【作者】 杨博琼；

【导师】 陈建国；

【作者基本信息】 南开大学 ， 国际贸易学， 2010， 博士

【摘要】 经济全球化的发展加深了世界经济一体化,极大地影响着世界生产格局和消费模式,全球化也使一些过去本来是国内政策问题慢慢有了多边化趋势,环境问题即是其中一例。随着FDI(外国直接投资)对于东道国经济增长的巨大作用越来越显著,人们对于FDI同时带来的环境污染问题也越来越关注,目前,中国已成为世界上最大的外国直接投资引进国之一,那么FDI对于发展中国家的东道国尤其是我国的环境污染是起到了恶化还好转的作用?至今,对于该问题尚未得出统一的结论,一方面,例如著名的“污染天堂”理论等认为,跨国公司不断将污染生产转移到发展中国家,而使用这些技术的生产在本国是严格禁止的。另一方面,也有些观点认为跨国公司有利于环境保护,因为可以将清洁技术和管理手段转移到发展中国家。这一问题涉及到我国经济可持续发展的一个重要问题,具有重要理论和实际意义。为此,本文在建立一般性理论分析框架的基础上,使用我国的数据进行了实证检验。为了系统详尽的分析该问题,本文将其分为以下三个问题分别进行讨论,这三个问题相互联系又有所区别：首先,分析什么样的FDI进入东道国,是污染密集型的还是非污染密集型的。该部分运用FDI区位选择和国际贸易理论,将环境因素考虑进去,之后分别用我国1995年第三次工业普查的数据和2006年的工业数据进行了检验。从大约10年的数据跨度中,可以看出FDI已经从污染密集的行业逐渐转移至非污染密集行业。其次,分析微观层次上跨国公司在进入东道国后的环境业绩如何,比本土企业更好还是更差。该部分运用纵向产品差异模型,同时对在我国投资的190家企业进行了实地调研。结果表明,由于规模和母国因素等跨国公司环境业绩明显优于我国本土企业。最后,从宏观经济角度分析FDI对于东道国的环境效应影响机制,在综合各种直接和间接影响基础上,测算出FDI对于东道国环境污染的作用。根据国际贸易理论模型,经济活动对于一国环境影响分为四种效应,即规模效应,结构效应,技术效应和环境政策效应。FDI对于一国的影响最为显著的是资本积累和技术外溢作用,通过这两个直接作用,FDI再间接作用于四个效应。本文着重分析了FDI产生的资本积累和技术外溢作用所带来的环境效应。实证采用了我国省际1992至2008年的面板数据,应用联立方程技术进行分析。结论认为,FDI最终促进了经济的发展,带动了产业结构污染的更为密集化,虽然在污染密度上有所降低,但是不足以抵消前两种的正向作用,最终增加了污染排放总量。值得注意的,FDI的最终效应包含了本土企业受到影响之后的反应。所以,FDI的直接效应表明了外资企业的直接污染贡献,间接污染贡献表明了本土企业的污染贡献。FDI直接的污染效应有正有负,但是其间接效应为正,也就是说FDI的进入增加了本土企业总污染排放量增加了。总之,本文认为FDI的进入以非污染密集型行业为主,环境业绩优于本土企业,宏观结果测算虽然FDI进入增加了污染排放,但是还是由于其引起本土企业发展所致,基于此建议政府应该着重于本土企业的监管,并且关于外商投资产业指导目录,技术研发投入和产业结构政策提出了相应建议。更多还原

【Abstract】 Globalization developed the whole world economy integration, which affect the mode of production and consumption. Also, it made the problem of policy inner one country more complicated, like the problem of environment pollution. With the development of total amount of FDI in the whole world, people paid more attention on the environmental problem. Now China is one of the most FDI inflow countries in the world. Is the environmental effect of FDI positive or negative?From now on, there is no conclusion on it. On one side, like the famous "pollution heaven" indicated that, multinational enterprises transferred the pollution production chain into developing countries, which is forbidden in home countries. On the other side, some people thought they are positive to the environment, because they can transfer the clean technology and the management into host countries. This problem is very important to our country Sustainable development.So we develop the theory and use data of China to test it. To analysis it, we discuses it from there aspects:The first part analyzes the kind of FDI in host country was dense pollution industry or not. This part analyzes it with the theory of FDI and trade and use the Chinese data of 1995 and 2006 to test it. From this decade, we can conclude that FDI concentrate on heave pollution industry at first, but it began to transfer into light pollution industry.The second part analyzes the environmental performance of multinational companies and local ones to see which ones are better. This part analyzes the environmental performance of MNEs with a mathematical model of vertical product differentiation and tests it with an econometric model which used the data of Tianjin Economic-Technological Development Area convinced most of the propositions. The results indicate that because of the effect of scale and the host country, most Multinational Corporations’environmental performance is better than the local ones’.The third part analyzes the environmental effect of FDI from the macroeconomics. And then with the econometric method it tests the unique environmental effect of FDI. According to the theory on trade and pollution, this part concluded that there are four effects of FDI on host countries, which are scale effect, composition effect, technology effect and the environment regulation effect. FDI would affect host countries on technology spillover and capital accumulation. Through them FDI affect the four effects. Consequently, in the econometric method it should considered all of the effects to estimate it exactly. It used the panel data of Chinese province from 1992 to 2008. in indicated that:firstly, FDI would increase the pollution emission, make the environment even worse. FDI increases the capital accumulation, which enlarge the economy scale and make industry structure more badly. FDI also developed technology, which decreased the emission intensity. The effect of emission intensity cannot counteract the effects of scale and composition. So, FDI would increase the pollution emission. But, we should pay attention on the total environmental effect of FDI, which included the local enterprises pollution emission. So, we estimated it again, some of the direct effects of FDI are positive, some are negative. The indirected effects are all positive, which means that local enterprises increase the pollution.All in all, we concluded that FDI would concentrated in light pollution industry, and they perform better in environmental management than local ones. With the result of macro aspect, although FDI would increase the pollution emission, it is because of the development of local ones. So according to the results, we suggested that the government should pay more attention on regulation on local enterprises, FDI guide catalog, industry structure and technology research and development.更多还原