【作者】 李延勇；

【导师】 马传栋；

【作者基本信息】 山东大学 ， 国民经济学， 2008， 博士

【摘要】 发源于欧洲大陆的工业革命把人类社会推入了一个飞速发展的阶段。工业化进程深入同时伴随着自然资源的过度消耗和环境的严重污染,导致了诸多全球性环境的问题,如水资源危机、臭氧层被破坏、温室效应、生物物种的迅速减少等等,对人类的生存和可持续发展提出了严重挑战。在国际经济领域,人们日益关注贸易和国际资本流动对环境的影响,并由此衍生出“污染庇护所”等假说。1978年以来市场导向型的经济改革逐步把中国变成了对外商直接投资最具吸引力的国家之一。二十世纪九十年代,中国仅次于美国,成为世界上第二大吸收外商直接投资的国家和吸引外商直接投资最多的发展中国家。在接近三十年的经济改革过程中,中国总共吸收了五万亿美元的外商直接投资。而外商直接投资作为中国经济增长的重要引擎,在上世纪九十年代,对中国经济增长的贡献率平均达到了2.3个百分点。与此同时,我国的环境状况日益恶化。目前,全世界十个污染最严重的城市中有六个在中国,46.5%的河流受到污染,10.6%的河流严重污染,90%以上的城市水域污染严重,三亿多中国人饮用水达不到卫生标准。世界卫生组织2006年发布的一份报告说,有大约74%的中国人居住在空气品质不良的地区。外商直接投资与环境恶化指标的同步增长促使人们考虑两者之间的相关性,在理论上进行探讨,在实践中也需要正确的政策设计来解决相关问题。从实践上讲,认清外商直接投资与环境之间的关系,对促进我国国民经济健康、快速和稳定的发展,对实现环境友好型和资源节约型发展模式的重大转变,使国民经济走上一条可持续发展发展之路具有重大的实践意义。在理论上探讨外商直接投资与环境问题,对丰富和完善国际经济学和国民经济学的相关内容具有重要意义。首先,目前有关外商直接投资与环境之间的研究仍然存在很多空白,在研究对象、研究工具和方法的选择上仍有很多不确定之处。次之,对外商直接投资与环境问题进行研究,需要综合借鉴国际经济学、环境经济学、规制经济学等学科的理论知识,需要在可持续发展的大框架对该问题进行深入思考,才能提出科学可行的政策建议。因此,该研究为借鉴其他学科的理论成果提供了良好的实践机会。通过对外商直接投资与环境相关文献的梳理,发现关于该问题的理论解释存在两种截然不同的理论观点和政策建议。研究同时发现,尽管几十年来,尽管外商直接投资在我国得到足够的重视,但是对其环境影响的研究却寥寥无及,不成体系,远远落后于发达国家的研究水平。因此,论文首先对国内外相关文献进行了细致的梳理,找出了它们之间的分歧,发现了研究的方向。然后,论文对外商直接投资与环境问题从宏观和微观两个角度进行了一般性的分析。在上述基础之上,作为论文的重点之一,适用国际生产折衷理论对外商直接投资的环境行为进行分析,发现外商直接投资自身存在进行自我规制、实现企业竞争优势的内在动机。论文接着论述了外商直接投资对东道国环境规制的影响和促使外商直接投资正面环境效应放大的国际政策工具选择,指出,在国际协调得当和东道国腐败程度减弱的情况下,外商直接投资会产生正面的环境效应。改革开放以来,我国政府对经济增长的过度追求,和由此导致的各地区之间对外商直接投资的激烈竞争,再加上资源利用制度、环境保护的不完善及其执行力度的欠缺,以及投资来源的特殊性(主要来自港澳地区)等等,都决定了我国肯定是一个研究的特例。因此,论文对我国外商直接投资的决定因素,特别是外商直接投资与环境规制之间的关系进行了实证研究,得出了外商直接投资与环境规制之间互为因果关系的结论。在上述研究的基础上,论文最后提出了消除外商直接投资负面环境效应的一揽子解决方案,即国际规制、东道国规制、母国规制、企业自身规制和民间规制的相结合才是解决问题的唯一出路。本文以马克思辩证唯物主义为指导,坚持理论与实践相结合,坚持定性分析与定量分析相结合,采用了规范分析与实证分析相结合的方法。以现代经济学理论为主要理论依据,如国民经济学、可持续发展经济学、环境经济学、规制经济学、福利经济学、博弈论与计量经济学等,并合理吸收与借鉴了其他学科的理论成果,如生态经济学和公共管理学等。首先,本文采用理论借鉴的方法,适用国际生产折衷理论,较全面地从理论角度对外商直接投资企业的环境行为进行分析研究,得出了与国际贸易理论和生态经济学等截然不同的观点,辩证地看待和分析了相关问题。论文借鉴前人的研究成果,使用微观经济学和博弈论等学科的分析工具,分析了最优国际政策工具的选择以及腐败在弱化东道国环境规制力度中的作用。论文应用计量经济工具,详尽研究了我国外商直接投资的决定因素,特别是环境规制与外商直接投资之间的关系,得出两者之间互为因果的结论。论文采用理论与实证相结合的方法对相关问题进行了研究,并得出了符合马克思主义唯物辩证观的结论。论文创新之处在于有三点。首先,在梳理前人理论研究的基础上,应用国际生产折衷理论,从跨国公司污染生产转移和海外子公司环境行为的角度,对外商直接投资的环境业绩进行了评估和解析,认为跨国公司具有实行环境质量的跨境生产以取得生产和营销优势的内在动机。在后续的模型分析中也发现,只要包括东道国和母国两方面在内的政策工具选择适当,外商直接投资会对环境的改善起到积极的促进作用。次之,论文结合中国的具体国情和经济发展阶段,采集了1987—2005年中国大陆连续19年的数据,以FDI流入量作为被解释变量,以经济发展水平、劳动力成本、工业三废排放和能源生产为辅助变量,系统地研究了外商直接投资与环境规制之间的关系。研究发现,环境规制与外商直接投资之间互为因果关系。环境规制力度的加大会对外商直接投资的流入产生阻碍作用,外商直接投资流入的增加也会促使一国加大环境规制的力度。最后,论文系统地提出了针对外商直接投资的环境规制框架设计方案,特别是针对发展中国家的不足,提出消除腐败因素,国际规制、东道国规制、母国规制、民间规制和企业自我规制相结合的一整套规制方案,以使外商直接投资的正面环境效应得到最大化实现。当然,论文的仍有很多不足之处有待完善和进一步探索。对外商直接投资的环境问题进行研究其实离不开可持续发展这个大的框架,跨国公司对自己的环境行为负责其实就是对社会负责,所以,企业的环境管理和社会责任是相辅相成的。外商直接投资的环境行为,社会责任的履行及其对可持续发展的贡献是作者未来的研究方向。同时,统计数据在一定程度上的失真肯定会对论文结论产生影响,而我国的复杂国情,特别是各地区之间的巨大差异也决定了论文的结论不一定具有普遍的指导意义。更多还原

【Abstract】 The Industrial Revolution originated from Europe has promoted the human society into a rapid development phase, and the deepening of industrialization has been accompanied by the over-consumption of natural resources and the severe environmental pollution, thus resulting in such global environmental issues as water resources crisis, the depletion of ozone layer, the greenhouse effect and the extincton of bio-species, which has posed a serious threat to the survival of human beings and its sustainable development. In the field of international economics, people began to pay attention to the impact of international trade and capital flows on the environment, and gave rise to the Polluton Havens Hypothesis and so on.The post-1978 market-oriented economic reforms in China have turned the country into one that is most attractive to foreign direct investment (FDI). In 1990s, China is second to the United States in the world and No. 1 among developing countries in attracting FDI. In its thirty years’ development, the accumulated foreign capital into China has reached $5000 billion. As the key engine in promoting economic growth, the average contribution ratio of FDI China’s economic growth has reaced 2.3% in 1990s.At the same time, China’s environment has been worsening. At present, out of the ten most heaviely polluted cities in the world, six are in China. In China, 46.5% of rivers are polluted and 10.6% of them have been seriously polluted, more than 90% of urban waters are severely polluted and 300 million citizens are drinking water below healthy standards. According to the report by the World Health Organization (WHO) in 2006, about 74% of Chinese citizens live in air-polluted ares.The simultaneous rise of FDI and environment deterioraton index stimulated people to ponder on the correaltion between the two phenomena both theoretically and practically in order to formulate feasible policy designs to solve the problem if it were.It is practically significant to identify the correlation between Foreign Direct Investment and Environment for both the realization of the national economy’s healthy, rapid and sustainable development and its transition towards the environmentally friendly and reources-saving development path. To probe into the issue theoretically is helpful in enriching and perfecting relevant research fields in both national economics and international economics. First of all, there are still many fields left unresearched in the above-mentioned issue and there still exist uncertainties in research objectives, research tools and research methodology. Secondly, to research into the issue of FDI and Environment, it is necessary to refer to and apply comprehensively such relevant subjects as international economics, environment economics,and regulation economics etc. and to ponder over it against the framework of sustainable development for the formulation of scientific and feasible policy proposals. The study thus provides a perfect opportunity to learn from the theoretical achievements of other subjects.After reviwing relevant literature on FDI and Environment, it is found that there exist two controversal groups of theoretical viewpoints and policy proposals. Although enough attention has been paid to the attraction of FDI in China, scarecely has any systematic research been found on the environmental effect of FDI, which is far behind those in developed countries. So, a careful literature reviw has been carried out first to find out the discrepancies and research objectives.Then, a general analysis is done on the issue from both macroeconomic and microeconomic perspectivesthe, on the basis of which a Eclectic Paradigm perspective is applied to study the environmental effect of FDI. It is found that there exist strong incentives for FDI enterprises to impose self-regulation for purpose of realizing corporate competitive advantages. After that, the impact of FDI on environment and the optimal international policy instrument composite on the issue is described and analyzed with the conclusion that on the premises of proper international coordination and the corruption level decline in the host country, the positve environmental effect of FDI will be exerted.Since China adopted its open-door policy, the government exerted great enthusiasm in the pursuit of economic growth, which contributes to the competition for FDI in different areas, together with the imperfect reources use systems, improper envrionment protection institutions and their inefficient implementation, in additoin to the special sources of FDI (mainly from Hong Kong and Macao), all determine that China is surely a special case to study. Therefore, the paper probes into the decisive favctors on FDI and an empirical study on the correlationship between FDI and environmental regulation is carried out with the conclusion that FDI and environment are mutually causual to each other. The paper finally concludes with the package of solutions to erase the negative environmental effect of FD1, that is, the combination of international regulation, host country regulation, home country regulation, corporate self-regulation and civil regulation is the only way out.The paper is guided by Marxist dialectical materialism, adheres to the combination both of theories and pratices and of quantative analysis and qualitative analysis, applies normative and empirical methods, bases itself on such modern economic theories as those in national economics, sustainable development economics, environment economics, regulation economics, welfare economics, game theory and econometrics, and properly absorbes and refers to theories in other subjects, such as ecological economics and public administration.Firsrt of all, the paper applies the theory of eclectic paradigm to study comprehensively the environmental impact of FDI enterprises, drawing the distinctively different conclusions from those of international trade and ecological economics. So the issue has been studied and analyzed dialectically and objectively. The paper refers to the analytical tools in microeconomics and game theory, probes into the optimal option of international policy instruments and also the role that corruption plays in weakending host country’s environmental regualtion efforts. The paper also applies econometric tools to study empirically the decisive factors on FDI in China, expecially the relationship between FDI and environment regualtion with the conclusion that the two are mutually causual.The paper combines theorectical methods and empirical methods together to study the relevant issue and its conclusion is in coherence with those of Marxist dialectical materialism.The innovation of the paper lies in three points. Firstly, on the basis of literature review, the paper applies eclectic paradigm theory to analyze and evaluate the environmental effect of FDI from the perspectives of both Multinational Corporation’s (MNCs) pollution production transfer and the environmental behavior of their overseas subsidiaris, concludes that MNCs have strong incentives to carry out the transboundary production of environmental quality and thus achieving production and marketing advantages. It is also found in subsequent model analysis that FDI will contribute to the improvement of environment if a proper package of policy instruments is applied, including those of both host and home countryies’. Secondly, the paper takes into consideration China-specific conditions and its special development stage, collects the consecutive nineteen years’ data from 1987 to 2005, with the FDI inflow as the explanatory variable and with economic development level, laobor cost, three industrial wastes emission and reources production as auxiliary variables, systematically probes into the relationship between FDI and environmental regulation, with the finding that environmental regulation and FDI are mutually causal to each other. The enhancement of environmental regulation will hinder the inflow of FDI and the inflow of FDI will also reinforce one country’s environmental regulation.Lastly, the paper brings forth a systematic package of regulatory framework design. With special reference to FDI’s neagtive environmental effect in developing countries, the paper puts forward the scheme of deleting corruption and combining international regulation, host country regulation, home country regulation, civil regulation and corporate self-regulation in order to maximize FDI’s positive environmental effect.Of course, there are still drawbacks in the paper to perfected and further probed into. Actually, the study on the environmental effect of FDI can never depart from the context of sustainable development. MNCs’ environmenta behavior and social accountability are equivalent and in consistency with each other. FDI’s environmental behavior, its social accountability and their contribution to sustainable development will be the author’s future reseach field. At the same time, the inaccuracy of statistics and China’s complex conditions, especially the great differences among ares will surely have impact on the paper’s conclusions and their universal guidance on the issue.更多还原