Background Context in Each Partner Country

Transcription

1 Background Context in Each Partner Country Low Energy Apartment Futures (LEAF) Deliverable 2.1 January

2 Lead organisation: Uppsala University The sole responsibility for the content of this publication lies with the authors. It does not necessarily reflect the opinion of the European Union. Neither the EACI nor the European Commission are responsible for any use that may be made of the information contained therein. LEAF D2.1 Background Context in Each Partner Country, January

3 CONTENTS 1 Introduction Other European Projects and Initiatives Conclusion Multi-occupancy Housing Housing and occupants Technical Systems and Energy Consumption Ownership and Management Planning Legislation Planning Permissions Historic Buildings Financing Financial Stimulation Investments Energy Performance Certificates Legislation and Cost Methodology Problems With the Current EPC Systems Retrofitting Implementation of Measures Barriers and Opportunities Rating of Barriers and Motivation Policies and Information National Policies Information Services Conclusions References Appendix I Questionnaire LEAF D2.1 Background Context in Each Partner Country, January

4 1 Introduction The LEAF project (Low Energy Apartment Futures) aims to overcome the current limitations surrounding Energy Performance Certificates (EPCs) and multi-ownership in apartment blocks, using a technical and engagement toolkit to implement pilot projects in apartment blocks in the partner countries. This deliverable will collate and analyse background data from each partner country relevant to the retrofitting of apartment blocks to inform and guide the toolkit development (WP3 and WP4). This will include cross-comparison of national and local policies and legislation, prevalence of multi-occupancy housing, the EPC situation and finance mechanisms in partner countries. Commonalities and differences will also be identified, showing the particular context in each country and the issues needing to be addressed the most. Each partner has contributed with national data on: Prevalence and breakdown of multi-occupancy housing National, regional and local planning legislation Context on EPCs National energy and CO 2 reduction policies Finance mechanisms Projects and targets in each participating city and country for this type of building LEAF D2.1 Background Context in Each Partner Country, January

5 2 Other European Projects and Initiatives Today the implementation of the Energy Performance of Buildings Directive (EPDB) is the main EU policy instrument to improve the energy efficiency in buildings. The regulations and instruments aim mostly at achieving sustainable newly built construction. It also targets existing buildings to some extent. This secondary incentive tool to optimize energy need and consumption is based on the arbitrary cost-effective retrofit proposals in the EPC system. Emphasizing the implementation of the latter is of great importance since there is greater potential in energy saving of the vast stock of existing buildings in relation to the relatively small amount of newly built buildings [Meijer et al. 2010]. The potential lies partly in technical innovations, but perhaps primarily in financial. Statistics point to energy efficiency being rewarded by the market [IEEP 2013]. This means that there is a positive relationship between relative energy efficiency proved by EPCs and the market price of the dwelling. The know-how on how to stimulate building and property owners and other stakeholders to further implement measures is however still rudimentary. Multi-occupancy buildings have since long been identified as particularly challenging for energy conservation [DeCiccio et al 1994]. The main problem seems to be that many building owners lack information on potential savings, how to implement efficient measures and which available incentives and financial assistance they can acquire. In order to address this in context, the following will summarize some no-cost mediating websites with more or less specific targets. Most renowned is perhaps Build UP an interactive website for the sharing of information on energy efficiency. It offers reports and articles on implemented European energy efficiency projects from a wide range of disciplines and sectors. The primary target audience is building contractors, estate owners, engineers as well as local and regional authorities. Among the articles there are several pilots and good practice-examples of which some are related to the LEAF-context. Another one is Renovate Europe. This is an incitement initiated by EuroACE (The European Alliance of Companies for Energy Efficiency in Buildings) which focuses on the potential in the connection between energy efficient (reduction of CO2 and fossil-fuels) measures and job stimulating actions. Its partnership stretches from manufacturing sponsors specialized in energy efficient building envelopes to several co-working branch organizations. In a recent report presented on the website produced by Copenhagen Economics, it is concluded that a few principle no-cost actions should be achieved via the involvement of authorities: The removal or reducing of favourable tax treatment of heating and electricity in buildings to duly render energy efficient renovation of buildings more attractive and provide direct net revenue gains to public budgets. A modernisation of rent regulations to allow landlords and tenants to split the gains from energy efficient renovation of buildings. The Intelligent Energy - Europe (IEE) program of the European Commission developed their technical support initiative ManagEnergy in order to provide tools for the public sector in western and southern Europe to link with the advisors on energy efficiency on a local and LEAF D2.1 Background Context in Each Partner Country, January

6 regional level. A pilot project was implemented in the Portuguese district of Mira Sintra where a couple of energy distributors and the regional energy agency of Sintra Municipal with granted subsidies from IEE actively invested in various retrofits. The outline was simple: reduce energy consumption by four standard interventions. These were: Distribute CFL-bulbs Install PV systems on roof-tops Improve the U-values of the building envelopes Implement an awareness raising campaign Regarding the latter, the target group was the inhabitants of the districts. The results of the case study show that the interventions were worth annual savings of 509 MWh for the cost of circa In addition it was concluded that active dialogues with the inhabitants, finding local leaders to channel trust and implementing door-to-door information rather than seminars is effective. IEE also subsidies local incitements on the reduction of fossil fuel use by providing knowhow and information on the potential in changing behavioural patterns. This however should target not only inhabitants, but also companies, authorities, schools and children etc. Case studies have been performed in Scotland and Sweden. The principle of establishing trust and links to inhabitants in order to target energy consumption and IEQ-issues is evidently not new. An article summarizing the original EPIQR-methodology, conducted in the late 1990 s, states the importance of primarily distributing questionnaires with which residents can assess indoor comfort and air quality. Thus the second step will be conducting energy audits, LCC analyses and the actual implementation of the needed retrofits. [Jaggs, Palmer 1999] ApRemodel (Retro Innovations in Multi-Occupancy Dwellings) was a British-Finnish multidiscipline incentive aiming to strengthen the degree of innovation products when working on apartment blocks, using case study pilots in England and Finland. The results were that they came up with more than 40 innovating solutions stretching from technical to non-technical. The perspective showed that retrofit is a systematic problem; it needs to be solved in a way that connects process, technology and people to deliver real solutions. Recent research on energy policies and pricing principles show that incentives for improving energy efficiency in multi-occupancy buildings are greatly affected by pricing principles in two specific areas: Housing rents District heating fees A case study from Stockholm [Lind 2012] shows that in the case of rented apartments: the rent that the tenant pays is set so that it includes heating and hot water, the tenant has no incentive to reduce energy consumption. On the other hand, if LEAF D2.1 Background Context in Each Partner Country, January

7 heating and hot water are paid directly by the tenant, then the property owner has no incentive to invest in measures to reduce energy consumption. 1 The article states that the incentives behind various pricing systems that affect the profitability of energy saving investments are complex. The same issue was addressed in the report for the baseline study of CASH 2010 (Cities Action for Sustainable Housing). It concluded that the owner in this case the landlord will have little incentive to invest in energy efficiency if the operating costs are borne by tenants, who evidently gain the biggest economic advantage of energy efficiency investments. Improving communal areas in apartment blocks can, as stated in the Energy Heritage report [a Changeworks initiative], be very problematic. In the case study of refurbishing a historical multi-occupancy building in Edinburgh, Changeworks concluded that in this case communal areas were to be left out since it deemed too expensive and perhaps small to efficiently optimize the envelope. However, the report states that minor interventions, i.e. draught proofing, smart monitors and home energy advice visits, can generate vast reductions in energy consumption. Pilot projects in Vienna and Graz 2 focusing on the potentials of third-party involvement (e.g. a bidding energy service company) show that housing companies in general still have a reserved attitude towards integrated energy services. In retrofitting larger apartment blocks it is stated that the involvement of a third party can optimize residential energy supply comprehensively. A Scandinavian example is the refurbishment of an apartment block in Copenhagen which was able to cut its estimated energy consumption with 73 % (162,5 to 43,5 kwh/m 2 year). After retrofitting it fulfilled the requirements for new buildings in Denmark and has in addition earned the title as a so called zero-use building. Despite major renovations including several innovations with decentralized PV-driven HVAC-systems, extra glazing and new interior insulation the building managed to maintain its historic exterior characteristics. 3 Some experiences that retained post-retrofit were that the ventilation system should be installed with low noise components and that insulation materials had to be cut and sized to fit. [Morelli et al 2012] The project above was awarded Renovation of the Year of Realdania, a national organization promoting projects and practical solutions that support sustainable built environments. Another of their sponsored projects concerns cost effective energy efficient interventions in tenements [Energibesparende foranstaltninger i udlejningsejendomme 2012]. In a series of case studies analysed from a judicial and economic point of view, the following conclusions could be drawn: A thorough energy screening, provided by a third party, is more likely to be able to find more low-cost alternative and larger profitable saving interventions than that of a general one, e.g. according to the standards set by the ECD In larger buildings or clusters of buildings, the point of extrapolating results from a few in-depth case studies, i.e. apartments, can be used to study similar buildings on a larger scale 1 The first part is also applicable for housing cooperatives LEAF D2.1 Background Context in Each Partner Country, January

8 The split incentives problem can be managed by setting a minimum of saved energy costs post-intervention to balance the higher rents Finally, there is a growing need to equate the economical up-sides of energy efficient measures to those of more administrative nature in rental units Program evaluation is as crucial in the multifamily sector as it is in any area of energy efficiency work. [DeCicco et al. 1994] An example of this is a large project in Bulgaria called The Demonstration Project for the Renovation of Multifamily Buildings which has been up and running since Originally a joint initiative of the regional office for Development and Public Works and the United Nations Development Programme, it is (as of summer 2010) achieved energy retrofitting 1063 households in 27 fully renovated multi-occupancy buildings. The main objective with the project is to develop a replicable method for renovating multifamily dwellings. Regarding the technical solutions a standard has been established where thermal and hydro insulation is installed, windows are replaced, the water and plumbing system is relined etc. These measures have saved some 40-60% energy consumption which due to the project-subsidized nature means great savings for the inhabitants. More interesting though, is what has been implemented throughout the process. This is for example: Information on why renovation is necessary and what the energy efficiency effects for the particular household will be, what the benefits of renovating a whole building are; Technical support for the achievement of the required minimum of technical standards; Legal support for the establishment of a voluntary association for the purposes of the renovation; Financial support: subsidy and facilitated access to loans; Support for the organization of the renovation process: technical and energy surveys, preparation of technical documentation, competitive selection of works contractors and supervision contractors, quality control for achieving technical standards, etc.; Additional incentive partnership with the municipality for the renovation of the adjacent public domain. European buildings under the microscope: Roughly 36 % of the residential building floor area in Europe consists of apartments in multi-occupancy buildings. Figure 1 shows a classification of barriers identified in the BPIE survey and address barriers to retrofit in general. 4 LEAF D2.1 Background Context in Each Partner Country, January

9 Figure 1: Barriers in retrofit identified by BPIE. 2.1 Conclusion Recommendations could be organised in a number of ways. For enhancing energy conservation they must consider the diversity of the multifamily sector in terms of physical building type, fuel use, geography, type of ownership, and the variety of institutions involved. A key aspect is to communicate with inhabitants. To inform them on the multidimensional benefits of energy efficient measures. To involve them in the planning process. To keep them updated with the implementation work. To follow-up their own opinions on IAQ and bills LEAF D2.1 Background Context in Each Partner Country, January

10 3 Multi-occupancy Housing 3.1 Housing and occupants < >2000 Austria 15,2 8,2 28,0 15,2 11,5 13,6 8,3 France 17,0 13,2 17,4 25,2 10,2 8,5 8,4 Germany 5 14,4 13,6 46,3-13,2 9,2 3,3 Hungary 6-20,8 27,2 23,1 17,8 7,9 3,2 Sweden 12,1 14,7 37,0 16,8 9,4 5,5 4,6 UK 17,0 17,0 21,0 21,8 20,0 - - Table 1: Age distribution in the total housing stock (%). Dwelling stock in multi-occupancy buildings 7 Owned dwellings (total stock) Average number of persons per occupied dwelling (total stock) Austria 50 % 63 % 2,3 99 m 2 France 44 % 66 % 2,3 91 m 2 Germany 71 % 56 % 2,1 90 m 2 Hungary 41 % 8 94 % 2,3 78 m 2 Sweden 55 % 69 % 9 2,1 93 m 2 UK - 73 % 2, m 2 England 19 % Wales 7 % Scotland N. Ireland Table 2: Housing stock data for all countries. Average useful floor area per dwelling (total stock) Austria Age: Generally housing construction is relatively stable on a quite high level. In building permits were granted (5.5 permits per 1,000 inhabitants). Since the early 70s, the total building stock in Austria rises about 1% per year. Size: More than 1/5 of the dwellings are between 70 and 90 m², almost half of the total building stock is larger than 90m², which are mostly single- and two-family buildings. Occupants/tenure: Of the total population: 47% in single-family buildings or two-family buildings 21% in small multi-occupancy buildings (3-10 dwellings) 29% in big multi-occupancy buildings (>11 dwellings) 3% in buildings mainly used non-residential 5 <1919, , , , , , > <1944, , , , , > All data in the table from: Housing statistics in the European Union, 2010, unless otherwise stated. 8 Data from 2000 (Housing statistics in the European Union, 2010) 9 Including owning through a housing cooperatives 10 Data from 2000 (Housing statistics in the European Union, 2010) 11 English Housing Survey, 2009/10 12 Living in Wales Survey, 2008 LEAF D2.1 Background Context in Each Partner Country, January

11 In an average household live 2.3 persons. Some 57% of households live in their own property: 11% in condominiums in apartment blocks and 46% in single family buildings. The percentage of single family buildings ranges from 80% in some rural provinces to only 4% in the capital city Vienna. 41% of all households live in the rental sector. Within the rental sector, the social housing sector is a bit greater than the number of private rental flats. In total some 23% of the housing stock may be regarded as social housing rental stock. France Age: In France, we distinguish 4 types of buildings regarding their year of construction and the thermal regulation: before 1948, from 1948 to 1974, from 1975 to 1990, after The building stock of multi-occupancy buildings increase rapidly compared to the housing stock in general. Size: 25% of multi-occupancy buildings are small (less than 10 dwellings), 58% are medium sized buildings (10 to 50 dwellings), 17% have more than 50 dwellings. Occupants/tenure: 47% of apartments are owner-occupied. 17% have low to very low income 45% are tenants of the private stock. 17% of them are below the poverty line 6% are tenants of the public stock 2% are under another statute The housing of owner-occupied buildings is in better condition than the one of the tenants. In both cases, 20% of the inhabitants belong to high-class socio-professional category. 23% of all the French main residences are in multi-occupancy housing ( ). 82% of them are located in urban areas of more than inhabitants and 97% in urban areas. Germany Age: Classes of the old multi-occupancy buildings: A (before 1860) 0,9 % of the living area in old buildings in Germany B ( ) 8,8 % C ( ) 7,0 % D ( ) 7,5 % E ( ) 13,0 % F ( ) 11,0 % G ( ) 7,8 % H ( ) 11,5 % I ( ) 8,5 % J ( ) 3,0 % X Retrofitted old buildings 21,0 % LEAF D2.1 Background Context in Each Partner Country, January

12 Hungary In Hungary there are two main building-types in multi-occupancy building stock: 14% of the dwellings are in panel blocks and 20 % is non-panel (mainly brick or stone) buildings. Age: Construction year of multi-occupancy buildings: Before 1960: 23% : 36% : 34% : 5% <: 2% The average age of panel block buildings is 30 years; the average age of other multioccupancy buildings is 52 years. Size: The average size of apartments in panel blocks is 55 m 2, in other multi-occupancy buildings 68 m 2. Occupants/tenure: Of the total population: 94% own the dwelling they live in 3% rent from a municipality (social rents) 3% rent from private owner (market rents) In multi-occupancy buildings the distribution shows a similar picture. The average number of persons per dwelling is 2,36. Sweden There are about multi-occupancy buildings in Sweden, of a total of buildings. Age: 41 % were built between 1951 and 1970, of which 25 % were built between 1961 and Size: 25,1 % of the dwelling area in Sweden is in multi-occupancy buildings. The average size of dwellings in Sweden is 91,8 m 2. Occupants/tenure: In average there are 2,1 inhabitants/household. In urban areas a little more than 50% live in multi-occupancy buildings. Statistics from 2008 for multi-occupancy buildings show the following about ownership 13 : 2 % are owned by the state/municipalities 17 % are public housing 8 % are owned by large, national, housing cooperatives (HSB, Riksbyggen) 43 % are owned by small housing cooperatives 30 % are privately owned 13 LEAF D2.1 Background Context in Each Partner Country, January

13 United Kingdom 14 England 4 % of England s housing stock is classed as converted flats. These represent buildings that were previously a single dwelling and have been converted to encompass more than one residence (i.e. multi-occupancy buildings). A further 15 % of England s housing stock is purpose-built flats (i.e. originally intended and built for the purpose of housing more than one dwelling). Age: Buildings classed as converted flats in England are notably older, with 86 % being built before 1919, and nearly all are pre Size: Converted flats are smaller on average than the housing stock as a whole, with 48 % having just 1 bedroom. The smaller dwelling size is reflected in the typical occupancy pattern, with 37% of converted flats having just one occupant, under retirement age. Occupants/tenure: Converted flats are mainly private-rented (56%) or owned with a mortgage (21%). Scotland According to the Scottish House Condition Survey, 35 % of households in Scotland live in tenements or other flats, and the majority of these (28.5 % of all homes in Scotland) were built before 1982, and so would not have had insulation installed at the time of construction. Age: Housing stock is divided in pre-1919 (23 % of flats in Scotland), prewar (13 % of flats in Scotland), postwar (13 % of flats in Scotland), 1960s (19 % of flats in Scotland) and (remaining flats). Size: pre-1919: 3-5 floors, 2-4 flats per floor prewar : 2 floors, 4 flats postwar : 3 floors, 6 flats 1960s: 5 floors Occupants: All these building types have multiple types of ownership. 3.2 Technical Systems and Energy Consumption Austria Heating systems: Almost 50% of the building stock with more than 20 dwellings is supplied by district heating; almost 40% have central heating systems. In small and big multioccupancy buildings, the amount of dwellings supplied by district heating increases, the amount of central heating systems decreases. The number of apartments with electric heating and single oven heating decreases continually, which is an indicator of refurbishment. 14 The UK section refers to England and Scotland as our project focuses on these countries. Some differences between other UK countries (N. Ireland and Wales) are noted where relevant. LEAF D2.1 Background Context in Each Partner Country, January

14 Ventilation: Ventilation-behaviour is also identified as in indicator with high influence on the energy demand. Especially saving from mechanical ventilation can be minimized. Domestic hot water: As a third main influence on the energy demand, warm water consumption is to be mentioned. In new buildings, the energy demand for domestic warmwater production often overruns the heat energy demand. This is a result of high performance standards as well as a high standard on sanitary accessories. Behaviour: The main influence on the energy demand by user behaviour is the room temperature. Residents living in a building with a good or excellent energy performance tend to have higher room temperatures, while inhabitants of older and not-refurbished buildings heat rooms less. France Constructions: Buildings from before 1948 often have poorly insulated building envelope. The building stock from 1948 to 1990 represents the most important part regarding energy saving measures. It represents 53% of all the multi-occupancy housing and 28% of housing. This building stock is regarded as a priority by the French government. Characteristics of building without insulation from 1948 to 1975: Bad air-sealing quality Non efficient ventilation High energy consuming heating systems High energy consuming lighting systems Heating systems: Pre 1948: Individual systems : Fuel heating systems : --- Behaviour: High heating temperatures Windows open without turning off the heat High hot water and electricity consumption Bad maintenance of systems (water heaters for instance) and regulation Forget to turn off lights Bad ventilation Germany Construction: Reinforced concrete or masonry with bad insulating bricks or a combination of both. Heating systems: Typical is a central heating system, mostly generated by district heating (multi-occupancy buildings are mostly in city (-centres)) or gas boilers. Partly heating per storey with direct flow gas heaters (geysers). No cooling system. Ventilation: Window ventilation mostly. LEAF D2.1 Background Context in Each Partner Country, January

15 Domestic hot water: Hot water is mostly coupled to the space heating system, otherwise generated separately by geysers. Hungary Construction: Division of typical building materials: Brick 49%, before the 60 s and after 1996 this is the main building material Concrete 7% Stone 2%, only in buildings built before the 80 s Combined (brick and stone or concrete): 1-2% Panel block: 39%, was very popular in 60 s 70 s and 80 s for blocks of flats. Other: 2% Typical U-values in panel blocks: walls: 0,5-0,9 W/m 2 K, windows and doors: 2-2,5 W/m 2 K. In 39% of the buildings the owners insulated the walls and changed the windows in the last 5-10 years and in 19% the heating system was retrofitted. In old brick buildings the general condition of the construction and heating systems is usually bad, only % of buildings have wall and roof insulation and retrofitted heating system. Typical u-values: walls: 1,4-1,8 W/m 2 K, windows and doors: 3-3,6 W/m 2 K. Heating systems: In panel blocks district heating is the most common solution, in other buildings the heating is individual for each apartment. In 50% of the panel blocks there is no individual regulation of the heating systems. District heating is usually more expensive in Hungary than other heating sources. Panel blocks: 80% district heating 20 % natural gas and other Other multi-occupancy buildings: 85% natural gas 3% wood 6 % combination of natural gas and wood Behaviour: Regarding to a former questionnaire we can list some common bad manners in energy use (without statistics): Overheating the rooms (23-26 C) Open windows during the heating or cooling season Lot of people never use the existing heating regulation system High stand-by consumption of electric devices (and they leave them on) High temperature in the boiler (80-90 C) Washing up with running warm water Leave the lights on in the empty rooms LEAF D2.1 Background Context in Each Partner Country, January

16 Sweden Construction: The average u-values of the walls in multi-occupancy buildings are the following: Buildings from 1960 and earlier; 0,58 W/m 2 K ; 0,41 W/m 2 K ; 0,33 W/m 2 K ; 0,21 W/m 2 K ; 0,19 W/m 2 K Heating systems: The heat source in multi-occupancy buildings by heated percentage of floor area is the following (for average consumption, see table below): 6% oil, gas 5% electric heating 6% heat pump (geo, ground, water, air, groundwater etc.) 2% exhaust air heat pump 1% bio fuel 81% district heating Heat source kwh/m 2 Oil 177 District heating 148 Electricity 123 Gas 166 Other 133 Total 145 Table 3: Average energy consumption in Swedish multi-occupancy buildings. Ventilation: Older buildings rarely have mechanical ventilation. In buildings from there are often supply-and-exhaust air ventilation, sometimes with heat recovery. The mechanical exhaust air ventilation systems are dominant in multi-occupancy buildings. Domestic hot water: Unless the house is heated with direct electricity the DHW is usually heated with the central heating system. Behaviour: The energy use is generally higher in multi-occupancy buildings due to the fact that the cost for heating and hot water is usually included in the monthly fee, and this fee does not change even if you consume less. Only in newly built apartments (with individual measuring of heating and hot water) or apartments heated with direct electricity the occupants are required to pay more if they heat more. LEAF D2.1 Background Context in Each Partner Country, January

17 United Kingdom England Construction: The predominant wall type of converted flats in England reflects the age of the stock, with 83% having solid walls (cavity wall construction was introduced in the interwar period of ; all dwelling preceding this time are likely to have solid walls). The average SAP rating is notably lower for converted flats compared to England s housing stock as a whole, with 61% being SAP band E or lower. The lower the SAP band, the more inefficient the building (and therefore the greater the heat loss and higher risk of fuel poverty/ high heating bills). Over a quarter of converted flats in England are classed as fuel poor. This is higher than the average for England (19%) and is likely a reflection of the physical characteristics of these dwellings (older buildings, with solid walls). Heating systems: Converted flats in England mainly have mains gas central heating systems or electric storage heating. Space heating represents the biggest proportion of household energy demand, for all dwelling types (56% of total household fuel costs on average for England s housing stock as a whole), but even more so for converted flats (61%). This reflects the physical nature of the converted flat housing stock (old, draughty, poorly insulated buildings) and the size (smaller therefore lower costs for lighting and appliances). Multiple-occupancy buildings are more likely to have electric heating systems (23%) compared to England s housing stock overall (9% using electric as the main heating fuel). Whilst efficient, electricity represents a more expensive heating fuel compared with mains gas. Behaviour: Modern household heating systems now tend to offer high levels of user control, with: Thermostatic Radiator Valves (TRVs) enabling control of individual radiators (e.g. to ensure an un-used room is not being heated unnecessarily); sophisticated programmers to set the time of day (and in some cases, day of the week) for the heating and hot water to come on/go off; and a room thermostat, which automatically turns the heating on and off to maintain the desired temperature. Standard advice in the UK is to set the thermostat to 21 degrees Celsius in the living room and 18 degrees elsewhere. In households with older heating systems, this level of control may not be available to the householder, resulting in inefficient and wasteful heating practices. Even where sophisticated heating/hot water programmers are installed, it requires an understanding by the householder of how to use them effectively, which is often lacking. This issue of lack of understanding and inefficient heating practices may be exacerbated in multi-occupancy buildings, a high proportion of which are privately rented and the occupant may therefore be unfamiliar with the heating system installed. In addition, the rent in private rented properties will sometimes be inclusive of heating and electricity bills. This effectively removes any financial incentive to use energy in the home sparingly/ efficiently. Scotland Construction: Many tenement flats are hard-to-treat and are mostly poorly insulated. Older tenements will have solid stone walls; properties built in the 1960s or 1970s are likely to be constructed of concrete which has low thermal performance (see table below). Even loft insulation is not present in all properties (partly because it can be a communal measure LEAF D2.1 Background Context in Each Partner Country, January

18 which means it is more difficult to get agreement). Windows are single-glazed in older properties and draughty. Communal areas (such as stairwells) are not usually addressed; these may have draughty doors or in some case, no stairwell door. Rates of fuel poverty among consumers living in tenements (25%) are lower than the Scottish average of 29 per cent. However, these figures are in part influenced by the lower rates of fuel poverty among those living in more modern, energy efficient flats and buildings. Fuel poverty rates in older buildings of all types are consistently higher. Heating systems: District heating is very uncommon so each flat will typically have its own boiler or electric storage heating (which is more expensive to run). Depending on the age of the flat and rate of refurbishment, heating controls may be hard to reach or missing. Boilers may be old and inefficient. Ventilation: Many people dry laundry indoors and open windows in cold weather to allow for sufficient ventilation. Mostly only bathrooms and kitchens are fitted with mechanical ventilation and natural and trickle ventilation is most prevalent in pre-1980 s built properties. Behaviour: There is no typical user behaviour but there may be multiple issues e.g. lack of understanding about heating controls, poor temperature management, leaving appliances on standby, etc. The behaviour issues in Scotland have a lot in common with those in England. Year Type Size Construction Building systems Pre Sandstone tenement 3-5 floors, 2-4 flats per floor Large windows, stone wall Large rooms, single glazing Occupants Multiple occupancy Specific problems Single glazing, no wall cavity Prewar Four-in-ablock 2 floors, 4 flats Cavity wall, internal stair Standard double glazing, no wall insulation Multiple occupancy Uninsulated walls Postwa r s Tenement flat Cavity wall tenement 3 floors, 6 flats Concrete, common stair Standard double glazing, no wall insulation 5 floors, Cavity wall No wall insulation, standard double glazing Multiple occupancy Multiple occupancy Multiple occupancy Hard to treat wall insulation Uninsulated walls, many floors Table 4: Typical historical constructions of Scottish apartment blocks. LEAF D2.1 Background Context in Each Partner Country, January

19 3.3 Ownership and Management Austria Ownership models: The legal basis is the Austrian condominium law, which is subject to the federal state. The association of owners consists of all (flat) owners within the respective building. The association is legally represented by the property manager, who is also responsible for commissioning the maintenance and improvement measures and also the EPC for the whole building. Management: Key person is the property manager, particularly with regard to the preparation of the decision process, information of the owners, compiling all facts as decision basis (technical solutions, costs, financing etc.). Decision making: A majority of the owners is needed for a refurbishment project (e.g. thermal insulation, change of windows, change of heating system), provided that there is a benefit for all owners. Alterations of common parts of the building which are beneficiary only for single owners need 100% agreement. The decision is formally taken by all owners represented in the ownership association, according to their share. No special legal agreements are required between the different owners, since all have the same legal status. France Ownership models: A multi-occupancy buildings is a building that has at least two dwellings: 1. The monopropriété has one owner. Most of them are social housing. 2. The société civile immobilière (SCI) is an ownership constituted from two to various people with the purpose to buy properties. The company (SCI) is the unique owner of the property. 3. A copropriété (generally called multi-occupancy housing) is a building subdivided in private and communal areas. Each apartment has a share of the common areas. Multi-occupancy housings are regulated by the laws of 1965 and the decree of Management: 3 different structures manage multi-occupancy buildings: The federation of all the owners takes its decisions in a general assembly. The board of owners assists and controls the property manager. The property manager is the authorized representative of the condo association. It acts in its name. It can be one or more of the owners or delegated to a private structure. 4 stages can be distinguished in the in the preparation and execution phase of refurbishments: 1. Preparation of the decision to go for an energy audit: board of owners, the property manager and the general assembly. 2. Realization of the energy audit and preparation of a work plan: the thermal consultant with the property manager and the board of owners, the general assembly to decide to go for a precise energy retrofit action plan study. 3. Realization of a project management study: the company in charge of realizing the study and then the general assembly to vote for the work to be done. 4. Realization of the work: the project management company. LEAF D2.1 Background Context in Each Partner Country, January

20 Decision making: Each owner has a vote that is weighed depending on the size of the apartment. The majority voting rules are regulated by law and adapted to the decision to take: Simple majority: rehabilitation work, maintenance of housing, budget (as energy bills or cleaning) Absolute majority: compulsory works linked to laws or decree, energy and carbon saving measures, heat cost allocators, metering equipment. Double majority (majority of millième and more than 2/3 of the owners): work on communal area that are not compulsory by laws or decree; changes in the condominium rules; works related to transformation, addition or improvement. Germany Ownership models: 1. Homeowner association in an apartment block: normally 1 or max 2-3 apartments per every property owner. The owners choose an advisory board, which represents the residents in front of other boards/organisations. A property manager represents the owners community and manages the infrastructure owner of all flats in the multi-occupancy building: city owned companies, private companies etc. Management: The key persons/organizations during the refurbishments are: The property manager preparation of the decision making and financial management Supervision of the realisation and financial management could also be done by the property manager, or by an engineering company In case of contracting energy supply companies or other contractors take part. Decision making: In the common case, a decision could be made by the residential owners community, if more than 50 % of the owners parts are present. In the case, that there should be installed an exterior insulation or a new heating supply system, a full majority of the votes is necessary. In the case, there should be installed an interior insulation or a window should be replaced, every household/owner could decide for itself. The stakeholders in the decision process are the following: The owners A representative of the property management company In the case, that the exterior design of the building would be changed by the retrofitting action, also the municipality it is covered by the building permission. The following documents/legal agreements are needed: Declaration of agreement from the owners Eventually contract with an EPC LEAF D2.1 Background Context in Each Partner Country, January

21 Hungary Ownership models: There are 3 types of multi-occupancy buildings in Hungary: 1. More than one household owns the building without specific legal frameworks. It s not common. 2. Housing association is a legal entity funded by the members of the association in order to build or manage buildings with more than 1 dwelling. Members could be private persons or legal entities (e.g. companies, municipalities). The common areas, common building elements are owned by the association. Housing associations count mostly high number of dwellings ( ) that means usually more separate buildings. Housing associations have elected management. 3. Housing co-operative (owners co-operative) is similar to housing association but it s not a legal entity however they have legal document of the founding. The owners of the dwellings are private persons, companies or municipalities. The common areas and building elements are in common ownership of the owners of dwellings. Housing cooperatives are typically founded by owners of one separate building and they elect a representative. Management: Although they have different regulation the management of housing associations and housing-cooperatives are very similar in practice. There is one person (head of the building or building manager) who is responsible for the housekeeping financial issues and renovations. In bigger buildings or building associations a maintenance office runs the tasks. The key person is the elected person in charge (house manager or director) of building management and maintenance. He/she has to manage the whole refurbishment (of course he/she can involve technical experts, companies, lawyers etc.) The common decision made on the regularly or extra meeting of the owners (either voted or in written) is enough to start the renovation process. No further agreement is needed between the owners. Decision making: The owners have a yearly meeting where they make decisions about the common issues: they accept the yearly report of the manager or head of association, decide the amount of financial contribution per dwelling, renovation issues etc. Each owner has voting right in the ratio of the ownership (big flats have big vote). If needed, extra meetings can be initiated for decision making or the owners can vote in written about certain issues like roof insulation. If the multi-occupancy building is not under specific regulation owners can make agreements by the civil law. In housing associations and housing co-operations (they are specifically regulated) the simple majority (50%+1) of the owners is enough to make a decision on refurbishment. It happens regularly on the yearly meetings or (in case of application for state subsidy) in extra meeting or in written. In simple cases the owners vote about the investment and the financial frames and the housing manager/director makes the further consultations with companies, he/she collects tenders and decides who will execute the investment. The municipality takes part only if it has owned dwelling in the building. In case of application for public subsidy or bigger amount LEAF D2.1 Background Context in Each Partner Country, January

22 the building has to be run a public procurement before contracting the implementing company. Sweden Ownership models: 1. Tenancy typically means that you rent an apartment from a landlord who owns one or more properties with tenancy. One can also hire someone else's private property in whole or in part, whether it is an apartment, a condominium or a property. But then you do not have the same security of tenure. 2. Housing cooperative or association means that you are a member of an association, which owns a multi-occupancy building and each member has an apartment. The right to the property includes both the right to use the apartment as well as a stake right in the association. An apartment can normally be sold on the open housing market, but the buyer must be approved by the association. The occupants usually pay a monthly fee to the cooperative; the amount varies a lot, depending on the economy of the cooperative. 3. Cooperative tenancy can be described as something between a tenancy and a housing cooperative. A cooperative or association owns or rents a property and individual members rent their apartments through the association. When moving in a form of security deposit is paid to the association, when you move from there the deposit is returned to you. Thus, you cannot sell an apartment but only return it back to the association when moving. 4. Condominium means that you personally own your residence. Since May 1 st, 2009, it is possible in Sweden to build new apartment blocks as condominiums, or to rebuild/convert buildings that are not residential buildings to condominiums. This type of housing means that you own your apartment, not just the right to use the property, as in the housing cooperative. That means, for example, that you can sell, pledge or without permission rent it, just like any homeowner. Unlike homeowners the owners of a condominium have a share in an association, covering roofs, facades, staircases, storage and other shared facilities. The owners of the apartments are members of a community association that manages the common parts. There is a monthly fee for the maintenance of communal areas. In conclusion: Multi-occupancy buildings rarely have different owners, they are either owned by associations or cooperatives. In condominiums a community in which all households are members deals with renovations and maintenance of communal areas. 15 Management: In a housing cooperative the elected board is responsible for the continuous activities. The board is responsible for the management of the cooperative, including accounting and other administration. Decision making: The board has the authority to take decisions on the establishment of a financial plan, a decision on admission as well as confiscation of the apartment. Some decisions must always be taken at the general assembly (where all members are invited), 15 Condominiums are still very rare, there are only 700 apartments in the whole of Sweden in condominiums (as of March 20 th 2013), which is why we will focus on housing cooperatives in this project. LEAF D2.1 Background Context in Each Partner Country, January

23 including the election of the board, sale of buildings and changes to the constitution of the cooperative. Apart from that most decisions can be made by the board, but there is no rule against all decisions being made by the general assembly (in large cooperatives it can be impractical, though). Sometimes it is difficult to say who should make decisions, for example in case of a major refurbishment. One recommendation is that the board delegates such decisions to the general assembly in order to get approval. United Kingdom England Ownership models: All properties in England are either leasehold or freehold. The ownership models structure can be summarised as: Leaseholders Freeholder(s) Tenants 1. Freehold properties are owned (either outright or with a mortgage) therefore responsibility for maintenance and repairs falls to the owner. Freehold property owners may rent out their building to (multiple) occupants on short-term tenancies (typically a minimum 6-12 months) or lease out one or all of the dwellings within the building. There are very rare instances where a multiple-occupancy building will have more than one leaseholder. 2. Leasehold properties are those where the leaseholder has been granted permission to live there for a fixed number of years, which can be for short periods up to 999 years. The lease stipulates who is responsible for maintaining and repairing different parts of the property along with other conditions, including the process for granting permissions for work. Leasehold properties usually have a ground rent, a small payment typically made annually to the freeholder. In addition, there is often a service charge to pay for the provision of communal services and building insurance, paid to the landlord or in some cases the management agent. Leasehold properties can have the option of shared ownership, where leaseholders own a proportion and have the right to buy up to 100% of the property from the freeholder. Decision making: The percentage of leaseholders or tenants permission required will be set within the leaseholder or tenancy agreement, and could potentially be 0%. This is because the freeholder has overarching responsibility. In rare instances where there is more than one freeholder per multi-occupancy building, all freeholders would need to agree to works to their parts of the building. In these rare instances, freeholders often already hold or would enter a Deed of Mutual Covenants, which sets conditions similar to leasehold agreements on the process for mutual decisions. In the majority of cases involving multiple occupancy buildings a management company is set up, which has responsibility for the shared parts of the building and communal areas. In LEAF D2.1 Background Context in Each Partner Country, January

24 some cases the management company will comprise the leaseholders themselves; in other situations the management company is a separate, independent entity. The reality of implementing improvements in multiple occupancy buildings is likely to involve an ongoing liaison/dialogue between the interested/affected parties (leaseholders and tenants in the majority) which is normally coordinated by the management company. The freeholder (or management company in whatever form that takes) is usually responsible for arranging repairs to the building s structure or shared areas. However, leaseholders and tenants may have to pay some or all of the costs involved. The contractors will often carry out the technical and financial planning prior to delivering works. See table below for more details on the breakdown of responsibilities. Party Responsibilities contained within Typical maintenance responsibilities Financial contributions towards maintenance costs Freeholder Leasehold agreements, tenancy agreements and/or Deed of Mutual Covenants Building structure, land, external walls and communal areas Responsible for paying for improvements to structure, external walls and communal areas. Leasehold er/ landlord Leasehold agreement Internal walls, ceiling, floors and other internal fixtures and fittings Leaseholders are responsible for financial costs of improvements to internal building fabric and fixtures/fittings. In addition, they may fund freehold repairs or improvements via: voluntary contribution, service charges and/or required additional financial contributions (depending on leasehold agreement). Tenant Tenancy agreement Reporting any repairs which are needed to their landlord The landlord is responsible for essential maintenance costs. However tenants could volunteer to part or fully-fund non-essential improvements. Table 5: Summary of roles and responsibilities for maintenance in multiple occupancy buildings in England. Scotland Ownership models: 1. Council flats: councils own blocks, but also under right-to-buy schemes some blocks have both private owners and council tenants. 2. Housing associations: Housing associations may own and rent out whole blocks or parts of blocks. 3. Private tenancy: private rental from owners, may exist in combination with any other form of occupation (also sub-letting is possible). LEAF D2.1 Background Context in Each Partner Country, January

25 4. Owner occupier: owner living in flat, in block of any combination. 5. Housing cooperatives: owned and run by tenants (less prevalent than housing associations). Management: There are no definitive rules governing who is the key person during a refurbishment, unless blocks are fully owned by the council/municipality or housing association. Under right-to-buy many former council tenants assume responsibility remains with the council, and many short-term tenants are unwilling to take responsibility for joint actions. Factors (external maintenance contractors) exist in some properties (more prominent in the west of Scotland than the east) which charge owners a regular fee to manage the building and organise repairs and improvements; where housing associations part-own a block, they may take on this role. Otherwise the onus tends to lie with motivated individuals, owners or tenants. This depends on the deeds of the building but often a written agreement by all owners is required to proceed with improvements. This agreement does not need to take a particular form, but often a single resident will act on behalf of the rest in legal terms. Decision making: The title deeds of properties may specify what is individually and communally owned, voting rights, rules and responsibilities. These may therefore specify what percentage is required to vote on a refurbishment. However, this is not the case for many properties either it is not specified or is unclear in the title deeds. In these cases, the Tenements Scotland Act (2004) comes into play. The Act specifies that maintenance works require a majority agreement in a multioccupancy building, whereas improvements require unanimous support. The Climate Change Scotland Act (2009) updated this to include insulation works as maintenance, but recent research shows that this is not known or acknowledged by many owners (Consumer Futures, 2013). Other energy efficiency measures would probably count as improvements, although the situation regarding these is rather unclear. LEAF D2.1 Background Context in Each Partner Country, January

26 4 Planning Legislation 4.1 Planning Permissions Austria Planning permission is required in case of major alterations of the buildings (attic conversion, other enlargements etc.) Energy requirements: Energy performance criteria (max. energy heating demand after renovation) have to be met in case of major renovation, according to EU-legislation. In case of single measures (change of windows etc.) minimum U-values for building components have to be met. Time: The time to receive an approval is 3-6 months. France Permissions are needed if the work implies a change in the external aspect of the building and if the floor surface increases more than 5 m 2. Energy requirements: In France, the thermal building regulation determines existing building refurbishment (decree from March 19 th 2007). Depending of the size of the building, its age, the work to be done, the regulation changes, see table below: Time: Regarding building working permit, the time limit is generally 3 months. Surface > 1000 m² Surface < 1000 m² Works costs > 25% building value Works costs < 25% building value Constructed after 1948 Constructed before 1948 The energy consumption after refurbishment works should be inferior to the previous one and minimum energy performances are required for new equipment. The new materials should have better energy performances than the one mentioned in the decree of May 3 rd Table 6: Variables affecting the building permit. Germany Planning permission is needed for measures concerning the exterior design or the statics of the building. In the case of partial refurbishment actions, concerning the interior design of the building, no building permission is needed. In case of a listed building it depends on the kind of monument protection whether only the exterior or also the interior is protected. For LEAF D2.1 Background Context in Each Partner Country, January

27 protected parts of a listed building a building permission is needed in any case and this should be applied for at the Lower Monument Authority of the respective municipality. Energy requirements: The energy saving decree of Germany (EnEV 2009) defines in section 3, 9 the requirements that have to be fulfilled in case of renovations and extensions. In general no component shall be installed that have a worse efficiency than the components they replace. There are 2 possibilities for proving that the requirements are met: A. Fulfilling the maximum U-values per renovated building component as defined in appendix 3, table 1: Examples: Walls: 0,24 W/m²K Windows: 1,3 W/m²K Roof: 0,24 W/m²K or 0,20 W/m²K in case of a flat roof Cellar ceilings, etc: 0,30 W/m²K Slightly less severe U-values apply in case of specific situations like internal insulation, halftimber construction, specific window or façade types, doors, etc. B. Calculating the primary energy use of the whole building and not exceeding the maximum primary energy use of a corresponding new building by more than 40 %. There is a mandatory exchange of heating boilers older than 1978 fixed in the EnEV Additionally distribution pipes in unheated areas have to be insulated and the ceiling to the attic has to be insulated as well. If the goal is to apply for funding lower U-values might be required dependent on the specific funding scheme (e.g. KfW). Time: It takes approximately 4 months 1 year to get an approval. Hungary In a normal case (not listed, not protected buildings) energy efficiency refurbishments (e.g. window change if it does not affect the original picture of the façade, roof and wall insulation) does not need any permission. In case of changing or refurbishing the heating system the permission of local energy supplier and the local chimney service is needed. Implementing PV systems does not need permission. In case of significant technical change (tearing down or build new building elements) the owner has to have permission of the local authority in charge of buildings. Energy requirements: Certain technical requirements are currently obligatory only for new buildings. These parameters have to be achieved to get building permission. See table 7. Building part [W/m 2,K] Wall 0,45 Roof 0,25-0,3 Slab 0,25-0,5 Windows 1,60 Doors 1,8 Table 7: Required U-values for refurbishing Hungarian building elements. LEAF D2.1 Background Context in Each Partner Country, January

28 Maximum final energy consumption: kwh/m 2 a (depends on ratio of A/V). Heating and cooling systems in commerce have specific permissions from the national quality management office. They have to achieve different performance indicators (depending on technology, type etc.). In case of application for state subsidies the donor ministry usually requires higher level of technical parameters than the obligatory. E.g. the obligated U-value of a new building is 0,45 W/m 2 K, if somebody applies for state subsidy the expected U-value is 0,3. Time: 1-2 month in case of heating refurbishment. Other investments do not need any approval in most of cases. Sweden New construction, additions and changing the use of the building requires building permission. If the building is in an area with detailed plan you need planning permission to change the appearance of the building, such as: repaint it in a different colour change cladding on the facades, for example, from plaster to wood change material on the roof, for example, from brick to metal All changes must be made carefully so that the character of the building is retained and one should take into account the building's technical, historical, cultural, environmental and artistic values. This applies to both internal and external changes and whether planning permission is required or not. You apply for a permit at the municipal office. Energy requirements: Energy requirements are to be met when changes are made to buildings. There are however exceptions for buildings with cultural values. There is a requirement for average u-value of 0,4 W/m 2,K or for the building envelope u-values as seen in table 8. Or specific energy use (kwh/m 2 ) in accordance with table 9. Time: 10 weeks from when the municipality has received a complete application, applicants should get an answer. Building part [W/m 2,K] Roof 0,13 Walls 0,18 Floor 0,15 Window 1,2 Door 1,2 Table 8: Required U-values for refurbishing Swedish building elements. Climate zone I II III Specific energy use (kwh/m 2 ) Specific energy use (kwh/m 2 ), when heated with electricity Table 9: Maximum specific energy use allowed when changing a building. LEAF D2.1 Background Context in Each Partner Country, January

29 United Kingdom England Planning permission is required for most new development which involves the construction of new buildings, the alteration of existing buildings or a significant change in how land is used. Some building work does not count as development (e.g. internal changes to buildings) and therefore does not require any form of planning permission, whilst other minor developments are automatically granted permission using Permitted Development Rights. However whilst planning permission may not be required, all developments including changes internal to the building - may be subject to meeting Building Regulations. In England and Wales, Building Regulations cover the replacement of technical systems and set minimum standards for u-values and carbon reduction within Part L: conservation of fuel and power. Building Regulations are required for new buildings or extensions to existing buildings, with the exception of conservatories and porches, or the installation of fittings or services. Part L building regulations are split into new-build and existing buildings, and between domestic and non-domestic buildings. Whilst there are no energy or carbon emission benchmarks for existing dwellings, a Standard Assessment Procedure (SAP) calculation must be made at the time of carrying out the works to demonstrate there is no increase in overall emissions. There are requirements if replacing or renovating a thermal element, or if there is a material change of use to the building (e.g. to a dwelling or changing the number of dwellings). In these cases, the thermal fabric of the building must meet the threshold u-value for the new renovated standards. Threshold U-Value W/m2/K Improved U- value W/m2/K Cavity wall insulation Solid wall insulation Floor Pitched roof (insulation at ceiling) Flat roof or pitched roof (insulation between rafters) Windows and roof lights n/a n/a 1.6 Doors n/a n/a 1.8 Replacement U-value W/m2/K Table 10: Minimum standards for u-values in improvement thermal works applied to domestic properties in England and Wales (as specified under Building Regulations Part L, 2010). Time: For small planning applications, the timeframe is up to 8 weeks. For larger or more complex applications, the timescale is 13 weeks. If the Local Planning Authority fails to come to a decision within this timeframe, the applicant can appeal to the relevant government minister ( Secretary of State ) that there has been a case of non-determination. The statutory timescale for approval of building regulations by the Local Planning Authority is 5 weeks, unless the applicant agrees to an extension. LEAF D2.1 Background Context in Each Partner Country, January

30 Scotland Scottish planning policy states that: Permitted development rights allow any improvement, addition or other alteration to the external appearance of a dwellinghouse that is not an enlargement. This is best visualised as a 1 metre bubble surrounding the dwellinghouse. A similar policy applies to flats. Permitted development means that most energy efficiency and microgeneration measures do not require planning permission. There are some exceptions such as boiler flues and wind turbines. Permitted development does not apply to listed buildings and properties in conservation areas. External works on listed buildings often require planning permission and listed building consent, and this can include micro-renewables, changes to windows and any external insulation work. Properties located in conservation areas will have similar restrictions. Listed buildings may also have restrictions on work done internally if structures or appearance is changed. On other buildings, internal alterations or any work that does not alter the outward appearance of the property is unlikely to need planning permission, but may well require a building warrant (e.g. external wall insulation on some properties, microgeneration in some instances). In addition, planning permission may not be required to install equipment including solar panels and ground and water source heat pumps in order to generate your own energy (depending on size and siting of equipment). Local government planning departments can give specific guidance to owners and developers. Planning permission and listed building consent is applied for at the local authority (policy is set at a Scottish level but local authorities will have their own policies based on this). Energy requirements: Northern Irish law is less prescriptive regarding changes to existing dwellings where changes to the external appearance of buildings are not made. In terms of micro-renewables, most installations will not require planning permission, unless wind turbines or large solar panels are concerned. In listed buildings and conservation areas the regulations are similar to Scotland. Standards apply when replacing technical systems and upgrading homes (some examples are given below). There are ongoing Building Regulations providing minimum standards and national programmes requiring certain types of building such as social housing to meet particular minimum criteria, such as the Scottish Housing Quality Standards (to be met by 2015). Building insulation envelope: backstop levels apply for alterations to the insulation envelope, see table 11. LEAF D2.1 Background Context in Each Partner Country, January

31 Building part [W/m 2,K] Roof 0,35 Walls 0,7 Floor 0,7 Window 1,8 Door 1,8 Table 11: Required u-values according to Northern Irish laws. When replacing boilers, each boiler must have a minimum efficiency of 86% for gas and 85% for oil. The replacement of a gas boiler will probably have to be a condensing boiler unless there is sufficient reason why one cannot be installed. A condensing boiler with a SEDBUK (Seasonal Efficiency of Domestic Boilers in the UK) rating of A or B should be installed unless an assessment carried out by a Gas Safe Register installer from 1 April 2009 suggests that it is not viable to install one, then less efficient boilers with SEDBUK Ratings of C or D can be installed providing they have meet the minimum efficiency as stated above. Time: The standard target for Scottish local authorities to make decisions on planning applications is two months (except for large applications). 4.2 Historic Buildings Austria Levels of protection: Listed buildings (Denkmalschutz): These buildings are protected as a whole, any alterations have to be agreed by the federal authority for monumental conservation. Protected areas (Schutzzone): Buildings in protected areas must not be altered on the front side, in order to keep the local street scene context of a certain area. Permissions needed: federal authority for monumental conservation (single case decision) local authority (single case decision) France Levels of protection: Classement : when the building presents a public interest from an historical or an art perspective. The decision of classement depends of a decree. Inscription : for the building that presents a sufficient historical or art interest. The decision of inscription depends of an order of the regional prefecture. LEAF D2.1 Background Context in Each Partner Country, January

32 Permissions needed: The refurbishment of a historic building is allowed if there is a permit delivered by the architecte des Bâtiments de France. Depending of the level of protection and the work to be done, the constraints will be different. Controls are done by the regional services of the Cultural ministry throughout the refurbishment project. The service giving permissions is the service territorial de l architecture et du patrimoine. It depends of the Prefecture and the Ministry of Culture. Germany Levels of protection: Complete protection exterior and interior. Façade protection permission needed only if concerning the exterior design of the building window change, exterior insulation, photovoltaic etc. Ensemble protection whole district under protection concerning the buildings in the context of the whole building complex. Permissions needed: There is a general and not very tangible monument protection law for Germany, but each federal region of Germany has its own monument protection act. Aachen and Bonn are placed in and are subject to the Monument preservation Act of Nordrhein- Westfalen, Berlin in Berlin and Stuttgart as a capital of its region in Baden-Württemberg. Hungary Levels of protection: National protection: significant and important buildings on national level. Protected buildings are listed by the National Heritage Centre. Local level: municipalities are allowed to initiate and decide (by local law) to protect buildings which have local importance and are out of the list of national or international protection. Permissions needed: Regional heritage office must give permits before any type of renovation for any building element outside and inside of the building: roof, wall, windows, stairways, heating, cooling systems, sidewalks, fences etc. Sweden Levels of protection: Listed buildings under national management. Listed buildings. Protected buildings on municipal level (planning and building act). Often divided in different categories, but there is no general method for pointing them out on this level and classifying them. Permissions needed: Permits are needed if the building is listed and you want to do something to it that goes against the description of protection. You ask permission at the County Administrative Board or National Heritage Board if under national management. LEAF D2.1 Background Context in Each Partner Country, January

33 United Kingdom England Levels of protection (applying to both England and Wales): Grade I: of exceptional interest and sometimes considered to be internationally important; Grade II*: of particularly important buildings of more than special interest; Grade II: considered nationally important and of special interest. In addition to the different historic buildings classifications, there are also Protected Areas that can be subject to different, specific local or national planning policy. And local planning authorities can draw up local lists to identify significant local heritage assets, and have local planning policies to protect and sustain them within their Local Plans. Permissions needed: The Local Planning Authority grants Listed Building and Conservation Area Consents. In England, the Secretary of State for Culture, Media and Sport gives consent for works to scheduled monuments. English Heritage undertakes the administration, process and handling of applications. In Wales, it is a legal requirement to obtain Scheduled Monument Consent for work to scheduled monuments. These are obtained via Cadw. Scotland Levels of protection in Scotland: Category A: Buildings of national or international importance, either architectural or historic, or fine little-altered examples of some particular period, style or building type. Category B: Buildings of regional or more than local importance, or major examples of some particular period, style or building type which may have been altered. Category C: Buildings of local importance, lesser examples of any period, style, or building type, as originally constructed or moderately altered; and simple traditional buildings which group well with other listed buildings. In Northern Ireland, listing and conservation areas have a similar status as in Scotland, but there are additional schemes designed to protect the built heritage: Areas of Townscape or Village Character (ATC) Local Landscape Policy Areas (LLPAs) Areas of Significant Archaeological Interest Heritage Designations on Area Plans Local Listing Permissions needed: All applications for consent are made through the local authority rather than Historic Scotland (except when a local authority is itself the owner of a listed building and wishes to make alterations), and it is the planning authority who decides when consent is required. Some areas are also categorised as conservation areas. These may have more rigorous planning restrictions in place and any changes proposed must be approved by the local authorities. LEAF D2.1 Background Context in Each Partner Country, January

34 There are three consents to consider when planning efficiency improvements to historic buildings: planning permission, listed building consent and building warrant. The first two are administered by local Planning Departments (local Government). Building warrants are administered by local Building Control. In Northern Ireland, you are required to obtain Listed Building Consent from the Planning Service if you propose to carry out repairs, alterations or demolition or to construct an extension which affects the character of a listed building inside or out. A divisional planning office will advise on whether the proposed works will require Listed Building Consent. LEAF D2.1 Background Context in Each Partner Country, January

35 5 Financing 5.1 Financial Stimulation See table 12 for summary. Direct subsidies/ funding Advantages through taxation Attractive financing Other funding Austria From federal state and partly from the nine provinces None Public low cost loans, annuity grants Specific grants for demonstration projects within R&D programs France From the state agencies (ANAH, ADEME), regions and municipalities. Lower VAT rate when the building is older than 2 years. Zero interest loans for individual owners and groups of owners. White certificate paid by energy supplier to customers who save energy. Third party financing. Germany On city level: X /m 2 None KfW: reduced loans Market incentive programmes (solar thermal, CHP etc.), roof renting for PV, contracting for heat delivery. Hungary The financial frame this year was ca. 3 million, enough for buildings. None Green credits from some banks for refurbish-ments. It s a very small part of the credit market. Saving account for housing. Clients save small amounts regularly for min. 4 years and get subsidy. The money has to be spent on housing and/or energy saving. Sweden Max. 35% of the investment cost for installation of PV. Tax reduction of ca on repair works on buildings (not only energy efficiency measures). None None England Energy Companies Obligation: supplier offers subsidies to reduce energy usage/fuel bills. Feed in tariff: a financial incentive for the generation of electricity. Renewable Heat Incentive: a financial incentive for the generation of heat from a renewable source. None The Green Deal: the cost of energy improvements is recovered from future electricity bills, by using the financial savings from the measures. Locally based schemes or offers available through independent organisations or councils and local authorities. Scotland HEEPS:ABS, ECO, Energy Assistance Scheme (EAS) Landlords Energy Saving Allowance (LESA) Green Deal (loans), Feed-in Tariffs, Renewable Heat Incentive will be available There may be other local funding sources available. Table 12: A summary of financial stimulation systems in the different countries. LEAF D2.1 Background Context in Each Partner Country, January

36 5.2 Investments Austria EPCs are usually issued for the whole building. Implementation and financing is one package for all common parts of the building (façade, roof, central heating system). Usually windows belong to the common parts of the building. Allocation of costs: Costs for the refurbishment of common parts of the building are allocated between the owners according their share. Allocations of savings depend on the heating system: central heating system: all users benefit from the savings according to used floor area break down individual heating system: the users benefit from savings according to where the unit is situated within the building and according to user behaviour Two basic models for PV: 1. The building owner is the owner of the PV-system, electricity is supplied 100% into the net or only supply of the electricity surplus. 2. Ownership association as the building owner is renting out the roof space to an external operating company, which has built the PV-system on own costs. Usually the total costs of a thermal refurbishment account for approximately /m² useful floor area (façade, windows, roof). France Allocation of costs: When works are done on communal areas, the costs are shared between the owners according to the community statutes. Money from the owners is collected in one or several steps. It is a decision made during the general assembly. Some general assembly s decide to collect money every month for a certain period of time. When whole building actions are voted, this money is used. To finance a project, the owners have two options: they pay themselves or a third party can finance the works. When owners pay all the costs, each owner needs to pay their share according to the community statutes and the decisions taken in the general assembly. With this kind of financing procedure, subsidies can be applied for. When there is a third party involved, ESCOs often propose energy performance contracts. The perimeter of this EPC is the heating system, never the insulation because it s too expensive. Sometimes, the EPC is signed after insulation works made by the owners. With this kind of financing procedure, there are fewer subsidies. Some banks offer common loans. It needs to be voted by the general assembly. More than 2 owners need to agree to subscribe. The benefits of these common loans are: no minimum individual income, no minimum age, monthly payment can be transmitted from one owner to the next. If an owner does not pay his/her debt, the others do not need to pay for him/her. The financing plan may be completed with public subsidies. Some of the public subsidies are for all owners and are deposited on the common banking account. The multitude of available LEAF D2.1 Background Context in Each Partner Country, January

37 subsidies, the terms of the grant applications and the technical constraint can be potential barriers for the realisation of retrofitting multi-occupancy housing. Willingness to invest: The main problem with a common reserve fund comes when an owner sells his/her property and no renovation works have been realised. What becomes of the invested money? Germany Allocation of costs: There has to be a common reserve fund. This money is used to finance any renovation. If applicable financial support (in case of bank loans this has to be realised separately for each owner) can be added. A proposal for the renovation has to be presented during the owner meeting on which a decision is made. If positive a detailed design has to be made (mostly by a consultant), the renovation is realised and the possible payback is divided to the accounts of the owners. Willingness to invest: Up to payback times of about 20 years is usually accepted by the owners. Hungary If the EPC recommends renovation in communal areas the building manager provides a first calculation of the measures and owners decide what to implement and what not. Allocation of costs: The owners pay for these measures in the ratio of their ownership. Money can be collected in different ways: The community has the option to separate funds for refurbishments. In the optimal case the building has saved the needed amount for the wanted implementation during the years before. They can pay purposed payments in ratio of their ownership, as an addition to the normal fees. They can apply for a bank loan. (The money will be delivered to the common bank account of the community). They can apply for a state subsidy (if there is any). Direct costs are allocated in the ratio of the ownership. If the community gets financial subsidies from the state they will be allocated to the community. After the renovation the investments become the common property of the community or the association. The owners are the beneficiary of the individual savings (e.g. lower heating costs in the flat). The common savings (lower electricity bill after lighting renovation in floors) will be shared between the owners. That means in practice lower common contributions if the bills really become smaller. Willingness to invest: According to our survey in the whole population (not only in multioccupancy buildings) 76% of the owners have no renovation plans in next 1-3 year, 15% plan to retrofit within 1 year and 9% in the next 2-3 years. The most wanted measures: wall and roof insulation (16%), changing windows and doors (7%) and heating refurbishment (7%). LEAF D2.1 Background Context in Each Partner Country, January

38 Sweden There has not been issued any EPCs for single apartments. When an EPC is made for a multi-occupancy building the communal areas are part of the calculation and any recommendations given. Allocation of costs: The costs are paid by the owner of the building, whether a single owner or a cooperative. A large investment often leads to a raise in the monthly fee or rent. Willingness to invest: There are no statistics to be found on the willingness to finance energy saving measures. A pay-back time of less than 10 years is often what house owners are willing to invest in. In single-family buildings people are more likely to invest in measures with longer pay-back time, because they might raise the value of the house or increase comfort. United Kingdom England Allocation of costs: The costs and any allocation of financial incentives (such as the Feedin Tariff) would be up to the owners to agree and may depend on the title deeds of the properties. Renting roofs for PV-systems is possible; in this case, the company owning the solar panels would have a legal agreement with the owner(s) of the block. Presumably if the roof is jointly owned, the agreement would be with all the owners. Whilst rent-a-roof schemes were reasonably popular, they were fraught with legal difficulties. Willingness to invest: The extent of building owners willingness to invest in measures will be influenced by a number of factors (e.g. financial position, level of grant funding that can be accessed, comfort in the home, current expenditure on fuel bills etc.). Scotland Funding options depend on a variety of factors including the income status of inhabitants, ownership structure as well as where the recommendations are placed in the hierarchy of improvements to be made. Certain funding streams are available only to recipients of benefits or in certain geographic locations; others depend on co-financing solutions and all work must follow the hierarchy, meaning that insulation measures must be undertaken before any micro-renewables can be considered. Allocation of costs: The costs and any allocation of financial incentives (such as the Feedin Tariff) would be up to the owners to agree and may depend on the title deeds of the properties. Renting roofs for solar PV is possible; in this case, the company owning the solar panels would have a legal agreement with the owner(s) of the block and would gain the FITs. Presumably if the roof is jointly owned, the agreement would be with all the owners. Whilst rent-a-roof schemes were reasonably popular, they were fraught with legal difficulties. Willingness to invest: Owner-occupiers are more willing to invest than private landlords, often there is an expectation of financial return before investments are made. This is partly because private landlords have less incentive to install energy efficiency measures since it is LEAF D2.1 Background Context in Each Partner Country, January

39 the tenant who benefits from reduced bills. However, this may change if minimum housing standards are introduced for private rented properties, which is expected in the coming years. Situations where owners invest whereas social tenants do not can also be considered unfair and inhibit investment. LEAF D2.1 Background Context in Each Partner Country, January

40 6 Energy Performance Certificates 6.1 Legislation and Cost The EPC legislation is practically the same for all countries, as it is based on the same European Directive with its validity stretching up to 10 years. Buildings required to have an EPC are: New buildings Rented buildings Buildings that are being sold Buildings generally excepted from the requirement are: Temporary buildings that will be used for less than 2 years Buildings with less than 50 m² of heated floor area Buildings that are not heated at all Buildings for agricultural use Listed buildings Places of worship Buildings used less than 4 months a year Residential buildings intended to be used less than 4 months a year Austria Whole building or apartment? Both. In case of multi-occupancy buildings, the majority of owners can decide. If there is no certificate for the whole building it may be issued for individual dwellings. Who is responsible to get it done? The respective flat owner if there is no whole-building EPC. In large residential buildings it is practically the responsibility of the property manager. France Both. It s the owner of the apartment or the building who is responsible. The notary or the real estate agent need an EPC to sell. Germany Whole buildings. Owner. Hungary Sweden Whole buildings. But the results can be broke down for each apartment. Whole buildings. The rule for condominiums is a bit unclear; an EPC may be issued for the whole building if the heating system is central (shared in the whole house). But condominiums are still exceptions in Sweden. The owner who is interested in selling or renting. If an owner wants to sell or rent their flat and nobody else needs the EPC, he/she will pay for the technical survey of the whole building and get an EPC valid for the certain flat. In multi-flat buildings, if the whole building needs it the building manager is responsible. The owner of the building whether it is a cooperative or private owner. England Apartments only. The owner of the dwelling. Scotland Apartments only. The owner of the dwelling. Table 13: The table shows where whole-building and/or apartment EPCs are made and who is responsible to get it done. LEAF D2.1 Background Context in Each Partner Country, January

41 Austria France Germany Hungary Sweden England Scotland Who issues an EPC? Civil engineers and engineering consultants with relevant authority. Craftsmen within the field of civil/electrical engineering, gas and plumbing, heating, refrigeration and air conditioning systems, ventilation systems, carpentry. Person with a degree (2 years post bch.) in building construction or similar and is certified by an independent organisation. There is an evaluation based on theoretical and practical knowledge. Persons with a university degree in one of several defined engineering study fields and chimney sweepers. Master craftsmen and technicians from the building or building service system fields. Energy experts with special permissions from the authorities. A certified energy expert working at an authorised firm. EPCs are issued by accredited assessors (i.e. Domestic Energy Assessors or Green Deal Assessors) and lodged on the Landmark register. EPCs can be issued by any assessor who has received accreditation and is a member of an Approved Organisation as categorised by the Scottish Government. An exception to this are new buildings subject to a building warrant applied for before 9 th Jan 2013 that need not use a member of Approved Organisations. How much does an EPC cost? Large buildings from 0,50-1,00 /m² (depending on quality of existing information, complexity etc.). For new built condominiums the costs should be within 200 to 500. Existing buildings are more expensive. Costs for single-familybuildings are about 300 to 800. An apartment EPC costs about 300. A building EPC costs about EPCs for multi-occupancy buildings cost between 50 and 500 /building. In average /dwelling but there are big differences on the market. Pricing varies a lot for multi-occupancy buildings. For a one-family house the price is usually about 470. Approximately per apartment. An EPC costs between 70 and 145 for an individual dwelling and there are currently no specific discounts available for multi-occupancy building EPCs. Table 14: A summary of EPC cost and procedure. 6.2 Methodology The EPCs show the energy performance of the building (in kwh/m 2 ) and calculates CO 2 - emissions. In some way they might also give recommendations of energy improvements. Even if these basic things are the same, the way they are calculated differs. Another varying aspect is whether or not final and/or primary energy is calculated ant whether or not real consumption data is used. Since these aspects differ, it can be difficult to compare EPCs from different countries. See table 15. LEAF D2.1 Background Context in Each Partner Country, January

42 Is there a common national methodology and standard values to be used? Real consumption or calculated? Can user behaviour be part of the calculation? Describe recommendations are costs or financing opportunities shown? Austria Yes. With reference climate and actual climate within the climate zone. Transmission losses with actual u-values or default values. Standard values for ventilation losses, internal heat gains and DHW. Calculated. The method for calculating the energy demand defines a standardized user profile to allow a comparison under same conditions. No costs no financing. France Yes. 3CL Standardised conversion factors for: kwh from real energy consumption, primary energy from final energy, CO 2 emission from final energy and costs from final energy. In buildings from before 1948 and/or with a common heating system the calculation is based on real consumption. Otherwise calculated. Real user behaviour cannot be part of a calculated EPC. Costs, savings and returns are shown. Germany 2 calculations methods (DIN DIN or DIN V 18599). Lots of standard values incl. user profile, efficiencies, etc. Calculated. It is possible to adapt the user profile in the software. Short technical advices. No costs or financing for recommendations. Hungary Yes. Calculated. No common methodology or calculation system for real user behaviour. More or less detailed advice. It is not necessary to show costs. Sweden Yes. The climate data is common. But it is up to each authorised firm to decide on conversion factors and standardised values. The building is rated between high and low consumption (this is changing to become A-G in different colours as in many other countries) Measured data (real consumption) is the most common. Since it is based on real consumption, it is based on behaviour. More or less detailed advice. Costs are shown as saving cost, that is (SEK/kWh). Nothing on financing. UK Yes. SAP and RdSAP. U- values for the building construction is assumed based on data provided, but in some cases specific U-values can be inputted. Calculated. The EPC is not based on behaviour, but in order to get a Green Deal you need to document behavioural aspects. With rdsap recommendations are automatically provided. Indicative costs. General information about the support available through the Green Deal and Energy Companies Obligation (ECO) policies. Table 15: A cross-comparison of EPC methodology in each country. LEAF D2.1 Background Context in Each Partner Country, January

43 6.3 Problems With the Current EPC Systems Austria No efficient system of quality assurance to date (apart from EPCs for housing subsidy) Recommendations are hidden in the technical annex, so it is difficult to find them Building owners and real estate interest groups wanted a low cost system, they put no effort in promoting the EPCs Calculation method is based on 20 inside temperature, in practice it is 22-23, this is one reason for systematic differences between calculation and real consumption France Lack of explanation about the results calculated in an EPC Most people do not consider EPCs as a significant factor for choosing a new accommodation According to consumer associations who asked several consultants to make EPCs on the same apartment, the problems are: For one apartment, different professionals calculate different energy consumptions and CO2 emissions Some professionals do not give recommendations The systems are not correctly described Some professionals spend less than 1 hour in the apartment when others would spend more than 2 hours. Some explanations were given: Too many methods exist to calculate energy consumption Consultants could use the data they wanted, no one can check Anybody could become an EPC consultant According to the real estate consultant federation: The fact that some subsidies depend on the calculated energy consumption puts the real estate consultant under pressure from the owners The impact of threshold between energy consumption class makes the EPCs hard to understand To calculate EPCs, the consultant needs information from the owners. For example, the surface or the kind of insulation in the roof when it s not possible to go in the attic 16 Germany No problems with the current system. 16 One reason to why the rules were modified on January 1 st LEAF D2.1 Background Context in Each Partner Country, January

44 Hungary The quality control of the EPCs is absolutely missing. A lot of fake EPCs are available on the market without any technical background. Sweden Few recommendations are given, and they are often general and do not save much. The whole system was delayed and there has been no control on whether or not the EPCs are made (even though obligatory). The picture showing the energy performance has been criticized for being difficult to understand. Changes are being made to the system in order to simplify for experts, consumers and authorities and to better reach the goal of the EPCs. The changes will come in to force in United Kingdom EPCs do not take into account the impact on energy demand of communal areas. rdsap (the process used in assessing the energy demand of a dwelling for the Green Deal EPC see answer to question 20) has inherent limitations which impact on the accuracy of energy saving information. Indicative costs for the recommended energy efficiency improvements are an average; they are not specific to the property. It is not possible to collate EPCs from single apartments for a whole building. There are also issues regarding EPCs in terms of how user-friendly they are (this is not specific to multi-occupancy buildings); they are often considered to be complex and difficult to understand. Figure 2: The common model for showing energy rating of buildings in the EPC. This is an example from the UK. LEAF D2.1 Background Context in Each Partner Country, January