limits their educational opportunities and future prospects, contributing to cycles of disadvantage.
Psychological and Social Well-being
Both left-behind children and those who migrate with their parents are susceptible to psychological challenges, including loneliness, depression, and anxiety. Stigmatization, discrimination, and difficulties in social interaction further compound the difficulties faced by these children, impacting their overall well-being.
Impact on Rural Elderly
Shifting Family Structures
The migration of younger generations for work has altered traditional family structures, particularly impacting the elderly left behind in rural areas. While urban retirees receive state support, rural elderly often rely on their children's remittances and their own limited resources, raising questions about filial piety and social support systems.
Financial Security vs. Life Satisfaction
While remittances from migrant children can improve the financial situation of rural elderly, studies suggest a potential decrease in overall life satisfaction. The absence of family members, coupled with the burden of childcare for grandchildren, can lead to increased psychological distress, including loneliness and depression.
Reforms and Policy Shifts
Early Reform Efforts (1979-1991)
Following the economic reforms initiated in 1978, initial policy shifts began to relax hukou restrictions. Measures introduced the concept of peasants settling in cities, managed transient populations, and allowed for resident identity cards, though these were often accompanied by attempts to control migration growth and prevent the misuse of urban status.
Gradual Liberalization (1992-2013)
This period saw varied reforms, including the introduction of "blue stamp" hukou for skilled individuals and investors, and policies allowing rural migrants with stable jobs in smaller towns to obtain urban hukou. Reforms also aimed to ease restrictions for children and the elderly, though significant barriers remained, particularly for large cities.
Recent Policy Directions (2014-Present)
The National New-Type Urbanization Plan (2014-2020) marked a significant policy shift, aiming to reduce the urban-rural hukou gap and grant urban hukou to millions of migrants. Reforms have focused on relaxing restrictions in smaller cities while maintaining stricter controls in megacities, seeking to balance urbanization with social equity.
Hukou Conversion Today
Capital and Skill Requirements
Despite reforms, obtaining urban hukou, especially in major cities, often requires significant capital, whether in the form of human capital (skills, education) or financial capital (property ownership, investment). This has led some scholars to characterize certain policies as effectively "selling" hukou, limiting access for the most vulnerable migrants.
Social Networks and Housing
Beyond financial capital, social networks (guanxi) and housing ownership are often prerequisites for hukou conversion. The high cost of real estate in large cities presents a substantial barrier, forcing many migrants into precarious rental situations and limiting their ability to establish permanent urban residency and access associated benefits.
Ongoing Disparities
While reforms have decentralized some control and eased restrictions in certain areas, the fundamental rural-urban hukou division persists. Many argue that these reforms have not fundamentally altered the system's structure but rather shifted its administration, continuing to contribute to disparities in life chances and access to social welfare.
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References
References
- Kou literally means "mouth", which originates from the practice of regarding family members as "mouths to feed", similar to the phrase "per head" in English.
- "Chinese Society: Change, Conflict and Resistance", by Elizabeth J. Perry, Mark Selden, page 90
- "China's New Confucianism: Politics and Everyday Life in a Changing Society", p. 86, by Daniel A. Bell
- Chan, K. W. (2015). Five Decades of the Chinese Hukou System. In Handbook of Chinese Migration: Identity and Wellbeing (pp. 23-47). Northampton, MA: Edward Elgar Publishing, Inc.
- Luard, Tim. "China rethinks peasant 'apartheid'", BBC News, 10 November 2005.
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- Duan, C., Gao, S., & Zhu, Y. (n.d.). The Phenomenon of Internal Migration in China. In Chinese Migration and Families-at-Risk (pp. 14-36). Cambridge Scholars Publishing.
- Chan, Anita. China's Workers Under Assault: The Exploitation of Labor in a Globalizing Economy, M.E. Sharpe, 2001, p. 9.
- Li, C. (2013). Institutional and non-institutional paths: Migrants and non-migrants' different processes of socioeconomic status attainment in China. In China's Internal and International Migration (pp. 29-39). New York, New York: Routledge.
- Chen, M., & Sun, X. (n.d.). Parenting and Grandparenting of Left-Behind Children in Rural China. In Chinese Migration and Families-at-Risk (pp. 37-51). Cambridge Scholars Publishing.
- Gao, S., & Xue, J. (n.d.). Future Orientation and School Bonding among Left-Behind Children in Mainland China. In Chinese Migration and Families-at-Risk (pp. 78-104). Cambridge Scholars Publishing.
- Sun, X., & Chen, M. (n.d.). Inequality in Educational Opportunities of Migrant Children in China. In Chinese Migration and Families-at-Risk (pp. 52-77). Cambridge Scholars Publishing.
- Zhuo, Y., & Liang, Z. (n.d.). Migration and Wellbeing of the Elderly in Rural China. In Handbook of Chinese Migration: Identity and Wellbeing (pp. 126-147). Edward Elgar Publishing Limited.
- "China Law Deskbook: A Legal Guide for Foreign-invested Enterprises, Volume 1", by James M. Zimmerman, p. 406, publisher = American Bar Association, year = 2010
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