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UNIVERSITY of CALIFORNIA, SAN DIEGO The UNIVERSITY OF CALIFORNIA, SAN DIEGO The Transnational Diffusion of Global Environmental Concerns via INGOs in China: A New Framework for Understanding Diffusion in Authoritarian Contexts A dissertation submitted in partial satisfaction of the Requirements for the degree of Doctor of Philosophy in Sociology by Setsuko Matsuzawa Committee in Charge: Professor Richard Madsen, Chair Professor Richard Feinberg Professor Paul Pickowicz Professor Christena Turner Professor Carlos Waisman 2007 Copyright Setsuko Matsuzawa, 2007 All rights reserved. The dissertation of Setsuko Matsuzawa is approved and it is acceptable in quality and form for publication of microfilm: ______________________________________________________ ______________________________________________________ ______________________________________________________ ______________________________________________________ ______________________________________________________ Chair University of California, San Diego 2007 iii For My Parents Who Have Given Me Life and Freedom and Love iv TABLE OF CONTENTS Signature Page……………………………………………………………………………iii Dedication………………………………………………………………………………...iv Table of Contents………………………………………………………………………….v List of Tables……….…………………………………………………………………...viii List of Acronyms…………………………………………………………………………ix Acknowledgements……………………………………………………………………….xi Vita……………………………………………………………………………………...xiii Abstract…………………………………………………………………………………xiv Chapter 1: The Transnational Diffusion of Global Environmental Concerns via INGOs: Introduction to the Chinese Case………………………………………………………….1 Diffusion Theory...………………………………………………………….……. 3 China and Environmental Protection………...…………………………………....6 Summary of Findings…..………………………………………………………...10 Research Design…..……………………………………………………………...13 Research Site……………………………………………………………..15 Data Collection Methods………………………………………………...17 Chapter Overview………………………………………………………………..22 Chapter 2: Diffusion Theory: Transnational Diffusion and International NGOs………..27 Introduction………………………………………………………….…….……..27 Diffusion Theory…………………………………………………………….…...29 Diffusion Theory and the Study of INGOs……………………………………....36 INGOs: Concerned Transmitters…………………………………….......37 The Transnational Diffusion of Global Environmental Concerns in China……..38 The Relational Mode of Diffusion……………………………………….39 Political Opportunity Structures (POS)………………………………….44 Conclusion……………………………………………………………………….49 Chapter 3: China’s NGO Sector and its Political Environment: The Relationship between the Repressive State and the Newly Emerging NGO sector..51 v Introduction…………..……………….…………………………………….…...51 Donors’ Emphasis on Civil Society Assistance and the Rise of the NGO Sector………….…………………………………………..52 China’s Reluctance to Overseas Development Assistance (ODA)……………... 55 China’s Historical Response to Foreign Influence………………………56 The Emergence and Development of the NGO Sector in China………………...58 State Legal Framework Controlling the NGO Sector in China………………….63 State Discourse on Civil Society and the NGO Sector…………………………..69 The Official Chinese Version of Civil Society Discourse……………….70 Chinese Official Discourse vs. International Discourse on Civil Society…………………………………………………………..71 The Ministry of Civil Affairs (MOCA), the Gate Keeper of the Chinese NGO Sector…………………………….75 Donors and the Repressive State……….………………………………………...76 The Chinese State and INGOs in China…………………………………78 Conclusion…………………………….…………………………………………83 Chapter 4: The Development of China’s Environmental Sector: State Vulnerability to Global Environmental Concerns…………………………………85 Introduction…………………………………………………………………........85 Mao’s Early Assault on the Environment………………………………………..87 The Creation of the Chinese Environmental Regime……………………………88 External Factors: U.N. Conferences on the Environment ……………….89 Internal Factors: China’s Serious Environmental Problems……………..94 Environmental Agendas in Yunnan Province………………………………........97 Water Pollution in Dianchi (Lake Dian)…………………………………98 Endangered Species: Snub-Nosed Monkeys……………………….......101 Ecological Hotspots…………………………………………………….104 The Emergence of Major ENGOs in Yunnan ………………………………….107 Xu Jianchu: The Center for Biodiversity and Indigenous Knowledge (CBIK)……...108 Yu Xiaogang: Green Watershed………………………………………..114 Conclusion………………………………………………………………….......118 Chapter 5: INGOs as Concerned Transmitters in Yunnan: Identification, Adaptation, and Political Opportunity Structures (POS)……………….121 Introduction……………………………………………………………………..121 The Western Development Campaign: The State’s Reassertion of Power …….122 Yunnan Province and Its Development Strategies……………………………...125 The Nature Conservancy (TNC): Ideas of Conservation……………………….129 The International Rivers Network (IRN): Ideas and Practices of Anti-Dam Activism……………………………………..138 The Nujiang (Nu River) Dam Controversy…………………………….139 vi The Diffusion of Anti-Dam Activism ………………………………….141 The Diffusion of Anti-Dam Activism among Chinese NGOs………….147 Political Opportunity Structures (POS) for Activism against the Nujiang Dam…………………………………149 The Ford Foundation: Ideas of, and Support for, NGOs……………………….151 The Ford Foundation and Yunnan………………………………….......153 The Yunnan Uplands Management (YUM) Program…………………..155 NGO Development……………………………………………………..158 Conclusion: A Comparative Analysis of the Three INGOs…………………….161 Chapter 6: Conclusion: The Transnational Diffusion of Global Environmental Concerns via INGOs in China: Conclusions and Contributions…………………………………..167 Summary of Central Findings…………………………………………………..169 Contributions of My Study of INGOs in China………………………………...173 Primary Scholarly Contributions: Diffusion Theory……………….......174 Secondary Scholarly Contributions: Civil Society, Social Movements, International Relations, and Environmental Cooperation………………178 Bibliography……………………………………………………………………………183 vii LIST OF TABLES Table 5.1: Comparison of Three International NGOs………………………………….162 viii LIST OF ACRONYMS ADB Asian Development Bank BHN Basic Human Needs CASS Chinese Academy of Social Sciences CBIK Center for Biodiversity and Indigenous Knowledge CANGO China Association for NGOs CCP Chinese Communist Party CCTV Chinese Central Television CIA Central Intelligence Agency CICETE Chinese International Center for Economic and Technical Exchange CSD Center for Community Development Studies CSI Civil Society Index CUBIC Cultures and Biodiversity Congress DFID Department for International Development (U.K.) EBAs Endemic Bird Areas EIA Environmental Impact Assessment ENGOs Environmental Non-Governmental Organizations EPL Environmental Protection Law ETDZs Economic and Technical Development Zones GDP Growth Domestic Product FDI Foreign Direct Investment FON Friends of Nature GONGOs Government-Organized NGO GTZ Deutsche Gesellschaft für Technische Zusammenarbeit GVB Global Village Beijing ICMOD International Center for Integrated Mountain Development IDF Institutional Development Fund IDS Institute of Development Studies IEA International Energy Agency IED Institute for Environment and Development INGOs International Non-Governmental Organizations IRN International Rivers Network KIB Kunming Institute of Botany KIE Kunming Institute of Ecology KMT Kuomintang MOCA Ministry of Civil Affairs MOFCOM Ministry of Commerce MOFTEC Ministry of Foreign Trade and Economic Cooperation NDRC National Development & Reform Commission NEPA National Environmental Protection Agency NEPB National Environmental Protection Bureau NEPO National Environmental Protection Office ix NFPP National Forest Protection Program NGOs Non-Governmental NSMs New Social Movements ODA Overseas Development Assistance OSMs Old Social Movements Organizations PAP People’s Armed Police POS Political Opportunity Structures PRA Participatory Rural Appraisal PRC People’s Republic of China RMB Ren Min Bi (Chinese currency) SARS Severe Acute Respiratory Syndrome SEPA State Environmental Protection Administration SEZs Special Economic Zones SIA Social Impact Assessment TANs Transnational Advocacy Networks TNC The Nature Conservancy TNCs Transnational Corporations UDHR Universal Declaration of Human Rights U.N. United Nations UNCED United Nations Conference on Environment and Development UNDP United Nations Development Program (UNDP) UNESCO United Nations Educational, Scientific and Cultural Organization UN-NGLS U.N. Non-Governmental Liaison Service USAID United States Agency for International Development WWF World Fund for Nature YAS Yunnan Academy of Sciences YASS Yunnan Academy of Social Sciences YGRP Yunnan Great River Project YINGO Yunnan International NGO YPAO Yunnan Poverty Alleviation Office YPG Yunnan Provincial Government YUM Yunnan Uplands Management x ACKNOWLDGEMENTS This dissertation allowed me to achieve three specific goals that I wanted to achieve during my Ph.D. program. These goals were obtaining a Ph.D., acquiring a new language, and conducting at least a year of fieldwork in a developing country. I would like to thank the Chair of my committee, Professor Richard Madsen, and the other members of my committee—Professors Christena Turner, Carlos Waisman, Richard Feinberg, and Paul Pickowicz—for their invaluable guidance, support, and enthusiasm during the course of my graduate work. All the members provided me with special opportunities, such as being a guest speaker or a panelist in their courses. I appreciated these opportunities very much because I wanted to obtain a sense of how my research would be received by non-specialists as well as by the general undergraduate student body. Without
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