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1、华中科技大学 博士学位论文 我国对外贸易与环境问题关系研究 姓名：刘林奇 申请学位级别：博士 专业：西方经济学 指导教师：张培刚;宋德勇 20090521 I 华 中 科 技 大 学 博 士 学 位 论 文 华 中 科 技 大 学 博 士 学 位 论 文 摘摘 要要 自由贸易可以从五个方面对环境施加影响：经济规模、产业结构、市场效率、 生产技术和环境政策。经济规模的扩大会提高环境污染水平；而市场效率、生产技 术的提高，以及环境政策趋于严厉，则会减少环境污染；产业结构对环境的影响呈 现出两面性，若扩张部门比收缩部门的污染性大，则产业结构的调整会增加环境污 染，反之则会减少环境污染。 当单独实施贸
2、易政策比单独实施环境政策治理环境污染效果要好时，两个政策 结合起来一起使用比单独实施贸易政策效果要好。因此单独实施贸易政策用于治理 环境污染，其效果永远不是最优的。 与环境有关的环境措施主要分为三类：一是直接管理措施；二是自愿安排措施； 三是经济激励措施。 静态环境政策的贸易效应可从环境比较优势和生态倾销两个方面进行分析； 单边 动态环境政策贸易效应可从出口成本效应、出口创新效应、贸易流向逆转效应，和 绿色贸易壁垒四个方面进行分析。 双边动态环境政策贸易效应可从三个方面进行分析。 当双方不合作时， 若进行古 诺数量竞争，则双方都有降低环境标准的趋势；若进行贝特兰价格竞争，则双方都 有提高环境标
3、准的趋势。当双边选择合作时，结果是环境标准不断提高和出口增加， 但环境质量维持不变。 近年来我国对外贸易发展迅速，但环境污染则十分严重。从实证结果来看，规模 效应和结构效应加剧了环境污染；技术效应和市场效率效应降低了环境污染；环境 政策效应减少了东部地区的污染，但增加了中部和西部的污染。总体上讲，我国对 外贸易对东部地区的环境有积极影响，对中部和西部地区的环境则有负面影响，中 西部地区存在“污染天堂”的现象。对于工业行业进出口结构环境效应而言，不同 的工业行业对外贸易对环境的影响是不同的。 我国环境管制出口成本效应和出口创新效应均存在； 我国环境管制进口成本效应 II 华 中 科 技 大 学
4、博 士 学 位 论 文 华 中 科 技 大 学 博 士 学 位 论 文 存在，但进口创新效应不存在。 联合国处理贸易与环境关系时更多地强调了国际合作的重要性；OECD 处理贸 易与环境关系时强调要坚持污染者付费、协调、国民待遇和非歧视以及补偿性进口 税与出口折扣等四项原则。 我国在处理对外贸易与环境问题关系时存在着重贸易，轻环保等问题。为了使 我国的对外贸易与环境走向良性循环，必须做好如下工作：一是要走可持续发展的 道路；二是要努力实现环境成本内部化；三是要进行有效的国际合作。 关键词：关键词：对外贸易 环境污染 协调发展 效应 III 华 中 科 技 大 学 博 士 学 位 论 文 华 中
5、科 技 大 学 博 士 学 位 论 文 Abstract Free trade may exert its influences on the environment from five aspects as follows: economical scale, industrial structure, market efficiency, production technology and environmental policy. The expansion of economical scale can raise the environmental pollution level;
6、the improvement of market efficiency and the production technology and the severe environmental policy can then reduce the environmental pollution; the influence exerted by industrial structure on environment presents a dual character: if the pollution coming from the expansion department is bigger
7、than that from the contraction department, the adjustment of industrial structure will increase the environmental pollution, otherwise it will reduce it. When the effect brought by the trade policy alone is better than the one brought by the environmental policy alone in controlling environmental po
8、llution, the effect will be even better when the two are combined. As a result, using the trade policy alone to deal with environmental pollution is never a best approach. Trade-Related Environment Measures are divided into three categories basically: direct management, voluntary arrangement and eco
9、nomical encouragement. The trade effect of static environment policy can be analyzed in the following two aspects: environment comparison superiority and ecology dumping. The trade effect of unilateral dynamic environmental policy can be analyzed in the following four aspects: export cost effect, ex
10、port innovation effect, trade inversion effect, and green trade barriers. The trade effect of bilateral dynamic environmental policy can be analyzed in three aspects. When both sides do not cooperate, and carry on the Cournot quantity competition, both of them would lower their environmental standar
11、d; when both sides do not cooperate, and carry on the Barrett price competition, both of them would raise their environmental standard; when both sides cooperate, their environmental standard would be improved unceasingly and their export would increase, but their environment quality would be invari
12、able. IV 华 中 科 技 大 学 博 士 学 位 论 文 华 中 科 技 大 学 博 士 学 位 论 文 Our foreign trade has developed rapidly, but the problem of environmental pollution has been very serious in recent years. As an empirical example, the effects of scale and structure aggravated environment pollution, while the effects of techn
13、ology and market efficiency decreased environment pollution. Although environmental policy effect reduced environment pollution in the eastern region, it increased environment pollution in the central and western regions. Generally speaking, environmental effect had a positive effect on the eastern
14、region, but it had a negative effect on the middle and western regions. So the phenomenon of “pollution heaven” existed in the mid-west area. As far as the environment effect of import and export structure of industry was concerned, different foreign trade of industries had different effect on Envir
15、onment. Both the export cost effect and export innovation effect of environmental regulation existed in China. Although the import cost effect of environmental regulation existed in China, import innovation effect did not exist. The United Nations pays more attention to the international cooperation
16、 in dealing with the relations between trade and environment. OECD emphasizes four principles in dealing this relationship: expenses paid by the pollutant, coordination, national treatment and non-discrimination, as well as redemptive import duty and export discount. Many problems exist in China when dealing with the relations between trade and environment; for example, China respects foreign trade, but despises environment protection. In order to move our foreign trade and environment towa
