国家矿产资源安全研究现状及展望

doi:10.18402/resci.2018.03.01

摘要/Abstract

摘要：

矿产资源是国民经济发展的基础,是国家政治、军事安全的重要保障,其安全问题日益凸显。本文从矿产资源安全内涵、影响因素、评价体系与方法、保障策略、法律政策角度出发,梳理目前矿产资源安全研究成果。综述发现,矿产资源安全是一个可持续的概念,不仅涉及经济安全,更将环境可持续发展、社会安全、国际安全纳入研究范畴;评价指标也随着时间不断丰富,从原本单一的经济指标转向涵盖环境指标、地理及政治指标等在内的评价体系;国家更加关注矿产资源开采、使用的各个方面,关于矿产资源安全的专项法律政策不断完善;为保障国家综合安全,政府依据经济发展特点及资源禀赋状况,制定矿产资源安全保障策略;评价方法从定性分析转向定量分析。但是,也存在以下不足之处：有些评价指标的建立与分解缺乏系统性、动态性,难以量化,评价结果和预测模型的准确性有待解决;不同层级、不同部门之间的法律政策交叉,管理体系混乱。未来应加强矿产资源安全理论体系、量化及动态分析、国际贸易规则及重大战略影响、政策法规及管理体制方面的研究,规范矿产资源交易,确保矿产资源安全。

关键词: 矿产资源, 安全评价, 评价方法, 研究综述

Abstract:

Mineral resources are the basis of national economic development and an important guarantee for national political and military security. Security issues in this domain have become increasingly prominent. From the perspective of mineral resource safety, influencing factors, evaluation systems, methods, security strategies and legal policy, here we tease out current mineral resource safety research. This review shows that mineral resource security is a sustainable concept, continuously expanding and deepening with development. It not only involves economic security, but also involves environmental sustainability, social security and international security. Evaluation indicators have been gradually enriched from time to time, changing from a single economic indicator to an evaluation system covering environmental indicators, geographical and political indicators. The state pays more attention to all aspects of mineral resource exploitation and use, and special laws and policies are continuously improving. To ensure comprehensive national security, the government formulates the strategy for safeguarding mineral resources based on the characteristics of economic development and resource endowment. The evaluation method has changed from qualitative to quantitative. However, it also has the following shortcomings: the establishment and decomposition of some evaluation indicators lack systematicity and dynamism and this is difficult to quantify. The results of the evaluation and accuracy of the predicted models need to be resolved. The overlap between legal policies of different levels and departments has caused a chaotic management system. In the future, the study of mineral resource security theoretical system, quantitative and dynamic analysis, international trade rules, major strategic impact and legal policy should be strengthened to regulate mineral resource transactions and ensure the safety of mineral resources.

Key words: mineral resources, safety assessment, evaluation methods, review

龙如银, 杨家慧. 国家矿产资源安全研究现状及展望[J]. 资源科学, 2018, 40(3): 465-476.

Ruyin LONG, Jiahui YANG. Research status and prospect of national mineral resource security[J]. Resources Science, 2018, 40(3): 465-476.

图/表 10

图1

图2

表1

表2

表3

矿产资源安全的代表性定义"

学者/年份	概念	研究层面
张雷/2001^[6]	由两部分组成：能源供给的稳定性;能源使用的安全性	供给、使用
沈镭等/2004^[7]	一国或地区可以稳定、适时、持续地控制和获取矿产资源	控制、获取
邓光君/2009^[8]	一国可以在指定时间、地点,以合理价格及方式,持续、稳定、足量供给所需矿产资源	供给、价格
罗辉等/2010^[9]	狭义矿产资源安全指供需安全,体现在充足的数量、稳定的供应和合理的价格;广义指综合安全,由供给安全（经济安全与国防安全）、生态环境安全两部分组成	供给、价格、生态
Nunes /2000^[10]	确保经济的正常运行,以所有消费者（个体和行业）能接受的价格足量供给能源,同时保护环境以实现可持续发展	供给、价格、生态
IEA/1985/2001/2002^[11,12,13]	以合理的成本提供足量的能源;能够以合理的价格提供日常需求的的能源;能够以合理的价格提供足量、可靠的能源	效率、供给、价格
Leung/2011^[14]	以合理的价格,以不危害国家安全与目标的方式确保充足、可靠的能源供应	供给、价格、社会
Blum等/2012^[15]	通过提供可持续能源服务以达到福利最大化,将能源安全与可持续发展相结合,赋予了更深层次的内涵	供给、社会、生态
Sovacool/2013^[16]	如何有效率的提供可用的、经济的、可靠地、有效地、环境友好的、战略性管理及向消费者提供被社会广泛接受的能源服务	供给、生态、效率、社会
Sharifuddin/2014^[17]	能源安全是一个比较复杂的研究领域,涉及很多话题,如能源供应、经济、环境、技术、风险管理、社会以及地缘政治	供给、经济、环境、技术、地缘政治
Wu/2014^[18]	能源安全包含四个维度：经济安全、地缘政治安全、环境安全、军事以及国家安全	经济、地缘政治、环境、军事
Nelwan等/2017^[19]	提出7D概念,包括可用性、基础设施、能源价格、社会影响、环境、治理、能源效率	供给、技术、价格、社会、环境、监管、效率

表3

图3

表4

图4

表5

图5

参考文献 68

[1]	王小琴, 余静, 张龙. 矿产资源安全问题的综述及其研究框架[J]. 国土资源科技管理, 2014, 31(3): 25-31.
	[Wang X Q, Yu J, Zhang L.Review and research framework of mineral resources security[J]. Scientific and Technological of Land and Resources, 2014, 31(3): 25-31. ]
[2]	Checchi A, Behrens A, Egenhofer C. Long-Term Energy Security Risks for Europe: A Sector-Specific Approach[EB/OL].(2009-01-29)[2018-02-23].
[3]	Månsson A, Johansson B, Nilsson L J.Assessing energy security: an overview of commonly used methodologies[J]. Energy, 2014, 73(7): 1-14.
[4]	Chester L.Conceptualising energy security and making explicit its polysemic nature[J]. Energy Policy, 2010, 38(2): 887-895.
[5]	Kruyt B, Vuuren D P V, Vries H J M D, et al. Indicators for energy security[J]. Energy Policy, 2009, 37(6): 2166-2181.
[6]	张雷. 中国能源安全问题探讨[J]. 中国软科学, 2001, (4): 7-12.
	[Zhang L.Discussion about the energy security of China[J]. China Soft Science Magazine, 2001, (4): 7-12. ]
[7]	沈镭, 何贤杰, 张新安, 等. 我国矿产资源安全战略研究[J]. 矿业研究与开发, 2004, 24(5): 6-12.
	[Shen L, He X J, Zhang X A, et al. Study on mineral resources security strategy of China[J]. Mining Research and Development, 2004, 24(5): 6-12. ]
[8]	邓光君. 国家矿产资源安全的经济学思考[J]. 技术经济研究, 2009, 22(1): 26-28.
	[Deng G J.Economic thoughts on the safety of national mineral resources[J]. Study on Technical Economy, 2009, 22(1): 26-28. ]
[9]	罗辉, 宦吉娥. 矿产资源安全研究述评[J]. 中国地质大学学报, 2010, 10(3): 43-46.
	[Luo H, Huan J E.Review on mineral resources security[J]. Journal of China University of Geo-sciences (Social Sciences Edition), 2010, 10(3): 43-46. ]
[10]	Nunes P D S. Green paper: towards a European strategy for the security of energy supply[J]. Vgb Powertech, 2000, 82(1): 27-29.
[11]	International Energy Agency.Energy Technology Policy[M]. Paris: OCDE/OECD, 1985.
[12]	International Energy Agency. Towards a Sustainable Energy Future[EB/OL]. (2009-02-10)[2018-01-28]. .
[13]	International Energy Agency. Energy Security [EB/OL]. (2002-08-22)[2018-02-23]..
[14]	Leung G C K. China’s energy security: perception and reality[J]. Energy Policy, 2011, 39(3): 1330-1337.
[15]	Blum H, Legey L F L. The challenging economics of energy security: ensuring energy benefits in support to sustainable development[J]. Energy Economics, 2012, 34(6): 1982-1989.
[16]	Sovacool B K, Mukherjee I, Drupady I M, et al. Evaluating energy security performance from 1990 to 2010 for eighteen countries[J]. Energy, 2013, 36(10): 5846-5853.
[17]	Sharifuddin S.Methodology for quantitatively assessing the energy security of Malaysia and other southeast Asian countries[J]. Energy Policy, 2014, 65(2): 574-582.
[18]	Wu K.China’s energy security: oil and gas[J]. Energy Policy, 2014, 73: 4-11.
[19]	Nelwan A F, Hudaya C, Dalimi R.Concept Development for Quantification of Integrated Energy Security[C].Paris: International Conference on Quality in Research, 2017.
[20]	Jamasb T, Pollitt M.Security of supply and regulation of energy networks[J]. Energy Policy, 2008, 36(12): 4584-4589.
[21]	Kyriakopoulos G L, Arabatzis G.Electrical energy storage systems in electricity generation: energy policies, innovative technologies, and regulatory regimes[J]. Renewable & Sustainable Energy Reviews, 2016, 56: 1044-1067.
[22]	Silva R C D, Neto I D M, Seifert S S. Electricity supply security and the future role of renewable energy sources in Brazil[J]. Renewable & Sustainable Energy Reviews, 2016, 59(3): 328-341.
[23]	Winzer C.Conceptualizing energy security[J]. Energy Policy, 2012, 46(3): 36-48.
[24]	Silva R C D, Neto I D M, Seifert S S. Electricity supply security and the future role of renewable energy sources in Brazil[J]. Renewable&Sustainable Energy Reviews, 2016, 59(3): 328-341.
[25]	Vivoda V.Evaluating energy security in the Asia-Pacific region: a novel methodological approach[J]. Energy Policy, 2010, 38(9): 5258-5263.
[26]	Yergin D.Ensuring energy security[J]. Foreign Affairs, 2006, 85(2): 69-82.
[27]	Hippel D V, Suzuki T, Williams J H, et al. Energy security and sustainability in Northeast Asia[J]. Energy Policy, 2011, 39(11): 6719-6730.
[28]	Nunes P D S. Green paper: towards a European strategy for the security of energy supply[J]. Vgb Powertech, 2000, 82(1): 27-29.
[29]	Ang B W, Choong W L, Ng T S.Energy security: definitions, dimensions and indexes[J]. Renewable & Sustainable Energy Reviews, 2015, 42: 1077-1093.
[30]	Sebitosi A B.Energy efficiency, security of supply and the environment in South Africa: moving beyond the strategy documents[J]. Energy, 2008, 33(11): 1591-1596.
[31]	Kemmler A, Spreng D.Energy indicators for tracking sustainability in developing countries[J]. Energy Policy, 2007, 35(4): 2466-2480.
[32]	Hughes L.The four ‘R’s of energy security[J]. Energy Policy, 2009, 37(6): 2459-2461.
[33]	王礼茂. 资源安全的影响因素与评估指标[J]. 自然资源学报, 2002, 17(4): 401-407.
	[Wang L M.Influence factors and index system for appraising resources security[J]. Journal of Natural Resources, 2002, 17(4): 401-407. ]
[34]	孙永波, 汪云甲. 矿产资源安全评价指标体系与方法研究[J]. 中国矿业, 2005, 14(4): 36-37.
	[Sun Y B, Wang Y J.The study of evaluating index system and way in mineral resources security[J]. China Mining Magazine, 2005, 14(4): 36-37. ]
[35]	永学艳, 陈建宏. 基于AHP的矿产资源安全评价研究[J]. 有色冶金设计与研究, 2010, 31(5): 1-4.
	[Yong X Y, Chen J X.Research for the safety assessment of mineral resources based on AHP[J]. Nonferrous Metals Engineering & Research, 2010, 31(5): 1-4. ]
[36]	Sovacool B K, Valentine S V, Bambawale M J, et al. Exploring propositions about perceptions of energy security: an international survey[J]. Environmental Science&Policy, 2012, 16: 44-64.
[37]	Xia X H, Huang G T, Chen G Q, et al. Energy security, efficiency and carbon emission of Chinese industry[J]. Energy Policy, 2011, 39(6): 3520-3528.
[38]	Bompard E, Carpignano A, Erriquez M, et al. National energy security assessment in a geopolitical perspective[J]. Energy, 2017, 130: 144-154.
[39]	Lieb-Dóczy E, Börner A R, Mackerron G.Who secures the security of supply? European perspectives on security, competition, and liability[J]. Electricity Journal, 2003, 16(10): 10-19.
[40]	Yao L, Chang Y.Energy security in China: a quantitative analysis and policy implications[J]. Energy Policy, 2014, 67(4): 595-604.
[41]	Löschel A, Moslener U, Rübbelke D T G. Indicators of energy security in industrialised countries[J]. Energy Policy, 2010, 38(4): 1665-1671.
[42]	张大超, 汪云甲. 矿产资源安全评价指标体系研究[J]. 地质技术经管理, 2003, 25(5): 20-24.
	[Zhang D C, Wang Y J.Indicators of assessment for mineral resource security[J]. Geological Technoeconomic Management, 2003, 25(5): 20-24. ]
[43]	姚建, 吴爱祥, 唐龙, 等. 基于长短期矿产资源安全评价指标体系的构建[J]. 现代矿业, 2014, 30(2): 93-95.
	[Yao J, Wu A X, Tang L, et al. Construction of evaluation index system of mineral resources based on long-term and short-term[J]. Modern Mining, 2014, 30(2): 93-95. ]
[44]	李颖, 陈其慎, 柳群义, 等. 中国海外矿产资源供应安全评价与形势分析[J]. 资源科学, 2015, 37(5): 900-907.
	[Li Y, Chen Q S, Liu Q Y, et al. An indicator system for overseas mineral resource supply security and analysis of the security situation for China’s overseas resource supply[J]. Resources Science, 2015, 37(5): 900-907. ]
[45]	Patlitzianas K D, Doukas H, Kagiannas A G, et al. Sustainable energy policy indicators: review and recommendations[J]. Renewable Energy, 2008, 33(5): 966-973.
[46]	Hughes L.A generic framework for the description and analysis of energy security in an energy system[J]. Energy Policy, 2012, 42(2): 221-231.
[47]	Kamsamrong J, Sorapipatana C.An assessment of energy security in Thailand’s power generation[J]. Sustainable Energy Technologies & Assessments, 2014, 7: 45-54.
[48]	Jewell J, Cherp A, Riahi K.Energy security under de-carbonization scenarios: an assessment framework and evaluation under different technology and policy choices[J]. Energy Policy, 2014, 65(3): 743-760.
[49]	Ranjan A, Hughes L.Energy security and the diversity of energy flows in an energy system[J]. Energy, 2014, 73(7): 137-144.
[50]	严筱, 陈莲芳, 严良, 等. 基于PSR模型的我国重要矿产资源安全评价[J]. 中国矿业, 2016, 25(1): 43-49.
	[Yan X, Chen L F, Yan L, et al. Evaluation of major mineral resources' security in China based on PSR model[J]. China Mining Magazine, 2016, 25(1): 43-49. ]
[51]	詹长根, 黄鑫鑫. 基于熵权法的广西能源安全评价[J]. 国土资源情报, 2017, (7): 32-39.
	[Zhan C G, Huang X X.Energy security evaluation of Guangxi Zhuang Autonomous Region[J]. Land and Resources Information, 2017, (7): 32-39. ]
[52]	Wang Q, Zhou K.A framework for evaluating global national energy security[J]. Applied Energy, 2017, 188: 19-31.
[53]	Li S, Li R.Energy sustainability evaluation model based on the matter-element extension method: a case study of Shandong Province, China[J]. Sustainability, 2017, DOI: 10.3390/su9112128.
[54]	薛黎明, 崔超群, 李长明, 等. 基于正态云模型的区域矿产资源可持续力评价[J].中国人口·资源与环境, 2017, 27(6): 67-74.
	[Xue L M, Cui C Q, Li C M, et al. Normal cloud model-based approach for regional sustainable power assessment of mineral resources[J]. China Population, Resources and Environment, 2017, 27(6): 67-74. ]
[55]	Pan L, Liu P, Li Z.A system dynamic analysis of China’s oil supply chain: over-capacity and energy security issues[J]. Applied Energy, 2017, 188: 508-520.
[56]	Zhang L, Yu J, Sovacool B K, et al. Measuring energy security performance within China: toward an inter-provincial prospective[J]. Energy, 2017, 125: 825-836.
[57]	赵敏, 王国平, 窦树艳, 等. 美、日矿产资源储备的借鉴与思考[J]. 中国矿业, 2017, 26(9): 45-48.
	[Zhao M, Wang G P, Dou S Y, et al. Study on the strategic reserve of mineral resources in US and Japan[J]. China Mining Magazine, 2017, 26(9): 45-48. ]
[58]	陈其慎, 张艳飞, 倪善芹, 等. 日本矿产资源经略强国战略分析[J]. 中国矿业, 2017, 26(12): 8-23.
	[Chen Q S, Zhang Y F, Ni S Q, et al. Discussion on the mineral resources strategic power in Japan[J]. China Mining Magazine, 2017, 26(12): 8-23. ]
[59]	张瑞恒, 任巍, 王殿茹. 矿产资源经济论[M]. 北京: 中国大地出版社, 2006.
	[Zhang R H, Ren W, Wang D R.Mineral Resource Economics[M]. Beijing: China Continent Press, 2006.]
[60]	刘飞龙, 谷树忠. 中国石油安全及其保障机制初探[J]. 资源科学, 2001, 23(2): 8-12.
	[Liu F L, Gu S Z.A preliminary study on petroleum security and its security mechanism in China[J]. Resources Science, 2001, 23(2): 8-12. ]
[61]	鲍荣华. 调整矿产开发战略, 保证资源安全供应[J]. 资源与产业, 2002, (6): 60-62.
	[Bao R H.Adjust the mineral development strategy to ensure the safe supply of resources[J]. Resources&Resource, 2002, (6): 60-62. ]
[62]	赵洋, 鞠美庭, 沈镭. 我国矿产资源安全现状及对策[J]. 资源与产业, 2011, 13(6): 79-83.
	[Zhao Y, Ju M T, Shen L.Situation and approaches to China's ore resources security[J]. Resources&Resource, 2011, 13(6): 79-83. ]
[63]	李鹏飞, 杨丹辉, 渠慎宁, 等. 稀有矿产资源的战略性评估-基于战略性新兴产业发展的视角[J]. 中国工业经济, 2014, (7): 44-57.
	[Li P F, Yang D H, Qu S N, et al. A strategic assessment of rare minerals-based on the perspective of strategic emerging industries development[J]. China Industrial Economics, 2014, (7): 44-57. ]
[64]	谢艳. “一带一路”时期大型国有矿业资源型企业“走出去”经营战略的研究[J]. 资源与产业, 2016, 18(3): 11-15.
	[Xie Y."Going Abroad" strategy of large mining state-owned enterprises during "The Belt and Road"[J]. Resources&Resource, 2016, 18(3): 11-15. ]
[65]	谷树忠, 姚予龙, 沈镭, 等. 资源安全及其基本属性与研究框架[J]. 自然资源学报, 2002, 17(3): 280-285.
	[Gu S Z, Yao Y L, Shen L, et al. Conceptual framework and research focus of resource security[J]. Journal of Natural Resources, 2002, 17(3): 280-285. ]
[66]	中国人民共和国国土资源部.中华人民共和国矿产资源法[EB/OL]. (2004-06-25)[2017-01-19].
	[Ministry of Land and Resources of the People's Republic of China. Law of the People's Republic of China Law[EB/OL]. (2004-06-25)[2017-01-19]. ]
[67]	杜轶伦. 丝绸之路经济带矿产开发利用状况及“走出去”相关对策建议[J]. 地质通报, 2017, 36(1): 80-89.
	[Du Y L.Present situation of mineral exploitation and utilization of the Silk Road Economic belt and related countermeasures and suggestions for going out policy[J]. Geological Bulletin of China, 2017, 36(1): 80-89.]
[68]	李晋华. “一带一路”倡议下我国矿产品贸易发展新构想[J]. 青海社会科学, 2017, (5): 53-57.
	[Li J H.”Belt and Road "initiative of China's mineral trade development of new ideas[J]. Qinghai Social Sciences, 2017, (5): 53-57. ]

序号	关键词	频次
A1	矿产资源	80
A2	资源安全	76
A3	矿产资源安全	26
A4	可持续发展	22
A5	矿藏资源	14
A6	矿产资源规划	13
A7	安全评价	10
A8	指标体系	10
A9	经济安全	8
A10	法律保障	8
A11	战略储备	8
A12	评价体系	7

序号	关键词	频次
B1	Energy	93
B2	Energy security	62
B3	Definition	38
B4	Environment	36
B5	Sustainable development	31
B6	Renewable energy	27
B7	Economic development	24
B8	Indicator	23
B9	Environmental impact	18
B10	Energy policy	16
B11	Evolution system	13
B12	Geopolitics	8

作者/年份	指标/体系名称	矿产资源安全维度	指标数量
张大超等/2003^42]	矿产资源安全指标	国内安全（包括资源存量;资源开发、生态环境;资源利用）国际安全（国际政治;军事因素;运输因素;国际市场;企业竞争力;资源来源）	26
姚建等/2014^43]	矿产资源安全指标	短期安全;长期安全	8
李颖等/2015^[441]	矿产资源海外安全指标	资源综合对外依存度;资源通道依存度;资源地域依存度	3
Patlizianas等/2008^[45]	可持续能源政策指标	能源供应安全;竞争性的能源市场;环境保护	36
Vivoda/2010^[25]	能源安全指标	能源供给;经济;技术;环境;社会-文化-政治;军事安全;需求管理;效率;人类安全;国际;政策	44
Sovacool等/2011 ^[16]	能源安全指标	可用性;经济性;技术发展与效率;环境可持续发展;管制与治理	20
Hughes/2012^[46]	能源安全指标	可得性;经济性;可负担	3
Kamsamrong等/2014^[47]	能源供应安全指标	能源供应安全;经济安全;环境可持续发展	5
Yao等/2014^[40]	能源安全指标	能源的可用性;技术的应用;社会的接受程度;能源资源的经济性	20
Iewell等/2014^[48]	能源安全指标	政治主权;弹性	19
Ranjan等/2014^[49]	能源安全指标	多样性;可用性;可负担;经济性	35

学者/年份	战略措施	层面
刘飞龙等/2001^[60]	培育市场机制,加强洪宏观调控;改革进出口贸易体制,实施弹性外交;提高利用效率;改革企业经营机制;完善运输建设的投资和融资机制;建立储备体系	运行监管战略;贸易机制;效率战略;储备战略
鲍荣华/2002^[61]	规范矿业开发;降低税收负担,稳定国内矿业生产能力;改造企业,提高竞争和共生能力	安全战略;资源保护战略;效率战略
沈镭等/2004^[7]	能源替代战略;国外贸易战略;创新战略	替代战略;贸易战略;效率战略
赵洋等/2011^[62]	实施战略性储备战略;加强矿产资源的综合利用;加快对外开发矿产资源	储备战略;综合利用;贸易伙伴
李鹏飞等/2014^[63]	加强顶层设计,采用政策工具;加大管理体制创新;加强技术创新;技术创新和结构调整为抓手,加快淘汰落后产能;协调资源主权与多边贸易规则之间的关系	政策导向;技术创新;贸易机制;企业结构调整
谢艳/2016^[64]	大型国有矿业资源型企业实施国际化经营;建立健全对外投资保险体系;在税收等方面支持大型企业国际化经营	企业结构调整;贸易伙伴