【作者】 陈砚祥；

【导师】 刘晓君；

【作者基本信息】 西安建筑科技大学 ， 土木工程建造与管理， 2011， 博士

【摘要】 我国的建筑能耗已达到全社会总能耗的27.5%,且每年递增1%,其中采暖区建筑不仅能耗大且舒适性差。建筑节能是我国三大重点节能领域之一,既有采暖居住建筑节能改造是其中的重点和难点,从上世纪90年代末我国政府开始有计划有步骤地推进改造,经过十几年的发展,尽管取得了一定的成绩,但总的来说进展缓慢。由于节能改造的外部性和政府相关政策的缺失与执行不到位,既有居住建筑节能改造领域同时存在着市场失灵和政府失灵。本文针对我国北方采暖区既有居住建筑节能改造过程中“筹集改造资金难、统一业主改造意愿难、业主对改造实施过程管理难”三大难点问题展开研究。综合运用外部性理论、合作对策理论、群决策理论、规制理论、项目管理等理论,量化节能改造外部性,建立改造利益相关主体基于合作对策的费用分摊模型,设立既有建筑节能改造专业管理企业,并就政府节能管理机构职能拓展与改造管理模式选择展开探讨。试图解决既有居住建筑节能改造推行中的障碍,为政府科学制定节能改造政策提供理论依据,为项目管理企业拓展业务范围提供参考。本文的主要创新性成果包括:1、建立了基于合作对策的费用分摊模型。在量化居住建筑节能改造正外部性的基础上,提出由政府、业主、供电部门和供暖部门共同投入节能改造,并对改造费用进行了合理分摊,打破以往改造资金来源较为单一的局面,解决了筹集节能改造资金难的问题。2、提出设立既有建筑节能改造专业管理企业并设计了其运行流程、决策方法。针对处于松散组织状态的业主形成统一改造意愿难、实施阶段管理难的两大难点,首次提出设立既有建筑节能改造专业管理企业,并设计了从动员业主产生改造意愿开始到改造后评价的一整套运行流程;提出了结合小区居民特征与建筑物特征,运用层次分析法和群决策理论选择有可能改造的潜在小区和较易获得多数业主通过的改造方案。3、提出了解决居住建筑节能改造领域市场失灵和政府失灵问题的对策。为促进各改造受益方参与合作,降低协调成本,创造节能改造专业管理企业的运行环境,针对当前节能政策缺失的现状,运用规制理论研究建筑节能改造管理,提出建筑节能行政主管部门应拓展以下职能:协调职能;制定既有建筑节能改造专业管理企业资质并监督实施;制定特许改造范围划分规则并监督实施;作为既有居住建筑节能改造所有业主的代理人申请碳交易项目。4、建立了典型既有居住建筑节能改造成本模型。针对热计量收费这一推进节能改造的关键前提,提出应首选双管式系统为室内采暖系统热计量及温度调控的改造方案;指出热源及管网热平衡改造主要属热源热网企业责任,在根据《北方采暖地区既有居住建筑供热计量及节能改造实施方案》要求构建成本模型时应将其剔除。在此基础上,构建了典型既有居住建筑节能改造成本模型,并选取西安市典型既有居住建筑改造实例,运用成本模型确定了其改造成本。更多还原

【Abstract】 The energy consumption in China has been 27.5% of the total social consumption and has made 1% growth each year. The buildings in heating areas are not only highly energy-consumed but also of less comfort. Buildings’energy saving is one of the three key energy saving fields in China. The most important and difficult point is the energy saving reconstruction of existing heating residential buildings which has been carried out steadily since the end of 1990s. Although certain progress has been made after more than ten years, the reconstruction is still slowly developed. Because of the externalities of energy saving reconstruction as well as the lack of government’s relative policies and ineffective enforcement, market failure and government failure both lie in the energy saving reconstruction of existing residential buildings.This thesis focuses on three difficulties in the process of existing residential buildings’energy saving reconstruction in heating areas in North China. They are respectively“difficulty of raising reconstruction funds, difficulty of unifying proprietors’intentions and difficulty of proprietors’managing the reconstruction process”. Theories, such as externality theory, cooperation countermeasure theory, group decision-making theory, regulation theory and so on, are applied in this thesis to quantify energy saving’s externality, to set up beneficiaries’cost allocation model based on cooperation countermeasure, to propose the idea of establishing professional enterprise to manage existing residential buildings’energy saving reconstruction and explore the function expansion and management mode of governmental institutions. It aims to clean the barriers in the reconstruction, provide the government with theoretical basis to formulate reconstruction policies and provide project management enterprises with reference to develop business. The main innovations in this thesis are:1. This thesis sets up the cost allocation model based on cooperation countermeasure theory. On the basis of quantifying the positive externality of residential buildings’energy saving reconstruction, it proposes that government, proprietors, power suppliers and heating suppliers should jointly contribute to energy saving reconstruction. What’s more, it also made proper allocation of the reconstruction expenses. Hence, the situation of single capital source is broken and the problem of raising funds is solved.2. This thesis firstly proposes the idea of establishing professional enterprise to manage energy saving reconstruction of existing residential buildings and designs its operation procedures and decision-making methods. Dealing with the difficulties of unifying proprietors’intentions as well as managing the reconstruction process, it raises the idea of establishing professional management enterprise and designs a set of working procedure from mobilizing proprietors’intention to assessment after reconstruction. Moreover, it proposes that selecting potential communities and the more acceptable reconstruction methods should apply analytic hierarchy process and group decision-making theory according to residential and buildings’features.3. This thesis raises the countermeasures to the problem of market failure and government failure in residential buildings’energy saving reconstruction. In order to promote the involvement of each beneficiary, reduce coordinating cost and create working environment for the professional reconstruction enterprise, it applies regulation theory to the management and suggests the following functions should be developed: coordinating function; formulating qualifications rules for the professional reconstruction enterprise and supervising implementation; formulating rules to divide charter reconstruction areas and supervising implementation; applying for carbon trading project as the agent of all reconstruction proprietors.4. This thesis establishes the typical reconstruction cost model of existing residential buildings’energy saving. Focusing on the heating metering, precondition of advancing energy saving reconstruction, it puts forward that the double-tube system should be the first choice for the reconstruction of indoor heating measurement and temperature control. Since the reconstruction of heating source and network heating balance are the heating enterprises’responsibilities, it also points out that they should be eliminated according to“Heating Metering and Reconstruction Plan of Existing Residential Buildings in the Northern Heating Areas”. On this basis, the typical reconstruction cost model of existing residential buildings’energy saving is established. What’s more, Xian’s typical existing residential buildings’reconstruction is chosen as a case study and its reconstruction cost is confirmed basing on the cost model.更多还原