【作者】 宋蕾；

【导师】 胡振琪； 付梅臣；

【作者基本信息】 中国地质大学（北京） ， 资源产业经济， 2009， 博士

【摘要】 伴随经济发展对矿产资源高消耗的依赖,矿产资源的过度开发造成了我国耕地面积的急剧锐减和地质灾害的频繁发生,因此,矿产资源开发生态补偿机制构建成为保持社会可持续发展的主要目标之一。本文以矿产资源生态补偿的维度和补偿标准为研究对象,借鉴国内外资源开发补偿的研究成果,旨在为矿产资源开发补偿费用的征收方法和标准以及保障资源开发补偿实施的政策措施提供一个科学的理论研究框架。主要研究内容及其结论如下:(1)以界定矿产资源的内涵和对矿产资源开发环境破坏根源及分类分析为研究起点,运用比较分析法明确矿产资源生态补偿的维度空间:补偿客体、补偿主体、补偿方式和补偿标准。矿产资源开发补偿费用的维度由废弃矿山补偿费用和开采矿山补偿费用构成。废弃矿山补偿费用由废弃矿山生态环境补偿费、财政性支付转移和其他非财政性资金组成,并通过地区分享计划进行修复治理。开采矿山的生态补偿有两种方式:直接经济补偿和矿区复垦活动,其中矿区复垦活动为最主要的补偿途径。文章虽然借鉴美国、澳大利亚等国家采用开采许可证制度和废弃矿山修复计划等经验,但通过数据分析得出美国废弃矿山修复计划因未考虑产业转移因素而导致修复基金使用效率降低的结论。(2)依据矿产资源生态补偿内涵分析,分别建立最小费用和最大费用核算模型。并运用层次分析法(AHP),通过建立包括5个一级指标,13个二级指标,29个三级指标在内的费用影响因子体系,分析影响因子修正系数。此外,通过对国外25个国家现行补偿资金征收方法的归纳分析,将矿产资源生态补偿资金征收方式分类为硬性资金担保方式和软性资金担保方式。并结合我国金融市场发展和矿业公司环境责任信用度发展的现有条件,提出除采用单一现金征收方式外还可以适当运用不可撤销信用证、履约保证和信托基金几种征收方式。(3)运用博弈的分析方法进行矿产资源开发的生态补偿政策的可行性分析。提出完善开采许可证制度、预防性生态补偿制度、环境修复认证制度在内的补偿约束机制和包括环保产业发展战略、生态税收优惠等政策的补偿激励机制。更多还原

【Abstract】 With the increasing demand of mineral resources for rapid economic development in China, mining exploration have resulted in the sharp decrease of farm lands and geological disaster highly befallening, so it becomes one of the main tasks of sustainable social development to establish the eco-compensation mechanism. This dissertation chose eco-compensation dimension and compensation fees standard as the research objects and take targets in probing the levy methods and evaluation mode of compensation fees. The main research contents and conclusions are just as follows:(1) Taked the fist step from underpinning the connotation of eco-compensation in mining areas and the categories of environmental damages in mining exploration, the dissertation applied comparative approach to comfirm the eco-compensation dimension of mining exploration, including compensation ojects, compensation subjects, compensation channels and standard. The eco-compensation fees were composed of abandoned mines compensation and active mines compensation. The compensation fees for abandoned mines involved abandoned mines reclamation found, fiscal payment and non-fiscal governmental found, all of which were operated by province share program. The compensation for active mines can be performed by direct economic compensation and reclamation activities in mining areas, and the latter is the most important channel to fulfill eco-compensation. Even though this article reviewed the mining permission mechanism and abandoned mines reclamation programs in U.S.A and other countries, it was also concluded by data analysis that the efficiency of abandoned mines reclamation found was depressed because this propram lacked the consideration of mining industrial transferring.(2) In light of eco-compensation connotation of mining exploration, the dissertation separately established a minimum fees model and a maximum fees model to calcute eco-compensation standard. Analytic Hierarchy Process (AHP) was adopted to analyze influence coefficients, which formed a indicator system including 4 indexes in the primary order, 13 indexes in the second order and 29 indexes in the third order. In order to verify the availability of the indicator system and evaluation criteria, different mineral exploration cases were selected as empirical research, the result of which were compared with the local criteria of performance bond. In addition, the levy methods of compensation fees were divied into hard financial assurance and soft financial assurance according to the analysis in present levy methods of performance bonds operated by 25 countries. Bonded with the characters of Chinese financial markets and the developing conditions of Chinese environmental responsibility credit,the viewpoint was proposed that some appropriate financial tools, such as irrevocable letter of credit, trust found and performance bond, should be introduced except for cash deposit.(3) Game theory was adopted to analyse the feasibility of eco-compensation policies. Based on innovative game theory models in this dissertation, the points were obviously brought up that the eco-compensation policy system should play its role under setting up constraint and stimulation mechanism, which included mining permission system, reclamation bond pool fund, environmental reclamation certification, environmental industrial developing stragagem, favourable ecological tax policy and other stimulus policies.更多还原