基于法经济学视角的“以煤补水”的生态补偿机制研究

发布时间：2018-02-02 17:25

本文关键词： 煤矿开采水资源以煤补水生态补偿补偿机制　出处：《山西财经大学》2015年博士论文　论文类型：学位论文

【摘要】：长期以来，以追求经济增长为目的的经济学几乎在经济领域占有统治地位，导致在现实经济中的许多领域的发展不可持续，由此诱发了各种各样的社会、经济和生态问题。这使得人们在某些领域重新反思理论应用的正确性，法经济学的诞生为这一反思过程提供了新的视野和方法。法经济学以追求公平与效率为主要目的，为解决社会经济运行的某些具体问题提供了理论和方法。煤水共生，煤炭开采会产生巨大的经济效益，但也对水资源产生一定的影响和破坏。随着煤炭产量的快速增长和开采强度的不断加大，引发了煤炭开采区域地下水的破坏、河道断流、人畜饮水困难、水污染严重等一系列问题。山西自古以来就是我国重要的煤炭能源基地，煤炭的开采外运为我国经济社会发展做出了突出的贡献。但是，由于山西省特殊的自然地理环境，煤炭开采使原本不充足的水资源遭到了严重的破坏，引发了煤炭开采区域地下水的破坏、河道断流、人畜饮水困难、水污染严重等一系列生态环境效应，水资源成为制约山西省经济可持续发展的一大障碍。“山西之长在于煤，山西之短在于水”，水资源贫乏是山西省的基本省情，特别是煤炭开采对水资源的极度破坏也是山西省不可回避的客观现实。因此，如何减少煤炭开采对水资源的影响和破坏，构建“以煤补水”的生态补偿机制，强化法律法规制度在“以煤补水”生态补偿中的重要性和权威性，对于整个生态保护和建设的可持续发展具有极其重要的意义。本文以法经济学理论为基础，结合其它的经济理论和方法，采用定性分析与定量分析、理论研究与实证分析相结合的研究方法，对“以煤补水”的生态补偿机制进行了研究。本文在法经济学的视野下，以公平和效率作为研究“以煤补水”的生态补偿机制的出发点，首先对煤炭开采与水资源利用涉及的利益相关者进行博弈分析，在此基础上，主要运用两种方法进行了煤炭开采对水资源破坏及影响的数值测算。一是结合山西省的相关数据资料，运用生态环境功能价值评估法，分析了煤炭开采对水资源的影响和破坏量，构建了煤炭开采对水资源价值损失核算的指标体系，对山西省煤炭开采对水资源破坏的价值损失量进行核算。二是利用条件价值评估法对主要煤矿周边的居民展开问卷调查，询问被调查者的支付意愿和受偿意愿，并以此为基础，测算出山西省由于煤炭开采造成的水资源影响及破坏的价值。接着，构建了煤炭开采对水资源影响破坏的补偿机制，并提出了相关的政策建议。补偿机制的框架主要包括补偿原则、主体确定、标准确立及补偿的实现。按照分析结果选择了“庇古税”和“产权”的补偿路径，具体路径为中央政府通过财政手段对预防保护区进行补偿、建立水生态环境保护基金、市场化途径，生态融资；补偿方式主要为直接资金补偿、产业补偿、人才补偿及其他补偿。本文研究的主要结论与政策建议是：第一，煤炭开采与水资源保护涉及到的利益主体主要包括中央政府、地方政府、煤炭企业、社区居民等，这些利益相关者之间的多重利益博弈显示，在现有的制度体系下，各利益相关者之间的利益冲突无法得到有效调和，从而不可避免地会导致利益失衡现象。因此，为重塑煤炭开采中各利益主体的利益协调机制，需要建立“以煤补水”的生态补偿机制。第二，根据生态环境功能价值评估方法，本文对山西省煤炭开采对水资源影响及破坏所需补偿费用进行了测算，并基于直接市场法测算了煤炭开采造成水资源的价值损失，得出大矿时代煤炭开采吨煤排水系数为0.42，据此得到2013年山西省因采煤破坏地下水资源造成的经济损失为10.36亿元；采用市场价值法得出2013年山西省煤炭开采造成居民缺水经济损失为3.83亿元；通过水污染价值核算得出采煤水质污染造成的人畜缺水损失、排放工业废水的治理费用，矿坑排水污染损失共计31.68亿元；采用机会成本法测算出2013年采煤导致水浇地变成旱地造成的经济损失为4.25亿元、水土流失经济损失为3亿元。综合上述结论，本文最后得出2013年山西省煤炭开采对水资源影响破坏的补偿费用为53.12亿元。第三，本文采用条件价值法分析煤矿周边地区居民支付及受偿意愿。在分析被调查者支付意愿及受偿意愿的影响因素之后，测算出煤炭开采造成的水资源影响破坏的支付意愿约为109.5元/年，由此计算出山西省当年因煤炭开采造成的水资源影响破坏的支付意愿约为29.31亿元；煤炭开采造成的水资源影响破坏的受偿意愿约为164.8元/年，最后得出山西省当年因煤炭开采造成的水资源影响破坏的受偿意愿约为51.96亿元。综合第二、三个结论，取二者的平均值52.54亿元作为山西省煤炭开采造成的水资源破坏的损失价值。基于以上研究结论，本文要提出加强法律法规制度、监管机制、基金制度、技术保障制度等的建设与完善，这是构建“以煤补水”生态补偿机制的根本保证。本文在以下三个方面有所创新：（1）构建了法经济学视角下分析“以煤补水”生态补偿机制的理论框架。公平与效率是法经济学研究的基本问题，而法经济学为煤炭开采过程中各利益主体公平与效率的统筹兼顾提供了思路。为了实现煤炭开采利益主体的公平与效率，需要通过法律法规制度来设计“以煤补水”的生态补偿机制框架，法律规制可以有效协调煤炭开采中各利益者的利益平衡，进而促进煤炭资源的可持续发展。（2）本文根据煤炭开采对水资源价值损失影响的实际情况，采用直接市场法，，定量分析了山西省煤炭开采对水资源破坏的价值损失量，为估算山西省大矿时代水资源价值损失提供了较为客观的方法，有利于煤炭开采中水资源修复补偿的科学、公平、及时妥善处理。本文的研究结果为山西省构建煤炭开采对水资源影响和破坏的补偿机制提供了重要的指导意义。（3）较生态补偿的相关研究相比，将条件价值评估法运用于煤炭开采对于水资源的破坏评估尚少，本文通过分析煤矿周边地区居民的支付意愿及受偿意愿，在对山西省重点煤矿区周边的居民的偿付意愿进行问卷调查的基础上，运用条件价值评估法，通过建立计量模型分析煤矿周边地区居民的支付意愿及受偿意愿，从而推算出山西省煤炭开采对水资源破坏的补偿价值，该研究结果为补偿机制的建立提供一定的参考价值。
[Abstract]:For a long time, in the pursuit of economic growth for the purpose of economic dominance almost in the economic field, leading to the development in many areas of the real economy is not sustainable, which induces a variety of social, economic and ecological problems. This makes people right in some areas to rethink the application of theory, law and economics provide birth new insights and methods for this process of reflection. The law and economics to the pursuit of fairness and efficiency as the main objective, provides theory and method to solve some specific problems of social economic operation.
Coal water symbiosis, coal mining will generate huge economic benefits, but also have a certain impact and destruction of water resources. With the rapid growth of coal production and mining intensity increasing, causing the destruction of coal mining area groundwater, river, drinking water difficulties, serious water pollution and a series of problems.
Since ancient times Shanxi is China's major coal energy base, has made outstanding contributions to the exploitation of the coal Sinotrans for China's economic and social development. However, due to the special geographical environment in Shanxi Province, coal mining has been severely damaged so that the insufficient water resources, coal mining area caused damage to groundwater, River drying up, difficulty in drinking water, water pollution and a series of ecological and environmental effects, water resources become an obstacle to sustainable economic development in Shanxi province. "The length of Shanxi is coal, Shanxi is short of water, lack of water resources is the basic situation of Shanxi Province, especially coal mining extreme damage to water resources the Shanxi province is also an unavoidable reality. Therefore, how to reduce the impact of coal mining on water resources and destruction, to construct the ecological compensation mechanism of coal water", strengthen the laws and regulations The importance and authority of the system in the ecological compensation of "coal supplementing water" is of great significance for the sustainable development of the whole ecological protection and construction.
This paper is based on the theory of law and economics, combining the economic theory and other methods, using qualitative analysis and quantitative analysis, the research method of combining theoretical research and empirical analysis, the "ecological compensation mechanism of coal water were studied in this article. The law and economics view, with equity and efficiency as the research" the ecological compensation mechanism of coal water "the starting point, first analyzes the coal exploitation and utilization of water resources of stakeholders involved, on this basis, mainly uses two kinds of methods for numerical calculation of coal mining damage and impact on water resources. One is combined with the related data of Shanxi Province, using the ecological the function of environmental value assessment method, analyzes the impact of coal mining on water resources and the amount of destruction, construct the index system of coal mining on loss of water resource value accounting, the coal mining in Shanxi Province To calculate the value of the loss of water resource damage. Two is the use of contingent valuation method to carry out the survey to residents around the main coal mine, asking the willingness to pay and willingness to accept, and on this basis, calculate the water resources in Shanxi province due to coal mining influence and damage caused by the value. Then, the construction of compensation mechanism of destructive effect on water resources in coal mining, and puts forward relevant policy suggestions. The framework of compensation mechanism mainly includes the principle of compensation, standard establishment and implementation of subject determine compensation. Compensation in accordance with the results of path analysis to choose the "Pigou tax" and "property rights", the specific path for the central government to compensate on the prevention of protected areas through financial means, the establishment of water ecological environment protection fund, market approach, ecological compensation is mainly in the way of direct financing; financial compensation, industrial compensation, personnel compensation And other compensation.
The main conclusions and policy recommendations of this paper are as follows:
First, coal mining and water resources protection stakeholders including central government, local government, coal enterprises, community residents, display the multiple interests of the game between the stakeholders, in the current system, the conflict of interest between the various stakeholders can effectively reconcile, thus inevitably lead to the unbalanced interests. Therefore, for the interests of the main remodeling in coal mining interests coordination mechanism, to establish "ecological compensation mechanism of coal water".
Second, according to the evaluation method of the ecological environment function value, the paper of Shanxi province coal mining on water resources affect and destroy the required compensation costs were calculated, and the direct market method based on estimates of the value loss caused by coal mining and water resources, the era of mine coal mining drainage coefficient of 0.42 tons of coal, in 2013 in Shanxi province due to coal mining groundwater resources caused economic losses of 1 billion 36 million yuan; the market value method of coal mining in Shanxi Province in 2013 caused economic losses of 383 million yuan for the residents of water shortage; through the calculation of water pollution to human and livestock value loss caused by water shortage water pollution caused by coal mining, cost of treatment of industrial wastewater emissions, mine drainage pollution losses totaling 3 billion 168 million yuan; in 2013 coal mining in the irrigated land into dry land caused economic losses of 425 million yuan by the opportunity cost method to calculate soil erosion by. The economic loss is 300 million yuan. According to the above conclusion, the compensation cost of coal mining for water resources in Shanxi Province in 2013 is 5 billion 312 million yuan.
Third, based on the analysis of coal mine surrounding area residents pay and willingness to accept the contingent valuation method. After the analysis of the respondents' WTP and WTA affected factors, calculate the willingness to pay for the destruction of water resources effect caused by coal mining is about 109.5 yuan / year, calculated in Shanxi province was due to destruction of willingness to pay water resources caused by coal mining is about 2 billion 931 million yuan; the destruction of water resources caused by coal mining's willingness to accept about 164.8 yuan / year, last year Shanxi province is obtained due to the destruction of water resources caused by coal mining in the willingness to accept compensation of approximately $5 billion 196 million. Second, third a comprehensive conclusion, taking the average of two the 5 billion 254 million yuan as a coal mining in Shanxi Province caused by water damage.
Based on the above conclusions, we need to strengthen the construction and improvement of laws and regulations, regulatory mechanism, fund system, and technical support system, which is the fundamental guarantee for building the compensation mechanism of coal for water.
This article is innovative in the following three aspects:
(1) constructs a theoretical framework of "Analysis on coal water ecological compensation mechanism from the perspective of economics of law. Fairness and efficiency is the basic problem of law and economics, and law and economics provides a guideline for overall coal mining stakeholders in the process of equity and efficiency. In order to realize the fairness and efficiency of coal mining interests. Through the system of laws and regulations to design the framework of ecological compensation mechanism of coal water", the legal regulation can balance the interests of the interests of effective coordination in coal mining, and promote the sustainable development of coal resources.
(2) according to the actual situation of coal mining impact on the loss of water resource value, the direct market method, quantitative analysis of the value of the loss of destruction of coal mining on water resources in Shanxi Province, to provide a more objective methods for estimation of Shanxi province mine era of water resources value loss, is conducive to the repair of water resources compensation of coal mining the scientific, fair, timely and proper treatment. The results of this study in Shanxi province for the construction of the compensation mechanism of coal mining and destructive effect on water resources provides an important guiding significance.
(3) compared with related studies of ecological compensation, the contingent valuation method used in coal mining for damage assessment of water resources is less, this paper through the analysis of the willingness to pay of coal mine area and willingness to accept, based on questionnaire survey in Shanxi province key coal mine on the surrounding area residents will pay. Using the contingent valuation method, through the establishment of econometric model to analyze the willingness to pay of coal mine area and willingness to accept, to calculate the compensation value of destruction of coal mining on water resources in Shanxi Province, the results of this study provide some reference value for the establishment of a compensation mechanism.

【学位授予单位】：山西财经大学
【学位级别】：博士
【学位授予年份】：2015
【分类号】：D90-059;X24

【参考文献】