【作者】 张国东；

【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， 2008， 博士

【摘要】 进入21世纪,可持续发展成为人类发展的主题,节能成为世界各国能源战略的重要内容。中国目前正处于工业化和城市化快速发展的阶段,建筑节能及建筑业的可持续发展不仅关系到我国的能源供需情况,也关系到全球的气候、环境变化问题。但是,长期以来,由于缺乏有效的经济激励机制和政策,我国建筑节能的成效还不显著,尤其是地源热泵等可再生能源在建筑中应用的比例还很低。因而,认清地源热泵产业发展的障碍,进而提出有针对性的促进地源热泵在建筑中应用的政策建议,对国家在“十一五”期间以及在2020年之前分阶段地实现建筑节能规划目标具有重要的理论与现实意义。本文以可持续发展理论和绿色建筑理论为研究的理论依据,将解决影响地源热泵推广应用的外部性问题为研究的主要目标,并以委托代理理论为研究的基本分析方法,对促进地源热泵在建筑中应用的经济激励问题进行了研究。通过对我国建筑用能情况的分析,提出应该充分利用低品位能源来满足建筑采暖、空调能耗需求,以减少对煤炭、石油、天然气等高品位能源的消耗;根据地源热泵的特点和国内外应用情况,并与其他可再生能源进行比较,突出地源热泵在满足低品位用能需求方面的优势,提出在资源条件适合的情况下,应该提高地源热泵在建筑中的应用比例,并分析了地源热泵在我国发展的障碍。市场机制和政府管理作为地源热泵产业发展的内在动力和外部动力应该共同发挥作用,但在地源热泵产业发展的初期,政府管理应发挥主导作用。本文提出了促进我国地源热泵产业化发展的政府管理模式以及相关扩散活动的思路,并构建节能管理的成本模型对强制型和激励型能源政策进行定量分析,通过静态经济效率比较,得出了实施经济激励政策更有效率的结论。在激励机制的主体、客体分析中,运用博弈论的方法,分析了中央政府和地方政府在发展可再生能源中的政策实施和资金投入的博弈过程,结论表明中央政府在可再生能源产业发展初期应发挥激励导向作用。根据地源热泵产业面临的障碍,提出了应建立目标机制和补偿机制;构建了委托代理模型,分别进行信息对称和不对称情况下的最优代理模式分析,确定了促进地源热泵建筑应用的基于成本激励的模式。在对激励机制研究的基础上,借鉴国外可再生能源经济激励政策的经验,针对我国经济激励政策的不足之处,并结合地源热泵产业发展现状,提出了促进地源热泵在建筑中应用的税收政策和财政补贴政策建议,建立了多指标综合量化评价指标体系,并进行了实证分析;还从投资收益的角度分析了实施经济激励政策的经济效益、环境效益,提出了加强其它相关的制度建设的政策建议。本文的研究是在已有的研究成果基础上,结合建筑节能工作的实践,对促进地源热泵应用的经济激励机制进行的研究与探索,可为国家在建筑节能领域实施宏观调控提供理论支持和政策依据。更多还原

【Abstract】 The sustainable development has become the main theme of human society when entering the 21st century, and the energy conservation has become the important content in the energy strategy of every country in the world. China is now in the stage of rapid development of industrialization and urbanization, the building energy efficiency (BEE) and sustainable development of building industry do not only concerns to the supply-demand balance of energy in China, but also to the global climate and environment. However, in a long history of China, resulted from lacking of effective incentive policy, the effect of BEE is not significant and the portion is still low of applying renewable energies such as Ground-Source Heat Pumps (GSHPs) into the buildings. So, identifying the obstacles during development of GSHPs and further proposing specific policy suggestions on promoting applying GSHPs into buildings will have great theoretical and practical significance for realizing the goals of BEE planning for the 11th Five-Year Plan period and before the year of 2010 in China by stages.With the theoretical basis about sustainable development, green buildings, externality theory, and principal-agent theory, the foundations of clue, this dissertation shows the study of economic incentive problems for promoting the application of GSHPs into buildings.According to the characteristics of GSHPs and their application abroad, as well comparison GSHPs with other types of renewable energies, it is recommended taking the prominent advantages of utilizing GSHPs for satisfying the demand of low grade energies; and under the proper resource conditions, it is recommended increasing the application portion of GSHPs into buildings. Furthermore, the obstacles during the development of GSHPs are also analysed.The market mechanism as the internal dynamics and the governmental management as the external dynamics shall co-generate the functions for the industrial development; however, in the preliminary stage, the governmental management shall play the dominant role to direct the industrial development of GSHPs. So this study proposed the management modalities of national level demonstration projects and corresponding dissemination clues of GSHPs development. It is also made the quantitative analysis on two typical energy policies—compulsory policies and incentive ones, established the cost model for energy management, then through the comparison of static economic efficiency, identified the argument of that the economic incentive policies are more efficient.In the analysis of subject and object in the incentive mechanism, the game theory is applied to analyze the renewable energy development policy differences between the central government and local governments, analyze the gaming process by such two subjects on aspect of percentages of financial input to the renewable energy development, which resulted in that the central government shall lead the direction of incentives for renewable energy during the preliminary development phase. And based on the obstacles to the industry of GSHPs, it is also raised out the specific proposal to establish the objective mechanism and compensation mechanism. With principal-agent model the optimal agent analysis in the condition of information symmetry and information asymmetry were performed respectively. Then the Cost-based incentives model was established.Finally, with such basis of studying on economic incentive mechanism, as well as referring to the economic incentive policies to renewable energy and related experiences from abroad, it is analyzed the deficiency of Chinese incentive policies; in combination of Chinese status of GSHPs industrial development, it is proposed the taxation policy suggestions and financial subsidy policy suggestions for promoting the application of GSHPs into buildings; established the multi-index comprehensive evaluation system for economic incentive policies, takes two cities for example in order to perform empirical analysis; and made the effect analysis on economic benefits, environmental benefits from investment income when implementing such economic incentive policies. Meanwhile, the policy suggestions supporting institutional development were putted forward.Thus, the study for this dissertation are built on the existing research fruits with combination of practices of BEE work progress, moreover, the results of the study will provide the surppots and evidences for macrocontrol of BEE in China.更多还原