煤炭开采的生态补偿机制研究
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摘要
我国煤矿区面积大、人口集中，生态环境脆弱，开展生态补偿理论和应用研究，构建有效的生态补偿机制具有十分重要的理论创新和现实意义。论文按照研究内容上层层递进、研究深度上步步深入的逻辑主线和分析框架，在界定煤炭开采生态补偿内涵的基础上，深入探索了补偿的主体构成、类型划分、环境损毁程度实验、静态补偿额度测算、补偿策略选择、运行机制构建等内容，重点建立了生态补偿Ⅰ、生态补偿Ⅱ的测度模型，提出了生态环境动态补偿策略。初步形成了煤炭开采生态环境动态补偿体系，为生态补偿机制构建和政策创新提供直接参考和借鉴。
论文共分八章，二至七章是论文的主体，四至六章是论文重点，主要研究成果及其结论如下：
（1）论文界定了煤炭开采生态补偿的内涵，是指针对生态环境损失的补偿，包括生态系统的直接损失和因生态系统受损、生态服务水平降低带来的居民负面效用这一间接损失，而煤炭资源开采造成的居民直接经济损失不被计入生态补偿的范畴。因此，生态补偿的内容包括土地整治、污染治理、环境污染对人造成损害的赔偿、生态服务水平降低对人效用损失补偿四个部分。在此基础上划分了生态补偿类型，并明确提出了生态补偿Ⅰ和生态补偿Ⅱ、静态补偿和动态补偿的概念，依据资源环境经济学补偿变化原理和补偿的急迫性划分了补偿的三个层次。
（2）以A矿为例，采用实验方法研究了煤炭资源开采对环境和地表形态产生的影响。研究表明，煤炭开采过程对环境各因子产生了轻微干扰，主要表现在：矿井水的pH和F-对地表水的微量影响；煤粉及矸石自燃产生的SO2对周边大气的轻度影响；风井附近的轻微噪声污染；粉煤灰场Pb对周边农田土壤的微量影响；地表沉陷导致拉坡地土壤容重增大和含水量降低。这些干扰均没有超过国家控制标准，煤炭开采的突出问题是开采沉陷导致地表形态改变和积水，造成耕地大量减少。
（3）采用恢复成本法和污染防治费用方法，构建了生态补偿Ⅰ测度模型，并测算了该区域50个矿井的补偿额度；以此为基础，构建了补偿Ⅰ与煤层赋存参数、开采参数等方面12个指标的人工神经网络模型，应用该网络模型分别测算了A矿自建矿以来至闭矿期，每五年一个时段的生态补偿Ⅰ额度，分别为1187.7万元、16671.6万元、2708.9万元、32333.8万元、54426.6万元、41288.9万元、30728.6万元、6122.9万元，整个开采过程生态补偿Ⅰ共需18.55亿元。按照煤炭开采量估算生态补偿Ⅰ的平均额度为36.6元/吨，在煤矿生命周期中，从投产达产到达产增产到增产稳产再到稳产增产、稳产深采、衰落各阶段，生态补偿Ⅰ平均为吨煤补偿7.72元、11.87元、47.85元、52.95元、46.27元和25.75元。
（4）从矿区耕地损失的角度探讨了生态补偿Ⅱ的测度问题，构建了农户的接受意愿和矿企的支付意愿模型，采用意愿调查的方法，测算了A矿开采的补偿额度。测算结果表明，基于矿区耕地损毁效用损失的生态补偿Ⅱ，农户的接受意愿为每年305925.3元，矿企的支付意愿为每年167509.63元。如果按照煤炭开采量估算，在煤矿生态环境保护各项措施完善、生态环境质量较好的情况下，仅就耕地情感损失的生态补偿Ⅱ的受偿意愿为0.25元/吨，支付意愿为0.14元/吨。
（5）建立了煤矿区生态服务价值—补偿成本—补偿效益的系统动力学模型，以A矿为例，对静态补偿、动态补偿和过渡类型补偿三种补偿策略的矿区生态服务价值和经济成本进行模拟与仿真。通过矿区生态服务价值变化、补偿成本和经济效益大小来衡量不同补偿策略的生态、经济效果，结果表明：矿区损毁的生态环境治理越早，生态服务价值越高，总治理成本越低、收益越高。由此指出“边开采边补偿”的动态补偿是最优的，是未来煤炭资源开采生态补偿发展的方向。
（6）分析了生态补偿中的利益相关方、政府和市场在生态补偿中的地位和作用、煤炭开采的生态补偿运行机制现状，初步设计了政府主导下市场化运行机制模式，为我国煤矿区生态补偿机制创新指明方向。
With large area, large population and fragile ecological environment of coal mine inChina, it has a very important theoretical innovation and practical significance to carry outecological compensation (EC) theory and applied research to build effective ecologicalcompensation mechanism. Begin with the connotation of EC in coal mining, this paper studiedthe content composition, classification, compensation amount, dynamic ecologicalcompensation (DEC) and mechanism of EC. Arranged progressively in content and degree,those contents formed DEC system in coal mining. Measuring model of ECI and ECII and themodel of DEC are the key contents of the paper. The thesis consists of eight chapters, with thesecond to seventh chapters are the main body, and the fourth to sixth chapters are the keycontents of the dissertation. The main researches and conclusions are as follows:
(1) Connotation and contents composition of EC were defined in this dissertation. EC,compensation for the damage of ecology and environment only, including the direct loss ofecological system and indirect loss of residents negative utility brought of reduced ecologicalservice for damaged ecosystem, and direct economic loss of the residents shall not be includedin EC. Therefore, EC includes four parts: they are land remediation, pollution controlling,compensation for damaged environment by pollution, and compensation for utility loss asservice level reduced. The types of EC were divised, and the concepts of ECI and ECII, staticecological compensation (SEC) and DEC were put forward. Still, EC was divided into threelevels according to the principle of resources, environmental economics and demand priority.
(2) Taking coal mine A as an example, the impact of coal exploitation on environment andsurface morphology was studied using experimental method. The results show that: althoughthere is disturbance on the environmental factors in the process of coal mining, those are underthe national level at all. A significant reduction in cultivated land because of subsidence of thesurface morphology and water gathered is the main eco-environmental problem of coal mining.
(3) Using the method of accounting ecology restoration and pollution controlling cost, thetwo components of ECI measuring models of coal resources mining were designed respectively,and then the compensation cost of50coal mines in the vicinity of the study area werecalculated one by one. Furthermore, the BP network model was designed which combinedcompensation cost with12indicators related to coal and mining parameters of those50mines,and then the ECI cost of coal mine A was predicted for each five years from the period of beginto close.
(4) ECII measurement was discussed from the sight of cultivated land loss, and thenmodels of farmers' willingness-to-accept (WTA) and willingness-to-pay (WTP) of coal mining enterprises were designed to calculated the ECII amount of mining A using contingent valuationmethod (CVM).
(5) DEC concept was put forward, originated from the relationship between ECI andECII, which system dynamic (SD) model was constructed to simulate the changing process ofecosystem services and economic cost of SEC, DEC and transition type ecologicalcompensation (TEC). Comparison research showed that compensated earlyer, ecologicalservice value loss less.The results propose that DEC is the future of coal mining ecologicalcompensation for its lest value loss of ecological service and lowest compensation cost.
(6) Issues about EC mechanism of coal mining were analyzed in the dissertation, such asstatus in quo, stakeholders, the roles of the government and the market in compensation, andEC operating mechanism present situation. A kind of EC operating mechanism, guided by thegovernment and operated by the market, was designed.
论文共分八章，二至七章是论文的主体，四至六章是论文重点，主要研究成果及其结论如下：
（1）论文界定了煤炭开采生态补偿的内涵，是指针对生态环境损失的补偿，包括生态系统的直接损失和因生态系统受损、生态服务水平降低带来的居民负面效用这一间接损失，而煤炭资源开采造成的居民直接经济损失不被计入生态补偿的范畴。因此，生态补偿的内容包括土地整治、污染治理、环境污染对人造成损害的赔偿、生态服务水平降低对人效用损失补偿四个部分。在此基础上划分了生态补偿类型，并明确提出了生态补偿Ⅰ和生态补偿Ⅱ、静态补偿和动态补偿的概念，依据资源环境经济学补偿变化原理和补偿的急迫性划分了补偿的三个层次。
（2）以A矿为例，采用实验方法研究了煤炭资源开采对环境和地表形态产生的影响。研究表明，煤炭开采过程对环境各因子产生了轻微干扰，主要表现在：矿井水的pH和F-对地表水的微量影响；煤粉及矸石自燃产生的SO2对周边大气的轻度影响；风井附近的轻微噪声污染；粉煤灰场Pb对周边农田土壤的微量影响；地表沉陷导致拉坡地土壤容重增大和含水量降低。这些干扰均没有超过国家控制标准，煤炭开采的突出问题是开采沉陷导致地表形态改变和积水，造成耕地大量减少。
（3）采用恢复成本法和污染防治费用方法，构建了生态补偿Ⅰ测度模型，并测算了该区域50个矿井的补偿额度；以此为基础，构建了补偿Ⅰ与煤层赋存参数、开采参数等方面12个指标的人工神经网络模型，应用该网络模型分别测算了A矿自建矿以来至闭矿期，每五年一个时段的生态补偿Ⅰ额度，分别为1187.7万元、16671.6万元、2708.9万元、32333.8万元、54426.6万元、41288.9万元、30728.6万元、6122.9万元，整个开采过程生态补偿Ⅰ共需18.55亿元。按照煤炭开采量估算生态补偿Ⅰ的平均额度为36.6元/吨，在煤矿生命周期中，从投产达产到达产增产到增产稳产再到稳产增产、稳产深采、衰落各阶段，生态补偿Ⅰ平均为吨煤补偿7.72元、11.87元、47.85元、52.95元、46.27元和25.75元。
（4）从矿区耕地损失的角度探讨了生态补偿Ⅱ的测度问题，构建了农户的接受意愿和矿企的支付意愿模型，采用意愿调查的方法，测算了A矿开采的补偿额度。测算结果表明，基于矿区耕地损毁效用损失的生态补偿Ⅱ，农户的接受意愿为每年305925.3元，矿企的支付意愿为每年167509.63元。如果按照煤炭开采量估算，在煤矿生态环境保护各项措施完善、生态环境质量较好的情况下，仅就耕地情感损失的生态补偿Ⅱ的受偿意愿为0.25元/吨，支付意愿为0.14元/吨。
（5）建立了煤矿区生态服务价值—补偿成本—补偿效益的系统动力学模型，以A矿为例，对静态补偿、动态补偿和过渡类型补偿三种补偿策略的矿区生态服务价值和经济成本进行模拟与仿真。通过矿区生态服务价值变化、补偿成本和经济效益大小来衡量不同补偿策略的生态、经济效果，结果表明：矿区损毁的生态环境治理越早，生态服务价值越高，总治理成本越低、收益越高。由此指出“边开采边补偿”的动态补偿是最优的，是未来煤炭资源开采生态补偿发展的方向。
（6）分析了生态补偿中的利益相关方、政府和市场在生态补偿中的地位和作用、煤炭开采的生态补偿运行机制现状，初步设计了政府主导下市场化运行机制模式，为我国煤矿区生态补偿机制创新指明方向。
With large area, large population and fragile ecological environment of coal mine inChina, it has a very important theoretical innovation and practical significance to carry outecological compensation (EC) theory and applied research to build effective ecologicalcompensation mechanism. Begin with the connotation of EC in coal mining, this paper studiedthe content composition, classification, compensation amount, dynamic ecologicalcompensation (DEC) and mechanism of EC. Arranged progressively in content and degree,those contents formed DEC system in coal mining. Measuring model of ECI and ECII and themodel of DEC are the key contents of the paper. The thesis consists of eight chapters, with thesecond to seventh chapters are the main body, and the fourth to sixth chapters are the keycontents of the dissertation. The main researches and conclusions are as follows:
(1) Connotation and contents composition of EC were defined in this dissertation. EC,compensation for the damage of ecology and environment only, including the direct loss ofecological system and indirect loss of residents negative utility brought of reduced ecologicalservice for damaged ecosystem, and direct economic loss of the residents shall not be includedin EC. Therefore, EC includes four parts: they are land remediation, pollution controlling,compensation for damaged environment by pollution, and compensation for utility loss asservice level reduced. The types of EC were divised, and the concepts of ECI and ECII, staticecological compensation (SEC) and DEC were put forward. Still, EC was divided into threelevels according to the principle of resources, environmental economics and demand priority.
(2) Taking coal mine A as an example, the impact of coal exploitation on environment andsurface morphology was studied using experimental method. The results show that: althoughthere is disturbance on the environmental factors in the process of coal mining, those are underthe national level at all. A significant reduction in cultivated land because of subsidence of thesurface morphology and water gathered is the main eco-environmental problem of coal mining.
(3) Using the method of accounting ecology restoration and pollution controlling cost, thetwo components of ECI measuring models of coal resources mining were designed respectively,and then the compensation cost of50coal mines in the vicinity of the study area werecalculated one by one. Furthermore, the BP network model was designed which combinedcompensation cost with12indicators related to coal and mining parameters of those50mines,and then the ECI cost of coal mine A was predicted for each five years from the period of beginto close.
(4) ECII measurement was discussed from the sight of cultivated land loss, and thenmodels of farmers' willingness-to-accept (WTA) and willingness-to-pay (WTP) of coal mining enterprises were designed to calculated the ECII amount of mining A using contingent valuationmethod (CVM).
(5) DEC concept was put forward, originated from the relationship between ECI andECII, which system dynamic (SD) model was constructed to simulate the changing process ofecosystem services and economic cost of SEC, DEC and transition type ecologicalcompensation (TEC). Comparison research showed that compensated earlyer, ecologicalservice value loss less.The results propose that DEC is the future of coal mining ecologicalcompensation for its lest value loss of ecological service and lowest compensation cost.
(6) Issues about EC mechanism of coal mining were analyzed in the dissertation, such asstatus in quo, stakeholders, the roles of the government and the market in compensation, andEC operating mechanism present situation. A kind of EC operating mechanism, guided by thegovernment and operated by the market, was designed.
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