【摘要】：稀土是不可再生的戰(zhàn)略資源,廣泛應(yīng)用于國(guó)民經(jīng)濟(jì)各個(gè)領(lǐng)域,不僅有利于新能源、新材料、節(jié)能環(huán)保、航空航天、電子信息等戰(zhàn)略性新興產(chǎn)業(yè)的培育,而且有利于傳統(tǒng)產(chǎn)業(yè)升級(jí)改造,對(duì)于新型工業(yè)化、信息化、城鎮(zhèn)化和農(nóng)業(yè)現(xiàn)代化發(fā)展具有重要支撐作用。全球化背景下,不可再生資源與經(jīng)濟(jì)可持續(xù)發(fā)展的內(nèi)在矛盾在全球范圍內(nèi)激化,世界各國(guó)更加重視稀土產(chǎn)品的穩(wěn)定供給,美國(guó)、日本、歐盟將稀土列入了國(guó)家關(guān)鍵資源戰(zhàn)略。中國(guó)稀土資源儲(chǔ)量占世界的23%左右,是世界上最大的稀土產(chǎn)品供給國(guó)家。但是,2014年,美日歐訴訟中國(guó)限制稀土產(chǎn)品出口案以中國(guó)敗訴告終,中國(guó)稀土產(chǎn)品供給仍然面臨著諸多的現(xiàn)實(shí)問(wèn)題,付出了經(jīng)濟(jì)、資源、環(huán)境、生態(tài)等方面的較大代價(jià)。深入分析這些問(wèn)題,積極采取應(yīng)對(duì)措施,實(shí)現(xiàn)稀土產(chǎn)品的安全供給、可持續(xù)供給和平衡供給,對(duì)于保障國(guó)家資源安全和國(guó)民經(jīng)濟(jì)可持續(xù)發(fā)展具有現(xiàn)實(shí)意義。國(guó)內(nèi)外學(xué)者深入研究中國(guó)稀土問(wèn)題,出現(xiàn)了豐碩的研究成果。但是,國(guó)外涉及稀土產(chǎn)品供給問(wèn)題的文獻(xiàn)中,系統(tǒng)的專(zhuān)題研究相對(duì)比較少。國(guó)內(nèi)研究稀土產(chǎn)品供給問(wèn)題的專(zhuān)題文獻(xiàn)雖然較多,可是,定性研究相對(duì)較多,定量研究相對(duì)較少。因此,本文研究過(guò)程中,進(jìn)行定性研究,同時(shí)進(jìn)行計(jì)量分析;進(jìn)行理論研究,同時(shí)進(jìn)行實(shí)證分析。本文綜合運(yùn)用文獻(xiàn)研究、計(jì)量研究、系統(tǒng)分析和國(guó)際比較研究等多種研究方法,以提出問(wèn)題、分析問(wèn)題、解決問(wèn)題為研究思路,構(gòu)建了稀土產(chǎn)品安全供給、可持續(xù)供給和平衡供給的分析框架,運(yùn)用壟斷資本全球化等具體的經(jīng)濟(jì)理論,系統(tǒng)研究中國(guó)稀土產(chǎn)品供給問(wèn)題的深層原因,整合搭建了中國(guó)稀土產(chǎn)品供給的綜合評(píng)價(jià)體系,并進(jìn)行實(shí)證分析和國(guó)際比較研究,提出有針對(duì)性的對(duì)策建議,具有較高的學(xué)術(shù)價(jià)值。本文共分七章。第一章為導(dǎo)論,介紹了本文的研究背景、研究意義、研究方法和研究思路,探討了國(guó)內(nèi)外的研究現(xiàn)狀,對(duì)現(xiàn)有研究文獻(xiàn)進(jìn)行了評(píng)述。第二章為基本范疇和基礎(chǔ)理論,簡(jiǎn)要介紹了稀土資源、稀土產(chǎn)品分類(lèi)、稀土產(chǎn)品供給、安全供給、可持續(xù)供給和平衡供給等基本范疇,探討了相關(guān)基礎(chǔ)理論,包括壟斷資本全球化理論、可持續(xù)發(fā)展理論、不可再生資源最優(yōu)開(kāi)采理論、產(chǎn)權(quán)理論和委托代理理論等。供給,是指商品的生產(chǎn)者愿意且能夠生產(chǎn),按照一定的價(jià)格在一定的時(shí)期內(nèi)出售,滿(mǎn)足消費(fèi)者的需求。本文所稱(chēng)稀土產(chǎn)品供給,是指稀土產(chǎn)品的生產(chǎn)者愿意且能夠生產(chǎn),按照一定的價(jià)格在一定的時(shí)期內(nèi)出售,滿(mǎn)足稀土產(chǎn)品消費(fèi)者的需求。本文認(rèn)為,中國(guó)稀土產(chǎn)品供給目標(biāo)體現(xiàn)為三個(gè)方面,按照重要程度,依次為安全供給、可持續(xù)供給和平衡供給。安全供給是中國(guó)稀土產(chǎn)品供給的核心目標(biāo),是保障國(guó)家資源安全和國(guó)民經(jīng)濟(jì)可持續(xù)發(fā)展的戰(zhàn)略前提�？沙掷m(xù)供給是中國(guó)稀土產(chǎn)品供給的長(zhǎng)期目標(biāo),是政府對(duì)稀土產(chǎn)品供給進(jìn)行宏觀調(diào)控的基本依據(jù)。平衡供給是中國(guó)稀土產(chǎn)品供給的現(xiàn)實(shí)目標(biāo),是稀土企業(yè)市場(chǎng)行為的內(nèi)在動(dòng)機(jī)。第三章分析了中國(guó)稀土產(chǎn)品供給的現(xiàn)狀,歸納了中國(guó)稀土產(chǎn)品供給的突出問(wèn)題。中國(guó)稀土產(chǎn)品市場(chǎng)過(guò)去是無(wú)序競(jìng)爭(zhēng)甚至是惡性競(jìng)爭(zhēng),現(xiàn)在正在向壟斷競(jìng)爭(zhēng)發(fā)展。全球化背景下,稀土資源分布和稀土產(chǎn)品供給地域不平衡性的地緣政治影響加大,特別是中國(guó)加入世界貿(mào)易組織后,全球化進(jìn)程加速,中國(guó)稀土產(chǎn)品供給安全隱患問(wèn)題迅速暴露出來(lái),突出表現(xiàn)為出口失衡:出口數(shù)量失衡,與資源現(xiàn)狀不匹配;出口規(guī)則失語(yǔ),稀土世貿(mào)爭(zhēng)端敗訴;出口秩序失控,出口走私屢禁不止;出口價(jià)格失公,偏離價(jià)值暴漲暴跌。隨著中國(guó)工業(yè)化進(jìn)程的推進(jìn),國(guó)民經(jīng)濟(jì)發(fā)展對(duì)稀土產(chǎn)品的消費(fèi)需求快速增長(zhǎng),稀土產(chǎn)品供給不可持續(xù)問(wèn)題受到全社會(huì)的高度重視,突出問(wèn)題是稀土資源過(guò)度開(kāi)采。隨著市場(chǎng)化進(jìn)程的推進(jìn),中國(guó)稀土產(chǎn)品供給不平衡的問(wèn)題越積越重,突出表現(xiàn)為稀土產(chǎn)品結(jié)構(gòu)性過(guò)剩:稀土項(xiàng)目投資同質(zhì)化現(xiàn)象比較嚴(yán)重,總體產(chǎn)能過(guò)剩,輕稀土冶煉分離產(chǎn)品供給嚴(yán)重過(guò)剩,附加值低的稀土功能材料和應(yīng)用產(chǎn)品供給嚴(yán)重過(guò)剩,急需淘汰落后產(chǎn)能;研發(fā)創(chuàng)新投入不足,附加值高的稀土功能材料和應(yīng)用產(chǎn)品供給不足,中重稀土冶煉分離產(chǎn)品供給不足。第四章分析了中國(guó)稀土產(chǎn)品供給問(wèn)題的深層次原因�；趬艛噘Y本全球化理論,分析了稀土產(chǎn)品出口失衡的深層原因。壟斷資本全球化的主要載體跨國(guó)公司進(jìn)入中國(guó)稀土產(chǎn)品市場(chǎng),對(duì)稀土產(chǎn)品的市場(chǎng)結(jié)構(gòu)、市場(chǎng)進(jìn)入壁壘、規(guī)模經(jīng)濟(jì)、市場(chǎng)交易平臺(tái)等產(chǎn)生深遠(yuǎn)影響。消極不利影響主要體現(xiàn)為,中國(guó)稀土產(chǎn)品市場(chǎng)的產(chǎn)業(yè)集中度偏低、分散決策導(dǎo)致重復(fù)建設(shè)和產(chǎn)能過(guò)剩、創(chuàng)新投入不足,跨國(guó)公司的進(jìn)入,加劇了中國(guó)稀土產(chǎn)品供給企業(yè)的過(guò)度競(jìng)爭(zhēng),為稀土產(chǎn)品非法生產(chǎn)和出口走私提供了銷(xiāo)售渠道。產(chǎn)業(yè)集中度不高是中國(guó)稀土產(chǎn)品出口失衡、安全供給受到威脅的深層原因�；诋a(chǎn)權(quán)理論,分析了稀土資源過(guò)度開(kāi)采的深層原因。稀土資源具有公地性質(zhì),稀土產(chǎn)品生產(chǎn)過(guò)程中具有外部性,導(dǎo)致稀土資源所有權(quán)主體虛置和外部性問(wèn)題。稀土資源過(guò)度開(kāi)采,本質(zhì)上是產(chǎn)權(quán)問(wèn)題,稀土資源的所有權(quán)屬于國(guó)家,所有權(quán)主體虛置造成過(guò)度開(kāi)采利用,進(jìn)而帶來(lái)稀土資源定價(jià)權(quán)、資產(chǎn)化的管理模式問(wèn)題。在稀土產(chǎn)業(yè)集中度偏低的情況下,企業(yè)無(wú)序競(jìng)爭(zhēng)而政府監(jiān)管不力,造成了稀土資源過(guò)度開(kāi)采。稀土初級(jí)產(chǎn)品在生產(chǎn)過(guò)程中具有明顯的外部性,在外部性不能內(nèi)部化的情況下,稀土產(chǎn)品的市場(chǎng)價(jià)格信號(hào)不夠準(zhǔn)確,不能精確地反映社會(huì)成本,導(dǎo)致稀土產(chǎn)品價(jià)格背離價(jià)值,誤導(dǎo)資源分配,進(jìn)而帶來(lái)一系列問(wèn)題�；谖写砝碚�,分析了稀土產(chǎn)品結(jié)構(gòu)性過(guò)剩的深層原因。由于各級(jí)政府間的復(fù)雜委托代理關(guān)系帶來(lái)的地方保護(hù)主義和部門(mén)利益問(wèn)題,對(duì)稀土產(chǎn)品供給產(chǎn)生多方面的不利影響,主要體現(xiàn)為,面對(duì)稀土產(chǎn)品供給企業(yè)執(zhí)行國(guó)家政策不到位現(xiàn)象,政府部門(mén)監(jiān)管控制不力;政府多次治理稀土產(chǎn)品產(chǎn)能過(guò)剩、稀土產(chǎn)品非法生產(chǎn)和出口走私等問(wèn)題,卻沒(méi)有從根本上化解。地方保護(hù)主義和部門(mén)利益問(wèn)題,是中國(guó)稀土產(chǎn)品結(jié)構(gòu)性過(guò)剩的深層次原因。第五章搭建了比較完整的中國(guó)稀土產(chǎn)品安全供給、可持續(xù)供給和平衡供給的綜合評(píng)價(jià)體系,并進(jìn)行實(shí)證分析。本文借鑒前沿研究成果,運(yùn)用文獻(xiàn)研究方法,全面梳理稀土產(chǎn)品供給的評(píng)價(jià)指標(biāo)并進(jìn)行歸納整合,搭建了綜合的評(píng)價(jià)指標(biāo)體系。在對(duì)中國(guó)稀土礦產(chǎn)品供給進(jìn)行評(píng)價(jià)時(shí),沒(méi)有采取國(guó)內(nèi)常用的分層加權(quán)評(píng)分方法,而是引入了經(jīng)典的霍特林模型,運(yùn)用動(dòng)態(tài)規(guī)劃工具進(jìn)行了實(shí)證分析。第六章對(duì)稀土產(chǎn)品供給進(jìn)行了國(guó)際比較研究,探討了國(guó)外稀土產(chǎn)品安全供給、可持續(xù)供給和平衡供給的經(jīng)驗(yàn)。稀土產(chǎn)品供給是全球性問(wèn)題,本文圍繞安全供給、可持續(xù)供給和平衡供給三大目標(biāo),研究了美國(guó)、日本、歐盟國(guó)家等稀土產(chǎn)品供給國(guó)家的稀土戰(zhàn)略、產(chǎn)業(yè)政策和企業(yè)供給行為。與中國(guó)相比,其他稀土產(chǎn)品供給國(guó)家的稀土資源儲(chǔ)采比相對(duì)較低,稀土產(chǎn)業(yè)集中度較高,稀土產(chǎn)能利用率較高,重視知識(shí)產(chǎn)權(quán)保護(hù),稀土產(chǎn)品附加值較高等。這些國(guó)際經(jīng)驗(yàn),為解決中國(guó)稀土產(chǎn)品供給問(wèn)題提供了積極的啟示。第七章提出系統(tǒng)的對(duì)策建議。針對(duì)稀土產(chǎn)業(yè)集中度不高所導(dǎo)致的稀土產(chǎn)品出口失衡問(wèn)題,建議加快組建稀土企業(yè)集團(tuán),積極參與國(guó)際稀土產(chǎn)品市場(chǎng)競(jìng)爭(zhēng),提高國(guó)際市場(chǎng)話語(yǔ)權(quán),利用國(guó)際國(guó)內(nèi)稀土資源,實(shí)現(xiàn)稀土產(chǎn)品安全供給。針對(duì)稀土資源產(chǎn)權(quán)虛置等原因?qū)е碌倪^(guò)度開(kāi)采問(wèn)題,建議創(chuàng)新稀土資源的資產(chǎn)化管理模式,克服公地悲劇和外部性問(wèn)題,稀土企業(yè)應(yīng)主動(dòng)履行社會(huì)責(zé)任,應(yīng)用清潔生產(chǎn)技術(shù),實(shí)現(xiàn)稀土產(chǎn)品可持續(xù)供給。針對(duì)地方保護(hù)主義和部門(mén)利益問(wèn)題導(dǎo)致的稀土產(chǎn)品結(jié)構(gòu)性過(guò)剩問(wèn)題,建議打破地方行政壟斷,加強(qiáng)行業(yè)自律,有效化解過(guò)剩產(chǎn)能,延伸稀土產(chǎn)品產(chǎn)業(yè)鏈,增加高科技含量稀土產(chǎn)品的供給,提高稀土資源綜合利用率,提升稀土企業(yè)盈利水平,實(shí)現(xiàn)稀土產(chǎn)品平衡供給。本文可能的創(chuàng)新之處如下。第一,綜合運(yùn)用壟斷資本全球化理論、產(chǎn)權(quán)理論和委托代理理論,從產(chǎn)業(yè)集中度、產(chǎn)權(quán)主體和外部性、地方保護(hù)主義和部門(mén)利益的視角,系統(tǒng)分析全球化背景下中國(guó)稀土產(chǎn)品供給問(wèn)題的深層原因,拓寬了壟斷資本全球化理論等經(jīng)濟(jì)理論的應(yīng)用領(lǐng)域。現(xiàn)有文獻(xiàn)分析中國(guó)稀土產(chǎn)品供給問(wèn)題時(shí),尚未涉及壟斷資本全球化理論、產(chǎn)權(quán)理論和委托代理理論,對(duì)問(wèn)題原因的分析不夠深入系統(tǒng)。本文結(jié)合中國(guó)稀土產(chǎn)品供給的現(xiàn)實(shí)問(wèn)題,綜合運(yùn)用壟斷資本全球化理論等經(jīng)濟(jì)理論,系統(tǒng)分析全球化背景下中國(guó)稀土產(chǎn)品供給問(wèn)題的深層原因。具體而言,中國(guó)稀土產(chǎn)業(yè)集中度偏低,是中國(guó)稀土產(chǎn)品出口失衡、偏離安全供給目標(biāo)的深層原因;稀土資源產(chǎn)權(quán)主體虛置、外部性影響等因素,是中國(guó)稀土資源過(guò)度開(kāi)采、偏離可持續(xù)供給目標(biāo)的深層原因;地方保護(hù)主義盛行、部門(mén)利益固化,是中國(guó)稀土產(chǎn)品結(jié)構(gòu)性過(guò)剩、偏離平衡供給目標(biāo)的深層原因。第二,構(gòu)建了關(guān)于中國(guó)稀土產(chǎn)品安全供給、可持續(xù)供給和平衡供給的綜合分析框架。對(duì)于中國(guó)稀土產(chǎn)品供給問(wèn)題的研究,現(xiàn)有文獻(xiàn)往往從安全供給、可持續(xù)供給和平衡供給三個(gè)方面中的某一方面進(jìn)行專(zhuān)題分析。本文把稀土產(chǎn)品供給的目標(biāo)細(xì)分為安全供給、可持續(xù)供給和平衡供給,搭建了比較系統(tǒng)的綜合分析框架。并運(yùn)用這一分析框架,對(duì)中國(guó)稀土產(chǎn)品供給問(wèn)題展開(kāi)了深入研究,剖析了深層原因,整合構(gòu)建了相對(duì)完整的中國(guó)稀土產(chǎn)品供給的評(píng)價(jià)指標(biāo)體系,進(jìn)行了稀土產(chǎn)品供給的國(guó)際比較研究,提出了系統(tǒng)的對(duì)策建議。同時(shí),在實(shí)證分析方面,相比現(xiàn)有文獻(xiàn)往往采用傳統(tǒng)的分層加權(quán)評(píng)分方法,本文對(duì)不可再生資源最優(yōu)開(kāi)采經(jīng)典模型進(jìn)行拓展,將其引入中國(guó)稀土產(chǎn)品供給問(wèn)題的研究領(lǐng)域,運(yùn)用動(dòng)態(tài)規(guī)劃工具,構(gòu)建了中國(guó)稀土礦產(chǎn)品供給的動(dòng)態(tài)分析模型,應(yīng)用中國(guó)稀土礦產(chǎn)品供給數(shù)據(jù)進(jìn)行規(guī)范性檢驗(yàn),豐富了不可再生資源最優(yōu)開(kāi)采的實(shí)證研究成果。第三,在系統(tǒng)分析中國(guó)稀土產(chǎn)品供給問(wèn)題深層原因基礎(chǔ)上,借鑒國(guó)際經(jīng)驗(yàn),研究提出了保障中國(guó)稀土產(chǎn)品安全、可持續(xù)和平衡供給的對(duì)策建議,針對(duì)性和操作性較強(qiáng)。本文圍繞中國(guó)稀土產(chǎn)品安全供給、可持續(xù)供給和平衡供給的目標(biāo),深入分析問(wèn)題原因,進(jìn)行國(guó)際比較研究,借鑒國(guó)際經(jīng)驗(yàn),因此,提出的對(duì)策建議具有新穎性和針對(duì)性,操作性較強(qiáng)。本文針對(duì)產(chǎn)業(yè)集中度不高導(dǎo)致的出口失衡問(wèn)題、稀土資源產(chǎn)權(quán)主體虛置等原因?qū)е碌倪^(guò)度開(kāi)采問(wèn)題、地方保護(hù)主義和部門(mén)利益問(wèn)題導(dǎo)致的結(jié)構(gòu)性過(guò)剩問(wèn)題,分別從國(guó)家、行業(yè)和企業(yè)層面提出系統(tǒng)的對(duì)策建議,具有強(qiáng)烈的現(xiàn)實(shí)意義和應(yīng)用價(jià)值。隨著稀土經(jīng)濟(jì)用途的日益廣泛,關(guān)于中國(guó)稀土產(chǎn)品供給問(wèn)題的研究不斷深化,涉及到越來(lái)越多的學(xué)科,包括經(jīng)濟(jì)、政治、法律和國(guó)際貿(mào)易等學(xué)科,這使研究變得更加復(fù)雜。限于作者水平,本文難免有不盡人意之處。例如,限于數(shù)據(jù)搜集整理的現(xiàn)實(shí)難度,本文在稀土礦產(chǎn)品供給的實(shí)證研究過(guò)程中,部分使用了替代數(shù)據(jù),降低了實(shí)證結(jié)論的精確性。因此,有待于在下一步工作學(xué)習(xí)中進(jìn)行深入的實(shí)證研究�？梢灶A(yù)期,隨著大數(shù)據(jù)時(shí)代的來(lái)臨,信息的可獲得性增加,將會(huì)出現(xiàn)更多的關(guān)于稀土產(chǎn)品供給問(wèn)題的量化研究成果。
[Abstract]:Rare earth is a non-renewable strategic resource, which is widely used in various fields of the national economy. It is not only conducive to the cultivation of new energy, new materials, energy conservation and environmental protection, aerospace, electronic information and other strategic emerging industries, but also conducive to the upgrading and transformation of traditional industries. It is of great importance to the development of new industrialization, informationization, urbanization and agricultural modernization. Under the background of globalization, the inherent contradiction between non-renewable resources and sustainable economic development is intensified worldwide, and countries all over the world pay more attention to the stable supply of rare earth products. However, in 2014, the U.S., Japan and Europe suit against China for restricting the export of rare earth products ended in China's defeat. China's supply of rare earth products is still facing many practical problems and has paid a high price in terms of economy, resources, environment and ecology. The safe supply, sustainable supply and balanced supply of rare earth products are of practical significance to safeguard national resource security and sustainable development of national economy. Although there are many special literature on the supply of rare earth products in China, there are relatively more qualitative and quantitative studies. Therefore, in the process of this study, qualitative research and quantitative analysis are carried out; theoretical research and empirical analysis are carried out. International comparative studies and other research methods have been used to raise questions, analyze problems and solve problems. The analytical framework of safe supply, sustainable supply and balanced supply of rare earth products has been constructed. The deep-seated causes of supply problems of rare earth products in China have been systematically studied by using specific economic theories such as globalization of monopoly capital and so on. This paper is divided into seven chapters. The first chapter is the introduction, which introduces the research background, research significance, research methods and research ideas, and discusses the research status at home and abroad. The second chapter is the basic category and theory. It briefly introduces the basic categories of rare earth resources, rare earth product classification, rare earth product supply, safe supply, sustainable supply and balanced supply, and discusses the relevant basic theories, including the theory of monopoly capital globalization, sustainable development theory and non-renewable. Supply means that the producer of a commodity is willing and able to produce and sell it at a certain price within a certain period of time to meet the needs of consumers. This paper holds that the supply objectives of rare earth products in China are embodied in three aspects: safe supply, sustainable supply and balanced supply according to their importance. Safe supply is the core objective of the supply of rare earth products in China and is the guarantee of national resource security and the sustainability of the national economy. Sustainable supply is the long-term goal of China's rare earth products supply and the basic basis for the government to macro-control the supply of rare earth products. This paper summarizes the outstanding problems in the supply of rare earth products in China.The market of rare earth products in China used to be disorderly competition or even vicious competition,but now it is developing towards monopolistic competition.Under the background of globalization,the geopolitical influence of the uneven distribution of rare earth resources and the regional supply of rare earth products has increased,especially after China's accession to the World Trade Organization. With the acceleration of globalization, the hidden dangers of supply security of rare earth products in China have been exposed rapidly, which are mainly manifested in export imbalance: export quantity imbalance, which does not match the status quo of resources; export rules aphasia, which leads to the failure of WTO disputes over rare earth; export order out of control, which leads to repeated prohibitions on export smuggling; unfair export prices, deviations from the value of China. With the advancement of industrialization and the rapid growth of consumption demand for rare earth products in the development of national economy, the unsustainable supply of rare earth products has been attached great importance to by the whole society. The outstanding problem is the over-exploitation of rare earth resources. Structural surplus of soil products: homogenization of investment in rare earth projects is more serious, overall overcapacity, serious oversupply of light rare earth smelting and separating products, serious oversupply of rare earth functional materials and application products with low added value, urgent need to eliminate backward production capacity; insufficient investment in research and development, high added value rare earth functional materials and application production The fourth chapter analyzes the deep-seated reasons for the supply of rare earth products in China. Based on the theory of globalization of monopoly capital, the deep-seated reasons for the imbalance of export of rare earth products are analyzed. The market structure of products, barriers to market entry, economies of scale, and market trading platforms have far-reaching impacts. The negative impacts are mainly manifested in the low industrial concentration of China's rare earth products market, decentralized decision-making leading to duplication of construction and overcapacity, inadequate investment in innovation, and the entry of multinational companies, which aggravate the supply of rare earth products in China. The low concentration of rare earth products is the underlying reason for the imbalance of export and the threat to safety supply of rare earth products in China. The excessive exploitation of rare earth resources is essentially a property right problem. The ownership of rare earth resources belongs to the state. The excessive exploitation and utilization caused by the absence of ownership leads to the pricing right of rare earth resources and the management mode of assets. Rare earth primary products have obvious externalities in the process of production. When externalities can not be internalized, the market price signals of rare earth products are not accurate enough to accurately reflect social costs, resulting in rare earth products. Price deviates from value, misleads resource allocation and brings about a series of problems. Based on principal-agent theory, this paper analyzes the underlying causes of structural surplus of rare earth products. This is reflected in the fact that in the face of the inadequate implementation of national policies by enterprises supplying rare earth products, the government's supervision and control are not effective; the government has repeatedly dealt with the problems of excess production capacity of rare earth products, illegal production and export smuggling of rare earth products, but has not fundamentally resolved them. The fifth chapter establishes a relatively complete comprehensive evaluation system for the safety supply, sustainable supply and balanced supply of rare earth products in China, and makes an empirical analysis. In evaluating the supply of rare earth mineral products in China, the classical Hotelling model is introduced instead of the hierarchical weighted scoring method commonly used in China. The dynamic programming tools are used to make an empirical analysis. Chapter 6 makes an international comparative study on the supply of rare earth products and discusses the safety of foreign rare earth products. The supply of rare earth products is a global problem. This paper studies the rare earth strategy, industrial policy and enterprise supply behavior of the United States, Japan, EU and other rare earth products supplying countries around the three major objectives of safe supply, sustainable supply and balanced supply. These international experiences provide positive enlightenment for solving the supply problem of rare earth products in China. Chapter 7 puts forward systematic countermeasures and suggestions. The unbalanced export of rare earth products caused by the low concentration of rare earth industry is suggested to speed up the establishment of rare earth enterprise groups, actively participate in the international market competition of rare earth products, enhance the right of discourse in the international market, utilize international and domestic rare earth resources, and realize the safe supply of rare earth products. In order to overcome the tragedy and externality of the commons, it is suggested that the rare earth enterprises should take the initiative to fulfill their social responsibilities and apply cleaner production technology to realize the sustainable supply of rare earth products. Monopoly, strengthening industry self-discipline, effectively dissolving excess capacity, extending the industrial chain of rare earth products, increasing the supply of high-tech rare earth products, improving the comprehensive utilization of rare earth resources, improving the profitability of rare earth enterprises, and achieving a balanced supply of rare earth products. Property rights theory and principal-agent theory, from the perspective of industrial concentration, property rights subject and externality, local protectionism and sectoral interests, systematically analyze the underlying causes of the supply of rare earth products in China under the background of globalization, and broaden the application fields of economic theories such as the theory of globalization of monopoly capital. The supply of rare earth products in China has not yet been thoroughly and systematically analyzed by the theories of globalization of monopoly capital, property rights and principal-agent. Specifically, the low concentration of China's rare earth industry is the underlying cause of China's export imbalance of rare earth products, deviating from the goal of safe supply; the absence of ownership of rare earth resources, externalities and other factors are the underlying causes of China's over-exploitation of rare earth resources, deviating from the goal of sustainable supply; and the prosperity of local protectionism. Secondly, a comprehensive analysis framework for the safe supply, sustainable supply and balanced supply of rare earth products in China is constructed. In this paper, the goal of supply of rare earth products is divided into safety supply, sustainable supply and balanced supply, and a comparatively systematic and comprehensive analysis framework is established. The reason is that a relatively complete evaluation index system for the supply of rare earth products in China is constructed, and the international comparative study on the supply of rare earth products is carried out.
【學(xué)位授予單位】：中央財(cái)經(jīng)大學(xué)
【學(xué)位級(jí)別】：博士
【學(xué)位授予年份】：2015
【分類(lèi)號(hào)】：F426
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本文編號(hào)：2230047