【作者】 狄琳娜；

【导师】 刘恩专；

【作者基本信息】 天津财经大学 ， 国际贸易学， 2013， 博士

【摘要】 人们对气候变化、碳排放这一全球公共产品市场失灵问题的关注,导引出了旨在减排的一种全新的对外贸易政策措施一一碳边境调节措施。本文从经由对外贸易形成转移温室气体排放的现实出发,对碳边境调节措施的作用机理、发展趋势、经济影响及其替代政策进行全面而系统的研究。文章的研究思路是：基于减排的贸易政策研究文献以及基础理论的综述,从碳边境调节措施的实施背景、最新进展和各方政策反应的现实出发、对碳边境调节措施的作用机理、在WTO体系下的合法性及其局部均衡效应进行系统阐述,进而对碳边境调节措施的经济效应与贸易影响、实施方案及替代政策的选择等进行深入分析,并针对中国实际提出相关政策建议。文章认为,由于一些国家曲解WTO规则和贸易措施决策机制,碳使GATT一般例外条款被滥用,致使碳边境调节措施违背WTO旨在运用该条款协调贸易与环境发展矛盾的初衷。本文通过分析碳边境调节措施在GATT/WTO框架下的违法性和不可操作性,指出其“以环境保护之名,行贸易保护之实”的本质。在此基础上,文章对与旨在减少转移排放的贸易政策相近的国内政策和国际规则的政策效果进行比较研究,指出了碳边境调节措施是各国利益平衡机制下的贸易保护政策选择的结果。本文试图寻找有效减少碳排放、避免贸易保护主义发生的碳边境调节措施的替代方案,即基于多中心理论建立多中心碳排放交易市场,可以将当今世界各国已经建立起来的分散的碳交易市场以多中心的方式联合起来,来减少温室气体因各碳交易市场的价格差异而出现的转移排放。文章指出为了防止转移排放的发生,应采用碳排放密度控制法,它可以在没有设定排放量最高限额的情形下,促使企业主动寻找低碳环保的生产方法和绿色能源。从国内政策层面,本文指出,要完善现有仅对企业实行的碳排放配额分配方案一一纳入居民家庭的有偿碳排放配额分配法。本文的主要创新之处：(1)从经济学作用机理、WTO规则的适用性,以及具体实施细节等多个角度,综合论述碳边境调节措施的合法性和可行性,并基于欧盟对航空业实行的碳边境调节的最新进展,进一步论证碳边境调节措施实施的可能性、根源、渗透性及其深远的经济影响；(2)基于多中心理论探讨解决碳排放问题的有效方案途径,从全球公共产品的视角,提出应通过建立一种国际间竞争与合作关系并存的协调机制,来解决全球减少碳排放以应对气候变化的市场失灵问题,进而提出了替代碳边境调节措施的单位产出碳密集度法；(3)基于碳排放交易体系与碳税政策效果的分析,提出建立有效碳排放交易体系的具体做法,即纳入居民家庭的有偿碳排放配额分配法。(4)运用层次分析模型,对碳边境调节措施的3种实施方案进行比较分析,得出结论：碳边境调节措施仅对其他国家的碳减排具有威慑作用,没有直接促进其他国家减排的作用效果,还极有可能演变成新型的贸易壁垒、形成贸易保护,阻碍世界的自由贸易。本文还运用层次分析模型对碳边境调节措施及其3种替代政策：差异化多中心碳排放交易体系、单位产出碳排放密度标准和纳入居民家庭的碳排放交易体系4种碳减排方案,从普及性、公正性、可行性、减排效果和经济效率5个评价指标进行综合比较,排列出国际碳减排的优先方案次序,并选择出国际碳减排的最优方案。更多还原

【Abstract】 People concerns about the problem of climate change and the problem of global common goods market failure, which lead to a trade policy of greenhouse gas emission reduction-carbon border adjustment. Base on the fact that the transfer of greenhouse gas emission is through two ways:trade and foreign direct investment. Therefore, this thesis researches on the foreign trade policies to reduce the transfer emission, which are carbon border adjustment measures and the choice of their alternative policies. This dissertation makes a comprehensive and systematic study on the mechanism. The trends and the economic impact of carbon border adjustment and its alternative policies.The research idea of this thesis starts with the foreign trade policies of reducing the transfer emission, and researches on carbon border adjustment measures’implement background as well as policy responses from different parties. The thesis analyses Carbon border adjustment’s unlawfulness and Partial equilibrium effects in the system of WTO, then makes analysis of cases on the latest development of this measures, which is the practice of EU aircraft industry’s carbon emission border adjustment. The thesis believes that the measures which some countries have been taking of carbon border adjustment have abused of GATT’s escape clauses and violated WTO’s original intention, which aims to minimize the contradiction between development of trade and environment. By analyzing the illegality and impossibility of carbon border adjustment in the environment of WTO and GATT, the thesis points that the adjustment is implementing trade protection in the name of environment protection. Thesis compares the political effects of carbon border adjustment and the domestic policies and international regulations similar to the external trade policies reducing transfer emission. Then it draws the conclusion that the practice of carbon border the result of trade protection policies’options under the balance mechanism of each country’s interests. This thesis attempts to find the alternative projects and balance point of controlling carbon emission effectively and avoiding trade protectionism. It proposes that in the situation of transfer emission, the developed economies may adopt the carbon emission density control method, which is the second best option to reduce carbon emission. And the developing economies can use the Nobel laureate in economics, Elinor Ostrom’s poly-centric theory to establish a polycentric carbon emission trading market in the resident households. On the world level, it is workable to unite the dispersed carbon trading markets which the various countries have established to reduce the greenhouse gases’ transfer emission.This thesis analyzes that the basic reasons of the developed economies’abusing of carbon border adjustment measures are the carbon emission responsibility’s unreasonable allocation, the ecological orientation of trade policy decision-making mechanism, the trade regulations’improper use in domestic law. The thesis summarizes China’s foreign trade and domestic policy adjustments and the results for achieving the low-carbon economy goals It proposes the reasonable countermeasure for China to deal with the developed economies’ transfer emission, and to reduce carbon emission effectively from the angles of international organizations, domestic policies and foreign trade policies and measures.The main innovation of this thesis:(1) from the perspective of the economics mechanism of action, the applicability of WTO rules to analyze the legitimacy and feasibility of carbon border adjustment measures, and based on the EU aviation industry carbon tariff arrangements, further demonstrated the possibility,the origin, the permeability and its far-reaching economic impact of carbon border adjustment measures;(2) innovatively use the poly-centric theorem to explore effective scheme and approach to solve the problem of climate change. This thesis thinks that solve the problem of climate change belongs to the global common goods category, relying solely on one country or a few countries policy arrangement cannot solve the market failure of global common goods.While poly-centric theory show us the way to solve the problem. In order to solve problem of the reduction of global carbon emission, we should through the establish an international competition and cooperation coordination mechanism to deal with the problems of market failure of climate change. Then, proposed an alternative carbon border regulation unit outputs the carbon intensity of the law;(3) Based on the analysis of carbon emissions trading system and carbon tax policy’s effect, it proposes the effective practice of carbon emissions trading system, which is the paid carbon emission quota distribution method including the households.(4) It carries on the comparative analysis to3kinds of border carbon adjustment implementation plans by using analytical hierarchy process model. Then it comes to a conclusion that the border carbon adjustment measures only have a deterrent effect to other countries’ carbon emission reduction, but have no power to urge other countries to carry on carbon emission reduction. High possible it might evolve into the new trade tariff, form the trade protection and hinder the world free trade. This thesis carries on the comparative analysis to the border carbon adjustment implementation, differentiation center poly centric carbon emissions trading system, standard of unit output density of carbon emission, and the paid carbon emission quota distribution method which includes the households with5evaluation parameters including universality, impartiality, feasibility, the effect of the actual emission reduction and economic efficiency by using analytical hierarchy process model. Then it gives priority sequence scheme for international carbon emission reduction, and selects the best scheme of international carbon emission reduction.更多还原