WTO框架下我国稀土出口问题研究

发布时间：2018-05-30 11:07

本文选题：稀土 + 定价权　；参考：《东北财经大学》2013年硕士论文

【摘要】：稀土是重要的战略资源,有着“工业维生素”的美称。因为结构的特殊性,稀土元素具有良好的光、电、磁、热等特性,在荧光、磁性、催化、光纤通信、贮氢能源、超导等材料领域有着不可替代的作用,直接影响着电子、通讯、汽车、能源、航空航天、核能等众多领域的发展。邓小平曾说过：“中东有石油,中国有稀土。”我国稀土储量约占世界总储量的50%,产量和出口量均高居世界第一位,在国际稀土贸易中扮演着十分重要的角色。但由于各方面的原因,我国却没能从稀土出口中获得应有的利益,资源优势并没有转化成产业优势和经济优势,出口反而受制于人。我国是稀土大国,却不是稀土强国。本文试图通过对我国稀土出口现状的研究,指出存在的问题,挖掘我国稀土出口处于尴尬境地的原因,并且针对相关问题提出解决对策,希望能为政府和企业提供一些有用的建议。全文共分为六章：第一章为绪论,介绍了本文的研究背景和意义,梳理国内外的相关文献并作评述,交代本文的研究思路和结构框架,并指出本文的创新与不足。第二章介绍了本文研究的相关理论基础,包括要素禀赋理论、博弈论、定价权相关理论、外部影响理论,并解释了这些理论对本文研究的适用性。第三章全面分析了我国稀土出口现状并提出存在的问题。首先从供给和需求角度对国际市场进行了分析,指出中国并非唯一的稀土资源拥有国,但长期以来几乎以一己之力满足着国际市场的消费,且我国稀土产能过剩,.年生产能力大于国际市场需求。然后对比相关发达国家稀土政策,发现这些国家基本上都封存了本国的稀土矿,十分重视保护本国资源,转而从中国进口来满足消费甚至大量进行储备。随后详细地分析了我国稀土出口贸易的现状：出口价格低,出口量巨大,出口目的地主要集中在少数发达国家。最后针对我国稀土出口现状提出相应的问题：资源贱卖,流失严重；稀土开采和生产带来严重的环境问题；配额制不完善带来诸多问题,包括走私,配额倒卖,国际贸易纷争等,这些都对我国目前的稀土政策构成了极大的挑战。可以说,当前我国稀土出口处于内忧外患的局面。第四章对我国稀土出口存在的问题进行了深入的分析。指出我国稀土定价权缺失的原因：资源过度开发,过度贸易；行业集中度极低,国内企业恶性竞争；买方寡头垄断,拥有定价权；环境成本的忽略；中国处于稀土产业链的较低端。然后,对我国稀土出口配额制进行分析,指出我国实行配额制的目的在于保护资源和环境,促进产业升级,有相应的法律依据,不违反wTO规则。最后对我国稀土的国际诉讼环境进行分析,认为当前的稀土国际诉讼与09年美欧墨诉中国原材料案有极大的相似性,所以原材料案的败诉使我国稀土国际诉讼蒙上了一层阴影。第五章是改善我国稀土贸易的对策建议。我国要掌握稀土贸易的主动权,必须夺回稀土出口定价权,应建立稀土储备,加强行业整合,调整稀土税费,完善产业链。在应对稀土国际诉讼时,我们应做好充分的准备,援引GATT1994第20条“一般例外”条款需满足相关条件,此外,还可以尝试引用GATT1994第21条“安全例外”条款进行例外抗辩。同时,还应完善稀土出口配额制度,提升行业标准,加强监管,重视环境保护,以保障我国稀土出口可持续发展。第六章为结语,对全文进行总结。
[Abstract]:Rare earth is an important strategic resource with a "industrial vitamin" name. Because of its structural particularity, rare earth elements have good light, electrical, magnetic, thermal and other properties, in the fields of fluorescence, magnetism, catalysis, optical fiber communications, hydrogen storage energy, superconductivity and other materials, which directly affect electronic, communications, automotive, energy, aerospace and aerospace. Deng Xiaoping once said: "there is oil in the Middle East and China has rare earth." China's rare earth reserves account for about 50% of the world's total reserves. Both the output and export volume are the first in the world and play a very important role in international rare earth trade. However, due to various reasons, China has not been able to get from the export of rare earth. The advantages and advantages of resources have not been transformed into industrial advantages and economic advantages, but exports have been controlled by people. China is a rare earth power, but not a rare earth power.
Through the research on the present situation of China's rare earth export, this paper points out the existing problems, excavate the reasons for the embarrassing situation of China's rare earth export, and put forward some solutions to the related problems, hoping to provide some useful suggestions for the government and enterprises.
The full text is divided into six chapters.
The first chapter is the introduction, introducing the background and significance of the study, combing the relevant literature at home and abroad and making comments, presenting the research ideas and structural framework of this article, and pointing out the innovation and deficiency of this article.
The second chapter introduces the theoretical basis of this study, including the theory of factor endowment, game theory, the theory of pricing power and the theory of external influence, and explains the applicability of these theories to this study.
The third chapter analyzes the present situation of China's rare earth export and puts forward the existing problems. First, it analyses the international market from the perspective of supply and demand, and points out that China is not the only country of rare earth resources, but it has long been able to meet the consumption of the international market with the force of one's own, and the capacity of China's rare earth is overcapacity. In contrast to the international market demand, then comparing the rare earth policies of the developed countries, it is found that these countries have basically sealed their own rare earth minerals, paying great attention to protecting their own resources and transferring them from China to meet consumption and even a large amount of reserves. The quantity is huge, the destination owner of the export is concentrated in a few developed countries. Finally, the corresponding problems are put forward in view of the present situation of China's rare earth export: the resources are sold and the loss is serious; the rare earth mining and production bring serious environmental problems; the imperfect quota system brings many problems, including smuggling, quotas reselling, international trade disputes and so on. China's current rare earth policy poses a great challenge. It can be said that the current export of rare earth in China is in an internal and external situation.
The fourth chapter makes an in-depth analysis of the problems existing in China's rare earth export. It points out the reasons for the lack of rare-earth pricing power in China: overexploitation of resources, excessive trade, extremely low concentration of industry, vicious competition in domestic enterprises, the oligopoly of the buyer, the pricing power, the neglect of the environmental cost, and the lower end of the rare earth industry chain in China. Then, the paper analyzes the quota system of China's rare earth export, and points out that the purpose of the quota system in China is to protect the resources and the environment, promote the industrial upgrading, have the corresponding legal basis and do not violate the wTO rules. Finally, the international litigation environment of the rare earth in China is analyzed, and it is considered that the former rare earth international litigation and the 09 year American and European ink appeal to the Chinese original material. The material case is very similar, so the failure of the raw material case has cast a shadow over China's rare earth international litigation.
The fifth chapter is the countermeasures and suggestions to improve the rare earth trade in China. In order to grasp the initiative of the rare earth trade, we must take back the pricing power of rare earth export, establish the reserve of rare earth, strengthen the industry integration, adjust the tax and fee of rare earth and improve the industrial chain. In response to the international litigation of rare earth, we should make full preparation and invoke the twentieth "general examples" of GATT1994. Besides, we can also try to quote the twenty-first "safety exceptions" clause of GATT1994 to make an exception. At the same time, we should improve the rare-earth export quota system, improve the industry standards, strengthen supervision, and attach importance to environmental protection in order to ensure the sustainable development of China's rare earth export.
The sixth chapter is the conclusion, and summarizes the full text.
【学位授予单位】：东北财经大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：F752.62;F426.1

【参考文献】