Compliance with environmental policies in China, the role of state capacity

grantor: University of TorontoThe goals of this study are twofold. First, I seek to provide a clear and effective definition of state capacity that enables us to predict whether governments are likely to enforce policy effectively. Second, I examine whether variation in state capacity does indeed predict compliance with government policies. I focus on environmental policy in China to test the usefulness of my conception of state capacity and its consequences. The study employs two analytical approaches. First, relying on quantitative methods, I evaluate the state capacity of ten representative Chinese provinces and their compliance with the environmental policies dictated by the central government of China. This method involves assessing provincial adherence to centrally dictated water quality standards and effluent discharge controls. The results point to the existence of a positive correlation between provincial capacity and relative compliance. The second analytical approach is qualitative in nature. This allows me to move beyond the observed correlation to investigate whether there is a causal relationship between state capacity and compliance. The qualitative analysis involves a detailed assessment of policy compliance in one sample province, Jiangsu. In this case, I evaluate the capacity of municipal governments and the compliance of factories under their jurisdiction. The results point to the central role of state capacity in compliance with policies. The results also point to the importance of factors other than state capacity. Analyses based on the state capacity model will only be accurate if preceded by an assessment of the policies to be enforced. Specifically, the analysis must determine whether the policies have the potential to result in significant change. In addition, the commitment of the government to the policy must be assessed. Governments with substantial capacity will direct it to certain policy goals but not to others. This research provides a state capacity model that can effectively predict government policy implementation and enforcement. Future research should address the relevance of the model in developing countries around the globe and in domains other than environmental policy.Ph.D