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INFORMATION TO USERS This manuscript has been reproduced from the microfilm master. UMI films the text directly from the original or copy submitted. Thus, some thesis and dissertation copies are in typewriter face, while others may be from any type of computer printer. The quality of this reproduction is dependent upon the quality of the copy submitted. Broken or indistinct print, colored or poor quality illustrations and photographs, print bleedthrough, substandard margins, and improper alignment can adversely affect reproduction. In the unlikely event that the author did not send UMI a complete manuscript and there are missing pages, these will be noted. Also, if unauthorized copyright material had to be removed, a note will indicate the deletion. Oversize materials (e.g., maps, drawings, charts) are reproduced by sectioning the original, beginning at the upper left-hand corner and continuing from left to right in equal sections with small overlaps. Each original is also photographed in one exposure and is included in reduced form at the back of the book. Photographs included in the original manuscript have been reproduced xerographically in this copy. Higher quality 6" x 9" black and white photographic prints are available for any photographs or illustrations appearing in this copy for an additional charge. Contact UMI directly to order. University Microfilms International A Bell & Howell Information Company 300 North Zeeb Road. Ann Arbor. Ml 48106-1346 USA 313/761-4700 800/521-0600 Order Number 9401311 A comparative study of provincial policy in China: The political economy of pollution control policy Maa, Shaw-Chang, Ph.D. The Ohio State University, 1993 UMI 300 N. ZeebRd. Ann Arbor, MI 48106 A COMPARATIVE STUDY OF PROVINCIAL POLICY IN CHINA: THE POLITICAL ECONOMY OF POLLUTION CONTROL POLICY DISSERTATION Presented in Partial Fulfillment of the Requirements for the Degree Doctor of Philosophy in the Graduate School of The Ohio State University By Shaw-Chang Maa, B.S., M.A. ***** The Ohio State University 1993 Dissertation Committee: Approved bv R. William Liddle Kevin J. O'Brien Advisor Judith S. Kullberg Department of Political Science Copyright by Shaw-Chang Maa 1993 To my family ii ACKNOWLEDGEMENTS Behind this endeavor are too many encouragements and supports from committee members, friends and my family, without which this dissertation will never be born. I would like to express my indebtedness and great appreciation to Dr. Liddle not only for his guidance in this dissertation but for his teachings in the classes from which I learned so much. Special thanks go to Dr. O’Brien for his valuable suggestions and patience with my English. Gratitude is expressed to Dr. Chhibber, who was once in the advisory committee, for helping me design the structure of this dissertation. I am grateful to Dr. Kullberg’s helpful comments. Additionally, the work herein was impossible without Mr. Zhu Guanglei and Mr. Li Lianjiang’s help in data collection. They deserve my sincere gratitude. To my wife, I offer sincere thanks for your understanding and encouragement throughout the entire endeavor. VITA February 26, 1958............ Born - Taipei, Taiwan 1980 ....................... B.S., National Chengchi University, Taipei, Taiwan 1986 ....................... M.A., Graduate Institute of Political Science, National Chengchi University, Taipei, Taiwan Major Field: Political Science Studies in comparative public policy, Third World politics, democratization process, and comparative foreign policy. TABLE OF CONTENTS ACKNOWLEDGEMENTS........................................... iii VITA.................................................... iv LIST OF TABLES............................................. vii 1IST OF FIGURES .........................................X CHAPTER PAGE I. INTRODUCTION..................................... 1 The puzzle............... ..................1 The necessity of reassessing provincial politics................................... 2 Critical review of studies on provincial politics................................... 5 The scope of analysis....... 9 Research query............................. 12 Data...................... 26 CHAPTER II. THE ISSUE AND THE SETTING....................... 36 The issue................................. 37 The national policy context................ 51 The organizational context................. 61 CHAPTER III. THE COMPARISON OF PROVINCIAL POLLUTION CONTROL POLICY......................................... 77 Concepts and indicators.................... 77 Pollution control effort reflected in policy output...............................79 Pollution control effort reflected in policy process.............................86 Pollution control effort reflected in policy implementation............... 89 The formation of an index. ............... 95 v CHAPTER IV. ORGANIZATIONAL STRUCTURE, POLITICAL LEADERSHIP AND PROVINCIAL POLLUTION CONTROL POLICY......... 98 Politics and pollutioncontrol policy....... 99 Results and discussion.................... 107 Conclusion............................... 119 CHAPTER V. SOCIOECONOMIC FACTORS AND PROVINCIAL POLLUTION CONTROL POLICY............................... ,124 Economic growth and environmental protection A dilemma.................... 124 Economic accounts in China................ 128 Uneven spatial development and provincial pollution control policy.................. 131 Urbanization, education, and pollution control effort........................... 141 Conclusion political variables vs. socioeconomic variables................... 149 CHAPTER VI. CONCLUSION.....................................163 Summary of analysis....................... 163 Suggestions for further research.......... 166 APPENDICES A. Local regulations regarding pollution control from 1980 to 1987................................... 168 B. Policy innovation................................... 177 C. Data about provincial elites........... ............. 196 D. Correlation matrix of all variables.................. 200 E. A summary table of all variables.....................201 F. The definition of urban places and urban population in China......... 204 Bibliography........ 209 vi LIST OF TABLES TABLE PAGE 1.51 Hypothetical impact of independent variables on provincial pollution control policy............... 25 2.11 The percentage of industrial waste water in total waste water (in rank order)....................... 39 2.12 The percentage of treated industrial waste water that reaches state standard (In rank order)....... 4 3 2.13 Emissions of Sulphur dioxide (S02) and Nitrogen oxide (N02) in selected countries, 1982........... 45 2.21 National Laws and Regulations regarding pollution control (in chronological order).................. 52 2.22 Pollution control measures in the laws and regulations ...................................55 3.21 The number of laws and regulations regarding pollution control from 1980-1987.................. 82 3.22 The score of each province in policy innovation (in rank order)...................................85 3.31 The score of response speed....................... 88 3.41 The funding for treating pollution as a percentage of national income (by province) from 1981-1987....91 3.42 The average ratio of the number of staff to the number of enterprises from 1981-1987.............. 93 3.43 The ratio of the number of sets of equipment to the number of enterprises......................... 94 3.44 The pollution control effort of provinces reflected in implementation (Standard score)................ 95 3.51 Index of seriousness in pollution control by province...................................... 96 vii 4.11 Political generations and education of provincial leaders from 1980-1987.......................... .104 4.12 Political generations and career pattern......... 105 4.21 Provinces with cities selected as key point cities of environmental protection...................... 108 4.22 Provinces that set up environmental protection commission and EPB as the first rank organization before 1986..................................... 110 4.2 3 The number of laws enacted by PPC from November 1979 to December 1987........................... 112 4.24 The percentage of service time of the second- generation political leaders ................. 113 4.25 The percentage of service time of technocratic bureaucrats..................................... 115 4.26 The percentage of service time of provincial leaders who had attended college..................116 4.27 The percentage of service time of native leaders..117 4.28 The frequency of elite change from 1980 to 1987...118 4.29 The number of provinces and the frequency of elite turnover.................................. 118 4.30 Correlation coefficients between PCE and political variables....................................... 119 5.31 The share of national income by province.......... 134 5.32 The average national income per capita by province from 1980-1987 .................................. 136 5.33 The average share of GVIO in GVAIO from 1980 to 1987.................................... 137 5.34 Correlation matrix between PCE and economic variables........................... ....138 5.35 Average growth rate of NIPC and GVAIO per capita from 1980 to 1987........................... .... 140 5.41 Pressure points in LDC and MDC Cities by size of Centre....................................... 14 3 5.42 The average level of urbanization from 1980-1986..145 viii 5.4 3 The percentage change of urbanization between 1980 and 1986..................................