【作者】 傅京燕；

【导师】 张捷；

【作者基本信息】 暨南大学 ， 国际贸易学， 2006， 博士

【摘要】 当今的全球化趋势导致贸易壁垒不断削减的同时，各国的环境规制却随之不断提升。许多国家公共政策争论的焦点集中于环境质量问题，担心国家间环境规制严格度的差异会影响产业区位布局决策及国际贸易的模式。本文从经济学的角度分析环境规制对贸易模式的影响及其相互协调，冀能为政策的制定提供一个理论背景。 论文共分为六章。第1章是导论，提出了本文的研究意义、研究立意、研究主体和方法以及本文的总体结构。第2章文献评述对近二十多年来该领域理论和实证研究发展的脉络进行了总结，并对不同分支研究的基本观点、基础模型、方法论、技术特点和结论进行了比较和综合性的学术评论。第3章是本文的理论框架。本文使用的模型是在Copeland and Taylor的基础上完善的。本文把模型扩展至影响贸易模式的资本和劳动力因素，检验了收入差距(衡量环境政策差异)与要素禀赋如何共同决定贸易模式。第4章是实证分析。主要运用截面数据和时间序列方法考察发展中国家和发达国家污染产业的多边贸易份额和显示性比较优势(RCA)的变动情况。这些数据来源于一个较长时期内(1980—1998)的48个国家ISIC三分位的划分(3—digit ISIC)。在此基础上，运用相关分析和截面数据的加权最小二乘法来论证环境规制效应与污染避难效应的相互作用，即决定污染密集型产业比较优势的污染避难所理论和要素禀赋理论在决定贸易模式中的作用。贸易自由化与环境保护之间并不存在着难以调和的矛盾，而是可以相互促进、共同发展的。然而理论与现实的明显差距使二者之间的国际协调正面临着前所未有的困扰，因此需要寻求解决问题的各种途径。第5章从环境规制与自由贸易相协调的国际层次进行了分析。第6章从环境规制与自由贸易相协调的国内实施进行分析。本文使用世界银行提出的“真实国内储蓄”的概念和计算方法对中国的经济增长和环境状况进行总体的估价，对中国参与贸易自由化的环境影响进行实证检验并针对中国的具体情况提出若干对策建议。 本文着重强调以下观点：(1)理论研究的结果表明，国际贸易模式是由许多不同因素共同作用决定的。本文将收入和要素禀赋这两个影响贸易模式的因素的作用效应分离出来加以检验，结果依赖于这两种因素力量的相对大小。由于污染产业通常是资本密集型的，因此环境政策本身的差异并不意味着贸易自由化会使污染产业迁移到环境规制较宽松的国家。(2)实证研究的结果表明，环境规制本身对贸易模式的影响并不明显，这表明依靠降低环境标准来取得竞争优势，对发展中国家来说并非良策。另外，发达国家指责发展中国家进行“生态倾销”也缺乏更多的依据。如果同时考虑环境规制和要素禀赋对贸易模式的影响，资本的累积效应对产业的区位布局具有重要的影响。在本文的回归分析中，通过引入人均资本，所得结果的显著性有所改善，这说明资本累积效应要大于环境规制效应。需要注意的是，我们不能拒绝环境政策会部分地抵消资本累积效应的可能性。从政策的角度而言，这意味着资本的累积会促进污染产业生产的增长，但增长幅度会随着环境政策严格度的提高而有所下降。(3)发达国家与发展中国家在贸易与环境上的不对称现实以及缺乏有效公平的协调机制是国际协调的核心问题．也是最大的障碍。因此，区域合作是现阶段切实可行的步骤，也是最终解决全球贸易与环境问题的有效途径。区域贸易协定为全球环境合作奠定了基石。如果地区协定能够成功地解决贸易与环境问题，那么它将促进全球贸易与环境问题解决的进程。(4)经济增长和环境质量的提高是衡量福利最大化不可获缺的两个方面，中国的贸易自由化会加大对生态环境的压力，但并不必然导致环境的迅速恶化。有效利用贸易自由化战略，探索出一条低环境破坏、高经济增长的可行路径，对目前中国经济来说是相当重要的。更多还原

【Abstract】 In the debate on globalization and the environment, there is concern that the erasing of national borders through reduced barriers to trade will lead to a delocation of dirty industries in countries with lower standards and hence influence the trade patterns. The purpose of the dissertation is to discuss the interaction between trade liberalization and environment, as well as provide a theoretical background decisions on this issue.The thesis addresses the relation between environmental regulation and trade patterns. The dissertation is arranged for five sections. Section 1 is the introduction. It outlines the significance, focus, purpose and methodology of the research. Section 2 is the literature review for analytical framework, theoretical development and empirical studies, which deals with the theoretical and empirical analysis on how environmental regulation distorts the comparative advantage and specialization as well as the impact of environmental regulation on location of pollution industries. Section 3 is the theoretical framework. We use the model constructed by Copeland and Taylor (2003). Based on above work, the model can be broadened to the potential motives for trade to demonstrate that differences across countries in other characteristics can also influence relative production costs. The paper focuses on differences across countries in the capital stocks and labor forces because these differences are at the basis of the factor endowments hypothesis. The paper examines how difference in income levels (the measurement of environmental policy differences) and factor endowments interact to determine the trade pattern. In Section 4, we present empirical work estimating the direction and strength of environmental regulation on international competitiveness from the world perspective. We employ the theoretical framework in Chapter 3 to develop a simple reduced form estimating equation of linking industry competitiveness, environmental regulation and factor endowments. This equation is then estimated using the data set of SO2 pollution emission on a 42 developed and developing countries over 1980 to 1998 period. We also carry out separate tests using each of the pollutants of water, air and land. Trade liberalization and environmental regulation can be harmonized. But in reality, it is difficult to deal with it, so it is important to find the alternative solutions. Section 5 looks at the international coordination of trade liberation and environment of China’s case. We present empirical work estimating the direction and strength of environmental regulation on international competitiveness of China. We use the model similar to the chapter 4. Since there is no systematic research on China’s case, the result will be of interest to policymakers.The main conclusion of the paper is as follows: (1) The result of the theoretical research shows that trade patterns are jointly determined by many factors. In the paper, we control income and factor endowments which determine the trade patterns, and the result depends the relative strength of these two factors. Since dirty industries are labor intensive, so the difference of environmental regulation alone doesn’t imply that dirty industries will immigrate to less strict countries. (2) The result of the empirical research shows that the impact of environmental regulation alone is not obvious. Environmental regulations seem to have few effects on international competitiveness, thus the development strategies that rely on lax environmental regulations to achieve economic goals for developing economies may not be appropriate. On the更多还原