矿山环境治理绩效评价与预测研究
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摘要
矿产资源是自然资源的重要组成部分,也是人类赖以生存和发展的基础,关系到国民经济和社会发展的命脉。虽然我国矿产资源种类较多,但是支柱型矿产资源严重短缺,分布和储量也不理想。经过几十年的大规模、高强度资源开采,资源的供需矛盾和生态问题成为制约我国经济发展的两大瓶颈。当前在矿产资源开发和利用过程中普遍存在盲目性和短视性。在过去的发展中,工艺落后、破坏浪费巨大、回收比例过低,再加上体制不顺、市场不稳、管理效率低,资源环境的代价过大。矿山环境问题处于这个节点上,使本来就十分脆弱的生态环境系统承受着极为严峻的压力,对国民经济的可持续发展构成极大的威胁。因此,保护矿山环境、合理开发利用资源、促进矿业城市和谐发展将是一项长期而艰巨的任务。
随着知识经济和全球一体化时代的到来,经济快速增长与资源、环境矛盾日益加剧,各国企业在协调经济、社会环境方面也发挥着越来越重要的作用。纵观国外矿业发达国家矿山环境保护的经验,其成功之处在于矿山环境管理措施落实到位,以超前预防替代了被动治理,这也正是我国目前比较欠缺的。与国际水平相比,我国矿山环境管理在理论研究与实践方面都存在着相当大的距离,矿山环境治理的系统研究与实践在很大程度上滞后于矿业发展的需求。绩效评估,尤其是环境绩效(也称绿色绩效)评估,已成为热点研究课题。随着企业绩效的不断发展,传统的经验型、主观性绩效考核方法己不适应工作的需要。其中,对环保绩效进行定量、精确考核的要求越来越高,技术型、定量化的方法越来越受欢迎。虽然这些年我国关于企业绩效评价的研究,不管是在深度还是在广度上均有所发展,但对于矿山企业的环境治理绩效评价与预测研究还处于较为零散的状态。因此,加强相关理论研究和实践探索对于改变我国矿山环境管理现状具有重要意义。
本文拟解决的关键问题主要有两个：第一,由于矿山环境治理绩效理论,包含企业绩效理论、矿山治理理论、可持续发展理论等多方面内容,并且当前对绩效进行定量的、精确考核的要求越来越高,技术型、定量化方法尤为必要。建立科学的矿山环境治理绩效评价指标体系以及指标的选取甚至建模问题都亟待解决。第二,在研究方法的选择上,检验方法的好坏离不开实践。本文将理论与实证相结合,通过实证验证矿山环境治理绩效评价方法,以检验并完善其功能,使该方法具有科学性、通用性和适用性,这也是本文需要解决的另一个关键问题。基于以上原因,本文通过深入分析我国矿山治理的现状,研究针对我国的矿山环境治理绩效,探讨矿山环境治理绩效评价的技术和方法,以科学发展观为指导,根据矿山环境问题产生的特点、类型,结合矿山开采前、中、闭矿期对矿山环境问题治理要素进行分析,建立了矿山环境治理绩效评价指标体系,设计了评价与预测的模型以及方法。在实证分析方面,以矿山案例数据为例,验证了矿山环境治理绩效评价与预测的方法,使其具有通用性,综合性,导向性,科学性,灵活性,适应性六大特点,发现了矿山环境治理中存在的问题。
全文结构共分为八章,主要包括理论与方法研究、定量研究和对策研究三个部分。
首先介绍了本文研究的背景意义,提出了研究方法、技术路线及创新点。认为我国企业绩效评估的理论研究起步较晚,目前的研究主要限于对国外绩效评估理论的介绍和评鉴,对国内企业绩效评估的实践总结提炼不够,而且大多数文献中有关矿山环境治理绩效的论述也相对较少,只是讨论了一些有关具体运作的表层性问题,国内矿山环境治理绩效评价体系也尚未形成。因此,本论文的选题具有重要的理论及现实意义。
在理论与方法研究部分。第二章是理论研究,一方面对当前理论研究现状探讨了矿山企业环境治理绩效评价与预测研究的意义,明确了论文的研究价值与方向；另一方面对已有研究理论的分析与掌握为论文研究工作的开展提供了重要的理论指导。首先,系统地梳理了绩效、绩效评价的相关概念,详细地阐述了绩效理论的起源与发展。目前,绝大多数文献对于矿山企业在环境治理方面的绩效论述相对较少,也没有较为清晰的解释,而只是谈论一些有关具体运作的表层性问题。本文通过对绩效理论的研究,界定了绩效评价的概念。从矿产资源开发与环境保护相和谐的角度,阐述了可持续性发展理论、循环经济理论、生态工业理论在理念、方式、目标三个方面也为矿山环境治理绩效的指导思想提供了理论支持。第三章是矿山环境治理绩效评价与预测方法的选择。对于矿山环境治理绩效评价,是建立在专家的能力、指示、偏好、经验之上,这种评价带有一定的模糊性和不确定性(灰色性),为了减少误差使用分辨率高、精确度高、应用简单的灰色理论比较合适。对于矿山环境治理绩效预测这一块,数据的搜集和处理很重要,需要大量的整理和计算工作。MATLAB工具箱以及粗糙集理论的引入,大大简化了工作量,在排除会干扰预测结果含有冗余信息的多余指标后,留下对最终结果影响最为明显的指标,然后将约简后的指标数据作为输入样本进行未来绩效的预测,并最终验证了这样的组合模型比单一神经网络模型有优越性。通过分析灰色综合评价方法以及粗糙集人工神经网络组合方法的优缺点以及可行性,最终采用灰色综合评价法作为矿山环境治理绩效评价的方法；采用粗糙集人工神经网络组合方法作为矿山环境治理绩效预测的方法。
定量研究部分是本文的核心,主要由第四章、第五章和第六章组成。第四章首先概述了矿山环境问题、治理方式和现状。认为国内对于矿山环境的研究、防治水平还比较低,矿山企业在资源开发利用过程中必然易造成矿区水土流失,诱发地质灾害等问题。简述了矿山环境治理绩效,明确了矿山环境治理绩效评价的主体是多元的,是以政府为指导,以企业为主并实施,以公众参与的三方主体。然后在矿山环境治理绩效评价体系的构建部分指出本文矿山环境治理绩效将结合开采前期、中期、闭矿期分别从业务绩效、财务绩效、效益绩效三个方面进行评价分析,并以模糊APH分析法确立指标权重,以多层次灰色综合评价方法作为矿山环境治理绩效的评价方法对受评对象进行综合评价。第五章阐述了矿山环境治理绩效预测的方法和步骤,用已建立好的指标体系,通过粗糙集理论中的属性约简方法,约简了评价指标个数,再通过神经网络进行绩效的预测分析。最后第六章是根据前两章的方法研究,结合矿山案例数据,通过实证进行矿山环境治理绩效评价与预测评价。然后进行数据、图表的结果分析,得出相应结论。最后对比分析矿山环境治理绩效评价方法与预测方法,总结了他们的优缺点,相同不同点,以及泛化的适用性。
在对策研究部分,提出了提升我国矿山环境治理绩效的建议。矿山环境治理是矿山环境的重要组成部分,保护矿山地质环境,对于改善生态环境、促进经济社会可持续发展具有深远意义。矿山环境治理绩效评价是对矿山环境治理[作的检验。从政府层面看,需建立统一相关的政策指导和法规保障,营造矿山治理绩效多方参与监督的环境；从企业层面看,积极构建系统的企业绩效评价理论框架,如科学选择适用的绩效指标体系评价方法、完善科学的绩效评价指标体系、推动绩效评估制度化；从公众层面来说,强化环保意识与环保参与则尤为重要。
最后是对全文的研究结论进行概括总结,并提出研究展望。由于矿山环境治理是一项复杂而庞大的系统,所涉及的研究问题较多,本文的侧重和覆盖面也有限,所以在未来,作者还将在研究的理论、方法和深度方面进一步的完善与加强。
本文的创新之处在于：
(1)基于对绩效理论、综合评价理论、粗糙集理论、神经网络理论、可持续发展理论等概念的研究分析,本文系统地选择了矿山治理绩效评价与预测的方法,建立了矿山环境治理绩效评价指标体系,确立了相应指标及其权重,构建了基于灰色综合评价的评价模型。
(2)将粗糙集理论的属性约简方法与神经网络模型相结合,构建了矿山环境治理绩效预测模型,同时完善了矿山治理绩效评价与预测的方法。
(3)运用实证的方法,检验了评价指标的适用性。通过理论与实证研究相结合以期形成科学实用的矿山环境治理绩效的评价与预测方法,促进矿山环境的有效治理。
Mineral resource is an important part of natural resources, but also the foundation of human survival and development, related to the lifeline of national economic and social development. Although our country enjoys a multiple types of mineral resource, but the pillar type mineral resources is in seriously shortage, distribution and reserves is not ideal. After decades of large-scale, high strength of the resources exploitation, the contradiction between supply and demand and ecological problems become two big bottlenecks which restricted the economic development of our country. The current mineral resources development and utilization process exist certain kind of blindness and myopia.In the departed development, laggard technological level, huge destruction waste, low recovery ratio, plus inappropriate system, instable market, poor management efficiency, the over cost of resources and the environment. The mine environment question and in the node, make the fragile ecological environment system under very severe pressure, pose a great threat to the sustainable development of national economy. Therefore, protection of the mine environment, reasonable development and utilization of the resources, promote the harmonious development of mining cities is a long-term and arduous task.
With the advent of the knowledge economy and the globalization era, the contradiction between rapid economic growth and resource, environment keep growing, the international society has paid more and more attention in the role of enterprises from other countries to coordinate economic, social and environmental aspects. The general experience of foreign mine environmental protection in developed countries, its success lies in mine environment management been put in place, in order to prevent in advance instead of the passive management, and in this block it's what we defected. Compared with the international level, China's mine environment management in theory research and practice there is a considerable distance; mine environment management system research and practice in the great lag behind the demand of development of mining industry. Performance evaluation, especially environmental performance (also called the green performance) evaluation, has become a common topic. With the continuous development of enterprise performance, the traditional experience and subjective performance evaluation method is not adapt to the needs of work, among them, the environmental performance quantitative, accurate assessment of the demand is higher and higher, technology and quantitative methods has become more and more popular. Although our country these years about enterprise performance evaluation research both in the depth and in span all some development, but for mine enterprise's environmental performance evaluation and prediction research is still in a relatively scattered state. Therefore, to strengthen the related theoretical study and practical exploration in China to change the mine environment management situation is very meaningful.
This paper mainly tries to solve two key problems:first, because of mine environment management performance theory which including enterprise performance theory, mining management theory, sustainable development theory etc, and the current performance of quantitative, accurate assessment of the demand is higher and higher, technology, quantitative method become particularly necessary. Establish a scientific mine environment management performance evaluation index system and index selection even modeling problem need to be solved urgently. Second, in the choice of research method, practice is the only way to inspection. In this paper we combined the theoretical and empirical, through empirical to verify aforesaid mine environment management performance evaluation method to examine and improve its function, so that the method is scientific, generality and applicability, this is also another key problems need to be solved. Based on the above reasons, this paper deeply analyzes the present situation of the mine management, aiming at mine environment management performance, and also discusses the mine environment management of the performance evaluation of technology and method, guided by the scientific development concept, according to mine environment problems of the characteristics, types, combined with the mining before, in and shut the ore phase to the mine environment question management factor to carry on the analysis, the establishment of a mine environment management performance evaluation index system, and design the evaluation and prediction model and method.In the empirical analysis, based on the mine data, for example, to verify mine environment management performance evaluation and prediction methods, make its have generality, comprehensive, orientation, scientific, flexibility, adaptability theses six major characteristics, and find the mine environment problems existing in the management, which verify the applicability of the performance evaluation and prediction method.
Full text is divided into eight chapters, mainly including theory and method, quantitative and countermeasures study three parts.
This paper firstly introduces background significance of the research, and puts forward the research methods, technical route and innovation points. Consider that our country's enterprise performance appraisal theory research starts relatively late, the present research mainly limited to the introduction and evaluation of the foreign performance evaluation theory, the practice summary and the refining for domestic enterprise performance evaluation is not enough. The deficiency of mine environment management performance exist in most of the literature, also have no a clear explanation, just discussions about the specific operation of the surface problems, and at the same time, domestic mine environment management performance evaluation system also has not been formed. Therefore, this thesis topic has great significance in both theoretical and practical ways.
The following part is the elaboration of the theory and research method. The second chapter is the theory research. On the one hand may learn from the lack of current theory of the present research situation in order to point out the mine enterprise's environmental performance evaluation and prediction of the research significance, has been clear about the thesis research value and direction; On the other hand, the existing research theory analysis and control for the development of the research work provides an important theoretical guidance. First of all, combed the related concepts for the performance, performance evaluation, expounds the origin and development of the theory of performance in detail. The deficiency of mine environment management performance exist in most of the literature, also have no a clear explanation, just discussions about the specific operation of the surface sexual problems. Through the performance theory research, defines the concept of performance evaluation in this research paper at the same time. Secondly, this paper expounds the sustainable development theory, the circulation economic theory, ecological industry based on the theory of mineral resources exploitation and environmental protection phase harmonious development from concept, mode, target three direction was also in mine environment management performance in guiding ideology provides the theory support. The third chapter is mine environment management performance evaluation and forecasting method choice of part, first to tradition and the development of the evaluation and prediction method is introduced. For mine environment management performance this evaluation, is based on expert ability, instructions, preference, experience above, this evaluation with certain fuzziness and uncertainty (gray sex), in order to reduce error using high resolution, high precision, simple application of grey theory is more appropriate. For mine environment management performance forecast the piece, data collecting and processing is very important, need a lot of arrangement and calculation work. MATLAB toolbox, and the introduction of the rough set theory, greatly simplifying the workload in the exclusion of will interference prediction results contain redundant information redundant indexes, leave the outcome in the most obvious impact index, then after reduction of the index data as the input samples the prediction of future performance. And finally verify such combination model's superiority towards the single neural network model. Through the analysis of grey comprehensive evaluation method and rough set artificial neural network method and also considered about their advantages and disadvantages of feasibility, ultimately choose the grey comprehensive evaluation method as mine environment management performance evaluation method; Using rough set artificial neural network combination method as mine environment management performance prediction method.
Quantitative study part is the core of this article, mainly formed by chapter four, chapter five and chapter six. The fourth chapter firstly summarizes the mine environment problems, management mode and current situation. Believe that the domestic mine environment research, prevention and control level is relatively low, mining enterprises will easily cause soil and water loss in the development and utilization of resources process, induce geological disasters. Then, it gave us a summary on the mine environment management performance. Emphasis on the environment management main body should be diversified, namely the government as the guide, the enterprise as the core and implement, the public to participate is the tripartite main form. Then in the mine environment management performance evaluation system construction part this paper points out that mine environmental governance performance will be combined with mining early and middle, shut the ore phase respectively from the business performance and financial performance, benefit performance evaluation and analysis of the three aspects, and with fuzzy APH method to establish index weight to hierarchy grey comprehensive evaluation method as mine environment management performance evaluation method to evaluate the objects by evaluation. The fifth chapter expounds the mine environment management performance prediction method and procedure, has established good index system, through the rough sets theory of attribute reduction method, reduction the evaluation index number, again through the neural network prediction of performance analysis. At last, chapter six by means of the empirical manner to precede the mine environment management performance evaluation and forecast evaluation based on the first two chapters'study method. Then analyze its data, charts, and results, draw the corresponding conclusion. Finally come up with a comparative analysis of the mine environment management performance evaluation method and the forecast method, the author summarizes the advantages and disadvantages of them, the same differences, as well as the suitability of generalization.
In the countermeasures study part, the upgrading advices for our mine environment management performance have been put forward. Mine environment management is an important part of the mine environment; protect the mine geological environment, to improve the ecological environment have significance meanings of promoting sustainable economic and social development. Mine environment management performance evaluation is the inspection of mine environment management work. Emphasis on the environment management main body should be diversified, namely the government as the guide, the enterprise as the core and implement, the public to participate is the tripartite main form. From the government level, is need to establish unified relevant policy guidance and laws and regulations, build mine management performance participating supervision environment. From the enterprise level, is to positively construct the system of enterprise performance evaluation theory framework, such as scientific selection of suitable performance index evaluation method, promoting performance evaluation institutionalization, research and popularize the typical enterprise performance evaluation index system, perfecting the scientific performance evaluation index system, From the public level, strengthen environmental consciousness and to participate in environmental protection is particularly important.
After the conclusions and summarizations of whole research, writer put forward the prospect of research at last. Because of mine environment management is a complex and huge industrial system, involves the multiple research problems, this paper's focuses and coverage is limited, in the future, the author aim to not only improve and strengthen in the research of the theory, method but also the depth aspects in the future research.
The innovation of this paper lies in:
(1) Based on the analysis of the performance evaluation theory, the rough set theory, the neural network theory, sustainable development theory, this paper systematically chose the mine management performance evaluation and prediction method, built up a mine environment management performance evaluation index system, established the corresponding index and its weight, and structured the comprehensive evaluation based on grey evaluation model,
(2) Combined attribute reduction method of the rough set theory and the neural network model in order to construct the mine environment management performance forecast model, improve the mine management performance evaluation and prediction methods at the same time.
(3) Using the empirical method, test the applicability of the evaluation index. Through the combination of theory and empirical research in order to form scientific and practical mine environment management performance evaluation and forecasting method, and promote the effective governance of the mine environment.
随着知识经济和全球一体化时代的到来,经济快速增长与资源、环境矛盾日益加剧,各国企业在协调经济、社会环境方面也发挥着越来越重要的作用。纵观国外矿业发达国家矿山环境保护的经验,其成功之处在于矿山环境管理措施落实到位,以超前预防替代了被动治理,这也正是我国目前比较欠缺的。与国际水平相比,我国矿山环境管理在理论研究与实践方面都存在着相当大的距离,矿山环境治理的系统研究与实践在很大程度上滞后于矿业发展的需求。绩效评估,尤其是环境绩效(也称绿色绩效)评估,已成为热点研究课题。随着企业绩效的不断发展,传统的经验型、主观性绩效考核方法己不适应工作的需要。其中,对环保绩效进行定量、精确考核的要求越来越高,技术型、定量化的方法越来越受欢迎。虽然这些年我国关于企业绩效评价的研究,不管是在深度还是在广度上均有所发展,但对于矿山企业的环境治理绩效评价与预测研究还处于较为零散的状态。因此,加强相关理论研究和实践探索对于改变我国矿山环境管理现状具有重要意义。
本文拟解决的关键问题主要有两个：第一,由于矿山环境治理绩效理论,包含企业绩效理论、矿山治理理论、可持续发展理论等多方面内容,并且当前对绩效进行定量的、精确考核的要求越来越高,技术型、定量化方法尤为必要。建立科学的矿山环境治理绩效评价指标体系以及指标的选取甚至建模问题都亟待解决。第二,在研究方法的选择上,检验方法的好坏离不开实践。本文将理论与实证相结合,通过实证验证矿山环境治理绩效评价方法,以检验并完善其功能,使该方法具有科学性、通用性和适用性,这也是本文需要解决的另一个关键问题。基于以上原因,本文通过深入分析我国矿山治理的现状,研究针对我国的矿山环境治理绩效,探讨矿山环境治理绩效评价的技术和方法,以科学发展观为指导,根据矿山环境问题产生的特点、类型,结合矿山开采前、中、闭矿期对矿山环境问题治理要素进行分析,建立了矿山环境治理绩效评价指标体系,设计了评价与预测的模型以及方法。在实证分析方面,以矿山案例数据为例,验证了矿山环境治理绩效评价与预测的方法,使其具有通用性,综合性,导向性,科学性,灵活性,适应性六大特点,发现了矿山环境治理中存在的问题。
全文结构共分为八章,主要包括理论与方法研究、定量研究和对策研究三个部分。
首先介绍了本文研究的背景意义,提出了研究方法、技术路线及创新点。认为我国企业绩效评估的理论研究起步较晚,目前的研究主要限于对国外绩效评估理论的介绍和评鉴,对国内企业绩效评估的实践总结提炼不够,而且大多数文献中有关矿山环境治理绩效的论述也相对较少,只是讨论了一些有关具体运作的表层性问题,国内矿山环境治理绩效评价体系也尚未形成。因此,本论文的选题具有重要的理论及现实意义。
在理论与方法研究部分。第二章是理论研究,一方面对当前理论研究现状探讨了矿山企业环境治理绩效评价与预测研究的意义,明确了论文的研究价值与方向；另一方面对已有研究理论的分析与掌握为论文研究工作的开展提供了重要的理论指导。首先,系统地梳理了绩效、绩效评价的相关概念,详细地阐述了绩效理论的起源与发展。目前,绝大多数文献对于矿山企业在环境治理方面的绩效论述相对较少,也没有较为清晰的解释,而只是谈论一些有关具体运作的表层性问题。本文通过对绩效理论的研究,界定了绩效评价的概念。从矿产资源开发与环境保护相和谐的角度,阐述了可持续性发展理论、循环经济理论、生态工业理论在理念、方式、目标三个方面也为矿山环境治理绩效的指导思想提供了理论支持。第三章是矿山环境治理绩效评价与预测方法的选择。对于矿山环境治理绩效评价,是建立在专家的能力、指示、偏好、经验之上,这种评价带有一定的模糊性和不确定性(灰色性),为了减少误差使用分辨率高、精确度高、应用简单的灰色理论比较合适。对于矿山环境治理绩效预测这一块,数据的搜集和处理很重要,需要大量的整理和计算工作。MATLAB工具箱以及粗糙集理论的引入,大大简化了工作量,在排除会干扰预测结果含有冗余信息的多余指标后,留下对最终结果影响最为明显的指标,然后将约简后的指标数据作为输入样本进行未来绩效的预测,并最终验证了这样的组合模型比单一神经网络模型有优越性。通过分析灰色综合评价方法以及粗糙集人工神经网络组合方法的优缺点以及可行性,最终采用灰色综合评价法作为矿山环境治理绩效评价的方法；采用粗糙集人工神经网络组合方法作为矿山环境治理绩效预测的方法。
定量研究部分是本文的核心,主要由第四章、第五章和第六章组成。第四章首先概述了矿山环境问题、治理方式和现状。认为国内对于矿山环境的研究、防治水平还比较低,矿山企业在资源开发利用过程中必然易造成矿区水土流失,诱发地质灾害等问题。简述了矿山环境治理绩效,明确了矿山环境治理绩效评价的主体是多元的,是以政府为指导,以企业为主并实施,以公众参与的三方主体。然后在矿山环境治理绩效评价体系的构建部分指出本文矿山环境治理绩效将结合开采前期、中期、闭矿期分别从业务绩效、财务绩效、效益绩效三个方面进行评价分析,并以模糊APH分析法确立指标权重,以多层次灰色综合评价方法作为矿山环境治理绩效的评价方法对受评对象进行综合评价。第五章阐述了矿山环境治理绩效预测的方法和步骤,用已建立好的指标体系,通过粗糙集理论中的属性约简方法,约简了评价指标个数,再通过神经网络进行绩效的预测分析。最后第六章是根据前两章的方法研究,结合矿山案例数据,通过实证进行矿山环境治理绩效评价与预测评价。然后进行数据、图表的结果分析,得出相应结论。最后对比分析矿山环境治理绩效评价方法与预测方法,总结了他们的优缺点,相同不同点,以及泛化的适用性。
在对策研究部分,提出了提升我国矿山环境治理绩效的建议。矿山环境治理是矿山环境的重要组成部分,保护矿山地质环境,对于改善生态环境、促进经济社会可持续发展具有深远意义。矿山环境治理绩效评价是对矿山环境治理[作的检验。从政府层面看,需建立统一相关的政策指导和法规保障,营造矿山治理绩效多方参与监督的环境；从企业层面看,积极构建系统的企业绩效评价理论框架,如科学选择适用的绩效指标体系评价方法、完善科学的绩效评价指标体系、推动绩效评估制度化；从公众层面来说,强化环保意识与环保参与则尤为重要。
最后是对全文的研究结论进行概括总结,并提出研究展望。由于矿山环境治理是一项复杂而庞大的系统,所涉及的研究问题较多,本文的侧重和覆盖面也有限,所以在未来,作者还将在研究的理论、方法和深度方面进一步的完善与加强。
本文的创新之处在于：
(1)基于对绩效理论、综合评价理论、粗糙集理论、神经网络理论、可持续发展理论等概念的研究分析,本文系统地选择了矿山治理绩效评价与预测的方法,建立了矿山环境治理绩效评价指标体系,确立了相应指标及其权重,构建了基于灰色综合评价的评价模型。
(2)将粗糙集理论的属性约简方法与神经网络模型相结合,构建了矿山环境治理绩效预测模型,同时完善了矿山治理绩效评价与预测的方法。
(3)运用实证的方法,检验了评价指标的适用性。通过理论与实证研究相结合以期形成科学实用的矿山环境治理绩效的评价与预测方法,促进矿山环境的有效治理。
Mineral resource is an important part of natural resources, but also the foundation of human survival and development, related to the lifeline of national economic and social development. Although our country enjoys a multiple types of mineral resource, but the pillar type mineral resources is in seriously shortage, distribution and reserves is not ideal. After decades of large-scale, high strength of the resources exploitation, the contradiction between supply and demand and ecological problems become two big bottlenecks which restricted the economic development of our country. The current mineral resources development and utilization process exist certain kind of blindness and myopia.In the departed development, laggard technological level, huge destruction waste, low recovery ratio, plus inappropriate system, instable market, poor management efficiency, the over cost of resources and the environment. The mine environment question and in the node, make the fragile ecological environment system under very severe pressure, pose a great threat to the sustainable development of national economy. Therefore, protection of the mine environment, reasonable development and utilization of the resources, promote the harmonious development of mining cities is a long-term and arduous task.
With the advent of the knowledge economy and the globalization era, the contradiction between rapid economic growth and resource, environment keep growing, the international society has paid more and more attention in the role of enterprises from other countries to coordinate economic, social and environmental aspects. The general experience of foreign mine environmental protection in developed countries, its success lies in mine environment management been put in place, in order to prevent in advance instead of the passive management, and in this block it's what we defected. Compared with the international level, China's mine environment management in theory research and practice there is a considerable distance; mine environment management system research and practice in the great lag behind the demand of development of mining industry. Performance evaluation, especially environmental performance (also called the green performance) evaluation, has become a common topic. With the continuous development of enterprise performance, the traditional experience and subjective performance evaluation method is not adapt to the needs of work, among them, the environmental performance quantitative, accurate assessment of the demand is higher and higher, technology and quantitative methods has become more and more popular. Although our country these years about enterprise performance evaluation research both in the depth and in span all some development, but for mine enterprise's environmental performance evaluation and prediction research is still in a relatively scattered state. Therefore, to strengthen the related theoretical study and practical exploration in China to change the mine environment management situation is very meaningful.
This paper mainly tries to solve two key problems:first, because of mine environment management performance theory which including enterprise performance theory, mining management theory, sustainable development theory etc, and the current performance of quantitative, accurate assessment of the demand is higher and higher, technology, quantitative method become particularly necessary. Establish a scientific mine environment management performance evaluation index system and index selection even modeling problem need to be solved urgently. Second, in the choice of research method, practice is the only way to inspection. In this paper we combined the theoretical and empirical, through empirical to verify aforesaid mine environment management performance evaluation method to examine and improve its function, so that the method is scientific, generality and applicability, this is also another key problems need to be solved. Based on the above reasons, this paper deeply analyzes the present situation of the mine management, aiming at mine environment management performance, and also discusses the mine environment management of the performance evaluation of technology and method, guided by the scientific development concept, according to mine environment problems of the characteristics, types, combined with the mining before, in and shut the ore phase to the mine environment question management factor to carry on the analysis, the establishment of a mine environment management performance evaluation index system, and design the evaluation and prediction model and method.In the empirical analysis, based on the mine data, for example, to verify mine environment management performance evaluation and prediction methods, make its have generality, comprehensive, orientation, scientific, flexibility, adaptability theses six major characteristics, and find the mine environment problems existing in the management, which verify the applicability of the performance evaluation and prediction method.
Full text is divided into eight chapters, mainly including theory and method, quantitative and countermeasures study three parts.
This paper firstly introduces background significance of the research, and puts forward the research methods, technical route and innovation points. Consider that our country's enterprise performance appraisal theory research starts relatively late, the present research mainly limited to the introduction and evaluation of the foreign performance evaluation theory, the practice summary and the refining for domestic enterprise performance evaluation is not enough. The deficiency of mine environment management performance exist in most of the literature, also have no a clear explanation, just discussions about the specific operation of the surface problems, and at the same time, domestic mine environment management performance evaluation system also has not been formed. Therefore, this thesis topic has great significance in both theoretical and practical ways.
The following part is the elaboration of the theory and research method. The second chapter is the theory research. On the one hand may learn from the lack of current theory of the present research situation in order to point out the mine enterprise's environmental performance evaluation and prediction of the research significance, has been clear about the thesis research value and direction; On the other hand, the existing research theory analysis and control for the development of the research work provides an important theoretical guidance. First of all, combed the related concepts for the performance, performance evaluation, expounds the origin and development of the theory of performance in detail. The deficiency of mine environment management performance exist in most of the literature, also have no a clear explanation, just discussions about the specific operation of the surface sexual problems. Through the performance theory research, defines the concept of performance evaluation in this research paper at the same time. Secondly, this paper expounds the sustainable development theory, the circulation economic theory, ecological industry based on the theory of mineral resources exploitation and environmental protection phase harmonious development from concept, mode, target three direction was also in mine environment management performance in guiding ideology provides the theory support. The third chapter is mine environment management performance evaluation and forecasting method choice of part, first to tradition and the development of the evaluation and prediction method is introduced. For mine environment management performance this evaluation, is based on expert ability, instructions, preference, experience above, this evaluation with certain fuzziness and uncertainty (gray sex), in order to reduce error using high resolution, high precision, simple application of grey theory is more appropriate. For mine environment management performance forecast the piece, data collecting and processing is very important, need a lot of arrangement and calculation work. MATLAB toolbox, and the introduction of the rough set theory, greatly simplifying the workload in the exclusion of will interference prediction results contain redundant information redundant indexes, leave the outcome in the most obvious impact index, then after reduction of the index data as the input samples the prediction of future performance. And finally verify such combination model's superiority towards the single neural network model. Through the analysis of grey comprehensive evaluation method and rough set artificial neural network method and also considered about their advantages and disadvantages of feasibility, ultimately choose the grey comprehensive evaluation method as mine environment management performance evaluation method; Using rough set artificial neural network combination method as mine environment management performance prediction method.
Quantitative study part is the core of this article, mainly formed by chapter four, chapter five and chapter six. The fourth chapter firstly summarizes the mine environment problems, management mode and current situation. Believe that the domestic mine environment research, prevention and control level is relatively low, mining enterprises will easily cause soil and water loss in the development and utilization of resources process, induce geological disasters. Then, it gave us a summary on the mine environment management performance. Emphasis on the environment management main body should be diversified, namely the government as the guide, the enterprise as the core and implement, the public to participate is the tripartite main form. Then in the mine environment management performance evaluation system construction part this paper points out that mine environmental governance performance will be combined with mining early and middle, shut the ore phase respectively from the business performance and financial performance, benefit performance evaluation and analysis of the three aspects, and with fuzzy APH method to establish index weight to hierarchy grey comprehensive evaluation method as mine environment management performance evaluation method to evaluate the objects by evaluation. The fifth chapter expounds the mine environment management performance prediction method and procedure, has established good index system, through the rough sets theory of attribute reduction method, reduction the evaluation index number, again through the neural network prediction of performance analysis. At last, chapter six by means of the empirical manner to precede the mine environment management performance evaluation and forecast evaluation based on the first two chapters'study method. Then analyze its data, charts, and results, draw the corresponding conclusion. Finally come up with a comparative analysis of the mine environment management performance evaluation method and the forecast method, the author summarizes the advantages and disadvantages of them, the same differences, as well as the suitability of generalization.
In the countermeasures study part, the upgrading advices for our mine environment management performance have been put forward. Mine environment management is an important part of the mine environment; protect the mine geological environment, to improve the ecological environment have significance meanings of promoting sustainable economic and social development. Mine environment management performance evaluation is the inspection of mine environment management work. Emphasis on the environment management main body should be diversified, namely the government as the guide, the enterprise as the core and implement, the public to participate is the tripartite main form. From the government level, is need to establish unified relevant policy guidance and laws and regulations, build mine management performance participating supervision environment. From the enterprise level, is to positively construct the system of enterprise performance evaluation theory framework, such as scientific selection of suitable performance index evaluation method, promoting performance evaluation institutionalization, research and popularize the typical enterprise performance evaluation index system, perfecting the scientific performance evaluation index system, From the public level, strengthen environmental consciousness and to participate in environmental protection is particularly important.
After the conclusions and summarizations of whole research, writer put forward the prospect of research at last. Because of mine environment management is a complex and huge industrial system, involves the multiple research problems, this paper's focuses and coverage is limited, in the future, the author aim to not only improve and strengthen in the research of the theory, method but also the depth aspects in the future research.
The innovation of this paper lies in:
(1) Based on the analysis of the performance evaluation theory, the rough set theory, the neural network theory, sustainable development theory, this paper systematically chose the mine management performance evaluation and prediction method, built up a mine environment management performance evaluation index system, established the corresponding index and its weight, and structured the comprehensive evaluation based on grey evaluation model,
(2) Combined attribute reduction method of the rough set theory and the neural network model in order to construct the mine environment management performance forecast model, improve the mine management performance evaluation and prediction methods at the same time.
(3) Using the empirical method, test the applicability of the evaluation index. Through the combination of theory and empirical research in order to form scientific and practical mine environment management performance evaluation and forecasting method, and promote the effective governance of the mine environment.
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