【作者】 刘玉明；

【导师】 刘长滨；

【作者基本信息】 北京交通大学 ， 管理科学与工程， 2009， 博士

【摘要】 推行建筑节能是我国实现“节能减排”战略的重要组成部分,而实施北方采暖区既有居住建筑节能改造是推行建筑节能的重要领域之一。由于存在投资额大、收益率低以及具有较强的外部经济特点,导致既有居住建筑节能改造一直难以大规模开展。基于上述背景,本论文对北方采暖区既有居住建筑节能改造的经济激励问题进行研究,为政府制定经济激励政策提供理论依据和相关政策建议。本论文采用理论分析、实证分析、文献调查等研究方法,围绕北方采暖区既有居住建筑节能改造的经济效益、外部性效益、经济激励机制、经济激励政策建议等方面进行了深入系统研究。本论文主要研究工作及结论归纳如下:(1)对我国北方采暖区既有居住建筑节能改造及经济激励政策现状进行了系统研究。本论文分析了我国北方采暖区既有居住建筑节能改造的发展现状和节能改造示范项目的实施情况,并对我国建筑节能实施经济激励所采取的财政政策、税收政策、价格政策等,特别是对既有居住建筑节能改造的经济激励政策与相关法规进行了分析与总结,在此基础上,分析和归纳了我国既有居住建筑节能改造经济激励政策存在的主要问题。(2)运用全寿命周期成本理论、项目经济评价理论、建筑能耗理论等对既有居住建筑节能改造的经济效益分析进行了系统研究。本论文建立了既有居住建筑节能改造经济效益分析的基本框架,对既有居住建筑节能改造项目的增量成本构成与增量效益构成进行了分析,推导了既有居住建筑围护结构、居住小区二次网与热力站、热源热网节能改造的增量经济效益测算公式,以包头市口岸小区居住建筑节能改造项目经济效益分析为实例,证明了热源热网节能改造具有较好的经济效益,而既有居住建筑围护结构节能改造则存在投资额大、收益率低的特点。根据上述这些研究成果,得出了“北方采暖区既有居住建筑节能改造需要政府经济激励”的重要结论,对科学合理地分析既有居住建筑节能改造经济效益具有重要的理论价值和实践意义,对政府制定既有居住节能改造经济激励政策具有重要意义。(3)运用外部性理论、建筑能耗理论等对既有居住建筑节能改造外部性分析进行了系统研究。本论文首次对北方采暖区既有居住建筑节能改造的外部性概念与分类、既有居住建筑节能改造与供热计量收费体制改革的关系进行了研究,建立了既有居住建筑节能改造的外部性度量基本公式,并推导了建筑围护结构节能改造、室内供热系统节能改造、热源热网节能改造的外部性大小度量公式,依据这些公式建立了在不实行供热计量收费制度、实行供热计量收费制度两种模式下的既有居住建筑节能改造外部性大小测算公式,运用这些公式对包头市口岸小区居住建筑节能改造项目的环境外部性大小进行了测算。根据上述研究成果,得出了“北方采暖区既有居住建筑节能改造具有较强的外部经济”的重要结论,对科学合理地分析既有居住建筑节能改造外部性具有重要的理论价值和实践意义,为政府制定既有居住节能改造经济激励强度提供了重要参考依据。(4)运用博弈理论、委托代理理论、供求分析理论、风险效用理论、项目财务评价理论等从经济激励主体、激励对象、激励政策类型、激励模式、激励强度五个方面对既有居住建筑节能改造的经济激励机制进行了深入研究。本论文运用完全静态博弈分析方法和柯布——道格拉斯生产函数分析中央政府和地方政府、政府与企业对既有居住建筑节能改造的投资意愿,得出重要结论:在建筑节能市场起步阶段中央政府是最主要的经济激励主体,随着建筑节能市场的不断发展,地方政府和企业对既有居住建筑节能改造的投资意愿增加。运用供求曲线对既有居住建筑节能改造的需求方、供给方进行了分析,得出对需求方进行经济激励的效果要好于对供给方进行激励。运用风险效用理论对既有居住建筑节能改造的财政补贴政策和税收优惠政策进行了分析,并得出结论:在建筑节能市场起步阶段,财政补贴政策比税收优惠政策的激励效果好;在建筑节能市场成熟阶段,税收优惠政策比财政补贴政策的激励效果好。运用委托代理理论对既有居住建筑节能改造经济激励模式进行分析,并得出结论:在信息对称情况下,政府(委托人)对节能改造主体(代理人)的最优经济激励模式为固定激励模式,节能改造主体不承担风险;在信息不对称情况下,政府(委托人)对节能改造主体(代理人)实施的最优经济激励模式是“保留收益+风险成本”模式,节能改造主体必须承担一定的节能改造投资风险。提出了既有居住建筑节能改造的经济激励强度应满足以下两个基本原则:①经济激励强度应能补偿节能改造所产生的外部性效益;②经济激励强度应高于行业基准收益率。上述这些研究成果,为政府科学合理地制定既有居住建筑节能改造经济激励政策提供了基本分析框架和重要的理论基础。(5)提出了既有居住建筑节能改造经济激励政策建议。本论文对国外开展建筑节能的经济激励政策进行介绍,并对德国、波兰的既有居住建筑节能改造经济激励政策进行较为系统地分析,得出了我国制定既有居住建筑节能改造经济激励政策的经验借鉴。从经济激励主体、激励对象、激励方法、激励模式和激励强度五个方面构建了既有居住建筑节能改造的经济激励政策基本框架和经济激励政策组合模式。分别对居民与节能改造主体关于既有居住建筑节能改造的出资比例进行了可行性分析。系统地提出了建筑围护结构与室内供热系统节能改造的经济激励政策建议、热源热网节能改造的经济激励政策建议。上述这些研究成果,为政府制定科学合理的既有居住建筑节能改造经济激励政策内容提供了重要参考建议。更多还原

【Abstract】 The practice of energy efficient buildings plays an important part in implementing the strategy of "energy conservation and greenhouse gas emission reduction" in China. Improving existing residential buildings in order to reduce energy consumptions of space heating in the northern region is a key program to carry out the work of buildings’ energy reduction in China. However, due to high costs and low returns on investment of the program, improving existing residential buildings cannot be carried out in a large scale though it has significant positive externalities. Therefore, there is a need for economic incentive policies to encourage energy efficient buildings, particularly improve existing residential buildings to reduce energy consumption in buildings.This thesis studied economic (financial and non-financial) incentive policies for improving residential buildings in the northern region in order to provide the government with theoretic supports and suggestions on setting up a rational incentive policy. The study was conducted through a combination of various research methodologies such as theoretical analysis, case studies, archival analysis, literature review, and so on. Based on game theory, agent theory, supply and demand model, risk utility theory, public finance (fiscal incidence), taxation, etc., the thesis systematically investigated economic benefits and external benefits of retrofitting residential buildings to energy efficient buildings, and then studied key contents of the economic incentive policy for retrofitting residential buildings based on incentive mechanisms. The principal research activities and their results are as follows.(1) Systematically reviewing the present state of improving buildings’ energy efficiency of existing residential buildings in Northern China. This thesis reviewed the present state of implementing the strategy of "energy conservation and greenhouse gas emission reduction" and relevant economic incentive policies in Northern China and evaluated the demonstrating program of improving buildings’ energy efficiency of existing residential buildings. It analyzed fiscal policies, taxations and price policies relating to economic incentives for the reduction of buildings’ energy consumption, particularly for the improvement of energy efficiency in existing residential buildings. It investigated the key problems of the current economic policies for retrofitting residential buildings. (2) Systematically analyzing economic benefits of improving existing residential buildings for energy reduction based the theories of lifecycle-costing, project evaluation, and buildings’ energy consumption. The thesis developed a framework for economic analysis of buildings’ energy efficiency improvement, and derived a set of formulas for computing economic benefits resulting from improvement of buildings’ envelops, sub-networks of pipes for residential areas, district heating systems, boiler station, through comparative analysis of incremental costs and incremental benefits of improving existing residential buildings for energy conservation. The project of improving existing residential buildings for energy conservation in Kou’an residential area, Baotou city, was studied as an empirical case. The case study proved that improving heating sources can obtain quite good economic benefits; while improving existing residential buildings requires a large sum of investment, but low return on investment. It is concluded that improving existing residential buildings for energy conversation in Northern China demands economic incentives from governments. The framework and formulas would be useful for analyzing economic benefits of improving existing residential buildings for energy reduction.(3) Systematically evaluating the externalities of improving existing residential buildings for energy conversation. This thesis defined and classified the externality of improving existing residential buildings for energy conservation, and studied the relationship between improving existing residential buildings for energy conservation and heating pricing systems. It derived computation formulas for measuring the externalities, which were further developed for measuring externalities of improving building envelops, indoor heating system, and district heating pipe systems. These formulas can be applied to under the practice of flat rate and usage-based rate. The formulas were used to compute the externalities of improving existing residential buildings for energy conservation in Kou’an residential area, Baotou city, and concluded that improving existing residential buildings for energy conversation in Northern China have significant positive externalities.(4) In-depth studying incentive mechanisms of the economic incentive policy for improving residential buildings for energy conservation from the perspective of subjects of incentives, targets of incentives, types of incentives, patterns of incentives, intensity of incentives. The thesis analyzed the willingness of central and local governments and the willingness of enterprises to invest in energy efficient buildings using perfect-information game theory and Cobb-Douglas production functions. It concluded that the central government is the principal grantor of incentives in the initial phase. As the development of energy efficient buildings markets, local governments and enterprises will invest in energy efficient buildings gradually. The thesis analyzed the demand side and supply side of retrofitting residential buildings to energy efficient buildings based on supply and demand model, and concluded that it is better to give incentives to the demand side than the supply side. It studied fiscal subsidiary policies and favorable taxation. It is concluded that the fiscal subsidiary policies have better effect than the favorable taxation does based risk utility theory. It analyzed patterns of incentives for retrofitting residential buildings to energy efficient buildings using agent theory, and concluded that the optimal incentive model is a fixed incentive in the case of symmetric information; while the optimal incentive model is a "retained revenue plus risk cost" incentive in the case of asymmetric information. It suggested that the intensity of incentives for retrofitting residential buildings to energy efficient buildings should meet two principles: (i) incentives should external benefits resulting from energy conservation; (ii) incentives should result in a return above average rate of return.(5) Proposing economic incentive policies for improving residential buildings for energy conservation. The thesis reviewed incentive policies of foreign countries, particularly those of Germany and Poland. It is suggested that China should learn from foreign countries in making its incentive policies. Based on this lessens, the thesis formulated a framework and incentive policies from the perspective of subjects of incentives, targets of incentives, types of incentives, patterns of incentives, intensity of incentives. It further analyzed possible portion of investment from private flat owners. The thesis proposed incentive policies for improving building envelop and indoor heating pipe networks and improving boiler station pipe networks respectively.The above-mentioned conclusions would be helpful for the government to make its economic incentive policies. And the proposed formulas would be useful for analyzing economic benefits of improving existing residential buildings for energy reduction.更多还原