用对标与公示撬动建筑节能市场 纽约等城市国际经验的启示 自然资源保护协会 Natural Resources Defense Council NRDC 2014年4月自然资源保护协会（NRDC）简介 自然资源保护协会（NRDC）是一家国际非营利环保机构，拥有逾140万会员及支持者。自 1970年成立以来，NRDC的环境律师、科学家及环保专家们一直在为保护自然资源、公众健康 及环境而进行不懈努力。NRDC在美国、中国、印度、加拿大、墨西哥、智利、哥斯达黎加、 欧盟等国家及地区开展工作。请登录网站了解更多详情。能源基金会中国简介 能源基金会中国是从事中国可持续能源发展的非营利公益组织，其总部位于美国旧金山。能源 基金会中国的宗旨是推动能源效率的提高和可再生能源的发展，帮助中国过渡到可持续能源的 未来。通过资助中国的相关机构开展政策研究、加强标准制定，推动能力建设和传播最佳实 践，助力中国应对能源挑战。能源基金会中国项目资助领域包括建筑节能、电力、环境管理、 工业节能、低碳发展、可再生能源、可持续城市和交通八个方面。 项目信息 项目资助号18844 Grant Number18844 项目期2013年8月31日至2014年2月28日 Grant period31/08/2013-28/2/2014 所属领域建筑 SectorBuilding 项目概述见执行摘要 Project DescriptionSee cutive Summary 研究撰写人员潘支明、钱京京、崔容、希拉莉 ∙菲尔斯通 Project teamZhiming Pan, Jingjing Qian, Celia Cui, Hilary Firestone 关键词公共建筑，能效对标，信息公开，国际经验 Key WordBuilding energy efficiency, Large-scale non-residential building, energy benchmarking, ination disclosure, International best practice 本报告由能源基金会资助。 报告内容不代表能源基金会观点。 This report is funded by the Energy Foundation. The contents of this report do not represent the views of the Energy Foundation.致 谢 本研究由能源基金会中国资助，在此特别感谢建筑节能项目的莫争春主任和辛嘉 楠女士对本研究给予的指导和宝贵建议。 项目开展过程中还得到自然资源保护协会（NRDC）的Laurie Kerr、David Goldstein、Barbara Finamore、Jiameng Zheng等同事及来自住房城乡建设部科技与产 业化发展中心、上海市建筑科学研究院（集团）有限公司、上海腾天节能技术有限公 司、北京市建筑节能与建筑材料管理办公室和重庆市建筑技术发展中心等国内机构专 家的大力帮助，在此一并表示感谢。 中国公共建筑的能耗占建筑总能耗的 28.3，其中单体建筑总面积2万平方米以 上的大型公共建筑的面积虽然仅占公共建筑 总面积的8.3，用能却占公共建筑能耗的 38。因此，大型公建能耗强度高、节能潜 力大，是政府节能减排工作的重点对象之 一。 对大量大型公建进行节能改造需要的资 金投入巨大，不可能仅仅依靠公共财政来解 决。中外经验均显示，要大规模地提升建筑 能效必须借助市场机制。欲让市场发挥作用 来推动业主、租户、投资者、地产评估机构 等市场主体投资大型公建的节能改造，首先 需要让社会及公众了解和易于获得建筑能耗 信息，因此对大型公建进行能效评级和公示 非常必要。 中国政府从“十一五”开始积极探索 基于市场的政策机制，出台了一些政策和措 施，包括对一些既有大型公建开展能耗统 计、能效审计和用能定额管理，并开始尝试 对部分政府机关的办公建筑和大型公共建筑 的能耗信息进行公示。截至2012年底，全国 已累计完成4万余栋公共建筑的能耗统计。同 时，为加强对大型公建的节能监管，中央政 府不断加大财政资金投入力度，在过去五年 开展能耗动态监测平台的试点，分五个批次 累计监测了3680栋建筑的实时用能情况。部 分城市还要求各区县建立监测子系统、子平 台。在能耗信息公示方面，从2007年起，在 住房和城乡建设部的要求下，各地开始分批 次公示一些政府办公建筑和大型公共建筑的 能耗信息。截至2012年底，各省市公示能耗 信息的建筑共达8432栋。 然而，到目前为止，我们发现上述以设 立建筑用能定额为导向的策略也遇到了一些 困境，公示也并未得到切实执行，没有对市 场形成有效影响。我们认为主要问题在于1） 收集的信息没有被及时综合、处理、分享和 应用；2）公示信息规格不完全统一，不易比 较和利用；3）尚无详细的实施导则来指导建 摘要筑能耗公示工作；4）数据的获取完全依靠 公共财政支持的研究性项目，利益相关方不 关心，被动应对，造成成本高，推进慢的现 状。 利用建筑能效对标（运营阶段的评级） 和信息公示来创造对节能的市场需求，正成 为国外越来越多地方政府的共识。美国纽约 市在这方面走在了前面，于2009年通过立法 的形式强制实施既有大型建筑的能效对标与 信息公示。随后美国多个地区很快跟进。 自然资源保护协会（NRDC）对纽约市 案例做了较深入的调查研究，不但进行了全 面的文献搜集和分析，还对曾经参与政策制 定的人员进行了访谈，了解政策出台的背 景、目的和考虑，曾经遇到的障碍及应对策 略，目前取得的效果等。本报告着重阐释我 们对纽约市的案例研究，也对美国另外八个 城市及两个州的类似工作加以介绍，并在分 析这些案例的基础上提炼出最佳实践要素， 涉及政策覆盖范围、实施时间、数据质量控 制，公示方式的选择，提高合规能力，渐进 策略等。 本报告还对中美在大型公建能耗信息公 示方面的做法进行了对比分析，发现 1. 中国已具备大型公建能耗信息公示的 政策框架和一定的建筑能耗数据积累，在利 用市场机制推进既有公建节能方面也开展了 有益的尝试。民用建筑节能条例中对于 大型公建能耗信息的公示公开已经做出了原 则性规定。 2. 中美在推动能耗信息公开策略上的主 要差异体现在执行主体不同，从而导致了市 场参与度的不同。中国采用了政府主导、自 上而下的统计、审计和信息公示。纽约等城 市则采用自下而上的策略，强制性要求大型 建筑业主上报年度能耗及水耗数据，政府部 门用统一的工具对标并公示。前者需要不断 的公共财政投入，对市场的影响却有限。后 者更注重发挥业主的积极性，对市场的影响 更直接。 基于对纽约等美国城市案例的研究，我 们认为 中国有必要、也有能力进行大型公 共建筑强制能效对标和公示的试点，通过 探索和创新，找出适合中国情况、又能充分 利用市场力量的公共建筑节能改造策略。具 体建议如下 整理、整合并分享现有数据，做好 对标基础工作 美国ICF咨询公司与中国研究机构合作， 已经开发了以美国联邦环保署“能源之星-建 筑集群管家”为基础的中国公共建筑的能效 对标工具，并从酒店建筑开始，着手建立对 标需要的基础数据库。由于目前已有的建筑 基本信息和能耗数据都分散在各地各研究单 位，没有共享，难以获得，因而对标工具还 难以应用。当前急需开展的工作不是另行开发对标工具，而是从两方面入手，为既有大 型公建对标工作的开展打好基础一、对已 掌握的既有大型公建基本信息、能耗数据加 以整理、整合，使其标准化，增强可比性， 并通过适当的方式进行共享，作为对标的初 始数据库。二、为弥补基础数据的不足，应 该有计划地要求业主向指定对标工具定期上 传数据，逐步扩大覆盖建筑范围，完善对标 技术和流程。开始阶段，为鼓励业主的参 与，可以不进行公示，直到基础数据达到一 定规模后再做硬性要求。 逐步强化业主的主体地位 业主的主体地位从搜集并上报建筑的能 耗信息以及主动开展能效对标开始，逐步适 时扩大到定期开展能源审计、耗能设备调适 及节能改造。为加速这一转变，可以整合现 有的能耗统计平台和对标工具，建立建筑业 主上报功能接口，开发简洁、友好的操作界 面，方便业主定期记录和跟踪建筑的能源消 耗；调动学会、协会、高校的力量及一切可 用资源，开展针对业主的宣传培训活动及能 力建设，帮助业主尽快了解数据报送要求， 掌握报送方法、对标方法等等。 调整财政资金补贴模式 为了分清政府和市场各自的职责，实现 市场在资源配置中的作用，在大型公建节能 工作上，各级财政应该合理控制能耗监测平 台的补贴支出，把财政补贴范围限定在搭建 监测平台所需的分项计量设备安装和数据联 网等基础支出上，而把基于监管平台延伸的 节能诊断、智能控制等交予市场。一方面节 省公共资金、提高政策效率，另一方面，可 以避免政府看得见的手干预过深而压缩市场 主体的作用空间。节省的财政资金可以用于 激励业主等市场主体发挥主动性，最终实现 政府引导，市场推动的局面。 打破部门条块分割的局面，加强协作 将电力部门掌握的建筑用电数据、供 热部门搜集的建筑供热数据与建设部门统计 的建筑节能信息、能耗信息综合起来，相互 校核和完善，以帮助把握既有建筑能耗的全 貌，提高决策的科学性。部门之间共享数 据，整合融通数据获取渠道，能使各部门的 现有数据发挥更大作用，增进各部门对本行 业的了解和把握。 确保公示数据一致、可持续与可溯源 公示建筑的能效和能耗情况是为了公 众和市场能够容易地使用这些信息，因此应 该改善公示网站，让信息更容易被关注、获 得、理解及横向和竖向（历史性）对比。客 观上，就要求公示的数据满足一致性、可持 续与可溯源的原则。另外，公示网站上宜整 合相关政策要求、激励措施、典型技术及优 秀案例等，方便利益相关者查看。 推动信息公开有时会面临如何保护商 业秘密和业主隐私的困扰。对于建筑能效公 示，已经有上位法规民用建筑节能条例 做出了要求，目前需要的是通过研究制定公 示细则来确定信息公示的详细程度、业主隐 私保护的具体要求、豁免公示的条件等。 建立保障措施，形成长效机制 以推进强制对标和能效公示政策的试点 为起点，研究建立完善的保障措施。把对各 地大型公建能效对标和公示情况纳入到每年 的全国住房城乡建设领域节能减排专项监督 检查中；借鉴推进新建建筑节能标准执行过 程中的监管经验，加强监管和考评力度；对 于能效对标结果中得分较低的建筑要求制定 逐步提高能效的行动计划，开展定期检查并 提供有针对性的技术帮助，引导其切实分步 实施节能改造。 与美国领军城市建立城市级别伙伴关 系 随着美国更多的城市和州开展建筑能效 对标和公示，他们对相应的政策及技术会不 断进行改进和完善。在这个过程中，开展两 国城市级的交流与对话，共同探讨实践中涌 现的新问题和经验，对中国在公共建筑能效 对标及公示方面的技术和政策进步具有积极 的意义。自然资源保护协会（NRDC）和市 场转型研究所最近共同在美国十座城市启动 的“城市能源项目”就着重推进建筑能效对 标和信息公示，这一平台及相关内容或许能 为中美城市级别的建筑能效公示的合作提供 方便。Non-residential buildings represent 28.3 percent of building energy consumption in China. Although large non-residential buildings individual buildings over 20,000 square meters only account for 8.3 percent of the total area of non-residential buildings, they consume 38 percent of total energy. Therefore, large non-residential buildings that are energy intensive and inefficient have become one of the Chinese government’s p r i o r i t y a r e a s f o r r e d u c i n g e n e r g y consumption and carbon emissions. Energy efficiency retrofits of large non- residential buildings require a massive capital investment that can go well beyond what the public sector alone can provide. The experience of China and other countries indicates that large-scale energy efficiency improvements for buildings must be market- driven. To motivate owners, tenants, investors and property assessment agencies to invest in energy efficiency retrofits of large non-residential buildings, we have to first raise public awareness about the energy perance of buildings and enable an easy access to such ination. Therefore, it is of great importance to rate the energy efficiency and disclose the energy data of non-residential large buildings. Since the implementation of the 11th Five-year Plan, the Chinese government has been seeking to introduce a market- based mechanism, which is supported by policies and measures that require collecting energy consumption data, conducting energy audits, imposing energy use quotas for large non-residential buildings, and disclosing the energy consumption data of some government buildings and large non- residential buildings. By the end of 2012, China had created an energy perance database of more than 40,000 large non- cutive Summaryresidential buildings. At the same time, to strengthen the framework of regulating the energy perance of large non- residential buildings, the central government has been continuously increasing its investments in launching a plat to monitor dynamic energy consumption in the past five years. The plat has, in five batches, cumulatively monitored the energy consumption data of 3,680 buildings on a real-time basis. Some prefecture- level cities even required the counties and districts within their jurisdiction to set up sub-systems or sub-plats. In terms of data disclosure, jurisdictions, as required by the Ministry of Housing and Urban- Rural Development MOHURD, started to publicly disclose energy usage ination of some government and large non-residential buildings since 2007. By the end of 2012, Chinese provinces and municipalities had disclosed the energy usage ination of 8,432 buildings. However, we have discovered that the approach of imposing quotas for building energy consumption has encountered some challenges. Disclosure is not practically implemented, and it failed to unlock the market as expected. In our opinion, the main issues can be described as follows 1 the collected ination is not synthesized, processed, shared or utilized in a timely fashion; 2 there is no unified standard for data disclosure, which makes comparison difficult; 3 there are no detailed guidelines on building energy consumption data disclosure; and 4 data collection completely relies on research projects that are funded by the government, while stakeholders are not heavily involved, which has made the data collection process costly and slow. A n i n c r e a s i n g n u m b e r o f l o c a l governments throughout the world have come to a consensus that the market for building energy efficiency can be unlocked by energy perance benchmarking operational rating and data disclosure. In the U.S., New York City has taken the lead in mandating energy efficiency benchmarking and disclosure of existing large buildings. In 2009, the City passed legislation requiring benchmarking and public disclosure for large buildings. Since then, a handful of several other jurisdictions followed. The Natural Resources Defense Council NRDC conducted an in-depth study on the best practices of New York City. We have made great efforts to collect and analyze related literature, and interview people who were involved in policy making, to better understand the policy’s context, purpose and considerations, obstacles to implementation, the city’s efforts, and the initial results of the policy. This report mainly focuses on our study of New York City, but will also introduce similar practices of eight other cities and two states in the U.S Based on our analysis of these cases, the report extracts the necessary elements of the best practices, which include policy scope, implementation time frame, data quality control s, disclosure mechanisms, compliance and follow-up approaches. The report also makes a comparative analysis on the energy perance ination disclosure practices of large buildings in China and the U.S., which yields the following results 1. China already has its policy framework in place and has collected adequate data that enables the disclosure of energy perance ination of large non- residential buildings. Preliminary efforts have also been made to let market forces drive energy savings in buildings. China’s Regulations on Energy Perance of Civilian Buildings has made fundamental provisions with regards to the disclosure of the energy perance data of large non-residential buildings. 2. China and the U.S. are adopting different approaches to disclosing energy perance ination in terms of the role of government and building owners. China is following a government-dominated and top-down approach in which the government leads the whole energy statistics, energy audits and disclosure process. New York City and other U.S. cities have a bottom-up strategy that requires building owners to report and disclose energy and water consumption data annually using standardized benchmarking tools. While the er approach requires continuing public investment, the latter motivates building owners to improve energy efficiency, which is more likely to bring direct impacts on market. Based on our research on the cases of New York City along with other cities and states in the U.S., we believe that China demands and is well positioned to develop pilot programs that mandate the energy perance benchmarking and disclosure of large non-residential buildings. China can find an energy efficiency retrofit strategy that is locally adaptable and will unlock the full potential of the market through continuous exploration and innovation. Compile, integrate, and share existing data to prepare for benchmarking ICF International and local Chinese research institutes have jointly developed a benchmarking tool tailored to non- residential buildings in China by modeling on the U.S. Environmental Protection Agency’s Energy Star Portfolio Manager. The benchmarking tool first targets at hotel buildings and starts with the construction of an energy perance database that is necessary for benchmarking. However, the tool has not been widely applied due to the lack of ination sharing among different research institutions in the cities. Therefore, at the current stage, an urgent need is not to develop a completely new tool, but to better prepare for benchmarking in two aspects. On one hand, existing energy data of non-residential buildings and energy ination of large non-residential buildings can be compiled and integrated in a standardized and compatible at, then shared in an appropriate way, and used as the basic benchmarking database. On the other hand, in order to satisfy the need of data, the government can require building owners to report their energy use data to the benchmarking tool regularly before the tool is gradually applied to more buildings. Relevant benchmarking technology and process can also be improved. At the beginning, the data can be kept confidential to motivate owners to participate until it is adequate for mandatory requirements to be made. Enhance owners engagement Owners can start to participate from data collection and reporting. Gradually, owners engagement can expand to other areas such as regular energy audits, retro- commissioning and energy efficiency retrofitting when appropriate. To accelerate this transation, governments can modify its existing plat of energy consumption statistics by adding a portal for building owners to report ination. Additionally, a straightforward and user-friendly interface will allow owners to record and track the energy consumption of their buildings easily. Moreover, governments can mobilize all available resources from institutions such as academic societies, industrial associations and universities, to develop outreach and training programs that help building owners quickly understand data reporting requirements and s, etc. Re government subsidies To differentiate the responsibilities of government and market and enlarge the market’s role in resource allocation, finance departments at different levels are advised to keep the subsidies for the construction of energy consumption monitoring plats at an appropriate level and to grant subsidies only to the installation of sub- meters and infrastructure development for data connection or other purposes. Other extensions of monitoring plats such as energy diagnostics and smart controls should be market-oriented. This will not only save public expenditures and improve policy efficiency, but also prevent the narrowing of other market participants’ roles as a result of government’s intervention. The saved public spending can be used to motivate building owners and other market players to save energy. Under this scheme, the energy- saving efforts are led by the government but driven by the market. Enhance collaboration among government agencies Data from electricity and heating suppliers as well as energy consumption data from construction departments can be aggregated and cross-referenced for data quality improvement. This will create a holistic picture of existing buildings’ energy perance and enable ined decision- making. Cross-departmental data sharing and data channel integration will make better us