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Energy Reports 8 (2022) 68–76

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7th International Conference on Green Energy Technologies, ICGET 2022 July 14–16, 2022,
Frankfurt, Germany

Study on the policy of air pollution control in Chengdu–Chongqing

Economic Circle, China
Keyi Gou, Yan Liu ∗
School of Public Affairs and Administration, University of Electronic Science and Technology of China, Chengdu, 611731, China
Received 4 October 2022; accepted 6 October 2022
Available online 21 October 2022

Abstract
The Chengdu–Chongqing Economic Circle (CCEC) is designated the fourth economic growth pole in China by the Chinese
central government. The rapid development of urban agglomeration has brought many environmental problems. Carrying out
cross-regional coordinated treatment of air pollution is the only way to promote the high-quality development of the regional
economy. This study starts with the 632 policy texts on air pollution control issued by the regional governance units from 2000
to 2021. We have developed a three-dimensional framework for the study of policy texts based on the types of tools, the intended
effect, and the timing of the policies issued. Thus, we explore the policy path of collaborative governance in late-development
regions and draw research conclusions to provide policy suggestions for the coordinated development strategy of new energy
popularization in the future. It is found that the regional governance units in CCEC have an obvious policy path dependent
on the mandatory specification policy tools. In contrast, the use of multivariate cooperation and market configuration is less.
Nevertheless, they gradually attract the attention of the policy document issuers. To better realize air pollution governance
requires the regional governance units to control the frequency of policy tools to avoid diminishing marginal benefits. Secondly,
to form a policy combination of air pollution precision governance. Finally, to value the role of renewable energy in deep air
pollution control.
© 2022 The Author(s). Published by Elsevier Ltd. This is an open access article under the CC BY-NC-ND license
(http://creativecommons.org/licenses/by-nc-nd/4.0/).
Peer-review under responsibility of the scientific committee of the 6th International Conference on Advances on Clean Energy Research, ICGET, 2022.

Keywords: Chengdu–Chongqing Economic Circle; Policy text analysis; Policy tool analysis; Renewable energy

1. Introduction
China’s air pollution control has always been a hot field, but most research focuses on the eastern coastal areas.
Through exploring problems related to Chengdu–Chongqing Economic Circle (CCEC), this study hopes to enrich
the research results for developing regions of cross-regional collaborative governance and provide policy governance
suggestions for renewable energy popularization in the future. Given the spatial spillover of air pollution, the
traditional administrative forces of the government within a single grass-roots administrative jurisdiction cannot
∗ Corresponding author.
E-mail address: Liuyan7720@uestc.edu.cn (Y. Liu).

https://doi.org/10.1016/j.egyr.2022.10.116
2352-4847/© 2022 The Author(s). Published by Elsevier Ltd. This is an open access article under the CC BY-NC-ND license (http:
//creativecommons.org/licenses/by-nc-nd/4.0/).
Peer-review under responsibility of the scientific committee of the 6th International Conference on Advances on Clean Energy Research,
ICGET, 2022.
K. Gou and Y. Liu Energy Reports 8 (2022) 68–76

effectively control pollution (Tao 2014; Yan et al. 2020) [1,2]. Moreover, the degree of development and pollution
causes are different from one region to another. Therefore, it is of vital practical and theoretical significance to
study regional policy governance paths and find the balance between universality and particularity.
Sichuan and Chongqing live adjacent to each other, and the ecological environment is shared. The region’s
population is more than 90 million, and its GDP is more than 6 trillion RMB. However, compared with China’s
other three urban agglomerations, the regional development potential has not been fully realized. This situation
also reflects that the region is still in the early stage of a typical urban agglomeration development. Therefore, the
exploration and research on the governance path in this area have practical significance for the late-developing areas
in dealing with economic development and environmental protection issues. It provides a necessary reference value
for improving regional environmental policy systems and governance mechanisms. Also, it provides essential policy
governance value for changing the energy structure and other deep air pollution control methods.
This paper regards the CCEC as a complete governance subject. With the help of the 3-dimensional analysis
model, this study makes a quantitative study on the policy texts for the coordinated control of air pollution in
CCEC. The remaining of this paper organizes as follows: Section 2 reviews related literature. Section 3 introduces
data sources and the research framework. Section 4 shows the analysis result and discussion. Moreover, Section 5
summarizes the conclusions and suggestions.

2. Literature review
Air pollution has the characteristics of diversity, stock accumulation, unbounded movement, and negative
externalities [3]. It has produced a significant obstacle to the sustainable development of urban areas. There is
a wide range of international research on air pollution control theory. In recent years, scholars (2018) in the field
of air pollution control are also concerned about various sectors such as new energy utilization, biodiversity, global
warming, and ecological assessment [4].
In the field of air pollution control theory, it is often exposed to the policy tool theory and collaborative
governance theory. First of all, as for the classification of the types of policy tools, there are hundreds of schools of
thought contending in the academic field: Gu et al. (2007) supported incentive, control, and information transmission
[5]. In terms of market tools, Chen (2009) considered social tools and business administration tools [6]; For
environmental governance, Luo et al. (2011) recognized market regulation, cooperation, and commanded control
policy tools [7]; OECD (2014) division: economic incentive tools, persuasion tools, and command control tools [8];
Michael et al. (2006) used the model of the spectrum with the influence degree as the standard of measurement,
which is divided into three types: the mixed, the voluntary and the mandatory [9].
In the theory of collaborative governance in air pollution control, Cui et al. (2020) believed that it is necessary
to take the country as the core and the legal system based, to clarify the interests of distributing responsibilities and
break the administrative shackles [1]. Also, Tao (2014) emphasized that regional environmental governance should
shift from local governance to cooperative governance, give full play to the initiative of all regions, and attach
importance to the joint development within the region [2]. Yan et al. (2020) believed that the specific cooperation
system should consider the coordination and integrity to establish the regional cooperation between the three
relations of power, responsibility, and benefit [10]. In addition, Ma et al. (2021) argued that environmental protection
and the promotion of new energy sources should be used as an entry point to innovate systems and mechanisms [11].
Provan and Kenis (2008) believe that there are three model structures in the collaborative governance network: NAO,
SG, and NLO [12]. Although new regionalism scholars (2007) emphasize the importance of cooperation [5], they
(2016) believe they should pay attention to non-governmental cooperation and gradually replace intergovernmental
cooperation [13].
In governance practice, countries also have their own strategies. Most western developed countries have shown
a government-led model for air pollution control. The United States (1996) has a triangular cooperation mode of
“government, industry, and research”. This model is led by the government to support relevant enterprises, units and
research institutes to achieve a cooperative and collaborative model of research, production and policy [14]. In the
seventh phase of its scientific research framework and the “2050 Low-carbon Economy Roadmap” provide policy
arrangements and financial support for research institutes and enterprises to improve productivity and use clean
energy. Europe (2018) has pointed out that it will increase the development of environmental protection technologies
such as haze prevention and increase the investment in green materials and energy [15]. In the relevant fields, Japan
(2006) has formulated medium-and long-term air pollution prevention and control strategies and practical, specific
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practical plans: first, government establish the concept of innovation in society; second, government optimize its
construction and governance model; finally, Japan implement an economic incentive system [16]. At the same time,
Japan has adopted an inclusive strategy for advanced foreign technologies and management concepts for air pollution
control, actively absorbing foreign experiences and learning lessons at the same time, so that it can reduce the gap
with foreign countries in related fields and maintain its leading position.
Research on air pollution control focuses on problems and benefits. Li (2020) supposed the goal responsibility
has a two-sided impact on the air governance of urban agglomerations, mainly because of the pursuit of short-
term political achievements, and lacks the fine-tuning of policies [17]. Suo et al. (2021) recognized as regional
governments’ functions, administration, and geography form multi-boundaries, and governance should also change
from unilateral to multilateral [18]. In the aspect of benefits, Dong et al. (2017) realized that the coordinated control
of air pollution does not only have positive externalities to the ecological environment but also can spill over to
society and economic development [19]. With the help of a cost–benefit analysis, Ma et al. (2019) found that
the health benefits obtained in the region were much higher than the cost of pollution control [20]. Fan et al.
(2016) believed that the satisfying results of financial subsidies, the collection of enterprise emission fees, and the
establishment of the emission right trading platform show that the contract-led cooperation mode is better than the
bureaucratic and network governance model [21].
We can see there are many research achievements on air pollution control at home and abroad while lacking
micro attention and sound from developing areas in China. This paper hopes that based on the results of previous
research, with a complete perspective and a large number of policy texts, with the help of analysis tools, and then
explore the path of CCEC in-depth and scientifically.

3. Research methods and data sources

3.1. Data source and analysis tool

The collection process of the policy text in this study is mainly based on the literature reading to determine the
search keywords: atmosphere, air, pollution, treatment, and coordination. We obtained the original policy texts from
the database of Peking University’s official and the websites of both central and local governments.
The quantitative analysis of policy tool content relies on Nvivo12. This data processing tool can meet researchers’
diverse data visualization requirements and realize it through cloud maps, cluster analysis, geographic visualization,
and thinking map. In addition, Nvivo12 has coding comparisons and projects to support within-team collaboration
to help researchers reduce workload and improve research efficiency. Therefore, the software is an excellent choice
for researchers to help users organize, analyze and refine unstructured interview content and execution data.

3.2. Research framework

This research proposes a three-dimensional framework to analyze the policy tools used in air pollution control
practice. The X-axis is from the dimension of policy variety, which is generated from the research of Chen
(2009) [6]. The Y-axis is from the dimension of policy goals, which is divided into prevention, governance, and
consolidation from the research of Xu (2007). The Z-axis is from the dimension of time, including the “low
wandering period”, “high governance period”, and “stable development period”. Details can be seen in the following
Fig. 1.

4. Result and discussion

4.1. X-dimension analysis result

The mandatory specification policy tools (see Table 1) consist of six categories of secondary coding, and the most
significant proportion is the environmental governance process tool (32.8%). The government emphasizes emission
management in the governance process and establish an administration system. The second-largest proportion of the
environmental governance specification tools (26.8%) emphasizes solving specific and urgent problems rather than
“prevention + management”. In addition, as the governance objectives incline to prevention and consolidation, the
government gradually emphasizes the organization’s internal management (14.3%), the formulation of emergency
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Fig. 1. Three dimension framework of policy tools.

response (11.3%), essential planning (10.9%), and green environment construction tools (4%). It reflects that the
government pays more attention to the standardization of governance and the refinement of governance links.
Mandatory normative policies are often more efficient, so the proportion of the government using mandatory
normative policy tools is getting higher and higher. However, the dependence on its path seriously affects the
long-term treatment of air pollution.
From the usage of multivariate cooperation tools (Table 2), information disclosure and social member partic-
ipation accounted for nearly half of this tool (48.9%). It reflects that governments gave such positive responses
to public demands. In addition, intergovernmental governance (22.8%) and technological innovation and standard
formulation (22.1%) have also become the two of priority in the governance process. The reason is that the CCEC
is located in the Sichuan Basin, which belongs to two different provincial administrative divisions. So cross-regional
prevention and control must be implemented in air pollution control (19.76%). While the improvement of science
and the establishment of the standards reflect that science is not only the first productive force in economic and
social development but also the first driving force in the solution of governance problems (20.44%). The environment
is a kind of public good, to avoid the phenomenon of rent-seeking, which requires the introduction of third-party
environmental inspection agencies allowing them to play their unique role and assume their social due and ecological
responsibilities. Multivariate collaboration policy tools usually play a vital role in the operation of environmental
governance and government affairs due to the particularity of atmospheric governance.
The central part of the market configuration tools (Table 3) is the economic and ecological coordination (61.6%).
One development direction of the economy is to realize circular economy production (4.98%), continuously
reduce production costs, and produce new economic growth points (13.29%). Based on economic and social
development, the beneficiaries should provide ecological compensation (3.63%) for poverty alleviation (0.45%) and
rural revitalization to achieve a virtuous social and economic development cycle. In addition, tax and financial
tools (30.4%) provide more financing channels for the ones who meet the funding gap in the process of air
pollution control. Of course, severe punitive fines and pollution management are also essential links, and these
tools have partly eased some of the government’s financial pressure (14.35%). Furthermore, such tools can be
better implemented at lower execution costs than mandatory specification tools.
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Table 1. Mandatory specification tools analysis.

Tertiary code Secondary code Primary code Times Percentage
Vehicle traffic management 151 8.50%
Fuel management 86 4.64%
Environmental governance Special industries policy provisions 3 0.15%
specification Tool Credit records 6 0.29%
(548;26.8%) Catering prevention and control 88 4.79%
Prevention dust 100 5.62%
No burning and incineration 114 6.30%
Construct green buildings 24 1.17%
Environmental green
Ecoengineering 12 0.59%
construction tools (82;
Infrastructure construction 16 0.78%
4%)
Green, red line 30 1.47%
Site selection requirements 32 1.61%
Technical policies for prevention and control 26 1.37%
Mandatory specification Environmental essential of hazardous waste pollution
policy tools (2046; planning tool (222; 10.9%) Formulate environmental protection plans 25 1.27%
100%) Environmental protection identification 18 0.88%
management system
Key management objects 84 4.45%
Models selection 37 1.91%
Law enforcement and supervision 90 5.23%
EIR 27 1.52%
Social pollution sources investigation 181 12.81%
Environmental governance Improving regulatory capacity 48 2.69%
process tools (671; 32.8%) Establish an environmental management 65 3.47%
system
Access, approval, and exit mechanism 67 3.76%
Emission management 122 7.23%
Comprehensive improvement of 71 3.67%
environmental pollution
Environmental Work objectives assessment 119 6.84%
organization internal tools Organizational responsibility 162 8.99%
(292; 14.3%) Clean government 11 0.68%
Emergency management 81 4.01%
Environmental emergency
Make a pre-arranged plan 43 2.10%
response tools (231;11.3%)
Forecast and prediction 107 5.62%

Table 2. Multivariate cooperation tools analysis.

Tertiary code Secondary code Primary code Times Percentage
Social operation of environmental inspection 7 1.19%
Third-Party governance of
institutions
social enterprises (36; 6.1%)
Third-party treatment of environmental pollution 14 2.39%
The primary responsibility of the enterprise 15 2.56%
Multivariate cooperation Intergovernmental governance Exchanges and cooperation 18 3.07%
tools (587; 100%) (134; 22.8%) Joint prevention and control 116 19.76%
Technical improvement and The industry formulates and improves relevant 10 1.70%
standard formulation (130; standards
22.1%) Training courses on scientific research topics 120 20.44%
Publicity and education 135 23.00%
Information disclosure and
Public opinion feedback and supervision 36 6.13%
participation of Members of
Joint participation 46 7.84%
society (287; 48.9%)
Information disclosure 70 11.93%

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Table 3. Market configuration tools analysis.

Tertiary code Secondary code Primary code Times Per
Impose a fine 22 3.32%
Market punishment tool
Pollution charge 5 0.76%
(53; 8%)
Trading of pollutant discharge rights 26 3.93%
Foster markets for green industries 67 10.12%
Improve the economic structure 88 13.29%
Economic and ecological Circular economy development 33 4.98%
Market configuration coordination tool (408; Ecological compensation mechanism 24 3.63%
tools (662; 100%) 61.6%) Green poverty alleviation 3 0.45%
Eliminate backward production capacity 96 14.50%
Clean production 97 14.65%
Social finance 21 3.17%
Tax and financial Tax support 45 6.80%
instruments (201; 30.4%) Funding guarantee 95 14.35%
Green credit and finance 40 6.04%

4.2. Y-dimension analysis result

We observed and compared them from both horizontal and vertical dimensions. With horizontal comparison
(Table 4), it is clear that the government is particularly dependent on the mandatory specification policy tools.
However, we find that the mandatory specification policy is less effective in consolidating environmental governance,
which is short-term and has to work with other policy tools.

Table 4. Different expected policy effects correspond to different types of policy tools.
Tools | effects Prevention Governance Consolidation Total
Multivariate cooperation 266 277 196 739
Mandatory specification 433 494 290 1217
Market configuration 233 259 183 675
Total 932 1030 669 2631

In the multivariate cooperative tools (Table 5), we can find that this kind of policy can achieve the policy
objectives of governance (37.48%) and prevention (35.99%) by pooling the force and resources of each subject.
Although the consolidation role of environmental governance is still limited (26.52%), multivariate cooperation tools
are also the most balanced tools in the three policy tools to achieve the expected policy goals. This shows that no
matter at any stage of air pollution control, the government must rely on the joint participation of various social
units’ forces and work together to achieve expectations of the policy goals.

Table 5. Different expected policy effects correspond to the same policy tool.
Tools | goals Prevention Governance Consolidation Total
Multivariate cooperation 35.99% 37.48% 26.52% 100%
Mandatory specification 35.58% 40.59% 23.83% 100%
Market configuration 34.52% 38.37% 27.11% 100%

The market configuration tools fully reflect the continuity of its strong policy effect. In achieving consolidation
goals, they have the advantages that the other two types of policy tools do not have. They can realize the governance
effect through market means (38.37%) and maintain the governance achievements after completing governance
(27.11%) to achieve the final expected effect of environmental governance. However, the process of pollution
prevention is slightly unsatisfactory (34.52%) because the CCEC is currently in the transformation stage of economic
structure upgrading. Combined with the previous neglect of cleaner production, the market allocation of policy tools
had not played an ideal preventive role at present.
From the vertical comparison (Table 6), first, we can also see that the achievement of prevention mainly relies
on mandatory normative policy tools (46.46%), while multivariate cooperation policy tools (28.54%) and market
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Table 6. Different policy tools corresponding to the same expected policy effect.
Tools | goals Prevention Governance Consolidation
Multivariate cooperation 28.54% 26.89% 29.30%
Mandatory specification 46.46% 47.96% 43.35%
Market configuration 25.00% 25.15% 27.35%
Total 100% 100% 100%

configuration tools (25%) can also achieve their goals to some extent. Second, the pursuit of governance effect is
still entirely dependent on mandatory specification policies (47.96%). This also reflects the correspondence between
policy objectives and types of policy; Third, in the realization of the consolidation role, it still relies on mandatory
specification (43.35%). All in all, mandatory specification policy tools still carry the heavy burden of achieving this
goal. In the face of any policy goals, the governments of CCEC have produced a significant policy path dependent
on the mandatory specification policy tools. So, they lack the governance art of flexible use of policy combination.

4.3. Z-dimension analysis result

We can find that government pays less attention to air pollution from 2000 to 2012 in CCEC from Fig. 2.
Although the number of documents issued by the government in other years is less than 20 in most years, the
number of policy texts jumped suddenly in 2007. Thus, the first turning point was that major pollutants declined in
2007 across the country, including the CCEC. The situation of governance was significantly improved at the end of
the 18th National Congress of the CPC in 2012. At the meeting, the CPC Central Committee proposed the overall
plan of “five-sphere integration”.

Fig. 2. Number of air pollution control policies issued by governments in CCEC during 21 years.

In response to the significant social concerns about air pollution the following year, The State Council issued
the Action Plan for Air Pollution Prevention and Control, which set out the goal of air pollution control for the five
years from 2013 to 2017. In the same year, Sichuan and Chongqing issued their own response policies. All these
documents have clearly stated the need to establish a Sichuan-Chongqing air pollution coordinated control system,
implement the coordinated control of air pollution sources, and build an emergency response system integrating
regional, provincial and municipal linkage. From 2013 to 2017, to ensure the effectiveness of air pollution within
the specified time limit, the number of policy texts on air pollution prevention and control issued by all units
in the CCEC surged and reached its peak in 2017. After achieving the overall goal of air pollution control, the
consolidation and continuation of the control results have become new control focuses.
In 2018, the CPC Central Committee and the State Council once again issued a programmatic document to
maintain governance achievements. At the same time, China also revised the law of the people’s Republic of China
on the prevention and control of air pollution for the second time. Furthermore, promoting ecological civilization
is written into the Constitution of the PRC. In CCEC, the people’s congresses of the two provinces have made
special legislation on air pollution control and signed many policy agreements on joint prevention and control of air
governance. From the Fig. 2, the number from low to explosive growth, and then it had a steady decline. This reflects
the environmental control of air pollution prevention and control in CCEC from no attention to campaign-style
governance, and finally gradually building a legal, reasonable, and long-term air pollution treatment system.
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5. Conclusions and suggestions

5.1. Conclusions

This research attempts to explore the cross-regional air pollution control situation in western China based on the
analysis of more than 600 policies during the past 20 years. Sichuan and Chongqing are selected as the research
areas because they are quite typical and representative. With the establishment of the three-dimensional framework,
this study makes further analysis of the policies adopted from three perspectives: policy tools, policy effects, and
execution time. For the policy tools, we found that vehicle management and prohibition of open burning are the
main treatment methods for pollution sources. For the policy effects, the prevention and government of atmospheric
governance in CCEC should be paid more attention to policy formulation. For the execution time, the cooperation
of local governments has gone through a dynamic change from separation to cooperation.

5.2. Policy suggestions

Based on the analysis, we put forward a few suggestions accordingly. (1) Regulation and construction of
governance system. The focus on policy objectives should be more on prevention and consolidation to avoid
diminishing marginal benefits of policy introduction. We should strive to reasonably match a set of policy tools
and set policy goals to form a scientific and complementary governance system to avoid policy conflict. (2) Adopt
diversified policy tools. It is necessary to change the severe path dependence of the regional government on the
compulsory specification policy tools and adopt good policy combinations to accurately implement policies to
achieve the optimal solution according to the actual situation of problems in governance. (3) Emphasis on the
utilization of renewable energy. Promoting and using renewable energy is the only way to future air pollution
control. The way forward for coordinated air pollution management is how to promote and use cleaner production
to achieve the goal of carbon peaking. The energy revolution is regarded as a critical production change to grasp
the transformation window and take advantage of the situation to realize the coordinated development of industry
and agriculture, urban and rural areas, and economy, nature, and society.

Declaration of competing interest

The authors declare that they have no known competing financial interests or personal relationships that could
have appeared to influence the work reported in this paper.

Data availability
Data will be made available on request.

Acknowledgments
This research was funded by Humanities and Social Sciences Research Fund of Ministry of Education of the
People’s Republic of China (18YJC630105) and Social Science Fund of the Science and Technology Department
of Sichuan Province (2021JDR0218). The authors are grateful to all peer reviewers for their reviews and comments.

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