矿产资源开发生态补偿文献综述及实践进展

doi:10.31497/zrzyxb.20210220

摘要/Abstract

摘要：

矿产资源开发会造成严重的环境污染和生态破坏,影响矿区经济增长和居民生活,为了消除这种负外部性,必须给予相应的补偿。在概念界定的基础上,对矿产资源开发生态补偿的理论文献进行系统梳理,并对国内外实践进行总结。分析发现：现有研究在内容上尚存在一些不足之处,包括生态补偿契约设计问题、补偿资金分摊问题、差异化补偿标准问题、不同补偿模式交易成本测度及临界点问题等。这些问题是未来值得进一步深入研究的学术问题。我国矿产资源开发生态补偿起步较晚,在实践中暴露出一些问题,包括制度建设和监管体系等。相比较而言,美国、德国、英国等国家经过长期的实践,在法律体系建设、不同矿区分类补偿、进入和退出机制、资金保障制度、监管机制构建等方面具有丰富的经验,取得了非常好的效果。借鉴其他国家的先进经验,可以从几方面完善我国矿产资源开发生态补偿机制,包括健全法律法规体系、完善保证金制度、健全生态补偿税费制度、建立健全监管体系等。

关键词: 矿产资源开发, 生态补偿, 文献综述, 实践进展, 政策建议

Abstract:

The exploitation of mineral resources polluted the environment and destroyed the ecosystem seriously, and it affected the economic growth and residents' life in mining areas. In order to eliminate this negative externality, we must make compensation accordingly. Based on the definition of the concept, this paper systematically combed the theoretical literature of ecological compensation for mineral resources exploitation, and summarized the practice at home and abroad. The research found that there were still some shortcomings in the existing literature, including the design of ecological compensation contract, the allocation of compensation funds, the differential standard of compensation, the transaction cost measurement and critical point of different compensation modes, and so on. These academic issues are worthy of further study in the future. China's ecological compensation for mineral resources exploitation started late, and some problems have emerged in practice, including insufficient system construction and regulatory system, and so on. By contrast, the United States, Germany, the United Kingdom and other countries had rich experience in many aspects, including construction of legal system, classification compensation for different mining areas, entry and exit mechanism, fund guarantee system, construction of regulatory mechanism and so on. Learning from the advanced experience of other countries, we can improve China's ecological compensation mechanism of mineral resources exploitation in some aspects, including improving the legal system, the deposit system and the ecological compensation tax system, as well as establishing and perfecting the regulatory system, and so on.

Key words: mineral resources exploitation, ecological compensation, literature review, practical progress, policy suggestions

李国志, 张景然. 矿产资源开发生态补偿文献综述及实践进展[J]. 自然资源学报, 2021, 36(2): 525-540.

LI Guo-zhi, ZHANG Jing-ran. Literature review and practical progress of ecological compensation for mineral resources exploitation[J]. JOURNAL OF NATURAL RESOURCES, 2021, 36(2): 525-540.

图/表 4

表1

生态补偿标准测算方法"

测算方法	测算公式	符号含义
市场价值法	$L = ∑ i = 1 n P i × R i$	$L$ 为生态系统价值（元）; $R i$ 为第 $i$ 种生态产品数量（hm²）; $P i$ 为第 $i$ 种生态产品的价格（元/hm²）; $i$ 为生态产品类型
机会成本法	$L = ∑ S i × W i$	$L$ 为生态资源破坏的机会成本（元）; $S i$ 为第 $i$ 种生态资源的市场收益（元/hm²）; $W i$ 为第 $i$ 种生态资源破坏量（hm²）
修复费用法	$V = x 1 + x 2$	$V$ 表示生态系统修复总费用（元）; $x 1$ 为可再生系统的治理费用（元）; $x 2$ 为不可再生系统的损失（元）
影子工程法	$V = f (x 1, x 2, ···, x n)$	$V$ 为生态系统价值（元）; $x 1, x 2, ···, x n$ 为生态系统再造中各具体工程的建设成本（元）
资产价值法	$B = ∑ i = 1 n a i (Q 1 - Q 2)$	$B$ 为生态建设价值（元）; $a i$ 为第 $i$ 个受益主体的单位支付意愿（元/hm²）; $Q 1 、 Q 2$ 为生态建设前后的生态资产数量（hm²）
人力资本法	$V i = ∑ i = 1 ∞ x 1 n × x 2 n × x 3 n (1 + r) n - i Y n$	$i$ 为年龄（岁）; $n$ 为工作时间（年）; $x 1 n$ 为预期收入（元）; $x 2 n$ 为预期寿命（年）; $x 3 n$ 为有劳动能力的概率; $r$ 为利率; $Y n$ 为工作概率

表1

表2

矿产资源开发导致生态系统服务价值损失计算公式"

生态系统服务损失种类			计算公式	含义
生物丰度价值量损失	生物多样性价值量损失		$S b × v b$	$S b$ 为受损的生境土壤面积（hm²）; $v b$ 为单位面积物种保育价值量（元/hm²）
	森林生态功能价值量损失	涵养水源功能	$Q f × ∑ i = 1 3 (r i × P i)$	$Q f$ 为减少的森林涵养水量（m³）; $r i$ 、 $P i$ 分别为工业、农业和生活用水的比例（%）和单价（元/m³）
		抗洪减灾功能	$Q f × P sk$	$P sk$ 为水库单位库容造价（元/m³）
		固碳释氧功能	$1.63 × S f × C c × ω c × B f + 1.19 × S f × C o × B f$	$S f$ 为受损害森林面积（hm²）; $B f$ 为森林净初级生产力（t/hm²）; $C c$ 、 $C o$ 分别为固碳和制氧价格（元/t）; $ω c$ 为CO₂的碳质量分数
		环境净化功能	$∑ D i × C i × S f$	$D i$ 、 $C i$ 分别为对不同有害气体的净化能力（t/hm²）和净化成本（元/t）
	草地生态功能价值量损失	涵养水源功能	$Q g × ∑ i = 1 3 (r i × P i)$	$Q g$ 为减少的草地涵养水量（m³）
		抗洪减灾功能	$Q g × P sk$	$Q g$ 为减少的草地涵养水量（m³）
		固碳供氧功能	$1.63 × S g × C c × ω c × B g + 1.19 × S g × C o × B g$	$S g$ 为受损害草地面积（hm²）; $B g$ 为草地净初级生产力（t/hm²）
	农田生态系统价值量损失	土壤保持价值	$A × S n × C α$	$A$ 为农作物种植厚度（cm）; $S n$ 为受损农作物面积（hm²）; $C α$ 为单位体积水土流失损失均值（元/m³）
	农田生态系统价值量损失	固碳供氧价值	$1.63 × S n × C c × ω c × B n + 1.19 × S n × C o × B n$	$B n$ 为农作物净初级生产力（t/hm²）
	水域湿地价值量损失	水质净化价值	$S w × Q w × C w$	$S w$ 为受损水域湿地面积（hm²）; $Q w$ 为水域湿地污水净化能力（t/hm²）; $C w$ 为污水处理成本（元/t）
	水域湿地价值量损失	水源涵养价值	$∑ Q wh × C wh$	$Q wh$ 为水域湿地水体资源量（m³）; $C wh$ 为单位库容成本（元/m³）
植被覆盖价值量损失			$∑ S zi × M i × P i + ∑ D j × P j$	$S zi$ 、 $M i$ 、 $P i$ 分别为第 $i$ 类植被受损面积（hm²）、单位产量（m³/hm²）及市场价格（元/m³）; $D j$ 、 $P j$ 分别为畜产品减少量（头）和市场价格（元/头）
水网密度价值量损失	水产品生产价值		$∑ Q wnpi × P wnpi$	$Q wnpi$ 、 $P wnpi$ 分别为第 $i$ 类水产品产量减少量（kg）和市场价格（元/kg）
	灌溉功能价值		$Q wng × P wng$	$Q wng$ 、 $P wng$ 分别为灌溉水减少量（m³）和农业灌溉用水价格（元/m³）
	航运功能价值		$Q wnh × P wnh$	$Q wnh$ 、 $P wnh$ 分别为货运减少量（t·km）和货运的单位价格 [元/(t·km)]
	水力发电量价值		$Q wnd × P wnd$	$Q wnd$ 、 $P wnd$ 分别为发电量减少量（kW·h）和电力单位价格 [元/(kW·h)]
	旅游娱乐价值		$Q wny × P wny$	$Q wny$ 、 $P wny$ 分别为旅游人数减少量（人）和旅游者平均支付意愿（元/人）
污染负荷价值量损失	大气污染治理		$∑ Q pai × P pai$	$Q pai$ 、 $P pai$ 分别为第 $i$ 种大气污染源的排放量（t）及单位治理成本（元/t）
	水污染治理		$∑ Q pwi × P pwi$	$Q pwi$ 、 $P pwi$ 分别为第 $i$ 种水污染源的排放量（t）及单位治理成本（元/t）
	固体废弃物治污		$∑ Q pgi × P pgi$	$Q pgi$ 、 $P pgi$ 分别为第 $i$ 种固体废弃物污染源的排放量（t）及单位治理成本（元/t）
土地胁迫价值量损失			$∑ i = 1 3 Q l × r i × P c × a i$	$Q l$ 为受侵蚀的土壤量（t）; $r i$ 为土壤中N、P、K平均含量（%）; $P c$ 为磷肥或钾肥的价格（元/t）; $a i$ 为单位N、P、K分别所需的肥料量
能源可持续度价值量损失			$EF × P l$	$EF$ 为矿区能源足迹变化量（hm²）; $P l$ 为矿区土地单位面积价值（元/hm²）

表2

表3

表4

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模式	典型区域	运作机制	优缺点
企业出资、企业补偿	山西平朔矿区、黑岱沟露天矿	企业投入生态补偿资金并实施生态补偿	减轻了政府的财政负担,但企业首先考虑自身经济利益
企业出资、地方政府组织补偿	甘肃、陕西的部分矿区	企业按规定的比例征收金额形成补偿资金,交给政府统一安排	减少了政府的财政负担,但资金利用监管不够,使用效率不高
企业与地方政府联合补偿	淮北矿区采煤塌陷区	采矿企业与地方政府共同投入生态补偿资源,联合实施生态补偿	减少了政府的财政负担,但没有强有力的法律保障
国家出资、政府组织补偿	阜新矿区	国家投入生态补偿资本,地方政府计划实行生态补偿	法制性、强制性,有计划有组织但缺乏区域针对性
招商引资补偿	淮北矿区采煤塌陷区	市场化运作招商引资投入生态补偿资源,政府组织实行生态补偿	减轻了政府的财政负担,以公共利益为出发点

复垦面积/hm²	简单地形	复杂地形
≤1	2500	5000
1~4	10000	20000
4~10	20000	40000