【作者】 韩青苗；

【导师】 刘长滨；

【作者基本信息】 哈尔滨工业大学 ， 管理科学与工程， 2010， 博士

【摘要】 我国建筑节能主要依靠政府力量推进,然而由于建筑面积总量巨大,长期来看,这种节能模式面临着节能投入过高的问题,解决这一问题的关键是改变现有的发展模式,通过建筑节能服务市场(BEESM)逐步实现市场化的节能发展模式。在BEESM研究领域,现有研究多集中于建筑节能服务市场实践问题的探讨,很少有研究对BEESM发展的基础理论作出系统研究。针对该问题,本研究作了较为深入的研究工作,以期为BEESM发展提供理论基础,为BEESM激励提供政策建议。通过对BEESM供需主体和运行机制的研究,分析了BEESM与BEE效率的传导途径,系统地梳理了BEESM对于推动BEE发展的贡献和积极作用。运用公共物品理论分析建筑节能服务(BEES)的准公共物品属性,正是这一特性导致市场失灵,带来市场效率损失和自愿供给数量不足。因此需要从公共选择角度来发挥政府资源配置功能来解决BEESM的市场失灵和政府失灵。在BEESM发展动因的研究方面,系统分析了BEESM发展的外部约束,这些约束决定了我国BEESM的长期发展趋势。在外部约束一定的情况下,交易费用的高低是BEESM形成的关键,当从BEESM获得节能服务的交易费用低于传统建筑企业的内部资源提供BEES的交易费用时,BEESM随之形成。紧接着,运用内生增长理论对BEESM进行研究,结果表明ESCO的平均报酬应以合同能源管理(CEM)项目可获得的能耗费用节省总量现值为基准值;当ESCO的平均报酬大于该基准值时,既有建筑节能改造只会增加需求主体的负担。此外,政府对BEESM的技术创新活动提供补贴或激励有利于经济增长。针对我国BEESM供需主体发展现状,提出了供需主体的优选模式。在优选模式确定后,对于ESCO是否进入BEESM市场的理论分析采用了实物期权理论来进行解释,构建了BEESM市场进入的期权博弈模型,分析结果表明ESCO对实施CEM项目之所以存在观望态度是由于其节能投入与收益补偿在时间点上具有跨期特征,正是这种特征使得投资在经济上具有风险。当收益与成本的倍数达不到ESCO要求的情况下,ESCO开展CEM项目具有较大迟疑性。从市场进入的期权博弈分析可以得知,CEM项目的未来收益现金流和节能成本是决定是否进入市场的关键因素,也是重要的不确定性变量。因此增加CEM项目的收益、降低其成本和风险有助于ESCO实施CEM项目。由于BEESM市场中政府与供需主体存在委托—代理关系,因此运用委托—代理理论建立了BEESM激励模型,求解结果显示激励制度应考虑供需主体努力水平、风险规避程度和代理成本等因素。紧接着,分析了基于成本的管理性激励(PMI)和基于性能的长期性激励(PLI)的适用环境,并提出了考虑了激励强度和外部约束变化的组合激励模式。在此基础上,结合激励模型的关键因素,提出了我国BEESM的供需主体激励制度组合,包括建筑用能分项计量制度、建筑能效审计制度、建筑节能量交易制度和建筑能效标识制度。对激励制度组合的传导机理进行分析的结果显示,供需主体激励制度不仅为BEESM提供了可衡量的节能标准和市场信号,而且为需求主体提供了获得更多收益的机会。结合上述研究成果,利用研究成果对上海市BEESM激励政策进行实证分析。目前上海市供需主体的激励政策补贴属于PMI模式,以政府财政投入为主,市场化激励模式尚未建立,因此上海市BEESM激励制度仍需不断完善。在上海市BEESM应用研究的基础上结合本研究的全部内容提出了包括节能管理组织、节能管理体制、节能指标考核体系和信息扩散平台四方面的BEESM激励制度实施建议。对BEESM激励制度的研究可有效解决市场发展初期节能动力不足的问题,从长期来看可改变依赖政府推动的节能发展模式。更多还原

【Abstract】 Building energy efficiency (BEE) in China is improved mainly by government power. However, in the long run, this way is obviously unsustainable because Chinese existing floor space is so huge and it’s impossible for the government finance to afford it. So, it is necessary to encourage main body of supply and demand to seek for more efficient building through building energy efficiency service market (BEESM). And most of existing research on BEESM is rather unitary, for those researches throw mainly light on the specific operation process, and very little discuss explicitly the BEESM incentive mechanisms. Aimed at the question which exists in present BEESM research, this dissertation is about the research of providing the policy suggestions for BEESM system.Through the research on the BEESM main body and operation mechanism, analyzes the pathway of BEESM to BEE. Analyses the quasi-public goods attribute of building energy efficiency service(BEES), which results in the efficiency loss and insufficient voluntary supplies quantity. According to new institutional economics theory, even if the situation of technical knowledge is not changed, the good mechanism possibly will also raise the social total productivity level. Therefore, the government needs effecting through macroeconomic law and regulation to reach public resource allocation function. And the rational incentive system should be designed in order to promote the BEESM development.Analyses BEESM boundary. With the boundary strengthened or weakened, the BEESM development would fasten or slow down. Then, establishes the transaction cost model which BEES arises. The model result shows that the main factor of BEESM development is the reduction of transaction cost. In consideration transaction cost situation, when the transaction cost of BEESM is lower than that of BEES provided by internal resources, BEESM only possibly forms. The internal variable affects the BEESM transaction cost includes property special-purpose and the duty complexity, extraneous variable includes BEESM industry competition degree and contract system. Based on this, BEESM endogenous growth model is constructed. BEESM and the economic growth are analyzed. As a result, BEESM development stage is drawn and corresponding strategy should be consistent with BEESM characteristics of every stage.Proposes the classification method and BEESM main body of supply and demand and structure preference pattern. Based on that, consider whether ESCO enter the BEESM market using the real options theory to explain. With the option game theory model, the analysis result indicates that the attitude of wait and see of ESCO is brought by its energy conservation investment and the income compensation lag, which enables the investment to have the risk in the economy. When the income and the cost multiple cannot be reached, ESCO hesitates to develop CEM project or not. In addition, BEESM policy uncertainty is also the main reason to enlarge the BEESM entrance uncertainty.Through the analysis of BEESM principal agent relation, the incentive model of government and main body of supply and demand is established. The model analysis results show that effort level, incentive intensity, risk and the agent cost should be included in the incentive mechanism. Further, anylyzes the condition of application and key design factors between price-based management incentives (PMI) and performance-based long-term incentives (PLI). The results show that the market transformation should be combined with the incentive mechanism. And the incentive system is established based on the above research, which includes building energy sub-metering system, BEE auditing system, BEE quantity transaction mechanism and BEE marking system. Further, the incentive pathway analysis show that BEESM equilibrium is significantly improved by the four incentive system.Apply the above research to analyze Shanghai BEESM incentive policy. The analysis shows that Shanghai BEESM policy belongs to the PMI pattern. And proposes Shanghai BEESM should be consummated unceasingly. Based on Shanghai BEESM applied result and with the above research, BEESM implementation suggestions are drawn including management organization guarantee, flexible management system, BEE objoct inspection system and the information platform.Through the research on BEESM incentive system, it can effectively provide the reference for settling the problem of BEESM slow development to a certain degree. With gradual development of BEESM, the research fruits will have the wide application importance.更多还原