环境成本内在化、环境规制与贸易和环境的协调
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摘要
世界对贸易与环境问题的关注始于20世纪80年代,关于自由贸易的环境效应,一直存在着自由贸易论和环境保护论两种对立的观点,学者们就贸易对环境的影响、贸易的增长与环境库兹涅茨曲线的形状、环境规制及其与国际竞争力之间的关系等问题一直进行着不断的探讨。当今中国对外贸易总量日益增长,是全球许多商品的生产国,但是主要出口行业涉及环境敏感型行业,外贸增长是建立在资源耗减和环境损害的基础上的,对外贸易发展遭遇资源环境约束瓶颈,而且出口产品面临越来越严重的环境技术壁垒。
本文基于以上理论和现实背景,首先进行了贸易与环境冲突的理论分析,指出当前贸易活动存在的不可持续性,贸易自由化对环境的影响通过贸易的规模效应、结构效应、技术和产品效应以及规制效应体现出来,服务贸易同样具有环境效应,而且对环境的影响比较隐蔽和复杂。针对自由贸易与环境保护冲突的现实,论文从贸易主体作为经济人的假设、生态环境系统供给的有限性、贸易中成本与收益衡量方法的缺失等方面指出贸易与环境问题的根源在于生产和贸易活动与生态学规律的冲突。论文将生态系统和生态学规律与经济系统和经济规律作为一个整体加以考虑,从热力学定理中获得启示,指出不断扩大的贸易活动产生熵增,如果环境阈值被打破,生态系统将失去平衡。因此贸易是生态系统整体性的一种活动,贸易的发展和运行方式上必须考虑环境要素和环境成本,遵从生态系统整体性制约,与生态环境的整体性相平衡与协调。
其次,论文从环境外部性入手,提出环境成本包含了环境要素价格、企业损害环境成本和环境预防成本,并对环境成本做了计量。在此基础上通过不存在环境外部性情形、存在环境外部成本的情形和环境成本内在化效应分析,认为必须将生态环境资源受到的损害和应予的补偿体现在贸易产品和服务中,否则贸易带来的规模效应会加剧环境损害的程度。
接着论文以古典比较优势理论在环境保护目标下引发的问题为切入点,在考虑环境要素和环境成本情况下,对比较优势模型进行了修正。同时,分析了加入环境要素的H-O-V理论模型。指出在考虑环境成本和环境要素禀赋时比较优势将有可能发生变化,各国环境成本系数和环境规制的差异,将改变原来的专业化生产和贸易格局。目前发展中和欠发达国家的价格优势是建立在宽松的环境标准和廉价的减排成本上的,这种比较优势是非持续的,最终会失去。
为使环境成本内在化,必须实施环境规制措施。根据波特假说,论文认为原有的视环境规制与国际竞争力相冲突的观点是没有建立在创新基础上的静态观点。通过对环境规制激励的创新的福利效应分析,说明恰当的战略性环境规制不仅可以激励环保技术和环境友好型产业的创新,而且可以为提高竞争力带来先动优势。另外,通过环境规制措施和贸易政策措施的福利效应比较分析,得出一个基本结论:在存在最优环境规制措施下,贸易自由化比没有贸易的状况要好;征收关税或实施补贴的贸易措施可以在一定程度上改善环境,但在提高福利水平方面不如直接对污染源征税的环境措施,而且非合作的关税或制裁措施可能带来贸易扭曲和冲突;贸易措施是次优的,环境措施和规制是最优的。
理论分析之后,论文讨论了中国对外贸易增长方式与环境的冲突。一方面,中国对外贸易的迅速增长对环境质量产生了负面影响,通过主要工业制成品出口额和主要工业行业废水、废气和固体废物排放量的统计,说明无论从近年来我国主要工业行业出口贸易总额以及“工业三废”的变化来看,还是沿海开放地区的贸易总额和“工业三废”排放量的变化趋势的定量分析,均反映出我国制造业中具有出口优势的多为环境敏感型和污染密集型产业,随着出口贸易量的增多,其规模效应对我国的环境质量的负面作用将逐渐加大。另一方面,中国出口产品在国际市场面临日益增多的环境技术壁垒,影响了出口产品的规模和效益。
针对上述问题,论文认为必须将贸易与环境保护放在一个统一框架中考虑,先发展后环保的思路是不可取的,如果突破生态环境阈值,将造成不可逆转的环境影响。因此提出了协调中国贸易与环境的对策选择,包括:实施对外贸易与循环经济协同发展,从环境输出走向环境修复;建立以对外贸易环境密集度和环境效益为主的协调贸易与环境的评价指标体系;确定环境成本内在化原则,实施战略性环境规制与灵活关税措施结合使用;大力发展环境服务贸易,并建立环境技术创新与贸易、环境的互动机制等。
The concern about the issue of trade and environment began in 1980s. On the environmental effects of free trade, there have always existed two kinds of conflicting views: free trade theory and environmentalist. Scholars have been keeping on carrying out discussion about such questions as trade development and the EKC shape, the north-south trade effect on environment, and the relationship between the environmental regulation and international competitiveness. While the trade volume has been ever growing, China has become the processing plant for many global commodities. But the major exporting sectors are environment-sensitive industries and the trade growth is built on resource depletion and environmental damage. At present, its foreign trade development encounters resource-environmental constraint bottleneck and increasingly serious environmental technical barriers.
Based on above theoretical and practical background, this dissertation makes a theoretical analysis on the conflict between trade and environment and the non-sustainability of trade activity. The effects on environment of trade liberalization are embodied through scale effect, composition effect, technology and product effect, as well as regulation effect. Trade in service has more complicated and covert influences on environment, which are direct or indirect. From the aspects of economic man hypothesis, the limitation of ecological environment system supply and the drawback of cost-profit measurement method in trade, the dissertation points out that the root of the problem is the clash between the trade activities and ecological laws. Integrating the ecosystem and economic rules into an entirety and applying thermodynamics theorem, the dissertation indicates that economic activities including international trade has kept the entropy increasing and that the ecosystem will lose the balance if the environmental threshold is broken. Therefore, the development and operating mode of trade must comply with the overall ecosystem constraints, coordinating the holistic nature of ecological environment.
Secondly, beginning with the environmental externality, the dissertation elaborates that environmental costs (EC) consist of environmental factor price, environmental damage cost and contingent cost. Based on the EC measurement methods, study is made under the following situations: with and without environmental externality, internalization of environmental cost. It is essential to reflect the environmental damage and its compensation in traded goods and service pricing; otherwise the scale effect of trade will accelerate the environmental deterioration.
Facing the problem triggered by the conflict of classical comparative advantage theory and environmental protection, the dissertation revises the comparative advantage model by bringing into the environmental factor and cost. Meanwhile, H-O-V model is analyzed under the environmental factor situation. One nation’s comparative advantages will possiblily change when considering environmental factor endowments. The difference of environmental cost coefficient and environmental regulation among countries will alter the previous specialization and trade patterns. The present price advantages of developing countries, which based on lax environmental standards and lower abatement cost, are not sustainable and will lose in the ultimate.
Environmental regulation is the effective way to internalize the environmental cost. According to Porter Hypothesis, the dissertation argues that previous viewpoint, which claimed that environmental regulation clashing with international competitiveness is the static standpoint. By analyzing the welfare of innovation triggered by environmental regulation, it can be seen that proper strategic environmental regulation can stimulate environmental technology and industry innovation and bring first-mover advantages to enhance competitive edge. Some conclusions are made by comparing the welfare effects of environmental and trade measures: under the condition of optimal environmental measures, trade liberalization is better off than autarky; some trade measures such as tariff and subsidy can improve environment to some extent but is less effective than environmental measures in increasing welfare level. Therefore, trade measures are second best while the environmental regulation is optimal since the non-cooperative tariff or sanction probably brings trade distortion.
Then the dissertation discusses the conflict between China’s foreign trade growth and environment. On one hand, the rapid development of China’s foreign trade has negative influence on environment. This conclusion is made based on the export volume of major industrial sectors and on the change of“three waste emissions”(waste gas, waste water and solid waste emissions) of major industries as well as the interlinking between the trends in export volume and waste emissions in coastal open areas. Evidences prove that the increasingly expanding foreign trade has accelerated the negative effects on China’s environmental quality. On the other hand, China’s exports are confronting increasing environmental barriers, which have influenced the export scale and profit.
To solve the above problems, it is necessary to integrate trade development with environmental protection and abandon the idea of“development first, treatment later”. The irreversible environmental deterioration will appear if the ecological threshold is broken. Therefore, strategy for coordinating trade and environment should include: establish evaluation index system for trade and environment; implement circular economy in order to tend towards environment repairing from environment export; integrate the strategic environmental regulation with flexible tariff measures to internalize the environmental cost. Furthermore, the dissertation also elucidates that developing trade in environmental service and constructing interactive mechanism among environmental technology innovation, trade and environment are the effective methods to achieve the harmony of trade, environment and sustainable development.
本文基于以上理论和现实背景,首先进行了贸易与环境冲突的理论分析,指出当前贸易活动存在的不可持续性,贸易自由化对环境的影响通过贸易的规模效应、结构效应、技术和产品效应以及规制效应体现出来,服务贸易同样具有环境效应,而且对环境的影响比较隐蔽和复杂。针对自由贸易与环境保护冲突的现实,论文从贸易主体作为经济人的假设、生态环境系统供给的有限性、贸易中成本与收益衡量方法的缺失等方面指出贸易与环境问题的根源在于生产和贸易活动与生态学规律的冲突。论文将生态系统和生态学规律与经济系统和经济规律作为一个整体加以考虑,从热力学定理中获得启示,指出不断扩大的贸易活动产生熵增,如果环境阈值被打破,生态系统将失去平衡。因此贸易是生态系统整体性的一种活动,贸易的发展和运行方式上必须考虑环境要素和环境成本,遵从生态系统整体性制约,与生态环境的整体性相平衡与协调。
其次,论文从环境外部性入手,提出环境成本包含了环境要素价格、企业损害环境成本和环境预防成本,并对环境成本做了计量。在此基础上通过不存在环境外部性情形、存在环境外部成本的情形和环境成本内在化效应分析,认为必须将生态环境资源受到的损害和应予的补偿体现在贸易产品和服务中,否则贸易带来的规模效应会加剧环境损害的程度。
接着论文以古典比较优势理论在环境保护目标下引发的问题为切入点,在考虑环境要素和环境成本情况下,对比较优势模型进行了修正。同时,分析了加入环境要素的H-O-V理论模型。指出在考虑环境成本和环境要素禀赋时比较优势将有可能发生变化,各国环境成本系数和环境规制的差异,将改变原来的专业化生产和贸易格局。目前发展中和欠发达国家的价格优势是建立在宽松的环境标准和廉价的减排成本上的,这种比较优势是非持续的,最终会失去。
为使环境成本内在化,必须实施环境规制措施。根据波特假说,论文认为原有的视环境规制与国际竞争力相冲突的观点是没有建立在创新基础上的静态观点。通过对环境规制激励的创新的福利效应分析,说明恰当的战略性环境规制不仅可以激励环保技术和环境友好型产业的创新,而且可以为提高竞争力带来先动优势。另外,通过环境规制措施和贸易政策措施的福利效应比较分析,得出一个基本结论:在存在最优环境规制措施下,贸易自由化比没有贸易的状况要好;征收关税或实施补贴的贸易措施可以在一定程度上改善环境,但在提高福利水平方面不如直接对污染源征税的环境措施,而且非合作的关税或制裁措施可能带来贸易扭曲和冲突;贸易措施是次优的,环境措施和规制是最优的。
理论分析之后,论文讨论了中国对外贸易增长方式与环境的冲突。一方面,中国对外贸易的迅速增长对环境质量产生了负面影响,通过主要工业制成品出口额和主要工业行业废水、废气和固体废物排放量的统计,说明无论从近年来我国主要工业行业出口贸易总额以及“工业三废”的变化来看,还是沿海开放地区的贸易总额和“工业三废”排放量的变化趋势的定量分析,均反映出我国制造业中具有出口优势的多为环境敏感型和污染密集型产业,随着出口贸易量的增多,其规模效应对我国的环境质量的负面作用将逐渐加大。另一方面,中国出口产品在国际市场面临日益增多的环境技术壁垒,影响了出口产品的规模和效益。
针对上述问题,论文认为必须将贸易与环境保护放在一个统一框架中考虑,先发展后环保的思路是不可取的,如果突破生态环境阈值,将造成不可逆转的环境影响。因此提出了协调中国贸易与环境的对策选择,包括:实施对外贸易与循环经济协同发展,从环境输出走向环境修复;建立以对外贸易环境密集度和环境效益为主的协调贸易与环境的评价指标体系;确定环境成本内在化原则,实施战略性环境规制与灵活关税措施结合使用;大力发展环境服务贸易,并建立环境技术创新与贸易、环境的互动机制等。
The concern about the issue of trade and environment began in 1980s. On the environmental effects of free trade, there have always existed two kinds of conflicting views: free trade theory and environmentalist. Scholars have been keeping on carrying out discussion about such questions as trade development and the EKC shape, the north-south trade effect on environment, and the relationship between the environmental regulation and international competitiveness. While the trade volume has been ever growing, China has become the processing plant for many global commodities. But the major exporting sectors are environment-sensitive industries and the trade growth is built on resource depletion and environmental damage. At present, its foreign trade development encounters resource-environmental constraint bottleneck and increasingly serious environmental technical barriers.
Based on above theoretical and practical background, this dissertation makes a theoretical analysis on the conflict between trade and environment and the non-sustainability of trade activity. The effects on environment of trade liberalization are embodied through scale effect, composition effect, technology and product effect, as well as regulation effect. Trade in service has more complicated and covert influences on environment, which are direct or indirect. From the aspects of economic man hypothesis, the limitation of ecological environment system supply and the drawback of cost-profit measurement method in trade, the dissertation points out that the root of the problem is the clash between the trade activities and ecological laws. Integrating the ecosystem and economic rules into an entirety and applying thermodynamics theorem, the dissertation indicates that economic activities including international trade has kept the entropy increasing and that the ecosystem will lose the balance if the environmental threshold is broken. Therefore, the development and operating mode of trade must comply with the overall ecosystem constraints, coordinating the holistic nature of ecological environment.
Secondly, beginning with the environmental externality, the dissertation elaborates that environmental costs (EC) consist of environmental factor price, environmental damage cost and contingent cost. Based on the EC measurement methods, study is made under the following situations: with and without environmental externality, internalization of environmental cost. It is essential to reflect the environmental damage and its compensation in traded goods and service pricing; otherwise the scale effect of trade will accelerate the environmental deterioration.
Facing the problem triggered by the conflict of classical comparative advantage theory and environmental protection, the dissertation revises the comparative advantage model by bringing into the environmental factor and cost. Meanwhile, H-O-V model is analyzed under the environmental factor situation. One nation’s comparative advantages will possiblily change when considering environmental factor endowments. The difference of environmental cost coefficient and environmental regulation among countries will alter the previous specialization and trade patterns. The present price advantages of developing countries, which based on lax environmental standards and lower abatement cost, are not sustainable and will lose in the ultimate.
Environmental regulation is the effective way to internalize the environmental cost. According to Porter Hypothesis, the dissertation argues that previous viewpoint, which claimed that environmental regulation clashing with international competitiveness is the static standpoint. By analyzing the welfare of innovation triggered by environmental regulation, it can be seen that proper strategic environmental regulation can stimulate environmental technology and industry innovation and bring first-mover advantages to enhance competitive edge. Some conclusions are made by comparing the welfare effects of environmental and trade measures: under the condition of optimal environmental measures, trade liberalization is better off than autarky; some trade measures such as tariff and subsidy can improve environment to some extent but is less effective than environmental measures in increasing welfare level. Therefore, trade measures are second best while the environmental regulation is optimal since the non-cooperative tariff or sanction probably brings trade distortion.
Then the dissertation discusses the conflict between China’s foreign trade growth and environment. On one hand, the rapid development of China’s foreign trade has negative influence on environment. This conclusion is made based on the export volume of major industrial sectors and on the change of“three waste emissions”(waste gas, waste water and solid waste emissions) of major industries as well as the interlinking between the trends in export volume and waste emissions in coastal open areas. Evidences prove that the increasingly expanding foreign trade has accelerated the negative effects on China’s environmental quality. On the other hand, China’s exports are confronting increasing environmental barriers, which have influenced the export scale and profit.
To solve the above problems, it is necessary to integrate trade development with environmental protection and abandon the idea of“development first, treatment later”. The irreversible environmental deterioration will appear if the ecological threshold is broken. Therefore, strategy for coordinating trade and environment should include: establish evaluation index system for trade and environment; implement circular economy in order to tend towards environment repairing from environment export; integrate the strategic environmental regulation with flexible tariff measures to internalize the environmental cost. Furthermore, the dissertation also elucidates that developing trade in environmental service and constructing interactive mechanism among environmental technology innovation, trade and environment are the effective methods to achieve the harmony of trade, environment and sustainable development.
引文
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