建设节能低碳、绿色生态、集约高效的建筑用能体系，推
进建筑节能改造，是我国实现节能减排、应对气候变化和绿色
发展目标的有效手段。“十二五”时期，我国建筑节能事业取
得了较大进展，建筑节能标准不断提高，既有居住建筑节能改
造在严寒及寒冷地区全面展开，公共建筑节能监管力度进一步
加强，节能改造在重点城市及学校、医院等领域稳步推进。然
而，我国建筑节能工作还面临不少困难和问题，主要表现在：
建筑节能标准与同等气候条件发达国家相比仍然偏低，标准执
行质量参差不齐；城镇既有建筑中仍有约 60%的不节能建筑，
能源利用效率低，居住舒适度较差；农村地区建筑节能刚刚起
步，推进步伐缓慢；建筑节能改造资金来源主要依靠行政力量
约束及财政资金投入推动，市场配置资源的机制尚不完善。
从 2013 年以来，我国积极探索创新公共服务的供给机制，
通过推广、运用 PPP 模式（政府和社会资本合作模式），吸引
社会资本参与公共服务领域，增加公共产品和公共服务的供给。
三年多来，PPP 取得了积极成效。PPP 作为供给侧结构性改革的
重要内容，中央大力推进、地方积极行动、资本高度关注并积
极参与。但落地的项目主要集中在公共基础设施领域，在包括
建筑节能在内的公共服务领域项目占比不到 20%。主要原因是
相关政府主管职能部门意识偏差、评价体系和指导准则缺失。
如何识别具有准公共服务（产品）性质的建筑节能项目，并灵
3 / 66活运用 PPP 模式进而促进该模式在建筑节能改造领域发挥积极
作用，是本研究课题的重点所在。
本研究报告认为，为促进 PPP 模式更好地应用于我国建筑
节能改造，需要从以下几个方面做出努力：（一）明确界定具
有准公共服务特征的建筑节能项目范围，并为此类项目采用
PPP 模式提供原则指引；（二）根据实际项目特点，积极探索、
大胆创新，通过建立合理的“使用者付费”机制等方式，增强
吸引社会资本能力；（三）把握 PPP 模式的内涵，制订建筑节
能 PPP 操作细则，包括全生命周期管理原则、物有所值评价、
风险共担与激励相容约束机制的设计；（四）创新并灵活采用
建筑节能 PPP 操作方式，切实提高项目运作效率；（五）优化
建筑节能财政资金补贴及其支付方式，探讨公共财政资金按
“计划”拨付重构为按“契约”支付的模式。
在建筑节能领域试点并推广 PPP 模式，无论是理论上还是
实践上，都面临巨大的挑战。我们相信，以市场为导向的 PPP
模式，必将在具有准公共服务性质的建筑节能领域中发挥重要
作用。
4 / 66SUMMARY
To develop a green building energy system of low-carbon, ecology,
and energy efficient integration is the effective way to reach
China’s green development goals of energy saving, emission
reduction and responses to climate change.
During the 12nd Five-Year period, the building energy saving in our
country has made great progress, such as building energy efficiency
standards constantly improved, energy saving in northern cold
regions widely implemented, public building energy efficiency
promotion deeply supervised, energy saving in key cities, schools,
and hospitals developed steadily. However, there are many
obstructions and problems in China’s building energy conservation
works, for example, substandard for building energy efficiency
compared to same latitude developed countries, 60% non energy
saving or low energy efficiency in existing urban buildings, and
startups for energy saving in existing rural buildings. Moreover,
building energy saving investments mainly relies on national
financial funding, and the mechanism of market allocation of
resources is not perfect.
Since 2013, China has been actively exploring the supply
mechanism of public services through the promotion and utilization
of Public Private Partnership (PPP model), which aims to attract
social capital to participate in public service supply. As an
important content of the Supply-Side Reform, PPP has been highly
concentrated by central and local governments and capital market
during recent three years. But the projects implementation mainly
5 / 66highlights in public infrastructure sector. And public service sector
only accounts for less than 20% of the projects. The main reasons
are the deviation of consciousness in government functional
department, and the deficiency of guiding and valuation system. The
emphases of this research subject are to analyze public service
characteristics of building energy efficiency and energy saving, and
to develop PPP model utilization and promotion in building energy
saving business.
This research report concludes that to promote PPP model utilization
in building energy saving projects, the key efforts should be put
forth in the following aspects. The first is to identify quasi public
service characteristic and define project scope of building energy
efficiency and energy saving. Secondly is to attract social capital to
invest in building energy saving projects through innovatively
establishing reasonable USER FEE mechanism. The third is evolve
project operating rules including whole life cycle management,
value for money evaluation, risk pooling and incentive compatible
constraint mechanism design. Fourthly is to choose and apply
suitable PPP operation mode in building energy saving business. The
five is to change usage mode of government finance budget for
building energy saving projects, and to value the spirit of contract.
The pilot and the promotion of PPP model usage in the field of
building energy saving, whether in theory or in practice, is a great
challenge for us. We believe that PPP, a kind of market oriented
model, will be sure to play an important role in building energy
saving field which has a quasi public service characteristics.
