1China CFC-Free Energy-Efficient Refrigerator Project Financial Incentive Programs中国无 氟 节能冰箱财税激励项目Ray Phillips 雷 菲利普China Refrigerator Project Chief Technical Advisor中国冰箱项目首席技术顾问International Workshop on Fiscal Policies for Promoting Building Energy EfficiencyBeijing, ChinaMay 12, 2005Ray PhillipsChina Refrigerator Project Chief Technical AdvisorWashington, DC, USAtel. 202/862-1554 oemail rayphillips_USContact Ination 联系方式Presentation Outline主要内容 Project Background 项目背景 Refrigerator Manufacturer Incentive Program 冰箱制造商激励项目 Compressor Manufacturer Incentive Program 压缩机制造商激励项目 Retailer Incentive Program 零售商激励项目 Key Project Results 项目的主要成果 Lessons Learned 经验教训Project Background项目背景 The US-China CFC-Free Energy-Efficient Refrigerator Project was initiated in 1989 between USEPA and SEPA. From 1989-1995, work was conducted in the areas of “中 － 美无氟节能冰箱项目 ”开始于 1989年由美国环保局和中国环保总局实施 。1989－ 1995年 ， 工作围绕以下领域开展 – CFC substitutes research CFC替代品研究– Energy-efficient design options 能效设计选择– Prototype development 原型开发– Safety testing 安全性实验– Field testing 现场测试Project Background项目背景 CFC replacement demonstration was funded through Montreal Protocol Fund 3.5 million received in two parts in June 1993 and March 1995. CFC替代示范项目由蒙特利尔基金资助 （ 350万美元 ）， 分 1993年 6月和 1995年 3月两个时间段资金到位 。 Initial GEF project development funding was received in March 1997 from the GEF’s Project Preparation and Development Facility PDF 243,000. 1997年 3月 ， 最初的 GEF项目研发资金由 GEF PDF资金支持（ 24.3万美元 ） GEF provided 9.6 million for market transation proposal approved June 1998; the Project Document detailed implementation plan required by GEF was approved July 1999. Implementation began Jan. 2000. GEF提供了 960万美元用于市场转化 （ 于 1998年 6月批准 ）， 项目文件 （ GEF所要的详细项目实施计划 ） 在 1999年 7月通过批准并于 2000年 1月执行 。Project Participants项目参与者 Chinese refrigerator and compressor manufacturers 中国的电冰箱和压缩机生产商 China State Environmental Protection Administration SEPA -- National cuting Agency, project Advisory Committee AC member 中国国家环保局 － 国家执行机构 ， 项目顾问委员会成员 United Nations Development Programme UNDP -- GEF Implementing Agency, AC member 联合国发展计划署 （ UNDP）－ GEF执行机构 ， 项目顾问委员会 （ AC）成员 China Ministry of Finance MOF –GEF Country Focal Point, AC member 中国财政部 － GEF Country Focal Point－ 项目顾问委员会 （ AC） 成员 SEPA Foreign Economic Cooperation Office -- National Implementing Agency and home of Project Management Office PMO SEPA外国经合办公室 － 国家执行机构及项目管理办公室2Project Participants项目参与者 United Nations Department for Economic and Social Affairs UNDESA -- International Cooperating Agency 联合国经济社会事务部 （ UNDESA）－ 国际合作机构 China National Development and Re Commission NDRC –chief energy efficiency regulatory body, AC member 中国国家发改委 － 中国的主管节能部门 ， AC成员 China State General Administration for Quality Supervision, Inspection, and Quarantine AQSIQ –issues energy efficiency and other product standards, AC member 中国国家质检总局 － 颁发产品能效标准 ， AC成员Project Participants项目参与者 China National Institute of Standardization CNIS –provides market assessment, technology review, and economic analysis support to AQSIQ in energy use standard development, and was lead participant in GEF project standards and labelling work 中国国家标准研究院 － 为国家质检总局在能源效率标准开发方面提供市场评估技术审察及经济分析支持 ， 同时是 GEF项目中在标准及标识方面的主要参与方 China State Administration of Internal Trade SAIT –oversees retail sector; AC member 中国国际贸易总局 － 海外零售部门 ， AC成员 China Household Electric Appliance Association CHEAA –lead participant in variety of project activities; liaison to industry; maintains project Ination Center and website 中国家电协会 －－ 各种项目活动的主要参与者 ； 行业联络 ； 维修项目信息中心及网站 China Household Electric Appliance Research Institute CHEARI –helped develop demo project prototype, provides project technical support and product testing capability 中国家电研究院 －－ 协助开发示范项目 ， 提供项目技术支持及产品性能测试Project Participants项目参与者 China Certification Center for Energy Conservation Products CECP –responsible for China’s endorsement level and will manage ination label; key participant in mass procurement program 中国节能产品认证中心 －－ 负责认证节能产品 ， 是大宗采购项目的主要参与者 Collaborative labelling and Appliance Standards Program CLASP –key participant in standards and labelling work CLASP项目 标准及标识主要参与者 University of Maryland Center for Environmental Energy Engineering UMd CEEE –intensive long-term refrigerator design training location 马里兰大学环境能源工程中心 －－ 长期致力于冰箱设计培训 National and international experts and contractors hired to support implementation of the project. 国家及国际专家 ， 以及支持该项目执行的承包商GEF Project Approach GEF 项目实施途径 Nine barriers were identified to widespread adoption of energy efficient technologies.能效技术被广泛采纳的九大障碍 Lack of awareness of the lifecycle economic benefits of high-efficiency refrigerators对高效冰箱 的循环经济利益缺乏认识 Lack of reliable, comparative ination available to consumers about specific models.对消费者来说 ， 对某些特定技术缺乏可靠的 、 具有可比性的信息 Manufacturer uncertainty about market demand for high-efficiency models生产商对高效节能产品的市场需求存在疑虑 Manufacturer uncertainty about cost-effectiveness of high-efficiency models生产商对高效节能产品的成本效益存在疑虑 Lack of expertise in energy-efficient refrigerator design.缺少能效冰箱设计的专家队伍 Higher-efficiency compressors are not available domestically.国内缺乏更高效能的压缩机 Dealer reluctance to stock or promote high-efficiency models经销商不愿库存或促销高效产品 Lack of an appliance recycling program.缺乏家电再利用项目 Lax efficiency standards.能效标准太宽松GEF Project Approach GEF 项目实施途径 Two basic approaches were identified to overcome these barriers. 克服这些障碍的两大基本途径–Technology push –科技推动–Market pull –市场拉动Market Transation 市场转化MARKET TRANSATIONTechnologyPushMarketPull技术推动 市场拉动市场转换3Project Budget 项目预算 GEF target cost effectiveness CE 0.0001/kWh energy saved, 0.10/ton CO2 预期的成本效益 0.0001/kWh 节电量 , 0.10/ton CO2 减排量 Actual CE will probably be even better. 实际的成本效益会更好些40,906,500 31,289,500 9,617,000 Total总计1,516,470 335,000 1,181,470 5. Project Management, Monitoring and uation项目监管及评估7,434,940 4,450,000 2,984,940 4. Consumer Education Program消费者教育项目4,255,000 660,000 3,595,000 3. Incentive Programs激励项目25,768,090 24,265,000 1,503,090 2. Refrigerator Factory Technical Assistance冰箱厂技术援助1,932,000 1,579,500 352,500 1. Compressor Factory Technical Assistance 压缩机工厂技术援助TotalCo-financingGEFActivityIncentive Program 激励项目Incentive funding激励基金money to give project participants and incentive to take the actions we want them to and cover their incremental costs to do so.为项目参与者提供资金激励 ， 推动他们按照要求采取行动 ，激励资金用来抵消其成本增加部分Incentive Program Budget激励项目预算Three inter-related programs, with links to each other and other project activities.三种项目彼此之间 、 及与其他项目之间互相联系150,000Other programs其他3,595,000Total总计445,000Retailer Incentive Program零售商激励500,000Compressor Manufacturer Incentive Program压缩机生产厂商激励2,500,000Refrigerator Manufacture Incentive Program冰箱生产厂商激励Incentive Program Timeline激励项目时间表Refrigerator Manufacturer Incentive Program冰箱生产厂商激励项目 Program Introduction项目引进 Award Types 奖励形式 Basic Award 基本奖励 Principal Award 主要奖励 Supplemental Award 辅助奖励 Energy Savings Calculation节能量计算 Program Results 项目实施成果Program Introduction项目引进 Program goal encourage and provide funding for manufacturers to design and build energy efficient refrigerators 项目目标 鼓励厂商设计 、 生产能效冰箱并提供资金 Total award pool 2.5 million. 奖励金共计 250万美元 Originally budgeted for 12 manufacturers, but 原来预算给 12家厂商 ， 但是 4Refrigerator Manufacturer Incentive Program冰箱生产商激励项目Four more refrigerator manufacturers than originally anticipatedrequested admission to the project, for a total of 16 manufacturers representing 90 of production and sales.比原来预期申请加入该项目的厂商多出了 4家 ， 共计 16家生产商 ， 占生产和销售量的约 90％Award Types奖励形式 Basic award 16 awards of US60 for smaller 8 manufacturers or 120,000 for larger manufacturers each awarded to each participating manufacturer. 基本奖励 16项 60美元的奖励 （ 给 8家较小的厂商 ） 或 12万美元的奖励 （ 给较大厂商 ）， 对每个参与厂商给予奖励 Principal award total award of US 1 million including basic award awarded to the manufacturer who commits to and achieves the greatest total energy savings relative to the standard over a 12 month period for a single new energy efficient model refrigerator-freezer BCD-200 主要奖励 总计 100万美元 （ 包括基本奖励 ）， 奖励在 12个月内通过生产一款新型高效冰箱 BCD-200并得到了最大总节能量 （ 相对于标准 ） 的厂商 Supplemental awards three awards of US60,000 each awarded to manufacturers that commit to and achieve the greatest energy savings relative to their base year energy efficiency. 辅助奖励 三种 6万美元的奖励 ， 每种奖励给予那些相对其基期的能效水平得到了最大节能量的厂商Energy Savings Calculation节能量计算 Target energy savings is calculated based on refrigerator and freezer volume. 节能目标根据冰箱容量进行计算 Calculation ula is based on the new minimum energy standard. 计算公式基于新的最低能效标准Energy Savings Calculation节能量计算 The principal award will be awarded to the manufacturer that designs, manufacturers, and markets the refrigerator that delivers the greatest total energy efficiency gains and carbon emissions reductions for the amount of the prize, as follows 根据节能量和碳减排量 ， 奖励设计 、 生产并销售了节能冰箱的生产商 Total energy efficiency gain总 节能量 Unit energy efficiency gain * number of units produced and sold单位 能效水平收益 生产及销售量Unit energy efficiency gain 单位能效水平收益 Allowable energy use - Actual energy use（ 允许的能源使用量 ）－（ 实际能源使用量 ）Refrigerator Manufacturer Incentive Program Results冰箱厂商激励项目成果 The Refrigerator Manufacturer Incentive Program was carefully timed to follow the technical training, and allow for large-scale production and sales of new, energy efficient refrigerators to benefit from the simultaneous consumer education campaign and issuance of the energy efficiency label. Intense competition and lobbying by leading manufacturers over the principal award necessitated a longer review process than expected, which delayed finalization of the award contract for several months. 经过精心安排 ， 电冰箱生产商激励项目跟踪了技术培训 ， 允许新型高效冰箱的大规模生产和销售行为从同时进行的消费者培训活动中获益 ， 并且要保障实施能效标识 。 因为竞争非常激烈 ， 并且协调主要生产商关于奖励方面的游说活动 ， 评估过程花的时间比预期的要长 ， 也导致奖励合同拖延了几个月 。Refrigerator Manufacturer Incentive Program Results冰箱厂商激励项目成果 The Project Management Office PMO overcame these difficulties and issued the award to the party to Kelon, based on the strength of Kelon’s highly detailed proposal including monthly and regional sales breakdowns and a detailed promotional plan and the ambitious energy savings and CO2 emissions reductions proposed. Kelon committed to produce and sell one million super-efficient refrigerators during the 12-month contest period, such a large new product debut that competitors complained it was unrealistic. 项目管理办公室克服这些困难并对科隆集团颁布了奖励 ， 主要因为科隆十分详细的有说服力的推动计划 （ 包括月度及分地区的销售清单和详细的推动计划 ） 及其雄心勃勃的节能量和碳减排量 。 科隆承诺在 12个月内生产并销售 100万台超高效冰箱 ， 该方案一出现便遭致竞争对手对其真实性的怀疑 。 The model Kelon proposed, the BD-209, has a 141 litre FF compartment and 68 FR compartment, based on which the BCD-209 is allowed to consumer 1.29 kWh/day. It’s actual energy use is 0.42 kWh/day, for energy efficiency savings of 0.87 kWh/day or 67, making it one of the most energy efficient refrigerators in the world. 科隆推出新型 BD－ 209冰箱 ， 主要基于 BCD-209 型冰箱 ， 允许的日耗电量为 1.29 kWh。 它的实际日耗电量仅为 0.42 kWh， 节能 67， 每天节约用电 0.87 kWh。 这使其成为目前世界上能效水平最高的冰箱之一 。5Refrigerator Manufacturer Incentive Program Results冰箱厂商激励项目结果 Kelon and the backup award recipients will receive up to a 15 credit for the delta between wholesale and final consumer sales,such that if Kelon meets its 1 million unit target for sales to retailers, up to 150K may still be in retailer hands and not yet sold to final consumers. In order to encourage further promotion by Kelon of energy efficient refrigerators and long term sales gains, Kelon may receive another 5 sales credit if 50 of their advertising during the promotional period is EE-related, and another 5 if consumer awareness is raised by at least 10 points during that period. 科隆及候补的获奖者将可以得到不超过 15的奖励 ， 主要是根据批发量和最终用户的销售量直接的差异 。 这样 ， 如果科隆从销售到零售实现了自己 100万的单位目标 ， 最高有 15万台可能仍在零售商手中而未卖到最终用户那 。 为了鼓励科隆能效冰箱的进一步促销和长期销售收益 ， 还奖励科隆另外 5％，条件是在规定时间里 50％ 的广告需要与节能相关 。 而且 ， 另外的 5％ 奖励条件是在此期间消费者的意识提升至少 10％。Refrigerator Manufacturer Incentive Program Results冰箱厂商激励项目结果 After the first 6 months of the 12 month sales period Sep. 2004-Feb, 2005, Kelon has produced and sold 442K super efficient fridges, making it on track for meeting it’s sales goal, particularly given the upcoming high sales season is April-August, which usually accounts for at least 60 of total annual sales. 当 12个月销售期的前 6个月 （ 2004年 9月 － 2005年 3月 ） 过后 ，科隆已生产并销售了 44.2万台超效能冰箱 ， 使其实现销售目标走上了正轨 ， 尤其要指出的是 4月 － 8月是其销售旺季 ， 这段时间的销售占总年销售至少 60％ 的份额 。 The three supplemental award recipients Haier, Xinfei, and Kelon have made significant energy efficiency commitments as well and are moving towards completing them. 三个获奖者 （ 海尔 ， 新飞 ， 和科隆 ） 已做出能效承诺并将实现目标 。Compressor Manufacturer Incentive Program压缩机生产厂商激励项目 Program Introduction项目介绍 Award Types奖励形式 Calculation 计算方法 Program Results项目结果Compressor Incentive Program压缩机奖励项目 Provide incremental cost funding for energy efficiency improvements in compressors. 为压缩机在能效方面的改进提供增益成本基金 。 Give compressor manufacturers an incentive to acquire or develop energy efficient compressor technology. 对压缩机厂商进行激励 ， 支持开发高效压缩机技术 Total 500,000. 总额为 50万美元Award Types奖励形式 Principal award of 400,000 to the manufacturer that commits to develop or acquire and commercialize the most energy efficient compressor technology, as measured by the compressor’s coefficient of perance COP by then end of 2003; 40万美元的主要奖励给予承诺开发最高效压缩机技术并使其商业化的生产商 ， 主要根据 2003年底的压缩机性能系数 COP。 Secondary award of 100,000 to the manufacturer that commits to develop or acquire and commercialize the second most energy efficient compressor technology or, this award can be divided between two manufacturers if their scores are within 3, which is what happened. 10万美元的第二类奖励将给予承诺开发第二等的最高效压缩机技术并使其商业化的生产商 （ 或者该奖励被两个性能差额在 3％ 以内的厂商共分 ， 也是可能发生的 ）。Compressor Award ula压缩机奖励方法 In order to encourage adoption of energy efficient technology for each of the two substitute refrigerant types, potential awardees for the secondary award will receive a COP bonus of 0.05 if the substitute refrigerant technology proposed differs from the one proposed by the principal award winner. 为了鼓励让两种替换制冷剂机型每个都采取节能技术 ， 对第二种奖励的潜在获奖者来说 ， 若其采用替代制冷剂技术与主要奖励获得者的不同 ，将得到 COP奖金 0.05的分成 。 The compressor technology developed or acquired e.g., via technology transfer license from an international vendor may consist of a single model or multiple models. The minimum COP proposed is COP of 1.40. For both the principal and secondary awards, proposals will be uated and scored as follows 所开发或采用的压缩机技术 （ 比方说从国际商贩那得到技术转让许可证 ） 可能包括一种模型或综合模型 。 建议的最低压缩机性能系数 COP是1.40。 主要奖励和第二种奖励的提议要被评估并按以下方式打分 COP of compressor –baseline COP of 1.4 multiplied by thePotential market for compressors of that size range（ 压缩机性能系数 COP基线 1.4） 该尺寸范围压缩机的潜在市场6Calculation 计算方法171 138 176 96 PD * TMP * 104Score11.46.98.83.2TMP WMP WMCPTotal market potential MP 5.73.52.51.5WMCP W * MMCPWeighted market capacity potential11753MMCP MINMCP, MPModified marke