【作者】 罗堃；

【导师】 张小蒂；

【作者基本信息】 浙江大学 ， 国际贸易学， 2009， 博士

【摘要】 比较利益是各国参与贸易的根本动因,也是理论界历来研究的重点。但传统贸易理论几乎很少考虑当代贸易中日益显著的环境效应及其对比较利益的影响,致使众多模型对当代贸易现实的解释发生偏离。随着环境资源日渐稀缺,部分学者开始打破这一窠臼,对贸易的环境效应问题展开分析。尽管如此,这些研究却往往忽视环境资源价格扭曲与“市场失灵”等重要的现实因素,因而也就忽略了环境效应与比较利益等方面的潜在扭曲效应。鉴于此,本文立足于中国要素(含环境资源)比价扭曲的现状,针对密集使用环境资源且在中国货物贸易中占据重要地位的能源密集型产品,对贸易的环境扭曲效应问题进行理论与实证分析。能源密集型产品贸易的环境影响可归结为规模、结构、技术三大效应,本文则揭示并验证了技术效应在其中的重要地位及其作用机理与影响因素,论证贸易参与方可通过提高人均收入水平、完善市场经济体制、加强清洁生产技术研发与人力资本积累、构建环境资源价格体系等多方面的努力,实现并扩大正向技术效应,从而尽可能使贸易有利于环境质量改善。通过改变技术效应以抑弊扬利的成效,却受到现实中要素比价扭曲的制约。基于要素比价扭曲的现状,对能源密集型产品贸易的环境效应进行理论分析与量值估计。结果表明,在要素比价扭曲的情况下,中国此类产品贸易的结构效应会发生方向或量值的扭曲,并会进一步制约正向技术效应的实现和扩大,从而导致贸易的环境效应发生一定形式的扭曲,即本文所定义的环境扭曲效应Ⅰ。随着贸易以某种扭曲的形式改变环境资源的相对稀缺性,中国能源密集型产品生产与出口部门使用此类资源而发生的环境代价势必受到影响。基于此类产品生产的要素特征,可将环境代价定义为能源机会成本与环境容量资源成本两个层次。其中,前者与中国落后生产方式所致的高能耗特征紧密相关,后者则反映了与污染相关的环境容量资源的动态相对稀缺性,并可采用大量、连续、竞争性的排污权交易形成的价格进行估算。其结果表明,中国在此类产品的出口贸易中发生了巨大的环境代价,但这些代价却并不包含于生产成本和出口价格中。因此,在要素比价扭曲的情况下,中国此类产品出口贸易的比较利益会发生扭曲,本文称之为环境扭曲效应Ⅱ。从理论上看,矫正上述双重环境扭曲效应的根本途径在于调整要素比价,逐步使产品的生产成本和出口价格包含相应的环境代价。然而,由于中国仅仅是能源密集型产品国际市场价格的接受者,且产品出口量额对出口价格的弹性大多为负,倘若中国实施环境代价的内部化并提高出口价格,将会导致出口量额减少,从而形成矫正环境扭曲效应与获取贸易利得之间的“两难”。对此所作的权衡表明,尽管调整要素比价是矫正环境扭曲效应并实现比较利益“净”增进的根本途径,但其方式与措施的设计却应能够使微观经济主体形成实施此类措施的内生激励,从而化解上述“两难”。为此,一个明智的选择是积极运用清洁发展机制(CDM)并有针对性地对其进行拓展与完善。通过与专业化的清洁生产技术创新和应用相关联、引入行业协会或企业联盟以及政府规划与协调下的专业化主体等多种途径,将可构建以多重激励相容为特征的新型CDM。这一新型模式可在调整要素比价的同时,使贸易对象、专业化主体等相关各方实现利益共赢、并向利益共生过渡,从而化解上述“两难”、经济且可持续地矫正环境扭曲效应。综上所述,本文尝试在以下方面作出创新:第一,突破现有贸易环境效应研究多限于规模、结构、技术等效应分解的窠臼,揭示并验证了技术效应的重要地位、影响因素及其与结构效应的潜在关联。第二,针对中国要素比价扭曲的现状进行拓展研究,逐层剖析了中国能源密集型产品贸易的双重环境扭曲效应,以及矫正环境扭曲效应与获取贸易利得之间可能的“两难”。第三,构建以多重激励相容为特征的新型CDM,以此化解上述“两难”、经济且可持续地矫正环境扭曲效应。通过以上创新性探索,不仅可拓展现有诸多理论,增强其对当代贸易现实的解释力;而且对于中国在能源密集型产品贸易、清洁生产技术创新和应用以及环境保护之间形成良性互动、实现比较利益增进,亦具有重要的现实意义。更多还原

【Abstract】 Comparative benefits are the essential motive for international trade, and also the keystone of academic research. However, traditional trade theories tend to ignore the increasingly significant environmental effects of trade and their impacts on comparative benefits, which makes them inadequate for the explanation of realities. With environmental resources becoming more and more scarer, some scholars make a breakthrough in their analyses on trade’s environmental effects. Nevertheless, they barely consider the distortion in prices of environmental resources and the resulting market failure, which in all probability will cause distortions in many aspects of trade realities including environmental effects and comparative benefits. In view of the above, this paper studies the environmental distortion effects of trade theoretically and empirically on the basis of price distortion and typical goods, namely energy-intensive goods which intensively use environmental resources during production and meanwhile take up a large portion of trade volume.According to present research, the environmental effects of energy-intensive goods trade can be decomposed into scale effect, composition effect and technique effect. Further, this paper demonstrates the importance of technique effect as well as its sources and influencing factors. It is argued that trade parties can achieve and augment positive technique effect by certain measures aimed to raise income level, perfect market economy and strengthen cleaner technology R&D and human capital accumulation as well as establishing market prices of environmental resources.Even so, the effectiveness of these measures is subject to the restriction of price distortion. Based on theoretical analyses and magnitude estimations of environmental effects in circumstances of distorted prices, it is found that a distortion in the composition effect of China’s energy-intensive goods trade has come into being, which will further impede the generation and expansion of positive technique effect. As a result, China is undergoing a distortion in trade’s environmental effects, which is defined as Environmental Distortion Effect I . Furthermore, while trade changes the scarcity of environmental resources in a distorted way, the environmental costs of using these resources will be affected. On account of the production factors of energy-intesive goods, relevant environmental costs can be defined as the composition of opportunity costs of energy use and factor costs of environmental capability. The former is related to low energy efficiency of China’s energy-intensive industries, while the latter is concerned with high pollution and its intensive use of environmental capability, the scarcity of which is reflected by prices of large-scale continuous competitive emission trading. Based on this definition, this paper estimates China’s increasingly huge environmental costs of producing and exporting energy-intensive goods. Since such costs are barely covered in production costs and product prices, China is virtually making a great loss rather than slender profits from the export of these goods. It is found that China is suffering from a distortion in comparative benefits when exporting these goods, which is defined as Environmental Distortion Effect II.Theoretically, it is essential to establish sound market prices of environmental resources and gradually internalize environmental costs so as to rectify the above environmental distortion effects. However, being a price-taker on the international market for energy-intensive goods and showing negative elasticity of export value with regard to export price, China may well lose some gains from export while internalizing environmental costs and raising export price. A dilemma will come into being between rectifying environmental distortion effects and achieving gains from trade. Its tradeoff, however, suggests that the specific measures to internalize environmental costs should solve the above dilemma and urge enterprises to generate endogeneous incentives of adopting such measures.To this end, it makes sense that Chinese energy-intensive industries take the initiative to utilize and develop the Clean Development Mechanism. By means of coupling with specialized innovation and application of cleaner techonology, and introducing industry association or enterprise alliance as well as enterprises specialized in CDM deal under government’s planning and coordination, a developed mode of CDM characterized by multiple incentive compatibility can be established. By virtue of this developed mode, China will be able to rectify price distortion while in the meantime achieve win-win and symbiotic benefits with relevant parties including importers and specialized enterprises. Hereby, the foregoing environmental distortion effects can be rectified in an economic and sustainable way.To sum up, this paper aims to make progress in the following apects. Firstly, it furthers research on trade’s environmental effects by demonstrating the importance of techinique effect and its influencing factors, as well as its potential relation to compositon effect. Secondly, on the grounds of price distortion in reality, it studies stage by stage the environmental distortion effects in China’s energy-intensive goods trade, and the dilemma between rectifying distortions and achieving gains from trade. Lastly, it advances an economic and sustainable rectifying mechanism characterized by multiple incentive compaitibility. All these original analyses help improve trade theories and strengthen their explanatory power of realities. Meanwhile, they are also beneficial for the benign interaction among energy-intensive goods trade, cleaner techonology innovation and application as well as environmental protection, and therefore have realistic significance to China’s enhancement of comparative benefits.更多还原