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THE UNIVERSITY OF NEW SOUTH WALES Thesis/Dissertation Sheet Surname or Family name: Dong First name: Bo Abbreviation for degree as given in the University calendar: PhD School: School of Physical, Environmental and Mathematical Sciences Faculty: UNSW Canberra (PEMS) Title: Understanding Policy Drivers and Evidence-based Policy-making in Australia and China: the Biofuel Experience Abstract 350 words maximum: Biofuels, with potential environmental, social and economic benefits, have obtained significant research and policy attentions worldwide. Research and policy investment in biofuels is disproportionate to the size of the industry. These started abruptly in 2001 and ended in controversy in Australia and were phased out quietly in China. This research aims to enhance the understanding of biofuel policy drivers and evidence-based policy-making by investigating the research-policy interface in Australia and China. With researchers and policymakers’ active participation, the study probes rationalities for the governments’ intervention in biofuel development, identifies the factors considered by policymakers and efficient channels for policymakers to access biofuel research outputs. Conducting semi-structured interviews and questionnaire surveys with biofuel policymakers and researchers in Australia and China, bilingually, provided multi-perspectives and valuable data. This triangulated with academic and government publications, enabled a comprehensive understanding of a complex and dynamic system, and ensured the research findings’ reliability and validity. Comparison provided a deeper understanding of the policy drivers and the barriers to evidence-based biofuel policy-making in practice. In brief, the study found that besides research outputs, biofuels’ market performance, lobbying from incumbent industries and the government’s short-term policy goals are also influential factors in Australia’s biofuel policy-making process. Instead of struggling with the issue of contestability of evidence, centralised Chinese Government appears to provide it simpler, based on its unified policy targets and top-down decision-making process. Researchers complained that ideologies and political factors were the fundamental barriers for evidence-based biofuel policy- making in Australia. While the majority of policymakers in both countries stated biofuel research was not the only input of policy-making. They were concerned about the reliability of research and emphasised that research timing and language need to fit into the policy world. This study is the first comparative analysis of evidence-based biofuel policy-making in Australia and China. It provided a microcosm of the policy-evidence and policy-politics world. Parallel studies in other renewable energy policies in different nations would test the wider applicability of the study findings. Declaration relating to disposition of project thesis/dissertation I hereby grant to the University of New South Wales or its agents the right to archive and to make available my thesis or dissertation in whole or in part in the University libraries in all forms of media, now or here after known, subject to the provisions of the Copyright Act 1968. I retain all property rights, such as patent rights. I also retain the right to use in future works (such as articles or books) all or part of this thesis or dissertation. I also authorise University Microfilms to use the 350 word abstract of my thesis in Dissertation Abstracts International (this is applicable to doctoral theses only). …………………………………………………………… ……………………………………..……………… ……….……………………...…….… Signature Witness Signature Date The University recognises that there may be exceptional circumstances requiring restrictions on copying or conditions on use. Requests for restriction for a period of up to 2 years must be made in writing. Requests for a longer period of restriction may be considered in exceptional circumstances and require the approval of the Dean of Graduate Research. FOR OFFICE USE ONLY Date of completion of requirements for Award: Understanding Policy Drivers and Evidence- based Policy-making in Australia and China: the Biofuel Experience Bo Dong A thesis submitted in fulfilment of the requirements for the degree of Doctor of Philosophy School of Physical, Environmental and Mathematical Sciences University of New South Wales, Canberra February 2018 Originality Statement ‘I hereby declare that this submission is my own work and to the best of my knowledge it contains no materials previously published or written by another person, or substantial proportions of material which have been accepted for the award of any other degree or diploma at UNSW or any other educational institution, except where due acknowledgement is made in the thesis. Any contribution made to the research by others, with whom I have worked at UNSW or elsewhere, is explicitly acknowledged in the thesis. I also declare that the intellectual content of this thesis is the product of my own work, except to the extent that assistance from others in the project’s design and conception or in style, presentation and linguistic expression is acknowledged.’ Signed ……………………………. Date………………………….…… i Copyright Statement ‘I hereby grant the University of New South Wales or its agents the right to archive and to make available my thesis or dissertation in whole or part in the University libraries in all forms of media, now or here after known, subject to the provisions of the Copyright Act 1968. I retain all proprietary rights, such as patent rights. I also retain the right to use in future works (such as articles or books) all or part of this thesis or dissertation. I also authorise University Microfilms to use the 350 word abstract of my thesis in Dissertation Abstract International (this is applicable to doctoral theses only). I have either used no substantial portions of copyright material in my thesis or I have obtained permission to use copyright material; where permission has not been granted I have applied/will apply for a partial restriction of the digital copy of my thesis or dissertation.’ Signed ……………………………. Date ……………………………… ii Authenticity Statement ‘I certify that the Library deposit digital copy is a direct equivalent of the final officially approved version of my thesis. No emendation of content has occurred and if there are any minor variations in formatting, they are the result of the conversion to digital format.’ Signed ……………………………. Date ……………………………… iii Acknowledgements I would like to express my deepest sense of gratitude to my supervisor, Associate Professor Stuart Pearson. His patient instruction, valuable advice and insightful comments supported and inspired me through this PhD journey. Without his help, the completion of this thesis would be impossible. My appreciation goes to UNSW for the scholarship support and to the School of Physical, Environmental and Mathematical Sciences for a place in their postgraduate program. I appreciate the kind help and encouragement from Head of School, Professor Warrick Lawson, and Ms Vera Berra from the Student Administrative Service. Their supports allowed me to adjust myself and buffered the pressures at the last stage of my thesis writing. I have to admit that writing in English is quite a challenge for me. I am very lucky to have my supervisor’s patient help with the revision one time after another, from the framework of chapters to detailed wording in sentences. I also wish to express my special thanks to Ms Anne Isaac from ALL Unit, UNSW, Canberra. Her greatest understanding and generous contribution in the proofreading during the last 5 months of thesis completion equipped me with the basic training in English writing, which will benefit my further work. I am also grateful to Professor Ma Yingjie in Ocean University of China. She helped me to contact the interviewees in China and made the fieldwork in China possible and smoother. She always has my research topic in mind. Whenever she reads the news about China’s bioenergy policies or industry information, she shared with me. My research has been benefited from first-hand information from the interviews with the researchers and policymakers in biofuel field in Australia and China. I appreciate the generous share of their precious time and knowledge. Their passions and enthusiasms in research and policy-making are infectious, which will always encourage me to pursue that of my mine. iv Thank you also to many colleges and friends, Ms Shengnan Chen, Mrs Amanda Putri, Ms Xi Li, Ms Beibei Chen and Mr Maozeng Jiang. I cherish every pleasant and unforgettable moment we had, which makes this journey alive and worthwhile. Last but not least, I express the deepest appreciation which words cannot express to my family. Thank you all for the unconditional love and support through this whole process. I also thank my partner, Wei Lu. His constant and keen input made this journey more enjoyable and makes me see the future more clearly. v Abstract Biofuels, with potential environmental, social and economic benefits, have obtained significant research and policy attentions worldwide. Research and policy investment in biofuels is disproportionate to the size of the industry. These started abruptly in 2001 and ended in controversy in Australia and were phased out quietly in China. This research aims to enhance the understanding of biofuel policy drivers and evidence-based policy-making by investigating the research-policy interface in Australia and China. With researchers and policymakers’

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