黑龙江省矿业权市场运行机制研究
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摘要
黑龙江省是矿产资源大省,矿业对黑龙江省区域经济的发展起到非常重要的作用,而矿业经济的发展离不开矿业权市场机制的约束。矿业权市场运行机制是指矿业经济发过程中,矿业权市场各要素间相互联系、共同发挥作用的过程及其方式。主要包括矿业制度、矿业体制内矿业权市场要素间的相互作用。其中,矿产资源产权制度就是以矿业权为依托,对相关矿产资源所表现出来的财产关系进行有效的组合和协调；矿业权市场的运行就是各种要素相互作用,并通过探矿权和采矿权在市场中的流转而体现出来。多年的矿业权交易,初步形成了全省的矿业权交易市场,但随着经济的发展,也出现了一系列问题。如何系统地总结这些年来我国矿业权市场化运作的经验,研究建立黑龙江省矿业权有形市场、完善其运行机制,为黑龙江省矿业经济的可持续发展创造公平的环境、促进矿产资源财源建设具有十分重的要意义。论文在前人研究成果的基础上,以现代主流经济学、资源产业经济学理论为指导,系统地比较了国内外矿业权市场运行情况,调查统计了黑龙江省矿产资源特点及其矿业权市场运行的基本特征,探索构建了黑龙江省矿业权市场运行机制,提出了相应的支撑体系。
论文研究的主要内容如下：
1、系统地分析对比了国内外矿业制度及其矿业权市场运行情况。研究结果表明,主要矿业大国均有明晰的矿产资源产权制度,尽管表现形式不同,基本上解决了矿产资源所有权归属、与土地所有权的关系以及国家在矿产资源行政管理中的作用。由于市场化程度不同,尽管国内外矿业权的流转方式基本相同,但受到时间、资源价值、行政权力等因素的影响,矿业权流转的灵活性及其表现出来的作用也不同。其中,加拿大、美国、俄罗斯、南非等国矿业权市场化程度高,运行较规范,蒙古国市场化程度相对较低；我国近几年的矿业权流转数量和交易金额也在迅速上升,其中采矿权数量和金额均高于探矿权,矿业权交易对市场化运行的需求程度不断提高。
2、详细地调查统计了黑龙江省矿业权现状。初步绘制了黑龙江省矿业权分布图,并把矿业权的分布与矿产资源分布情况进行了叠加处理,结果表明成矿条件好、勘查程度较高的区域也是矿业权分布较集中的地区。通过对黑龙江省矿业权市场运行情况的研究表明,黑龙江省2004-2011年矿业权转让市场不活跃,而且由于审查批准的相对滞后,统计也不系统；矿业权出让市场相对活跃,其中以行政审批为主,招、拍、挂市场和业务较少,仅零星出现,而且探矿权交易的数量和金额远远小于采矿权。除2005年外,由于矿业权经营的周期性,导致其它年份矿业权交易的数量和金额较平稳。同时,由于矿业权有形市场及其运行机制未建立,缺乏矿业资本化运作平台,导致矿业权市场发育相对滞后,出现了矿业权与土地权利的冲突、地矿勘查新机制滞后,矿业权的设立、市场化和矿业权市场管理相对滞后,矿业权资源的优化配置难以实现。
3、综合运用关联分析法和格兰杰检验进行定量研究。结果表明,黑龙江省探矿权与采矿权之间,以及与矿业总产值之间的关联度均较低,对矿业总产值的贡献不大；采矿权的变化不影响探矿权,但探矿权的变化会部分地影响采矿权的变化。反应出矿业权市场化运行程度不高,探矿权与采矿权转换的通道不畅,矿业总产值的贡献主要来自于矿产资源的实体开发利用。
4、综合运用资源产业经济学、博弈论和信息经济学的有关理论,结合黑龙江省实际情况,系统研究了黑龙江省矿业权市场运行机制。
(1)界定了矿业权市场运行机制的内涵。矿业权市场运行机制是指矿业经济发过程中,矿业权市场各要素间相互联系、共同发挥作用的过程及其方式。主要包括矿业制度、矿业体制内矿业权市场要素间的相互作用。矿业权市场的运行就是各种要素相互作用,并通过探矿权和采矿权在市场中的流转而体现出来。由于矿业权的特殊性,其市场运行机制主要由矿业权基础定价机制、矿业权交易机制以及矿业权信息披露机制构成。
(2)分析并构建了黑龙江省矿业权基础定价机制。矿业权基础定价机制就是在矿业权评估准则体系规范下,矿业权评估类型、定价方法、相关参数的选择和调整等要素相互联系、共同作用,评定和估算出矿业权公允价值的一个相对完整的动态的定价过程,为矿业权交易机制设计中保留价格的确定提供参照物。
(3)系统总结了市场交易机制设计的基础理论。市场交易机制的设计就是博弈结构设计与博弈过程分析作为一个整体所引出的问题,实质上是“委托-代理”模型在拍卖或招标领域中的一个应用。系统地总结了目前国际上常见的拍卖规则的特点、拍卖机制设计的步骤、直接机制和显示原理,对一级密封价格拍卖机制设计和二级密封价格拍卖机制设计进行了系统分析。
(4)对黑龙江省矿业权市场交易机制进行了系统的设计。通过基本假设、矿业权保留价格的设置,系统地设计了黑龙江省矿业权最优拍卖机制,并进行了市场配置效率分析。通过研究表明：在一级密封价格拍卖中,每个竞价企业都低报价格,但b*(u)随n的增加而增加,当n趋向无限大时,b*(u)趋于u,即竞价企业愈多,矿业权拍卖人得到的价格就愈高。故让更多的企业参加矿业权的竞价,既符合黑龙江省政府的利益,也符合矿业权拥有者的利益。在二级密封拍卖中,使矿业权竞价企业报价反映出他们心目中对矿业权的真实估价,如果说每个竞价企业的估价相同,则这种方法将矿业权以最高的价格卖出去,黑龙江省政府及矿业权拥有者将获得最大的拍卖价值,当不同矿业权竞标企业的估价不同,但相差不大时,黑龙江省政府及矿业权拥有者也会获得较大的拍卖价值。由于矿业权拍卖的经济环境不同,具体采取的拍卖方式也可能不同,但只要最优保留价设置合理,四种基本拍卖方式都是最优的矿业权交易机制。
(5)分析并构建了黑龙江省矿业权信息披露机制。矿业权的市场效率既表现为帕累托最优还表现为市场信息效率。按照黑龙江省矿产资源及矿业权自身特点,组建黑龙江省矿业权交易中心,起着提供一个区域矿业权交易平台的作用。在矿业权信息披露过程中,对内充分收集国土资源部及黑龙江省矿业权管理信息,对外充分收集国外矿业权市场管理信息,经过专家系统处理信息后,通过网络、报刊、派发等方式,定期对矿业投资商、涉矿上市公司、民营企业、金融机构等公开发布并披露黑龙江省矿业权交易信息。矿业权市场信息的及时、准确、标准的披露,实现矿业权流、资金流、信息流的统一对黑龙江省矿业权市场运行及其效率体现均具有十分重要的意义。
5、提出了黑龙江省矿业权市场运行的支撑体系。勘查是开成新矿业权的基础,建立政府调控与市场配置相结合的资源配置新机制是矿业权市场运行的有效保证,完善矿业权市场运行体系提高了市场各主体的积极性,而完善的信息管理体系为矿业权信息披露以及矿业管理是矿业权市场运行提供了有力的信息支撑。
(1)勘查是形成新矿业权的基础。按照“公益先行、基金衔接、商业跟进、掌控家底、保障发展”的思路,积极推进实施地质工作的“五大战略”体系,是形成黑龙江省矿业权的基础；大力发展商业性矿产勘查,才能较好的满足市场经济条件下对矿业权市场运行的需求。
(2)建立政府调控与市场配置相结合的资源配置新机制。在规划期内,进一步加强地质矿产勘查,严格控制新设矿业权投放数量,整合原有矿业权；同时充分发挥市场机制的作用,严格执行招标、拍卖和挂牌方式流转矿业权。只有通过市场调节和政府调控的双重作用,才能够完成符合各方利益的矿业权资源的最优配置。
(3)完善矿业权市场运行体系。完善矿业权市场运作中的技术规范和标准体系,修改黑龙江省矿业权市场交易规则,建立区域矿业权评估机制、矿业权市场交易机制,形成适合实际的矿业权市场运作中的技术规范和标准体系；规范矿业权市场体系各主体的地位,实行矿业权退出机制。
(4)完善信息管理体系。结合国家金土工程、矿业权统一配号建设要求,开展省级探矿权和省、市、县三级采矿权联网发证的部署工作、全国探矿权统一配号工作和全国采矿权统一配号试点工作,进一步完善矿业权数据统计功能,变数据分散为数据集中,变自主配号为统一配号,加强矿业权数据的统一管理；把配号系统与新组建的黑龙江省矿业权交易中心联网,建立并完善矿业权信息披露制度,使对外发布的信息规范透明、准确、及时,为矿业权市场运行及矿政管理提供有力的信息支撑。
论文的创新点主要集中表现在以下三个方面：
(1)详细统计了黑龙江省矿业权市场交易情况,初步绘制了黑龙江省矿业权分布图,并把矿业权的分布与矿产资源分布进行了叠加处理,结果表明成矿条件好、勘查程度较高的区域也是矿业权分布较集中、市场交易较活跃的地区。
(2)关联分析法和格兰杰检验表明,黑龙江省探矿权与采矿权之间,以及与矿业总产值之间的关联度均较低,对矿业总产值的贡献不大；采矿权的变化不影响探矿权,但探矿权的变化会部分地影响采矿权的变化。反映出矿业权市场化运行程度不高,探矿权与采矿权转换的通道不畅,矿业总产值的贡献主要来自于矿产资源的实体开发利用。
(3)综合运用资源产业经济学、博弈论和信息经济学的有关理论和方法,结合黑龙江省实际情况,通过基本假设、矿业权保留价格的设置,系统地设计了黑龙江省矿业权最优拍卖机制,并进行了市场配置效率分析；构建了黑龙江省矿业权信息披露机制,提出了相应的支撑体系。
Heilongjiang province is a mineral resources big province, mineral industry to Heilongjiang province district economy of development have count for much function, but mineral industry economy of development can not get away from the mining rights market a mechanism of control. The mining rights market circulate a mechanism is mineral already benefit hair process in, the mining rights each main factor of market is mutually contact, together produce result of process and its way. Main include the interaction of the mining rights market main factor inside the system of the mineral industry system, mineral industry. Among them, the mineral resources produce power system be with mineral industry power for rely on, rightness related mineral resources performance come out of property relation carry on valid of combination harmoniously adjust; The circulate of the mining rights market is various main factor interaction, and pass to explore mineral power and mine for minerals the power is in the market of flow to turn but the body appear. The mineral industry of several years power trade, first step formation whole province of the mining rights trade market, but along with economy of development, also appeared a series problem. How systematically summary these in the last years our country the mining rights market turn operation of experience, research establishment Heilongjiang province the mining rights having material form market, perfect it circulate mechanism, for Heilongjiang province mineral industry economy of can keep on development creation fair of environment, promote mineral resources source of money construction have to very heavily want meaning. Thesis fore person research result of foundation up, with modern main current economics, the economics theories of the resources industry is instruction, systematically comparison domestic and international the mining rights market circulate circumstance, investigate statistics Heilongjiang province characteristics and its the mining rights of the mineral resources market circulate of basic characteristic, investigate set up Heilongjiang province the mining rights market movement mechanism, put forward correspond of prop up system.
The main contents of the thesis is as follows:
1、Systematically analysis contrast domestic and international mineral industry system and its the mining rights market circulate circumstance. Research result enunciation, main mineral industry big country all have a clear in meaning mineral resources to produce power system, though manifestation dissimilarity, basically solved a mineral resources ownership ownership, with landholding power of relation and nation in the function in the administration management of the mineral resources. Because the market turn a degree dissimilarity, though the domestic and international the mining rights turn a way basic homology, be subjected to by that time, resources value, administration power etc. factor of influence, the mining rights flow the vivid for turn and it performance come out of function also dissimilarity. Among them, Canada, the United States, Mongolia, Russia, South Africa etc. the country of the mining rights market turn high degree, circulate compare norm; The mining rights our country the last few years flow to turn an amount and trade amount of money also at quick ascension, among them the exploitation rights amount and amount of money all highly in the explore righs, the mining rights trade turn circulate to the market of need degree continuously exaltation.
2、In detail investigate to statistics Heilongjiang province the mining rights present condition. The first step drew Heilongjiang province the mining rights distribute diagram, and distribute of the mining rights a circumstance to carry on to fold to add processing with mineral resources, result enunciation become mineral condition good, reconnoitre the degree higher district is also the mining rights distribute more concentration of region. Pass to Heilongjiang province the mining rights market circulate circumstance of research enunciation, Heilongjiang province2004-2011year, the mining rights turn to let a market not active, and because of reviewing approval of opposite after, statistics also not system; The mining rights offer for sale a market opposite active, among them with administration examination and approval is lord, recruit, clap, hang market and business less, just piecemeal appear, and explore rights trade of amount and amount of money be far small in the explore rights. In addition to2005, because of the mining rights management of periodic, cause other the age the mining rights trade of amount and amount of money be more steady. In the meantime, because of the mining rights having material form market and it circulate the mechanism built up, lack a mineral industry capitalization operation terrace and cause the mining rights market growth opposite after, appeared the mining rights and land right of the conflict, ground mineral reconnoitre new mechanism after, mineral industry establish of power, the market turn with the mining rights market management opposite after, the mining rights resources of excellent turn allocation hard realization.
3、Comprehensive usage connection analysis method and the Pairwise Granger Causality Tests. Result enunciation that Heilongjiang province the explore rights and the exploitation rights, and with mineral industry's connection of the total production value all lower, contribute mineral industry total production value not big; The exploitation rights of variety not influence explore rights, but explore a mineral industry the variety of the explore rights partly influence the exploitation rights of variety. Respond the mining rights market turn movement degree not high, the explore rights and the exploitation rights conversion of passage not Chang, the mineral industry contribute of total production value main entity development of come from the mineral resources make use of.
4、Comprehensive usage resources industry economics, Game theory and information economics of relevant theories, combine Heilongjiang province actual circumstance, system research Heilongjiang province the mining rights market circulate mechanism.
(1)Defines the mining rights market circulate the content of mechanism. The mining rights market circulate a mechanism is mineral already benefit hair process in, the mining rights each main factor of market is mutually contact, together produce result of process and its way. Main include the interaction of the mining rights market main factor inside the system of the mineral industry system, mineral industry. The circulate of the mining rights market is various main factor interaction, and pass to the explore rights and the exploitation rights is in the market of flow to turn but the body appear. Because of special of the mining rights, its market circulate a mechanism main from the mining rights foundation list price mechanism, the mining rights trade mechanism and the mining rights information disclose a mechanism constitute.
(2)Analysis and set up the foundation list price of the province mineral in Heilongjiang the mining rights a mechanism. The list price mechanism of the mining rights foundation be at the mining rights valuation standard system under the norm, mineral industry power valuation type, list price method, related parameter of the main factors such as choice and adjustment etc. are mutually contact, common function, assess with estimate the mining rights fair value of an opposite integrity of dynamic state of list price process, for the mining rights trade reserve in the mechanism design price really settle provide to according to a thing.
(3)System summary the market trade a mechanism design of foundation theories. The market trade a mechanism of design game structure design and game process analysis conduct and actions be a whole the problem of the derivation, substantially is "entrust-act for" model on sale or invite bids realm in of an application. Systematically summary international currently top familiar sale rule of characteristics, sale mechanism design of step, direct mechanism and manifestation principle, seal completely price sale mechanism to a class design with second class sealed completely price sale mechanism design to carry on system analysis.
(4)Design a trade mechanism for Heilongjiang the mining rights market on systemly. Pass basic assumption, the mining rights reserve price of constitution, systematically design Heilongjiang province the mining rights be superior sale mechanism, and carried on a market allocation efficiency analysis. Pass a research enunciation:In a class seal completely the price sale, the business enterprise all low offer space of each contend price, but b*(u)with n of increment but increment, be the n incline to infinite big, b*(u)tend at the u, namely contend price the business enterprise be many more, the mining rights auctioneer get of price more high. Past let more contend price that the business enterprise attend the mining rights, since benefits according to provincial government in Heilongjiang, also match the mining rights to own the benefits of.Make in second classly seal completely the sale the mining rights contend price business enterprise offer reflection their heart in to the mining rights of true quotation, if say each contend price business enterprise of quotation homology, this kind of method the mining rights with the tallest price sell go to, provincial government in Heilongjiang and the mining rights own will acquire biggest of sale value, be dissimilarity the mining rights bid business enterprise of quotation dissimilarity, but differ not big, provincial government in Heilongjiang and the mining rights own will also acquire bigger sale value. Because the mining rights sale of economy environment dissimilarity, concrete adopt of sale way also possibility dissimilarity, but only superior reserve price constitution reasonable, four kinds of basic sale the way be the all superior the mining rights bargain mechanism.
(5)Analysis and set up a province mineral in Heilongjiang the mining rights information to disclose a mechanism. The market efficiency of the mining rights since the performance is tired for Pa to give superior still the performance is a market information efficiency. According to province mineral resources in Heilongjiang and the mining rights oneself characteristics, the set set up province the mining rights in Heilongjiang bargain center and have already provided a district the mining rights bargain terrace of function. In the mining rights information disclose the process, rightness inside full collections department and Heilongjiang of the national territory resources province the mining rights management information, outward full collections abroad the mining rights market management information, through expert system processing information after, pass a network, newspapers and magazines, parties hair etc. way, periodical to mineral industry investment company, wade mineral listed company, private enterprise, financing institution etc. public release and disclose Heilongjiang province the mining rights trade information. The mining rights market information in time, accurate, disclose of standard, the realization the mining rights flow, the funds flow, the information flow of unify to Heilongjiang province the mining rights market circulate and its efficiency body now all have very importance of meaning.
5、Puts forward a support system of the mining rights in Heilongjiang province. Prospects is open new the mining rights of foundation, establishment the government adjust to control with market allocation combine together of resources allocation new the mechanism be the mining rights market circulate of valid assurance, perfect the mining rights market circulate system exaltation the aggressive of each corpus of market, but perfect information management the system disclose for the mining rights information and mineral industry management was the mining rights market circulate to provide an emollient information to prop up.
(1)Prospects is formation new mineral industry the foundation of the power. According to the way of thinking of public welfare in advance, the fund link up, the business follow, control a bottom, guarantee development, aggressive push forward five war slightly system that carry out geology's work, is formation the foundation of Heilongjiang province the mining rights; Strongly the development business mineral reconnoitre, then can be better of satisfy under the market economy condition to the mining rights market circulate of need.
(2)The establishment new mechanism of government to control with market allocation combine together of resources allocation. In the programming the period, further strengthen a geology mineral to Prospect, strict control new establish the mining rights to throw in an amount, integration original the mining rights. Full in the meantime exertive the function of market mechanism, strict the performance invite bids, sale and nominal quotation's way flow to turn the mining rights. Only regulate the dual function which adjust to control with government through a market, then can the completion the mining rights resources according to everyone's benefits of superior allocation.
(3)Perfects the mining rights market circulate system. Perfect technical specification within operation of the mining rights market and standard system, modification Heilongjiang province the mining rights market trade rule, establishment the mining rights in the district valuation mechanism, the mining rights market trade mechanism, formation in keeping with actual of the mining rights market operation medium of technical specification and standard system; The norm mining rights market the position of each corpus of system, practice the mining rights to withdraw a mechanism.
(4)Perfects the information management system. Combine nation gold soil engineering, the mining rights unify to go together with number construction request and open an exhibition province class to prospect rights and province, the city, county be x-rated coal-face power allied net hair certificate of deployment work, whole country explore mineral power to unify to go together with number work and whole country exploration rights unify to go together with number experimental unit work, further perfect the mining rights data statistics function, variable according to dispersion is data concentration, become independence go together with number in order to unify to go together with number, strengthen an unify of the mining rights data management; Go together with number system with new set Heilongjiang for set up province mineral industry power trade center allied net, establishment combine perfect the mining rights information disclose system, make to release outward of information norm, transparent, accurate, in time, is the mining rights market circulate and mineral government management provide an emollient information to prop up.
The three innovation point of thesis is as following:
(1)Detail statistics Heilongjiang province the mining rights market trade circumstance, first step drew Heilongjiang province the mining rights distribute diagram, and distribute of the mining rights to carry on to fold to add processing with mineral resources, result enunciation become mineral condition good, reconnoitre the degree higher district is also the mining rights distribute more concentration, market trade more active of region.
(2)Connection analysis method and the Pairwise Granger Causality Tests, Heilongjiang province exploitation rights and prospect rights, and with mineral industry's connection of the total production value all lower, to mineral industry total production value of contribute not big; exploitation rights variety not influence prospect rights, but prospect rights of variety partly influence exploitation rights of variety. Respond the mining rights market turn movement degree not high, province exploitation rights and prospect rights conversion of passage not Chang, the mineral industry contribute of total production value main entity development of come from the mineral resources make use of.
(3)Comprehensive usage resources industry economics, Game theory and information economics of relevant theories and method, combine Heilongjiang province actual circumstance, basic assumption, the mining rights price of constitution, it is designed systematically the superior sale mechanism of Heilongjiang province the mining rights, and carried on a market allocation efficiency analysis; Set up a province mineral in Heilongjiang industry power's information to disclose a mechanism, put forward to correspond of prop up system.
论文研究的主要内容如下：
1、系统地分析对比了国内外矿业制度及其矿业权市场运行情况。研究结果表明,主要矿业大国均有明晰的矿产资源产权制度,尽管表现形式不同,基本上解决了矿产资源所有权归属、与土地所有权的关系以及国家在矿产资源行政管理中的作用。由于市场化程度不同,尽管国内外矿业权的流转方式基本相同,但受到时间、资源价值、行政权力等因素的影响,矿业权流转的灵活性及其表现出来的作用也不同。其中,加拿大、美国、俄罗斯、南非等国矿业权市场化程度高,运行较规范,蒙古国市场化程度相对较低；我国近几年的矿业权流转数量和交易金额也在迅速上升,其中采矿权数量和金额均高于探矿权,矿业权交易对市场化运行的需求程度不断提高。
2、详细地调查统计了黑龙江省矿业权现状。初步绘制了黑龙江省矿业权分布图,并把矿业权的分布与矿产资源分布情况进行了叠加处理,结果表明成矿条件好、勘查程度较高的区域也是矿业权分布较集中的地区。通过对黑龙江省矿业权市场运行情况的研究表明,黑龙江省2004-2011年矿业权转让市场不活跃,而且由于审查批准的相对滞后,统计也不系统；矿业权出让市场相对活跃,其中以行政审批为主,招、拍、挂市场和业务较少,仅零星出现,而且探矿权交易的数量和金额远远小于采矿权。除2005年外,由于矿业权经营的周期性,导致其它年份矿业权交易的数量和金额较平稳。同时,由于矿业权有形市场及其运行机制未建立,缺乏矿业资本化运作平台,导致矿业权市场发育相对滞后,出现了矿业权与土地权利的冲突、地矿勘查新机制滞后,矿业权的设立、市场化和矿业权市场管理相对滞后,矿业权资源的优化配置难以实现。
3、综合运用关联分析法和格兰杰检验进行定量研究。结果表明,黑龙江省探矿权与采矿权之间,以及与矿业总产值之间的关联度均较低,对矿业总产值的贡献不大；采矿权的变化不影响探矿权,但探矿权的变化会部分地影响采矿权的变化。反应出矿业权市场化运行程度不高,探矿权与采矿权转换的通道不畅,矿业总产值的贡献主要来自于矿产资源的实体开发利用。
4、综合运用资源产业经济学、博弈论和信息经济学的有关理论,结合黑龙江省实际情况,系统研究了黑龙江省矿业权市场运行机制。
(1)界定了矿业权市场运行机制的内涵。矿业权市场运行机制是指矿业经济发过程中,矿业权市场各要素间相互联系、共同发挥作用的过程及其方式。主要包括矿业制度、矿业体制内矿业权市场要素间的相互作用。矿业权市场的运行就是各种要素相互作用,并通过探矿权和采矿权在市场中的流转而体现出来。由于矿业权的特殊性,其市场运行机制主要由矿业权基础定价机制、矿业权交易机制以及矿业权信息披露机制构成。
(2)分析并构建了黑龙江省矿业权基础定价机制。矿业权基础定价机制就是在矿业权评估准则体系规范下,矿业权评估类型、定价方法、相关参数的选择和调整等要素相互联系、共同作用,评定和估算出矿业权公允价值的一个相对完整的动态的定价过程,为矿业权交易机制设计中保留价格的确定提供参照物。
(3)系统总结了市场交易机制设计的基础理论。市场交易机制的设计就是博弈结构设计与博弈过程分析作为一个整体所引出的问题,实质上是“委托-代理”模型在拍卖或招标领域中的一个应用。系统地总结了目前国际上常见的拍卖规则的特点、拍卖机制设计的步骤、直接机制和显示原理,对一级密封价格拍卖机制设计和二级密封价格拍卖机制设计进行了系统分析。
(4)对黑龙江省矿业权市场交易机制进行了系统的设计。通过基本假设、矿业权保留价格的设置,系统地设计了黑龙江省矿业权最优拍卖机制,并进行了市场配置效率分析。通过研究表明：在一级密封价格拍卖中,每个竞价企业都低报价格,但b*(u)随n的增加而增加,当n趋向无限大时,b*(u)趋于u,即竞价企业愈多,矿业权拍卖人得到的价格就愈高。故让更多的企业参加矿业权的竞价,既符合黑龙江省政府的利益,也符合矿业权拥有者的利益。在二级密封拍卖中,使矿业权竞价企业报价反映出他们心目中对矿业权的真实估价,如果说每个竞价企业的估价相同,则这种方法将矿业权以最高的价格卖出去,黑龙江省政府及矿业权拥有者将获得最大的拍卖价值,当不同矿业权竞标企业的估价不同,但相差不大时,黑龙江省政府及矿业权拥有者也会获得较大的拍卖价值。由于矿业权拍卖的经济环境不同,具体采取的拍卖方式也可能不同,但只要最优保留价设置合理,四种基本拍卖方式都是最优的矿业权交易机制。
(5)分析并构建了黑龙江省矿业权信息披露机制。矿业权的市场效率既表现为帕累托最优还表现为市场信息效率。按照黑龙江省矿产资源及矿业权自身特点,组建黑龙江省矿业权交易中心,起着提供一个区域矿业权交易平台的作用。在矿业权信息披露过程中,对内充分收集国土资源部及黑龙江省矿业权管理信息,对外充分收集国外矿业权市场管理信息,经过专家系统处理信息后,通过网络、报刊、派发等方式,定期对矿业投资商、涉矿上市公司、民营企业、金融机构等公开发布并披露黑龙江省矿业权交易信息。矿业权市场信息的及时、准确、标准的披露,实现矿业权流、资金流、信息流的统一对黑龙江省矿业权市场运行及其效率体现均具有十分重要的意义。
5、提出了黑龙江省矿业权市场运行的支撑体系。勘查是开成新矿业权的基础,建立政府调控与市场配置相结合的资源配置新机制是矿业权市场运行的有效保证,完善矿业权市场运行体系提高了市场各主体的积极性,而完善的信息管理体系为矿业权信息披露以及矿业管理是矿业权市场运行提供了有力的信息支撑。
(1)勘查是形成新矿业权的基础。按照“公益先行、基金衔接、商业跟进、掌控家底、保障发展”的思路,积极推进实施地质工作的“五大战略”体系,是形成黑龙江省矿业权的基础；大力发展商业性矿产勘查,才能较好的满足市场经济条件下对矿业权市场运行的需求。
(2)建立政府调控与市场配置相结合的资源配置新机制。在规划期内,进一步加强地质矿产勘查,严格控制新设矿业权投放数量,整合原有矿业权；同时充分发挥市场机制的作用,严格执行招标、拍卖和挂牌方式流转矿业权。只有通过市场调节和政府调控的双重作用,才能够完成符合各方利益的矿业权资源的最优配置。
(3)完善矿业权市场运行体系。完善矿业权市场运作中的技术规范和标准体系,修改黑龙江省矿业权市场交易规则,建立区域矿业权评估机制、矿业权市场交易机制,形成适合实际的矿业权市场运作中的技术规范和标准体系；规范矿业权市场体系各主体的地位,实行矿业权退出机制。
(4)完善信息管理体系。结合国家金土工程、矿业权统一配号建设要求,开展省级探矿权和省、市、县三级采矿权联网发证的部署工作、全国探矿权统一配号工作和全国采矿权统一配号试点工作,进一步完善矿业权数据统计功能,变数据分散为数据集中,变自主配号为统一配号,加强矿业权数据的统一管理；把配号系统与新组建的黑龙江省矿业权交易中心联网,建立并完善矿业权信息披露制度,使对外发布的信息规范透明、准确、及时,为矿业权市场运行及矿政管理提供有力的信息支撑。
论文的创新点主要集中表现在以下三个方面：
(1)详细统计了黑龙江省矿业权市场交易情况,初步绘制了黑龙江省矿业权分布图,并把矿业权的分布与矿产资源分布进行了叠加处理,结果表明成矿条件好、勘查程度较高的区域也是矿业权分布较集中、市场交易较活跃的地区。
(2)关联分析法和格兰杰检验表明,黑龙江省探矿权与采矿权之间,以及与矿业总产值之间的关联度均较低,对矿业总产值的贡献不大；采矿权的变化不影响探矿权,但探矿权的变化会部分地影响采矿权的变化。反映出矿业权市场化运行程度不高,探矿权与采矿权转换的通道不畅,矿业总产值的贡献主要来自于矿产资源的实体开发利用。
(3)综合运用资源产业经济学、博弈论和信息经济学的有关理论和方法,结合黑龙江省实际情况,通过基本假设、矿业权保留价格的设置,系统地设计了黑龙江省矿业权最优拍卖机制,并进行了市场配置效率分析；构建了黑龙江省矿业权信息披露机制,提出了相应的支撑体系。
Heilongjiang province is a mineral resources big province, mineral industry to Heilongjiang province district economy of development have count for much function, but mineral industry economy of development can not get away from the mining rights market a mechanism of control. The mining rights market circulate a mechanism is mineral already benefit hair process in, the mining rights each main factor of market is mutually contact, together produce result of process and its way. Main include the interaction of the mining rights market main factor inside the system of the mineral industry system, mineral industry. Among them, the mineral resources produce power system be with mineral industry power for rely on, rightness related mineral resources performance come out of property relation carry on valid of combination harmoniously adjust; The circulate of the mining rights market is various main factor interaction, and pass to explore mineral power and mine for minerals the power is in the market of flow to turn but the body appear. The mineral industry of several years power trade, first step formation whole province of the mining rights trade market, but along with economy of development, also appeared a series problem. How systematically summary these in the last years our country the mining rights market turn operation of experience, research establishment Heilongjiang province the mining rights having material form market, perfect it circulate mechanism, for Heilongjiang province mineral industry economy of can keep on development creation fair of environment, promote mineral resources source of money construction have to very heavily want meaning. Thesis fore person research result of foundation up, with modern main current economics, the economics theories of the resources industry is instruction, systematically comparison domestic and international the mining rights market circulate circumstance, investigate statistics Heilongjiang province characteristics and its the mining rights of the mineral resources market circulate of basic characteristic, investigate set up Heilongjiang province the mining rights market movement mechanism, put forward correspond of prop up system.
The main contents of the thesis is as follows:
1、Systematically analysis contrast domestic and international mineral industry system and its the mining rights market circulate circumstance. Research result enunciation, main mineral industry big country all have a clear in meaning mineral resources to produce power system, though manifestation dissimilarity, basically solved a mineral resources ownership ownership, with landholding power of relation and nation in the function in the administration management of the mineral resources. Because the market turn a degree dissimilarity, though the domestic and international the mining rights turn a way basic homology, be subjected to by that time, resources value, administration power etc. factor of influence, the mining rights flow the vivid for turn and it performance come out of function also dissimilarity. Among them, Canada, the United States, Mongolia, Russia, South Africa etc. the country of the mining rights market turn high degree, circulate compare norm; The mining rights our country the last few years flow to turn an amount and trade amount of money also at quick ascension, among them the exploitation rights amount and amount of money all highly in the explore righs, the mining rights trade turn circulate to the market of need degree continuously exaltation.
2、In detail investigate to statistics Heilongjiang province the mining rights present condition. The first step drew Heilongjiang province the mining rights distribute diagram, and distribute of the mining rights a circumstance to carry on to fold to add processing with mineral resources, result enunciation become mineral condition good, reconnoitre the degree higher district is also the mining rights distribute more concentration of region. Pass to Heilongjiang province the mining rights market circulate circumstance of research enunciation, Heilongjiang province2004-2011year, the mining rights turn to let a market not active, and because of reviewing approval of opposite after, statistics also not system; The mining rights offer for sale a market opposite active, among them with administration examination and approval is lord, recruit, clap, hang market and business less, just piecemeal appear, and explore rights trade of amount and amount of money be far small in the explore rights. In addition to2005, because of the mining rights management of periodic, cause other the age the mining rights trade of amount and amount of money be more steady. In the meantime, because of the mining rights having material form market and it circulate the mechanism built up, lack a mineral industry capitalization operation terrace and cause the mining rights market growth opposite after, appeared the mining rights and land right of the conflict, ground mineral reconnoitre new mechanism after, mineral industry establish of power, the market turn with the mining rights market management opposite after, the mining rights resources of excellent turn allocation hard realization.
3、Comprehensive usage connection analysis method and the Pairwise Granger Causality Tests. Result enunciation that Heilongjiang province the explore rights and the exploitation rights, and with mineral industry's connection of the total production value all lower, contribute mineral industry total production value not big; The exploitation rights of variety not influence explore rights, but explore a mineral industry the variety of the explore rights partly influence the exploitation rights of variety. Respond the mining rights market turn movement degree not high, the explore rights and the exploitation rights conversion of passage not Chang, the mineral industry contribute of total production value main entity development of come from the mineral resources make use of.
4、Comprehensive usage resources industry economics, Game theory and information economics of relevant theories, combine Heilongjiang province actual circumstance, system research Heilongjiang province the mining rights market circulate mechanism.
(1)Defines the mining rights market circulate the content of mechanism. The mining rights market circulate a mechanism is mineral already benefit hair process in, the mining rights each main factor of market is mutually contact, together produce result of process and its way. Main include the interaction of the mining rights market main factor inside the system of the mineral industry system, mineral industry. The circulate of the mining rights market is various main factor interaction, and pass to the explore rights and the exploitation rights is in the market of flow to turn but the body appear. Because of special of the mining rights, its market circulate a mechanism main from the mining rights foundation list price mechanism, the mining rights trade mechanism and the mining rights information disclose a mechanism constitute.
(2)Analysis and set up the foundation list price of the province mineral in Heilongjiang the mining rights a mechanism. The list price mechanism of the mining rights foundation be at the mining rights valuation standard system under the norm, mineral industry power valuation type, list price method, related parameter of the main factors such as choice and adjustment etc. are mutually contact, common function, assess with estimate the mining rights fair value of an opposite integrity of dynamic state of list price process, for the mining rights trade reserve in the mechanism design price really settle provide to according to a thing.
(3)System summary the market trade a mechanism design of foundation theories. The market trade a mechanism of design game structure design and game process analysis conduct and actions be a whole the problem of the derivation, substantially is "entrust-act for" model on sale or invite bids realm in of an application. Systematically summary international currently top familiar sale rule of characteristics, sale mechanism design of step, direct mechanism and manifestation principle, seal completely price sale mechanism to a class design with second class sealed completely price sale mechanism design to carry on system analysis.
(4)Design a trade mechanism for Heilongjiang the mining rights market on systemly. Pass basic assumption, the mining rights reserve price of constitution, systematically design Heilongjiang province the mining rights be superior sale mechanism, and carried on a market allocation efficiency analysis. Pass a research enunciation:In a class seal completely the price sale, the business enterprise all low offer space of each contend price, but b*(u)with n of increment but increment, be the n incline to infinite big, b*(u)tend at the u, namely contend price the business enterprise be many more, the mining rights auctioneer get of price more high. Past let more contend price that the business enterprise attend the mining rights, since benefits according to provincial government in Heilongjiang, also match the mining rights to own the benefits of.Make in second classly seal completely the sale the mining rights contend price business enterprise offer reflection their heart in to the mining rights of true quotation, if say each contend price business enterprise of quotation homology, this kind of method the mining rights with the tallest price sell go to, provincial government in Heilongjiang and the mining rights own will acquire biggest of sale value, be dissimilarity the mining rights bid business enterprise of quotation dissimilarity, but differ not big, provincial government in Heilongjiang and the mining rights own will also acquire bigger sale value. Because the mining rights sale of economy environment dissimilarity, concrete adopt of sale way also possibility dissimilarity, but only superior reserve price constitution reasonable, four kinds of basic sale the way be the all superior the mining rights bargain mechanism.
(5)Analysis and set up a province mineral in Heilongjiang the mining rights information to disclose a mechanism. The market efficiency of the mining rights since the performance is tired for Pa to give superior still the performance is a market information efficiency. According to province mineral resources in Heilongjiang and the mining rights oneself characteristics, the set set up province the mining rights in Heilongjiang bargain center and have already provided a district the mining rights bargain terrace of function. In the mining rights information disclose the process, rightness inside full collections department and Heilongjiang of the national territory resources province the mining rights management information, outward full collections abroad the mining rights market management information, through expert system processing information after, pass a network, newspapers and magazines, parties hair etc. way, periodical to mineral industry investment company, wade mineral listed company, private enterprise, financing institution etc. public release and disclose Heilongjiang province the mining rights trade information. The mining rights market information in time, accurate, disclose of standard, the realization the mining rights flow, the funds flow, the information flow of unify to Heilongjiang province the mining rights market circulate and its efficiency body now all have very importance of meaning.
5、Puts forward a support system of the mining rights in Heilongjiang province. Prospects is open new the mining rights of foundation, establishment the government adjust to control with market allocation combine together of resources allocation new the mechanism be the mining rights market circulate of valid assurance, perfect the mining rights market circulate system exaltation the aggressive of each corpus of market, but perfect information management the system disclose for the mining rights information and mineral industry management was the mining rights market circulate to provide an emollient information to prop up.
(1)Prospects is formation new mineral industry the foundation of the power. According to the way of thinking of public welfare in advance, the fund link up, the business follow, control a bottom, guarantee development, aggressive push forward five war slightly system that carry out geology's work, is formation the foundation of Heilongjiang province the mining rights; Strongly the development business mineral reconnoitre, then can be better of satisfy under the market economy condition to the mining rights market circulate of need.
(2)The establishment new mechanism of government to control with market allocation combine together of resources allocation. In the programming the period, further strengthen a geology mineral to Prospect, strict control new establish the mining rights to throw in an amount, integration original the mining rights. Full in the meantime exertive the function of market mechanism, strict the performance invite bids, sale and nominal quotation's way flow to turn the mining rights. Only regulate the dual function which adjust to control with government through a market, then can the completion the mining rights resources according to everyone's benefits of superior allocation.
(3)Perfects the mining rights market circulate system. Perfect technical specification within operation of the mining rights market and standard system, modification Heilongjiang province the mining rights market trade rule, establishment the mining rights in the district valuation mechanism, the mining rights market trade mechanism, formation in keeping with actual of the mining rights market operation medium of technical specification and standard system; The norm mining rights market the position of each corpus of system, practice the mining rights to withdraw a mechanism.
(4)Perfects the information management system. Combine nation gold soil engineering, the mining rights unify to go together with number construction request and open an exhibition province class to prospect rights and province, the city, county be x-rated coal-face power allied net hair certificate of deployment work, whole country explore mineral power to unify to go together with number work and whole country exploration rights unify to go together with number experimental unit work, further perfect the mining rights data statistics function, variable according to dispersion is data concentration, become independence go together with number in order to unify to go together with number, strengthen an unify of the mining rights data management; Go together with number system with new set Heilongjiang for set up province mineral industry power trade center allied net, establishment combine perfect the mining rights information disclose system, make to release outward of information norm, transparent, accurate, in time, is the mining rights market circulate and mineral government management provide an emollient information to prop up.
The three innovation point of thesis is as following:
(1)Detail statistics Heilongjiang province the mining rights market trade circumstance, first step drew Heilongjiang province the mining rights distribute diagram, and distribute of the mining rights to carry on to fold to add processing with mineral resources, result enunciation become mineral condition good, reconnoitre the degree higher district is also the mining rights distribute more concentration, market trade more active of region.
(2)Connection analysis method and the Pairwise Granger Causality Tests, Heilongjiang province exploitation rights and prospect rights, and with mineral industry's connection of the total production value all lower, to mineral industry total production value of contribute not big; exploitation rights variety not influence prospect rights, but prospect rights of variety partly influence exploitation rights of variety. Respond the mining rights market turn movement degree not high, province exploitation rights and prospect rights conversion of passage not Chang, the mineral industry contribute of total production value main entity development of come from the mineral resources make use of.
(3)Comprehensive usage resources industry economics, Game theory and information economics of relevant theories and method, combine Heilongjiang province actual circumstance, basic assumption, the mining rights price of constitution, it is designed systematically the superior sale mechanism of Heilongjiang province the mining rights, and carried on a market allocation efficiency analysis; Set up a province mineral in Heilongjiang industry power's information to disclose a mechanism, put forward to correspond of prop up system.
引文
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[31]梁涤坚等完善中国矿业权流转制度初探[J]法制与社会2008(3)：167-167
[32]李慧 吴琼探矿权人优先权制度的完善[J] 国土资源导刊2005(3)：54-55
[33]周进生,陈晨国内外矿业权比较及改进建议[J] 中国矿业2008(9)：9-11
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[46]陈义政刘刚等国外矿资产评估准则比较研究[J]资源与产业2009(3)：113-117
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