【摘要】：FDI對促進中國出口、經(jīng)濟增長和產(chǎn)業(yè)升級發(fā)揮了重要作用,廢棄物進口也解決了一些地區(qū)和行業(yè)的能源和原材料短缺問題。但如果我們將環(huán)境容量作為資源要素,將環(huán)境資源稟賦納入H-O模型,發(fā)現(xiàn)現(xiàn)實中的跨國污染轉(zhuǎn)移已影響到中國的可持續(xù)發(fā)展,并且伴隨中國經(jīng)濟的不斷增長,跨國污染轉(zhuǎn)移形式已由直接進入轉(zhuǎn)為滲透進入,滲透特征由“北南單向滲透”發(fā)展到與“東西單向滲透”并存,由傳統(tǒng)制造業(yè)的伴隨性滲透發(fā)展到高新技術(shù)行業(yè)的隱蔽滯后性滲透等,但目前學者還沒有對此進行研究并給出理論解釋,因而也就忽略了要素跨國流動引致滲透污染的比較利益扭曲問題。鑒于此,本文立足跨國污染轉(zhuǎn)移現(xiàn)狀,從跨國污染轉(zhuǎn)移對中國的滲透特征及時空演變出發(fā),沿著貿(mào)易和投資兩條主線展開對滲透特征的理論和實證分析,而跨國污染轉(zhuǎn)移對中國的滲透特征形成機理主要是信息障礙,因此化解信息障礙的制度安排是治理跨國污染轉(zhuǎn)移的關(guān)鍵,通過矯正信息扭曲進而矯正利益扭曲,達到對外開放與環(huán)境保護的良性互動。 跨國污染轉(zhuǎn)移對中國的滲透可歸結(jié)為伴隨性、隱蔽滯后性和產(chǎn)業(yè)鏈污染三大特征： 一是伴隨性滲透特征�？鐕廴巨D(zhuǎn)移伴隨中國經(jīng)濟增長具有在全球分布的由發(fā)達國家向發(fā)展中國家的“北南單向滲透”特征,在中國國內(nèi)同時具有由東部沿海地區(qū)向中西部地區(qū)的“東西單向滲透”特征。廢棄物進口對中國的“伴隨性”滲透污染主要表現(xiàn)在禁止進口的有害廢棄物以自動類或限制類固體廢物進口名義夾帶、欺騙或走私引致的滲透污染。伴隨外資準入制度和技術(shù)引進的滲透污染主要表現(xiàn)在污染密集型行業(yè)和外資壟斷行業(yè),部分高新技術(shù)行業(yè)也具有伴隨性滲透特征。 二是隱蔽滯后性滲透特征。通過瞞報、夾帶等手段以可資源化廢棄物名義走私有害廢棄物,以及大部分可資源化廢物在堆放、再加工、消費等過程產(chǎn)生隱蔽滯后性滲透污染。由于高新技術(shù)特征掩蓋了一些環(huán)保方面的隱患,因此FDI進入高新技術(shù)行業(yè)引致的隱蔽滯后性滲透污染更嚴重,其危害難以計量甚至不可逆。 三是產(chǎn)業(yè)鏈滲透特征。不僅傳統(tǒng)制造業(yè)、勞動密集型加工貿(mào)易環(huán)節(jié),而且高新技術(shù)行業(yè),特別是IT產(chǎn)品制造的層層外包致使“產(chǎn)業(yè)鏈滲透污染”包括IT產(chǎn)品的整個生產(chǎn)過程到最后的報廢�？稍偕筒豢稍偕Y源加工行業(yè)也存在產(chǎn)業(yè)鏈滲透特征。 本文在以下方面有創(chuàng)新性探索： 第一,研究視角和方法的創(chuàng)新。從要素的跨國流動及時空演變視角探討跨國污染轉(zhuǎn)移對中國的滲透特征,從信息扭曲視角分析跨國污染轉(zhuǎn)移對中國的滲透特征形成機理并提出化解信息障礙的制度安排有一定的理論和實際意義。研究方法除采用理論分析和一定的定量分析外,因隱蔽滯后性滲透污染、產(chǎn)業(yè)鏈滲透污染缺乏統(tǒng)計數(shù)據(jù),還大量采用典型案例剖析跨國污染轉(zhuǎn)移對中國的滲透特征。 第二,從貿(mào)易和投資兩條途徑逐層剖析跨國污染轉(zhuǎn)移對中國的滲透特征。一方面,廢棄物進口對中國的滲透污染具有伴隨性、隱蔽滯后性和產(chǎn)業(yè)鏈污染滲透特征,而可資源化廢棄物“合法”進口對中國的滲透污染更具隱蔽滯后性。另一方面,跨國污染行業(yè)轉(zhuǎn)移對中國的滲透特征主要表現(xiàn)在傳統(tǒng)制造業(yè)的“伴隨性污染”滲透特征、高新技術(shù)行業(yè)的“隱蔽滯后性污染”滲透特征、加工貿(mào)易及資源加工行業(yè)的“產(chǎn)業(yè)鏈污染”滲透特征。而中國IT行業(yè)FDI引致土壤污染典型案例分析進一步驗證了跨國污染轉(zhuǎn)移對中國的滲透主要通過投資途徑,而土壤污染是中國目前面臨的主要環(huán)境問題。 第三,揭示了利益扭曲引致信息扭曲是跨國污染轉(zhuǎn)移對中國的滲透特征形成的主要機理,因此治理跨國污染轉(zhuǎn)移需從化解信息障礙出發(fā),并最終協(xié)調(diào)跨國污染轉(zhuǎn)移相關(guān)利益主體的利益關(guān)系。
[Abstract]:FDI plays an important role in promoting China's export, economic growth and industrial upgrading. Waste imports have also solved the shortage of energy and raw materials in some regions and industries. However, if we take environmental capacity as a resource factor, we incorporate the endowment of environmental resources into the H-O model, and the transnational pollution transfer in reality has affected China. Sustainable development, and with the continuous growth of China's economy, the form of transnational pollution transfer has been transferred from direct entry to infiltration, and permeation characteristics from "north and South unidirectional infiltration" to "East and West unidirectional infiltration", with the concomitant permeation of traditional manufacturing industry to the hidden and lagging penetration of high new technology industries. In view of this, this paper, based on the current situation of transnational pollution transfer, starts with the two main lines of trade and investment, based on the current situation of transnational pollution transfer and the infiltration characteristics and temporal spatial evolution of transnational pollution transfer to China. The theoretical and empirical analysis of the penetration characteristics, and the formation mechanism of China's infiltration characteristics by transnational pollution transfer is mainly information barrier, so the system arrangement to dissolve the information barrier is the key to control transnational pollution transfer. By correcting the distortion of information and correcting the interest distortion, it can achieve a benign interaction between external opening and environmental protection.
The infiltration of transnational pollution transfer to China can be attributed to three characteristics: concomitant, hidden hysteresis and industrial chain pollution.
The first is the characteristic of concomitant osmosis. The transnational pollution transfer has the characteristic of "north and South unidirectional infiltration" from developed countries to the developing countries along with the global distribution of China's economic growth. In China, it has the "East and West infiltration" characteristics from the eastern coastal areas to the central and western regions. "Sexual" infiltration is mainly manifested in the prohibition of the import of hazardous wastes in the nominal or restricted import of solid waste, and to deceive or smuggle the resulting infiltration pollution. Concomitant osmotic characteristics.
The two is the feature of concealed lag penetration. By means of concealment, entrainment, and other means to smuggle harmful waste in the name of resources, and most of the waste in the process of storage, reprocessing, consumption and so on produce hidden lag seepage pollution. Because of the high and new technology features concealment of some environmental problems, FDI entered high and new. The hidden hysteresis caused by the technology industry is more serious, and its harm is difficult to measure or even irreversible.
The three is the characteristics of industrial chain infiltration. Not only the traditional manufacturing, labor intensive processing trade links, but also the hi-tech industries, especially the layers of IT product manufacturing, cause the "industrial chain infiltration pollution", including the whole production process of IT products to the final scrap. Characteristics.
This article has innovative exploration in the following aspects:
First, we study the innovation of perspective and method. From the perspective of transnational flow and spatio-temporal evolution of the elements, this paper discusses the infiltration characteristics of transnational pollution transfer to China. It has some theoretical and practical significance to analyze the formation mechanism of transnational pollution transfer to China and put forward the institutional arrangement to resolve information barriers from the perspective of information distortion. In addition to the theoretical analysis and a certain quantitative analysis, the infiltration pollution of the industrial chain is lack of statistical data because of the hidden lag and infiltration, and a large number of typical cases are used to analyze the infiltration characteristics of transnational pollution transfer to China.
Second, from the two ways of trade and investment, it analyzes the infiltration characteristics of transnational pollution transfer to China layer by layer. On the one hand, the infiltration pollution of waste imports to China is adjoint, concealed lag and industrial chain pollution infiltration characteristics, but the "legal" import of resource waste is more concealed and lagging for China's infiltration pollution. On the other hand, the infiltration characteristics of transnational pollution industry to China are mainly manifested in the characteristics of "concomitant pollution" in traditional manufacturing industry, the infiltration characteristics of "hidden lag pollution" in high and new technology industries, and the infiltration of "industrial chain pollution" in the processing trade and the resource processing industry, and the typical soil pollution caused by FDI in China's IT industry is typical. The case study further proves that transnational pollution transfer to China is mainly through investment, and soil pollution is the main environmental problem facing China at present.
Third, it reveals that the distortion of information caused by interest distortions is the main mechanism of the infiltration of transnational pollution to China. Therefore, the management of transnational pollution transfer should start from dissolving the information barriers and ultimately coordinate the interests of the stakeholders of transnational pollution transfer.
【學位授予單位】：浙江大學
【學位級別】：博士
【學位授予年份】：2010
【分類號】：F832.6;X196

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