矿山土地复垦全生命周期监管体系及信息化研究
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摘要
我国是矿产资源大国，矿产资源开发对土地资源损毁十分严重。据测算截止2020年，我国矿产资源开采损毁待复垦土地可达8130.45万亩。由于土地复垦监管体系不健全、监管工作缺位，造成大量损毁土地未能及时复垦。研究如何构建完善高效率的矿山土地复垦监管体系，对推进我国土地复垦工作有着十分重要的理论价值与现实意义。
以监管效率为核心的监管体系研究，就是要寻求适合本国国情和行业特点的高效率监管制度安排。本论文在总结分析国内外土地复垦及相关行业监管体系研究现状的基础上，结合土地复垦业务特点与中国土地复垦监管阶段特征分析，从系统论和新公共管理的视角，融入全生命周期与过程管理的方法，运用分布式面向服务的B/S分层架构设计理念，以监管的体制、机制和高效的监管技术手段为切入点，将矿山土地复垦监管的技术性与管理性的有机结合。
主要研究成果如下：
（1）矿山土地复垦具有土地损毁类型多样、土地复垦区域性强、土地复垦周期长且技术流程复杂、土地复垦方向多样等特点，决定了矿山土地复垦监管具有周期长且具有阶段性、区域广且差异化显著、内容复杂需要较高的信息化支撑等特点。
（2）中国矿山土地复垦监管体系框架已基本形成，但仍然诸多问题。影响土地复垦监管实施效果的外部因素主要有法规政策的完备性、法治氛围和经济发达程度；影响土地复垦监管实施效果的内部因素主要是矿山企业和土地复垦监管工作人员的认知程度。
（3）运用系统论和新公共管理理论，设计矿山土地复垦监管体系框架与构成要素的具体内容。包括：监管规则（法律性监管规则、技术性监管规则）、监管目标（宏观、中观、微观）、监管主体与客体（纵向上五个层级，横向上应做好部门协同）、监管环节（分为规划、计划、实施、验收四个环节）、监管手段（行政审批、监督检查、信息报备、资金监管协议、行政处罚）等。
（4）运用全生命周期与过程管理的方法，研究矿山土地复垦全生命周期监管及信息化监管指标。基于矿山土地复垦监管规则，分规划、计划、实施、验收的全生命周期四个环节，细分对复垦方案、阶段计划、年度计划、年度报告、年度验收、阶段验收、总体验收监管的七个子环节，并研究每个子环节的信息化监管指标。
（5）运用分布式面向服务的B/S分层架构设计理念，设计矿山土地复垦监管信息系统。根据监管体系运行机制有关信息指标化的成果，对矿山土地复垦监管信息系统架构、功能、数据库、模型库进行设计，研发形成矿山土地复垦监管信息系统。
论文主要创新点体现在土地复垦监管有关概念与理论、矿山土地复垦监管环节与指标、多层级信息化监管平台等三个方面。
研究结果表明，要实现矿山土地复垦的高效监管，需从两方面入手：（1）从监管规则、监管目标、监管主体与客体、监管环节、监管手段等五个方面构建完善矿山土地复垦监管体系；（2）运用信息技术手段，是实施土地复垦监管的高效方式。
China is endowed with abundant mineral resources. However, serious damage toland has been caused by mineral resources exploitation. In addition, it is difficult toreclaim the land resourced due to the underdeveloped reclamationsupervision systemsin China. The area of unreclaimed land which were damaged by mining, are reachingto54203km2till2020. It is of great importance to develop land reclamationsupervision system for future development.
The supervision system study should be centered on supervisory efficiency, andit aims to seek efficient ways to develop supervisory regimes according to China'snational conditions and the characteristics ofrelevant industries. This paper was basedon the analysis of land reclamation and the current situation of related supervisionsystems, and combined with the characteristics of land reclamation and the phase ofland reclamation supervision system in China. It also integrate the perspectives fromsystems theory, new public management theory, full life-cycle theory, processmanagement theory, the philosophy of layered architecture designing on distributedservice-oriented B/S. In addition, this study takes the regulatory system and anefficient regulatory mechanism and technical means as the starting point, whichcombine technicality with managability of land reclamation supervision.
The main findings are listed as follows:
(1) Land reclamation has lot of characteristics, such as diverse destroyed land,intense regional, long cycle with complex techniques, various direction of landreclamation and so on. These determined that mine land reclamation supervisionsystem should have characteristics such as long period with different stages, wide areawith significant difference, high complexity, high informatization and so on.
(2) China mine land reclamation supervision system has been basically formedbut there are still many problems. External factors that affect the implementation ofland reclamation supervision effects, mainly include completeness policies, t lawenvironment and the degree of economic development. Internal factors affecting theimplementation of land reclamation supervision effects, mainly is as a result of awareness of enterprises and mine land reclamation supervisory personnel.
(3) Using systems theory and new public management theory define elements ofsupervision system for mine land reclamation. Main elements of land reclamationsupervisory systeminclude rules (legal system, technical system), aims (from micro tomacro targets), subject and object of supervision (five vertical levels, andcollaborative management at the same department level), supervisory process(scheme,plan, implementation and acceptance), methods(administrative approval, supervisionand inspection, information report, funds supervision agreement, administrativepenalties).
（4）Using full life-cycle theory and process management theory, defineoperation mechanism and control indicators of mine land reclamation supervision.Based on the rules of land reclamation supervision, this process is conducted by foursteps in a full life-cycle from scheme and plan, to implementation and acceptance.Descriptions of aims and main contents are provided for each step, as well as theinteractions between supervisory authorities and mining enterprises (such as processesand methods of supervision), and indices of the efficiency supervision information areformed.
(5) Using the philosophy of layered architecture designing on distributedservice-oriented B/S, define mine land reclamation supervision information system.According to information on the outcome of the operation mechanism indicators, themodel of system architecture, functionality and database are designed, and mine landreclamation supervision information system is developed.
The main findings of this study is that:(1) the supervision should stress the rolesof establishing rules and targets, the interaction of authorities and mining enterprises,processes and methods of supervision.(2) Employment of information technologies isan effective way to reclaim land resources.
以监管效率为核心的监管体系研究，就是要寻求适合本国国情和行业特点的高效率监管制度安排。本论文在总结分析国内外土地复垦及相关行业监管体系研究现状的基础上，结合土地复垦业务特点与中国土地复垦监管阶段特征分析，从系统论和新公共管理的视角，融入全生命周期与过程管理的方法，运用分布式面向服务的B/S分层架构设计理念，以监管的体制、机制和高效的监管技术手段为切入点，将矿山土地复垦监管的技术性与管理性的有机结合。
主要研究成果如下：
（1）矿山土地复垦具有土地损毁类型多样、土地复垦区域性强、土地复垦周期长且技术流程复杂、土地复垦方向多样等特点，决定了矿山土地复垦监管具有周期长且具有阶段性、区域广且差异化显著、内容复杂需要较高的信息化支撑等特点。
（2）中国矿山土地复垦监管体系框架已基本形成，但仍然诸多问题。影响土地复垦监管实施效果的外部因素主要有法规政策的完备性、法治氛围和经济发达程度；影响土地复垦监管实施效果的内部因素主要是矿山企业和土地复垦监管工作人员的认知程度。
（3）运用系统论和新公共管理理论，设计矿山土地复垦监管体系框架与构成要素的具体内容。包括：监管规则（法律性监管规则、技术性监管规则）、监管目标（宏观、中观、微观）、监管主体与客体（纵向上五个层级，横向上应做好部门协同）、监管环节（分为规划、计划、实施、验收四个环节）、监管手段（行政审批、监督检查、信息报备、资金监管协议、行政处罚）等。
（4）运用全生命周期与过程管理的方法，研究矿山土地复垦全生命周期监管及信息化监管指标。基于矿山土地复垦监管规则，分规划、计划、实施、验收的全生命周期四个环节，细分对复垦方案、阶段计划、年度计划、年度报告、年度验收、阶段验收、总体验收监管的七个子环节，并研究每个子环节的信息化监管指标。
（5）运用分布式面向服务的B/S分层架构设计理念，设计矿山土地复垦监管信息系统。根据监管体系运行机制有关信息指标化的成果，对矿山土地复垦监管信息系统架构、功能、数据库、模型库进行设计，研发形成矿山土地复垦监管信息系统。
论文主要创新点体现在土地复垦监管有关概念与理论、矿山土地复垦监管环节与指标、多层级信息化监管平台等三个方面。
研究结果表明，要实现矿山土地复垦的高效监管，需从两方面入手：（1）从监管规则、监管目标、监管主体与客体、监管环节、监管手段等五个方面构建完善矿山土地复垦监管体系；（2）运用信息技术手段，是实施土地复垦监管的高效方式。
China is endowed with abundant mineral resources. However, serious damage toland has been caused by mineral resources exploitation. In addition, it is difficult toreclaim the land resourced due to the underdeveloped reclamationsupervision systemsin China. The area of unreclaimed land which were damaged by mining, are reachingto54203km2till2020. It is of great importance to develop land reclamationsupervision system for future development.
The supervision system study should be centered on supervisory efficiency, andit aims to seek efficient ways to develop supervisory regimes according to China'snational conditions and the characteristics ofrelevant industries. This paper was basedon the analysis of land reclamation and the current situation of related supervisionsystems, and combined with the characteristics of land reclamation and the phase ofland reclamation supervision system in China. It also integrate the perspectives fromsystems theory, new public management theory, full life-cycle theory, processmanagement theory, the philosophy of layered architecture designing on distributedservice-oriented B/S. In addition, this study takes the regulatory system and anefficient regulatory mechanism and technical means as the starting point, whichcombine technicality with managability of land reclamation supervision.
The main findings are listed as follows:
(1) Land reclamation has lot of characteristics, such as diverse destroyed land,intense regional, long cycle with complex techniques, various direction of landreclamation and so on. These determined that mine land reclamation supervisionsystem should have characteristics such as long period with different stages, wide areawith significant difference, high complexity, high informatization and so on.
(2) China mine land reclamation supervision system has been basically formedbut there are still many problems. External factors that affect the implementation ofland reclamation supervision effects, mainly include completeness policies, t lawenvironment and the degree of economic development. Internal factors affecting theimplementation of land reclamation supervision effects, mainly is as a result of awareness of enterprises and mine land reclamation supervisory personnel.
(3) Using systems theory and new public management theory define elements ofsupervision system for mine land reclamation. Main elements of land reclamationsupervisory systeminclude rules (legal system, technical system), aims (from micro tomacro targets), subject and object of supervision (five vertical levels, andcollaborative management at the same department level), supervisory process(scheme,plan, implementation and acceptance), methods(administrative approval, supervisionand inspection, information report, funds supervision agreement, administrativepenalties).
（4）Using full life-cycle theory and process management theory, defineoperation mechanism and control indicators of mine land reclamation supervision.Based on the rules of land reclamation supervision, this process is conducted by foursteps in a full life-cycle from scheme and plan, to implementation and acceptance.Descriptions of aims and main contents are provided for each step, as well as theinteractions between supervisory authorities and mining enterprises (such as processesand methods of supervision), and indices of the efficiency supervision information areformed.
(5) Using the philosophy of layered architecture designing on distributedservice-oriented B/S, define mine land reclamation supervision information system.According to information on the outcome of the operation mechanism indicators, themodel of system architecture, functionality and database are designed, and mine landreclamation supervision information system is developed.
The main findings of this study is that:(1) the supervision should stress the rolesof establishing rules and targets, the interaction of authorities and mining enterprises,processes and methods of supervision.(2) Employment of information technologies isan effective way to reclaim land resources.
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