矿产资源产权交易市场法律问题研究
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摘要
矿产资源既是重要的生产、生活资料,又在国家战略安全、国民经济命脉中占据重要地位。长期以来,我国实行的是矿产资源“无偿取得”制度,矿产资源依照行政权力方式配置,自然没有矿产资源产权交易市场存在的前提。1986年《中华人民共和国矿产资源法》的颁布,结束了矿产资源无偿开采的历史,开始征收资源补偿费,但仍然禁止矿产资源交易。1996年修改后的《中华人民共和国矿产资源法》确立了探矿权、采矿权有偿取得的制度,使有偿取得的制度更加完善,我国的矿产资源产权交易市场逐步开始建立。建立矿产资源产权交易市场是我国改变行政配置的作用领域,还原市场作用空间的重要举措。目前,该市场尚处于初步发展阶段,市场机制虽已逐步在发挥作用,但是,其中存在的问题仍需引起人们的足够重视。在探究解决方式的讨论中,充分发挥法律的约束力成为建立市场的关注焦点,也构成本文论述的内容。
本文采用了实证分析、比较分析、社会法学分析、经济法学分析等方法,由矿产资源的概念、属性,产权交易市场的定义入手,概括归纳出了矿产资源产权交易市场的概念和特征,为后续论述奠定了理论基础。本文共分四个部分。分别概述如下:
在第一部分矿产资源产权交易市场的现状分析中,笔者首先集中介绍了我国矿产资源产权交易市场的现状,指出该市场由一级市场和二级市场组成。其次,本文指出了矿产资源产权交易市场现存的问题,表现为:权属错位;权利运作违背市场规律;权力行使违背职责要求和税费设置不合理。
第二部分是对第一部分中提到问题的原因分析。笔者认为,导致上述问题产生的原因有:理论原因包括资源无价论和“产权绝对论”,实践原因包括市场机制不健全即中介机构缺位,交易方式种类不全和交易规则不科学与政府职能厘定不清即所有者权能的“错位”,管理者职能的“越位”和监督者职能的“缺位”。除此之外,法律体系不健全也是原因之一。
第三部分是关于美国和澳大利亚矿产资源产权交易市场的考察。本文在介绍两国矿产资源产权交易市场的基础上,归纳概括了其中值得我国借鉴的方面,希望有助于指导实践。
第四部分是本文论述的重点。在这部分本文以法律为视角,从民法、经济法和行政法三个部门法出发,论述了解决矿产资源产权交易市场存在问题的对策。首先,民法作用于矿产资源产权交易市场体现在三个方面:矿产资源产权的合理安排,委托代理关系的运用与相邻关系理论的运用。其次,经济法作用于矿产资源产权交易市场表现在三个方面:经济法主体理论的运用,市场规制法的运用与宏观调控法的运用。最后,行政法作用于矿产资源产权交易市场表现在三个方面:行政法基础理论的运用,科学设置矿产资源产权交易市场中的行政许可事项和严格矿业安全生产监督,确保矿产品的充足供应。
The mineral resource is not only the important material of production and life but also occupies the important position in country strategy safety, lifelines of the national economy. For a long time, the implementation of the mineral resources is "to free" system ,and the configuration mode of mineral resources in accordance with the administrative power in China, does not have the existence premise of the property right trade market of mineral resources naturally. In 1986 "People's Republic of China Mineral Resource Law" promulgated by the end of the exploitation of mineral resources free of history, imposed resources compensation, but still prohibited mineral resources transaction. After the "People's Republic of China Mineral Resources Law" was amended in 1996, it has established the prospecting and mining rights to the compensation system so that the payment system more complete, the property right trade market of mineral resources gradually started to build. It is that the establishment of the property right trade market of mineral resources is a very important action that changes the function field that the administration disposes to, and returns to original state market mechanism space in China. At present, the market is still in the preliminary stage of development, although the market mechanism plays a role in gradually, but the problems which still exist for adequate attention. In discussion of the solution ways, displays the binding force of law have becomes the focus of attention in the establishment of the market, also constitutes the content which this article elaborates.
This article has adopted the method of empirical analysis, comparative analysis, social law analysis, economical law analysis, and started with the concept, attribute of the mineral resources, the definition of the trade market of the property right, and summarizes the concept and characteristic of the property right trade market of mineral resources, and has laid a theoretical basis for the following elaboration. This article is divided four parts and is summarized as follows:
In the first part of the analysis of present situation of the property right trade market of mineral resources, the author have concentrated on introducing the current situation of the property right trade market of mineral resources, and pointed out this market is composed of the primary market and the secondary market. Secondly, this article has pointed out the problems exist in the property right trade market of mineral resources, that is: the property right is misplace; the function of right is violate to the rule of market; the perform of power is violate to the demand of responsibility and taxes and fees of mineral resources are set unreasonable.
The second part is the major reason the questions which are mentioned in the first part. The author think that the reasons which cause the above questions produce to include: the theory reason includes that the priceless theory of resource and "the absolute theory property right"; the practice reason includes that the market mechanism is not perfect that is to say there is a vacancy of the intermediary agency, types of trading transactions are incomplete and rules of trading transactions are unscientific, the function of government cannot be determined clearly, that is the power of owner is "misplace", the function of manager is "offside" and the function of supervisor is "vacancy". In addition, it is one of the reasons that the legal system is imperfect.
The third part is the investigation about the property right trade market of mineral resources in America and Australia. This article is on the basis of the outline of the property right trade market of mineral resources in the two countries, and summarizes worth respects that our country should draw lessons from them, the author hope that it is helpful in the instruction in practice.
The fourth part is the key point which this article elaborates. In this part, this article elaborates the solution of existence problems in the property right trade market of mineral resources with the law as the perspective from the civil law, economic law and administrative law of the three departments. First of all, the civil law acts on the property right trade market of mineral resources to reflect in three aspects: the rational arrangement of the property right of mineral resources, the utilization of the principal-agent relates and the application of the neighboring relations theories. Secondly, the role of economic law on the property right trade market of mineral resources is in three aspects: application of the subject theory of the economic law, the utilization of market regulation law and macro-control law. Finally, the role of administrative law in the property right trade market of mineral resources is in three aspects: the application of the basic theory of the administrative law, to establish scientifically the administrative permission item in the property right trade market of mineral resources, and to administrative safe production supervision strictly in mining to ensure the adequate supply of minerals.
本文采用了实证分析、比较分析、社会法学分析、经济法学分析等方法,由矿产资源的概念、属性,产权交易市场的定义入手,概括归纳出了矿产资源产权交易市场的概念和特征,为后续论述奠定了理论基础。本文共分四个部分。分别概述如下:
在第一部分矿产资源产权交易市场的现状分析中,笔者首先集中介绍了我国矿产资源产权交易市场的现状,指出该市场由一级市场和二级市场组成。其次,本文指出了矿产资源产权交易市场现存的问题,表现为:权属错位;权利运作违背市场规律;权力行使违背职责要求和税费设置不合理。
第二部分是对第一部分中提到问题的原因分析。笔者认为,导致上述问题产生的原因有:理论原因包括资源无价论和“产权绝对论”,实践原因包括市场机制不健全即中介机构缺位,交易方式种类不全和交易规则不科学与政府职能厘定不清即所有者权能的“错位”,管理者职能的“越位”和监督者职能的“缺位”。除此之外,法律体系不健全也是原因之一。
第三部分是关于美国和澳大利亚矿产资源产权交易市场的考察。本文在介绍两国矿产资源产权交易市场的基础上,归纳概括了其中值得我国借鉴的方面,希望有助于指导实践。
第四部分是本文论述的重点。在这部分本文以法律为视角,从民法、经济法和行政法三个部门法出发,论述了解决矿产资源产权交易市场存在问题的对策。首先,民法作用于矿产资源产权交易市场体现在三个方面:矿产资源产权的合理安排,委托代理关系的运用与相邻关系理论的运用。其次,经济法作用于矿产资源产权交易市场表现在三个方面:经济法主体理论的运用,市场规制法的运用与宏观调控法的运用。最后,行政法作用于矿产资源产权交易市场表现在三个方面:行政法基础理论的运用,科学设置矿产资源产权交易市场中的行政许可事项和严格矿业安全生产监督,确保矿产品的充足供应。
The mineral resource is not only the important material of production and life but also occupies the important position in country strategy safety, lifelines of the national economy. For a long time, the implementation of the mineral resources is "to free" system ,and the configuration mode of mineral resources in accordance with the administrative power in China, does not have the existence premise of the property right trade market of mineral resources naturally. In 1986 "People's Republic of China Mineral Resource Law" promulgated by the end of the exploitation of mineral resources free of history, imposed resources compensation, but still prohibited mineral resources transaction. After the "People's Republic of China Mineral Resources Law" was amended in 1996, it has established the prospecting and mining rights to the compensation system so that the payment system more complete, the property right trade market of mineral resources gradually started to build. It is that the establishment of the property right trade market of mineral resources is a very important action that changes the function field that the administration disposes to, and returns to original state market mechanism space in China. At present, the market is still in the preliminary stage of development, although the market mechanism plays a role in gradually, but the problems which still exist for adequate attention. In discussion of the solution ways, displays the binding force of law have becomes the focus of attention in the establishment of the market, also constitutes the content which this article elaborates.
This article has adopted the method of empirical analysis, comparative analysis, social law analysis, economical law analysis, and started with the concept, attribute of the mineral resources, the definition of the trade market of the property right, and summarizes the concept and characteristic of the property right trade market of mineral resources, and has laid a theoretical basis for the following elaboration. This article is divided four parts and is summarized as follows:
In the first part of the analysis of present situation of the property right trade market of mineral resources, the author have concentrated on introducing the current situation of the property right trade market of mineral resources, and pointed out this market is composed of the primary market and the secondary market. Secondly, this article has pointed out the problems exist in the property right trade market of mineral resources, that is: the property right is misplace; the function of right is violate to the rule of market; the perform of power is violate to the demand of responsibility and taxes and fees of mineral resources are set unreasonable.
The second part is the major reason the questions which are mentioned in the first part. The author think that the reasons which cause the above questions produce to include: the theory reason includes that the priceless theory of resource and "the absolute theory property right"; the practice reason includes that the market mechanism is not perfect that is to say there is a vacancy of the intermediary agency, types of trading transactions are incomplete and rules of trading transactions are unscientific, the function of government cannot be determined clearly, that is the power of owner is "misplace", the function of manager is "offside" and the function of supervisor is "vacancy". In addition, it is one of the reasons that the legal system is imperfect.
The third part is the investigation about the property right trade market of mineral resources in America and Australia. This article is on the basis of the outline of the property right trade market of mineral resources in the two countries, and summarizes worth respects that our country should draw lessons from them, the author hope that it is helpful in the instruction in practice.
The fourth part is the key point which this article elaborates. In this part, this article elaborates the solution of existence problems in the property right trade market of mineral resources with the law as the perspective from the civil law, economic law and administrative law of the three departments. First of all, the civil law acts on the property right trade market of mineral resources to reflect in three aspects: the rational arrangement of the property right of mineral resources, the utilization of the principal-agent relates and the application of the neighboring relations theories. Secondly, the role of economic law on the property right trade market of mineral resources is in three aspects: application of the subject theory of the economic law, the utilization of market regulation law and macro-control law. Finally, the role of administrative law in the property right trade market of mineral resources is in three aspects: the application of the basic theory of the administrative law, to establish scientifically the administrative permission item in the property right trade market of mineral resources, and to administrative safe production supervision strictly in mining to ensure the adequate supply of minerals.
引文
[1]席良民.论矿产资源法律制度的完善[J].生产力研究,2002(4):19
[2]徐洪才.中国产权交易市场研究[M].北京:中国金融出版社,2006.
[3]龙玉德.积极培育和完善矿业权市场[J].有色金属(矿山部分),2006,(1):2
[4]刘思思.浅议我国的矿业权市场[J].http://www.riel.whu.edu.cn
[5]邹文 邹德.“官煤勾结”腐败比煤炭还黑[J].内蒙古煤炭经济,2006,(3):113
[6]董宏君.官煤勾结的五种形式[J].人民日报,2005.11.2(10)
[7]高兵 王丽艳.矿产资源的税费制度初探[J].资源与产业,2006,(3)107-108
[8]黄金平.水权流转理论初探[J].http://goldwell.bokee.com
[9]康纪田.对矿产资源流失与浪费的综合诊治[J].中国矿业,2006,(9):15
[10]高志敏 王良健.我国矿产资源开发利用与资产化改革思路[J].中国矿业,2007(2):17
[11]李慧 袭燕燕.中国矿业权市场中政府的基本定位[J].国土资源,2003(5):25
[12]王继军.市场规制法研究[M].北京:中国社会科学出版社、人民法院出版社,2005.
[13]赵赣 眭江陵.浅议矿业权市场[J].江西地质,2000,(3):231-236转引自:李树春.矿业权市场理论研究.中国知网.中国优秀硕士学位论文全文数据库,15
[14]Hornery,Andrew.Pumping for business in new markets[J].Australian Mining.1993,(7):11转引自:李树春.矿业权市场理论研究.中国知网.中国优秀硕士学位论文全文数据库,15
[15]李显冬.矿产资源国家所有权的法律内涵[J].http://gtzy.cupl.edu.cn
[16]崔建远.准物权法研究[M].北京:法律出版社,2003.
[17]李显冬主编.中国矿业立法研究[M].北京:中国人民公安大学出版社,2006.
[18][日]我妻荣 丰岛升.矿业法[M].有斐阁,1958.转引自崔建远.准物权法研究[M].北京:法律出版社,2003.24.145
[19]江平主编.中国矿业权法律制度研究[M].北京:中国政法大学出版社,1991.转引自:李显冬主编.中国矿业立法研究[M].北京:中国人民公安大学出版社,2006.71-72
[20]魏振瀛主编.民法[M].北京:北京大学出版社 高等教育出版社,2002.
[21]孙涵 罗辉 杨萌.我国矿产资源管理中的委托代理问题研究[J].理论与实践—理论月刊,2006,(2):98-100
[22]傅英等.矿产资源法修订理论研究与制度设计[M].北京:中国大地出版社,2006.
[23]王继军 董玉明.经济法[M].北京:法律出版社,2006.
[24][美]查尔斯·沃尔夫.市场或政府—权衡两种不完善的选择/兰德公司的一项研究[M].谢旭译,北京:中国发展出版社,1994.转引自王全兴.经济法基础理论专题研究[M].北京:中国检察出版社,2003.502
[25]王全兴.经济法基础理论专题研究[M].北京:中国检察出版社,2003.
[26]刘定华 肖海军等.宏观调控法律制度研究[M].北京:人民法院出版社,2002.
[27]杨紫烜主编.经济法[M].北京:北京大学出版社 高等教育出版社,2003.
[28]王广成.中国资源税费理论与实践[J].中国煤炭经济学院学报,2002,(2):104-105
[29]姜起民 张献勇.行政法理论基础对官煤勾结的透视[J].煤矿安全,2007,(1):59-60
[30]徐占成 彭云业主编.煤矿安全监察行政执法理论与实践[M].北京:中国法制出版社,2003.
[2]徐洪才.中国产权交易市场研究[M].北京:中国金融出版社,2006.
[3]龙玉德.积极培育和完善矿业权市场[J].有色金属(矿山部分),2006,(1):2
[4]刘思思.浅议我国的矿业权市场[J].http://www.riel.whu.edu.cn
[5]邹文 邹德.“官煤勾结”腐败比煤炭还黑[J].内蒙古煤炭经济,2006,(3):113
[6]董宏君.官煤勾结的五种形式[J].人民日报,2005.11.2(10)
[7]高兵 王丽艳.矿产资源的税费制度初探[J].资源与产业,2006,(3)107-108
[8]黄金平.水权流转理论初探[J].http://goldwell.bokee.com
[9]康纪田.对矿产资源流失与浪费的综合诊治[J].中国矿业,2006,(9):15
[10]高志敏 王良健.我国矿产资源开发利用与资产化改革思路[J].中国矿业,2007(2):17
[11]李慧 袭燕燕.中国矿业权市场中政府的基本定位[J].国土资源,2003(5):25
[12]王继军.市场规制法研究[M].北京:中国社会科学出版社、人民法院出版社,2005.
[13]赵赣 眭江陵.浅议矿业权市场[J].江西地质,2000,(3):231-236转引自:李树春.矿业权市场理论研究.中国知网.中国优秀硕士学位论文全文数据库,15
[14]Hornery,Andrew.Pumping for business in new markets[J].Australian Mining.1993,(7):11转引自:李树春.矿业权市场理论研究.中国知网.中国优秀硕士学位论文全文数据库,15
[15]李显冬.矿产资源国家所有权的法律内涵[J].http://gtzy.cupl.edu.cn
[16]崔建远.准物权法研究[M].北京:法律出版社,2003.
[17]李显冬主编.中国矿业立法研究[M].北京:中国人民公安大学出版社,2006.
[18][日]我妻荣 丰岛升.矿业法[M].有斐阁,1958.转引自崔建远.准物权法研究[M].北京:法律出版社,2003.24.145
[19]江平主编.中国矿业权法律制度研究[M].北京:中国政法大学出版社,1991.转引自:李显冬主编.中国矿业立法研究[M].北京:中国人民公安大学出版社,2006.71-72
[20]魏振瀛主编.民法[M].北京:北京大学出版社 高等教育出版社,2002.
[21]孙涵 罗辉 杨萌.我国矿产资源管理中的委托代理问题研究[J].理论与实践—理论月刊,2006,(2):98-100
[22]傅英等.矿产资源法修订理论研究与制度设计[M].北京:中国大地出版社,2006.
[23]王继军 董玉明.经济法[M].北京:法律出版社,2006.
[24][美]查尔斯·沃尔夫.市场或政府—权衡两种不完善的选择/兰德公司的一项研究[M].谢旭译,北京:中国发展出版社,1994.转引自王全兴.经济法基础理论专题研究[M].北京:中国检察出版社,2003.502
[25]王全兴.经济法基础理论专题研究[M].北京:中国检察出版社,2003.
[26]刘定华 肖海军等.宏观调控法律制度研究[M].北京:人民法院出版社,2002.
[27]杨紫烜主编.经济法[M].北京:北京大学出版社 高等教育出版社,2003.
[28]王广成.中国资源税费理论与实践[J].中国煤炭经济学院学报,2002,(2):104-105
[29]姜起民 张献勇.行政法理论基础对官煤勾结的透视[J].煤矿安全,2007,(1):59-60
[30]徐占成 彭云业主编.煤矿安全监察行政执法理论与实践[M].北京:中国法制出版社,2003.