Embedded Duality in the Implementation of Strategic Environmental Assessment in China

학위논문 (박사)-- 서울대학교 대학원 : 환경계획학과, 2017. 2. 윤순진.SEA는 EIA와 관련된 원칙과 방법이 전략적인 단계(정책, 계획 및 기획)에서 사용되는 것이다. （Wood and Dejeddour, 1992）이는 특정 지역의 발전으로 인해 축적된 영향과 간접적인 환경영향을 고려할 수 있다（Briffett and Mackee, 2003）. Sadler(1996)는 전 세계적으로 두 가지 EIA 발전의 주요 경향을 제시하였다. 선진국에서 SEA가 정책 이행과정에서의 도입, 개발도상국에서 환경평가에 대한 광범위한 적용이다. 그러나 대부분 SEA에 관한 연구로는 주로 EU와 미국과 같은 선진국에 대해 수행되고 있다. 많은 학자들이 SEA를 개발도상국에 적용하는 것에 관심을 갖고 있지만 선진국과 개발도상국 사이에 적용 상 큰 격차를 보이고 있다. 비록 중국이 전 세계적으로 전략적 환경영향 평가를 도입한 국가 중 하나지만 중국 동서부의 이원화는 선진국과 개발도상국이 차이를 보이는 것과 매우 흡사하다. 중국 동부와 서부는 경제와 사회발전 상의 차이를 보이고 있다. 예를 들어 GDP, 수입, 경제 시장화 및 개방성, 비 국유화 수준, 정부 규모 등이다. 이런 요소들로 인해 서로 다른 정부정책과 정책시행으로 SEA 효과에 영향을 미치고 있다. 이와 같이 국가정책, 역사 및 지리적 원인으로 인한 중국 동서부의 경제와 사회적 이원화에 대해 이미 많은 토론이 있었다. 그러나 동서부의 지역 경제와 사회적 이원화가 환경정책과 환경정책의 시행에 미치는 영향에 대한 연구는 미비하다. 특히 SEA정책은 기존 연구에서 찾아 보기 어렵다. 본 연구는 SEA가 중국에서 시행되는 과정에서 나타난 차이를 살펴보는 것에 초점을 둔다. 같은 정책과 제도 하에 동서부의 불평등 발전의 차이에서 서부 지역의 SEA실행이 동부 지역과 같이 좋이 못한 이원화 원인에 대해 살펴보고, 어떤 이원화 요인이 중국 동서부의 SEA실행에 영향을 미쳤는지 확인하도록 한다. 심층적 인터뷰와 정부정책을 검토하는 것이 본 연구의 두 주요 연구 방법이다. 정부정책 검토에서 이원화 경제와 사회발전 배경하에 정책제정 과정에서 동서부의 중앙과 지방정부가 환경보호에 대한 관심도에 서로 차이가 있었다. 이는 정부가 계획환경영향평가에 대한 태도와 환경보호 의식 등에 큰 영향을 미쳤다. 심층적 인터뷰는 계획환경영향평가의 실행과정과 유력한 수집정보를 보다 전면적이고 자세하게 보여줄 수 있다. 동부의 광둥와 쨩수, 서부의 칭하이와 닝쌰를 대상으로 연구를 수행하였다. 연구 결과에서 9개 연구에 따르면 동부지역의 계획환경평가에서 현저히 좋은 결과를 보였다. 서부의 지역에서는 현저히 부족과 실행의 장애가 거의 모든 방면에서 나타났다. 예를 들어 경제발전에 대한 과대 평가, 불완전한 지역계획환경평가정책, 지방 환경보호 기관의 작은 권한 등이 있다. 네 가지 주요 요소가 PEIA를 서부 지역에서의 성공적인 실행을 보장해 준다. 또한 동부지역의 PEIA효과는 더욱 정책실행의 영향을 받고, 서부 지역은 PEIA정책의 영향을 더 크게 받는다. PEIA실행 효과는 서부의 비효과적이고 부족한 정책에서 시작된다. 키워드 : 이원화, SEA, PEIA, 실행, 정책 학번 : 2014-30826SEA means using the EIA and its relative principles and methods in the strategic (polices, plans and programmes) level (Wood and Dejeddour, 1992). It has the ability to take account of possible cumulative and induced environmental impacts arising from developments within a defined geographical region (Briffett and Mackee, 2003). Even though two significant trends of EIA development worldwide argued by Sadler (1996) are the emergences of SEA into the decision-making process in developed countries and widespread establishment of EA systems by many developing countries. However, most of the SEA research relates to studying the implementation of SEA in the decision making process in developed countries, especially the EU countries. Despite some authors endeavoring to focus on the practices and framework of SEA in the developing countries, it is easy to identify that the gap between the developed countries and the developing countries is broader, in terms of SEA implementation. Even though China is one of the early countries to introduce the strategic environmental assessment, the duality of western and eastern China is very same with the gap in developing and developed countries. The gaps of eastern and western regions in social and economic development, such as the gap in GDP, incomes, economic marketization and openness, the level of non-nationalization, the scale of government which lead to the different government policies and policy implementation cause the SEA outcomes are different. Even though the duality of eastern and western China in economic and social development that caused by dual national strategies and historical and geological reasons is widely discussed, the duality in environmental policies and environmental policy implementation, especially the SEA policies, of eastern and western regions results from the social and economic development gaps is never mentioned in the previous researches. This research is focused on the implementation gap of SEA in China, due to the unbalanced development of the western and eastern regions that are under the same institutional framework and to answer that what reasons are resulted in the SEA in the western region failing to be implemented as well as in its eastern counterpart and in which respects the duality influences the SEA implementation in western and eastern China. The in-depth interview and reviewing government policies are selected as two main research methods. Government policies review reflects under the background of duality economic and social development, when making environmental policies and SEA policies, both central government and local governments pays different attention of environmental protection, which large influence the further governments attitudes to PEIA, their value of environmental protection etc. and in-depth interview could provides a more complete and detailed picture of the PEIA implementation process that do not have significant causality and provide more relaxed atmosphere in which to collect information. A total of 32 interviewees are integrated from the environmental provincial protection bureau (EPB) and the district environmental protection office (EPO), experts from EIA evaluation institutions, professors of a university, staff from economic development zone committees and the public, who participated in the evaluation process. Four case provinces are selected according the economic and social development criteria. They are Guangdong and Jiangsu in eastern region and Qinghai and Ningxia in western region. The research finds that the eastern region has an obviously better performance in PEIA implementation in the nine aspects discussed in the research, according to both the environmental protection department staff and the SEA institutes staff. The western provinces face significant disadvantages and strong barriers of PEIA implementation in almost all of the items including putting too much value on economic development, imperfect local PEIA policies, the weakness of the power of the voice of the environmental protection departments in government negotiation, weak management of PEIA, less valid public participation and the imperfect public participation forms. Some strong advantages leading to successful PEIA implementation are: give an important value of environmental protection and relative complete local PEIA policies, the financial and human resource and valid public participation. These four elements guarantee successful PEIA implementation in the eastern region and the barriers of the implementation of PEIA in the western region. In addition, the PEIA implementation results in the eastern region are influenced more by policy implementation and the implementation results in the western regions are deeply affected by the policies in the western region. Unlike the successful PEIA implementation outcomes in the eastern region depending either on sufficient policies supporting or good implementation performance, the problems of the PEIA implementation outcomes in the western region are firstly based on less valid and sufficient policies. In addition, it can be seen that the performances of the PEIA implementation in the western region have both the low policy supporting and the PEIA policy implementation and the results coordinate with the imperfect implementation.Chapter one: introduction 1 1.1 Research background 1 1.1.1 From EIA to SEA 1 1.1.2 Duality in western and eastern China 4 1.1.3 Current research gap 7 1.2 Research questions and hypotheses 9 1.3 Research methods 10 1.4 Definition of main concepts 14 1.5 Research scope and framework 15 Chapter two: duality and the dual economic and social development in China 18 2.1 Duality 18 2.1.1 The conception of duality 18 2.1.2 The duality in the west and east in China 23 2.2 The concept of Eastern China and Western China 24 2.3 The main causes of duality 29 2.3.1 Unbalanced national strategies 29 2.3.2 The physical geography and historical reasons 37 2.4 The main expressive forms of duality 41 2.4.1 Economic development standard 43 2.4.2 Economic marketization and openness 46 2.4.3 The gaps in social development 53 Chapter three: dual policies and policy implementation theory 67 3.1 Evaluation framework 67 3.2 The influence of duality on policy making 70 3.2.1 The influence of the duality on policy innovation 72 3.2.2 Public administration and governance 77 3.2.3 Preferential policy competition and industrial transfer 86 3.3 The influence of duality on policy implementation 93 3.3.1 The conception of policy implementation 93 3.3.2 The policy implementation and duality 97 Chapter four：SEA in China 121 4.1 History and practices of SEA 121 4.2 Current SEA system 133 4.2.1 Legislation 133 4.2.2 Coverage of SEA 141 4.2.3 Consideration of alternatives 148 4.2.4 The management of EIA institutes and fees of SEA 151 4.3 SEA process 158 4.3.1 Screening the action 158 4.3.2 Scoping of impacts 170 4.3.3 Preparing and reviewing of SEA report 176 4.3.4 The follow-up evaluation of SEA 189 Chapter five: the embedded duality in SEA implementation 195 5.1 The research organization and case selection 195 5.1.1 The criteria of case selection and case description 195 5.1.2 Economic development zone and economic development zone PEIA 203 5.1.3 The Economic development zone and PEIA in the four provinces 206 5.1.4 Research organization 209 5.2 The dual policies and regulations of environmental management 215 5.2.1 The dual national strategies: Thirteenth five-year plan 215 5.2.2 Industrial transfer strategy and China Western Development 226 5.2.3 The duality environmental policies and regulations 233 5.2.4 The dual environmental protection standards 242 5.2.5 The dual environmental protection mechanisms 245 5.2.6 The dual supporting and management policies and regulations 251 5.3 The dual policies and regulations on SEA 270 5.4 The dual SEA practices: case description and report review 276 5.5 The SEA implementation 286 5.5.1 Different degrees of value of environmental protection 286 5.5.2 Different attitudes of local governments towards PEIA and the process of government negotiation 296 5.5.3 The Different management of SEA institutes, the environmental monitoring quality and the authenticity of monitoring data 308 5.5.4 Different motivation and form of public participation 315 5.5.5 Investment supports of PEIA and human resource support 324 5.5.6 Intervention time, alternatives and administrative misbehaviors penalty in the PEIA process 335 5.6 Summary of PEIA implementation 355 Chapter six: conclusion 367 Reference 373Docto

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