公共建筑节能改造重点城市绿色金融实施体系研究.pdf

公共建筑 节能改造重点城市绿色 金融实施体系研究 Research on Gren Finance Implementation System of Energy Saving Reconstruction of Public Buildings in Key Cities 住房和城乡建设部科技发展促进中心 2018.7.25 项目信息 项目资助号 ： G-1706-26436 Grant Number： G-1706-26436 项目期 ： 2017年 6月 -2018年 5月 Grant period： June 2017 - May 2018 所属领域 :建筑节能 Sector： Building energy saving 项目概述 ： 人民银行等七部委联合发布关于构建绿色金融体系的指导意见后 ，绿色金融在 中国 迅速发展。本 项目以住房和城乡建设部推动的公共建筑节能改造重点城市为切入点 ，探索构建公共建筑节能改造领域绿色金融体系。 一是 梳理公共建筑节能改造融资现状、预测融资需求、识别融资 障碍 ；二是 基于绿色金融发展现状， 在具体案例分析的基础上，提出公共建筑节能改造领域 绿色金融发展方案 ； 三是 提出包括完善绿色信贷 、绿色基金、绿色债券等金融产品、建立公共建筑节能改造项目库、 完善 节能信息服务及披露制度在内的绿色金融支持公共建筑节能改造重点城市指导意见建议稿，为主管部门决策提供建议。此外，本项目推动制定 相关 政策文件及标准建议 稿 ，从具体实施层面推动中国公共 建筑节能改造绿色金融体系的建立完善 。 Project Discription： Green finance has been developed in a rapid way in China since the issue of the Guiding Ideas about Construction of the Green Financial System by seven ministries and commissions such as Peoples Bank of China. By taking the energy saving reconstruction of public buildings in key cities promoted by the Ministry of Housing and Urban-rural Development, this project explores the green finance system in the field of energy saving reconstruction of public buidings. Firstly, it analyzes current conditions of financing for energy saving reconstruction of public buildings, and predicts demands on financing, and identifies barriers to financing. Secondly, based on current conditions in development of green finance, it proposes specific schemes for green finance development in the field of energy saving reconstruction of public buildings based on specific case analysis. Thirdly, it proposes to perfect financial products including green credits, green funds and green bonds and establish the project library for energy saving reconstruction of public buildings and perfect recommendations for guiding ideas on energy saving reconstruction of public buildings in key cities supported by green finance including energy information service and disclosure system, so as to provide competent departments with suggestions. In addition, the project promotes to formulate related policy documents and standard srecommendations, so as to perfect the establishment of the green financial system of energy saving reconstruction of public buildings in China. 项目成员： 殷帅、丁洪涛、曾荻、刘海柱、刘伊生、武涌、尹波、朱能、钱颖初、赵本坤、白燕峰、黄锦、金占勇、吴景山、李明洋、武朋 。 Project team: Yin Shuai,Ding Hongtao,Zeng Di,Liu Haizhu,Liu Yisheng,Wu Yong,Yin Bo,Zhu Neng,Qian Yingchu,Zhao Benkun,Huang Jin,Jin Zhanyong,Wu Jingshan,Li Mingyang,Wu Peng. 关键词 :公共建筑节能 ； 绿色金融 ； 实施体系 ； 政策研究 。 Key Word: Energy saving of public buildings, Green finance, Implementation system, Policy research. 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 Energy Foundation. It does not represent the views of Energy Foundation. I 摘要 公共建筑节能能耗高，减排潜力巨大，是建筑节能工作的重要领域。 2011年起，中国财政部、住房城乡建设部（以下简称“两部”）启动实施了公共建筑节能改造重点城市试点工作，先后确定上海、天津、深圳、重庆作为首批重点城市，济南、青岛等八个城市为第二批重点城市，要求每个城市 3年内根据情况完成 200-400万平方米的公共建筑节能改造任务，改造后单位建筑面积能耗下降 15%以上。 在推动公共建筑节能改造重点城市进程中发现，重点 城市积极引导市场机制发展，鼓励合同能源管理模式的应用，但仍存在节能量核定困难、未能充分撬动金融资源 、 节能服务公司融资困难 、 节能改造市场发展缓慢 等问题。 2016年，中国人民银行等七部委发布 联合发布关于构建绿色金融体系的指导意见，绿色金融在中国迅速发展。 2017年， 住建部会同银监会决定启动新一批重点城市建设。借鉴前两批重点城市经验和教训，新一批重点城市将加大力度探索市场化改造机制，全面推进合同能源管理、 PPP等模式应用。同时，在中央财政节能减排专项资金规模逐步压缩、财政政策转型预 期强烈的背景下，鼓励重点城市 主管单位 探索以 绿色金融为重要融资渠道，支持公共建筑节能改造 市场化 推进 。从目前的建筑节能工作来看，公共建筑节能改造是市场化应用程度最高的领域之一， 可以作为培育发展建筑节能领域绿色金融体系的 突破口。 II 为此，本项目 以 推动 公共建筑节能改造重点城市绿色金融 发展为主要 目标，开展的主要研究内容如下： （ 1）梳理公共建筑节能改造融资现状、预测融资需求、识别融资障碍。 当前公共建筑节能改造融资模式 主要包括政府融资模式、合同能源管理 融资模式、业主自筹融资、银行贷款等； 统计 全国各省市“十三五”期间公共 建筑节能改造规划目标 为 1.5亿平方米，在此基础上，测算“十三五” 期间低预期融资需求为 130亿元，高预期融资需求为900亿元，并根据具有改造价值的既有公共建筑面积测算，可预期 范围内的潜在总投资需求约为 8700亿元。 而当前公共建筑节能改造 存在 缺乏长效激励政策的支持、 各相关主体对节能改造认识不足 、 现行的公共预算制度不利于驱动自发节能改造行为 、 节能服务公司 融资困难、 缺乏改造标准 、 节能量核定困难 等一系列融资障碍。 （ 2）梳理国内外绿色金融发展现状，并提出基于公共建筑节能改造的绿色金融融资方案。 金融机构在投融资决策中充分考虑环境因素的影响，并通过一系列的体制安排和产品创新，将更多的资金投向环境保护、节能减排、资源循环利用等可持续发展的企业和项目，同时降低对污染性和高耗能企业和项目的投资，以促进经济的可持续发展。 本项目在对国内外绿色金融发展现状进行梳理的基础上，分析 绿色金融支持公共建筑节能改造案例 ，提出 基于合同能源管理的多层次管理绿色金融支持体系 ，包括 一级投融资市场、二级转让市场和衍生品交易市场，并提出 未来III 节能收益权 、节能收益债券等金融产品创新 。 （ 3） 提出绿色金融支持公共建筑节能改造重点城市 政策建议 政策建议包括出台鼓励性文件，制定节能量核定导则，建立公共建筑节能改造项目库，完善信息披露机制等内容 。 鼓励 公共建筑节能改造重点城市通过政策、财政、金融等手段，推动合同能源管理模式发展。并在此基础上，提出绿色债券、绿色信贷、绿色基金等金融产品支持公共建筑节能改造的建议。 （ 4）开始试点城市研究。 本课题研究选取青岛、重庆、上海、深圳四省市开展试点研究，通过实地调研，对各城市的项目实施基本情况，金融手段支持建筑节能改造的主要创新性做法、融资改造模式进行调研分析，总结梳理好的经验做法，识别存在问题， 为项目 的进一步研究奠定基础。 IV Summary With high energy consumption and huge emision reducing potential, public buildings involve in an important field in energy saving of buildings. The pilot work of energy saving reconstruction of public buildings in key cities has been implemented by Ministry of Finance of the Peoples Republic of China and Ministry of Housing and Urban-rural Development (hereinafter refered to as “two ministries”) since 2011. Shanghai, Tianjin, Shenzhen and Chongqing are determined as the first batch of key cities, and eight other cities such as Jinan and Qingdao are determined as the second batch of key cities. Each city is required to finish energy saving reconstruction of public buildings of 2 4 milion square meters within 3years, to achieve energy consumption reduction in unit covered area of at least 15% after the reconstruction. It is detected during the promotion of the energy saving recosntruciton of public buildings in key cities that key cities lead the development of market mechanism in a positive way, and they encourage the application of the contracting energy management mode. However, there are stil problems such as dificulty in energy saving amount check, failure in promotion of financial resources, dificulty in financing by energy saving service companies and slow development in energy saving reconstruction market. V The gren finance has been developed in a rapid way in China since the isue of the Guiding Ideas about Construction of Gren Financial System by seven ministries and commisions such as Peoples Bank of China in 2016. In 2017, the Ministry of Housing and Urban-rural Development and China Banking Regulatory Commision determined to start a new batch of key cities. Based on experiences and lesons from the first two batches of key cities, the market-oriented reconstruction mechanism wil be further explored in the new batch of key cities, so as to promote applications of contract energy management and PP. At the same time, with the background of increasingly compresed scale of special fund for energy conservation and emision reduction of central finance and increasingly intensive fiscal policy transformation expectation, competent units in key cities are encouraged to explore the way to marketization of energy saving reconstruction in public buildings by taking gren finance as the important financing channel. Acording to current works related to energy saving of buildings, energy saving reconstruction of public buildings is one of the fields with the largest marketization application degre, which can be taken as the entry for cultivation and development of gren financial system in the energy saving of buildings. Therefore, the project conducts research on the following contents by taking the promotion of gren financial development of energy saving VI reconstruction of public buildings in key cities as the main objective: (1) Arange curent conditions in energy saving reconstruction of public buildings, and prediect demands on financing, and identify barriers to financing. At present, the financing modes for energy saving reconstruction of public buildings mainly include thhe government financing mode, the contract energy management financing mode, the owner self-raised financing mode and the bank loan mode. The planning target of energy saving of public buildings of al provinces in the whole country during the “13thfive-year-plan” is 150 milion square meters. On this basis, the low expected financing demand during the “13thfive-year-plan” is 13 bilion yuan; the high expected financing demand during the period is 90 bilion yuan. When calculating based on the area of existing public buidings with value of reconstruction, the total potential investment demand is about 870 bilion yuan. However, there are a series of bariers to financing for energy saving reconstruction of public buildings such as lack of long-term eficient incentive policies, insufficient awarenes on energy saving reconstruction by related bodies, unfavorable existing public budget system in promoting spontaneous energy saving reconstruction behaviors, dificulty in financing by energy saving service companies, lack of standards for reconstruction and dificulty in energy saving amount check. VII (2) Arange curent conditions in development of gren finance at home and abroad, and propose schemes for gren financing based on energy saving reconstruction of public buildings. Financing institutions shal take influences of environmental factors into consideration in financing decision, and shal invest more fund in enterprises and projects with sustainable development such as environment protection, energy saving and emision reduction and resource recycling utilization through a series of institutional arangement and product innovation. At the same time, financing institutions shal reduce investment in enterprises and projects with high pollution and energy consumption, so as to promote sustainable development in economy. Based on the arangement to current conditions of gren finance development at home and abroad, this project analyzes cases of energy saving reconstruction of public buildings supported by gren finance, including first level of investment and financing market, secondary transfer market and derivative trading market. In addition, innovations in future financial products such as right to yields of energy saving and revenue bond of energy saving are proposed. (3) Propose policy suggestions in energy saving reconstruction of public buildings suported by gren finance. The policy suggestions include releasing of incentive documents, formulating of energy saving amount checking guidelines, establishing of