Based on a set of fiscal data for the year 2000, which covers all county-level jurisdictions in China, Chapter 3 explores various factors causing the fiscal deficits of governments at the grassroots level. Other than economic factors, our empirical findings suggest that institutional defects, such as the mismatch between fiscal revenue and expenditure responsibility, the ineffective fiscal transfer system, and the abuse of power among local officials, all aggravate the fiscal predicament of poor counties. A proposed reform of compressing the current five-tier administrative hierarchy may help to address these institutional problems. / Chapter 1 explores the hotly debated issues pertaining to fiscal disparities in China during the second half of the 1990s, and investigates the various factors driving the changes in fiscal disparities. These factors include economic factors (e.g., GDP per capita, economic structure) and institutional factors (e.g., the urban---rural dichotomy, ethnic issues). We adopt the general, regression-based approach that was proposed by Morduch and Sicular (2002), and Fields (2003), to decompose fiscal disparity with respect to per capita fiscal expenditure. The empirical results indicate that among all the statistically significant factors, GDP per capita and the urban-rural dichotomy are the two most important variables affecting fiscal disparities. Other relatively important factors include economic structure and population density. Likewise, several features of fiscal expenditure in China identified by our empirical findings together with their corresponding policy implications are discussed in this chapter. / Chapter 2 delineates a comprehensive picture of sub-provincial fiscal transfers in China with the help of a set of fiscal data covering all sub-provincial jurisdictions. It explores various factors affecting the distribution of fiscal transfers. Among them are economic factors, political factors, and demographic factors. The empirical results indicate that among all these factors, economic factors and political concerns are the more important determinants of intergovernmental fiscal transfers, while local demands for some basic public services, such as healthcare, education, and social security, seem not to have been seriously taken into account by Chinese government. Our empirical findings also identify several features of the fiscal transfer system in China. Their policy implications are discussed accordingly. / With the help of fiscal statistics on sub-provincial public finance in China, this dissertation intends to achieve three goals. First, it explores the debate on the factors driving fiscal disparities through a rigorous empirical analysis. Second, it examines the determinants of intergovernmental fiscal transfers. Finally, this dissertation further explores the local fiscal predicament at the county level. / Yu, Qing. / Adviser: Kaiyuen Tsui. / Source: Dissertation Abstracts International, Volume: 70-06, Section: A, page: 2173. / Thesis (Ph.D.)--Chinese University of Hong Kong, 2008. / Includes bibliographical reference. / Electronic reproduction. Hong Kong : Chinese University of Hong Kong, [2012] System requirements: Adobe Acrobat Reader. Available via World Wide Web. / Electronic reproduction. [Ann Arbor, MI] : ProQuest Information and Learning, [200-] System requirements: Adobe Acrobat Reader. Available via World Wide Web. / Electronic reproduction. Ann Arbor, MI : ProQuest dissertations and theses, [201-] System requirements: Adobe Acrobat Reader. Available via World Wide Web. / Abstracts in English and Chinese. / School code: 1307.

published_or_final_version / Chinese / Master / Master of Philosophy

Title in Chinese: / Includes bibliographical references / Thesis (M.Ph.)--Chinese University of Hong Kong, 1986

published_or_final_version / Geography / Master / Master of Philosophy

Chinese cities have experienced dramatic growth and transformation since the initiation of economic reforms in 1978. One of the main characteristics of contemporary urban development in China has been the massive expansion of urban land, which has become one of the most important means to generate fiscal revenue and promote local economic growth. The existing literature on urban China has addressed issues such as China’s urbanization, changing urban land use and changing public finance. What is missing from the existing literature is the interrelationship among these three processes. The links between urban socioeconomic development and land use change remain poorly understood, and the discussion of the relationship between institutional changes and urban land development has been rather limited. This thesis takes a political economy perspective to investigate the relationship among institutional changes, urban land development and urban socio-economic changes in Chinese cities, using Beijing as a case. The main argument made in this study is that urban land development has worked as an important medium to channel the effects of institutional changes toward shaping the pattern of urban economic and social development. During the period of 1996 -2008, Beijing experienced large-scale urban expansion. The area of agricultural land and unused land dropped by 1.1% and 2.9% respectively while the land used for construction increased by 5.6%, and the urban built-up area in 2008 was 2.75 times of the area in 1996. My research has found that the peak of Beijing’s urban land development occurred in the period of 2001 to 2004 when both the growth of urban construction land and the transaction volume of land conveyance reached their climax. Much of the newly increased construction land was converted from agriculture for industrial use. Over space, urban land development in Beijing was concentrated in the northwestern and eastern regions. My detailed analysis of the sources and dynamics of urban land development in Beijing has identified profound institutional changes made in the central-municipal fiscal relations as the most important driving forces responsible for the temporal, structural, and spatial characteristics of land development demonstrated in Beijing. My further assessment of the effects of urban land development in Beijing has revealed a mixed picture of improved economic efficiency and persistent social and spatial disparity. The efficiency of Beijing’s economic growth has improved significantly when compared with its past and with other cities in the region. However, the internal variations in urban socioeconomic development in the Beijing city-region has been worsen. By establishing the relationship among the three elements, namely urban land development, institutional changes and urban socio-economic development, this research challenges the conventional wisdom that sees land development as simply the passive outcome of economic growth and suggests that land should better be seen as the “medium” to connect and materialize the effects of changes in the political and institutional arena upon urban social and economic transformation. / published_or_final_version / Geography / Master / Master of Philosophy

Duan, Haiyan. / Thesis (M.Phil.)--Chinese University of Hong Kong, 2009. / Includes bibliographical references (leaves 79-83). / Abstracts also in Chinese. / LIST OF FIGURES --- p.vi / LIST OF TABLES --- p.vii / Chapter Chapter 1 --- Introduction --- p.1 / Chapter 1.1 --- Research Question --- p.1 / Chapter 1.2 --- Approach and Methods --- p.4 / Chapter 1.3 --- Structure of the Thesis --- p.7 / Chapter Chapter 2 --- Literature Review --- p.8 / Chapter 2.1 --- Provision of Public Goods as a Governmental Function --- p.8 / Chapter 2.2 --- The Design and Practice of Fiscal Transfer --- p.11 / Chapter Chapter 3 --- China´ةs Fiscal Institution --- p.20 / Chapter 3.1 --- "The Drop of “Two Ratios"", and 1994 Fiscal Reform" --- p.20 / Chapter 3.2 --- Post-1994 System and the Intergovernmental Fiscal Relation --- p.23 / Chapter 3.3 --- The Finance of Public Goods Provision --- p.37 / Chapter 3.4 --- Fiscal Institution below Province --- p.45 / Chapter Chapter 4 --- The Impact of Fiscal Transfer on Public Goods Provision: Cross-county Analysis of Shanxi --- p.52 / Chapter 4.1 --- The Equalization Effect of Fiscal Transfer --- p.54 / Chapter 4.2 --- The Impact of Fiscal Transfer on County Governments´ة Preference of Expenditure --- p.58 / Chapter Chapter 5 --- Conclusion --- p.75 / REFRENCES --- p.79

本文考察了中央地方財政自主性的變化，地方政府日益增長的對土地相關收入的依賴以及中國社會總體穩定程度，三者之間的因果關係。使用24個省、市、自治區，跨1998年至2006年的面板數據的回歸模型結果顯示地方政府從土地和房地產相關產業發展上獲得的收入顯著的惡化了以來信來訪數量衡量的社會穩定程度。而地方財政自主性的增強則可以抑制地方政府謀取壟斷地租所導致的信訪數量的增加。 / 本文認為，信訪量的持續攀升與拆遷征地糾紛不斷的直接肇因是1994年開始實行的一系列稅收改革所改變的中央地方政府之間的稅收分配以及稅收結構。地方政府近乎掠奪性的征地拆遷以囤積土地獲得壟斷性租金收入的做法都與該變化有關。但同時，上述現象也受到了以信訪為代表的黨政糾紛解決渠道與以訴訟為代表的司法糾紛解決途徑在威權政體等級制度中的局限性的影響。在等級制度中，中央和地方政府因自身利益不同而存在博弈關係，在各級政府之間還存在權力與相應社會責任分配上反向的 “差序格局“。層級越高的政府，掌握越多的政治權力以及相應的可供其用來“尋租“的政治與經濟資源，卻承擔越少的社會責任和風險。 / My dissertation investigates the causal mechanisms among three factors, the relative change of the central-local fiscal autonomy after 1994 fiscal reform, the increasing of local land derived-revenue in recent years, and the variations in the general level of social stability. Using a panel data set covering 24 provincial level administrative units in China during 1998-2006, the study suggests that the income local governments earned from land and real estate developments substantially and significantly threaten social stability. It also reveals that more fiscal autonomy of local governments does help restrain rising level of instablity caused by local governments' incentive to capture monopoly rent from land. / The findings are consistent with the argument that the fiscal rearrangement and restructuring provide incentives to local governments to practice fierce land requisition and house demolition in order to get monopoly rents through land hoarding. Yet the general level of social stability is also affected by the restrictions of disputes resolution channels lie within authoritarian hierarchical structure. The study highlights how two of the most important disputes resolution channels in China, i.e. petition and litigation, reflects the different incentive structure of central and local governments. / Detailed summary in vernacular field only. / Detailed summary in vernacular field only. / 韓佳. / Thesis (Ph.D.)--Chinese University of Hong Kong, 2012. / Includes bibliographical references (leaves 196-201) / Electronic reproduction. Hong Kong : Chinese University of Hong Kong, [2012] System requirements: Adobe Acrobat Reader. Available via World Wide Web. / Abstracts in Chinese and English. / Han Jia. / 目錄 --- p.12 / 致謝 --- p.8 / 圖表索引 --- p.16 / Chapter 第一章 序言 --- p.20 / Chapter 1.1 --- 問題緣起 --- p.20 / Chapter 1.2 --- 文獻回顧 --- p.30 / Chapter 1.3 --- 實證材料來源說明 --- p.33 / Chapter 1.4 --- 章節小節 --- p.36 / Chapter 第一部份 --- p.38 / Chapter 第二章 --- 中央地方財政關係影響下信訪數量變化 --- p.38 / Chapter 2.1. --- 计量模型及变量描述 --- p.38 / Chapter 2.1.1 --- 計量模型 --- p.38 / Chapter 2.1.2 --- 變量描述 --- p.41 / Chapter 2.2 --- 統計模型與實證結果 --- p.57 / Chapter 2.3 --- 章節小節 --- p.61 / Chapter 第三章 --- 土地財政及其對國家社會關係的影響 --- p.64 / Chapter 3.1 --- 中央地方相對財政自主性 --- p.70 / Chapter 3.2 --- 土地開發和房地產開發：地方政府的第二財政 --- p.79 / Chapter 3.3 --- 由土地開發引起的糾紛：以白虎頭村土地維權事件為例 --- p.94 / Chapter 3.3.1 --- 廣西北海市白虎頭村土地維權事件 --- p.95 / Chapter 3.3.2 --- 導致糾紛的原因 --- p.108 / Chapter 3.4 --- 章節小節 --- p.115 / Chapter 第二部份 --- p.116 / Chapter 第四章 --- 土地征用糾紛的解決途徑比較 --- p.116 / Chapter 4.1 --- 當土地征用糾紛遭遇司法途徑 --- p.117 / Chapter 4.2 --- 信訪途徑與法治途徑？一個實證分析 --- p.124 / Chapter 4.2.1 --- 弱化信訪途徑即等於強化法治途徑嗎？ --- p.124 / Chapter 4.2.2 --- 計量模型，變量描述和數據介紹 --- p.127 / Chapter 4.3 --- 實證結果和穩健性檢驗 --- p.132 / Chapter 4.3.1 --- 實證結果 --- p.132 / Chapter 4.3.2 --- 估計結果的穩健性檢驗 --- p.135 / Chapter 4.4 --- 章節小節 --- p.136 / Chapter 第五章 --- 權力互動：信訪制度的歷史分析 --- p.138 / Chapter 5.1 --- 信訪現狀：以土地信訪為例 --- p.138 / Chapter 5.2 --- 信訪制度演進的理論分析架構 --- p.145 / Chapter 5.3 --- 信訪制度的歷史演進 --- p.152 / Chapter 5.3.1 --- 毛澤東時期的信訪制度 (1950-1976年) --- p.154 / Chapter 5.3.2 --- 鄧小平時期的信訪制度 (1978-1993年) --- p.164 / Chapter 5.3.3 --- 江澤民時期的信訪制度 (1993-2003年) --- p.172 / Chapter 5.3.4 --- 胡锦涛時期的信訪制度 (2003年-至今) --- p.178 / Chapter 5.4 --- 章節小節 --- p.188 / Chapter 第六章 --- 結論 --- p.190 / 參考書目 --- p.196