全球化、自主研发与雾霾污染——机理分析及中国经验

从外商直接投资视角，结合中国创新驱动发展战略实施背景，构建“FDI－自主研发－雾霾污染”逻辑框架，基于中国省际面板数据，系统考察全球化影响雾霾污染的机理与效应。研究发现：①FDI通过产业结构和经济增长增加雾霾浓度，通过绿色技术与自主研发两个渠道有利于减霾；②FDI和自主研发协同在导致产业结构污染化的同时，产生了显著的绿色技术效应；③FDI对雾霾污染具有动态影响,当地区迈过一定经济发展门槛后，FDI对环境的影响由“污染天堂”效应转向“污染光环”效应。同时，FDI的“污染光环”效应随地区自主研发能力提升而增加；④雾霾污染在空间维度、时空双重维度上分别呈溢出效应和警示效应，且FDI通过环境“逐底竞争”和产业转移等途径加剧周边地区雾霾污染。因此，在顶层设计和全局规划的基础上，通过政策引导、创新驱动、联防联控等协同努力，可规避全球化带来的环境风险，实现开放发展与绿色发展双赢。

Globalization,Independent R&D and Haze Pollution

How to formulate an effective policy system according to specific national conditions,can ensure the enjoyment of the dividends brought by globalization without paying a heavy environmental cost From the perspective of FDI,combined with the background of China's implementation of innovation-driven development strategy,the logical framework of "FDI-Independent R&D-Smog Pollution" was constructed,and based on China's provincial panel data,this paper systematically studied the mechanism and effect of globalization on haze pollution.The main findings are:（1）FDI exacerbates haze pollution by the channels of industrial structure and economic growth,but can reduce haze pollution by the green technology effect and independent R&D effect.（2）While the synergistic effect of FDI and independent R&D promotes the pollution of the industrial structure,it does produce a significant green technology effect.（3）The effect of FDI on haze pollution has phased features.When the region has crossed a certain threshold of economic development,the impact of FDI on environment is transformed from the pollution heaven effect to the pollution halo effect.The pollution halo effect of FDI increases with the increasing of independent R&D capabilities in the region.（4）China's haze pollution presents the characteristic of the spillover effect from the spatial dimension,and presents the characteristic of alert effect from the dimension of time and space.Moreover,?FDI in the neighboring areas will increase the local haze pollution by the channels of the effect of race to the bottom and the effect of industrial transfer.Therefore,based on the top-level design and global planning,concerted efforts in the areas of policy guidance,innovation-driven,joint prevention and control,etc.,are conducive to avoiding the environmental risks brought about by globalization and achieving a win-win situation between open development and green development.