全球化背景下中国稀土产品供给问题研究
发布时间：2018-09-08 08:56
【摘要】：稀土是不可再生的战略资源,广泛应用于国民经济各个领域,不仅有利于新能源、新材料、节能环保、航空航天、电子信息等战略性新兴产业的培育,而且有利于传统产业升级改造,对于新型工业化、信息化、城镇化和农业现代化发展具有重要支撑作用。全球化背景下,不可再生资源与经济可持续发展的内在矛盾在全球范围内激化,世界各国更加重视稀土产品的稳定供给,美国、日本、欧盟将稀土列入了国家关键资源战略。中国稀土资源储量占世界的23%左右,是世界上最大的稀土产品供给国家。但是,2014年,美日欧诉讼中国限制稀土产品出口案以中国败诉告终,中国稀土产品供给仍然面临着诸多的现实问题,付出了经济、资源、环境、生态等方面的较大代价。深入分析这些问题,积极采取应对措施,实现稀土产品的安全供给、可持续供给和平衡供给,对于保障国家资源安全和国民经济可持续发展具有现实意义。国内外学者深入研究中国稀土问题,出现了丰硕的研究成果。但是,国外涉及稀土产品供给问题的文献中,系统的专题研究相对比较少。国内研究稀土产品供给问题的专题文献虽然较多,可是,定性研究相对较多,定量研究相对较少。因此,本文研究过程中,进行定性研究,同时进行计量分析;进行理论研究,同时进行实证分析。本文综合运用文献研究、计量研究、系统分析和国际比较研究等多种研究方法,以提出问题、分析问题、解决问题为研究思路,构建了稀土产品安全供给、可持续供给和平衡供给的分析框架,运用垄断资本全球化等具体的经济理论,系统研究中国稀土产品供给问题的深层原因,整合搭建了中国稀土产品供给的综合评价体系,并进行实证分析和国际比较研究,提出有针对性的对策建议,具有较高的学术价值。本文共分七章。第一章为导论,介绍了本文的研究背景、研究意义、研究方法和研究思路,探讨了国内外的研究现状,对现有研究文献进行了评述。第二章为基本范畴和基础理论,简要介绍了稀土资源、稀土产品分类、稀土产品供给、安全供给、可持续供给和平衡供给等基本范畴,探讨了相关基础理论,包括垄断资本全球化理论、可持续发展理论、不可再生资源最优开采理论、产权理论和委托代理理论等。供给,是指商品的生产者愿意且能够生产,按照一定的价格在一定的时期内出售,满足消费者的需求。本文所称稀土产品供给,是指稀土产品的生产者愿意且能够生产,按照一定的价格在一定的时期内出售,满足稀土产品消费者的需求。本文认为,中国稀土产品供给目标体现为三个方面,按照重要程度,依次为安全供给、可持续供给和平衡供给。安全供给是中国稀土产品供给的核心目标,是保障国家资源安全和国民经济可持续发展的战略前提。可持续供给是中国稀土产品供给的长期目标,是政府对稀土产品供给进行宏观调控的基本依据。平衡供给是中国稀土产品供给的现实目标,是稀土企业市场行为的内在动机。第三章分析了中国稀土产品供给的现状,归纳了中国稀土产品供给的突出问题。中国稀土产品市场过去是无序竞争甚至是恶性竞争,现在正在向垄断竞争发展。全球化背景下,稀土资源分布和稀土产品供给地域不平衡性的地缘政治影响加大,特别是中国加入世界贸易组织后,全球化进程加速,中国稀土产品供给安全隐患问题迅速暴露出来,突出表现为出口失衡:出口数量失衡,与资源现状不匹配;出口规则失语,稀土世贸争端败诉;出口秩序失控,出口走私屡禁不止;出口价格失公,偏离价值暴涨暴跌。随着中国工业化进程的推进,国民经济发展对稀土产品的消费需求快速增长,稀土产品供给不可持续问题受到全社会的高度重视,突出问题是稀土资源过度开采。随着市场化进程的推进,中国稀土产品供给不平衡的问题越积越重,突出表现为稀土产品结构性过剩:稀土项目投资同质化现象比较严重,总体产能过剩,轻稀土冶炼分离产品供给严重过剩,附加值低的稀土功能材料和应用产品供给严重过剩,急需淘汰落后产能;研发创新投入不足,附加值高的稀土功能材料和应用产品供给不足,中重稀土冶炼分离产品供给不足。第四章分析了中国稀土产品供给问题的深层次原因。基于垄断资本全球化理论,分析了稀土产品出口失衡的深层原因。垄断资本全球化的主要载体跨国公司进入中国稀土产品市场,对稀土产品的市场结构、市场进入壁垒、规模经济、市场交易平台等产生深远影响。消极不利影响主要体现为,中国稀土产品市场的产业集中度偏低、分散决策导致重复建设和产能过剩、创新投入不足,跨国公司的进入,加剧了中国稀土产品供给企业的过度竞争,为稀土产品非法生产和出口走私提供了销售渠道。产业集中度不高是中国稀土产品出口失衡、安全供给受到威胁的深层原因。基于产权理论,分析了稀土资源过度开采的深层原因。稀土资源具有公地性质,稀土产品生产过程中具有外部性,导致稀土资源所有权主体虚置和外部性问题。稀土资源过度开采,本质上是产权问题,稀土资源的所有权属于国家,所有权主体虚置造成过度开采利用,进而带来稀土资源定价权、资产化的管理模式问题。在稀土产业集中度偏低的情况下,企业无序竞争而政府监管不力,造成了稀土资源过度开采。稀土初级产品在生产过程中具有明显的外部性,在外部性不能内部化的情况下,稀土产品的市场价格信号不够准确,不能精确地反映社会成本,导致稀土产品价格背离价值,误导资源分配,进而带来一系列问题。基于委托代理理论,分析了稀土产品结构性过剩的深层原因。由于各级政府间的复杂委托代理关系带来的地方保护主义和部门利益问题,对稀土产品供给产生多方面的不利影响,主要体现为,面对稀土产品供给企业执行国家政策不到位现象,政府部门监管控制不力;政府多次治理稀土产品产能过剩、稀土产品非法生产和出口走私等问题,却没有从根本上化解。地方保护主义和部门利益问题,是中国稀土产品结构性过剩的深层次原因。第五章搭建了比较完整的中国稀土产品安全供给、可持续供给和平衡供给的综合评价体系,并进行实证分析。本文借鉴前沿研究成果,运用文献研究方法,全面梳理稀土产品供给的评价指标并进行归纳整合,搭建了综合的评价指标体系。在对中国稀土矿产品供给进行评价时,没有采取国内常用的分层加权评分方法,而是引入了经典的霍特林模型,运用动态规划工具进行了实证分析。第六章对稀土产品供给进行了国际比较研究,探讨了国外稀土产品安全供给、可持续供给和平衡供给的经验。稀土产品供给是全球性问题,本文围绕安全供给、可持续供给和平衡供给三大目标,研究了美国、日本、欧盟国家等稀土产品供给国家的稀土战略、产业政策和企业供给行为。与中国相比,其他稀土产品供给国家的稀土资源储采比相对较低,稀土产业集中度较高,稀土产能利用率较高,重视知识产权保护,稀土产品附加值较高等。这些国际经验,为解决中国稀土产品供给问题提供了积极的启示。第七章提出系统的对策建议。针对稀土产业集中度不高所导致的稀土产品出口失衡问题,建议加快组建稀土企业集团,积极参与国际稀土产品市场竞争,提高国际市场话语权,利用国际国内稀土资源,实现稀土产品安全供给。针对稀土资源产权虚置等原因导致的过度开采问题,建议创新稀土资源的资产化管理模式,克服公地悲剧和外部性问题,稀土企业应主动履行社会责任,应用清洁生产技术,实现稀土产品可持续供给。针对地方保护主义和部门利益问题导致的稀土产品结构性过剩问题,建议打破地方行政垄断,加强行业自律,有效化解过剩产能,延伸稀土产品产业链,增加高科技含量稀土产品的供给,提高稀土资源综合利用率,提升稀土企业盈利水平,实现稀土产品平衡供给。本文可能的创新之处如下。第一,综合运用垄断资本全球化理论、产权理论和委托代理理论,从产业集中度、产权主体和外部性、地方保护主义和部门利益的视角,系统分析全球化背景下中国稀土产品供给问题的深层原因,拓宽了垄断资本全球化理论等经济理论的应用领域。现有文献分析中国稀土产品供给问题时,尚未涉及垄断资本全球化理论、产权理论和委托代理理论,对问题原因的分析不够深入系统。本文结合中国稀土产品供给的现实问题,综合运用垄断资本全球化理论等经济理论,系统分析全球化背景下中国稀土产品供给问题的深层原因。具体而言,中国稀土产业集中度偏低,是中国稀土产品出口失衡、偏离安全供给目标的深层原因;稀土资源产权主体虚置、外部性影响等因素,是中国稀土资源过度开采、偏离可持续供给目标的深层原因;地方保护主义盛行、部门利益固化,是中国稀土产品结构性过剩、偏离平衡供给目标的深层原因。第二,构建了关于中国稀土产品安全供给、可持续供给和平衡供给的综合分析框架。对于中国稀土产品供给问题的研究,现有文献往往从安全供给、可持续供给和平衡供给三个方面中的某一方面进行专题分析。本文把稀土产品供给的目标细分为安全供给、可持续供给和平衡供给,搭建了比较系统的综合分析框架。并运用这一分析框架,对中国稀土产品供给问题展开了深入研究,剖析了深层原因,整合构建了相对完整的中国稀土产品供给的评价指标体系,进行了稀土产品供给的国际比较研究,提出了系统的对策建议。同时,在实证分析方面,相比现有文献往往采用传统的分层加权评分方法,本文对不可再生资源最优开采经典模型进行拓展,将其引入中国稀土产品供给问题的研究领域,运用动态规划工具,构建了中国稀土矿产品供给的动态分析模型,应用中国稀土矿产品供给数据进行规范性检验,丰富了不可再生资源最优开采的实证研究成果。第三,在系统分析中国稀土产品供给问题深层原因基础上,借鉴国际经验,研究提出了保障中国稀土产品安全、可持续和平衡供给的对策建议,针对性和操作性较强。本文围绕中国稀土产品安全供给、可持续供给和平衡供给的目标,深入分析问题原因,进行国际比较研究,借鉴国际经验,因此,提出的对策建议具有新颖性和针对性,操作性较强。本文针对产业集中度不高导致的出口失衡问题、稀土资源产权主体虚置等原因导致的过度开采问题、地方保护主义和部门利益问题导致的结构性过剩问题,分别从国家、行业和企业层面提出系统的对策建议,具有强烈的现实意义和应用价值。随着稀土经济用途的日益广泛,关于中国稀土产品供给问题的研究不断深化,涉及到越来越多的学科,包括经济、政治、法律和国际贸易等学科,这使研究变得更加复杂。限于作者水平,本文难免有不尽人意之处。例如,限于数据搜集整理的现实难度,本文在稀土矿产品供给的实证研究过程中,部分使用了替代数据,降低了实证结论的精确性。因此,有待于在下一步工作学习中进行深入的实证研究。可以预期,随着大数据时代的来临,信息的可获得性增加,将会出现更多的关于稀土产品供给问题的量化研究成果。
[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.
【学位授予单位】：中央财经大学
【学位级别】：博士
【学位授予年份】：2015
【分类号】：F426
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本文编号：2230047
[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.
【学位授予单位】：中央财经大学
【学位级别】：博士
【学位授予年份】：2015
【分类号】：F426
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本文编号：2230047
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