【作者】 杨佩桦；

【导师】 侯敏跃；

【作者基本信息】 华东师范大学 ， 英语语言文学， 2014， 博士

【摘要】 能源与矿产资源几乎是一切经济活动所必需的物质基础。中国自1978年实施改革开放以来,工业生产飞速跃进,城市化进程日趋深化,经济增长日益加速,人口数量持续膨胀,使得资源供需缺口不断拉大。步入21世纪,随着中国经济增速的持续加快,我国已成为全球最大的资源品进口国,资源约束瓶颈愈益凸显,近20种能矿产品严重短缺,需大量进口以满足国内旺盛的消费需求。如此严峻的资源状况意味着保障资源以合理的价格持续、稳定、安全的供应是我国面临的关键性挑战之一。澳大利亚以其丰沛且高品位的能矿资源而享有“坐在矿车上的国家”之美誉,其资源储量与产量位居世界前列。而其较少的人口使得国内资源消费量增长有限,因此澳大利亚素来也是全球排名领先的、可靠的资源出口大国。此外,澳大利亚拥有比较稳定的政治、经济、社会环境,以及较为健全的法律体制。中澳两国同属亚太地区,自1972年12月正式建立外交关系以来,两国关系总体良好。所有上述因素使得双方彼此需要,并为双方的资源合作提供了良好的条件。自建交以来,中澳能矿资源贸易的数量与金额双双大幅攀升；两国在资源领域的合作也不断向宽领域、多层次的方向发展——合作涉及的能矿资源品种不断拓展,合作形式从贸易逐渐发展到投资和能源技术合作。中澳资源合作进程总体较为平稳,但也经受过波折、面临着挑战。双方能矿资源贸易与投资协作受到国内外各种因素的影响。例如,两国政治体制、意识形态、经济状况的迥异,对中国企业投资澳能矿业构成极大挑战。由于上述差异,中国企业正常的利益诉求有时会被一些澳大利亚人曲解为意在控制澳资源的战略行为。如何让我国的利益诉求为澳方理解,消除其担忧或反感,令其意识到中国企业投资澳矿是互利双赢的经济活动,是值得努力寻求破解之道的一项课题。本研究试图通过对双方在资源领域各项协作的梳理和研析,探究两国资源合作对彼此的益处与意义,分析合作中存在的问题和困难,以期为未来的协作提供些许启迪。本论文采用定量与定性相结合的研究方法。其一,整理和计算相关数据,并适当绘制成折线图、柱状图或饼图,以直观地反映中澳资源贸易和投资的数量与金额变化等。其二,采用案例分析法,研析典型合作项目的来龙去脉与问题,探寻相应对策。其三,综合运用资源经济学和国际关系学等相关理论,对中澳资源合作的历史、现状、未来加以剖析。全文共分六章。第一章是导论,阐述研究的缘起,进行文献综述,解释研究目的与意义、研究思路与方法。第二章作为背景交代,介绍中澳两国能矿产业的政策变迁。第三至五章是论文的主体,横向地划分为中澳能源产品贸易、中澳矿产品贸易与中国对澳大利亚能矿业的投资三部分。第三章论述中澳能源产品贸易,这些能源产品包含煤炭、石油、液化天然气和铀矿。第四章论述中澳矿产品贸易,包括铁矿、铜矿及铝矿产品。第五章着重从以下六方面剖析中国对澳大利亚能矿业的投资：外国对澳直接投资与中国对外直接投资概况,中国企业在澳投资背景,澳大利亚对外国投资的审查制度,中国投资澳矿历程,中国投资澳大利亚能矿业的挑战与对策建议,中国对澳矿投资项目下的双方能源技术合作。上述三章内部又纵向地阐述了各能矿产品贸易与投资的发展历程。第六章为结论,总结中澳资源合作的总体特征,阐释两国合作对双方的益处和意义,就双方合作中面临的挑战提出相应对策建议,并展望中澳资源合作的前景。研究的主要结论如下：通过数十年来的中澳能矿资源合作,澳大利亚对有效缓解中国的资源饥渴作出了难以替代的积极贡献,促进了中国经济长期高速的增长；而中国成就了澳大利亚在新世纪的矿业繁荣,使澳大利亚的经济增速长期保持着3-4%这个高于绝大多数发达经济体的增长率。中澳资源合作给两国的经济与社会发展带来了巨大推动,为增加两国人民的福祉作出了贡献,也令双方对彼此日益依赖。中澳资源合作关系己成为两国整体关系的重要构成部分和两国关系发展的强劲动力,甚至能在双边关系遭遇险情时起到稳定两国关系的关键作用,中澳资源合作已与两国整体关系形成良性互动。两国能矿资源合作的未来具有很大潜力,但也存在一些不确定因素,需要双方持续关注,并以积极、客观的态度予以妥善应对和解决。更多还原

【Abstract】 Energy and mineral resources are essential to almost all economic activities. Since the inception of its Reform and Opening-up program, China has remained in the period of soaring industrialisation and expediting urbanisation. The booming economy and the expanding population have caused domestic production of energy and mineral resources to fall short of their consumption. In the21st century, with the acceleration of economic growth, China has become the largest importer of resources globally and the imbalance between its resources supply and demand has been aggravated. Nearly20energy and mineral resources are in short and need to be imported in enormous amount to satisfy immense domestic demand. Such serious situation means that one of the most critical challenges China faces is to ensure the stable and sustainable supply of resources at reasonable prices.Australia boasts itself as "a country sitting on the mine car" thanks to its abundant and quality energy and mineral resources. The reserve volume and output of its resources rank high internationally. Its thin population renders the increase of domestic resources consumption limited. Consequently, Australia has long been one of the largest and most reliable resources exporters worldwide. Additionally, Australia also enjoys relatively stable political, economic and social environments, and a sound legal system.Both located in the Asian-Pacific region, China and Australia are geographically close to each other. In general, China and Australia have been maintaining friendly bilateral relations since they established formal diplomatic relations in December1972. All the aforementioned factors have strengthened the mutual need of the two nations and provided conditions for Sino-Australian resources cooperation. Since the establishment of their diplomatic relations, both the volume and the value of bilateral resources trade have been on the rise, with their bilateral cooperation in energy and mineral resources becoming increasingly broad and deep. The number of energy and mineral products traded between them has been expanding; the collaboration modes have been diversified from resources trade to investment and cooperation in energy technology.Generally speaking, Sino-Australian resources cooperation has been steady. Nevertheless, it could not be called plain sailing in view of the difficulties both countries have gone through and the challenges facing them. Mutual collaborations in resources trade and investment are affected by various elements both at home and abroad. For instance, the discrepancies in ideology, political systems, and economic conditions between the two countries have been posing great challenges to Chinese corporations’ investment in the Australian mining industry. Due to the above mentioned apparent differences, normal Chinese investment may sometimes be regarded by some Australians as a strategic behaviour which aims to gain control over Australian resources. Therefore, it is worth studying how to make Chinese investment understood by Australians, dispel their worries or aversions, and make them aware of the fact that Chinese investment in the Australian resources sector is a kind of economic activity which is conducive to both countries. In order to shed some light upon future collaboration, this research endeavours to explore the benefits and significance of Sino-Australian resources cooperation, and analyse the problems and difficulties in the course of their collaboration through the study of the progression of bilateral relations in energy and mineral resources.This dissertation employed both quantitative and qualitative research methods. Firstly, relevant data were processed and converted into line graphs, bar charts, and pie charts to reflect visually the changes of the volumes and the values of bilateral resources trade and investment. Secondly, case studies were adopted to research and analyse the advancement of typical collaborative projects and their problems, and explore countermeasures accordingly. Thirdly, related theories such as resource economics and international relations were applied in the study and analysis of the past, present, and future of Sino-Australian resources cooperation.The dissertation has six chapters in total. Chapter One is introduction, which includes the background of the project, literature review, research objective and significance, and research methodology.Chapter Two deals with the evolution of resources policies in both China and Australia, which is the policy backdrop of bilateral resources cooperation. It is further divided into two sections to expound on the development of their resources policies and strategies respectively.The third and the fourth chapters focus on Sino-Australian resources trade. Dedicated specially to Sino-Australian energy trade, the third chapter examines in detail the four energy commodities traded between China and Australia:coal, petroleum (including crude oil and Liquefied Petroleum Gas), Liquefied Natural Gas (hereinafter referred to as LNG), and uranium. Bilateral trade in those four energy products was unfolded from the following three aspects:bases for trade, trade practices, and determinant factors.The fourth chapter is devoted to minerals trade between the two countries. Mineral products covered in it are iron ore, copper ore, bauxite, alumina, and aluminium. Study was conducted from the same three aspects as the previous chapter.Chapter Five is on Chinese investment in Australian resources sector. It is divided into six sections. The first section gives a brief account of Foreign Direct Investment (FDI) in Australia and China’s Outward Foreign Direct Investment (OFDI). The second section analyses the background of Chinese investment in Australian mining industry from two respects:Australia’s environment for mining investment, and the internal and external causes of these Chinese investments. The next section introduces Australia’s review system of FDI. The fourth part elaborates the progression of Chinese investment in Australian resources sector. The fifth part probes the challenges of Chinese investment in Australia and the enlightenments they give us. The last part expounds on bilateral collaboration in energy technology in the investment projects:united research on new energy, cooperation in coal technologies, and collaboration in solar energy and wind energy.The last chapter is conclusion. It sets out to summarise the general features and significance of Sino-Australian resources cooperation, then analyses the challenges both countries are confronted with and advances corresponding suggestions. It claims that the bilateral resources collaboration is to have a rosy prospect.The main conclusions of this research are as follows: Via Sino-Australian cooperation in energy and mineral resources in the past decades, Australia has effectively relieved China’s thirst for resources, and thus has contributed significantly to China’s rapid economic growth for a long period of time. That contribution has been almost irreplaceable. On the other hand, China has helped Australia reap its mineral boom in the21st century, and has assisted Australia to maintain its economic growth rate at3-4%, which is much higher than that of most other developed countries. Sino-Australian resources collaboration has served as a huge impetus for the economic and social developments of both countries, and has made considerable contribution to the welfare of people in both countries. As a result, it has made China and Australia increasingly dependent upon each other. In addition, as an important component of the general relationship between the two nations, Sino-Australian relations in energy and mineral resources has become a powerful driving force of the advancement of China-Australia relations. Furthermore, it has played a crucial role in stabilising bilateral relationship when the relationship is in danger. Sino-Australian relations in energy and mineral resources and general China-Australia relations have formed a benign interaction. In conclusion, bilateral resources cooperation has great potentials as well as several uncertain factors and problems, which need to be paid constant attention to and tackled appropriately with an active and objective attitude.更多还原