【作者】 牛海霞；

【导师】 张小蒂；

【作者基本信息】 浙江大学 ， 政治经济学， 2010， 博士

【摘要】 FDI对促进中国出口、经济增长和产业升级发挥了重要作用,废弃物进口也解决了一些地区和行业的能源和原材料短缺问题。但如果我们将环境容量作为资源要素,将环境资源禀赋纳入H-O模型,发现现实中的跨国污染转移已影响到中国的可持续发展,并且伴随中国经济的不断增长,跨国污染转移形式已由直接进入转为渗透进入,渗透特征由“北南单向渗透”发展到与“东西单向渗透”并存,由传统制造业的伴随性渗透发展到高新技术行业的隐蔽滞后性渗透等,但目前学者还没有对此进行研究并给出理论解释,因而也就忽略了要素跨国流动引致渗透污染的比较利益扭曲问题。鉴于此,本文立足跨国污染转移现状,从跨国污染转移对中国的渗透特征及时空演变出发,沿着贸易和投资两条主线展开对渗透特征的理论和实证分析,而跨国污染转移对中国的渗透特征形成机理主要是信息障碍,因此化解信息障碍的制度安排是治理跨国污染转移的关键,通过矫正信息扭曲进而矫正利益扭曲,达到对外开放与环境保护的良性互动。跨国污染转移对中国的渗透可归结为伴随性、隐蔽滞后性和产业链污染三大特征：一是伴随性渗透特征。跨国污染转移伴随中国经济增长具有在全球分布的由发达国家向发展中国家的“北南单向渗透”特征,在中国国内同时具有由东部沿海地区向中西部地区的“东西单向渗透”特征。废弃物进口对中国的“伴随性”渗透污染主要表现在禁止进口的有害废弃物以自动类或限制类固体废物进口名义夹带、欺骗或走私引致的渗透污染。伴随外资准入制度和技术引进的渗透污染主要表现在污染密集型行业和外资垄断行业,部分高新技术行业也具有伴随性渗透特征。二是隐蔽滞后性渗透特征。通过瞒报、夹带等手段以可资源化废弃物名义走私有害废弃物,以及大部分可资源化废物在堆放、再加工、消费等过程产生隐蔽滞后性渗透污染。由于高新技术特征掩盖了一些环保方面的隐患,因此FDI进入高新技术行业引致的隐蔽滞后性渗透污染更严重,其危害难以计量甚至不可逆。三是产业链渗透特征。不仅传统制造业、劳动密集型加工贸易环节,而且高新技术行业,特别是IT产品制造的层层外包致使“产业链渗透污染”包括IT产品的整个生产过程到最后的报废。可再生和不可再生资源加工行业也存在产业链渗透特征。本文在以下方面有创新性探索：第一,研究视角和方法的创新。从要素的跨国流动及时空演变视角探讨跨国污染转移对中国的渗透特征,从信息扭曲视角分析跨国污染转移对中国的渗透特征形成机理并提出化解信息障碍的制度安排有一定的理论和实际意义。研究方法除采用理论分析和一定的定量分析外,因隐蔽滞后性渗透污染、产业链渗透污染缺乏统计数据,还大量采用典型案例剖析跨国污染转移对中国的渗透特征。第二,从贸易和投资两条途径逐层剖析跨国污染转移对中国的渗透特征。一方面,废弃物进口对中国的渗透污染具有伴随性、隐蔽滞后性和产业链污染渗透特征,而可资源化废弃物“合法”进口对中国的渗透污染更具隐蔽滞后性。另一方面,跨国污染行业转移对中国的渗透特征主要表现在传统制造业的“伴随性污染”渗透特征、高新技术行业的“隐蔽滞后性污染”渗透特征、加工贸易及资源加工行业的“产业链污染”渗透特征。而中国IT行业FDI引致土壤污染典型案例分析进一步验证了跨国污染转移对中国的渗透主要通过投资途径,而土壤污染是中国目前面临的主要环境问题。第三,揭示了利益扭曲引致信息扭曲是跨国污染转移对中国的渗透特征形成的主要机理,因此治理跨国污染转移需从化解信息障碍出发,并最终协调跨国污染转移相关利益主体的利益关系。更多还原

【Abstract】 Foreign capital has played an important role in promoting China’s exports, economic growth and industrial upgrading. In the meantime, waste imports have also helped to solve shortages of energy and raw material in some regions and industries. However, if we regard the environmental capacity as a production factor and incorporate the environment resources into the H-O model, we would find that the present international pollution transfer has affected China’s sustainable development, the feature has turn from North-South one-way seepage to both North-South and East-East two-way seepage other than direct seepage, from the concomitant seepage in the traditional manufacturing industries to the hidden and lagging seepage in the high technology industries. However literature has not given sound explanation to this phenomenon and its effect on the comparative advantage distortion of pollution seepage brought by the factor international flowing. Based on international pollution transfer situation, this article in this paper embarks from the seepage characteristic of international pollution transfer to China and the special and historical evolution, making the theory and the empirical analysis through trade and invest. Since the main forming of characteristics of international pollution transfer penetration is information obstacle, it is the key methods to control the international pollution transfer by the institutional arrangement to solve information obstacle, which can achieve opening to the world and environmental protection simultaneously through correcting the information distortion then the benefit distortion.The international pollution transfer to China could be attributed to three characteristics:the concomitance, the hidden and lagging quality and the pollution of industrial chain.Concomitance. The international pollution transfer shows North-South one-way seepage from the developed country to the developing country in the world and East-West one-way seepage from the east coastal areas to the mid-west area in China accompanied by the Chinese economic growth. The concomitant seepage pollution of waste import mainly displays in banning import toxic waste in the name of automatic kind or the limit class solid waste, which bring about seepage pollution by smuggling or deceit The seepage pollution followed by the foreign capital admittance system and the technology import mainly displays in the pollution-intensive industries and the foreign capital monopoly industries, while part of the high technology industries also show the seepage characteristic.Hidden and lagging quality. The hidden and lagging seepage pollution occur when smuggling toxic waste in the name of recycling waste and stack, reprocess and consumption of recycling waste. Since the high technology industries have covered some potential damage of environmental protection, it is not only serious but also difficult to measure the harm and irreversible that FDI brings about the hidden and lagging seepage pollution when FDI enters high technology industries.Industrial pollution chain. It concerns not only traditional manufacturing industries, labor-intensive processing trade sector but also the high technology industries, especially the pollution of industrial chain caused by the outsourcing of IT product including the entire process from the production to the final abandonment. The processing industries of renewable and non-renewable resources also perform the pollution of industrial chain.This article has tried to achieve innovation in the following aspects:Firstly, this article innovates in the research perspective and method. We discuss the characteristics of international pollution transfer penetration to China from the international flowing of essential factor and time evolution, analyze the forming mechanism of international pollution transfer penetration to China from the information distortion and come up with the institutional arrangement to solve information obstacle, which make sense no matter in theory or from practical point of view. Because of the lack of statistical data about the hidden and lagging pollution and industrial chain pollution, so in this paper not only the theoretical analysis and certain quantitative analysis are used, but also the massive illustrative cases which analysis international pollution transfer penetration to China appear.Secondly, we analyze the characteristics of international pollution transfer penetration to China from trade and investment. On one hand, the waste import shows the concomitance, the hidden and lagging quality and the pollution of industrial chain, meanwhile the seepage pollution of the legitimately import of recycling waste seems more hidden and lagging to China. On the other hand, the international pollution transfer penetration to China shows concomitant and accumulative in the traditional manufacturing industries, while hidden and lagging in the high technology industries and the pollution of industry chain in processing trade and resources-processing industries. In the meantime, the soil pollution caused by FDI in China’s IT industries illustrates that the investment is the main way through which international pollution transfer penetrates to China, testified that the soil pollution is the main environment problem which China faces at present.Thirdly, this paper revealed that the benefit distortion caused by information distortion is the forming mechanism of international pollution transfer penetration to China. So we should regulate the international pollution transfer through solving information obstacle and finally coordinating the interest relations among the interest groups of international pollution transfer.更多还原