【作者】 王道臻；

【导师】 任荣明；

【作者基本信息】 上海交通大学 ， 产业经济学， 2011， 博士

【摘要】 随着经济全球化的发展,外商直接投资促使东道国以非持续的生产和消费方式的增长,而日益扩大的生产和消费活动呈现出逐步超出环境的承受能力,环境污染日益严重。外商直接投资与环境问题的关联性逐渐凸显出来,并且随着各国开放度的提高而进一步加剧,成为国际社会关注的焦点问题。在现有的文献中,国内外学者大量研究了外国直接投资和环境之间的关系,研究的内容除了直接分析外国直接投资的环境效应外,更多的是对环境库兹涅茨曲线假说和污染天堂假说的验证。从研究结果看,环境库兹涅茨曲线和污染天堂假说并不一定成立,同时外国直接投资的环境效应的结论也并不一致。有些学者的研究表明外国直接投资由于其本身技术和环境标准的优势促进了东道国环境质量的提高,而另外一部分学者认为外国直接投资导致对东道国环境资源利用的增加,从而降低了环境质量。然而在现有研究中,关于环境效应考量都只是从污染物排放量的角度出发并没有考虑外国直接投资对东道国治污水平的影响。然而,即使在外国直接投资增加东道国污染排放的情况下,如果外国直接投资能提高东道国的治污水平,那么在保持经济规模不变(投资总量不变)的情况下,显然治污水平的提高能够降低单位污染排放量,从而对环境有利。因此本文基于这一考量,同时研究外国直接投资对工业污染排放量和处理量的影响,分析外国直接投资的环境效应。为了保证分析结果的稳健性,本文同时选择工业废水和工业二氧化硫作为研究对象。本文主要研究内容包括:第一章,绪论部分介绍了论文的研究背景和意义、研究思路和内容以及研究方法和主要创新点,研究外国直接投资的环境效应对我国制定相应的利用外资政策具有现实意义。吸引有利于环境保护的外国直接投资,发挥其技术优势,加强我国的污染治理水平。第二章,文献综述部分对外国直接投资和环境问题的相关文献进行了梳理和分析。现有的文献对外国直接投资环境效应的研究通常只考虑对污染物排放量的影响,本文在此基础上发现了污染物处理量的新角度。第三章,介绍了外国直接投资环境效应的机制框架,并构建理论模型分析了外国直接投资对工业污染排放量和处理量的影响,本文构建了外国直接投资环境效应的分解模型,以及基于内生性理论的外国直接投资的经济效应模型。第四章,采用实证分析的方法研究了外国直接投资的环境效应。本章根据上一章中提出的理论模型,构造了基本回归方程,采用全国(不含港澳台地区)1991-2009年各省份的面板数据进行实证分析。通过计算污染物排放量和处理量对外国直接投资的弹性,分析了外国直接投资对工业污染的总效应,同时对东中西部地区间的差异进行了比较分析。第五章,通过构建回归方程分析了不同来源地对外国直接投资环境效应的影响;基于数据可得性的原因,本章采用2001-2009年东部地区的面板数据,分析了来自美国、日本、香港等国家或地区的直接投资的环境效应。第六章,则分析了不同投资方式对外国直接投资环境效应的影响,本章同样采用2001-2009年东部地区的面板数据,分析了合资方式和独资方式的外国直接投资环境效应间的差异。第七章为本文的结论部分同时提出了政策建议和研究展望。通过本文研究发现,从总体上看外国直接投资提高了我国(东部地区工业二氧化硫和西部地区除外)工业污染物的排放量,但同时提高了我国工业污染物处理水平。而在地区差异上,外国直接投资对中部地区工业污染物的影响效应更为明显,而对西部地区工业污染处理率存在负面影响。而不同来源地外国直接投资对工业污染的影响也不同,虽然都提高了工业污染排放量,但日本直接投资有利于提高工业污染处理水平,而美国直接投资的作用相反。从投资方式上看,合资方式和独资方式都能提高工业废水处理水平,而前者对工业二氧化硫处理水平影响为正,后者为负。因此在我国制定利用外国直接投资政策时,需要考虑不同地区的实际情况,同时调整利用外国直接投资结构从而有利于我国经济和环境的可持续发展。本文的创新之处在于:1)从污染物排放和处理的双角度考察外国直接投资的环境效应;2)构造理论模型分析了外国直接投资对污染排放和处理的影响作用;3)将外国直接投资进行分类对比,细化了外国直接投资的环境效应研究。更多还原

【Abstract】 With the development of economic globalization, FDI has stimulated an un-sunstainable growth of production and consumption for the host country, where the expanding production and consumption are showing sign of being beyond the environmental bearing capacity and the envrionmental pollution is increasingly severe. Between foreign direct investment("FDI"as below) and environment, obviously, there is some connection, which has been sharpened by the increased openness of the host countries and become a big issue all over the world .There are lots of studies on the relationship between FDI and environment in the existing literature, including analysis on environmental effects of FDI and test of the“Envrionmental Kuznets Curve”or“Pollution Haven Hypothesis”consisting the majority. But the test results is incompatible, and the analysis on the effects went into different answers as some found FDI has positive effects while others negtive.In the present studies, however,researchers omit the pollution treatment factor and use pollution emission variable as the only indicator of environment quality to analyze the environmental effects of FDI . But there is another case, where FDI raised the pollution emissions but it meanwhile raised the level of pollution treatment, keeping the aggregate economic volume (total investment ) constant, then FDI could reduce pollution emissions per GDP and is benefit to environment quality. Based on this consideration, this paper analyzes effects of FDI on both industrial pollution emissions and treatment. To ensure the robustness of the results, the paper choose both industrial wastewater and industrial sulfur dioxide as objects of the study.The paper is constructed as below: the first chapter is the introduction section about the research background and significance, research ideas and content, and research methods and the major innovation; The second chapter is the literature review section which summaries the existing reasches on FDI and environment; The third chapter introduces the framework and mechanism of environmental effects of FDI and constructs a theoretical model to analyze the effects of foreign direct invesetment on pollution emission and treatment; The chapter Four uses the methods of the empirical to analysis environmental effects of FDI , and compares the differences among regions; In the fifth chapter, by constructing a regression equation, the environmental effects of FDI among different source of investment is being caculated while the sixth chapter analyses on the impact among different entry modes; Chapter Seven the last one concludes this paper and also put forward some policy recommendations and further research prospects.The discovers of this paper : 1) FDI raise both industrial pollution emission and treatment level for China, and the effects is more obvious in the central regions while causing negative impact on the industrial treatment rate ;2) FDI from different source have different environmental effects though all of them raise the pollution emission, taking Japan and America for example, the former enhancs the pollution treatment level while the latter does an negative job; 3) as to entry modes, both joint venture and wholly owned enterprises can raise the level of industrial wasterwater treatment, but effects of the former on industrial sulfur dioxide treatment is positive and that of the latter is negetive. In a word, we need take the actual situation of different areas and the FDI structure into consideration in making FDI policy so as to make it is conducive to China’s economic and environmental sustainability.更多还原