【作者】 李惠茹；

【导师】 李赶顺；

【作者基本信息】 河北大学 ， 世界经济， 2008， 博士

【摘要】 世界经济一体化趋势不断增强,国际直接投资的迅猛发展,已成为影响中国经济发展的重要力量和因素之一。在中国为尽快实现可持续发展,提出构建环境友好型社会这一发展目标和背景下,关注和研究外商直接投资(FDI)对中国生态环境产生的影响作用,具有理论与现实意义。就国内外现有的研究成果来看,主要围绕FDI是否存在跨境污染转移,发展中国家是否是“污染避难所”进行探讨,但由于研究视角和研究对象不同,使研究结论存在一定差异。从中国开放以来,就存在着FDI对中国生态环境的影响效应,只是中国对短缺资本的渴求,掩盖了其对生态环境的负影响。因此,需要以FDI适应中国自身经济发展阶段的演进,以及发展战略目标转变的要求为研究视角,全面分析外商直接投资对中国生态环境影响程度,争取最大限度降低FDI带来的负面影响,最大限度提升FDI对中国经济发展与环境保护的正面影响作用。同时,现阶段生态环境恶化是一个备受关注的全球性问题,环境问题日益成为影响国与国政治经济关系的重要因素,与环境相关的国家利益问题已越来越深化和扩大化,如何在国际环境关系国际化趋势日益加强的背景下,协调FDI与环境保护之间的关系,也存在着进一步探讨和完善制度设计的空间。因此,要求不断审视FDI对生态环境的影响效应,形成对FDI适应现实的系统性研究,不仅是本文的立意与研究视角,而且也有利于丰富和拓展对FDI影响效应的研究。基于此,论文研究目的是通过对外商直接投资与东道国生态环境质量的关系分析,揭示FDI的生态环境效应,为探讨FDI与中国生态环境协调发展,解决跨境环境污染转移问题,促进中国又好又快发展提供有益参考。论文以对FDI生态环境效应的理论界定为基础,以探讨FDI对中国生态环境的影响效应为核心,以FDI的投资规模、投资结构等方面对生态环境产生影响为主线,从理论、现实和实证等多层面解析和揭示FDI形成的生态环境效应,并提出FDI与生态环境相协调的设想。基本研究思路是：(1)厘清FDI产生生态环境效应的依据,为研究FDI生态环境效应问题提供理论基础。(2)探寻FDI产生生态环境效应的途径,以及FDI与生态环境关系的理性假定,为进行FDI生态环境效应的实证研究奠定分析基础。(3)进一步从现实性分析和实证分析层面检验FDI与生态环境的基本关系。(4)在实证分析的基础上,强调把跨境环境污染问题置于全球可持续发展与全球环境保护的背景下,构想FDI与生态环境协调发展的机制,通过一定的制度性协约,规范FDI投资行为对东道国生态环境的影响,进而促进全球生态环境问题的解决。具体而言,论文主要研究内容及观点是：1.从理论层面对FDI生态环境效应进行了梳理和解析,明晰了FDI生态环境负效应与正效应的依据。分析表明由于国家之间环境保护强度不同,所形成的环境资源禀赋的比较优势,使环境标准制定相对宽松的国家,容易吸引污染产业的跨境转移,从而成为“污染避难所”,或“污染的天堂”。同时,在发达国家国内环境保护日益强化的形势下,污染密集型产业就是率先安排进行对外投资的边际产业。而“波特假说”则强调环境标准较低的国家和地区,有充足的理由和空间,提高自身的环境标准。本文指出如果完全靠内资发展经济也可能造成更严重的环境污染与破坏,则外资的生态环境正效应就有其发挥的潜力与空间。2.探讨FDI生态环境效应的形成机制,进一步完善FDI与生态环境关系的理论基础。在明确FDI主要通过其投资规模、结构及技术等方面对生态环境产生影响的基础上,界定了FDI的生态环境规模效应、结构效应及技术效应。认为在环境保护技术和生产结构不变的情况下,FDI规模的增加将使污染排放量增加,其生态环境的规模效应为负；FDI流动变化产生的结构性变动可能引致正负效应,如果投资结构更清洁或采用清洁生产技术时,会有利于生态环境的改善,并且在有利于生态环境质量提高上,结构效应与技术效应一般大于规模效应。另外,论文对FDI与生态环境之间的关系进行多种关系形式的假设,为进一步验证二者的关系提供了分析基础。3.对FDI生态环境效应进行现实性分析。通过分析中国实际利用FDI的现实状况,从不同投资主体、投资区域布局等多角度论述了FDI通过其规模、结构等对中国生态环境的影响效应。揭示了不同时期下的FDI规模及结构效应及其对中国生态环境的影响；比较了不同投资主体如美、日、欧和港、澳、台经济体的FDI对中国的生态环境效应及差异,得出港、澳、台经济体对中国生态环境影响大于美、日、欧；以污染密集型产业的界定为基础,着重分析了FDI投资结构的环境效应,反映出FDI具有偏好投资中国工业部门及工业部门中的污染密集型行业的特征。以中国东、中、西部的划分为前提,分析了分布于不同地区的FDI投资规模与结构对地区生态环境的影响作用,体现了FDI主要集中于东部的现实,从而FDI的生态环境效应也体现东、中、西部这一梯度推移格局；同时,通过分析FDI对外贸易的生态环境效应,也反映了FDI的投资结构呈现由劳动密集型、低附加值产业向更高的产业结构转变的特征,从而以其外商投资企业的出口规模和出口结构体现对中国生态环境的影响。4.FDI与生态环境关系的经验分析。首先是对FDI与生态环境的因果关系进行检验。一是从全国层面分别对FDI与工业废水、废气、固体废物、粉尘环境污染指标之间的因果关系进行验证,二是从区域层面分别对东、中、西部的FDI与工业废水、废气、固体废物、粉尘环境污染指标之间的因果关系进行验证。FDI与生态环境的因果关系表明,无论是全国层面还是区域角度,FDI是影响生态环境的成因之一,但是FDI对生态环境的影响具有明显的区域特征。其次是对FDI与生态环境之间的趋势关系进行检验。一是从全国层面分别对FDI与工业废水、废气、固体废物、粉尘环境污染指标之间的趋势关系进行验证,二是从区域层面分别对东、中、西部的FDI与工业废水、废气、固体废物、粉尘环境污染指标之间的趋势关系进行验证。从FDI与生态环境趋势关系及其区域比较分析看,无论是从全国层面看还是从区域层面看,FDI与所分析的四个污染指标的趋势关系,几乎都具有“U型”特征。而且从各污染指标“U型”的转折点时间看,大都与中国产业结构调整相一致。近期的FDI与生态环境的变化关系还比较明显表现为FDI加剧了中国污染指标的上升趋势。5.FDI对生态环境影响的因素分析。依据FDI对生态环境影响的决定因素,对分析指标进行了选择。即分别选取外商直接投资额来反映FDI的规模效应；用FDI占全社会固定资产投资的比重体现FDI的技术效应；用资本生产率表示生产方式；用工业增加值占国内生产总值的比重反映产业结构的变动；用污染物排放量与工业增加值之比反映环境保护程度、环保技术水平等。在分解反映FDI对生态环境所产生的规模效应、技术效应及结构效应的前提下,运用指数体系因素分析法测定各影响因素对工业废水、废气、固体废物、粉尘排放量变动的影响方向与程度,以及引起的各污染指标增减变化量。6.构建FDI与生态环境协调发展机制。首先以中国经济可持续发展的必要性,以及解决跨国性环境问题的要求,作为引导FDI与生态环境相协调的现实背景。分析了环境问题国际化和环境问题的跨国性趋势,探讨了在此背景下中国提高环境保护程度面临的国内外形势。明晰了把构建FDI与生态环境协调发展机制问题置于上述背景与现实下的重要性、必要性和可行性。在此基础上提出了建立FDI与生态环境协调发展机制的设想,一方面以完善国际性的跨国环境规制,作为FDI与生态环境关系协调的基础,同时,强化国际直接投资和跨国公司的跨境环境管理,形成和完善关于约束FDI投资行为对生态环境产生负影响效应的相关制度体系；另一方面以中国的生态现代化建设,作为促进FDI与生态环境关系协调的条件。主要从建立与完善中国可持续发展制度、建立和推广清洁生产机制与环境质量管理体系、构建循环型经济社会运行体系、引导FDI发挥正效应的引资政策调整等方面,阐述了中国生态现代化建设基础性条件。论文的主要创新点或拓展性研究表现为：通过对FDI与生态环境的因果和趋势关系的区域比较分析,得出FDI对生态环境的影响具有区域和行业上的差异,以及FDI与生态环境的曲线关系具有明显的产业结构特征的结论。在实证分析中建立了能够反映影响生态环境决定要素的指标体系。运用指数因素法分解了影响生态环境的各因素指标,并就各因素对生态环境污染指标的变动程度、变动方向及由此引起的变动量进行了量化分析。得出了FDI规模对中国工业污染变化的影响具有同向性、FDI技术效应对工业污染变化的影响具有逆向性特征的结论。同时,进行了包含5方面内容的FDI与生态环境关系协调机制框架的设想。论文的立意是强调今后中国在利用外资上的态度决不能表现为饥不择食,要未雨绸缪的考虑引资所带来的环境问题问题,使引进和利用FDI与提高中国生态环境质量的要求相适应,使利用FDI的规模和结构,都要以解决生态环境要素的稀缺性为中心,以提高中国可持续发展能力,建立循环型经济社会体系为目标,让FDI真正成为中国构建环境友好型社会的重要力量。更多还原

【Abstract】 The strengthening trend of the integration of the world economy and the prodigious development of international direct investment have become an important force and factor that pushes and affects China’s economic development. In order to achieve sustainable development as soon as possible, China has formulated an objective to build an environment-friendly society. Under this context, it is theoretically and practically significant to pay attention to and to study the impact of the foreign direct investment (FDI) on China’s ecological environment. The current research results, both domestic and abroad, mainly focus on whether FDI produces a cross-border pollution transfer, and whether the developing countries should be the "pollution haven", whose conclusions divide to a certain extent, due to different viewpoints and different object of study. Since China’s opening up to the world, there has been some impact of the FDI on China’s ecological environment. However, China’s desiring of capital concealed its negative impact on the ecological environment. Therefore, the object of study should be laid on how to adapt China to its own economic developmental stage in its evolution and how to meet the needs posed by the turning of strategic objectives. Comprehensively analysis should be made on the impact of FDI on China’s economic development and environmental protection, to pursue maximum positive impact. At the same time, presently, the deterioration of the ecological environment is a major issue of global concern and environment issue has become an important factor that influences the political and economic relationships between borders. Environment-related national interests have been deepening and expanding. There is still room to discuss and perfect the systemic design in the issue of how to coordinate the relationship between FDI and environmental protection, in the circumstance that the international relationship of environment has been trending strengthening. Therefore, it is required to keep examining the impact of FDI effect on ecological environment to form a systematic study of FDI’s adaption to the reality. It is not only the concern and research perspective, but also beneficial to enrich and expand the influence of the FDI effect. Based on this, the purpose of this paper is to, through the analysis of relations between the foreign direct investment and the quality of the ecological environment of the host country, reveal FDI’s ecological environment effect, to provide a helpful reference to exploring the coordinated development of China’s ecological environment, tackling cross-border transfer of pollution, and promoting fast development of China.This paper has as its theoretical foundation the FDI’s ecological environment effect, concentrating on FDI’s impact on China’s ecological environment, developing alongside the impact in terms of scale of investment, the structure of investment, examining and uncovering FDI’s ecological effect by way of theories, realities and examples, and finally proposing a vision that FDI should be compatible with the ecological environment. Basic ideas are:(1) to clarify the reasons for the effect of the ecological environment that FDI has, providing theoretical basis of the ecological environment for the study of FDI. (2) to explore channels of FDI’s ecological environment effect, as well as the rational assumption of the ecological environment and FDI, founding the basis for the empirical research for the ecological environment. (3) to further study from the reality analysis and empirical test of the basic relationship between FDI and the ecological environment. (4) based on the analysis of evidence, to emphasize cross-border environmental problems at the background of global sustainable development and global environment protection, building a mechanism to coordinate FDI and the ecological development, and through a certain system of the treaties, regulating the impact of FDI investment behavior on the ecological environment of the host country, thereby promoting the solution of the global ecological environment. In detail, the major issues and viewpoints of this paper are as follows:1. This paper analyzes and combs FDI’s ecological effects from the theoretical level and clarifies the basis of FDI’s negative and positive ecological environmental effect. The analysis indicates that because of the difference between the intensity of countries’ environmental protection, as well as the environment formed by the comparative advantages of natural resources, it makes countries with relatively lax environmental prone to lead to industrial pollution cross-border transformation and become "pollution haven" or "pollution heaven". At the same time, in the developed countries, where environment protection has been increasingly enhanced, pollution-intensive industries are marginal industries that are firstly used for foreign investment arrangements. "Porter hypothesis" emphasizes that countries and regions with lower environmental standards have ample reasons and room to improve their environmental standards. This paper pointed out that it also results in more serious environment pollution to solely develop depending on the domestic fund, and hence foreign capital has a potential and room to exert its positive ecological and environmental effects.2. This paper discusses the formation mechanism of FDI’s ecological and environmental effects, and improves the theoretical basis of the relations between FDI and the ecological environment. After clarifying that FDI produces its effects mainly through its investment scale, structure and technical aspects, the paper defines FDI’s ecological environmental scale effects, structure effects and technique effects. It is believed that in a stabilized environment protection and production structure, the increasing of FDI scale will increase the amount of pollution emitted, leaving the effect of ecological environment size negative; The structural changes caused by FDI flows arising may lead to positive and negative effects; with cleaner investment structure or clean production technologies, ecological environment will be improved and the effect of structural and technological effects are greater than the general scale effect. In addition, this paper hypothesizes the relationship between FDI and the ecological environment in various relational ways, providing basis for the analysis of the relationship between the two.3. This paper makes an actual analysis of FDI’s ecological and environmental effects. Through the analysis of the actual situation about China’s use of FDI, this paper discusses the impact of FDI’s scale and structure on China’s ecological environment from different aspects of subjects of investment, regional distribution, etc. This paper reveals the effects and the impacts of FDI’s scale and structure effects on China’s ecological environment in different periods. The impacts of different subjects of investment, such as the U.S.、Japan、Europe、China’s Hong Kong、Macao and Taiwan, on China’s ecological environment are compared to show that China’s Hong Kong, Macao and Taiwan have more impacts than the rest. Based on the definition of pollution-intensive industries, analysis on FDI’s environmental effects is highlighted, which reflects that FDI has a preference in China’s industrial sectors and the pollution-intensive sectors. Based on the division of East, Middle and West China, analysis is made on the impacts of FDIs of different regions, showing that FDI mainly concentrates in the East, and that FDI’s ecological and environmental effects manifests a rising trend from West China to East China. At the same time, by analyzing the ecological environment effect caused by FDI foreign trade, it is also reflected that the characteristics that FDI’s structure has been turning from labor-intensive, low value-added industries to higher industrial structure, and that the impacts on China’s ecological environment is shown according to the scale and structure of export and export of the foreign-invested enterprises.4. The empirical analysis of the relationship between FDI and the ecological environment. At the beginning, it tests the causality between FDI and the ecological environment. On the one hand, it verifies the cause-effect relationship between national FDI and industrial waste water, waste gas, solid waste, dust pollution index; on the other hand, it verifies the cause-effect relationship between regional FDI of the east, middle and west of China and industrial waste water emissions, solid waste, dust pollution index. The causality between FDI and the ecological environment shows that, both nationally and regionally, the impact of FDI is one of the causes that affect the ecological environment, but the FDI impact on the ecological environment has an obvious regional characteristic. Then, it verifies the trendy relationship between FDI and ecological environment. On the one hand, it verifies the trendy relationship between national FDI and industrial waste water, waste gas, solid waste, dust pollution index; one the other hand, it verifies the trendy relationship between regional FDI of the east, middle and west of China and industrial waste water emissions, solid waste, and dust pollution index. According to the trendy relations between FDI and the ecological environment and its regional comparative analysis, nationally and regionally, the trendy relations between FDI and the analysis of the four indicators inclusively show a "U" features, and each of the pollution index and the "U" the turning point conform relatively to China’s industrial structural adjustment. Recent relationship between FDI and the ecological environment is still relatively clearly manifested as that FDI has been exacerbating China’s pollution index.5. The analysis on the factor of FDI’s impact on the ecological environment. This paper selects the indicators of analysis based on the ecological environmental factors affect by FDI. In other words, it selected foreign direct investment respectively to reflect the scale effect of FDI; Using the proportion of FDI in the total fixed assets investment, it reflects FDI’s technique effect; it uses capital productivity to indicate production mode; it uses industry added value proportion in gross domestic product to reflect industry structural changes; it uses the ratio of discharge of pollutants to the industry added value to reflect the degree of environmental protection and environmental technology standards. On the basis of reflecting the ecological environment scale effect caused by FDI, it uses index system analysis of the factors technical effects and structural effect to determine influencing factors on the industrial wastewater, waste gas, solid waste, and dust emissions from the effects of changes in the direction and extent, as well as the exact change of index that causes pollution.6. Building a mechanism that coordinates the development of FDI and the ecological environment. Firstly, it regards China’s sustainable development, the resolution of transnational environmental problems as practical background to guide FDI and the ecological to coordinate with each other. This paper analyzes the international environmental issues and environmental problems of transnational trends and discusses the domestic and international situations China faces in such a context. It clarifies the significance, necessity and feasibility to put the mechanism issue under such a background. Based on this, it proposes the establishment of coordinated development of the ecological environment. On the one hand, it is fundamental to improve the international regulation of transnational environment, to strengthen the international direct investment, and multinational companies cross-border environmental management, form and improve related systems that constrains FDI investment behaviors to produce negative effects. On the other hand, China’s ecological modernization is regarded as the conditions that push FDI to coordinate with ecological environment. The conditions for China’s ecological modernization construction is expounded in terms of the establishment and improvement of China’s sustainability, the establishment and popularization of clean production mechanism and environmental quality management system, the founding of recyclable economic society, and guiding FDI to exert positive effects to attract investment, etc.The major innovations or the expansions of the research are:through regional comparison between FDI and the ecological environment, the paper concludes that FDI has the different impact on different regions and different industries, and that the curve relationship between FDI and ecological environment has an obvious industry structure characteristic. An empirical analysis establishes an indicator system that reflects elements that influence the ecological environment. Using the index factors affecting to decompose the factors that influence the ecological environment, the paper makes a quantitative analysis on the degree of changes of the environmental pollution, and the direction of changes and the results of changes. The paper reaches the conclusion that the scale of FDI has the same effect on China’s industrial pollution changes, and that FDI technique effects have reverse impact on industrial pollution changes. At the same time, this paper includes five aspects of the envisaged framework that discuss the coordination mechanisms of the relationship between FDI and the ecological environment.This paper shows that in the future, China’s attitude toward the use of foreign capital must not be blindness. It is necessary to consider the environment problems that foreign investments bring in, to make the introduction and utilization of FDI compatible to the requirement of raising China’s ecological quality, to limit the scale and structure of FDI to the extent that can resolve the central problem of scarcity of ecological environment elements, to improve China’s ability of sustainability, to establish recycling economic society, and to make FDI in China a major force in building an environment-friendly society.更多还原