【作者】 张世超；

【导师】 周科平；

【作者基本信息】 中南大学 ， 采矿工程， 2009， 博士

【摘要】 矿产资源是人类赖以生存的物质基础,是国家安全与经济发展的重要保证。当前,随着经济的迅猛发展,人类加大了对矿产资源的需求。经济全球化带动了矿产资源全球化,同时也加剧了国际社会对矿产资源的争夺,我国也加入到了对海外矿产资源的开发利用活动当中。为了获得稳定的矿产资源,保证国家在全球矿业竞争中占据有利的地位,不少发达国家和发展中国家都采取了一定的战略措施来推动本国企业在海外的矿业发展。在面临国内资源紧缺和海外激励竞争的情形下,探讨我国在海外的矿业发展战略问题成为一个具有重要战略意义的命题。本文以我国企业到海外开发利用非能源类矿产这一现象为研究对象,以西部矿业集团海外拓展为分析说明的实例,在调查我国国内矿业发展形势和开发海外矿业现状、阐述发展中国家跨国投资和企业核心能力相关理论指导、对比发达国家矿业企业发展和不同区域矿业投资环境的基础上,对我国海外非能源类矿业投资开发特征、风险和障碍进行了深入地分析,重点探讨了我国非能源类矿业海外拓展的企业战略,并以国内矿业企业海外投资项目为实例,分析了海外矿业投资项目的风险评估方法,提出了一些相应的风险控制措施。本文共七章。第一章介绍了论文选题的缘由、研究意义、研究现状以及论文的研究方法和主要研究内容,并阐述了我国矿业海外拓展的经济理论和国家的发展战略。第二章分析了全球矿业发展形势和我国矿业海外拓展的必然性、可行性、有利性。第三章分析了非能源类矿业海外直接投资所具有的特性以及存在的风险。第四章分析了非能源类矿产资源的世界分布和我国海外非能源类矿业拓展主要目标区域的矿业投资环境,并分别从海外非能源类矿产资源技术开发潜力的角度和矿业投资环境的角度探讨了非能源类矿业海外拓展区域的战略选择问题。同时分析研究了海外非能源类矿床技术开发潜力的评估方法,并在对影响我国企业海外矿业拓展的主要经济环境因素分析的基础上,初步建立了我国非能源类矿业海外拓展区域发展潜力评价体系。第五章阐述了企业核心能力的有关基础理论,列举了影响我国海外矿业拓展企业国际竞争力的一些主要问题,在分析研究国际跨国矿业公司成功发展规律的基础上,从企业发展与组织模式、前期投资风险管理、融资、经营管理等多方面探讨了我国企业海外非能源类矿业拓展战略。第六章论述了海外非能源矿业投资项目的风险识别工作,并从其西部矿业海外投资项目的案例出发,采用模糊数学与神经网络相结合的方法,建立了矿业企业海外投资项目风险评价的指标体系,构建了基于模糊神经网络的项目风险评价模型,提出了一些风险控制措施。文章针对我国企业海外非能源类矿业直接投资的特点与可能存在的风险、世界非能源类矿产的分布特点和主要投资目标区域的矿业投资环境状况以及我国从事非能源类矿业拓展的企业国际化经营存在的障碍所在,提出了我国从事非能源类矿业拓展的企业应发挥比较优势,重点到非洲和我国周边大部分国家去开发矿产,并积极参与其它地区的矿产开发;目前应尽可能优先选择拓展区域最具潜力的矿床进行开发,尽量避免选择开发一些地质条件非常复杂的矿床;企业可采取事先调查、事先规避、做好风险的分析评估工作、选择好投资项目、加强与当地企业和银行的合作、采取企业强强联合、建立和培养一支矿业项目运作队伍等措施来控制可能存在的投资风险;企业可以采取选择符合自身实际的发展战略模式、企业战略联盟、项目前期调查团队化和专业化、投资决策程序化、开发利用紧缺矿产以争取国家资金支持、完善企业制度建设、本土化经营、半封闭式管理、履行企业社会责任等战略和策略来促进企业的国际化发展。文章通过海外非能源类矿业投资项目的实例分析,构建了基于模糊神经网络的海外矿业投资项目风险评模型,并经过验证,认为该模型的风险评估结果满足实际分析的需要。更多还原

【Abstract】 Mineral resources are not only the material base that the human being depend on for existence, but also the important guarantee of one country’s safety and economy development. Today, with the rapid increase of global economy, more mineral resources are required by the human being. Economic globalization has brought along mineral resources’ globalization and also aggravated the contention for them by international society, and our contry took part in the activities of exploiting and utilizing overseas mineral resources too. To obtain stable mineral resources and insure homeland taking favorable position in the global mining competition, many developed countries and developing countries have adopted definite strategic measures to promote the development of native enterprises on overseas mining. With austere domestic resources shortage and overseas mining competition, there is important strategic significance to discusses the strategy of mining development beyond the sea.This paper takes our non-energy mineral enterprises’ exploiting and utilizing overseas mineral resources as its study object, gives Western Mining Corporation Group as an analyzing and explaining demonstration. Basing on investigating domestic mining position and the status quo of exploiting overseas mineral resources、expatiating theories on developing countries’ transnational investment and enterprise core competence、contrasting developed countries’ mineral enterprises’ development and different regions’ mining investment environment, it analyzes the characteristics、risks and obstacles of our native non-energy mineral enterprises exploiting overseas mineral resources deeply, mainly discusses mineral enterprises’ strategy on expanding overseas mining, and with case studying on domestic mining enterprises’ overseas expanding, analyzes the risk assessment method of overseas non-energy mining investment projects,and proposes some corresponding risk control measures.This paper includes seven chapters.Chapter 1 introduces the reasons to study the problem and the meaning、the status quo on this research, it also introduces the study methods and main research contents of this paper, expatiates the economic theories and our state development strategy on our mineral enterprises’ transnational investment. Chapter 2 analyzes the global mining development status、the inevitability、feasibility and favorable characteristics of our mining’s overseas expanding. Chapter 3 analyzes the characteristics and risks of our non-energy mineral enterprises’ overseas direct investment. Chapter 4 analyzes the non-energy mineral resources’ distribution in the world and the mining investment environment of those mainly aimed regions, and probes into the strategic choice on overseas expanding regions in the view of mineral resources’s technical exploiting potential and mining investment environment. In this chapter, the evaluation method on exploiting potential of the overseas non-energy mineral resources is also studied and an evaluation system of exploiting potential in different regions is elementarily designed based on analyzing the mainly economic environment factors that influence our non-energy mineral enterprises’ development. Chapter 5 expatiates on the relational theory of enterprise core competence, enumerates some mainly problems that influencing the international competitiveness of our expanding mineral enterprises, and discusses the expanding strategy for our non-energy mineral enterprises on development and organization mode、risk management of prophase investment、financing and routine management and so on based on analyzing the successful development laws of top-ranking transnational non-energy mineral enterprises. Chapter 6 elaborates the recognition process of overseas non-energy mineral investment projects’ risks, and based on analyzing the case of West Mining Corporation Group’s overseas investment project, a risks assessment index system of overseas non-energy mineral investment projects is established and a project’s risks evaluation model is constructed based on the fuzzy neural network with using a fuzzy mathematics and neural network combinative method, some risks controling measures are proposed.Contraposing the characteristics of our native non-energy mineral enterprises’ overseas direct investment and the risks that may exist、the characteristics of non-energy mineral resources’ distribution in the world、the status of the mining investment environment in those mainly aimed regions and the whereabouts of obstacles that exist in our native non-energy mineral enterprises’ international development, this paper points out that: our native non-energy mineral enterprises should stressly go to a majority of Africa countries and our circumjacent countries to exploit and utilize mineral resources, where our enterprises have comparative advantages, and at the same time, our enterprises should actively participate in other regions’ mineral resources exploitation; our enterprises should choose the best potential deposit of an expanding region as we can and avoid exploiting deposits with complicated geological conditions now; our enterprises may take measures such as investigating in advance、evading in advance、doing enough working on analyzing and evaluating the risks、choosing good mining project、strengthening the cooperation with local enterprises and banks、adopting enterprises’ Strong-Strong Union、founding and cultivating a mining project operation team and so on to control investment risks that may exist; our enterprises may take strategy or tactics such as choosing appropriate enterprise development strategy mode、adopting enterprise strategic alliance、adopting teamship and specialization prophase investigation on every mining project、adopting procedural investment decision、exploiting and utilizing most absent mineral resources to strive for national fund sustainment、improving enterprise system construction、adopting mainland operation、adopting semi-closed management、fulfilling corporate social responsibility and so on to promote enterprise’s international development. Based on analyzing the case of domestic enterprises’ overseas non-energy mineral investment projects, a overseas non-energy mineral investment project’s risks evaluation model is constructed with the fuzzy neural network method. With verification, the risk assessment result by this model is considered meeting the actual analysis.更多还原