THE IMPLEMENTATION OF CIDA'S CHINA PROGRAM: RESOLVING THE DISJUNCTURE BETWEEN STRUCTURE AND PROCESS aire O'Brien Doctoral Disseratation York University February 2000 National Library Bibliothèque nationale du Canada Acquisitions and Acquisitions et Bibiiographic Services services bibliographiques 395 Wellington Street 395. nie Wellington Ottawa ON K1A ON4 OîtawaON KlAON4 Canada Canada Your nk, Voua référence Ow #le Notre rëférence The author has granted a non- L'auteur a accordé une hcence non exclusive licence allowing the exclusive permettant à la National Library of Canada to Bibliothèque nationale du Canada de reproduce, loan, distribute or seil reproduire, prêter, distribuer ou copies of this thesis in microform, vendre des copies de cette thèse sous paper or electronic formats. la fome de microfiche/nlm, de reproduction sur papier ou sur format électronique. The author retains ownership of the L'auteur conserve la propriété du copyright in this thesis. Neither the droit d'auteur qui protège cette thèse. thesis nor substantial extracts &om it Ni la thèse ni des extraits substantiels may be p~tedor otherwise de celle-ci ne doivent être imprimés reproduced without the author's ou autrement reproduits sans son permission. autorisation. The Fkxible Impkmeniatbn of CIDA's China Program: Resdvaig the Tension betwen Structure and Process a dissertation submitted to the Faculty of Graduate Studies of York University in partial fulfillment of the requirements for the degree of DOCTOR OF PHILOSOPHY O Permission has been granted to the LIBRARY OF YORK UNIVERSITY to lend or seIl copies of this dissertation. to the NATIONAL LIBRARY OF CANADA to microfilm this dissertation and to lend or seIl copies of the film, and to UNIVERSITY MICROFILMS to publish an abstract of this dissertation. The author reserves other publication rights. and neither the dissertation nor extensive extracts from it may be printed or otherwise reproduced without the author's written permission. Abstract From its relatively humble beginning in the early 1980s,the Canadian International Development Agency's (CIDA) China Program quickly began to set precedents in the delivery of Canadian ODA. To maximize a small budget and minimal administrative resources, CIDA's China Prograrn introduced the mechanism of human resources development (HRD) to deliver Canadian ODA to China. This was the first significant departure in Canadian ODA which had been traditionally premised on large scale, capital intensive project funding. The unfamiliarity of China, the inexperience of Canadian executing agencies, together with this new rnodel of development assistance were easily accommodated by the bureaucratic and administrative processes of CIDA. Though generally thought to be cumbersome and seemingly inflexible, CIDA's organizational processes were quite malleable, especially during the early stages of the China Program's implementation. The flexibility and experimentation of the early years of the program have given way, in the 1990s, to an institutionalization that has imposed greater restrictions on project development. The Chinese Enterprise Management Training Centre at Chengdu, the China Open Cities Project, and the the Canada-China Lean Swine Production Project are presented as examples of the various stages of this institutionalization; as a demonstration of the building of the institutional capacity of Canadian executing agencies (CEAs) to deliver international ODA and of the increasing interdependence of ClDA and its constituency of CEAs. Acknowledgments Without the unwavering support of rny farnily, the research, writing, and completion of this dissertation would not have been possible. I have particularly to thank my mother for her constant encouragement and endless faith. She never doubted that it was possible. I looked to Papa John for approval and he was unfailingfy kind and generous. Fred had never been through anything like this, but he was understanding, patient, and tolerant throughout the whole journey. Everett and Eugene , as always, are the joy and love of my life. They make life worth living. Bernie Frolic is truly a mensch. 1 am deeply indebted to him for his cornmitment to excellence, his guidance through the difficult parts of the writing. for the endless comments that nearly made me tear my hair out, and his friendship. Paul Evan's insight and rigour were inspirational. Liisa North's careful editing and analytical comments helped to polish rough writing. As a recipient of a scholarship under the Canada-China Scholarship Exchange Program, I have to thank the Department of Foreign Affairs and International Trade and the State Education Commission of the People's Republic of China for the opportunity to study Chinese language and conduct field research in China in 1994-95. A very special thanks is owed to the many people I interviewed. To rny friends and colleagues at York University in the Department of Political Science and in the Joint Centre for Asia Pacific Studies, thanks for the memories. Finally, without Silverbirch and the God of my understanding, it would not have happened at all! List of Tables and Diagrams Tables Table3.1 CEMTCCPhasesI,11,111(1983-1997) Table 4.1 COCP Phases I & 11 (1986 - 1998) Table 4.2 Canada-China Twinning Arrangements Table 5.1 CCLSP Phases I & II Diagrams Diagram 1.1 Organizational Chart Situating CIDA's China Program Diagram 2.1 China Program Organizational Environment Diagrarn 2.2 Cl DA Project Management Cycle Diagram 2.3 Basic Structure of Typical CIDA Project Diagrarn 3.1 CEMTCC Decision Making Organizational Chart Diagram 4.1 COCP Work Flow Chart Diagram 5-2 CCLSP Project Decision Making/Organizationaf Chart Table of Contents Copyright ii Certif icate iii Abstract iv Acknowledgements V List of Tables and Diagrams vi Table of Contents vii Chapter 1 Canadian ODA to China: An Interactive Project Implementation Process 1.1 Introduction 1.2 Theoretical Assumptions 1.3 Research Methodology Chapter 2 creating CIDArs China Program: Experimentation, Maturity and Institutionalization 2.1 Introduction 26 2.2 Formative Years: An Expanding Environment 32 2.3 Inception Period: Organizational Adaptation 36 2.4 Program Implementation: Phase 1 (1982-86) A Steep Learning Curve 44 2.5 Program Implementation: Phase II (1986-90) Expansion and Contraction 55 2.6 Into the 1990s: Institutionalization & Strategic Management 64 2 .7 Conclusion 75 Chapter- 3 The Chinese Enterprise Management Training Centre at Chengdu: Building Sustainable Partnerships 3.1 Introduction 79 3.2 Decision to Establish a Management Programme in Sichuan 85 3 - 3 Implementation of the Programme and Institutional Adaptation 92 3.3-1 Human Resources Development - Canadian Faculty 98 - Chinese Staff & Faculty Training 106 - Training Programs 115 3.3.2 Institutional Develo~ment - Consulting 0f'fice 119 - vii - - Management Development &iChange 3-4 Conclusion Chapter 4 ~he-chinaOpen Cities Project: Integrating Commercial and HRD Objectives 4-1 Introduction 4.2 Background and Inception 4-3 Implementation - The Precarious Balance Between Municipal Management Education Training and Commercial Opportunities - Study Tours - ~rainingPrograms - Twinning Program - ~udio-Visual 4.4 Coordination and Control 4-5 Conclus ion Chapter 5 !Che-canada-china Lean Swine Production Project: Adapting to Budgetary Constraints 5.1 Introduction 5.2 Background and Inception 5.3 Implementation - Budgetary Limitations and Project Compromises - The ~rainingProgram - The ~reedingProgram - The Nutrition Program - ~arketingand Economics 5.4 Coordination and Control 5.5 Conclusion Conclusion 243 Bibliography Interview Key 272 Acron yms 276 Appendix Table 1 China Program Projects (1982-1986) 280 Table 2 China Program Projects (1986 -1989) 281 Table 3 China Program Projects (1991-1996) 282 Table 4 China Program Projects By Sector 283 Table 5 Programs Taught at CEMTCC in Phases 1-11 285 Chapter 1 Canadian ODA to China: An Interactive Project Implementation Process 1.1 Introduction The clear, but very broadly articulated, goal of the Canadian International Development Agencyrs (CIDA) bilateral Official Development Assistance (ODA) program with China has been the "the multiplication of contacts at the thinking / level."l This concept, attributed to Marcel Masse who was then President of CIDA, of developing maximum human znd institutional contacts between Canadians and Chinese in key areas of the Chinese economy where there was potential for expanding relationships, was a policy innovation that dealt with the unfmiliarity of China and addressed the problem of limited Canadian resources. Implemented through the promotion and generation of a knowledge-based transfer of technology under the rubric of human resource development (HRD), this policy has been carried out with varying degrees of success. Thousands of Chinese have received professional training, either in China or Canada, through a network of Canadian executing agencies with organizational mandates purposely expanded to accommodate this opportunity. Canadian 1. Canadian International Deveiopment Agency (CIDA), China Countrv Procrram Review, Confidentiai Document (Ottawa: CIDA, December 1984). p 17. -1 - educational institutions and other organizations, like the Federation of Canadian Municipalities (FCM), significantiy increased their financial resources and expanded their capacity to administer international development programs- The program has had an effect on the Canadian economy, but the impact made on Chinese institutions and organizations