The Implementation Gap in Responding to Beijing’s Air Pollution: Explanation and Policy Recommendations

abstract: The lack of in-depth understanding of why policies succeed or fail in implementation puts future policymaking in a situation of having insufficient information to craft effective interventions. Mainstream policy implementation theory is rooted in a democratic institutional setting. Much less empirical research and theory addresses implementation in top-down authoritarian contexts, such as China. This study addresses the research question of how the Chinese governance context affects stakeholder’s behavior in combating air pollution, based on the analysis of implementation of three particular air pollution policies: (i) Natural gas / electricity conversion from coal, for winter heating, (ii) Widespread deployment of New Energy Vehicles, and (iii) The shutting down of cement production in northern China during the winter heating period to avoid overlapping pollution emissions from winter heating. This study identifies flexibility and accountability as two important characteristics of the Chinese governance context, and traces how they affect stakeholder behavior and coalition formation, which in turn impacts policy implementation performance. The case study methodology triangulates analysis of government policy documents, secondary data, and the results of semi-structured key informant interviews. Findings include: (i) The Chinese government has a very strong implementation capability to pass directives down and scale up, enabling rapid accomplishment of massive goals. It also has the capability to decide how the market should come into play, and to shape public opinion and ignore opposition; (ii) Interventions from the authoritarian government, given China’s vast economy and market, and the efficient top-down tiered bureaucratic system, risk distorting the market and the real policy goals during the implementation process; (iii) There tends to be an absence of bottom-up participation and feedback mechanisms; (iv) An effective self-correction mechanism, associated with flexibility and adaptability by a myriad of stakeholders often enables effective policy adjustment. Policy implications include: (i) Policy implementation concerns need to be integrated into policy design; (ii) More thorough discussion of options is required during policy design; (iii) Better communication channels and instruments are needed to provide feedback from the bottom-up; (iv) On complex policy issues such as air pollution, pilot projects should be carried out before massive adoption of a policy.Dissertation/ThesisDoctoral Dissertation Urban Planning 202