【作者】 王清华；

【导师】 王曦；

【作者基本信息】 上海交通大学 ， 环境资源法学， 2012， 博士

【摘要】 矿业权流转法律制度作为我国自然资源法律制度中重要的组成部分，也是实现矿产资源优化配置的重要制度保障。矿业权流转法律制度的建立有利于促进国内外矿业资本的融通，引进国内外先进的矿产勘探和开采技术来加大对我国矿产资源的开发利用。经过多年的探索和努力，我国目前已基本形成了以市场为主导，以招拍挂竞价为主要方式的矿业权出让一级市场，同时以矿业权转让为主要形式的二级市场也有了很大的发展。但是，在法律层面对矿业权市场进行制度化的保障，仍然存在诸多问题和亟待完善的地方。我国矿业立法没有对矿业权进行直接界定，关于矿业权的法律属性，也众说纷纭，有行政许可说、发现权说、财产权说、准物权说、债权说、用益物权说等等。我国《物权法》第123条明确了矿业权的物权属性，为矿业权流转法律制度的建立奠定了基础。我国1996年以前的矿业立法不认可矿业权可以作为特殊商品在二级市场上依法流转。1996年以后的矿业立法逐步确立了矿业权“有偿取得、依法转让”的基本法律制度。相关法律法规对矿业权流转的条件及审批程序做出了相应规定。由作为矿业主管部门的国土资源部通过颁布部门规章或规范性文件的方式进行的修补性调整，并未对仍然带有浓厚计划经济时代色彩的《矿产资源法》进行根本性的改造，从而对矿业权流转法律制度的立法仍不完善。《物权法》颁布实施后，我国构建了较为适应社会主义市场经济的物权制度。在此情况下，我国现行矿业权流转法律制度与我国市场经济及现行物权制度的矛盾越发突出。同时，我国目前建立和完善矿业权流转法律制度的目的应该是为了更好地为社会主义市场经济建设服务。而我国目前的矿业流转法律制度并不能很好地实现这一目的。从上述矿业权流转法律制度所要实现的目的角度出发，综合起来，中国矿业权流转法律制度存在下述主要问题：矿业权转让法律不够规范，表现在立法上的冲突以及立法中存在一定的法理和逻辑问题；矿业权流转审批权限过于集中，从而影响矿业权流转的效率；用于确定矿业权价值的矿业权评估制度中存在评估法律法规不健全、缺乏自律性评估机构、评估方法不够科学、评估基础理论不完善、从业人员素质不高等一系列问题；矿业权与土地权利等相关权利存在矛盾和冲突；矿业权市场交易市场存在不完善的弊端；矿业权的非国有矿业权人与国有矿业权人之间的地位不平等，以及矿业融资市场渠道不畅通从而阻碍矿业权交易市场的发展等问题。造成我国现行矿业权流转制度存在诸多问题的原因主要有三个：其一，过度的行政干预，缺乏适度、法定干预原则；其二，我国现行矿业权的基本理论存在很多误区，表现在矿业权诸多基本概念和基本理论混淆不清、立法指导思想滞后；其三，矿业权民事法律制度的落后和严重欠缺。随着全球化的深化，矿业立法呈现国际化趋势，各国的立法出现诸多统一。主要体现在矿业权的物权化、矿业权的分类分级管理、合理的矿业用地制度、矿业税金制度、自由、灵活多样的市场转让方式等方面。其中，澳大利亚的矿业权授予和转让制度作为世界矿业法制度中比较完善的制度之一，在其漫长的发展历史中确实积累了非常优秀的立法经验，特别是在授予矿业权的条件设置、探转采优先权的保障、矿山建设和开采所需的土地使用权处置等方面。在完善我国矿业权出让和转让制度的过程中，我们不妨可以参考并借鉴澳大利亚等世界其他国家矿业立法的先进经验。这些可资借鉴的立法经验体现在申请采矿权时的优先权、与矿业权有关的其他用益物权的处置以及矿业权出让的条件设置，以及矿业融资资本市场建设等方面。针对我国矿业权流转法律制度中存在的主要问题，借鉴国外经验，我国可在下述方面进行完善：在立法方面，要健全矿业权流转法律体系，主要措施为改革矿产资源法公法和私法两合的立法模式、按照物权的性质和特点来健全矿业权法律法规以及建立完善的矿业权民事法律制度；在矿业权审批制度方面，要建立矿业权分级分类管理制度，同时审批过程要程序化、公开化；在矿业权评估制度的完善方面，主要做法包括健全矿业权评估法律法规、建立科学的矿业权评估理论、加快培育矿业权转让价值评估的中介机构、建立矿业权评估自律组织、完善评估准则、提高从业人员素质以及加强监管等；解决我国矿业权与土地权利等相关权利冲突的办法主要有完善相关立法等；完善我国矿业权流转市场机制方面的举措主要有：建立矿业权交易中心、建立全国性的矿业权交易信息平台、培育规范中介结构、实行以市场竞争为主的矿业权分类出让制度以及适度的国家干预；我国还应对矿业权主体进行平等保护。完善矿业权流转法律制度的另一个市场化的措施是实行多途径的矿业融资，建立多层次的矿业融资的资本市场，从而活跃矿业权流转市场。在我国现行制度下，上游探矿企业融资非常困难，从这个意义上将，中国矿业的资本化之路还很漫长。因此，尽快在新三板和创业板上建立矿业板块，借鉴国外先进模式，是我国矿业资本市场的出路所在。更多还原

【Abstract】 The system of the grant and transfer of mineral rights which is an important component of Chinese natural resources legal system is essential to realize the optimum allocation of mineral resources. The establishment of the system of the grant and transfer of mineral rights helps to promote the circulation of domestic and foreign mineral capitals and to intensify the exploitation of mineral resources through importing the foreign advanced prospecting and mineral technology. After years of exploration and efforts, China has basically formatted a market oriented assignment system which uses the main method of tender, auction and bid in competition. However, current system still has some problems and needs to be consummated.Chinese mineral legislation has no direct definition of mineral rights. As to the legislation of mineral rights, there are many ideas such as administrative licensing, the right of finding, property right, quasi real right, obligatory right, usufructuary right and etc. Article123of Chinese Real Right Law has ascertained the real right arbitration of mineral right. It builds the foundation of the legal system of circulation of mineral right. The market of transfer of mineral right includes primary market, namely the market of assignment of mineral right and secondary market, the market of transfer of mineral right between holders of mineral right. Chinese mineral legislation before1996did not accept the legal circulation of mineral rights as the special commodity. After1996, the mineral legislation gradually established the basic legal system of ’acquisition for value and assignment by operation of law’for mineral right. Relevant laws and regulations have laid down the norms for the condition and procedure for examination and approval of the transfer of mineral rights. The amendments are made by Minister of Land and Resources which is the competent authorities of minerals through regulations and normative documents. However, Mineral Resources Law which deeply holds the color of planed economy has not been changed essentially. Therefore, the system of transfer of mineral right has not been fundamentally improved. After publication and implementation of Real Right Law, China has established the system of real right which is more suitable for the socialist market economy. Under such circumstances, the contradictions between the current system of assignment of mineral rights and both market economy and current system of real right are more and more outstanding.Together, the main problems of Chinese system of circulation of mineral rights are as follows:the legislations of the transfer of mineral right are not normative since the conflicts of laws and jurisprudence and logical problems of legislation; the power of exam and approval of transfer of mineral rights is too centralized; during the evaluation of mineral rights, the legislation is not perfect, the self-discipline evaluation institution is insufficient, the method of evaluation is not scientific, the basic theory of evaluation is not consummate and employees’ qualities are not high; the conflicts and contradictions exist between mineral rights and land rights; the market of transfer of mineral rights is imperfect; the condition of transfer of mineral rights is unreasonable; the status of private holders and state owned holders are unequal.There are three reasons result to the problems of current system of circulation of mineral rights. First, there sexists too much administrative intervention and appropriate and legal principles are insufficient. Second, there are many misunderstandings in the current basic theory of mineral rights. For instance, many concepts and basic theories of mineral rights are obscure, the guiding ideology of legislation is hysteretic. Third, the civil legal system of mineral rights lags behind and is largely insufficient. Third, the market mechanism of transfer of mineral rights is deficiency.With the deepening of globalization, the mineral legislation becomes internationalized and legislations of different countries turn to be unified, mainly in the trend of mineral rights turning into real rights, the classified management of mineral rights, the reasonable system of mineral lands and mineral taxes, free, flexible and various market transfer and etc.Australian system of granting and transfer of mineral rights is one of the most perfect systems in the world. Some outstanding legislative experience has been cumulated during its development history, especially in the filed of setting up the conditions for granting mineral rights, the safeguard of right of first refusal in transferring prospecting into mining, the management of the use of state owned land which is needed in construction and exploitation of mineral mountains. During the improvement of the system of assignment of mineral rights, we can consult and use the advanced experience of other countries’legislations, including the experience of Australia. The learned legislative experience mainly reflects in the field of priority of application, the management of other usufructuary right relating to mineral rights, the building of conditions for the transfer of mineral rights and etc.Considering the main problems in the circulation of the mineral rights, after using the foreign experience, we can improve following places. In terms of legislation, in order to improve the legal system of transfer of mineral rights, the main measure is to change the current legislative model of mineral resources law which combines the public law and civil law and strengthen the mineral laws and regulations and establish the perfect civil;legal system according to the characters of real right. In the field of the exam and approval of mineral rights, we should build the classified management system of mineral rights. In the meanwhile, the procedure of exam and approval should be disclosed. With respect to the improvement of system of evaluation of mineral rights, we should sound the laws and regulations of evaluation, establish the scientific theory of evaluation, accelerate the training of intermediary organs which charge the evaluation of transfer of the mineral rights, build the self-discipline organs, improve the evaluation standards, raise the qualities of employees and strengthen the management. With regard to the conflicts between mineral rights and land rights, we should improve the legislations and establish the system of selling both mineral rights and the right to use the state owned land. In terms of improvement of the market mechanism for the transfer of mineral rights, we should build the trading canters, national trading information platforms and normative intermediary organs. Plus the market competition oriented assignment system and appropriate national intervention. In addition, China should relax the limitations of transfer of mineral rights and protect holder of mineral rights equally.The other marketization measure to improve the circulation of mineral rights is to carry out the multi-channel mineral financing. Under the current system, it is very difficult for the prospecting company to make direct IPO. In meaning, the way for the capitalizing of mineral industry is remote. Therefore, it is necessary to establish a mineral GEM as soon as possible, after considering the foreign advanced model, in order to find the way for the mineral capital market.更多还原