【作者】 黄润源；

【导师】 顾功耘； 郑少华；

【作者基本信息】 华东政法大学 ， 经济法学， 2009， 博士

【摘要】 生态环境和自然资源是人类赖以生存的物质基础,对经济的发展具有巨大的推动作用,但是由于长期受到“环境资源无价”观念的影响,人们在发展经济的过程中自由攫取生态资源,造成资源滥用和破坏,超出生态系统承载力,导致生态系统服务功能受损。人类的活动影响了生态系统按照自身规律运行,但人类又没有及时采取有效措施恢复和保护生态系统服务功能,从而引发生态欠债。从生态伦理学、法学、代际公平理念等角度分析,人类必须偿还生态欠债,而生态补偿是偿还生态欠债的一项重要制度,它通过运用各种经济手段鼓励“生态建设者”实施生态环境保护行为,对生态系统加以治理和维护,使其最大限度地恢复被污染、破坏前的原有功能；同时,生态补偿通过提高“生态破坏者”破坏行为的成本,促使其减少或放弃破坏生态系统服务功能的行为,间接实现对生态系统的保护。生态补偿制度的建立还有利于协调各利益相关者之间生态利益和经济利益的冲突,对维护社会公平、偿还生态欠债和保护生态环境方面都具有十分重要的意义。然而,生态补偿也是一项复杂的工程,涉及到环境服务价值的评估、机会成本的估算等专业性问题,同时也离不开对生态学、经济学、统计学、法学等专业知识的运用。一项制度若要获得良好的实施效果,通常需要运用法律作为制度实施的保障,生态补偿制度也概莫能外。生态补偿制度的法制化问题在我国尚处于初步发展阶段,在环境法律体系中,我国尚未制定一部与生态补偿有关的专门性法律,生态补偿的内容仅仅体现在个别法条的原则性规定上,不利于解决实践中存在的问题。有鉴于此,本论文对生态补偿的基本理论问题进行了研究,并且对我国重点开展生态补偿试点的四个领域,自然保护区、重要生态功能区、矿产资源开发和流域,如何建立生态补偿法律制度问题提出了笔者的构想。本论文第一章是导论,第二章是对生态补偿基本理论的研究,后面四章分别介绍了自然保护区、重要生态功能区、流域、矿产资源开发共四个领域生态补偿实施状况、立法现状,分析了当前的立法不足,并对生态补偿法律制度的完善提出了笔者的建议。关于生态补偿的基本理论。生态补偿是一项复杂的工程,从不同学科的角度可以对其做出不同的定义。要从法学角度概括生态补偿,首先应当对生态补偿的关键要素进行分析,这些要素包括生态补偿的目的、范围、方式、标准、责任原则等。笔者认为,从法学角度为生态补偿所下定义是：为了生态系统提供的环境服务能够持续供给和实现生态公平,协调利益相关者的生态利益和经济利益,维护生态安全,减少贫困,国家通过运用各种经济手段,对破坏环境服务持续供给的行为者收费,或者对保护环境服务持续供给的行为者予以奖励的法律行为。生态债形成的主要原因在于人类对生态资源的自由攫取,人类必须偿还生态债,这一方面出于生态伦理的要求,另一方面也是生态公平理念的必然要求。可以通过建立生态补偿制度来偿还生态债。生态补偿通过激励生态保护者实施保护行为,抑制生态破坏行为,从而维护生态系统的平衡；它不但能够克服环境服务具有的“公共物品”属性导致的供给不足问题,将环境服务的外部成本内部化,还能化解利益冲突,使多方利益相关者实现共赢；生态补偿反映了伦理学中“人对自然讲道德”的思想,体现了法的公正价值。我国已从国家和地方两个层面开展了生态补偿立法实践,但目前仍存在法律体系不健全、补偿资金来源单一、补偿标准不适当、方式过于简单等不足。生态补偿立法应当着重从健全生态补偿立法体系、完善生态补偿内容、规范生态补偿的管理体制等方面入手,逐步完善我国生态补偿法律制度。由于自然保护区实行封闭式保护,严格禁止和限制对区内自然资源的开发和利用,因此自然保护区的设立将使自然保护区内居民和当地政府的经济利益遭受损失。从自然保护区生态保护中受益的人和区域应当对自然保护区内居民和当地政府进行生态补偿。自然保护区生态补偿主要建立在生态公平理论、生物多样性公共物品理论和生态服务提供的外部性理论基础之上。从我国及国外自然保护区生态补偿实践和立法情况来看,我国自然保护区生态补偿还存在补偿理念未确立、法律规定不完善、资金来源过窄等问题,应当从立法模式、资金机制、实施机制、补偿模式等方面寻求如何构建相关的法律制度。重要生态功能区是对保障国家和地区生态安全方面具有重要意义的区域,它与自然保护区、风景名胜区、国家公园和森林公园不同,强调对主导生态功能的保护,属于限制发展区。重要生态功能区与上述环境保护区地理范围上出现重合时,应当首先对该区域进行功能分区,按不同的分区实行不同的保护政策。重要生态功能区生态补偿实践中当前存在的问题主要是资金短缺、补偿标准过低,受偿者得不到足额补偿；重要生态功能区内经济发展与生态保护之间的矛盾是重要生态功能区生态补偿面对的难题；管理体制设置不合理也是阻碍生态补偿顺利进行的又一障碍。解决方式在于政府应当承担主要的补偿责任并加大补偿资金的投入力度,通过立法规范开发利用行为并通过征收生态补偿费等方式拓宽资金渠道,解决发展与保护的冲突。矿产资源开发中实行的矿产资源有偿使用制度与生态补偿不同,它主要是为了体现资源的经济价值,实现矿产资源所有者权益,调节矿山企业间贫富悬殊的现象。在我国矿产资源开发生态补偿实践中具有代表性的制度有：保证金制度、废弃矿山环境治理专项资金制度、土地复垦制度、生态补偿费制度。保证金制度是采矿权人在取得采矿许可证前,缴纳一定的保证金,保证在开发中或开发后对矿山的生态环境进行恢复治理；废弃矿山环境治理专项资金制度,是针对责任者不明的情况下,由国家负责治理废弃矿山的生态环境,主要由政府出资,同时可以向矿山开采企业征收一定比例的费用,还可以通过吸引社会资金的方式获得资金；土地复垦制度是指对矿产资源开采过程中破坏的土地必须进行复垦、恢复土地原有用途的制度；生态补偿费制度是对矿产资源销售征收一定比例的费用,用于治理矿山生态环境问题的制度。针对矿产资源开发生态补偿立法问题,应当加快相关立法工作,按照“新帐”和“旧账”的不同,确定由不同主体承担补偿责任,还应当建立企业、政府、社会三个层次的补偿框架,解决补偿资金不足的问题。国外运用流域环境协议、一对一的交易方式实现生态补偿的做法,对我国构建流域生态补偿法律制度具有借鉴意义。我国流域生态补偿实践中也出现了少量的、运用流域环境协议和水权交易方式实现补偿的案例,但是也存在一些不足,例如没有独立的第三方来协调、促成交易的双方达成合意,补偿标准中没有包括机会成本的损失,等等。当前立法存在的不足主要有：流域管理体制不能适应生态补偿的要求,对流域环境协议的内容、签订程序等没有做出规定,水权交易制度规定不完善等。针对以上立法不足,应当立法强化流域生态补偿管理体制,完善水权交易制度和流域环境协议制度,并应当对责任主体、补偿标准、资金机制等生态补偿的具体内容做出详细规定。更多还原

【Abstract】 Ecological environment and natural resources are basic conditions and material bases for the survival of human beings and the social economic development. However, the human beings, influenced by the concept of "priceless ecological environment" for such a long time, have been unscrupulously exploiting and using the natural resources in excess of the eco-bearing capacity, thus damaging or destroying the ecosystem functions. The human’s acts have affected the regular operation of the ecosystem but the human fails to take some effective measures to repair and maintain the service function of the ecosystem, thus the ecological debt is inevitable. The constructing of eco-compensation law system plays a very important role of coordinating the interest conflicts between the interested personnel, protecting and maintaining the social fairness, paying off the ecological debt and protecting the ecological environment. The eco-compensation, a complex projects involved such specialized knowledge in areas of the environmental service evaluation and cost estimate, could not be duly implemented or executed without the practical application of such special knowledge related to ecology, economics, statistics and law theories. To obtain good results, one institution needs to be safeguarded and protected by the laws to ensure its further implementation, and the eco-compensation is not an exception. The legal issues of the eco-compensation in China are now in a developing stage. No special laws in relation to the eco-compensation is formulated or enacted in the environmental law system, and the content of eco-compensation is only embodied in or limited to the principles of individual provisions, which is not helpful to resolve the problems existing in the eco-compensation practices. In consideration of that, the author makes research on the relevant basic theories of the eco-compensation, and gives some advices on how to construct eco-compensation legal system in such four fields as the natural reserves, important ecological functional reserves, mineral mining, and watershed.This dissertation is divided into six chapters and chapter one is the foreword. Chapter two mainly mentions the basic theories of the eco-compensation and the following four chapters respectively make a brief introduction to the implementation of eco-compensation and the current legislation of the natural reserves, important ecological functional reserves, watershed and mineral mining and then outline the author’s ideas and suggestions in respect of the constructing of eco-compensation law system.Chapter two is about the basic theories of eco-compensation. Eco-compensation is a complex project, and can be given different concepts from different subjects. Before eco-compensation’s definition is clearly clarified from the perspective of law theory, the purposes, scope, method, standard, responsibility principle of eco-compensation must firstly be analyzed. The author argues that eco-compensation may be defined from the perspective of law theory as follows:eco-compensation is a type of legal action to sustainable use ecosystem services, to realize ecological fairness and safe, to adjust of economic and ecological relations between the stakeholders, and to reduce poverty, that the government uses kinds of economic ways to incent the sustainable supply of ecosystem service and charge the damage of ecosystem. The main reason of the ecological debt is the human beings’ unscrupulously exploiting and using the natural resources and that, the human beings’ must pay off the ecological debt for the following two reasons:one is the reasonable requirement by the ecological ethics and the other is the inevitable requirement for pursuing the ecological fair. Eco-compensation is a reasonable institutional arrangement for paying off the ecological debt. Eco-compensation can maintain the ecosystem balance by incenting to protect ecosystem and preventing destroying ecosystem. Environment services are public goods which result in the market supply being lower than what is socially optimal level and eco-compensation can overcome this defect. China has begun legislation for eco-compensation from both central and local levels. There are some shortages for the current law system, such as not perfect legal system, inadequate compensation funds. This chapter outlines the direction of perfecting the current law system on the basis of analyzing the shortage of the current law system and exploring the laws and regulations in relation to the eco-compensation in China.Chapter three is about the constructing of eco-compensation law system in natural reserves. The natural reserves strictly protect the natural resources and prohibit human beings from using them. In nature reserves, local communities and government are forbidden to use their traditional resources in order to protect ecological environment, which brings about huge economical loss and opportunity cost to local resident and government, so the beneficiary of natural reserves should compensate them. This dissertation, in this chapter, maintains that the eco-compensation is based on the external theories, the ecological fair theory, and the public goods theory of biodiversity, and, on the basis of the analysis and exploration of the relevant practices and legislations in relation to the eco-compensation in natural reserves both at home and abroad, this dissertation is of the view that, the main problems of the current eco-compensation in natural reserves in China are that the concept of eco-compensation has not been well established, the relevant laws and regulations related is not perfect, and the capital channel in relation is too single. Based on these problems, it suggests the constructing of the relevant law systems in relation to the legislation mode, capital management mechanism, implement mechanism, compensation mode. In chapter four, the constructing of eco-compensation law system in the important ecological functional reserves. The important ecological functional reserves play a key role in protecting ecological safe for the whole country and some areas. It is different from those special environmental reserves, such as the natural reserves, scenic area, national park, forest park, because it emphasizes on protecting the important ecological functions which belongs to limiting development areas. This dissertation maintains in this chapter that, in case of any overlap of the above mentioned reserves and special environmental reserves, the function area division should be firstly conducted and, then, different protection policies for different functions should be adopted. This chapter, after analyzing the implementation of eco-compensation in the important ecological functional reserves, is of the opinion that, the main problems are the lack of funds and the low compensation standard, which is far from the satisfactory compensation to the victims; the controversies and disputes between the economic development and ecological protection in the important ecological functional reserves are the main problems; and that the unreasonable setting of the management system is also an obstacle preventing the smooth implementation of the eco-compensation. The author is of the view that the government should mainly assume the compensation responsibility, strengthen its investment efforts, regulate the actions in their development and utilization of the ecological resources and widen the financing channels by means of levying or imposing the eco-compensation fees, in order to finally resolve the conflicts and controversies between the economic development and ecological protection.Chapter five is about the constructing of eco-compensation legal system of mineral mining. This chapter, after describing and analyzing the paid use system of mineral resources in mineral mining, which reflects the economical value of natural resources and owner’s equity, clarifies the essential differences between the paid use system of mineral resources and eco-compensation. This chapter also emphasizes on the introduction to the typical systems in areas of eco-compensation in mineral mining in China:performance bonds system, abandoned mine reclamation fund, repairing the damaged land ecosystem, eco-compensation fees system, and makes an analysis of their defects. We should make sure of the clear undertaker, responsibilities and the ambit of liability. The environmental damage is sorted in two parts:the old damage and the new damage. The old damage is taken charge by the government through the establishment of abandoned mine reclamation fund and the new damage must be burdened by the mining enterprises absolutely by means of performance bonds system. Finally, the author makes an analysis and summary on how to construct the eco-compensation legal system in mineral mining from the two perspectives of general ideas and specific systems of the eco-compensation legislation in areas of mineral mining.Chapter six is about the constructing of eco-compensation legal system of watershed. The foreign practices on watershed eco-compensation are instructive and helpful to construct eco-compensation legal system in China. There are some cases about using eco-compensation agreements and water rights transfer to realize eco-compensation in China. The existing problems are that there is no intermediary to play a key role in reaching the eco-compensation agreement; the compensation standard doesn’t include the opportunity costs. Then, based on the current legislation on the watershed eco-compensation, the author outlines ideas and suggestions as to how to improve and perfect the mechanism of water rights transfer, how the intermediary could play its role, the subject liability and the compensation mode.更多还原