本文關(guān)鍵詞：我國建筑節(jié)能財政政策研究，由筆耕文化傳播整理發(fā)布。

隨后借鑒國外發(fā)達國家建筑節(jié)能財稅政策的成功經(jīng)驗,立足我國國情及建筑節(jié)能財稅政策現(xiàn)狀,從財政稅收角度為實現(xiàn)促進我國建筑節(jié)能發(fā)展提出了可操作性的政策建議. 在研究方...

Classified Index：F812.0 U.D.C.: 332/336 Dissertation for the Doctoral Degree in Management STUDY ON FISCAL POLICY OF THE BUILDING ENERGY EFFICIENCY IN CHINA Candidate：

Wang Hongbo Supervisor：

Prof. Liu Changbin Academic Degree Applied for：

Doctor of Management Specialty：

Management Science & Engineering Affiliation: School of Management Date of Defence: Sep，2009 Degree-Conferring-Institution：

Harbin Institute of Technology 摘要 - I - 摘 要 隨著能源緊張和環(huán)境污染問題的日益嚴峻，我國政府加大了節(jié)能減排工作 力度，民用建筑領(lǐng)域的節(jié)能也成為了節(jié)能減排的重點。我國建筑節(jié)能自二十世 紀(jì)八十年代開始，主要以政府的行政性強制措施為推進手段，而市場主體缺乏 主動節(jié)能投資的積極性，建筑節(jié)能推進緩慢。如何有效發(fā)揮政府的宏觀調(diào)控作 用，，引導(dǎo)市場主體的積極性和主動性成為政策研究的關(guān)鍵點。本文深入剖析我 國建筑節(jié)能存在的制度障礙，研究如何運用財政政策有效促進建筑節(jié)能開展。 本文采用定性分析與定量分析相結(jié)合的研究方法，對我國建筑節(jié)能財政政策的 制定進行了深入研究，得出了一些有參考價值的結(jié)論。論文主要內(nèi)容如下：

從現(xiàn)實情況入手分析了我國建筑節(jié)能財政政策的需求，提出問題研究的必 要性和緊迫性。我國建筑能耗存在著能耗大、能效低、污染重等現(xiàn)狀，同時， 城市化進程加快、居民消費水平提高、農(nóng)村用能結(jié)構(gòu)改變和產(chǎn)業(yè)結(jié)構(gòu)調(diào)整等因 素加劇了建筑用能需求，通過對建筑用能需求和建筑能效兩方面的影響因素分 析和預(yù)測，建立了我國建筑節(jié)能潛力動態(tài)評估模型。通過詳細分析我國建筑節(jié) 能的發(fā)展現(xiàn)狀及存在的制度障礙，指出建筑節(jié)能財政政策缺失是建筑節(jié)能推進 緩慢的重要因素之一，進而評析現(xiàn)有的建筑節(jié)能財政政策實施現(xiàn)狀及激勵作用 缺失的問題，提出論文研究的必要性和重要意義。

理論分析與經(jīng)驗借鑒相結(jié)合，研究了我國建筑節(jié)能財政政策的政府定位問 題。運用公共財政學(xué)的外部性理論，分析了建筑節(jié)能投資的正外部性特征和市 場機制失靈導(dǎo)致的建筑節(jié)能產(chǎn)品市場均衡狀態(tài)偏離社會最優(yōu)配置，同時分析了 稅收優(yōu)惠和財政補貼等政策手段對于促進節(jié)能和約束非節(jié)能行為的激勵作用， 指出財政政策促進節(jié)能的有效性；

進而從宏觀層面分析實施建筑節(jié)能財政政策 的成本效益，構(gòu)建政策成本和政策效益指標(biāo)體系，評估政策實施的宏觀經(jīng)濟性 能。運用公共物品理論分析建筑節(jié)能產(chǎn)品的準(zhǔn)公共物品屬性和實施主體缺失的 根源，借鑒國外實施建筑節(jié)能財政政策的經(jīng)驗，并運用臨界質(zhì)量模型進行政府 行為定位分析。

對市場主體的建筑節(jié)能財政政策體系進行設(shè)計。根據(jù)機制設(shè)計理論，財政 政策的設(shè)計應(yīng)滿足激勵機制的參與約束和激勵相容約束，才能引導(dǎo)市場主體在 自利原則下的行為選擇符合設(shè)定的社會總體目標(biāo)。在明確建筑節(jié)能政策目標(biāo)和 重點領(lǐng)域的基礎(chǔ)上，運用供求理論分析我國建筑產(chǎn)品市場的供求現(xiàn)狀及趨勢， 指出現(xiàn)階段建筑產(chǎn)品的供給端投資決策對于節(jié)能與否具有較強的決定作用。通 哈爾濱工業(yè)大學(xué)管理學(xué)博士學(xué)位論文 - II - 過建立開發(fā)商群體和消費者群體的有限理性進化博弈模型分析，政府可根據(jù)兩 類群體的進化學(xué)習(xí)速度選擇財政政策措施。通過建立理性政府與有限理性開發(fā) 商群體的進化博弈模型，分析了政府選擇財政政策激勵力度的理論依據(jù)�；� 前述研究基礎(chǔ)上，提出了針對新建建筑節(jié)能、既有建筑節(jié)能和可再生能源建筑 應(yīng)用領(lǐng)域的市場主體財政政策框架設(shè)計。

建立中央政府與地方政府的政策投入博弈模型，證明區(qū)域差異會對博弈結(jié) 果產(chǎn)生影響，并對我國建筑節(jié)能區(qū)域差異進行劃分，提出具有地區(qū)差異的財政 政策選擇建議。結(jié)合我國地域廣闊，地區(qū)差異大的國情，根據(jù)建筑節(jié)能專項檢 查的數(shù)據(jù)進行差異指標(biāo)分析，指出各地區(qū)開展建筑節(jié)能的基礎(chǔ)條件存在很大差 異，導(dǎo)致建筑節(jié)能進展不均衡。分析影響建筑節(jié)能的經(jīng)濟因素、現(xiàn)有節(jié)能工作 基礎(chǔ)因素、能源因素和建筑能耗因素等，運用主成分分析和系統(tǒng)聚類分析方 法，對各省份開展建筑節(jié)能的現(xiàn)實條件進行區(qū)域劃分，并依據(jù)區(qū)域劃分結(jié)果， 提出具有區(qū)域差異的財政政策選擇建議。

結(jié)合論文研究內(nèi)容，選擇上海市作為實證分析對象，分析了上海市能耗狀 況及節(jié)能潛力，并對上海市建筑節(jié)能財政政策的現(xiàn)狀進行評析，結(jié)合上海市的 地區(qū)特點，進行了財政政策方案優(yōu)化設(shè)計，并預(yù)測了政策實施的經(jīng)濟、社會和 環(huán)境效益。

建筑節(jié)能財政政策的研究有利于政府充分發(fā)揮宏觀調(diào)控職能，運用經(jīng)濟杠 桿，引導(dǎo)市場主體的節(jié)能投資行為。有效運用財政政策手段和合理利用財政資 金，發(fā)揮市場機制作用，充分挖掘建筑節(jié)能潛力，實現(xiàn)包括社會效益和環(huán)境效 益在內(nèi)的宏觀經(jīng)濟效益，實現(xiàn)節(jié)能總體目標(biāo)和能源可持續(xù)發(fā)展目標(biāo)。

關(guān)鍵詞：建筑節(jié)能；

外部性；

財政政策；

政策選擇 Abstract - III - Abstract With the more severe problem of energy short and environment pollution, Chinese government increase the work power for energy efficiency and emission reduction and civil building region becomes the key point of energy efficiency and emission reduction. China building energy efficient work starts in the beginning of 1980’s, which is pushed by government’s administrative and compulsive measures. Therefore, it becomes the key research point that how to play the role of government’s macro regulating and controlling to induce the market agent’s enthusiasm and active for that market agent is absent of enthusiasm of voluntary investment and building energy efficient work is pushed slowly. The study deeply analyzes the system obstacle for building energy efficiency (BEE) in China and makes research on how to effectively promote the development of building energy efficient work by fiscal policy. It adopts the method with combining quantitative and qualitative research method. Get some results with much reference value on establish fiscal policy. The study contents are as followings. From the practice, analyze the requirement of fiscal policy of BEE in China, and propose the necessary and importance of research problem. In China, there is the condition of big energy consumption, low energy efficiency and serious pollution in building energy consumption. At the same time, it quickens energy utilization requirement that quickly development of city, improvement of resident consuming level, changing energy utilization frame in country, adjustment of industry structure and other factors. The study qualitatively analyzes the requirement of energy efficiency in China. And through analyzing and forecasting the influent factors of building energy utilization requirement and building energy efficiency, establish dynamic evaluation model of energy efficient potential ability. Quantitative analysis result proved that there is big potential ability in BEE. Analyze the development condition and existing system obstacle of BEE in China in detail. Through analyzing the existing problem, propose that absence of fiscal policy of BEE is one of important factors of slowly propelling BEE. Comment on the problem of implement condition of fiscal policy of BEE and absence of incentive role, and propose the necessary and important meaning of researching on policy. Combination with theory analysis and experience references, research on the problem of government orientation on fiscal policy of BEE in China. Using externality theory of public finance theory, analyze the market equilibrium condition departure with optimized social collocation by positive externality of 哈爾濱工業(yè)大學(xué)管理學(xué)博士學(xué)位論文 - IV - building energy efficient investment and market failure. At the same time, analyze the incentive role of tax credit, fiscal subsidy and other policy measures to propelling energy efficiency and restricting non-energy-efficient behavior, and propose the effectiveness of fiscal policy propelling BEE. In macro-level, analyze cost and benefit of implementing fiscal policy of BEE, construct the index system of cost and benefit of policy, and evaluate macro-economic performance of policy implement. Utilizing public goods theory, analyze the quasi-public goods characteristics of building energy efficient goods and reason of absent of implement agents. Reference on the experience of implementing fiscal policy of BEE in foreign country and China, analyze the government behavior orientation by critical quality model. Design fiscal policy system of BEE to market agents. According the theory of mechanism design, design fiscal policy should satisfy with participant restriction and incentive compatible restriction so as to induce market agent to select total social aim under the self principle. On the basis of confirming aim and key fields of fiscal policy of BEE, utilize supply and demand theory to analyze the condition and tendency of building energy efficient goods market, and refer that investment decision on supply sides of building goods has the bigger determinative role to BEE. Through establishing evolutionary game model with bounded rationality between developers and consumers, the proportion energy efficient building established by developers and purchased by consumers are goods that the market is tend to optimized equilibrium. Government can select fiscal policy measure through evolutionary study speed of two groups. Through establish evolutionary game model with rationality between government and developers, analyze the theory basis of government selecting incentive degree of fiscal policy. On the basis of following research, propose the fiscal policy scheme including new building energy efficiency, existing building energy efficient retrofit and renewable energy applied in building. Establish investment game model between central government and local government, prove that regional difference has the influence on game result, carve up the regional difference of BEE in China, and propose suggestions on selecting different fiscal policy according to the regional characteristics. According to the national condition of wide field and big regional difference, analyze the different index of data on special checking on BEE, refer that there are big difference in basis condition on having building energy efficient work so as to un-balanced development. Analyze the economic factor influencing BEE, basic factor of existing building energy efficient work, energy factor, building energy consumption factor and other factors, utilize principal component analysis and system clustering Abstract - V - analysis method to carve up the regional practical condition of each province taking building energy efficient work. And propose the corresponding fiscal policy suggestions according to the region carving results according to the result of regional carving. According the research contents, select Shanghai as the experimental analysis object, analyze energy consumption condition and energy efficient potential in Shanghai. And comment on the condition of fiscal policy of BEE. Considering the region characteristics of Shanghai, optimized design fiscal policy, and forecast the economic, social and environmental benefit. Research on fiscal policy for BEE is good for government fully playing the macro regulating and controlling function, inducing the energy efficient investment behavior of market agent by economic lever. Effectively utilize fiscal policy measures, fully utilize financial capital, take the role of market mechanism, and fully dig energy efficient potential in building field. Realize the general macro economic benefit including social benefit and environmental benefit, general energy efficient aims and energy sustainable development. Keywords: building energy efficiency ， externality ， fiscal policy ， policy selection 哈爾濱工業(yè)大學(xué)管理學(xué)博士學(xué)位論文 - VI - 目錄 摘 要.............................................................................................................................I Abstract ...........................................................................................................................III 第1 章 緒論...................................................................................................................... 1 1.1 課題來源與問題的提出..........................................................................................1 1.1.1 課題來源...........................................................................................................1 1.1.2 問題的提出.......................................................................................................1 1.2 研究的目的和意義..................................................................................................4 1.2.1 研究的目的.......................................................................................................4 1.2.2 研究的意義.......................................................................................................5 1.3 國內(nèi)外研究現(xiàn)狀及評述..........................................................................................6 1.3.1 能源政策與建筑節(jié)能政策...............................................................................6 1.3.2 財政政策與建筑節(jié)能.......................................................................................9 1.3.3 建筑節(jié)能潛力與財政政策效益分析.............................................................11 1.3.4 建筑節(jié)能財政政策機制設(shè)計.........................................................................12 1.3.5 建筑節(jié)能財政政策內(nèi)容與類型.....................................................................12 1.3.6 文獻評述.........................................................................................................16 1.4 論文的研究內(nèi)容及研究方法................................................................................17 1.4.1 論文研究內(nèi)容及邏輯框架.............................................................................17 1.4.2 研究方法.........................................................................................................19 第2 章 我國建筑節(jié)能財政政策需求分析.................................................................... 21 2.1 我國建筑能耗現(xiàn)狀及節(jié)能需求............................................................................21 2.1.1 建筑建造過程中的能耗狀況.........................................................................21 2.1.2 建筑使用過程中的能耗狀況.........................................................................22 2.1.3 我國建筑節(jié)能需求的緊迫性.........................................................................23 2.2 建筑節(jié)能潛力評估................................................................................................24 2.2.1 節(jié)能潛力的概念和內(nèi)涵.................................................................................24 2.2.2 建筑節(jié)能潛力的影響因素分析.....................................................................25 2.2.3 評估模型的建立與應(yīng)用.................................................................................30 2.3 我國建筑節(jié)能存在的問題分析............................................................................31 目錄 - VII - 2.3.1 我國建筑節(jié)能的發(fā)展.....................................................................................31 2.3.2 我國建筑節(jié)能存在的問題.............................................................................34 2.3.3 存在問題的原因剖析.....................................................................................38 2.4 我國建筑節(jié)能財政政策現(xiàn)狀評析........................................................................40 2.4.1 我國建筑節(jié)能財政政策的現(xiàn)狀.....................................................................40 2.4.2 我國建筑節(jié)能財政政策的評析.....................................................................43 2.5 本章小結(jié)................................................................................................................44 第3 章 建筑節(jié)能財政政策的政府定位........................................................................ 45 3.1 建筑節(jié)能的外部性分析........................................................................................45 3.1.1 外部性理論.....................................................................................................45 3.1.2 外部性問題的解決方法.................................................................................46 3.1.3 建筑節(jié)能的外部性與市場機制失靈.............................................................48 3.2 財政政策對建筑節(jié)能的激勵作用分析................................................................53 3.2.1 稅收作用機制分析.........................................................................................53 3.2.2 財政補貼作用機制分析.................................................................................54 3.3 政策成本效益分析................................................................................................56 3.3.1 建筑節(jié)能的政策成本分析.............................................................................57 3.3.2 建筑節(jié)能的政策效益分析.............................................................................58 3.4 建筑節(jié)能供給與政府定位....................................................................................61 3.4.1 公共性理論與供給主體有限性.....................................................................61 3.4.2 建筑節(jié)能的實施主體缺失及解決途徑.........................................................63 3.4.3 國外建筑節(jié)能財政政策評價與借鑒.............................................................64 3.4.4 政府定位分析.................................................................................................67 3.5 本章小結(jié)................................................................................................................70 第4 章 市場主體的建筑節(jié)能財政政策設(shè)計................................................................ 72 4.1 市場主體財政政策設(shè)計的理論依據(jù)....................................................................72 4.1.1 機制設(shè)計理論.................................................................................................72 4.1.2 激勵相容.........................................................................................................73 4.2 建筑節(jié)能財政政策的目標(biāo)與重點領(lǐng)域................................................................74 4.2.1 建筑節(jié)能財政政策目標(biāo)分析.........................................................................75 4.2.2 建筑節(jié)能財政政策重點領(lǐng)域分析.................................................................76 4.3 建筑節(jié)能財政政策對象選擇................................................................................78

國內(nèi)圖書分類號:F812.0 學(xué)校代碼:10213國際圖書分類號:332/336 密級:公開 管理學(xué)博士學(xué)位論文 我國建筑節(jié)能財政政策研究 博 士 研 究 生: 王洪波 導(dǎo) 師: 劉長濱 教授 申 ...

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