【作者】 刘欣；

【导师】 周珂；

【作者基本信息】 中国人民大学 ， 环境与资源保护法学， 2008， 博士

【摘要】 矿产资源是人类生存和经济社会可持续发展的重要物质基础。近年来,我国资源短缺的矛盾日益突出,矿产资源对经济社会发展的保障能力面临严峻挑战。同时,适应市场经济发展要求的矿业体制改革方兴未艾,直接影响着矿产资源法制建设的方向和内容。《物权法》的出台,为有效解决矿产资源管理中存在的公权与私权之间的冲突以及如何促进矿业改革与发展等问题提供了有力的支持。它所确立的将矿业权视为物权以及平等保护各种所有制经济等原则,也对矿产资源管理理念、管理制度和管理方式的转变产生了深刻的影响。这一方面体现为对正在进行的矿产资源有偿使用等管理制度改革的确认,另一方面也对已明显滞后于形势发展的现行矿产资源法律体系构成了进一步的冲击。在这一特定背景下,本文以对《矿产资源法》进行全面修订为契机,从探矿权、采矿权的法律特征分析出发,以公权与私权的关系、矿产资源有偿使用、探矿权采矿权出让转让等为主线,展开对矿产资源所有权的性质及其与矿业权的关系、矿业权有偿取得、矿产资源有偿开采、矿业权授予中的行政许可与市场出让方式的关系、矿产资源收益分配关系、中央与地方之间的事权划分、矿产资源所有权与管理权之间的关系等诸多内容进行深入研究和比较分析,基本涵盖了《矿产资源法》修订过程中所需研究解决的重要理论问题,不仅澄清了一些错误认识和观点,而且为《矿产资源法》的修订及在市场经济条件下如何改进矿产资源管理并切实保障矿业权市场主体的合法权益提供了有益的思路和对策建议:根本措施就在于通过矿业权有偿出让和转让的市场化来促进资源的最优化配置,通过“定分止争”即对各类矿业权人合法权益的法律确认和保护来促进“物尽其用”,实现矿产资源的有效保护和合理开发利用,并实现应有的经济效益和社会效益以及维护国家经济安全的目标。本文坚持矿产资源理论与管理实务相结合,综合运用民法、经济法、行政法和经济学中的相关原理以及地学知识,采取实证分析、比较分析等手段,对矿产资源开发利用及管理的改革与实践中所涉及的主要法律关系和问题进行探讨分析,并提供解决的思路和对策,最后提出全面修订《矿产资源法》的建议。全文分为四章,近24万字。第一章全面分析了矿产资源的基本属性和矿业权的法律特征。矿业权(主要是采矿权)及其依存的矿产资源的基本属性以及矿产资源所有权与采矿权之间的关系是研究矿业领域中诸多法律关系的基础。首先,本文结合地学和经济学理论展开分析。矿产资源具有自然属性、经济属性和社会政治属性。其中自然属性即隐蔽性和不确定性、耗竭性和不可再生性、稀缺性和分布不均衡性、多样性和复杂性、动态性及相对性,只有经过特定化的矿产资源即一定范围内的矿体才能成为采矿权的客体;通过对劳动价值论与效用价值论的比较分析,矿产资源的经济属性主要体现为矿产资源具有价值,从而为国家通过收取矿业权出让金和权利金(矿产资源补偿费)等方式取得所有者收益提供了理论依据;矿产资源具有社会政治属性即矿产资源的主权特征,为将矿产资源所有权定性为抽象的宪法性公权利奠定了理论基础。学界和实务界对于采矿权基本属性的认识见仁见智。经对几种主要观点进行评介分析认为,采矿权既非严格意义上的用益物权,亦不宜采用“准物权”、“特许物权”、“使用权”和“准不动产物权”的称谓,而是一种具有排他性和直接支配性的特殊物权,而且采矿权包含对矿产资源的一定的处分权,更重要的是兼具公权和私权的双重特征。最后,针对矿产资源及其他自然资源开发利用管理中存在的共性问题提出了“土地类物权”的体系化解决途径。然后,在矿产资源和采矿权法律特征分析的基础上对探矿权的基本属性作了分析界定。探矿权是从事矿产勘查活动并获取地勘成果的权利。研究分析探矿权及其基本属性应从作为整个矿业源头的矿产勘查环节开始。矿产勘查具有高风险、高投入、高收益、周期长的特点且实行国家登记管理,这是将勘查投资人而非勘查施工者作为法律上的探矿权人以及国家以行政许可方式出让探矿权的理论前提。在分析探矿权的概念、主体和客体以及探矿权人的权利义务的过程中,着重对土地和矿产资源进行了比较,判定探矿权的客体应是特定范围内的地质体而非土地、土壤等物,这与采矿权的客体明显不同。学界对探矿权基本属性的认识同样是众说纷纭。本文对“准物权说”、“特许物权说”等观点提出了质疑并通过探矿权与矿产勘查、地勘成果及地质资料、知识产权及发现权等相关概念的比较分析作出全面阐释,得出“探矿权是一种经行政许可产生的独立的民事权利和具有多元化特点的特殊物权”的结论。探矿权同采矿权一样具有明显的物权特征,兼具公法和私法的双重性,是一种采矿优先权和相对独立的期待权,它与采矿权既相联系又有区别。第二章着重探讨矿业权中的公权私权冲突与协调,实为公权与私权理论在矿产资源开发领域中的适用问题。由于国家所有的资源性财产的特殊性与《物权法》中强调主体平等的基本原则难以调和,公权与私权的矛盾与冲突是《物权法》起草过程中的一个难题。同样,公法与私法、公权与私权的冲突也是矿产资源管理尤其是矿业权管理制度中必须明确和解决的基础性问题。通过对公法与私法、公权与私权理论的产生与演变进行的历史性的剖析可见,私权与公权之间是对立统一的矛盾关系,但长期以来“公权至上”、“国家利益高于一切”的政治导向对矿产资源开发利用及管理产生着直接影响。文中从所有制与所有权之间的关系出发,对矿产资源所有权的性质进行了剖析。矿产资源所有权不是一种纯然的民事权利,而是基于主权而产生的一种公权利,矿产资源所有权益通过矿业权来实现,矿业权出让是一个行使公权的过程,用民法中的所有权理论来解释矿产资源所有权是行不通的。矿业权出让是国家公权利与私权利的分水岭。前者包括矿业权出让行为本身都是国家以所有者身份行使公权利的领域,主要适用行政法、由行政权力发挥主导作用、主要目标是维护公权利;而后者主要受民法物权理论调整,适用物权法、由市场发挥主导作用,主要是为了维护私权利。文中对矿产资源与矿产资源资产之间的关系作了探析,提出了对矿产资源实行资产化管理的可行性和必要性。通过矿产资源的公共性和社会性及其与土地在自然属性、价值以及社会性等方面的对比,以及阐明主权国家理论以及封建文化传统和中央集权化管控模式对我国的长期深远影响,推知矿产资源管理中公权思想发挥主导作用具有必然性。根据国家公权关系在矿业权法律制度中的体现和实现矿产资源管理目标的需要,提出在市场经济条件下建立一种公法主导下的行政权与所有权有机结合的政府管理新模式,以利于政府全面有效地履行宏观调控、市场监管、社会管理和公共服务等职能。在对私权存在的合理性予以认可并依法给予保护的同时,也提出了限制私权的必要性及相应措施。只有通过公权与私权的充分博弈,集权式的垄断和管制才会逐步退归法制的轨道,私权和公权才会逐渐归于理性和成熟,达到动态平衡。这适用于处在社会主义初级阶段的整个中国社会,当然也包括我国矿业权市场的运行。本文结合矿产资源管理实际,列出了矿业权管理中的公法私法冲突的种种表现,如采矿权行政授予及非法收回、采矿权人之间享受差别待遇等,并以经济法中的平衡协调理论为指导,综合运用市场调节手段与国家必要干预相结合的方式,提出了完善矿产资源开发行政许可制度、坚持市场调节与政府管制有机结合的有效机制、推行矿产资源资产化管理、平等对待和保护不同经济类型的矿山企业以及实施矿业权法律救济等一系列协调和解决公权与私权冲突的措施。第三章围绕矿产资源有偿使用及相关矿业税费制度和矿业权市场建设,对矿业权转让和矿业权二级市场的建立问题进行探讨。首先对矿产资源收益关系理论构成加以分析。矿产资源国家所有的宪法原则决定了国家在矿产资源开发及收益分配关系中占有主导地位;同时,根据人民主权原则,公民、法人和其他组织依法直接或者间接地享有开发利用矿产资源并获得收益的权利,从而形成了矿产资源所有者与使用者(开发利用者)之间的二元制经济关系。针对地租理论越来越多地被误用于矿产资源开发管理中的问题,结合对土地与矿产资源及其收益权的比较分析,指出“矿山地租”概念是不成立的;将资源税视为级差地租性质的税收,则抹煞了税与费征收主体之间所固有的区别,导致征税依据受到削弱,而且从其性质与征收方式看,资源税同矿产资源补偿费有重复征收之嫌。文中对我国矿业税费制度的建立及沿革进行了总结,认为该制度存在未完全体现矿业的基础产业特点、矿业权有偿取得制度在改革实践中出现了偏差、资源税存在理论依据不充分和制度瑕疵等问题并作了原因分析。最后借鉴矿业发达国家的成功经验,提出建立以权利金为核心的矿产资源有偿使用制度改革完善对策。矿业权转让不仅具有必要性而且具有可行性。矿业权转让及二级市场的建立,是解决长期以来由于我国实行矿产资源开发的指令性和统一的行政配置方式所形成的弊端的有效途径,也是市场经济条件下促进矿业良性发展的客观要求。无论是矿业权的基本属性还是矿业权有偿出让制度的建立,以及矿业全球化中矿业企业重组联合的大趋势,都使矿业权转让及二级市场的建立成为矿业领域和市场经济中不可缺少的重要组成部分。矿业权转让主要有出售、交换、赠予、继承以及作价出资等形式。从广义上讲,抵押和出租也可视为矿业权转让的形式。文中提出,现阶段需对大量存在的以所谓的承包、出租等名义非法转让矿业权的行为加强规范和监管。在总体上,则应采取完善矿业权转让管理制度和矿业权市场价格形成机制、加强矿业权市场行政监管、规范矿业权评估,加强行业监管、建立矿业权有形市场和信息服务及交易平台等措施,有效解决当前矿业权转让中存在的问题,逐步建立起统一、开放、竞争、有序的矿业权市场体系。第四章就《矿产资源法》的修改问题展开分析并提出修订完善的政策建议。本文首先对现行《矿产资源法》作出客观评价。该法在我国矿业发展和矿产资源管理中发挥了不可替代的作用,但在市场经济条件下已经滞后于矿业改革发展的要求。针对其中存在的深层次问题,提出了维护矿产资源所有权、按照市场原则建立产权制度、协调宏观调控与市场调节关系、实行矿产资源分类分级分权管理、平等对待各类市场主体、理顺与协调中央与地方之间矿产开发利益分配关系、协调资源环境及相邻关系、小矿业与大矿业相结合、国际对等互惠、制度措施具有连续性、多尺度性和适当灵活性等基本原则,以及调整和充实矿产资源管理机构、试行经济联邦式的中央与地方两级矿产资源所有权管理体制、实行探矿权采矿权与勘查开采资格分开管理等制度措施。在立法形式上,提出借鉴国内外的成功实践,采用法典化立法模式,并增强立法修改程序的灵活性。更多还原

【Abstract】 Mineral resources constitute major material foundations for human subsistence and the sustainable social and economic development. As China faces increasing resource shortages, mineral resources’ability to boost social and economic development is also being undermined. At the same time, mining regulatory regime is undergoing reform towards a more market oriented direction. The promulgation of Property Law adds impetus to the solution of public and private ownership conflicts in managing the mineral resources and helped to advance the mining reform and development. It has profound influence over the administration of mineral resources, by defining mining rights as property rights and upholding the principles of equal treatment for different ownerships. Its release is a stamp of approval for the existing mineral resources compensation administrative system, and will create a significant impact on the existing mining laws which are clearly outdated.The ongoing amendment to the Mineral Resources Law provides the backdrop for the thesis, which analyzed the basic features of exploration and development rights and examined the relationship between public vs. private ownership, mineral resources compensation fee system and the transfer of mining rights. The thesis looks into the relationship between ownership and mining rights, the obtaining of mining rights for a fee, the development of mineral resources with a fee, the administrative permits and transfers involved in the granting of mining rights, stakeholders involved in the distribution of proceeds derived from mining resources, central vs. local government jurisdiction, as well as relationship between ownership and administration right. It aims at clarifying misunderstandings and provides suggestions for the legislative amendment and the protection of relevant stakeholder interests in the market economy. A fundamental solution proposed is to establish a market based mechanism for the granting and transfer of mining rights, thus achieving optimized resources allocation, as well as to recognize stakeholders’rights in laws to protect their interests, realize efficient utilization of mining resources.The thesis integrates theoretic research and practical experiences from mining administrations and applies basic principles of civil, economic, administrative laws as well as geological sciences, to conduct analysis, explore solutions and put forward suggestions for the amendment of Mineral Resources Law. The thesis consists 4 chapters, approaching 240,000 characters.Chapter I A comprehensive analysis of the basic features of mining resources and mining rights.Basic features of mining rights, mainly development rights and mineral resources they are attached to, and the relationship between ownership and development rights are the basis to understand complex legal relations existing in the mining sector. Firstly,the thesis analyzes the natural, economic and political and social features of minerals using geoscientific and economic tools. Minerals’natural properties being hidden, uncertain, depletable and un-renewable, scarce and unequally distributed, complex and diversified, dynamic and relative, and can only become targets for mining after mineralization process. Through comparative analysis using the theory of labor value and utility value, minerals’economic properties are mainly reflected in their values, which provides theoretic basis for the realization of ownership rights by means of charging of granting fees and royalties (compensation fees). The social-political features of mineral resources are reflected through their sovereign nature, which provides theoretic basis for defining ownership of mineral resources as a constitutional public right.The academic and professional circles have their own perspectives on such basic features. The thesis compares and analyses a number of leading schools of thoughts and arrives at the conclusion that mining rights is not a strict real usufruct right thus it would be inaccurate to call them quasi-real right, chartered real right, user right or quasi-real right of immovable assets. Rather, they are special real rights that are exclusive and have direct control, and contain certain disposal right over the mineral resources, with double features from public and private rights. The thesis proposed defining mining rights as land-based real right based on the common features observed in the development and administration of mineral resources and other natural resources.After that, the thesis shifts to the analysis and definition of basic features of exploration rights based on the analysis of mineral resources and mining rights. Exploration right refers to the right to conduct geological explorations and to obtain the findings of such activities. Understanding of exploration right and its basic properties should start from the stage of geological exploration, which marks the beginning of the mining process. Characterized by high risks, high investment, high return and long payback period, geological exploration is managed through a national registry system, which serves as a basis for defining investor rather than operator of such activity as owner of exploration right in the law, as well as the administrative granting of such right, by the nation. This chapter looks into the definition of exploration right, stakeholders, rights and obligations attached to such right, and especially compare the differences between land and mineral resources. The chapter concludes that the object of exploration right should be specifically defined minerals rather tan land and soil, which significantly differs from development right.The academic circle has varied views over the basis properties of exploration right. This chapter examines the quasi-real right and chartered real right theory and raises doubts. Based on a comprehensive comparison and analysis over exploration right and geological exploration, geological results and data, intellectual property and discovery right, the chapter concludes that exploration rights is a special real right with independent civil right and multiple features that is created through administrative permits. The same as development right, exploration right also has explicit features of real right and dual properties of public and civil laws. It brings with it a priority for development right and stand-alone expectation right, which is associated yet also different from the development right.Chapter II Conflicts and Coordination of Public and Private Laws in the Mining Rights (application of public and private laws in mineral resources development)Due to the inherent contradiction between the uniqueness of state owned resources and the basic principles of equal treatment of the Real Right Law, conflicts between public and private right is a major challenge in the drafting of Real Right Law, which, in turn, is also an issue to be clarified and worked out in the administration of mineral resources, especially mining rights management. By reviewing the evolution of public and private law, and public and private right theories, it can be concluded that the relationship is really one of both contradiction and unity. However, the long-time prevailing political influence that emphasizes the dominance of public right and national interests over everything has had direct impact over the management of mineral resources development.The chapter starts with an analysis of ownership system and ownership right and proceeds to the properties of mineral resources ownership, which is not a natural civil right, but rather a public right derived from sovereign right. It is realized through mining rights, the granting of which constitutes an exercise of public rights thus cannot be explained with civil law theories. The granting of mining rights is a watershed separating national public right and private right. The former is an exercise of public right by the nation as owner of the resources which is within the jurisdiction of administrative law and with the purpose of protecting public interests. The latter is subject to civil law theories where civil laws are applied for the purpose of protecting private interests and where market forces play a leading role. After reviewing the relationship between mineral resources and mineral assets, the chapter concludes with the feasibility and necessity of putting in place assets management approach over mineral resources.The chapter examines the public, social nature of mineral resources and compares their natural properties, value and social natures with that of land, explains the influence of sovereign nation theory, feudalistic culture and centralized administration on China, which leads to a natural result in the administration of mineral resources where public right dominates. As the public right is reflected in the mining laws and to meet the goals for effective administration of mineral resources, the chapter proposes a new government administration model in an environment dominated by public law where administration and ownership is properly combined to allow an effective control by the government, as well as serving such functions as market supervision, social management and public services. While fully recognizing the existence of private rights and provide due protection, necessity of limiting private right and corresponding measures are also proposed. Balance between public and private right will keep administration and regulation on the track of rule by the law and off centralized monopoly, creating a dynamic equilibrium between private and public rights. This applies to various scenarios in China at this preliminary socialistic stage, including the operations of China’s mining market.Based on practical experiences from mining administration, this chapter gives a depiction of various conflicts of public vs. private laws in the sector, such as government granting of development rights and illegal recovery, differed treatment of developers. Using the balance coordination theory of economic law, it is proposed that market forces and necessary government intervention should be combined to improve the permit system of mining development, which should allow a asset management approach to mineral resources, emphasize equal treatment and protection of mining companies of all ownership structure, and provide legal remedies for the purpose of mitigating conflicts between public and private laws. Chapter III Compensated Use of Mineral Resources and Mining Fees & the Establishment of Secondary Market for the Transfer of Mining RightsThe chapter starts with an analysis of the proceeds generated from mineral resources. The constitutional state-ownership means a leading position for the state in the distribution of mining proceeds. Citizens, legal persons and other organizations also have a direct or indirect right to such proceeds based on the principle of the“sovereignty of people”. A duel system including owners and operators/ developers is thus formed.Faced with wide-spread misuse of land lease theory in mineral resources administration, and on the basis of comparison between land and mineral resources and benefits thereof, the chapter points out that mine land lease definition is groundless, which ignores the inherent differences between collectors for taxes and fees and weakens the basis for charging mining taxes by categorizing resources taxes as a form of land leases. The easy misunderstanding derived would be than an accusation that resources tax and mineral resources compensation fee is overlapping. The chapter reviews the history of China’s mining tax and fee system and points out those loopholes of the system in falling short of mining industry’s position as a primary industry, failing to establish a comprehensive theoretical basis for resources taxes. Based on the experiences of developed market, it is proposed that a systematic reform be carried out with a compensated use of mineral resources centered around royalties.The transfer of mining rights is both necessary and feasible. Establishment of a secondary market provides an effective solution to overcome various issues developed over the years due to China’s planned administration of mining sector, and serves to promote the development of the sector under market economy. This is increasingly becoming a major component of mining and economic development given the properties of mining rights, establishment of a paid system for mining rights transfer and consolidation in the global mining business. Specific patterns of transfer include sale, exchange, granting, inheriting and investment in kind. In a broader sense, collateralized mining rights and leasing can also be considered forms of transfer.This chapter calls for intensified regulation and supervision over illegal transfers in the name of contracting and leasing, and proposes a number of policy measures including policy improvement in the area of transfer behavior and market administration, pricing mechanism, appraisal of mining rights, industry self discipline, as well as establishment of a tangible market with information and trading platform, thus effectively address issues existing in the transfer at present and gradually put in place a unified, open, competitive and orderly market.Chapter IV Analysis and Policy Suggestions for the Amendment of the Mineral Resources LawThis chapter starts with an objective evaluation of existing Mineral Resources Law, which though once served irreplaceable role in the development and administration of China’s mining sector, is no longer commensurate with the demand of mining reform under market economy. The thesis proposes a number of basic principles such as ownership protection, a market-oriented ownership structure, balancing macro-control and market actions, tiered administration system, equal treatment of different stakeholders, equality and mutual benefit in international cooperation, consistency, tired approach and flexibility of policy measures, and put forward specific suggestions on administrative measures including restructuring of administrative bodies, implementation of a pilot program of central vs. local mining administration regime, and separation of mining rights and qualification approvals. In terms legislation, the thesis proposes the adoption of international and domestic best practices, codification legislation and calls for flexibility in the legislative amendment procedures.更多还原