Being on the frontline of China’s ambition to internalize hi-tech supply chains (e.g., “Made in China 2025” campaign) and on the cusp of global tech competition (e.g., U.S.-China tensions), much strategic significance is given to the electronics hardware innovation cluster in Shenzhen, better known as “the world’s hardware capital”. This study investigates the latest dynamics of Shenzhen’s electronics cluster from the perspectives of agglomeration, institutions, and the built environment. The study found that despite different interpretations of the trade-off between agglomeration economies and diseconomies by both firms and analysts, increasingly diverse types of firms and intra-firm functions spillout from Shenzhen to surrounding areas, such as Dongguan and Huizhou in the Greater Bay Area. Institutionally the dissertation found that recent major external context changes, namely the pandemic, trade war, and financial and property economy fever, have not significantly changed the innovation culture in Shenzhen. As for the built environment dimension, in the context of policy thrusts, market forces, and stakeholder interests, gentrification of affordable rental housing in urban villages only happens in a modest way, without significant displacement of labor forces serving Shenzhen’s electronics industry. Policy implications include: (i) More administrative and planning co-operation should occur between Shenzhen and surrounding municipalities, given the increasingly diverse types of firms and intra-firm functions spilling out from Shenzhen; (ii) For local government, cultivating innovation culture in a cluster is a long-term task, which requires persistent building of a favorable policy environment for many years; (iii) In terms of built environment policy-making in innovation clusters (both living and working environments), more attention should be paid to implementation mechanisms; (iv) Areas surrounding Shenzhen, potentially the future spatial focus for Shenzhen’s future innovation, should be of higher policy significance. Theoretical insights include: (i) Better understanding of mechanisms underlying the spatial growth of clusters at the sub-regional scale; (ii) The importance of the long-term in the formation of cluster institutions and culture, even in the face of short-term strong context changes; (iii) The built environment is both a driver and product of industrial clustering; (iv) Integrated study of the agglomeration, institutional, and built environment dimensions of cluster dynamics will yield new insights.

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.

Peri-urbanization is a process in which previously rural areas on the outskirts of established cities become more urban in character. This process is of great significance in China, because peri-urbanization is often manufacturing and Foreign Direct Investment (FDI) driven. After witnessing the dramatic development of the Eastern Coastal Region from the mid-1980s, China recently changed its regional development focus to interior regions to pursue more spatial equity within the nation. Wuhan, as the most populous city in central China, is experiencing significant peri-urbanization. The thesis focuses on Dongxihu District, a representative peri-urban area in Wuhan Municipality.

To explore peri-urbanization in Dongxihu, this study first documents the metrics of ongoing peri-urbanization in the District from land use, economic, demographic and institutional perspectives. Causality is explored by relating peri-urban outcomes to drivers within the framework of research questions, namely: (i) What is driving peri-urban change in Dongxihu? (ii) Which drivers of peri-urbanization in the District are most important? (iii) How can Dong Xi Hu's peri-urbanization process and outcomes best be characterized? and (iv) What policy implications can be drawn from Dong Xi Hu's peri-urbanization experience?

The primary conclusion is that Dongxihu's peri-urbanization is primarily manufacturing driven, resembling previous first generation peri-urbanization on the coast more than the more diverse peri-urban outcomes now emerging in wealthy coastal metropolitan areas, e.g., Shanghai.

Beijing, in its Twelfth Five-Year Plan for the National Economic and Social Development of Beijing (2011 – 2015), affirmed its intention to become a leading “World City with Chinese characteristics.” This research is based on an assessment of the proposed strategies contained within the 12th Five-Year plan that are grounded in the set of indicators (variables) closely associated with world city status. Indicator selection (e.g., percentage of foreign born population) is based on review of shared characteristics of world cities (e.g., Tokyo, New York, Singapore) constrained by availability of Beijing data; plus the significant academic literature on the topic from leading scholars such as Peter Hall. Using these indicators, Beijing’s baseline conditions and associated trends are established for assessment in a Status-Quo Scenario. Thereafter, interventions proposed by the Beijing Municipality to achieve world city status are evaluated.

The results of this assessment will inform Beijing’s policy-makers regarding potential obstacles, pitfalls, or potential disruptions on the road to premier ‘World City’ status, and emphasize the need to undertake peremptory interventions and/or prepare contingency responses, as well as, inform stakeholders and decision-makers of critical and non-critical interventions recommended to achieve World City status by the year 2030.

Targeted growth is necessary for sustainable urbanization. There is a pattern in China of rapid development due to inflated projections. This creates "ghost towns" and underutilized urban services that don't support the population.

In the case of Taiyuan, this industrial third-tier city of 4.2 million people. A majority of the newer residential services and high-end commercial areas are on the older, eastern side of the city. Since 2007, major urban investments have been made in developing the corridor that leads to the airport, including building a massive hospital, a new sports stadium, and "University City". The intention of the city officials is to encourage a new image of Taiyuan- one that is a tourist destination, one that has a high standard of living for residents. However, the consequences of these major developments might be immense, because of the required shift of community, residents and capital that would be required to sustain these new areas. Much of the new development lacks the reliable and frequent public transit of the more established downtown areas.

Do these investments in medical complexes, sports stadiums and massive shopping centers create new jobs that impact the income disparity, or do these new areas take years to fill, creating vacuums of investment that remove funding from areas with established communities? Can Taiyuan move successfully to a post-industrial economy with these government interventions, or is it too much too soon?

By examining demographic data from 2000, 2007, 2009, 2011, and 2013, research on sustainability assessments in Chinese cities (Lu Jia), and translated government publications detailing the urbanization efforts in Taiyuan, I will assess the results of the urbanization changes instituted by the new mayor, Geng Yanbo. My thesis will evaluate the success and failures of these policies and the implications for Taiyuan.

The sustainability impacts of the extension of the Mass Rapid Transit (MRT) system in suburban Beijing are explored. The research focuses on the neighborhood level, assessing sustainability impacts in terms of greenhouse gas emissions, air pollution, and energy consumption. By emphasizing suburban neighborhoods, the research targets the longest commuting trips, which have the most potential to generate significant sustainability benefits. The methodology triangulates analyses of urban and transportation plans, secondary data, time series spatial imagery, household surveys, and field observation. Three suburban neighborhoods were selected as case studies. Findings include the fact that MRT access stimulates residential development significantly, while having limited impact in terms of commercial or mixed-use (transit-oriented development) property development. While large-scale changes in land use and urban form attributable to MRT access are rare once an area is built up, adaptation occurs in the functions of buildings and areas near MRT stations, such as the emergence of first floor commercial uses in residential buildings. However, station precincts also attract street vendors, tricycles, illegal taxis and unregulated car parking, often impeding access and making immediate surroundings of MRT stations unattractive, perhaps accounting for the lack of significant accessibility premiums (identified by the researcher) near MRT stations in suburban Beijing. Household-based travel behavior surveys reveal that public transport, i.e., MRT and buses, accounts for over half of all commuting trips in the three case study suburban neighborhoods. Over 30% of the residents spend over an hour commuting to work, reflecting the prevalence of long-distance commutes, associated with a dearth of workplaces in suburban Beijing. Non-commuting trips surprisingly tell a different story, a large portion of the residents choose to drive because they are less restrained by travel time. The observed increase of the share of MRT trips to work generates significant benefits in terms of lowered energy consumption, reduced greenhouse gas and traditional air pollution emissions. But such savings could be easily offset if the share of driving trips increases with growing affluence, given the high emission intensities of cars. Bus use is found to be responsible for high local conventional air pollution, indicating that the current bus fleet in Beijing should be phased out and replaced by cleaner buses. Policy implications are put forward based on these findings. The Intellectual Merit of this study centers on increased understanding of the relationship between mass transit provision and sustainability outcomes in suburban metropolitan China. Despite its importance, little research of this genre has been undertaken in China. This study is unique because it focuses on the intermediate meso scale, where adaptation occurs more quickly and dramatically, and is easier to identify.