碳关税的实施机制及其对我国出口贸易的影响
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摘要
全球气候变化问题受到越来越多的国际社会的关注,全球性的温室气体减排政策将在国际范围内实施。《京都议定书》明确规定发达国家与发展中国家之间负有“共同担有区别的责任”,即发达国家承担有约束力的量化减排指标,而发展中国家暂不承担减排限额。欧美发达国家便借以对从发展中国家进口的高碳产品征收惩罚性的碳关税以压迫发展中国家与其实施同标准减排措施,其本质是-种新型的贸易保护主义。碳关税的滥觞可追溯到法国前总统希拉克最早提出的对未遵守《京都议定书》或没有承担减排义务的国家的产品征收边境调节税,而美国众议院于2009年6月底通过的一项征收进口产品“边界调节税”法案,则被视为第一个将碳关税实施的具体时间以法律形式进行明确的安排。随即我国政府明确表示反对碳关税,并在哥本哈根世界气候大会上与美国为代表的发达国家进行了激烈的交锋。本文就是在这样的宏观背景下,对碳关税的实施机制及其对我国的进出口贸易影响进行深入的研究。
本文的研究通过四个层次展开：首先,探讨碳关税的基本概念及理论基础,包括碳关税的基本概念、提出与立法现状、性质及特征分析、效应分析,为本文碳关税研究奠定理论基础。其次,进行碳关税合理性、合法性分析及发展趋势分析,主要是基于现实的与历史的角度进行合理性分析,通过逐条分析GATT的“最惠国待遇条款”、“国民待遇条款”以及“例外条款”,来界定碳关税的合法性,并通过碳关税博弈机制分析进行发展预测,以为本文最后碳关税政策建议提供法律基础。再次,探讨碳关税的征收对我国出口贸易的影响,并对我国传统高耗能产业进行实证分析。最后,提出应对碳关税的政策建议。
通过逐条分析GATT的“最惠国待遇条款”、“国民待遇条款”和“例外条款”,就现阶段来说,不能说美国的碳关税违反了WTO的基本规则。伴随全球环境问题的日益严峻,WTO在环境与贸易问题上的立场已经发生了微妙变化,碳关税事实上已经被时代所接受。短期来看,我国高耗能产业和低耗能产业均受到碳关税不同程度的冲击,但长期来看,有利于我国工业部门的产业升级。低碳时代的来临,碳关税已不可避免,鉴于碳关税对我国不同行业出口贸易的影响,我国应积极采取多方面的策略予以应对。在国际层面上,要坚决反对发达国家以单边标准征收碳关税,积极开展气候外交营造良好外部环境,积极参与国际气候合作制定出有利于我国的新规则；在国内层面上,要着手三个结构与一个机制的建设,即调整产业结构,优化能源结构,优化出口贸易结构,积极完善国内减排交易机制。
Global climate changes have attracted more and more international attentions. The global greenhouse gas emission reduction policies will be implemented in the international scope."Kyoto Protocol" defined clearly the "common but differentiated responsibilities" between developed countries and developing countries, namely that the developed countries undertake quantified emission reduction targets, while developing countries do not undertake emission reduction quota. The developed countries in Europe and America then tried to impose punitive carbon tariffs on high carbon products imports from developing countries to oppress the developing countries to implement the same standard emission reduction measures, which in essence is a kind of new trade protection the doctrine. Origin of carbon tariff can be traced to the former French President Chirac's first proposition of imposing border adjustment to the "Kyoto Protocol" non-compliance or no emission reduction obligations of national product. The border tax adjustment act aiming at imports collection, which is regarded as the first law with the specific implementation time passed by the United States House in June2009. Subsequently and clearly, the Chinese government expressed opposition to carbon tariffs, and fiercely confronted to the United States, the representative of the developed countries, in world climate conference in Copenhagen. In such a macro background, this paper develops an in-depth study on the theory of mechanism of carbon tariff and import&export trade impact on china.
This study develops in four steps. Firstly, discuss the basic concepts and theoretical basis of carbon tariff, including the meanings, proposed backgrounds, legislative status, nature and characteristics analysis, and the effects of carbon tariff, which lays the foundation for the following research of this paper. Secondly, analyze the rationality in the reality and historical perspective, the legitimacy mainly through the analysis of GATT "most-favored-nation treatment clause","national treatment" and "exception" to define the carbon tariff, and the development trend of carbon tariff by game mechanism analysis, which provide reasonably a legal basis for our policy recommendations of carbon tariff. Thirdly, explore the impact of carbon tariffs on China's export trade, to make empirical analysis about export impact on China's traditional industries of high energy consumption. Finally, propose the policy recommendations of carbon tariff.
Through a detailed analysis of "most-favored-nation treatment clause","national treatment" and "exception" of GATT, at this stage, we cannot say the carbon tariffs of the United States broke the basic rules of WTO. With the global environmental problems becoming more and more serious, the standpoint about WTO on the environment and trade has undergone a subtle change that carbon tariff is being accepted by the age. In the short term, China's high energy-consuming industries and low energy industry are subject to varying degrees of impact of carbon tariffs, but in the long term, carbon tariff is good for China's industry upgrade. With the coming of Low carbon era, carbon tariff is inevitable. Considering the impact of carbon tariff on different sectors of China's import and export trade, China should actively adopt various strategies to cope with it. On the one hand, China must oppose resolutely to the developed countries' unilateral standards on carbon tariffs imposing, actively carry out the climate diplomacy to create a favorable external environment, and actively participate in international climate cooperation to establish the new rules in favor of China; On the other hand, China should start constructions of three structures and a machine system, namely, the adjustment of industrial structure, the optimization of energy structure, export trade structure, and the improvement of the domestic emissions trading mechanism.
本文的研究通过四个层次展开：首先,探讨碳关税的基本概念及理论基础,包括碳关税的基本概念、提出与立法现状、性质及特征分析、效应分析,为本文碳关税研究奠定理论基础。其次,进行碳关税合理性、合法性分析及发展趋势分析,主要是基于现实的与历史的角度进行合理性分析,通过逐条分析GATT的“最惠国待遇条款”、“国民待遇条款”以及“例外条款”,来界定碳关税的合法性,并通过碳关税博弈机制分析进行发展预测,以为本文最后碳关税政策建议提供法律基础。再次,探讨碳关税的征收对我国出口贸易的影响,并对我国传统高耗能产业进行实证分析。最后,提出应对碳关税的政策建议。
通过逐条分析GATT的“最惠国待遇条款”、“国民待遇条款”和“例外条款”,就现阶段来说,不能说美国的碳关税违反了WTO的基本规则。伴随全球环境问题的日益严峻,WTO在环境与贸易问题上的立场已经发生了微妙变化,碳关税事实上已经被时代所接受。短期来看,我国高耗能产业和低耗能产业均受到碳关税不同程度的冲击,但长期来看,有利于我国工业部门的产业升级。低碳时代的来临,碳关税已不可避免,鉴于碳关税对我国不同行业出口贸易的影响,我国应积极采取多方面的策略予以应对。在国际层面上,要坚决反对发达国家以单边标准征收碳关税,积极开展气候外交营造良好外部环境,积极参与国际气候合作制定出有利于我国的新规则；在国内层面上,要着手三个结构与一个机制的建设,即调整产业结构,优化能源结构,优化出口贸易结构,积极完善国内减排交易机制。
Global climate changes have attracted more and more international attentions. The global greenhouse gas emission reduction policies will be implemented in the international scope."Kyoto Protocol" defined clearly the "common but differentiated responsibilities" between developed countries and developing countries, namely that the developed countries undertake quantified emission reduction targets, while developing countries do not undertake emission reduction quota. The developed countries in Europe and America then tried to impose punitive carbon tariffs on high carbon products imports from developing countries to oppress the developing countries to implement the same standard emission reduction measures, which in essence is a kind of new trade protection the doctrine. Origin of carbon tariff can be traced to the former French President Chirac's first proposition of imposing border adjustment to the "Kyoto Protocol" non-compliance or no emission reduction obligations of national product. The border tax adjustment act aiming at imports collection, which is regarded as the first law with the specific implementation time passed by the United States House in June2009. Subsequently and clearly, the Chinese government expressed opposition to carbon tariffs, and fiercely confronted to the United States, the representative of the developed countries, in world climate conference in Copenhagen. In such a macro background, this paper develops an in-depth study on the theory of mechanism of carbon tariff and import&export trade impact on china.
This study develops in four steps. Firstly, discuss the basic concepts and theoretical basis of carbon tariff, including the meanings, proposed backgrounds, legislative status, nature and characteristics analysis, and the effects of carbon tariff, which lays the foundation for the following research of this paper. Secondly, analyze the rationality in the reality and historical perspective, the legitimacy mainly through the analysis of GATT "most-favored-nation treatment clause","national treatment" and "exception" to define the carbon tariff, and the development trend of carbon tariff by game mechanism analysis, which provide reasonably a legal basis for our policy recommendations of carbon tariff. Thirdly, explore the impact of carbon tariffs on China's export trade, to make empirical analysis about export impact on China's traditional industries of high energy consumption. Finally, propose the policy recommendations of carbon tariff.
Through a detailed analysis of "most-favored-nation treatment clause","national treatment" and "exception" of GATT, at this stage, we cannot say the carbon tariffs of the United States broke the basic rules of WTO. With the global environmental problems becoming more and more serious, the standpoint about WTO on the environment and trade has undergone a subtle change that carbon tariff is being accepted by the age. In the short term, China's high energy-consuming industries and low energy industry are subject to varying degrees of impact of carbon tariffs, but in the long term, carbon tariff is good for China's industry upgrade. With the coming of Low carbon era, carbon tariff is inevitable. Considering the impact of carbon tariff on different sectors of China's import and export trade, China should actively adopt various strategies to cope with it. On the one hand, China must oppose resolutely to the developed countries' unilateral standards on carbon tariffs imposing, actively carry out the climate diplomacy to create a favorable external environment, and actively participate in international climate cooperation to establish the new rules in favor of China; On the other hand, China should start constructions of three structures and a machine system, namely, the adjustment of industrial structure, the optimization of energy structure, export trade structure, and the improvement of the domestic emissions trading mechanism.
引文
[01]李平,李淑云,沈得芳.碳关税问题研究：背景、征收标准及应对[J].国际金融研究,2010,9：71-78.
[02]沈可挺.碳关税争端及其对中国制造业的影响[J].中国工业经济,2010(1).
[03]李晓玲,陈雨松.“碳关税”与WTO规则相符性研究[J].国际经济合作,2010，3：77-81.
[04]潘辉.美国碳关税政策的政治经济学分析—基于美国国内利益集团与政府博弈的视角[J].亚太经济,2011,3：61-66.
[05]刘天姿,陈彬.“碳关税”措施在GATT/WTO体制中的合法性研究[J].国际经贸探索,2011,27(4)：34-39.
[06]孟凡娟.国际视野下“碳关税”的法律分析[J].法制与社会,2011，01：103-104.
[07]王海峰.WTO制度下碳关税制度分析[J].法制与社会,2011,3：24-29.
[08]佟占军.WTO规则视野下的“碳关税”解析[J].北京农学院学报,2011,26(1)：33-36.
[09]夏璐.国际法律框架下的“碳关税”合法性分析[J].法制与社会,2010，03：103-104.
[10]杨明珠.碳关税的法律解读与中国的立场[J].西南石油大学学报,2011,13(3)：36-39,98.
[11]刘继根.碳关税在WTO体制内的合法性探析[J].陕西省政法管理干部学院学报,2011,24(2)：41-42.
[12]周跃雪.“碳关税”的法律分析—兼论WTO环境规则[J].商业时代,2011，9：106-107.
[13]刘流.“碳关税”在WTO框架下的合法性研究[D].郑州：郑州大学,2012.
[14]谢来辉.应对气候变化的边境调节税研究[D].北京：中国社会科学院世界经济与政治系,2008.
[15]孟祺,贺立.碳排放规制下中国对外贸易的发展[J].2010(6).
[16]沈可挺,李钢.碳关税对中国工业品出口的影响—基于可计算一般均衡 模型的评估[J].财贸经济,2011,1：75-82.
[17]鲍勤,汤铃,杨列勋.美国征收碳关税对中国的影响：基于可计算一般均衡模型的分析[J].管理评论,2010(6)：25-33.
[18]Christopher L. Webera, Glen P. Petersb. Climate change Policy and international trade:Policy considerations in the US [J]. Energy Policy,2009,37:432-440.
[19]Yan Dong, John whalley, Carbon Motivated Regional Trade Arrangements: Analytics and Simulations, NBER Working paper No.w14880, April 2009.
[20]Yan Dong, John Whalley. Carbon, Trade Policy and Carbon Free Trade Areas. The World Economy, Volume 33, Issue 9, Pages1073-1094, September 2010.
[21]Shurojit Chatterji, Sayantan Ghosal, Sean Walsh, John Whalley. Unilateral Measures and Emissions Mitigation. Working Paper 15441, No.14711,2009.
[22]Ben Lockwood, John Whalley. Carbon-motivated Border Tax Adjustments:Old Wine in Green Bottles? [J].The world economy,Volume33,issue6,Page810-819,June2010.
[23]李丹.碳关税对我国出口贸易的影响[D].合肥：安徽大学经济学院,2012.
[24]陈永超.碳关税的理论机制及对中国的影响研究[D].北京：北京林业大学,2011.
[25]黄文旭.碳关税相关概念辨析[J].岭南学刊,2011,1：70-75.
[26]李响.“碳关税”合法性分析及中国的对策[D].北京：外交学院,2010.
[27]于玲玲.碳关税对中国出口贸易的影响及对策研究[D].辽宁：辽宁大学,2012.
[28]杨飞龙.碳关税视阈下中国产业结构的调整[J].福建师范大学学报(哲学社会科学版),2011,170(5)：20-25.
[02]沈可挺.碳关税争端及其对中国制造业的影响[J].中国工业经济,2010(1).
[03]李晓玲,陈雨松.“碳关税”与WTO规则相符性研究[J].国际经济合作,2010，3：77-81.
[04]潘辉.美国碳关税政策的政治经济学分析—基于美国国内利益集团与政府博弈的视角[J].亚太经济,2011,3：61-66.
[05]刘天姿,陈彬.“碳关税”措施在GATT/WTO体制中的合法性研究[J].国际经贸探索,2011,27(4)：34-39.
[06]孟凡娟.国际视野下“碳关税”的法律分析[J].法制与社会,2011，01：103-104.
[07]王海峰.WTO制度下碳关税制度分析[J].法制与社会,2011,3：24-29.
[08]佟占军.WTO规则视野下的“碳关税”解析[J].北京农学院学报,2011,26(1)：33-36.
[09]夏璐.国际法律框架下的“碳关税”合法性分析[J].法制与社会,2010，03：103-104.
[10]杨明珠.碳关税的法律解读与中国的立场[J].西南石油大学学报,2011,13(3)：36-39,98.
[11]刘继根.碳关税在WTO体制内的合法性探析[J].陕西省政法管理干部学院学报,2011,24(2)：41-42.
[12]周跃雪.“碳关税”的法律分析—兼论WTO环境规则[J].商业时代,2011，9：106-107.
[13]刘流.“碳关税”在WTO框架下的合法性研究[D].郑州：郑州大学,2012.
[14]谢来辉.应对气候变化的边境调节税研究[D].北京：中国社会科学院世界经济与政治系,2008.
[15]孟祺,贺立.碳排放规制下中国对外贸易的发展[J].2010(6).
[16]沈可挺,李钢.碳关税对中国工业品出口的影响—基于可计算一般均衡 模型的评估[J].财贸经济,2011,1：75-82.
[17]鲍勤,汤铃,杨列勋.美国征收碳关税对中国的影响：基于可计算一般均衡模型的分析[J].管理评论,2010(6)：25-33.
[18]Christopher L. Webera, Glen P. Petersb. Climate change Policy and international trade:Policy considerations in the US [J]. Energy Policy,2009,37:432-440.
[19]Yan Dong, John whalley, Carbon Motivated Regional Trade Arrangements: Analytics and Simulations, NBER Working paper No.w14880, April 2009.
[20]Yan Dong, John Whalley. Carbon, Trade Policy and Carbon Free Trade Areas. The World Economy, Volume 33, Issue 9, Pages1073-1094, September 2010.
[21]Shurojit Chatterji, Sayantan Ghosal, Sean Walsh, John Whalley. Unilateral Measures and Emissions Mitigation. Working Paper 15441, No.14711,2009.
[22]Ben Lockwood, John Whalley. Carbon-motivated Border Tax Adjustments:Old Wine in Green Bottles? [J].The world economy,Volume33,issue6,Page810-819,June2010.
[23]李丹.碳关税对我国出口贸易的影响[D].合肥：安徽大学经济学院,2012.
[24]陈永超.碳关税的理论机制及对中国的影响研究[D].北京：北京林业大学,2011.
[25]黄文旭.碳关税相关概念辨析[J].岭南学刊,2011,1：70-75.
[26]李响.“碳关税”合法性分析及中国的对策[D].北京：外交学院,2010.
[27]于玲玲.碳关税对中国出口贸易的影响及对策研究[D].辽宁：辽宁大学,2012.
[28]杨飞龙.碳关税视阈下中国产业结构的调整[J].福建师范大学学报(哲学社会科学版),2011,170(5)：20-25.