【作者】 杜春娟；

【导师】 李冬；

【作者基本信息】 吉林大学 ， 国际贸易学， 2004， 硕士

【摘要】 从1993年起我国成为石油净进口国以来，进口石油依存度已高达37%以上，国际石油安全态势的恶化势必会对我国的石油工业乃至整个国民经济造成重创。加入WTO组织以来，我国石化企业的生存环境发生了新的变化，国外一些著名的跨国公司纷纷进入中国市场，国内石化企业不但要与国内同行较量，而且还要直面国外强大的竞争对手。本文从研究跨国企业投资理论入手，分析我国主要石化企业的现状和存在的问题，随之探讨了我国石化企业在国际化进程中的发展趋势与方向，进而从国内石化企业与国外石化公司建立战略合作关系，与金融企业合作开展对外投资这几个角度提出了自己的见解。第一部分主要是从企业为何要进行国际投资的理论角度分析的。首先引用的是美国经济学家海默的“垄断优势”理论。该理论以不完全竞争的市场假设作为前提，认为企业对外直接投资有利可图是必要条件，并且这些企业应具备东道国企业所没有的垄断优势。并且认为不完全竞争导致不完全市场，不完全市场导致国际直接投资，还认为垄断优势是对外直接投资的决定因素。巴克莱等人的内部化理论认为，现代跨国公司是市场内部化过程的产物。内部化理论是以中间产品市场不完全为基础的。如果通过外部市场，进行中间产品的交易，就会提高交易成本，所以，企业不得不以企业内部市场代替外部市场。再者就是英国里丁大学教授约翰·邓宁提出的国际生产折衷理论，该理论是吸收了垄断优势理论、内部化理论、区位优势理论等各家之长而形成的一个综合性很强的理论。该理论认为所有权优势和内部化优势只是企业对外直接投资的必要条件，而区位优势是对外直接投资的充分条件。20世纪80年代以来，许多跨国公司为了能在竞争日益激烈的国际市场上求得生存和发展，而不断调整其经营活动，并对其战略进行了全面的创新。战略联盟是上述跨国公司的典型之作，它是一种比较松散的组织，参加战略联盟的企业间既合作又竞争，他们的地位相对平等，并且战略联<WP=49>盟还有一定的时效性。第二部分主要介绍了我国石化企业发展的现状。中国石油供给经历了三个阶段，贫油国阶段，自给有余阶段和进口阶段。首先，国内石油企业国际化的背景是：（一）石油供需之间矛盾突出。90年代后期，中国石油供需情况极其严峻。中国目前年产原油1.6亿吨，而年需求则高达2.2亿吨。（二）石油价格缺乏稳定性。1999年—2003年，由于国际原油市场风云变幻，国内成品油价格随之连续多次上调。2003年的美伊战争再一次为中国石油价格的安全性敲响了警钟。（三）金融服务滞后，企业缺乏宽松的融资环境。其次，是中国石化产业的发展历程，主要是介绍中国石油天然气集团公司、中国石油化工集团公司和中国海洋石油总公司这三家企业。这三家企业均为国家独资公司、授权投资机构。最后，指出国内石化企业与国外石化企业主要在三个方面存在差距，即：市场竞争实力，资金运用能力，技术创新能力和潜力。第三部分主要介绍了国内石油化工企业在跨国投资中的表现。以中石油、中石化和中海油为代表的国内石化行业三巨头，很自然就担负起“走出去”找油，保障国内石油稳定供应的这一重任。其中，中石油开发海外市场的进程中，比较突出的是与哈萨克斯坦阿克纠宾的合作，与俄罗斯和中亚五国的油气合作项目等；然而，“走出去”的道路并不总是鲜花烂漫。2003年三大石油企业均在海外受挫。一次是应邀参加俄罗斯第八大石油公司斯拉夫股权转让的中石油，在开标的头一天晚上“主动”退出竞标；一次是中俄双方苦心运筹多年的“安大”石油管道，最终因日本的介入及合作方尤科斯公司的经济犯罪问题而陷入危局。第四部分讨论的是石化企业发展趋势与合作方向的问题。首先，在研究国际市场的同时实施国家石油战略；其次就是石化企业应实施竞争合作战略；再者，企业应建立一体化产业结构和提高核心竞争力；还有就是，用石化企业与金融企业合作的思路来解决流动资金来源的问题，并且建议两者通过建立战略合作关系来加强纵深合作；最后还有一个比较可行的降低石油价格风险的办法就是，利用期货交易规避市场风险。这些方法和措施将是我们在市场国际化前提下提高石化产业竞争力的重要保证。更多还原

【Abstract】 China being net import country from 1993, the importation dependence of petroleum has reached 37 percent, and the deterioration of the international petroleum security situation will cause heavy losses on the petroleum industry, even on the nation’s economy.The living environments of civil petrochemical industry have took place new changes after China entering into WTO, many famous multinational corporations have entered the Chinese market one after another. The civil petrochemical enterprises will face not only the internal competitors, but also the overseas ones directly. The thesis starts from the multinational investment theory, then the status and issues of the civil petrochemical enterprises, after that, inquires into their development trend and direction of internationalization, finally give the opinions, that is, the civil petrochemical enterprises should set up strategy cooperation relationship with external similar ones, and should collaborate with the finance enterprises to employ external investment.In the first section, it is mainly the international investment theory. First of all, it is the Monopolization Superiority Theory of American Economist S. Hymer. The theory’s premise is imperfect competition, and Hymer thinks that the profitability is the essential <WP=51>element of direct foreign investment. These corporations should have the monopolization superiority that the enterprise of host country does not possess. Moreover, it is the imperfect competition induces the imperfect market, then, the imperfect market induces the direct foreign investment. So the monopolization superiority is the determination factor of direct foreign investment. Buckley’s Internalization Theory thinks that modern multinational corpora-tion is the result of the market Internalization. This theory’s foundation is the imperfect middling products market, and thinks that it will increase the transaction cost of middling products, if via the exterior market. So the enterprises have to employ the interior market instead of the external.Then, the International Production Compromise Theory provid-ed by John H. Dunning, absorbs the advantages of Monopolization Superiority Theory, Internalization Theory and Area Superiority Theory. This theory thinks that the ownership and internalization is only the essential condition of foreign direct investment, while the Area Advantage is the ample one.To survival and develop in the fierce international market since 1980s, many multinational corporation continuously adjust their management activities, and fully bring forth new ideas to their strategy. The Strategy Alliance Theory is exactly a typical one. It is a loose organization. The enterprises joined the Alliance not only compete, but cooperate, their status is relative equal, and the Alliance has a certain period of effectiveness.The second section, mainly introduces the status of Chinese <WP=52>petrochemical. Three periods has been experienced, that is, lacking of petroleum, more than enough, and the imported period. While the problems that annoyed the internal enterprises are, 1. Obviously Contradiction of Demand and Supply. In the late 1990s, this situation is extremely severe. The crude oil of China is 160 million tons annually, and the volume of demand is 220 million tons. 2. Unstable Price. The price of finished petroleum products is readjusted many times accordingly from Year 1999 to 2003, on account of the turbulence from the International crude oil market. The American Iraq’s war sounded the alarm for the security of Chinese petroleum’s price once again. 3. Lagging of Finance Serve, Lacking of Loose Financing Environments. Then, it is the growing history of the internal petrochemical leading enterprise. In fact, the Chinese petrochemical Industry is composed by the PetroChina Company Limited (CNPC), China Petrochemical Group (Sinopec), and China National Offshore Oil Corp (CNOOC). All the three Corporations are state-owned individual proprietorship corporation, and nation-authorized investment organ更多还原