【作者】 周明月；

【导师】 黄泰岩；

【作者基本信息】 辽宁大学 ， 国民经济学， 2010， 博士

【摘要】 1978年至2007年我国年均经济增长10.5%,实际吸引外商直接投资持续快速增长,1985年至2007年间外商直接投资年均增长18%,我国成为发展中国家第一引资大国。然而在外资与经济增长不断攀高的同时,环境污染水平却呈现出不断恶化的趋势。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年发布的一份报告称,有大约74%的中国人居住在空气品质不良的地区。环境恶化已是不争的事实。鉴于我国引资金额逐年增加和环境污染趋于严重的现状,我们认为有必要对外商直接投资对环境污染的影响做进一步深入的探讨。环境成本在任何国家都不能被完全内部化,再加上政策失灵,增加的经济活动会加速现存的扭曲,外商直接投资在环境敏感性部门可能导致巨大的不可逆转的损害。外商直接投资对东道国环境的影响是高度异质性的,根据国家、地区、产业、和跨国公司的不同而不同。如果能够扩散先进的环境友好型技术和良好的环境管理实践,外商直接投资会成为可持续发展的领跑者,但是实际情况受到很多因素的制约。本文从两个角度来分析外商直接投资的可持续发展外溢的制约因素,一是东道国环境规制角度,二是跨国公司角度。捕获外商直接投资的可持续发展外溢,东道国的政策干预至关重要,东道国虚弱的规制能力往往制约了可持续发展外溢的发生。如果没有有效的环境规制,像其他类型的投资一样,外商直接投资可能导致环境恶化,尤其是外商直接投资的规模是如此的巨大。虚弱的规制能力,一方面源于东道国的政治特征,另一方面经济全球化限制了各国政府单边的政策制定和规制能力,为了吸引外商投资国家之间的竞争会导致环境政策“陷入泥潭”,限制单个国家环境政策的创新和环境绩效提高的速度。外商直接投资的可持续发展外溢的发生同样有赖于跨国公司的跨境环境管理模式以及环境管理体系的扩散。跨国公司采用怎样的跨境环境管理,是全球一体化还是本地化的策略,跨国公司如何向东道国扩散环境管理体系以及这种自愿性质的环境管理体系是否提高了企业真实的环境绩效,上述这些因素都影响着可持续发展外溢效应的发生。最后,本章提出了实现外商直接投资与环境保护协调发展的对策。例如加强外商直接投资的产业导向和区域导向,改革现有的环境规制制度,矫正政府失灵等。另外,提出捕获外商直接投资可持续发展外溢的一个关键的途径就是建立跨国公司、政府以及社会团体之间的“伙伴模式”,跨国公司由投资者变成合作者,同时发挥社会团体的“自下而上”的规制作用。为了克服全球化导致的环境政策“陷入泥潭”,国际投资规则应该加强跨国投资者自愿环境管理,规定跨国公司的社会责任,加强各国规制体系之间的协调等。更多还原

【Abstract】 From 1978 to 2007, the average annual economic growth of China is 10.5%, foreign direct investment (FDI) continued rapid growth. From 1985 to 2007, the average annual growth of FDI is 18%, china is becoming the first developing countries to attract investment. However, with the increasing foreign investment and economic growth, the level of pollution in China have deteriorated. At present, out of the ten most heavily polluted cities in the world, six city 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 areas. Environmental degradation is an indisputable fact. Given the amount of increasing foreign investment every year in China and the serious pollution, we should consider foreign direct investment and its environmental impact.Environmental costs are not adequately internalized in any country. Given policy failure, increasing economic activity will exacerbate existing distortions and is likely to cause major irreversible damages in environmentally sensitive sectors. The size and distribution of the environmental costs of FDI are usually not adequately accounted for when policy decisions on liberalization or investment incentives are made. FDI can fuel economic activity at a scale and pace that overwhelms host country regulatory capacity, resulting in inefficient and irreversible environmental damage.Despite the likely positive influence of FDI on a country’s environment, the environmental performance of FDI cannot be taken for granted. It should be continuously monitored. In the absence of effective environmental policy, like any other type of investment, FDI can result in environmental degradation, especially if the FDI flows are so large to overwhelm the regulatory capacity of weak environmental authorities. The overall net effects of a foreign direct investment on the environment and sustainable development could be positive or negative.To design a clear, transparent, stable and consistently applied environmental regulatory system that can serve as an attraction for foreign investors who want to be able to predict their costs and returns and to be assured that these costs are stable and common to all competitors. The evidence tell us that no consistent or automatic relationship between FDI and positive externalities in developing countries.the impacts of FDI have been found to be highly heterogenous, differing by country, region, industry and even corporation.This paper argues that the impact of foreign direct investment on environmental regulation of the host country is conditioned by the host country’s political system. Global and regional trade and investment rules directly limit requirements host contry governments can place on multinational corporations.In the absence of global environmental or corporate responsibility standards,competition between states for FDI puts a downward pressure on national environmental policy.while other social forces,including citizen demand, push environmental standards up, the counteracting pressure of competition for FDI keeps them "stuck in mud ".That is, it slows the rate of innovation in response to environmental threats.Finally, I propose that foreign investment and environmental protection should be coordinated. For example, at the national level, to capture the sustainability spillover of foreign investment, partnership development of multinational companies and host government and social groups should be established. Transnational corporations should become partners, while the regulation of "from bottom to up " is essential to balance the relationship between environment and FDI. The conclusion considers what changes in the global governance of investment would work in concert with a development partnership model to increase the potency of FDI in delivering positive spillovers.更多还原