1Best Practices on Energy Efficiency Incentives and Their Role in Energy Policy A Report for Decisionmakersin ChinaBeijing May 12, 2005by David B. Goldstein, Ph.D.Energy Program DirectorNRDC, San Francisco, CAdgoldsteinnrdc.org关于能源效率激励政策及其在能源政策中所占地位的最佳实践 一份提供给中国决策者的报告2Economic Incentives are Almost Always Part of a Broader Package经济激励几乎一直是众多解决问题的手段之一n The package may be aimed at 目的是 n Developing a comprehensive energy policy 开发应用更广泛的能源政策n Supporting a housing policy 支持住房政策n Rationalizing economic forces on consumers and business 使针对消费者和商业活动的经济措施合理化n Incentives policies should complement other energy policies. 激励政策应对其他能源政策形成补充3Effectiveness of Incentives 激励手段的成效n Tax incentives for energy efficiency have not been employed widely. 提高能源效率的税收激励尚未广泛应用n Very few programs have been uated. 对很少的激励项目进行了评估n But uations of tax incentives and related managed incentives run by governments and utilities yield consistent results and recommendations. 但是对于由政府及公用事业部门实施的激励政策和管理性激励项目的评估得到了持续性的结果和建议4Summary of Recommendations结论与建议n Provide for positive interaction between energy codes, labels, and financial incentives.使能源法规 、 标准 、 标识和财政激励之间产生积极的互动n Incentives should be based on perance and not cost, whenever possible.不论任何时候 ， 尽可能使激励手段基于性能而非成本制定n Energy perance goals should be ambitious enough to 应确定远大的节能目标 ， 这样可以 ;n Minimize free ridership 使 “搭便车 ”行为减至最少n Control costs 控制成本5Summary of Recommendations结论与建议n Targets may be provided in several tiers. 可以使目标分几个等级来实现n Develop an administrative structure to oversee the awarding of incentives.建立一个行政管理机构来监督激励项目的实施n Oversight is needed to maintain integrity 需要监督来保证公正性n Administration should not be burdensome 管理部门不应负担太重n Compliance documentation should have market value 遵守要求的文档应有市场价值n Provide complementary programs for education, outreach, and marketing of the tax incentives.提供教育 、推广以及营销手段 ， 作为激励政策的补充 6Tax Incentives财税激励n Perance-Based基于性能n Incentive depends only on meeting an energy targetn 激励程度取决于要满足的某一节能目标n Cost-Based基于成本n Incentive depends only on how much you spend on energy efficiency n 激励程度取决于由于提高能源效率而导致的成本增加27Program Design and Administration方案设计及管理n Managed Incentives管理性激励项目n Change to respond to market随市场情况而变n Targets are moderately ambitious目标适中n Long-Term Incentives长期性激励项目n Program design is fixed方案设计固定n Very ambitious targets 目标很高8Delivery Mechanisms形成机制n State agency grants or loans.政府机构拨款或贷款n Tax incentives at national or provincial level designed by ministry staff.由政府部门决定国家或地方的税收激励n State or national tax incentives fixed by legislation or decree.通过立法或法令确定州级或国家级的税收激励9Administrative Mechanisms管理机制n Utility-run rebate programs.公用事业部门实施的补贴项目n Private sector or non-profit programs.私营部门或非营利部门项目n Provincial or national Energy or Environmental Agency administration of programs.由 地方或国家的能源或环境机构来实施项目n Finance Ministry processes applications.财政部门处理相关申请手续10Funding Sources基金来源n General government revenues一般性政府收入n Public Benefits Fund for utility customers为公用事业消费者设立的公益基金n Carbon taxes or pollution taxes 碳税或污染税n Enhanced revenue collection from businesses对企业增加征税n This mechanism works automatically if businesses pay a tax on net profits.若企业按净利润纳税该机制自动生效11Energy Policy Context 接下来的能源政策n Energy codes or standards.能源法规或标准n Inational labels 能效信息标识n Normative labels 标准化能效标识12Energy Policy Context II能源政策二n Managed incentives 管理性激励手段n Long-term incentives 长期激励手段n Ination programs and energy efficiency demonstration centers节能信息传播和节能示范中心n Research and development 研发313Why uations Are Rare为什么评估很少n Most tax incentive programs are established by legislatures.大多数激励方案由立法机关建立n There is little political benefit in supporting a program that is effective, but 即使支持的项目效果不错 ， 也几乎没有什么政治收益 ， 然而n There is great political risk in sponsoring a program that is found to be ineffective.如果被证明资助项目的实施效果不好 ， 则会带来很大的政治风险n A negative uation could cause its proponents to lose face.负面的评估结果使其资助方丢面子14uations 评估n But uation is necessary to refine program design.但是评估对于确定方案设计来说是必要的n With a portfolio of many programs, it should not be embarrassing if some components work better than others.随着大量方案的评估 ， 某些部分比其他部分完成的好不应使人感到尴尬n A few programs have been uated rigorously and the results are very consistent.有几个项目已进行了严格的评估 ， 得到了一致的结果15uation Results评估结果n Programs based solely on cost have proven ineffectual or even counter-productive.仅基于成本的项目已被证明无效甚至起反作用n Programs based on both costs and minimum energy perance criteria appear anecdotally to have achieved at least modest success. 据说 ， 不但基于成本而且基于最低能效标准的项目至少已经取得了一定的成功n Managed programs based on perance and accompanied by strong promotion have been very successful.得到大力支持的基于性能的管理性项目被证明非常成功n Best practices report from American DSM experience从美国 DSM项目经验得出的最佳实践16Energy Codes and Standards Are One of the Most Important Policies for Energy Efficiency 能源法规和标准是提高能效最重要的政策之一n Savings exceed 6,000 MW in California today and 14,000 MW as of year 2010 compared to about 45,000 MW of total electricity.n 今天加利福尼亚节约的电力负荷超过 6000MW， 2010年将达到14000MW（ 较于 45000MW的总电力容量来说 ）n Fuel cost savings are at least twice the cost of efficiency.n 燃料成本节约至少是效率提高成本的两倍17Labeling and InationNormative Labeling Recognition Programs标识和信息 标准化的标识和认证方案n The EU requires that all buildings be rated by 2006.欧盟要求截至 2006年所有建筑都要进行能效水平分级n Russia and Kazakhstan require energy ratings as part of their energy codes.俄罗斯和塔吉克斯坦要求将能效分级作为其国家能源法令的一部分n For new homes, the U.S. EnergyStar Program established a perance-based target of 30 savings compared to a model national energy code.对于新建建筑 ， 美国能源之星项目建立了与中等国家级节能标准相比能够实现节能 30的基于性能的节能目标n It has grown rapidly to a market share of almost 10, mostly without subsidies.在几乎没有补贴的情况下 ， 该项目已迅速发展到市场占有率接近 10％ 18Labeling and InationNormative Labeling Recognition Programs标识和信息 标准化的标识和认证方案n For public buildings, the U.S. “Advanced Buildings Benchmark™”provides a design target, and the “EnergyStar”Program recognizes measured low energy use/m2n 美国 “能源之星 ”只承认节能市场最高端 25, 按每平米能耗费用最低的评估 。n Low energy cost is only weakly related to energy efficiencyn 但最低能耗费用与能效只有微弱的联系 。n The U.S. Green Buildings Council’s LEED™ program recognizes a variety of “green”practices beyond just energy efficiencyn 美国绿色建筑协会的 绿色建筑评估认证标准体系 LEED™ 除节能以外 ， 还承认其它多种 “绿色 ”的实践 。419Efficiency Programs Complement Energy Codes 节能项目是能源标准法规的补充n Programs can encourage compliance with the code by motivating designers.项目能通过激励设计者鼓励遵守法令的行为n Programs can encourage production of efficient equipment locally.项目能够鼓励当地高效节能设备的生产n Programs can encourage early compliance with China’s new lighting code and efficiencies beyond the minimum in the code. 项目能够鼓励早期遵守中国的新照明节能标准和超过最低能效标准的行为Utility-Sponsored Incentive Programs can Greatly Increase Energy Savings 公用事业单位资助的激励项目能够得到很好的节能效果21Tax Incentives for Energy Efficiency Could Greatly Increase Savings对提供能效水平的财税激励措施能够带来明显的节能效果n Caution Tax incentives seldom been used this discussion is partly theoretical.说明 税收激励很少应用 ， 该讨论从某程度上讲是理论上的 。n But, evidence from market transation programs shows that properly designed tax incentives can promote more advanced technologies and larger energy savings. 但是 ， 来自市场转化项目的证据表明正确设计的税收激励可以促进科技的进步及更大的能源节约22Options for Tax Incentives财税激励措施的选择n Establish managed incentive programs, similar to those operated in the UK, the state of Oregon, and Sweden.建立管理性激励项目 ， 类似于在英国 、 俄勒冈和瑞典实施的那样n Establish long-term incentive programs similar to the U.S. proposed law S. 680.建立长期激励项目 ， 类似于美国 S680提议法案那样n Managed and long-term programs are complementary.管理性及长期性项目互补23Principles for Well-Designed Tax Incentives良好的税收激励项目的设计原则n Most everyone supports voluntary or incentive-based programs as an alternative to mandatory or code-based programs.相对于强制性或基于法令的项目来讲 ， 大多数人愿意选择自愿性或基于激励手段的方案n But no one wants to pay for the programs. Incentives can become very expensive unless they are designed in a careful way. 但是没有人愿意为项目付钱 。 若不小心设计 ， 激励手段可能会代价非常高n Therefore, program costs should be minimized by setting high goals and modest incentives.因此应通过制定高目标和适当激励以使项目成本最低24Principles for Well-Designed Tax Incentives II良好的税收激励项目的设计原则 二n Workable based on program experience.可行的 基于项目的实施经验n Verifiable assure that energy savings are real and can establish market value. 能够验证的 确保能节约能源并制造市场价值n Incentives should be competitively neutral and sustainable in the marketplace.在市场上 ， 激励手段应保持竞争和可持续发展525Energy Policy Principles能源政策原则n Achieve significant energy savings compared to code or normal practice与法令或常规做法相比要取得可观的能源节约效果n Tie incentives to energy perance使激励手段与节能性能相结合n Trans the market so the same incentive is not required in perpetuity推动市场转化 ， 以至于未来不再需要激励26Managed Incentive Program Design Principles 管理性项目设计 原则n Work with markets customers, builders, developers, manufacturers, distributors, etc.n 与市场打交道 （ 包括消费者 、 建筑商 、 开发商 、 生产商 、 分销商等 ）n Be flexible adapt to conditions.n 具有灵活性 适应环境n Focus on customer needs and value.n 注重消费者的需求和价值观n Customer may be more interested in side effects of efficiency increased comfort, reduced maintenance costs, better productivity than energy cost savings.n 相对于节约电力支出而言 ， 消费者可能会对节能措施的其他效果更感兴趣 （ 提高舒适度 、 降低维护成本 、 提高生产率 ）27Managed Incentives for Buildings 对建筑节能的管理性激励n Different program designs are needed forn 需要为以下建筑设计不同的计划 n New residential buildingsn 新建住宅n Retrofitted existing residential buildingsn 改造现有住宅n Equipment and lighting systems in residential buildingsn 住宅中的建筑设备和照明系统n New commercial buildings or new construction in commercial buildingsn 新建商业建筑或商业建筑中的新建项目n Retrofit commercial buildings n 改造商业建筑n Specific equipmentn 特殊设备 28Experience from Programs Shows that计划实施的经验表明 n Programs must be simple to understand and administer. n 计划必须简洁明了 ， 易于理解和执行n Programs can encourage savings beyond mandatory codes.n 计划能够鼓励超过强制性规范标准的节能n Programs can establish conditions for improving mandatory codes.n 长期计划可以为改进强制性规范创造有利条件29Problems and Solutions to Energy Efficiency Are Surprisingly Similar Around the World世界各国的能效问题和解决方法有惊人的相似之处n The same types of stakeholders are involved.n 涉及同类利益各方n Their concerns are similar. n 关注的问题相似n The issues are not much different in planned economies than in market economies, or in developed countries or regions compared to developing ones. n 不论计划经济 ， 还是市场经济 ， 不论发达国家或地区 ， 还是发展中国家或地区 ， 面临的问题都大致相同30Summary Recommendations for Managed Incentive Programs管理性激励项目的总结和建议n Provide for accurate reporting and tracking of results 提供项目结果的准确报道和追踪n Require third party verification of the quality of installation of energy efficiency measures.需要第三方对节能设施的效果进行验证n Base incentives on perance, with a fixed incentive paid per home or per square meter that meets and energy target.基于性能进行激励 ， 按照每户或每平米的能耗水平衡量是否满足节能目标 ， 并给予固定的激励631Advantages of Long-Term Incentives The Ability to Make Long-Term 5-year Commitments长期激励的优势 能够制定长期 （ 约 5年 ） 计划n Long-term commitments encourage investment in producing the highest international technologies, and developing even better ones. 长期计划可以鼓励投资 ， 促进国际上最先进技术的产生 ， 甚至开发更先进的技术n They also encourage professionals to invest in advanced education to design higher efficiencies.还可以使专业人员投资先进的教育方法 ， 以设计出更高的能效水平32Disadvantages of Long-Term Incentives The Requirement to Make Long-Term 5-years Commitments长期激励的弊端 制定长期计划的要求n A long-term commitment means that mistakes cannot be corrected.长期计划意味着错误无法更改n Long-term commitments can become very expensive without careful program design.若没有精心的方案设计长期计划将付出昂贵的代价33Structure of Long-Term Incentives长期激励框架n Set ambitious targets that are well within the top 1 of the current market 建立雄心勃勃的目标 1％ 的当前市场高端范围n Lower targets should be incentivized using managed incentives or normative labels.较低的目标应通过管理性激励或常规制度得以促进n Base the incentives on perance and not on cost.使激励手段建立在性能的基础而不是成本基础上n Provide ample opportunities for review of program design.为方案设计复查提供广阔空间34Structure of Long-Term Incentives II长期激励框架二n Establish incentives that are worth from 25 to 40 of the expected incremental costs of compliance建立的激励手段应支持预期增益成本的 2540n Expected incremental costs will be below today’s costs.预期的增益成本会低于当今成本n Actual incremental costs are likely to be below expected costs due to increased competition and innovation.由于竞争和创新 ， 实际的增益成本可能会低于预期成本35Structure of Long-Term Incentives III长期激励框架三n Provide the incentive for 3-7 years and then plan to end the incentive提供持续 3－ 7年的激励 ， 然后就要为结束该激励手段做打算n A year or two before the incentive expires, the success of the incentive should be uated.在激励手段期满前一 、 两年 ， 应评估该激励手段的效果n Consider whether a new long-term incentive should be established with a higher target.考虑是否应建立目标更高的新的长期激励36Structure of Long-Term Incentives IV长期激励框架四n Specify clearly 需要指出n how to measure or verify that the energy use target is achieved, and 如何衡量或证实已达到节能目标n who is authorized to certify that compliance has been achieved.谁有权力证明相关要求已经得到执行n Make the compliance documentation useful in the marketplace 使项目文档在市场中发挥作用n Coordinate with other programs.与其它项目协调737Incentive Options可选择的激励手段n Price-based Incentives 基于成本的激励n The amount of the incentive is based on the money spent 激励的数量取决于费用的数目n May be easier to specify可以更容易的加以详细说明n Administrative convenience –such as sales tax mption or immediate depreciation管理方便 － 比如销售税减免或直接折旧n Perance-based Incentives 基于性能的激励n The amount of the incentive is computed based on the perance of the product激励的数量建立在产品的性能基础上进行计算n More difficult to specify correctly准确的详细说明更加困难38Price-Based Incentives基于成本的激励n Tend to increase prices使价格有增加倾向n The same percentage of a larger price yields more incentive dollars在同样比例下 ， 更高的价格需要更多的激励n Tend to invite corruption容易产生腐败n Can increase price and give part back to consumer in of sales incentive会提高提供价格将部分激励转移给消费者n Can decrease cost not price and quality because perance in not considered.由于没有考虑性能 ，使成本 （ 而非价格 ） 及质量下降39Previous Experience以往的教训n Solar tax credit of the 1980s 20 世纪 80年代的太阳能利用财税激励n 40 of purchase price up to 4,000 credit 补贴 40％ 的购买价格 ， 不超过 4000美元n System prices skyrocketed 10,000 系统价格猛涨n Dishonest enterprises flocked to the market 没有信用的企业涌入市场n Solar industry almost perished when tax credit expired in 1985 到 1985年激励措施结束时太阳能工业几乎衰亡n Remaining solar industry just now recovering 留下来的太阳能工业当前也在恢复阶段40“The Sting”Urban Legend惨痛的教训 （ 都市传奇 ）n Price of the solar system 10,000 太阳能系统的价格 ＝10， 000美元n 4,000 tax credit from government 4000美元的补贴来自政府n Sales incentive Free, 1st-class, week-long trip to Bahamas supposedly worth worth 3,000 销售激励 免费的一流的巴哈马一周游 （ 假设成本为 3000美元 ）n Actual system cost 3,000 实际的系统成本 ＝ 3000美元n Treasure pays for trip plus large profit 昂贵的旅行支付加上可观的利润n No assurance of claimed energy savings 不能保证所谓的能源节约效果41Policy Implications政策含义n The true market competitiveness of the product is decreased over time 经过一段时间后 ， 真正的产品市场竞争减少n The consumer, Treasury and society get poor value for their investment 消费者 、 国家及社会的投资几乎没有得到收益n Dishonest vendors proliferate, forcing true entrepreneurs out of the industry 无信用的小商贩激增 ， 将好企业从行业中驱赶出去n When the tax credit sunsets, the market for the product evaporates 当激励项目结束时 ， 该产品的市场也消失了42Perance-Based Incentives基于性能的激励手段n T