【作者】 王小马；

【导师】 赵鹏大；

【作者基本信息】 中国地质大学（北京） ， 资源产业经济， 2007， 博士

【摘要】 自L．C．格雷和H．霍特林的工作以来，可耗竭资源经济学逐渐成长为经济学的一个分支。可耗竭资源最优消耗路径研究一直是这个学科的内核，而可耗竭资源使用制度研究是搞清最优消耗路径约束条件所不可或缺的。从H．霍特林开始的最有消耗模型一直受“存量约束”羁绊，不能刻画可耗竭资源的根本特征，本文试图通过沿着新的思路来刻画可耗竭资源，得到新的最优利用路径。国内对可耗竭资源使用制度研究处在“百家争鸣”的阶段，本文试图从合约的角度给出一个分析可耗竭资源使用制度的规范分析框架。 本文严格遵守经济学的基本规范，从产权角度界定了资源、可耗竭资源、环境资源。本文阐述了可耗竭资源的基本属性有：不考虑技术进步情况下，开采成本(包括勘探成本，下同)随着开采量的增加而增加；对地域的刚性依赖；和地表的天然耦合性以及高风险性。 本文系统统总结了自1931年H．霍特林发表那篇奠定基调的最优消耗模型文章以来经济学家对模型的发展状况，指出了存量约束的内在矛盾，放弃了存量约束，构建了新的模型。在新模型的基础上，讨论了诸如：矿产资源租、矿产资源稀缺性等问题，并根据矿产开采的特殊性讨论了环境成本问题。 论文回顾了自经济学诞生以来，自然资源尤其是可耗竭资源在经济学分析框架内扮演的角色，总结了可持续经济学分析问题的框架和取得的进展，重点讨论了绿色GDP核算问题，指出目前不考虑矿产品市场结构的对可耗竭资源的核算有高估使用者成本的问题。 论文考察了石油行业，指出石油市场结构的复杂性，简单总结了石油经济学的现状，定性的讨论了技术进步、可替代能源的应用等，结合局限条件的转变，对石油市场进行了定性的推测。 论文根据合约理论把矿产资源使用制度看作是政府和企业之间的合约安排，重点考察了合约的达成和合约结构，指出政府通过固定部分和分成部分取得租金。论文界定了矿业权的法律属性、客体，指出了地表权和矿业权的冲突解决途径。通过分析中国现行的税费结构，指出应该简化税制。 最后对研究工作的贡献和不足进行了简单评论，对可耗竭资源经济学进行了展望，对人类可持续发展问题进行了简单的评说。更多还原

【Abstract】 From Gray, L.C. and Hotelling, H.’s research, exhaustible resource economics has been a branch of economics. The optimal exhaustible resource depletion has been the core of the discipline. The institution on exhaustible resource use must be studied to beat out the constraint condition on optimal exhaustible resource depletion. From Hotelling, H.’s model, the models on optimal exhaustible resource depletion has always been fettered by stock constraint, which could not reflect exhaustible resource’s character. In the paper, exhaustible resource’s character was reflected from a new point of view and new model was constructed. In china, the research about the institution on exhaustible resource use is jumbled, so a normative analytical framework based on contract theory was finished to analyze the institution on exhaustible resource use.The whole paper was written with the economic basic norm. Resource, exhaustible resource, and environmental resource are defined from a view point of property rights. The basic attribute of exhaustible resource include the increasing of the exploitation cost with the depletion taking no account of technology advancement, rigid dependence on special zone, innate coupling with the earth’s surface and high risk.Most economists’ work was generalized after Hotelling, H.’s paper in1931. The paradox of stock constraint was pointed out, and new model was constructed by giving up stock constraint. Based on new model, the rent and the resource scarcity were discussed. Environmental cost as a special part of the whole exploitation cost was analyzed.In the paper, the role of natural resource, especial exhaustible resource, played in the whole economic framework was reviewed from the beginning of economics, and progress in the economics of sustainability was summarized. The research was focused on Measurement of Green GDP, and overrating user cost on measurement of exhaustible resource taking no account market structure was pointed out.By investigation on crude oil, the complexity of crude oil market structure waspointed out, and petroleum economics was simply reviewed. Technology progress in crude oil industry and substitute energy’s application was qualitative discussed. The qualitative prediction of crude oil market was put up according to the transformation of restrict conditions.The institution on exhaustible resource use is a contract between the government and the firms according to contract theory. How the contract come into being and the contract structure were investigated. The government receives rent by fixed rent and share-cropping rent. In the paper, the attribute and object of mining right in law was defined, and the conflict between mining right and the right to earth’s surface was analyzed and solved. Tax system should be reduced by analysis the structure of current mining tax system in china.At last, the writer commented on his own work, prospected the development of exhaustible resource, and expressed the writer’s own opinion on sustainable development.更多还原