全球视角下贸易与环境的协调发展研究
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摘要
贸易自由化与环境保护是促进社会与经济持续发展、提高人类生活水平的两个重要组成部分。二战后,全球贸易投资自由化获得了快速的发展,贸易自由化战略被包括发展中国家在内的绝大多数国家认可和采纳,1995年世界贸易组织的正式成立更是标志着贸易全球化和贸易自由化进入了一个新的发展阶段。
贸易全球化和贸易自由化的迅猛发展势必带来越来越多的贸易与环境协调发展问题,这些环境问题已经引起了世界范围内的广泛关注。1992年在巴西举行的联合国环境与发展大会将环境保护与可持续发展上升为时代主题,也标志着国际社会环境保护事业的发展达到一个崭新的高度。而伴随着1993年关税与贸易总协定乌拉圭回合谈判的完成,贸易自由化与环境保护之间错综复杂的关系也日益得到国际社会和各国政府的重视,成为国际政治与经济领域研究的热点问题之一。
目前,学术界关于贸易与环境问题的研究主要集中在贸易对环境的影响、环境对贸易的反作用、全球环境保护与“搭便车”的关系、“污染天堂”假说、有害物品的贸易、环境标准对自由贸易的影响、南北国家之间的贸易与环境关系,以及解决越界及全球性环境问题的经济手段等等。这些研究为贸易与环境问题的政策协调提供了多层面、多领域的理论基础,也为本文的研究提供了理论背景和基础。
本文的研究思路和主要内容：
第一章为导论,说明选题背景和意义、国内外研究现状、主要研究内容、创新点和不足之处。第二章为相关理论综述,是本文研究的理论基础。第三章针对多边贸易体制对贸易与环境关系的协调展开论述,分析环境问题在GATT与WTO的演变,同时,具体阐述在这一演变过程中达成的与环境相关的协议,并通过几个著名的案例来分析WTO处理贸易与环境争端的实践。第四章围绕自由贸易区如何协调贸易与环境关系展开讨论,对欧盟与北美自由贸易区内贸易与环境同步发展的实践加以比较。第五章的主要内容是分析多边环境协议中的贸易限制措施,因为国际上签署的多边环境协议中包含了许多重要的贸易条款,旨在利用贸易限制措施达到保护环境的目的。第六章讨论发展中国家的贸易与环境协调问题,分析目前发展中国家的环境问题现状以及南北国家之间就贸易与环境问题产生的各种矛盾,并深入探讨解决这一矛盾的对策。第七章围绕我国贸易与环境协调问题展开讨论,探讨作为世界上最大的发展中国家,我国应当如何协调国内的贸易政策和环境政策,进而实现对外贸易与环境资源的可持续发展。
本论文的主要观点或结论如下：
第一,贸易自由化与环境保护的关系错综复杂,贸易自由化程度的提高可以提升各国尤其是发展中国家处理环境保护问题的经济和技术实力；环境资源则是贸易自由化的根基,是后者得以存在与发展的前提。贸易自由化与环境保护在理论上和逻辑上并不存在不可调和的矛盾与冲突,这也是对二者进行协调的依据和基础。
第二,多边贸易体制以维护和促进多边贸易的发展为主要任务,同时也是实现环境保护的关键保证。以自由贸易为理论基础的WTO体系,已经成为全球经济一体化的主要载体和推动力量,使自由贸易能够提高包括环境质量在内的人类福祉。尽管目前发达国家与发展中国家在WTO中存在严重分歧,但是长远来看,WTO能够充当协调贸易与环境冲突的重任,相关的环境措施也必将在WTO框架内取得合法地位。
第三,自由贸易区对贸易与环境关系的协调对多边贸易体制的发展具有重要的借鉴意义。特别是欧盟的适当原则与比例原则、北美自由贸易协定在协调发达国家与发展中国家贸易与环境关系方面的举措,都为“绿化”WTO提供了样本。
第四,如果发展中国家能够有效地参与到全球环境规则的制定,那么环境治理符合发展中国家的长远利益；而参与的程度主要取决于“共同但有区别”这一关键原则的实施情况,以及技术转移、能力建设和用于可持续发展的资金援助等。因此,贸易措施不应当作为实现多边环境协议目标的唯一政策工具,相反,贸易措施与积极的支持措施应当相辅相成,以求实现环境保护和可持续发展的目标。
第五,贸易与环境的关系既体现自由贸易与环境保护的冲突,又表现出发达国家与发展中国家的利益纷争,因此,贸易与环境问题极为错综复杂。在很大程度上,这些冲突和矛盾是由发达国家与发展中国家相差悬殊的经济实力和技术水平所导致的。发展中国家进行环保的最大障碍是贫穷与落后,其主要的收入来源之一是出口贸易,因此,在不破坏发展中国家环境可持续发展的前提下,应当给予其更多的市场准入机会以及资金与技术援助。只有这样,发展中国家才有足够的能力来保护环境,进而实现可持续发展。近年来,南北国家之间频繁出现的与环境问题相关的贸易争端不仅影响了国际贸易的正常进行,也不利于全球性环境问题的解决。发达国家与发展中国家围绕自由贸易与环境保护所产生的矛盾和冲突,已经成为国际政治与经济的焦点问题,如何解决这一矛盾是国际社会面临的艰巨任务。
第六,我国需顺应绿色贸易潮流,在外贸与环保上走可持续发展之路。目前我国对外贸易中存在较为严重的环境问题,一方面,盲目出口破坏了生态环境；另一方面,出口贸易也遭遇了越来越多的环境壁垒。因此,深入探讨我国对外贸易对环境的影响以及国际环保大趋势对我国对外贸易的影响,有利于我国构建对外贸易与环境可持续发展的政策框架。
本文的创新之处主要体现在以下三个方面：
第一,以发展中国家视角下的贸易与环境协调为切入点,着重探讨在当今发达国家享有贸易和环境两个领域的话语权的情况下,发展中国家应当如何应对在贸易与环境协调和可持续发展方面的困境,具有一定的现实指导意义。
第二,基于前人的研究成果,把贸易与环境作为一个独立的研究领域,从理论、政策与措施、体制与法规等方面入手,从发展中国家的视角全面、深入、系统地分析了贸易与环境的协调问题,把零散的研究整合成一个完整的体系。
第三,以全新的视角分析国际环境协议中的贸易限制措施对国际贸易,特别是发展中国家国际贸易产生的影响,通过案例分析,指出一味诉诸于贸易制裁的措施并不利于国际环境协议的顺利贯彻执行。
Trade liberalization and environmental protection are two important factors to facilitate social and economic sustainable development as well as improve the standard of living. After World War II, the liberalization of global trade and investment developed so fast that most countries, including developing countries, have accepted and adopted trade liberalization strategies. Furthermore, the foundation of the World Trade Organization in1995marked a brand new adventure of economic globalization.
The rapid evolution trade globalization and trade liberalization is bound to bring about an increasing number of environment problems. In fact, these problems have already aroused extensive attention from the whole human society and environment protection has also evolved into a global tide. The United Nations Conference on Environment and Development (UNCED) held in Brazil in1992helped environment protection and sustainable development become the theme of the times, indicating the fact that the international community has raises the environment protection to new heights. At the same time, the complex relationship between trade liberalization and environmental protection also aroused so much attention from the international community, all the governments as well as their people that it became one of the hot issues of international politics and economics.
At present, academia mainly focuses on the influence of trade on environment, the reaction of environment on trade, global environmental protection and free ride problem, pollution haven hypothesis, the trade of hazardous goods, the influence of environmental standards on free trade, trade and environment relationship between the North and the South countries, and economic methods to solve transboundary as well as global environmental problems. All of these studies provide multifaceted and multidisciplinary theoretical basis for harmonizing trade and environment, and they are also the background and basis for this thesis study. The way the thesis develops is show as follows:
Chapter1is the introductory part, elaborating the significance of the thesis theme, the current research status, the main content, innovation points as well as inadequacies. Chapter2sorts out the main views of scholars home and abroad so as to discuss the relationship between trade and relationship. Then Chapter3discusses the harmonization of trade and environment under the multilateral trading system. While analyzing the evolution of environmental issues in GATT and WTO, this chapter studies how WTO's dispute settlement system settled the disputes related to environment via several well-known cases. Chapter4discusses how free trade areas harmonize trade and environment relations by comparing the practices of EU and NAFTA. In Chapter5, the trade restrictions adopted in Multilateral Environmental Agreements aiming to protect the environment are analyzed. Chapter6discusses the conflicts between the developed and developing countries because of the significant difference in the environmental standards, and the current situation and problems encountered by developing countries are also discussed in details. The last chapter mainly focuses on the trade and environment issue in China, which, as the biggest developing country in the world, need adjust the current national policies so as to realize the sustainable development of both foreign trade and environmental resources.
The primary viewpoints and conclusions are as follows:
First, the relationship between trade liberalization and environmental protection is far too complicated. On the one hand, the enhancement of trade liberalization can improve the economic and technological capabilities to cope with environmental problems in almost all the countries, especially developing countries. On the other hand, ecological environment functions as the basis as well as the premise of free trade. Theoretically and logically speaking, free trade doesn't have irreconcilable conflicts with environmental protection.
Second, the multilateral trading system, which is bound to promote free trade, has become the principal driving force of economic globalization which can promote environmental quality and the improvement of human welfare. Although at present developed countries and the developing countries in the WTO have serious differences, in the long run, the WTO can coordinate the relationship between trade and environment, and the relevant environmental measures in WTO framework will also obtain legal status.
Third, the free trade areas have provided valuable reference for multilateral trade system to coordinate the North and South member states involved in trade and environment issues. Especially the EU's principles and the practice of coordinating trade and environment in Mexico in NAFTA have contributed to making a "green" World Trade Organization.
Fourth, if developing countries can effectively participate in the policy making of global environmental regulations, then environmental governance accords with the long-term interests of developing countries. The level of participation depends on the implementation of "common but differentiated principle", as well as the technology transfer, capacity building and the financial aid for the sustainable development, etc. Therefore, trade measures should not be considered by multilateral environmental agreements as the only policy tools to fulfill their goals, on the contrary, trade measures and positive support measures should supplement each other, in order to protect the environment and realize sustainable development.
Fifth, the relationship between trade and environment embodies not only the contradictions between free trade and environmental protection, but also the conflicts of interests between developed countries and the developing countries. To a great extent, all of these contradictions and conflicts are caused by the huge discrepancy in in economic power and technological level between the North and the South. To the South, poverty and backwardness is the biggest obstacle to environmental protection, while export is one of the main sources of income, so the developing countries should be given more market access together with more capital and technical assistance with the premise of not the environmental sustainability of developing countries. Only thus can developing countries have the ability to effectively protect the environment, and the whole world can realize the goal of sustainable development. In recent years, the frequent trade disputes relevant to environmental issues between the North and the South have interfered with the normal conduct of international trade, which, at the same time, have been unfavorable for the settlement of global environmental problems. Therefore, the contradictions and conflict between the developed countries and the developing countries around the free trade and environmental protection has become the focus of international political and economic problems. At present, how to solve this contradiction has become a difficult task for the international community.
Sixth, China needs to conform to the trend of green trade so as to realize the sustainable development of both foreign trade and environmental protection At present China has witnessed serious environmental problems aroused by foreign trade, such as the destruction of ecological environment and an increasing number of environmental barriers. Through the in-depth discussion how China's foreign trade influence the environmental protection and how the international trend of environmental protection impacts China's foreign trade, this thesis suggests a policy framework for sustainable development of foreign trade.
The possible innovations of this thesis are as follows:
First, this thesis, with the topic is the coordination of the trade and the environment solely from the perspective developing countries, mainly focuses on how developing countries can grow their way out of its difficulties in coordinating the trade and the environment coordination. The research results have practical and guiding significance.
Second, based on the previous research results theoretically, taking trade and environment as an independent field of study, the thesis conducts an overall, thorough and systematic study on trade and environment from the perspective of developing countries. At the same time, the thesis integrates the scattered research into a complete system from the aspects of theory, policy, approaches and standards.
Third, the thesis analyses the impacts of trade restrictions in multinational environmental agreements upon international trade from a brand new perspective and suggests that simply resorting to trade sanctions are not the best solution.
贸易全球化和贸易自由化的迅猛发展势必带来越来越多的贸易与环境协调发展问题,这些环境问题已经引起了世界范围内的广泛关注。1992年在巴西举行的联合国环境与发展大会将环境保护与可持续发展上升为时代主题,也标志着国际社会环境保护事业的发展达到一个崭新的高度。而伴随着1993年关税与贸易总协定乌拉圭回合谈判的完成,贸易自由化与环境保护之间错综复杂的关系也日益得到国际社会和各国政府的重视,成为国际政治与经济领域研究的热点问题之一。
目前,学术界关于贸易与环境问题的研究主要集中在贸易对环境的影响、环境对贸易的反作用、全球环境保护与“搭便车”的关系、“污染天堂”假说、有害物品的贸易、环境标准对自由贸易的影响、南北国家之间的贸易与环境关系,以及解决越界及全球性环境问题的经济手段等等。这些研究为贸易与环境问题的政策协调提供了多层面、多领域的理论基础,也为本文的研究提供了理论背景和基础。
本文的研究思路和主要内容：
第一章为导论,说明选题背景和意义、国内外研究现状、主要研究内容、创新点和不足之处。第二章为相关理论综述,是本文研究的理论基础。第三章针对多边贸易体制对贸易与环境关系的协调展开论述,分析环境问题在GATT与WTO的演变,同时,具体阐述在这一演变过程中达成的与环境相关的协议,并通过几个著名的案例来分析WTO处理贸易与环境争端的实践。第四章围绕自由贸易区如何协调贸易与环境关系展开讨论,对欧盟与北美自由贸易区内贸易与环境同步发展的实践加以比较。第五章的主要内容是分析多边环境协议中的贸易限制措施,因为国际上签署的多边环境协议中包含了许多重要的贸易条款,旨在利用贸易限制措施达到保护环境的目的。第六章讨论发展中国家的贸易与环境协调问题,分析目前发展中国家的环境问题现状以及南北国家之间就贸易与环境问题产生的各种矛盾,并深入探讨解决这一矛盾的对策。第七章围绕我国贸易与环境协调问题展开讨论,探讨作为世界上最大的发展中国家,我国应当如何协调国内的贸易政策和环境政策,进而实现对外贸易与环境资源的可持续发展。
本论文的主要观点或结论如下：
第一,贸易自由化与环境保护的关系错综复杂,贸易自由化程度的提高可以提升各国尤其是发展中国家处理环境保护问题的经济和技术实力；环境资源则是贸易自由化的根基,是后者得以存在与发展的前提。贸易自由化与环境保护在理论上和逻辑上并不存在不可调和的矛盾与冲突,这也是对二者进行协调的依据和基础。
第二,多边贸易体制以维护和促进多边贸易的发展为主要任务,同时也是实现环境保护的关键保证。以自由贸易为理论基础的WTO体系,已经成为全球经济一体化的主要载体和推动力量,使自由贸易能够提高包括环境质量在内的人类福祉。尽管目前发达国家与发展中国家在WTO中存在严重分歧,但是长远来看,WTO能够充当协调贸易与环境冲突的重任,相关的环境措施也必将在WTO框架内取得合法地位。
第三,自由贸易区对贸易与环境关系的协调对多边贸易体制的发展具有重要的借鉴意义。特别是欧盟的适当原则与比例原则、北美自由贸易协定在协调发达国家与发展中国家贸易与环境关系方面的举措,都为“绿化”WTO提供了样本。
第四,如果发展中国家能够有效地参与到全球环境规则的制定,那么环境治理符合发展中国家的长远利益；而参与的程度主要取决于“共同但有区别”这一关键原则的实施情况,以及技术转移、能力建设和用于可持续发展的资金援助等。因此,贸易措施不应当作为实现多边环境协议目标的唯一政策工具,相反,贸易措施与积极的支持措施应当相辅相成,以求实现环境保护和可持续发展的目标。
第五,贸易与环境的关系既体现自由贸易与环境保护的冲突,又表现出发达国家与发展中国家的利益纷争,因此,贸易与环境问题极为错综复杂。在很大程度上,这些冲突和矛盾是由发达国家与发展中国家相差悬殊的经济实力和技术水平所导致的。发展中国家进行环保的最大障碍是贫穷与落后,其主要的收入来源之一是出口贸易,因此,在不破坏发展中国家环境可持续发展的前提下,应当给予其更多的市场准入机会以及资金与技术援助。只有这样,发展中国家才有足够的能力来保护环境,进而实现可持续发展。近年来,南北国家之间频繁出现的与环境问题相关的贸易争端不仅影响了国际贸易的正常进行,也不利于全球性环境问题的解决。发达国家与发展中国家围绕自由贸易与环境保护所产生的矛盾和冲突,已经成为国际政治与经济的焦点问题,如何解决这一矛盾是国际社会面临的艰巨任务。
第六,我国需顺应绿色贸易潮流,在外贸与环保上走可持续发展之路。目前我国对外贸易中存在较为严重的环境问题,一方面,盲目出口破坏了生态环境；另一方面,出口贸易也遭遇了越来越多的环境壁垒。因此,深入探讨我国对外贸易对环境的影响以及国际环保大趋势对我国对外贸易的影响,有利于我国构建对外贸易与环境可持续发展的政策框架。
本文的创新之处主要体现在以下三个方面：
第一,以发展中国家视角下的贸易与环境协调为切入点,着重探讨在当今发达国家享有贸易和环境两个领域的话语权的情况下,发展中国家应当如何应对在贸易与环境协调和可持续发展方面的困境,具有一定的现实指导意义。
第二,基于前人的研究成果,把贸易与环境作为一个独立的研究领域,从理论、政策与措施、体制与法规等方面入手,从发展中国家的视角全面、深入、系统地分析了贸易与环境的协调问题,把零散的研究整合成一个完整的体系。
第三,以全新的视角分析国际环境协议中的贸易限制措施对国际贸易,特别是发展中国家国际贸易产生的影响,通过案例分析,指出一味诉诸于贸易制裁的措施并不利于国际环境协议的顺利贯彻执行。
Trade liberalization and environmental protection are two important factors to facilitate social and economic sustainable development as well as improve the standard of living. After World War II, the liberalization of global trade and investment developed so fast that most countries, including developing countries, have accepted and adopted trade liberalization strategies. Furthermore, the foundation of the World Trade Organization in1995marked a brand new adventure of economic globalization.
The rapid evolution trade globalization and trade liberalization is bound to bring about an increasing number of environment problems. In fact, these problems have already aroused extensive attention from the whole human society and environment protection has also evolved into a global tide. The United Nations Conference on Environment and Development (UNCED) held in Brazil in1992helped environment protection and sustainable development become the theme of the times, indicating the fact that the international community has raises the environment protection to new heights. At the same time, the complex relationship between trade liberalization and environmental protection also aroused so much attention from the international community, all the governments as well as their people that it became one of the hot issues of international politics and economics.
At present, academia mainly focuses on the influence of trade on environment, the reaction of environment on trade, global environmental protection and free ride problem, pollution haven hypothesis, the trade of hazardous goods, the influence of environmental standards on free trade, trade and environment relationship between the North and the South countries, and economic methods to solve transboundary as well as global environmental problems. All of these studies provide multifaceted and multidisciplinary theoretical basis for harmonizing trade and environment, and they are also the background and basis for this thesis study. The way the thesis develops is show as follows:
Chapter1is the introductory part, elaborating the significance of the thesis theme, the current research status, the main content, innovation points as well as inadequacies. Chapter2sorts out the main views of scholars home and abroad so as to discuss the relationship between trade and relationship. Then Chapter3discusses the harmonization of trade and environment under the multilateral trading system. While analyzing the evolution of environmental issues in GATT and WTO, this chapter studies how WTO's dispute settlement system settled the disputes related to environment via several well-known cases. Chapter4discusses how free trade areas harmonize trade and environment relations by comparing the practices of EU and NAFTA. In Chapter5, the trade restrictions adopted in Multilateral Environmental Agreements aiming to protect the environment are analyzed. Chapter6discusses the conflicts between the developed and developing countries because of the significant difference in the environmental standards, and the current situation and problems encountered by developing countries are also discussed in details. The last chapter mainly focuses on the trade and environment issue in China, which, as the biggest developing country in the world, need adjust the current national policies so as to realize the sustainable development of both foreign trade and environmental resources.
The primary viewpoints and conclusions are as follows:
First, the relationship between trade liberalization and environmental protection is far too complicated. On the one hand, the enhancement of trade liberalization can improve the economic and technological capabilities to cope with environmental problems in almost all the countries, especially developing countries. On the other hand, ecological environment functions as the basis as well as the premise of free trade. Theoretically and logically speaking, free trade doesn't have irreconcilable conflicts with environmental protection.
Second, the multilateral trading system, which is bound to promote free trade, has become the principal driving force of economic globalization which can promote environmental quality and the improvement of human welfare. Although at present developed countries and the developing countries in the WTO have serious differences, in the long run, the WTO can coordinate the relationship between trade and environment, and the relevant environmental measures in WTO framework will also obtain legal status.
Third, the free trade areas have provided valuable reference for multilateral trade system to coordinate the North and South member states involved in trade and environment issues. Especially the EU's principles and the practice of coordinating trade and environment in Mexico in NAFTA have contributed to making a "green" World Trade Organization.
Fourth, if developing countries can effectively participate in the policy making of global environmental regulations, then environmental governance accords with the long-term interests of developing countries. The level of participation depends on the implementation of "common but differentiated principle", as well as the technology transfer, capacity building and the financial aid for the sustainable development, etc. Therefore, trade measures should not be considered by multilateral environmental agreements as the only policy tools to fulfill their goals, on the contrary, trade measures and positive support measures should supplement each other, in order to protect the environment and realize sustainable development.
Fifth, the relationship between trade and environment embodies not only the contradictions between free trade and environmental protection, but also the conflicts of interests between developed countries and the developing countries. To a great extent, all of these contradictions and conflicts are caused by the huge discrepancy in in economic power and technological level between the North and the South. To the South, poverty and backwardness is the biggest obstacle to environmental protection, while export is one of the main sources of income, so the developing countries should be given more market access together with more capital and technical assistance with the premise of not the environmental sustainability of developing countries. Only thus can developing countries have the ability to effectively protect the environment, and the whole world can realize the goal of sustainable development. In recent years, the frequent trade disputes relevant to environmental issues between the North and the South have interfered with the normal conduct of international trade, which, at the same time, have been unfavorable for the settlement of global environmental problems. Therefore, the contradictions and conflict between the developed countries and the developing countries around the free trade and environmental protection has become the focus of international political and economic problems. At present, how to solve this contradiction has become a difficult task for the international community.
Sixth, China needs to conform to the trend of green trade so as to realize the sustainable development of both foreign trade and environmental protection At present China has witnessed serious environmental problems aroused by foreign trade, such as the destruction of ecological environment and an increasing number of environmental barriers. Through the in-depth discussion how China's foreign trade influence the environmental protection and how the international trend of environmental protection impacts China's foreign trade, this thesis suggests a policy framework for sustainable development of foreign trade.
The possible innovations of this thesis are as follows:
First, this thesis, with the topic is the coordination of the trade and the environment solely from the perspective developing countries, mainly focuses on how developing countries can grow their way out of its difficulties in coordinating the trade and the environment coordination. The research results have practical and guiding significance.
Second, based on the previous research results theoretically, taking trade and environment as an independent field of study, the thesis conducts an overall, thorough and systematic study on trade and environment from the perspective of developing countries. At the same time, the thesis integrates the scattered research into a complete system from the aspects of theory, policy, approaches and standards.
Third, the thesis analyses the impacts of trade restrictions in multinational environmental agreements upon international trade from a brand new perspective and suggests that simply resorting to trade sanctions are not the best solution.
引文
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①Article 712, NAFTA. http://www.nafta-sec-alena.org/en/view.aspx?x=343&mtpiID=131#A712
① Article 1114.1, NAFTA. http://www.nafta-sec-alena.org/en/view.aspx?x=343&mtpiID=142#A1114
② Article 1114.2, NAFTA. http://www.nafta-sec-alena.org/en/view.aspx?x=343&mtpiID=142#A1114
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①参见1987年的的《蒙特利尔议定书》http://www.zhb.gov.cn/ztbd/gjcyr/gjgy/200409/t20040903_61146.htm.
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