Why Chinese farmers obey the law: Pesticide compliance in Hunan Province, China Yan, H.

Transcription

1 UvA-DARE (Digital Academic Repository) Why Chinese farmers obey the law: Pesticide compliance in Hunan Province, China Yan, H. Link to publication Citation for published version (APA): Yan, H. (2014). Why Chinese farmers obey the law: Pesticide compliance in Hunan Province, China General rights It is not permitted to download or to forward/distribute the text or part of it without the consent of the author(s) and/or copyright holder(s), other than for strictly personal, individual use, unless the work is under an open content license (like Creative Commons). Disclaimer/Complaints regulations If you believe that digital publication of certain material infringes any of your rights or (privacy) interests, please let the Library know, stating your reasons. In case of a legitimate complaint, the Library will make the material inaccessible and/or remove it from the website. Please Ask the Library: or a letter to: Library of the University of Amsterdam, Secretariat, Singel 425, 1012 WP Amsterdam, The Netherlands. You will be contacted as soon as possible. UvA-DARE is a service provided by the library of the University of Amsterdam ( Download date: 13 Nov 2018

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3 Why Chinese Farmers Obey the Law Pesticide Compliance in Hunan Province, China Huiqi Yan

4 Huiqi Yan Cover design: Jinyang Fu Cover photographs: Huiqi Yan and Xiaozhou Lu

5 Why Chinese Farmers Obey the Law Pesticide Compliance in Hunan Province, China ACADEMISCH PROEFSCHRIFT ter verkrijging van de graad van doctor aan de Universiteit van Amsterdam op gezag van de Rector Magnificus prof. dr. D.C. van den Boom ten overstaan van een door het college voor promoties ingestelde commissie, in het openbaar te verdedigen in de Agnietenkapel op donderdag 30 oktober 2014, te 10:00 uur door Huiqi Yan geboren te Dongkou, Volksrepubliek China

6 Promotors: Prof. dr. B. van Rooij Prof. dr. W. Huisman Co-promotor: Dr. J. van der Heijden Overige Leden: Prof. mr. dr. A.J.C. de Moor-van Vugt Prof. dr. ir. B.J. de Kloet Prof. dr. ir. A.P.J. Mol Prof. dr. S.Y. Tang Dr. J.R. Popma Dr. J.G. van Erp Faculteit der Rechtsgeleerdheid

7 For my parents, and Jinyang Fu Past, Present and Future

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9 TABLE OF CONTENTS TABLE OF CONTENTS... I LIST OF TABLES... V LIST OF FIGURES... IX ACRONYMS AND ABBREVIATIONS... X ACKNOWLEDGMENTS... XI Chapter 1 Introduction Weak Implementation of Chinese Law Theoretical Basis for Studying Compliance in China Pesticide Compliance in China: A Case Study Research Questions An Introduction to the Context of the Pesticide Case Research Limitations Research Outline Chapter 2 Setting the Theoretical Framework and Methodology Introduction Operationalization of Compliance Question One: What are Compliance and Regulatory Compliance Question Two: Why Compliance Question Three: How to Measure Compliance Methodology Case Selection Case Interview Data Measurement as well as Coding Method Vegetable Farmers Pesticide Compliance Behavior Chapter Conclusion Chapter 3 Subjective Rational Compliance Calculation and Deterrence: Theory and Empirical Evidence Introduction Towards Subjective, Rational, Amoral Calculation Understanding Operational Costs and Benefits of Compliance... 62

10 II TABLE OF CONTENTS Subjective Operational Costs and Benefits of Compliance in Theory Vegetable Farmers Perceived Operational Cost-Benefit Calculation of Compliance Operational Compliance Calculation and Farmers Pesticide Compliance Understanding Deterrence Subjective Deterrence in Theory State Enforcement/Objective Deterrence Perceived Detection Probability Perceived Sanction Impact Farmers Perceived Deterrence and Pesticide Compliance Chapter Conclusion Chapter 4 Situational Compliance Legitimacy: Theory and Empirical Evidence Introduction Towards Legitimacy Understanding Descriptive Social Norms of Compliance Descriptive Social Norms of Compliance in Theory Vegetable Farmers Perceived Descriptive Social Norms of Compliance Descriptive Social Norms of Compliance and Farmers Pesticide Compliance Understanding Morals Morals in Theory Vegetable Farmers Indicated Morals Morals and Farmers Pesticide Compliance Understanding General Duty to Obey General Duty to Obey in Theory Vegetable Farmers Perceived General Duty to Obey General Duty to Obey and Farmers Pesticide Compliance Understanding Procedural Justice Procedural Justice in Theory Vegetable Farmers Perceived Procedural justice Procedural Justice and Farmers Pesticide Compliance Chapter Conclusion

11 TABLE OF CONTENTS III Chapter 5 Capacity and Pesticide Compliance: Theory and Empirical Evidence Introduction Towards Capacity Understanding Ability to Obey Ability to Obey in Theory Vegetable Farmers Indicated Ability to Obey Ability to Obey and Farmers Pesticide Compliance Legal Knowledge Legal Knowledge in Theory Vegetable Farmers Indicated Legal Knowledge Legal Knowledge and Farmers Pesticide Compliance Chapter Conclusion Chapter 6 The Many Roads to Compliance: Explaining the Complexity of Patterns Contributing to Pesticide Compliance Introduction Literature Review and Conceptual Development Understanding the Patterns Approach Understanding the Ideal Typical Approach Methodology Understanding Compliance as Patterns of Variables Understanding Compliance as Ideal Types Chapter Conclusion Chapter 7 A Conclusion from the Chinese Pesticide Compliance Study Introduction Key Insights from the Pesticide Case Key Theoretical Insights Key Methodological Insights Regulatory and Policy Implications for Enhancing Pesticide Compliance in China Possibilities of Future Research References Appendix Summary

12 IV TABLE OF CONTENTS Samenvatting

13 LIST OF TABLES Table 2.1 Summary of compliance definitions in different fields Table 2.2 Explanations of compliance in some leading regulatory studies 24 Table 2.3 Standard models of why obey the law Table 2.4 Two ideal types of compliance paradigms (deterrence vs social norms) Table 2.5 Sampling method of vegetable farmers Table 2.6 Overview of sampling cases Table 2.7 Vegetable farmers compliance with pesticide regulations Table 3.1 Objective vs subjective operational cost-benefit calculation of compliance in leading regulatory compliance studies Table 3.2 Farmers perceived operational cost-benefit calculation of compliance Table 3.3 Perceived operational cost-benefit calculation of compliance by different types of farmers Table 3.4 The association between farmers perceived operational compliance calculation and pesticide compliance Table 3.5 Objective vs subjective deterrence in leading deterrence studies Table 3.6 Overview of farmers perceived detection probability Table 3.7 Overview of farmers perceived detection probability by different types of farmers Table 3.8 Overview of farmers perceived detection source Table 3.9 Overview of perceived detection sources by different types of farmers Table 3.10 Overview of third parties that farmers perceived detection probability originated from Table 3.11 Overview of perceived detection probability originating from the third parties by different types of farmers Table 3.12 Association between farmers perceived risk and their compliance behaviors...99 Table 4.1 Vegetable farmers perceived descriptive social norms of compliance

14 VI LISTS OF TABLES Table 4.2 Farmers perceived descriptive social norms of compliance by different types of farmers Table 4.3 Association between farmers indicated descriptive social norms and pesticide compliance Table 4.4 Vegetable farmers indicated morals Table 4.5 Farmers categorized moral discourses for use of types of pesticides Table 4.6 Farmers categorized moral discourses for disposal Table 4.7 Farmers categorized moral discourses for time interval Table 4.8 Farmers indicated morals by different types of farmers Table 4.9 Association between farmers morals and pesticide compliance Table 4.10 Association between farmers moral discourses and pesticide compliance for use of types Table 4.11 Association between farmers moral discourses and pesticide compliance for disposal Table 4.12 Association between farmers moral discourses and pesticide compliance for time interval Table 4.13 Farmers perceived general duty to obey Table 4.14 Farmers specific discourses on perceived general duty to obey Table 4.15 Farmers indicated general duty to obey by different types of farmers Table 4.16 Association between the farmers stated general duty to obey and pesticide compliance Table 4.17 Vegetable farmers perceived procedural justice Table 4.18 Farmers perceived procedural justice by different types of farmers Table 4.19 Association between farmers perceived procedural justice and pesticide compliance Table 5.1 Theory of ability to obey in relevant regulatory studies Table 5.2 Overview of farmers indicated annual family gross income Table 5.3 An overview of indicated annual family gross income by types of farmers Table 5.4 Association between annual family gross income and farmers pesticide compliance

15 LISTS OF TABLES VII Table 5.5 Theory of legal knowledge of relevant regulatory studies Table 5.6 Overview of farmers indicated legal knowledge Table 5.7 Overview of farmers indicated legal knowledge by types of farmers Table 5.8 Overview of farmers indicated sources of legal knowledge Table 5.9 Overview of farmers indicated legal knowledge sources by types of farmers Table 5.10 Overview of multiple sources of farmers legal knowledge Table 5.11 Overview of indicated legal knowledge translated by other sources by types of farmers Table 5.12 Association between farmers indicated legal knowledge and pesticide compliance Table 5.13 Association between different sources of legal knowledge and farmers pesticide compliance Table 6.1 Variable patterns in some recent regulatory compliance studies Table 6.2 The ideal types in some regulatory compliance studies Table 6.3 Simplified patterns for compliance to different pesticide behaviors Table 6.4 Simplified patterns for compliance as absent for different pesticide behaviors Table 6.5 Simplified ideal types for different pesticide compliance behavior Table 7.1 Key combinations of enforcement approaches and parties for different types of farmers and different pesticide norms Table B.1 Dependent variables and measurements Table B.2 Amoral calculation and measurement Table B.3 Legitimacy and measurement Table B.4 Capacity and measurement Table E.1 Measuring compliance and compliance variables for csqca Table F.1 Truth table for use of types of pesticides Table F.2 CsQCA solutions for use of types of pesticides Table F.3 Simplified pattern chart for use of types of pesticides Table F.4 Truth table for disposal of pesticide containers Table F.5 CsQCA solutions for disposal of pesticide containers

16 VIII LISTS OF TABLES Table F.6 Simplified pattern chart for disposal of pesticide containers Table F.7 Truth table for time interval Table F.8 CsQCA solutions for time interval Table F.9 Simplified pattern chart for outcome O

17 LIST OF FIGURES Figure 2.1 Components of structured conceptual framework Figure 2.2 Map of distributions of respondents (N, C and D counties in Hunan Province, China) Figure 6.1 Interaction of compliance categories for use of types of pesticides Figure 6.2 Interaction of compliance categories for container disposal Figure 6.3 Interaction of compliance categories for time interval Figure A.1 The legal framework of the pesticide case in China Figure A.2 The regulatory framework of the pesticide case in China

18 ACRONYMS AND ABBREVIATIONS AIC AQSIQ CCTV csqca CMS FAO fsqca DRC IP LAF LEEC MAAHF MLC MOA MOEP MOH NPC NPC-SC OECD PSC QCA SAIC SCA SFDA USITC USTR WHO Agricultural Inspection Center General Administration of Quality Supervision, Inspection and Quarantine China Central Television Crisp-set QCA Cooperative Medical System Agriculture Organization of the United Nations Fuzzy-set QCA Development Research Centre of the State Council Intellectual Property Legislative Affairs Office Law Enforcement Expertise Center Ministry of Agriculture, Animal Husbandry and Fishery Medium or Large Cooperative Ministry of Agriculture Ministry of Environmental Protection Ministry of Health National People s Congress NPC Standing Committee Organizations for Economic Co-operation and Development Politburo Standing Committee Qualitative Comparative Analysis State Administration on Industry and Commerce Small Cooperative or Association State Food and Drug Administration US International Trade Commission US Trade Representative World Health Organization

19 ACKNOWLEDGMENTS When sitting down to start writing my acknowledgments, I realized that it is time to look back at what I have done and at these to whom I am indebted over the past four years. Searching for an adequate dissertation topic is always a difficult issue for a young researcher. I feel so lucky that I could do a project I am interested in: pesticide compliance study in a non-western context. This topic connects what I have learned from my bachelor and master experiences in sociology with what I am interested in, namely law. It also connects a Chinese study with relevant theories and methods that have been developed in the West. Many people have contributed a great deal to this dissertation. First and foremost, I would like to thank my PhD supervisors, Professors Benjamin van Rooij, Wim Huisman, and Dr. Jeroen van der Heijden. Benjamin is someone who impresses you instantly, and you never forget him once you have met him. He is a great supervisor and researcher and one of the smartest people I know. I will never be able to properly express the thanks I owe him. He always enthusiastically supported and encouraged my work, and read and commented on all the first drafts. His comments and suggestions significantly improved the quality of the dissertation. When I look back at my preliminary research proposal drafted to apply for my PhD, I realized that it required great courage to accept me. So I thank Benjamin for believing in me and helping me throughout. Over the years, he has provided me with continuous support. He is always generous in sharing his insights and new ideas. His dedication as an academic researcher is impressive, and I hope that I can be as lively, enthusiastic and energetic as him, and that I will get the possibility to follow his example in the future. Wim has been supportive and has given me the freedom to conduct my research. He has provided insightful and enlightening ideas about the research. I am very grateful to him for providing a one-year courtesy privilege at the Department of Criminal Law and Criminology in the VU University of Amsterdam. I was deeply impressed by his humor, and enjoyed the many moments discussing aspects of culture with him in the VU. Jeroen is a great adviser. I am deeply

20 XII ACKNOWLEDGMENTS impressed by his ability to always see the major limitations and strengths of a paper. His philosophy of making papers understandable, avoiding complex structures, and seeing the relevance of a research focus influenced me a lot when refining my dissertation chapters. I am very grateful to him for his scientific advice and knowledge and many illuminating discussions and suggestions. I especially thank him for introducing me to the Qualitative Comparative Method and answering my questions with infinite patience. I also want to thank the members of my PhD committee, Prof. mr. A.J.C. de Moor-van Vugt, Prof. dr. ir. B.J. de Kloet, Dr. J.R. Popma, Prof. dr. ir. A.P.J. Mol, Dr. J.G. van Erp, and Prof. dr. S.Y. Tang for their helpful comments and suggestions in general. I also thank Eline Scheper and Inge de Bruyne for their daily help and friendship. Eline is always sweet and brings warmth and laughter. She has been helpful and supportive in my daily life and research. She helped me a lot to adapt to life in the Netherlands. She assisted with editing some of my dissertation language and provided lots of useful language suggestions. She also gave me birthday surprises and arranged special gifts for me during the past four years. Even in the year when I was doing my fieldwork in China, I still received her best wishes from Amsterdam. Inge is a fine and gracious lady. She helped me deal with some financial and practical aspects during my PhD. She also brought me warmth and greetings when I was sitting alone in the basement working on my research. A special thanks to Carla Weijers and Grace Sieberichs from P&O department of the Faculty of Law who helped me settle down in Amsterdam. They answered my questions with great patience and helped me arrange some practical things; and to Marc van Steekelenburg and Karin Vlietstra from the Staff Immigration Office who helped me solve my visa issues; and also to many other faculty and university staff members who helped me and made me feel welcome. A special thanks to Alison Fisher. She went patiently through all the papers. Her skillful editorial work and profound suggestions were invaluable. The members of the NCLC contributed immensely to my personal and professional time in the Netherlands. The group has been a source of friendships as well as good advice and collaboration. My sincere gratitude goes to Yu Chen, Annemieke van Dool, Haomiao Du, Ding Qi, Yedan Li, William Guo, Na Li, Yunmei Wu. Thank you for all your help and support during the past four years. Other past and present group members that I

21 ACKNOWLEDGMENTS XIII have had the pleasure to work with or alongside of are Xiang Cheng, Ruoxi Jiang, Kathinka Fürst, Baoli Zhu, Yifan Shi, Lu Feng, Rebecca Wang, Wanhong Zhang, and Weixing Chen. My time in the Netherlands was made enjoyable in large part due to the many friends that became a part of my life. I am grateful for my friends Guowen Dai, Xiang Wang, Jian Fu, Guohua Zeng, Jie Yu, Yang Song, Que Chen, Yang Liu, Jing Zhou, Zuozhen Liu, Zhongyu Lou, Fangyong Tang, Hairong Li, Xiaojing Wu, Xinchuan Liu, Rong Lu, Xu Zhang, Qiang Yang, Qian Yang and many others. Because of all of you, my life in Amsterdam became more colourful and interesting. A special thanks to the many vegetable farmers and villagers and agricultural officers who consented to my interviews during my fieldwork in They provided me with invaluable information and their personal experiences about pesticide knowledge and compliance. Particular thanks to my Master advisor, Zhongyuan Gu, who gave me insightful suggestions when I designed my interview questions and conducted my interviews during my fieldwork. I am also grateful to Xiaozhou Lu, xuemei Liu, xiaofei Ji, and Hailin Xiang for their friendship and help during my fieldwork. The financial support by the Chinese Scholarship Councile (CSC) is gratefully acknowledged. I would like to thank my parents and my brother. My hard-working parents have sacrificed their lives for my brother and myself and provided unconditional love and care. I love them so much. My brother has been supportive and encouraging. He has been my best friend and always brings much laughter into my life. Finally, I would like to express my gratitude and indebtedness to my boyfriend, Jinyang Fu, for his support and understanding during these years. He has been a true and great support and has unconditionally loved me during my good and bad times. The past four years have not been easy, both academically and personally. I felt so lucky to have him by my side, even when I was depressed and irritable. I believe that we both learned a lot from each other, which strengthened our commitment to each other and to life.