本文關(guān)鍵詞： 生態(tài)脆弱區(qū) 礦業(yè) EEES 耦合協(xié)同　出處：《中國地質(zhì)大學(xué)》2014年博士論文　論文類型：學(xué)位論文

【摘要】：中國改革開放30年間,經(jīng)濟社會發(fā)生了翻天覆地地變化,然而工業(yè)化的快速發(fā)展給了經(jīng)濟、社會和生態(tài)環(huán)境帶來了巨大挑戰(zhàn)。目前,中國成為世界上最大的“制造工廠”。隨著改革開放進(jìn)程的不斷加快,我國經(jīng)濟得到迅猛發(fā)展。據(jù)統(tǒng)計,從1978年-2004年期間,我國的工業(yè)增加值增速保持在11.5%左右,高于同期我國GDP2個百分點。中國在2008年就成為鋼鐵、煤炭、水泥、化肥以及電視機等行業(yè)的頭號輸出國。 從工業(yè)革命以來,礦業(yè)一直作為國家或地區(qū)經(jīng)濟發(fā)展的重要引擎。充分的證據(jù)表明,采用現(xiàn)代礦業(yè)立法和提供有利環(huán)境的國家能夠吸引礦業(yè)勘探和生產(chǎn)投資。這反過來又有助于增加國家和地區(qū)稅收、出口收入、就業(yè)機會,有利于基礎(chǔ)設(shè)施建設(shè)以及東道國技術(shù)引進(jìn)。2012年我國石油勘查新增探明儲量15億噸,天然氣9610億立方米,煤炭616億噸、鐵礦40億噸、銅礦431萬噸、金礦917噸、鉀鹽1461噸。新增大中型礦產(chǎn)地共119處,其中大型礦產(chǎn)地23處,中型礦產(chǎn)地96處,主要分布在新疆、云南、山西、內(nèi)蒙古、河南、山東、貴州和吉林等省區(qū)。主要礦產(chǎn)品產(chǎn)量持續(xù)增加,國內(nèi)供應(yīng)能力不斷增強。煤炭、粗鋼、水泥等礦產(chǎn)品產(chǎn)量穩(wěn)居世界首位。2012年,全國一次性能源產(chǎn)量為33.2億噸標(biāo)準(zhǔn)煤。然而,在礦產(chǎn)資源開采為發(fā)展中國家經(jīng)濟發(fā)展提供相當(dāng)大機會的同時,有風(fēng)險或不合理的采礦業(yè)務(wù)可能導(dǎo)致當(dāng)?shù)亟?jīng)濟社會畸形發(fā)展,造成環(huán)境破壞。特別是在生態(tài)脆弱地區(qū),礦產(chǎn)資源不合理開發(fā)利用對當(dāng)?shù)亟?jīng)濟社會和生態(tài)環(huán)境破壞更為嚴(yán)重。 生態(tài)脆弱區(qū)作為生態(tài)問題突出、經(jīng)濟相對落后、人民生活貧困的問題重疊區(qū)域,依照傳統(tǒng)模式繼續(xù)發(fā)展,其礦業(yè)發(fā)展極有可能陷入礦業(yè)發(fā)展越快→生態(tài)環(huán)境問題越多→生態(tài)環(huán)境失衡→礦業(yè)發(fā)展停滯的惡性狀態(tài)。然而,矛盾不是必然的,耦合協(xié)同作為一種哲學(xué)的、系統(tǒng)的思想,伴隨著整個發(fā)展過程,論文研究生態(tài)脆弱區(qū)礦業(yè)生態(tài)、環(huán)境、經(jīng)濟與社會間的正向耦合與協(xié)同,力圖打破彼此割裂的局面,尋求生態(tài)利益、環(huán)境利益、經(jīng)濟利益的統(tǒng) 一,為礦業(yè)全面、持續(xù)發(fā)展提供參考。本文融合運用了區(qū)域經(jīng)濟學(xué)、環(huán)境經(jīng)濟學(xué)、礦業(yè)經(jīng)濟學(xué)、資源經(jīng)濟學(xué)、生態(tài)經(jīng)濟學(xué)、制度經(jīng)濟學(xué)、可持續(xù)發(fā)展理論、政策學(xué)、地理科學(xué)、系統(tǒng)科學(xué)等相關(guān)理論,貫穿了系統(tǒng)分層的思路,采用定性分析與定量研究相結(jié)合、實證研究與規(guī)范研究相結(jié)合、縱向比較與橫向比較相結(jié)合的基礎(chǔ)上完成,論文主要內(nèi)容如下： 第一,在閱讀了學(xué)術(shù)界眾多專家學(xué)者的相關(guān)學(xué)術(shù)成果之后,對耦合協(xié)同關(guān)系認(rèn)識、耦合協(xié)同量化研究和耦合協(xié)同機理分析等相關(guān)研究成果進(jìn)行了梳理。本文從認(rèn)識論、耦合觀、方法論研究等三個層面對生態(tài)脆弱區(qū)礦業(yè)生態(tài)環(huán)境與經(jīng)濟社會耦合協(xié)同發(fā)展的相關(guān)研究進(jìn)行綜述與評價。認(rèn)識論上經(jīng)歷了傳統(tǒng)的財富追求觀、悲觀的零增長論、樂觀的經(jīng)濟發(fā)展論直到辯證耦合協(xié)調(diào)觀的形成；耦合觀層面生態(tài)化理念已滲透到經(jīng)濟、管理、社會系統(tǒng)的方方面面,生態(tài)系統(tǒng)與經(jīng)濟系統(tǒng)耦合產(chǎn)生了零資源經(jīng)濟、排泄資源經(jīng)濟、環(huán)境經(jīng)濟、循環(huán)經(jīng)濟、綠色經(jīng)濟、生態(tài)經(jīng)濟、低碳經(jīng)濟和碳匯經(jīng)濟等新理念；生態(tài)系統(tǒng)與管理系統(tǒng)耦合產(chǎn)生了生態(tài)型領(lǐng)導(dǎo)、生態(tài)管理、生態(tài)型服務(wù)、生態(tài)供應(yīng)鏈及生態(tài)型設(shè)計等理念；生態(tài)系統(tǒng)與社會系統(tǒng)耦合在執(zhí)行層面產(chǎn)生了生態(tài)型政府、生態(tài)型企業(yè)、生態(tài)型社區(qū)、生態(tài)型城市、生態(tài)省、生態(tài)功能區(qū)等實施方案；生態(tài)系統(tǒng)與社會系統(tǒng)耦合在具體操作層面產(chǎn)生了清潔生產(chǎn)、生態(tài)型生產(chǎn)、環(huán)境經(jīng)營、生態(tài)產(chǎn)業(yè)等做法；方法論上將國內(nèi)外生態(tài)環(huán)境與經(jīng)濟社會評價方法分為基于指數(shù)綜合加成、基于功效系數(shù)、基于變異和距離、基于動態(tài)變化、基于模糊理論、基于灰色理論、基于DEA模型、系統(tǒng)演化及系統(tǒng)動力學(xué)理論的耦合協(xié)調(diào)度測量；最后,對國內(nèi)外研究成果進(jìn)行了述評,認(rèn)為國內(nèi)外研究中存在構(gòu)成論研究多,生成論研究少；概念界定不一,研究方法重疊；理論成果難與實踐對接等問題。 第二,綜合國內(nèi)外學(xué)者研究,生態(tài)脆弱區(qū)劃大致可以分為兩大生態(tài)脆弱區(qū)、六大生態(tài)脆弱區(qū)、七大生態(tài)脆弱區(qū)和八大生態(tài)脆弱區(qū)。本章在東部、中部和西部地域區(qū)劃基礎(chǔ)上,將生態(tài)脆弱區(qū)劃分為東部生態(tài)脆弱區(qū)、中部生態(tài)脆弱區(qū)、西部生態(tài)脆弱區(qū),并從每個生態(tài)脆弱區(qū)中挑選兩個省份進(jìn)行典型生態(tài)脆弱區(qū)礦業(yè)發(fā)展現(xiàn)狀分析。 第三,基于生態(tài)脆弱區(qū)礦業(yè)發(fā)展主要利益相關(guān)者：政府、社區(qū)和礦業(yè)企業(yè)視角,構(gòu)建三方動態(tài)博弈模型,采用逆推歸納法,得出生態(tài)脆弱區(qū)礦業(yè)發(fā)展與生態(tài)環(huán)境系統(tǒng)相容三方混合策略納什均衡博弈結(jié)果。 第四,選擇DEA模型,結(jié)合模糊數(shù)學(xué)理論,實證研究了青海省EEES耦合系統(tǒng)協(xié)同發(fā)展?fàn)顩r。首先,用DEA的技術(shù)效率反映協(xié)同效度,用規(guī)模效率反映發(fā)展效度,綜合效率反映協(xié)同發(fā)展效度,定義了兩兩子系統(tǒng)、三個以上子系統(tǒng)協(xié)同效度、發(fā)展效度、協(xié)同發(fā)展效度的計算。運用DEA模型從縱向和橫向兩個層面入手,評價了青海省礦業(yè)EEES耦合系統(tǒng)協(xié)同發(fā)展?fàn)顟B(tài),縱向上以青海省時間序列2005-2012年間每一年作為評價單元,分別建立了生態(tài)環(huán)境子系統(tǒng)、經(jīng)濟子系統(tǒng)、社會子系統(tǒng)共20項輸入輸出指標(biāo),評價了各子系統(tǒng)內(nèi)部、兩兩子系統(tǒng)之間、生態(tài)環(huán)境、經(jīng)濟、社會三個子系統(tǒng)之間的發(fā)展效度、協(xié)同效度和協(xié)同發(fā)展綜合效度,評價結(jié)果如下：青海2005年、2006年、2008年、2012年礦業(yè)EEES耦合系統(tǒng)協(xié)同發(fā)展效度評價可知,這幾年耦合系統(tǒng)的發(fā)展效度、協(xié)同效度、協(xié)同發(fā)展效度均為1,表明這幾個年份生態(tài)環(huán)境經(jīng)濟社會耦合系統(tǒng)同時滿足發(fā)展有效、協(xié)同有效、綜合有效,系統(tǒng)輸入、輸出間的效率最佳,投入產(chǎn)出規(guī)模最優(yōu),耦合系統(tǒng)各子系統(tǒng)之間、子系統(tǒng)各要素間結(jié)構(gòu)比例恰當(dāng),相對而言,耦合系統(tǒng)整體協(xié)同發(fā)展效果最好。而2009年、2010年、2011年這3年是協(xié)同有效、發(fā)展非有效,即各子系統(tǒng)和要素間結(jié)構(gòu)比例適當(dāng),但投入產(chǎn)出規(guī)模不是最佳狀態(tài),存在投入不足或者投入冗余。橫向上,以2012年我國14個典型的生態(tài)脆弱和富有礦產(chǎn)資源的省份為決策單元,選取了包括生態(tài)環(huán)境投入、經(jīng)濟投入、社會投入三組12項輸入指標(biāo),經(jīng)濟發(fā)展指數(shù)、環(huán)境指數(shù)、社會發(fā)展指數(shù)、生態(tài)指數(shù)四組9項輸出指標(biāo),并在指標(biāo)無量綱化處理的基礎(chǔ)上進(jìn)行了綜合加成,評價了我國各地區(qū)耦合系統(tǒng)協(xié)同發(fā)展?fàn)顩r。將評價效率聚為三類,結(jié)果如下：內(nèi)蒙古、吉林、遼寧、湖南屬于第Ⅰ類地區(qū),協(xié)同發(fā)展?fàn)顩r很好；湖北、黑龍江、甘肅屬于第Ⅱ類地區(qū),協(xié)同發(fā)展良好；其余省份屬于第Ⅲ類初級協(xié)同地區(qū)。其中,青海EEES耦合系統(tǒng)協(xié)同發(fā)展?fàn)顩r屬于第Ⅲ類,處于初級協(xié)同狀態(tài),資源投入、環(huán)境投入冗余率高,且規(guī)模收益遞減,表明通過增加資源的消耗并不能實現(xiàn)經(jīng)濟社會的發(fā)展,在現(xiàn)有生產(chǎn)規(guī)模的基礎(chǔ)上,通過技術(shù)進(jìn)步提高資源的利用率和廢物的循環(huán)利用效率,積極采取協(xié)同發(fā)展模式。 第五,制定面向政府、企業(yè)、公眾不同主體的激勵與約束措施,首先,發(fā)揮政府的導(dǎo)向作用,參照綠色GDP、GPI等指標(biāo)建立新的國民經(jīng)濟核算方法,實行領(lǐng)導(dǎo)干部環(huán)境問責(zé)制,理順礦業(yè)環(huán)境管理體制；使企業(yè)成為生態(tài)環(huán)境保護(hù)的主體,通過綠色消費需求推動企業(yè)技術(shù)創(chuàng)新,給予政策優(yōu)惠激勵企業(yè)發(fā)展,縮短環(huán)境技術(shù)的產(chǎn)業(yè)化過程；提高全民保護(hù)生態(tài)環(huán)境的意識,實行環(huán)境信息公開,完善公眾參與機制。 實施層面制定面向政府、企業(yè)、公眾不同主體的激勵與約束措施,首先,發(fā)揮政府的導(dǎo)向作用,參照綠色GDP、GPI等指標(biāo)建立新的國民經(jīng)濟核算方法,實行領(lǐng)導(dǎo)干部環(huán)境問責(zé)制,理順礦業(yè)環(huán)境管理體制,建立合理有效地社區(qū)沖突解決機制；使企業(yè)成為生態(tài)環(huán)境保護(hù)的主體,通過綠色消費需求推動企業(yè)技術(shù)創(chuàng)新,給予政策優(yōu)惠激勵企業(yè)發(fā)展,縮短環(huán)境技術(shù)的產(chǎn)業(yè)化過程；提高全民保護(hù)生態(tài)環(huán)境的意識,實行環(huán)境信息公開,完善公眾參與機制。
[Abstract]:Chinese 30 years of reform and opening up, economic and social changes happened to turn the world upside down, but the rapid development of industrialization to the economic, social and ecological environment has brought great challenges. At present, Chinese became the world's largest manufacturing factory. With the reform and opening-up process accelerating, China's economy has been developing rapidly. According to statistics, from during the 1978 -2004 year, China's industrial added value growth remained at around 11.5%, higher than the same period in China GDP2 percentage points. China has become the iron and steel, coal, cement and fertilizer in 2008, TV industry's first exporter.
Since the industrial revolution, mining has been an important engine for the economic development of countries or regions. Ample evidence that the use of modern mining legislation and provide a favorable environment to attract national investment in mining exploration and production. This in turn helps to increase taxes, countries and regions export income and employment opportunities, is conducive to the construction of infrastructure and the host country in China.2012 petroleum exploration new proven reserves of 15 tons, 961 billion cubic meters of natural gas, 616 tons of coal, iron ore 40 tons, 4 million 310 thousand tons of copper, 917 tons of gold, 1461 tons of potash. New large and medium-sized mineral and a total of 119, among them large and medium-sized mineral mineral 23, 96, the main distribution in Xinjiang, Yunnan, Shanxi, Inner Mongolia, Henan, Shandong, Guizhou and Jilin provinces. The yield of main mineral products continues to increase, domestic supply capacity is growing. Coal, crude steel, cement and other mineral products The output ranked first in the world for.2012 years, the one-time energy production of 33.2 tons of standard coal. However, the exploitation of mineral resources to provide considerable opportunity for the economic development of developing countries at the same time, there are risks or unreasonable mining operations may lead to local economic and social development deformity, caused by damage to the environment. Especially in ecologically fragile areas, mineral resources the unreasonable exploitation of local economic and social and ecological environmental damage is more serious.
The ecological fragile area as ecological problems, the economy is relatively backward, people living in poverty in the overlapping area, in accordance with the traditional mode of development continues, the development of the mining industry is likely to fall into the mining development faster, more ecological and environmental problems, ecological imbalance, mining development stagnation of cancer. However, the contradiction is not inevitable, coupling as a kind of philosophy, system theory, along with the entire development process, the study of ecological fragile area of mining ecological environment, economy and society, the positive coupling between each other and cooperation, trying to break the cut crack situation, seek the ecological interests, environmental interests and economic interests of the system
A mining, comprehensive, sustainable development to provide reference. This paper uses the integration of regional economics, environmental economics, resource economics, industry economics, ecological economics, institutional economics, sustainable development theory, policy science, geography science, system science and other related theories, through the hierarchical thinking, qualitative analysis and quantitative research. Combination of empirical and normative research, combining the longitudinal and horizontal comparison on the main contents of this paper are as follows:
First, after reading the relevant academic achievements in the academic circles of numerous experts and scholars, the coupling coordination between the understanding, combined quantitative research and coupling coordination mechanism analysis and other related research results carried out in this paper. From the view of epistemology, coupling, review and evaluation of relevant research methods on the three aspects of ecological fragile areas the mining ecological environment and economic and social development. Combined epistemology experienced the traditional pursuit of wealth view, zero growth pessimistic theory, optimistic theory of economic development until the formation of the concept of dialectical and coupling coordination; coupling level view of ecological concept has penetrated into the economic, management, social aspects, and ecological system economic system coupling produces zero resource economy, waste resource economy, environment and economy, circular economy, green economy, ecological economy, the new concept of low carbon economy and carbon sink economy; ecological The coupling system and management system of the ecological leadership, ecological management, ecological services, ecological supply chain and ecological design idea; coupling of ecological system and social system to produce the ecological government, at the executive level of eco enterprises, ecological community, ecological province, ecological city, ecological function zone plan; coupling ecosystem and society the system produce cleaner production, at the operational level of ecological production, environmental management, ecological industry practices; method of social evaluation on ecological environment and economy at home and abroad were divided into comprehensive index based on addition, based on efficacy coefficient, variation and distance based, based on dynamic change based on fuzzy theory, based on the grey theory, based on DEA model, system evolution and system coupling dynamics theory of coordination degree measurement; finally, the research results at home and abroad are reviewed. They believe that the domestic There are many research in the theory of composition, less research on generative theory, different definition of concept, overlapping of research methods, and difficulties in docking theory results with practice.
Second, a comprehensive study of the scholars at home and abroad, fragile ecological regionalization can be divided into two ecological fragile areas, six ecological fragile area, ecological fragile area and ecological fragile area of eight seven. This chapter in the eastern, central and western regional basis, the ecological fragile area is divided into the eastern ecological fragile Zone, fragile area in the middle the ecological, ecological fragile area in Western China, and from the ecological fragile area in each selected two provinces of the typical ecological fragile areas of analysis of the current situation of mining industry development.
Third, the mining development in fragile ecological area based on the main stakeholders: government, community and mining enterprises from the perspective of the construction of the three party, the dynamic game model, using backward induction, the mining development in fragile ecological area and ecological environment of the three party system compatible mixed strategy Nash equilibrium game results.
Fourth, choose the DEA model, combined with the fuzzy mathematics theory, an empirical study on the EEES coupling system of Qinghai province coordinated development status. First, with the technical efficiency of DEA reflects the validity of cooperation, with scale efficiency reflects the development of validity, comprehensive efficiency reflects the cooperative development validity, the definition of the 22 subsystems, more than three subsystem collaborative development validity, validity the calculation, cooperative development validity. Using the DEA model from the vertical and horizontal two aspects, collaborative development evaluation of the mining EEES coupling system of Qinghai Province, Qinghai Province in the longitudinal time series from 2005-2012 every year as the evaluation unit, the ecological environment subsystem are established, the economic subsystem, a total of 20 output index the input of social subsystem, evaluation of the internal subsystem, 22 subsystems, ecological environment, economic development, social validity between the three subsystems, the validity of cooperation and collaborative development Comprehensive evaluation of validity, the results are as follows: Qinghai, 2005, 2006, 2008, 2012 the validity of coordinated development of mining EEES coupling system, the development of validity, in recent years the coupling system of cooperative validity, cooperative development validity was 1, that this year several ecological environment economic and social development and meet the effective coupling system, coordinated and effective, comprehensive and effective the system input and output, the efficiency of input and output, the optimal size, the coupling between different subsystems, each subsystem structure elements appropriate proportion, relatively speaking, the best overall coupling system for collaborative development. And in 2009, 2010, 2011, the 3 year is the collaborative development of non effective, effective, namely each subsystem the elements and structure of proper proportion, but the input and output size is not the best, there is insufficient or redundant input. Horizontally, in 2012 China's 14 typical ecological fragile and rich The mineral resources of the provinces as decision-making units, including the selection of ecological environment investment, economic investment, social investment index three group 12 input, economic development index, environment index, social development index, four sets of 9 output indicators of ecological index, and index based on the dimensionless comprehensive addition, evaluation the coupling system of the coordinated development of various regions of our country. The efficiency evaluation into three categories, the results are as follows: Inner Mongolia, Jilin, Liaoning, Hunan belong to the class I region coordinated development is in good condition; Hubei, Heilongjiang, Gansu belong to the class II region, coordinated development of good; the remaining provinces belong to the type III primary cooperative Qinghai area. Among them, EEES coupled system synergetic development condition belongs to the type III, in the primary coordination state of resources and environment, input redundancy rate, and decreasing return to scale, that through increase the consumption of resources is not To achieve economic and social development, based on the existing scale of production, we should actively adopt collaborative development mode through technological progress, improving the utilization rate of resources and recycling efficiency of wastes.
Fifth, making for the government, enterprises, the public of incentive and constraint measures, first of all, play the guiding role of the government, to establish the national economic accounting green GDP, new GPI and other indicators, leading cadres to implement environmental accountability system, rationalize the mining environmental management system; make the enterprise become the main body of the protection of the ecological environment, promote enterprise technology innovation through the green consumption demand, give preferential policies to encourage enterprises to develop the industrialization process, shorten the environment technology; improve people's awareness of environmental protection, the implementation of environmental information disclosure, improve the mechanism for public participation.
The implementation level formulation for the government, enterprises, the public of incentive and constraint measures, first of all, play the guiding role of the government, to establish the national economic accounting green GDP, new GPI and other indicators, leading cadres to implement environmental accountability system, rationalize the mining environmental management system, establish a reasonable and effective community conflict resolution mechanisms; to enable enterprises to become the main protection of the ecological environment, promote technological innovation through the green consumption demand, give preferential policies to encourage enterprises to develop the industrialization process, shorten the environment technology; improve people's awareness of environmental protection, the implementation of environmental information disclosure, improve the mechanism for public participation.

【學(xué)位授予單位】：中國地質(zhì)大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2014
【分類號】：F426.1;F205;F224

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