世界主要矿业国家矿业资本市场合资格人相关认识  

Relevant knowledge of competent person in mining capital markets of major mining countries in the world

作　　者：王猛[1] 汤家轩[1] 马艳平 李玉喜 柴书罡 WANG Meng;TANG Jiaxuan;MA Yanping;LI Yuxi;CHAI Shugang(Consulting Center of China National Coal Association,Beijing 100013,China;Mineral Resources Reserve Assessment Center of Ministry of Natural Resources,Beijing 100035,China;China Coal Pingshuo Group Co.,Ltd.,Shuozhou 036006,China)

机构地区：[1]中国煤炭工业协会咨询中心,北京100013 [2]自然资源部矿产资源储量评审中心,北京100035 [3]中煤平朔集团有限公司,山西朔州036006

出　　处：《中国矿业》2020年第6期27-33,共7页China Mining Magazine

基　　金：国家矿产资源储量技术标准体系建设项目“固体矿产资源储量估算与评价规则国际对比研究”资助(编号:CB2015-9-2);国家矿产资源储量技术标准体系建设项目“加拿大、澳大利亚、俄罗斯及我国矿业资本市场资源储量估算与评审专家制度研究”资助(编号:CB2017-9-8-1)。

摘　　要：合资格人需要具有相关专业背景和经验,是具有行之有效纪律处分措施的专业组织会员。合资格人概念来源于CRIRSCO体系下合资格性原则,合资格人在项目中依据内外部工作规范开展资源储量估算与评价等工作,确保披露的矿产资源量和矿产储量相关信息客观、准确、全面、真实可靠并承担责任。合资格人基于自我认定、同行认可的原则产生,具有时效性,享有一定的权利,承担相应的义务。违规、违反职业道德规范要受到谴责、罚款、暂停或取消会员资格的惩罚。合资格人的内在要求是胜任能力,并具有职业性特征。建议合资格人制度被证交所采纳,成立或选择现有专业组织管理合资格人,依申请、推荐等方式成为专业组织会员,编制合资格人和评审合资格人分别负责报告的编写和审查工作,建立职业道德规范,落实责任到个人。Competent person should have relevant professional background and experiences and have membership of professional organizations which are equipped with effective discipline measures.The concept of competent person is derived from the competence principle in the CRIRSCO system.According to the internal and external work standards in the project,the competent person carries out the work of the estimation of the mineral resources and the evaluation of the mineral reserves to ensure that the disclosed information about the mineral resources and mineral reserves is objective,accurate,comprehensive,true and reliable and are responsible for it.The competent person is recommended based on the principle of selfidentification and peer recognition and should be time-sensitive,be entitled to certain rights,and assumes corresponding obligations.Violation of the regulations and professional ethics should be subject to punishment,fines,suspension or cancellation of membership.The intrinsic requirements of a competent person is capable and he should also have occupational characteristics.It is recommended that the system of competent persons should be adopted by the stock exchange,establish or select existing professional organizations to manage competent persons,become members according to the application,recommendation,etc.,and prepare competent person and review competent person to be responsible for the preparation and review of reports respectively,establish professional ethics and implement responsibilities to individuals.

关 键 词：合资格人 自我认定 同行认可 矿业资本市场 

分 类 号：F407.1[经济管理—产业经济]