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Energy and Sun: Sustainable Energy Solutions for Future Megacities
 9783868598780

Table of contents :
Preface
Index
Introduction
Energy and Sun – Sustainable Energy Solutions for Future Megacities
Solar And Sustainable Energy Technologies
Governance of Solar Photovoltaic Off-grid Technologies in Rural Andhra Pradesh: Some Implications from the Field
Peri-Urban Linkages: Improving Energy Efficiency in Irrigation to Enable Sustainable Urban Transition
The Role of Concentrated Solar Power (CSP) Plants for South Africa’s Electricity Generation
Driven by the Sun: The Joined Biogas, Charcoal and Erosion Prevention Project – An Option for Addis Ababa, Ethiopia
Solar Powered Schools for Hyderabad, India – An Attempt for Decentralised Energy Production
Solutions For Buildings And Settlements
Energy and Space – Housing Design in Urban Context in the MENA Region
Assessment of the Energy Performance of Buildings – A Simplified Calculation Approach to Visualise Potentials and Benefits
Extra Low Energy Housing: Urumqi as a Model City for Central Asia
Solar Energy, Empowerment, and Sustainable Housing: A South African Case Study
Energy-Efficient Micro-Urban Prototypes – The Context of Iranian Cities
System Analytical And Integration Approaches
Solar and Other Options to Reduce Greenhouse Gas Emissions: The Reduction Potential in the Residential Sector in Hyderabad, India
Solar Energy Technologies – GHG Abatement Costs and Potentials for Gauteng, South Africa
Technological and Economic Challenges in Making Urumqi’s PVC Industry More Energy Efficient
Direct and Indirect Solar Energy Usage in Gauteng, South Africa: An Energy System Perspective
Potential of Photovoltaic Systems for Social and Economic Empowerment in Peri-Urban and Rural Areas in South Africa
The Projects of the Programme on Future Megacities in Brief
Authors
Imprint

Citation preview

Casablanca •

Tehran-Karaj •

• Urumqi

Hyderabad • Addis Ababa • Lima • Gauteng •

• Hefei • Ho Chi Minh City

Energy and Sun Sustainable Energy Solutions for Future Megacities

Ludger Eltrop, Thomas Telsnig, Ulrich Fahl (Editors)

Book Series Future Megacities Vol. 1

The book series “Future Megacities” is sponsored by the German Federal Ministry of Education and Research (BMBF) through the funding priority “Research for the Sustainable Development of Megacities of Tomorrow”. The authors like to thank the ministry for this initiative, for the financial support and for the extraordinary opportunity to connect activity- and demand-oriented research with practical implementation in various pilot projects targeting the challenges of Future Megacities.

The book series “Future Megacities” is published by Elke Pahl-Weber, Bernd Kochendörfer, Carsten Zehner, Lukas Born and Ulrike Assmann, Technische Universität Berlin.

IER

Institut für Energiewirtschaft und Rationelle Energieanwendung

Volume I “Energy and Sun” of the book series is edited by Ludger Eltrop, Ulrich Fahl and Thomas Telsnig, University of Stuttgart, Institute for Energy Economics and the Rational Use of Energy (IER).

Elke Pahl-Weber, Bernd Kochendörfer, Lukas Born, Carsten Zehner

The Book Series "Future Megacities" The global urban future The development of future megacities describes a new quality of urban growth as the pace and the dynamics of urbanisation today are historically unprecedented. At the beginning of the twentieth century, only 20% of the world’s population lived in cities. Since 2010, however the share of urban-dwellers has risen dramatically to above 50%. By 2050, the world population is predicted to have increased from 7.0 billion to 9.3 billion and by that time, 70% of people will be living in urban areas; many of them in urban corridors, city- or mega-regions (UN−DESA, 2012; UN−Habitat, 2012). Urban areas contribute disproportionately to national productivity and to national GDP. Globally they concentrate 80% of economic output (UN−Habitat, 2012; UNEP, 2011). Due to this, urban areas are also very relevant in terms of energy consumption. Although cities cover only a small percentage of the earth’s surface,1 they are responsible for around 60−80% of global energy consumption as well as for approximately 75% of global greenhouse gas emissions (UNEP, 2011). In the future, this will increasingly count for cities in so called ‘developing countries’ as they will be responsible for about 80% of the increases in the global annual energy consumption between 2006 and 2030 (UN−Habitat, 2011). Hence, cities are significantly contributing to climate change while, at the same time being the locations that have to deal with its devastating consequences, as many of them are located along the coast, close to rising sea levels or in arid areas. Therefore, cities must take action to increase energy and resource efficiency as well as climate change mitigation and adaptation. Megacities as a spreading phenomenon do have a special role in this context and illustrate the urban challenges of the future. These urban centres are not only reaching new levels in terms of size, but are also confronted with new dimensions of complexity. Hence, they are facing multifaceted problems directly affecting the quality of life of their inhabitants. In many cases, indispensable assets, such as social and technical infrastructure, delivery of basic services or access to affordable housing are lacking. Capacities for urban management and legal frameworks tend to be chronically weak and are often insufficient when dealing with rapid population and spatial growth. Moreover, excessive consumption of resources such as energy or water is further aggravating existing problems. In many countries, medium-sized cities especially, are experiencing extraordinary growth rates. These ‘Future Megacities’ are to be taken into consideration for sustainable urban development strategies as they still offer the opportunity for precautionary action and targeted urban development towards sustainability (UNEP, 2011).

BMBF’s funding priority on future megacities With its funding priority ‘Research for the Sustainable Development of Megacities of Tomorrow’ the German Federal Ministry of Education and Research (BMBF) is focusing on energyand climate-efficient structures in large and fast-growing cities or megacities. The pro-

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gramme is a globally focused component of the Federal Government’s High-Tech-Strategy in the field of action on ‘Climate and Energy’. Moreover, it is a part of the framework programme ‘Research for Sustainable Development’ (FONA) of the BMBF. In its main phase (2008−2013), the funding priority currently covers nine international projects in Future Megacities of Asia (Tehran-Region, Hyderabad, Urumqi, Hefei, Ho Chi Minh City), Africa (Casablanca, Addis Ababa, Gauteng) and Latin America (Lima). Each project focuses on a particular city working on a locally-relevant thematic issue within the broader context of energy efficiency and climate change (for more details see "Projects in Brief", p. 222 ff.). An outstanding characteristic of the programme is the integration of the sustainable development concept. Ecological, economic, and social facets of the development of energy- and climate-efficient structures in urban growth centres are to be considered in a comprehensive and long-term manner. In this context, the programme follows an innovative methodology ranging from analysing spatial, social, and technical dimensions in combination with applied research, using broad methodological approaches such as pilot projects, action research, and research by design. Hence, the research approach here differs from other forms of fundamental research due to its practice-oriented focus that takes into account local needs as a basis for the development of applicable solutions. Therefore, the trans-disciplinary research is conducted by interdisciplinary consortia with partners from research institutions, civil society, politics, administration as well as the private sector. International collaboration between project partners from Germany and the partner countries is an essential aspect of the programme. The objective of the Future Megacities Programme is to create good practice solutions for sustainable urban development. Therefore, the bilateral teams: 1. research, plan, develop, and realise technical and non-technical innovations for the establishment of energy and climate-efficient structures in an exemplary way, 2. enable the city, along with its decision-makers and inhabitants, to bring about increased performance and efficiency gains in energy production, distribution and use, 3. demonstrate that the resource consumption and greenhouse gas emissions by the high energy consumption sectors can be reduced in a sustainable way in the future (DLR-PT, 2012).

Outcomes and results Outcomes of the nine projects have been generated in different thematic fields of action, which also serve as a structure for this book series. Within these thematic areas a great variety of good practice for building up energy and climate-efficient structures in urban growth centres has been generated, ranging from scientific knowledge, analytical instruments and strategic models, all the way up to realised pilot-projects, innovative technologies, applied products and locally implemented processes. In the field of action on ‘Energy and Sun’ concepts for the urban use of renewable energies with particular focus on solar power have been elaborated for different sectors in order to decrease the use of fossil fuels and to diminish carbon-dioxide emissions and air pollution. The topic ‘Mobility and Transportation’ comprises concepts for sustainable transportation through intelligent management approaches, innovative planning instruments and systems for enhancing public transit. Within the area of ‘Planning’, solutions for increasing energy efficiency in architecture and urban design, instruments for integrated urban planning, as well as efficient

6

Preface

management tools for climate change mitigation and adaptation have been developed. The area of action on ‘Resources’ focuses on generating new approaches for the sustainable management of waste, the careful use of scarce resources such as water and land, as well as efficient material cycles in the industrial sector. In the field of ‘Governance’, models for multi-stakeholder systems, new approaches to inclusive decision-making processes as well as community participation and bottom-up engagement have been developed. Outcomes within the area of action on ‘Capacities’ include measures for vocational training in different practical fields as well as new concepts for education and awareness-raising focusing on the younger generation. This book series presents results generated within these thematic fields of action in terms of cutting-edge research as well as practical outcomes. This particular volume focuses on the topic ‘Energy and Sun’ in five cities of the research programme and will show differences and similarities in the challenges faced as well as respective approaches and practical solutions. Answers are given on innovative aspects, applicability, transferability or dissemination of the solutions in the framework of future megacities in general. Additionally, all nine participating cities and projects are presented in the appendix, where the complexity of the research priority, the different approaches, and a short overview of the most important outcomes are shown.

Sources DLR-PT – Deutsches Zentrum für Luft- und Raumfahrt e. V. – Projektträger im DLR (2012): Research Programme Main Phase: Energy- and Climate Efficient Structures in Urban Growth Centres. http://future-megacities.org/index. php?id=48&L=1, 15.02.2013 Seto, K. C./ Güneralp, B. / Hutyra, L.R. (2012): “Global forecasts of urban expansion to 2030 and direct impacts on biodiversity and carbon pools”. In: Proceedings of the National Academy of Sciences of the United States of America, www.pnas.org/content/early/2012/09/11/1211658109.full.pdf+html?with-ds=yes, 07.03.2013 Soya, E. (2010): “Regional Urbanization and the Future of Megacities”. In: Hall, P./Buijs, S./Tan, W./Tunas, D.: Megacities – Exploring A Sustainable Future, Rotterdam, p. 57–75 UN-DESA United Nations Department of Economic and Social Affairs/Population Division (2012): World Urbanization Prospects: The 2011 Revision. Highlights, http://esa.un.org/unup/pdf/WUP2011_Highlights.pdf, 15.02.2013 UNEP United Nations Environment Programme (2011): Cities Investing in energy and resource efficiency, http://www. unep.org/greeneconomy/Portals/88/documents/ger/GER_12_Cities.pdf, 15.02.2013 UN-Habitat (2011): Cities and Climate Change: Policy Directions. Global Report on Human Settlements 2011, Abridged Edition, www.unhabitat.org/downloads/docs/GRHS2011/GRHS.2011.Abridged.English.pdf, 15.02.2013 UN-Habitat (2012): State of the World’s Cities Report 2012/2013: Prosperity of Cities, www.un.int/wcm/webdav/site/ portal/shared/iseek/documents/2012/November/UNhabitat%20201213.pdf, 15.02.2013 Notes 1 The current coverage of urban land on the earths’ surface is often referred to as ‘2%’ (UNEP, 2011). The predicted increase of urban land is dramatic: by 2030 urban land coverage will increase by 1.2 million km², thereby tripling the global urban land areas compared to the year 2000. In other words: 65% of the urban land coverage on the planet by 2030 was, or will be, under construction between 2000−2030, 55% of that expansion arising from urbanisation will occur in India and China (Seto, 2012). According to Soya, cities tend to “Grow well beyond their defined administrational limits, typically spawning a multitude of suburbs in expanding annular rings. The outer edges thus came to be defined as […] part of the Functional Urban Region (FUR)” (Soya, 2010).

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Index 5

Preface Elke Pahl-Weber, Bernd Kochendörfer, Lukas Born, Carsten Zehner

Introduction 13

Energy and Sun – Sustainable Energy Solutions for Future Megacities Ludger Eltrop, Ulrich Fahl

Solar And Sustainable Energy Technologies 27

Governance of Solar Photovoltaic Off-grid Technologies in Rural Andhra Pradesh: Some Implications from the Field Julian Sagebiel, Franziska Kohler, Jens Rommel, Vineet Kumar Goyal

37

Peri-Urban Linkages: Improving Energy Efficiency in Irrigation to Enable Sustainable Urban Transition Christian Kimmich, Julian Sagebiel

47

The Role of Concentrated Solar Power (CSP) Plants for South Africa's Electricity Generation Thomas Telsnig, Enver Doruk Özdemir, Ludger Eltrop

59

Driven by the Sun: The Joined Biogas, Charcoal and Erosion Prevention Project – An Option for Addis Ababa, Ethiopia Michael Porzig, Mike Speck, Frank Baur

73

Solar Powered Schools for Hyderabad, India – An Attempt for Decentralised Energy Production Phungmayo Horam, Angela Jain, Christine Werthmann

Solutions For Buildings And Settlements 87

100

8

Energy and Space – Housing Design in Urban Context in the MENA Region Philipp Wehage, Elke Pahl-Weber Assessment of the Energy Performance of Buildings – A Simplified Calculation Approach to Visualise Potentials and Benefits Simon Wössner, Johannes Schrade, Hans Erhorn

112

Extra Low Energy Housing: Urumqi as a Model City for Central Asia Bernd Franke, Christian Hennecke, Xiaoyan Peng, Ming Liu, Cassandra Derreza-Greeven

126

Solar Energy, Empowerment, and Sustainable Housing: A South African Case Study D. Mothusi Guy, Harold J. Annegarn, Ludger Eltrop

141

Energy-Efficient Micro-Urban Prototypes – The Context of Iranian Cities Somaiyeh Falahat

System Analytical And Integration Approaches 155

Solar and Other Options to Reduce Greenhouse Gas Emissions: The Reduction Potential in the Residential Sector in Hyderabad, India Jakob Höhne

169

Solar Energy Technologies – GHG Abatement Costs and Potentials for Gauteng, South Africa Thomas Telsnig, Enver Doruk Özdemir, Sheetal Dattatraya Marathe, Jan Tomaschek, Ludger Eltrop

182

Technological and Economic Challenges in Making Urumqi’s PVC Industry More Energy Efficient Bernd Franke, Niu Li, Jiarheng Ahati, Andreas Detzel, Chenxi Zhao, Mirjam Busch, Cassandra Derreza-Greeven

196

Direct and Indirect Solar Energy Usage in Gauteng, South Africa: An Energy System Perspective Jan Tomaschek, Thomas Haasz, Audrey Dobbins, Ulrich Fahl

209

Potential of Photovoltaic Systems for Social and Economic Empowerment in Peri-Urban and Rural Areas in South Africa Bertine Stelzer, Nina Braun, Wolfgang Hofstaetter

Appendix 222

The Projects of the Programme on Future Megacities in Brief

241

Authors

248

Imprint

9

introduction

Rietsvlej, South Africa: energy and sun [authors]

2

Ludger Eltrop, Ulrich Fahl

Energy and Sun – Sustainable Energy Solutions for Future Megacities Introduction: Sustainable development and sustainable energy for growing megacities Development requires energy. Growing cities imply growing energy needs. This seems to be a general rule. However, there are very different forms of energy and different technologies, cleaner ones and more polluting ones, cheaper ones and more expensive ones. Cities also have a large potential for energy savings, the opportunities and the potential for smart solutions is high. In any case, growing energy needs are associated with increasing risks of environmental and social threats, and eventually of higher greenhouse gas emissions, fossil resource exploitation and other hazards. Cities, future megacities and large urban agglomerations in transition, and in developing countries especially, are facing these challenges in many and particular ways.

Urbanisation and its implications on growth, development and energy supply Cities around the world are growing enormously. Fast-growing cities in Asia exhibit an annual population growth rate between 4 and 21%, whilst cities in Africa between 4 and 13% [UNSD, 2013]. The degree of urbanisation is also increasing continuously [Figure 1 •]. Since 2007, half of the world’s population lives in cities [CIA, 2013]. In general, countries with a low degree of urban population, e.g., Ethiopia (17% of total population), have a relatively high rate of urbanisation (3,8% per year). On the other hand, there is also a large degree of urbanisation, e.g., in Nigeria (3,5% per year), where there is already a high urban population, at present (50%). Compared to the situation in Africa, countries in other regions, e.g., in Europe, have a very high urban population (between 70 and 90%) and very low rates of urbanisation. The urbanisation process brings people into the cities from their homes in the rural areas in countries with less developed economies, due to many reasons, primarily economic. Most people are in search of better jobs, better education and better opportunities for themselves and for their families. However, the population and economic activity are also increasing within the city limits. There is a strong move towards economic development. Many cities compete for economic performance, even on a worldwide level. This considerably increases economic activity, mobility and many other aspects of life. More offices, more factories and also more small-scale businesses are established. Thus, the middle-income group, particularly, is increasing rapidly (Kharas, 2010). This group are notable consumers and would like new homes, new cars, new appliances and new ways for spending their vacation and leisure time. As a result, transport needs are also increasing enormously. Many streets are congested, mini-taxis

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n  the  world n  the  world

-­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐

100   100   90   90  

Urban   Urban  p populaWon   opulaWon  iin   n  % %    o of   f  ttotal   otal   Rate   o f   u rbanisaWon   2 010-­‐2015   Rate  of  urbanisaWon  2010-­‐2015  

80   80   70   70  

6,0   6,0   5,4   5,4   4,8   4,8   4,2   4,2  

60   60   50   50  

3,6   3,6   3,0   3,0  

40   40   30   30  

2,4   2,4   1,8   1,8  

20   20   10   10  

1,2   1,2   0,6   0,6  

0   0   -­‐10   -­‐10  

0,0   0,0   -­‐0,6   -­‐0,6  

rate   rate  oof  f  uurbanisa@on   rbanisa@on  [%   [%  pper   er  yyear]   ear]  

-­‐ -­‐

5,2 5,2 4,7 4,7 4,4 4,4 4,2 4,2 4 4 3,8 3,8 3,5 3,5 3,3 3,3 3 3 2,4 2,4 2,4 2,4 2,3 2,3 2,2 2,2 2,1 2,1 2,1 2,1 1,9 1,9 1,6 1,6 1,5 1,5 1,2 1,2 1,2 1,2 1,2 1,2 1,1 1,1 1,1 1,1 1 1 0,6 0,6 0,6 0,6 0 0 -­‐0,2 -­‐0,2

Eritrea   Eritrea   Nepal   Nepal   Rwanda   Rwanda   Kenya   Kenya   Mozambique   Mozambique   Ethiopia   Ethiopia   Nigeria   Nigeria   Gaza   Gaza  Strip   Strip       Vietnam   Vietnam   Malaysia   Malaysia   India   India   China   China   Saudi   Saudi  AArabia   rabia   Egypt   Egypt   Morocco   Morocco   Iran   Iran   Peru   Peru   Israel   Israel   Australia   Australia   Norway   Norway   South   South  AAfrica   frica   Brazil   Brazil   Canada   Canada   France   France   Austria   Austria   Finnland   Finnland   Germany   Germany   Russia   Russia  

1,85 1,85

-­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐ -­‐

World   World  

-­‐ -­‐

Urban population in 2010 and the projected rate of urbanisation from 2010 to 2015 in selected countries of the world [CIA, 2013]

urban  ppopula@on   opula@on  [%   [%  oof  f  total   total  ppopula@on]   opula@on]   urban  

n  in  %  Rate   of  total of  urbanisation  2010-­‐2015 n  in  %  Rate   of  total of  urbanisation  2010-­‐2015 %/a Fig. 1 %/a 2010-­‐2015 2010-­‐2015

and public buses are filled to capacity, whilst the demand for transport of goods is also high. All of these developments are related to the availability of the basic needs for human life: energy, water and food. Energy consumption, as well as greenhouse gas emission levels in the cities are increasing at a tremendous speed. This prompts questions: is this the price for development? Is the process of development inevitably connected to an increase in energy use? Do we essentially need the fossil fuel resource-base, or are there technologies and solutions for a more environmentally and economically viable development of the energy system, in short: for sustainable development?

Sustainable energy systems in the triangle of energy policy Fig. 2 The Triangle of Energy Policy. Three elements in a holistic approach for sustainable energy systems [authors]

14

Introduction

In order to develop more sustainable energy systems, the general requirements of sustainability need to be fulfilled on the urban level as well as in rural areas. This has been expressed in the Triangle of Energy Policy or in the three dimensions of energy sustainability, e.g., by the European commission in the European Strategic Energy Technology (SET) plan (EU, 2012), [Figure 2 •]. Within the Triangle of Energy Policy, the given system and the new development require the assurance of three main aspects: 1) energy supply security, 2) environmental integrity and 3) economic viability. Taking these factors into account, e.g., by looking at specific indicators, the given energy system will become safer, cleaner, more economic and generally more sustainable.

Energy supply security – using a diverse energy portfolio Energy supply security is probably one of the most difficult factors to achieve, especially for megacities. In a broad definition, energy supply security means to be able to supply enough energy at the right time for a diversity of means and purposes, whilst simultaneously respecting the need for development [Rogner et al., 2006]. Megacities often face severe challenges in fulfilling this demand. Energy blackouts or scheduled ‘load shedding’ is a frequent phenomenon. In general, the diversification of energy sources increases the degree of energy supply security as does the reduction of import dependency or dependency on less reliable sources. In this respect it is important to consider the energy sources within and beyond the city limits. From where is the energy sourced? Where are the reliable and projectable energy potentials? Consequently, there is a need to identify the energy potentials within the city boundaries and to look for resources outside the city. Certainly the energy potentials in cities are substantial. Even though there is a high energy demand, there are also vast energy potentials, also for new and renewable technologies in cities. The roofs of many residential buildings, but especially of industrial buildings and public halls, provide an enormous potential for solar technologies (photovoltaic electricity generation as well as solar thermal hot water and cooling production). There is a large potential of waste and bio-waste inside cities which can also be used for energy generation. The upper soil surface and the large amount of warm used water in the sewage system are also a relatively large and reliable source of energy. An even higher source of energy potential, however, is from energy savings. These are crucial complementary aspects of renewable energy technologies and of a diversified sustainable energy system. Among the variety of different technology options, the appropriate choice certainly differs for each city and specific condition. The task is to find context-specific solutions. Even though specific city locations, like Gauteng in South Africa or Urumqi in China, are favourable for specific energy solutions, like solar energy, it is highly likely that a sustainable system of energy provision will include a larger portfolio of different technologies. This also increases the degree of energy supply security considerably. Additionally, cooperation with the surrounding regions is vital to establish an energy system with supply security. Energy can be the most positive component in bilateral relations between megacities and the surrounding regions that could potentially help to integrate the whole region more deeply.

Climate protection and environmental integrity A central role of sustainable energy technologies lies in its potential for climate protection and reduction of greenhouse gas (GHG) emissions. Establishing a low carbon economy The environmental impacts of the regular and conventional fossil fuel-based energy generation pathways are visible and functional, especially in densely populated megacities. Climate change effects are also affecting megacities severely and in a variety of ways. Provision and use of energy are the biggest sources of greenhouse gas (GHG) emissions [UN Habitat, 2011]. Interestingly, however, there is no clear correlation between economic development and

15

om  Oct.  2010

ation  

17,5

HDD 1.849 40 970 4.206 55 1.197 205 705 1.633

1.695

233

2.619

122,0

2008

9.244

1326,7

100,5

2228

Fig. 3 Economic development measured by GDP per capita and specific CO2 emission levels in the nine case cities 1571 1438 1512,8 1242 179,0 2008 9.480 2295,8 121,6 6027 The ecological footprint of of the Future Megacity Programme [Future Megacity Programme, 2010]

sources:  website  ecological  f

10.000   CO2-­‐ Emission/ca p. Mg  CO2/cap  x  year 3,4 4,4 7,8 22,0 1,4 10,0 2,8 0,1 5,4

9.000   8.000  

GDP/cap  

25  

CO2-­‐Emission/cap.   20  

7.000   6.000  

15  

5.000   4.000  

10  

3.000   2.000  

5  

1.000   0  

16

Introduction

0  

CO2-­‐em./cap  [t/cap.  x  year]  

8,88

Av.  Temp. °  C 15,7 27,6 17,3 23,7 26,0 15,6 20,0 15,6 17,2

GDP/cap  [EUR2010/cap.]  

06 4,8 6,8 3,6 2,3 6,1 0,5 8,5 2,9 3,2

greenhouse gas emissions. Analysing the data for the nine project cities in the Future Megacity Programme [Figure 3 •] it becomes apparent, that there are cities with a high economic development status and a high GHG emission level per capita, like Urumqi in China (8,274 €2010 GDP and 22 t CO2 emission per capita), and other cities like Ho Chi Minh City in Vietnam, which show a similar state of economic development (6,936 €2010 per capita) but a considerably lower level of specific CO2 emissions (4.4 tons per capita). A similar observation can also be made for the case cities, Tehran-Karaj and Casablanca. The GHG emission levels certainly depend on a range of many different factors. General conditions like the climatic zone and elevation levels dominate, but also the socio-economic conditions and the level and structure of industrialisation as well as the availability of cheap energy resources are important factors. This means that countries and cities can achieve economic development at low GHG emission levels and that economic development is not necessarily related to increasing GHG emissions. Clean ways of energy generation are urgently needed. Renewable energies from small, decentralised technologies are often not well developed enough so that people can use them without drawbacks. In principle, many clean options are available. There is a large diversity of renewable energies from large-scale solar (especially concentrated solar energy CSP) to hydro, wind, ocean or geothermal energy. The use of Carbon Capture and StoragePED   (CCS), e.g., for Solar   Primary  energy   per   Electricity  Cons.  per   CDD Av.   r ainfall GDP year   o f   G DP GDP/cap Radiation demand capita capita plants with high capacities, if accepted, should also be evaluated in that regard. Additionally, mm/a kWh/m²/a $US2007*109  (PPP) $US2007/cap PJ/year GJ/cap  x  year kWh/cap  x  year the has to be 2007 taken into3.957 account. The technology59,5 mix should also 1.343potential 930 of energy 886savings19,0 285,2 1790 1.460 1.900 1.898 58,0 2008 8.517 134,7 19,8 1893 be adapted415 to the conditions and of the specific 1.025 1.772 27,8the requirements 2009 7.691 54,3city. Through 15,0 the applica828 892 251 1.372 23,5 2007 10.160 570,6 247,0 2974 tion of an energy system model, e.g., TIMES-GEECO [Tomaschek, 2012], it is possible to evaluate 3.273 790 1.909 12,0 2008 1.980 133,3 22,0 829 607 713 2.138 their impact 98,4 76,6 5952 proposed measures and and,2007 moreover,9.420 to identify 801,0 least-cost measures to com800 9 1.617 26,2 2008 3.095 187,2 22,1 1348 ply30with future targets which are proposed 1.089 CO2 reduction 1.900 11,5 2008 3.949 for policy 34,1implementation. 11,7

City Germany Berlin United  Kingdo London Canada Calgary South  Africa Cape  Town Gauteng World

High  Income  c Middle  Incom Low  Income  c

Global  capacit

Assessment of energy use in megacities with the ecological footprint method The ecological footprint is a frequently used and well accepted summary indicator to measure the overall performance and role of technologies and resource exploitation of whole systems on the environment and the global use of land [Wackernagel and Rees 1997; Wackernagel 1994; Rees 1992]. It is based on the idea that every impact on earth as a closed system can be converted into a biologically productive area. It is expressed in global hectares (gha) which represents the average spatial productivity worldwide. The global footprint is thus considered to be attributable to the overall use and consumption of resources like energy, water, waste or others. Because trade is global, the individual or country’s footprint includes land or sea from all around the world. Standards for the ecological footprint are developed and disseminated by the Global Footprint Network Standards Committee [Global Footprint Network, 2009]. Since the researchers, Wackernagel and Rees, introduced the Ecological Footprint (EF) Concept in the nineteen-nineties it has also been applied for measuring the environmental sustainability of nations, regions, cities, individuals or industrial goods etc. (Global Footprint Network, 2009). To illustrate the concept, the global footprint can be expressed as a half-spherical shell covering a city which only permits the transmission of the sunlight with no exchange of other substances. This experiment entails trying to find the minimum required area for a city that simultaneously allows the inhabitants to supply their metabolic needs. This approach can be extended to a nation or even to the world and the required amount of land can be compared to the available amount of land. Thus, this method gives an indication of nature’s carrying capacity to withstand rising emissions and the amount by which a society overextends itself. The ecological footprint method was applied to many cities and regions, for example to Berlin [Schnauss, 2001], London [Lyndhurst, 2003] and Calgary [City of Calgary, 2007], also to South Africa [Ewing et al. 2008], and Cape Town [Gasson, 2002]. Calculations for cities worldwide are shown in Figure 4 •.

f exemplary cities and nations Fig. 42003;   The ecological footprint per capita of example cities and nations [www.footprintnetwork.org; footprint;  Schnauss  2001;  Lyndhurst   Gasson   2002

countries me  countries countries

ty

12  

10  

ecological  footprint  in  [gha]  

om

Schnauss, 2001; Lyndhurst, 2003; Gasson, 2002; Özdemir and Marathe, 2013]

EF  [gha] 4,20 4,41 5,30 6,63 7,10 9,86 2,10 4,28 4,86 2,70 6,38 2,19 1,00 2,06

8  

6  

4  

2  

0  

17

global     biocapacity  

The ecological footprint was also assessed for the City Region of Gauteng (Özdemir and Marathe, 2013). The calculation was done by assessing the built-up urban area, the fresh water and food consumption, the energy consumption and the wood material use. In summary, the ecological footprint for Gauteng for 2009 amounts to 51.16 million global hectares (gha) or 4.86 gha per capita [Özdemir and Marathe, 2013]. This is significantly higher than the South African average of 2.1 gha per capita and year [Figure 4 •]. The value for Cape Town from [Gasson, 2002] with 4.28 gha per capita is similar to Gauteng, however it should be noted that a slightly different methodology was used. Energy consumption and the related greenhouse gas emissions (GHG) constitute the largest share of this overall footprint with 34.7 million global hectares (67%) and around 3,3 gha per capita and year. Food consumption is the second-highest factor contributing to the global footprint with 11.6 Mio. gha per year and 1.1 gha per capita and year. The global footprint of the City Region of Gauteng has a land area demand with a radius of 378 km and gives a 24-fold territorial area compared to the original area of Gauteng. Figure 5 • illustrates this land area requirement and shows this overextension. The required area to sustain Gauteng’s energy consumption would stretch around the centre of Gauteng and would extend into the neighbouring countries of Botswana, Zimbabwe, Swaziland, Lesotho and Mozambique all the way down to Durban. The land area requirement of Gauteng is about 2.3 times higher than the acceptable land area demand and carrying capacity worldwide. This remains true, despite the fact that a large portion of the population still lives in hunger and poverty, often without even their basic needs being fulfilled. The energy sector and the related greenhouse gas emissions are the main contributor to this ecological footprint, thus interventions in this area promise the largest impact and improvement potential. Fig. 5 The spatial extent of the ecological footprint for the City Region of Gauteng (black circle) and the acceptable world carrying capacity (red dashed circle) [Goldfinger and Oursler, 2009] of 2,1 gha per capita and year [Özdemir and Marathe, 2013], [ESRI 2012. ArcGIS Desktop: Release 10. Redlands, CA: Environmental Systems Research Institute].

18

Introduction

Economic and social viability – using adapted and integrated solutions Energy is an absolutely vital prerequisite for our lives and our economic activity. People need to eat, cook, heat, travel and work. All this activity needs energy. The economic situation and the cost of energy determine the options for people’s lives and economic development to a great extent. Low energy costs are crucial for poverty alleviation. Nevertheless, the price for energy has to tell the truth, be credible and has to reflect the expenses for supply as well as the environmental impacts caused by its use. The stark inequality of societies is the striking feature of urban agglomerations and megacities. The UN HABITAT report, State of the World’s Cities 2010/2011 [UN Habitat, 2010] shows this in the form of a striking difference in the Gini coefficient, which describes the income distribution from rich to poor in a given area, country or region, between the cities in the developing and in the developed world [Figure 6 •]. The thirty-seven African cities investigated exhibit a Gini coefficient that is almost double as high as in the eight Eastern Europe cities included in the study. All of the featured cities in Africa, Asia and Latin America (LAC) have considerably higher Gini coefficients than the cities in Eastern Europe and the CIS countries. A large portion of city populations live in slum areas [UNHABITAT, 2013]. In 2009, there were over 10 million people living in urban slum areas in Ethiopia alone, this is over 76% of Ethiopia’s population. In the more developed example of South Africa, this was still 23%, amounting to over seven million people. The Asian countries also have a high share: in Vietnam, the share amounts to nine million people, i.e., over 35%, in China it is 29%, amounting to 180 million people [UNHABITAT, 2013]. Thus, the technologies and options for sustainable energy solutions need to address this unequal income distribution. There are many partly contradictory questions that need to be answered simultaneously. From a systems point of view, these questions can only be answered for a given energy system, e.g., megacities, by establishing an integrated and structured approach. The introduction of new technologies needs the right incentives and the right drivers. A competitive price helps to create a convincing argument. However, many renewable and new energy technologies are not utilised even though they are cheaper and economically more competitive Fig. 6 Gini average values for income distribution in sample cities in various regions of the world (data from UN-ECLAC, UN-ESCAP, UNU and other sources), [UN Habitat, 2010] (LAC=Latin America and Caribbean; CIS = Commonwealth of Independent States)

19

than others. This is, for example, the case with solar water heaters (SWH) in South Africa. Although not appropriate in every case, e.g., in the low-income sector, SWHs are not a preference of people, even though SWHs constitute a simple and economic technology for households. Compared to electric geysers that function with electricity from coal power plants, the solar water heaters exhibit a better economic performance after four to six years of operation [Figure 7 •]. Thus, already after one third of the full operation period, the consumer has a clear economic advantage when compared to the regular electric geyser. Nevertheless, the advantages of SWHs have not been fully appreciated and their market share in South Africa remains poor. Although there are economic incentive programmes, e.g., through the national energy utility, ESKOM, the number of SWHs in South Africa had only reached around 122 thousand units by the end of September 2011, resulting in energy savings of around 60 GWh per year. The national target of replacing 10,000 GWh of electricity with renewable energies by 2013 [DME, 2003], around 2,300 GWh of which should be contributed by SWHs, is very far from being reached. With this example it becomes clear that the economic situation is not the sole argument for implementing renewable or clean energies. Besides behaviour – or transaction-cost related reasons – there is also the problem of existing informaSWH  costs   tion asymmetries and high upfront capital costs. This lack5of knowledge by the households Technology Investment 1 2 3 4 6 7 8 9 10 is one main aspect7.006 policy-makers should4.117 be mindful in their4.117 efforts4.117 to ease the path EG 4.117 4.117 4.117 of4.117 4.117 4.117to a4.117 HP 18.655 1.762 1.762 1.762 1.762 1.762 1.762 1.762 1.762 1.762 1.762 sustainable city and energy system. SWH  FP 15.130 1.844 1.844 1.844 1.844 1.844 1.844 1.844 1.844 1.844 1.844 With respect to the assessment of technologies costs,1.788 the integrated approach SWH  ET 18.490 1.788 1.788 1.788 1.788and 1.788 1.788 1.788 1.788can 1.788 also be applied through use of an integrated energy5.803 (systems) model5.803 can unLPG   5.762 the 5.803 5.803 5.803 5.803 5.803 model. 5.803 The 5.803 5.803 NG 0 0 0 0 0 can reveal 0 0 pri- 0 fold the structure and0interaction of0components of0 the energy system and the in  ZAR cumulated  cost  in  Rand  (2005) ority fields of action and energy system models is the 11 0 1 interventions. 2 3 One4of these 5 integrated 6 7 8 9 10 electric  geyser TIMES model 7.006 11.123 14.935 MARKAL-EFOM 18.464 21.732 24.758 27.560 32.556 34.781 36.840 38.747 (The Integrated System), which30.154 is an advanced version of the heat  pump  (air) well know18.655 20.417 22.048 23.558 24.956 26.251 27.450 28.560 29.588 30.539 31.420 32.236 MARKAL model, with extended functions and flexibilities. This model was develSWH  flat  plate 15.130 16.974 18.681 20.262 21.726 23.081 24.336 25.498 26.574 27.570 28.493 29.347 the ETSAP of the 24.887 International was applied to SWH  evac.  tubeoped under 18.490 20.279 annex 21.935VI23.468 26.202 Energy 27.419 Agency 28.546 (IEA) 29.590and 30.556 31.450 32.279 LPG  stove 11.565 among 16.938 others, 21.912 for 26.519 30.784 34.733 38.389 41.775 47.813 50.500 many cities5.762 worldwide, the City Region of Gauteng. With 44.910 this TIMES GEECO cumulated  costs  in  EUR  2010 model it was possible to establish a full regional and integrated energy and greenhouse gas in  EUR 0 1 2 3 4 5 6 7 8 9 10 11 and balance et al.3.566 2012], which suitable to analyse electric  geyser emission inventory 1.009 1.602 2.151 [Tomaschek 2.659 3.130 3.969 is4.343 4.689 5.009 a complex 5.306 5.581 heat  pump  (air) 2.687 2.941 3.176 3.393 3.594 3.781 3.954 4.113 4.262 4.399 4.525 4.643 SWH  flat  plate 2.179 2.445 2.691 2.918 3.129 3.324 3.505 3.672 3.827 3.971 4.104 4.227 Fig. 7 Cumulated costs of hot water production with solar water heaters, heat pumps and LPG stoves compared SWH  evac.  tube 2.663 2.921 3.159 3.380 3.585 3.774 3.949 4.111 4.262 4.401 4.530 4.649 with electric geysers households South Africa, al, 2012]. LPG  stove 830 for 1.666 2.440 in3.156 3.819 [Özdemir 4.434 et5.003 5.529 6.017 6.468 6.886 7.274

Expenditure  cum.  [EUR  2010]  

9.000  

electric  geyser   heat  pump  (air)   SWH  flat  plate   SWH  evac.  tube   LPG  stove  

8.000   7.000   6.000   5.000   4.000   3.000   2.000   1.000   0  

20

0  

Introduction

1  

2  

3  

4  

5  

6   7   8   9   year  of  opera>on  

10  

11  

12  

13  

14  

15  

11 4.117 1.762 1.844 1.788 5.803 0

4 1 1 1 5

12 40.513 32.992 30.138 33.046 52.989

42 33 30 33 55

12 5.835 4.752 4.341 4.760 7.632

6 4 4 4 7

system as in megacities worldwide. However, complex models need validation through real world projects. Exemplary demonstration projects for technologies or for technical, environmental, economic, and systems solutions are therefore used to show the implementation potential of the model results and serve as innovation drivers for new projects and model approaches in cities.

Integrated assessment applying the concept of total costs (private costs + external costs)

12 4.117 1.762 1.844 1.788 5.803 0

13 4.117 1.762 1.844 1.788 5.803 0

14 4.117 1.762 1.844 1.788 5.803 0

13 2.148 3.691 0.870 3.756 5.293

14 43.661 34.339 31.548 34.413 57.427

15 45.063 34.939 32.176 35.022 59.402

13 6.071 4.853 4.446 4.862 7.964

14 6.289 4.946 4.544 4.957 8.271

15 6.490 5.032 4.634 5.044 8.556

15 4.117 1.762 1.844 1.788 5.803 0

21

Economic efficiency is always associated with efficient resource use, given that all scarce resources are accounted for in decisions of the actors. Under model conditions in a market economy scarce resources would be used efficiently and welfare maximised; expressed in total cost (sum of private costs and external costs) – a system state which would be carefully aligned with the sustainable development concept. Reality however differs, as imperfections of markets might exist, like monopolising of powers, asymmetrical dissemination of information or institutional barriers. Nevertheless, it is important to notice that the general economic principle corresponds with the efficient use of resource principles derived from the concept of sustainability. This principle, in conjunction with the provision of energy, does not only refer to energy resources, but includes all other scarce resources, such as non-energetic raw materials, capital, work and environment necessary to provide energy services. In the economy, costs and prices serve as a yardstick for measuring the use of scarce INCOME resources. Lower costsPoor for the provision of the same service mean an economically more efficient solution which is less demanding on resources. The free use of environmental resources Invest. cost results in ecological damages, ‘external costs’ for the environment, not charged from those responsible but from third parties, e.g., the general public or future generations. In order to lifetime fully account for resource use in a market system and to apply efficient market clearing rules, discount rate it is vital to internaliseannuity as much as possible of the external environmental cost. External costs resulting from impacts on human health, agricultural crops and building Annual investment cost materials are considered quantifiable with a reasonable level of uncertainty. However, imAnnual O&M cost pacts on ecosystems and, in particular, potential impacts from global climate change cannot Electricity cost coston current knowledge. As a result, an economic valuation be easily quantified, whenFuel based sum of the potential impacts remains very uncertain. In these cases, marginal abatement costs for achieving policy-based environmental targets can be used to give a rough indication of the potential damage costs. Using detailed lifecycle inventories (LCI) as reference input data, the marginal external cost estimates can be based on applications of the ‘impact pathway approach’, established in the EU ExternE Project (www.externe.info). The ‘impact pathway approach’ models the causal relationships from the release of pollutants through their interactions with the environment to a physical measure of impact determined through damage functions and, where possible, a monetary evaluation of the resulting welfare losses. Based on the concept of welfare economies, monetary evaluation follows the approach of ‘willingness-to-pay’ for improved environmental quality. The evaluation of increased health risks from air pollution is based on the concept of the so-called, Value of Life Year Lost.

Summary and conclusions

Megacities – mega challenges: towards a manageable system of systems In emerging markets particularly, megacities face enormous challenges, ranging from rampant growth and stretched budgets, to inefficient infrastructures. Nevertheless, sustainable development is achievable. What is needed is political leadership, a consistent and effective integrated planning approach, help from private investors and intelligent technological solutions. Decision-making is a complex process which usually involves multiple objectives, multiple alternatives and multiple social interests and preferences. A consistent and effective energy and project planning generally involves many people with different backgrounds and sometimes competing agendas. Therefore, the planning process must be supported by a well-structured planning approach [Figure 8 •]. To begin with, the planning process starts by collecting basic information on local problems connected to the existing energy system, and by identifying and inviting local interest groups who may participate in the project. In the next phase, the objectives and scope of the study are defined based on a first assessment of the present situation of the energy system. After completion of this phase, the tasks and scope of the project should be well defined. Thereafter, the objectives serve as guiding principles for the development of the energy system model and the necessary data acquisition. With the help of the model, different options for competing measures and strategies are analysed. The results of the study are discussed during the evaluation and decision phase. Generally, an ‘iteration’ phase within the study phase and during the evaluation phase are necessary to find an optimal solution, i.e., a solution that best meets the different goals of all interest groups. This iteration procedure is made easier by the use of a model. With the finalised strategy described in the final report, the planning process has reached its most important milestone, i.e., the Energy Action Plan (EAP). The process, however, continues with two additional tasks: the implementation phase and the supervision and monitoring phase. Fig. 8 Phases of structured energy planning [authors]

22

Introduction

Implementation means the realisation of the energy action plan through individual projects. The supervision phase should then be used to check the success of the implemented projects. Unfavourable developments detected during the supervision phase may lead to adjustments in the planning process and even a re-evaluation of the energy plan. After implementation, the performance of the system should be monitored regularly over several years. This helps to detect situations where a re-orientation or a completely new planning process needs to be undertaken. Besides the establishment of a consistent planning process, the combination with cooperative governance is necessary for the successful implementation of the energy action plan. Most importantly, a truly integrated planning process is needed, addressing all relevant key stakeholders, as well as all planning divisions of the government. An integrated planning approach such as this would need backing by capacity (skills and number of employees) in administration, adequate regulation and leadership. Planning is often not the problem, but rather factual implementation. Beyond government itself, it is clear that a broader shift in mindset and awareness is needed in society to be able to effectively implement a more environmentally and economically viable development of the energy system of the megacity.

Fig. 9 Johannesburg, South Africa, under power. The activity region of the EnerKey project (www.enerkey.info) [authors]

23

References CIA (2013): The world factbook. www.cia.gov/library/publications/the-world-factbook/index.html, 15.01.2013 City of Calgary (2007): Toward a Preferred Future. Understanding Calgary’s Ecological Footprint. Calgary DME (2003): White Paper on Renewable Energy. Department of Minerals and Energy, November 2003, RSA EU (2012): The European Strategic energy technology plan (SET-Plan). http://ec.europa.eu/research/energy/eu/ policy/set-plan/index_en.htm; 01.2013 Ewing, B.S./ Goldfinger, M./ Wackernagel, M./ Stechbart, S.M./ Rizk, A./ Reed, J./ Kitzes, J. (2008): The Ecological Footprint Atlas 2008. Global Footprint Network, Oakland, Future Megacity Program (2010): Aggregated mitigation and adaptation potentials of future megacities – an overview on intermediate projects results. Essen, 2010, http://future-megacities.org/index.php?id=31; 05.02.2013 Gasson, B. (2002): The Ecological Footprint of Cape Town: Unsustainable resource use and planning implementation. Presentation at SAPI International Conference Planning Africa Global Footprint Network (2009): Ecological Footprint Standards 2009. Oakland: Global Footprint Network. http:// www.footprintstandards.org Goldfinger, S./ Oursler, A. (2009): Footprint Factbook – Africa 2009. Global Footprint Network, Oakland, United States of America Holden, E./ Hoyer, K.G. (2005): “The ecological footprints of fuels”. In: Transportation Research part D- Transport and Environment, Volume 10, Issue 5, pp. 395−403 Kharas, H. (2010): “The emerging middle class in developing countries”. In: Working Paper No 285. OECD development centre, January 2010 Lenzen, M./ Murray, S. (2001): “A modified ecological footprint method and its application to Australia”. In: Ecological Economics. Issue 37, pp. 229−55 Loh, J./ Wackernagel, M. (2004): Living Planet Report 2004, WWF. http://assets.panda.org/downloads/lpr2004.pdf Lyndhurst, B. (2003): London’s Ecological Footprint. A review. London: Greater London Authority Özdemir, E.D./ Marathe, S.D. (2013): “Ecological footprint – the example of Gauteng region”. In: Glances at renewable and sustainable energy. Springer Verlag, Chapter 4, January 2013 Özdemir, D./ Marathe, S.D./ Tomaschek, J./ Dobbins, A./ Eltrop, L. (2012): “Economic and environmental analysis of solar water heater utilization in Gauteng Province, South Africa”. In: Journal of Energy in Southern Africa. Vol. 23, No. 2, May 2012. Rees, W. (1992): “Ecological footprints and appropriated carrying capacity: what urban economics leaves out”. In: Environment and Urbanisation, Volume 4, Issue 2: pp. 121–30 Rogner, H./ Langlois, L.M./ McDonald, A./ Weisser, D./ Howells, M. (2006): “The costs of energy supply security”. In: International Atomic Energy Agency, Planning and Economic Studies Section. 27.12. 2006 Tomaschek, J./ Dobbins, A./ Fahl, U. (2012): A Regional TIMES Model for Application in Gauteng, South Africa. International Energy Workshop 2012, University of Cape Town UN Habitat (2010): State of the World’s Cities 2010/2011, Bridging The Urban Divide. United Nations Human Settlements Programme (UN-HABITAT), P.O. Box 30030, Nairobi, Kenya, First published by Earthscan in the UK and USA in 2008 for and on behalf of the United Nations Human Settlements Programme, (UN-HABITAT) 2010 UN Statistics Division (2013): Demographic Yearbook, 2011. http://unstats.un.org/unsd/demographic/products/dyb/ dyb2011.htm; 05.02.2013 van den Bergh, J./ Verbruggen, H. (1999): “Spatial sustainability, trade and indicators: an evaluation of the ‘ecological footprint’”. In: Ecological Economics, Volume 29, pp. 61 – 72 Wackernagel, M. (1994): Ecological Footprint and Appropriated Carrying Capacity: A Tool for Planning Toward Sustainability. The University of British Columbia, Vancouver Wackernagel, M./ Rees, W. (1997): Unser ökologischer Fußabdruck. Wie der Mensch Einfluß auf die Umwelt nimmt, Birkhäuser Verlag Basel

24

Introduction

Solar And Sustainable Energy Technologies

Co-operative Electric Supply Society Ltd. in Sircilla, India [Zehner, C.]

Julian Sagebiel, Franziska Kohler, Jens Rommel, Vineet Kumar Goyal

Governance of Solar Photovoltaic Off-grid Technologies in Rural Andhra Pradesh: Some Implications from the Field Introduction Background and problem statement In developing countries like India, uncontrolled urbanisation and rapid economic development has put extreme pressure on electricity infrastructure and generation [Khanna, 2009]. In the emerging megacity of Hyderabad, the capital of the Indian state of Andhra Pradesh (AP), households, commerce, and industry suffer from frequent power cuts and low power quality. Consumers use inefficient and environmentally-unfriendly back-up systems, such as diesel generators, to cope with the crisis [Hanisch et al., 2010]. Part of the problem in AP is the high consumption of electricity by farmers who receive electricity at a subsidised flat-rate tariff. About 30% of the installed capacity is utilised by electric irrigation pumps [Directorate of Economics and Statistics, 2011]. In South Asia, the introduction of electricity for groundwater irrigation has greatly contributed to rural poverty alleviation and a more equitable access to irrigation [Shah, 2009]. This often comes, though, at the cost of urban centres and industries. Nonetheless, villages also face major problems with their electricity supply. Most rural and agricultural consumers in AP experience power rationing, high voltage fluctuations, a lack of three-phase supply for domestic use,1 and deficient connected load. Electricity for irrigation is rationed, with farmers receiving power for about three to seven hours per day and with frequent, unannounced interruptions. Farmers rely increasingly on irrigation due to erratic monsoon rainfalls and enduring periods of extremely hot days [Lüdeke et al., 2010]. Especially in rice cultivation, power cuts can cause crop failure with implications for food security in cities. These complex rural–urban linkages, corruption, inefficient utilities, and the political economy of agricultural support, impede simple top-down solutions to the power crisis [Kimmich, 2012]. Decentralised and bottom-up approaches can help to address these challenges. These approaches can be realised by building on renewable energy sources. Solar energy is well-suited to small-scale, rural supply when compared to other renewable energy sources, as the natural potential of solar radiation in India is large [Ramachandrah et al., 2011], the demand for cooling appliances moves in parallel with the supply curve, and the installation of PV modules is fairly flexible and scalable.

27

Hyderabad

Scope of the study Drawing on our experience with the implementation of a pilot project on electric irrigation in AP,2 we propose off-grid solar photovoltaic (PV) applications in rural AP for residential lighting and cooling. Following the logic of Transaction Cost Economics [Williamson, 1985, 1991] and Evolutionary Institutional Economics [Nelson and Winter, 1982], we show that technologies affect properties of transactions. These properties affect institutions and governance [Williamson, 1985]. We also argue that the created social capital can now be used for further initiatives. In this regard it is important to ask to what extent particular technologies are more or less prone to be managed by farmer committees which have been established for the pilot project. We do not provide elaborate business models, or extensive cost calculations. The aim is to present of different PV technology options in rural AP and to identify trade-offs between scale economies, the transaction costs involved, and institutional arrangements. In the course of the project, several different off-grid PV technologies have been evaluated. Presenting all of these, however, would go beyond the scope of this paper. We have therefore limited ourselves to three options for domestic home lighting and cooling. In the next section, we develop a theoretical framework, which is also useful for institutional analysis of rural electrification more generally. In many countries of the South, the production of perishable vegetables concentrates at the urban fringe and relies on intensive electric irrigation, causing similar problems [Hussain and Hanisch, in press]. Our approach is transferable, in these cases particularly. We also seek to draw attention to the important role that institutions play in the adoption of PV technology.

Theoretical framework Electricity grids comprise a natural monopoly, implying that they are most efficiently organised by a single firm. Scale economies in generation exacerbate the problem. With limited competition, it plays an important role whether electricity supply is organised by private investors, the state, or consumers. Well-adjusted regulation on tariff setting is particularly costly for state-owned and private enterprises. It has been argued that electricity supply is, thus, ideally organised by consumers in utility cooperatives [Hansmann, 1996]. However, several factors impede the prevalence of cooperatives, especially in urban areas. Transient and heterogeneous consumers in cities, who often do not own real estate into which infrastructural investments are capitalised, face ownership costs on a level where contracting from state-owned or private utilities prevails. In rural areas these problems are less pronounced which explains the relative success of rural electrification cooperatives [Hansmann, 1996]. Information costs for private investors are often particularly high in rural contexts. Also, specific investments can cause hold-up problems, as shown by Bonus [1986] for rural credit provision and milk processing. This static view is of great empirical value for the comparative study of economic organisation in electricity supply. It can also be extended to recognise the (temporal) dynamics of technical development as illustrated by Figure 1 •. The graph depicts costs and optimal plant size for thermal power plants over six decades. Over time, investment costs per MW have steadily declined. During the last four decades the optimal size has increased and then − following new developments in cogeneration technology of combustible gas turbines − experienced a sharp drop in the nineteen-nineties that has led to a much smaller scale at which thermal generation can be operated efficiently.

28

solar and sustainable energy technologies

Fig. 1 Optimal plant size 1930–1990 [Künneke, 2008]

Apparently, this has had tremendous consequences for the economic organisation of electricity supply. It has become easier to form (smaller) electricity cooperatives, as coordination costs for collective action are typically lower in small groups [Olson, 1965]. Conversely, by creating a particular technical demand adapted to the institutions in place, one could argue that electricity governance affects the development of new technologies. In other words, institutions and technology co-evolve [Nelson and Winter, 1982]. Broader societal change, changing consumer preferences, legal change, and economic development add to this process [Müller and Rommel, 2011; Müller et al., 2012]. Künneke [2008] develops a heuristic to differentiate four levels of change in (1) technological paradigms, (2) technological trajectories, (3) routines, and (4) operations and management. A paradigm shift only takes place rarely, i.e., approximately once a century. The Industrial Revolution and the introduction of modern information technology are examples of such change. Technological trajectories take place gradually and continuously within a dominant paradigm. They include major technical innovations based on changes in relative prices or changing preferences and occur several times in a century. Routines refer to the practice of firms to adapt technologies according to their needs, resources, and potentials to ensure competitive advantages and maintain profitability. The decision to replace a certain technical element would be an example. These choices are made several times in a decade. The last level refers to the way an existing technology is managed within the firm in a continuous process. Our analysis takes place mainly on levels (2) and (3). Referring to Oliver Williamson’s so-called ‘four levels of institutional analysis’, Künneke [2008] identifies technological trajectories with the institutional environment (polity, judiciary, bureaucracy) and routines with governance (aligning governance structures with transactions, i.e., comparative economic organisation). In other words, the legal framework for technology-use and how a transaction, by using a particular technology, is put into practice, is of particular interest to us. For operationalisation it is useful to identify properties of transactions which are relevant for governing particular technologies. A stylised (non-exhaustive) list of factors is provided in the Table 2 •. After introducing the legal background of off-grid solar technologies, we will use these five factors to assess how technology-induced properties of transactions affect the governance of different available off-grid PV systems.

29

Hyderabad

Tab. 2

Properties of transactions and their potential effect on technology governance Factor name

Description

Effect on governance

Scale economies

What is the efficient level of production?

Via investment costs; may affect the number of parties involved and coordination costs; scale economies favour large investments

Predictability

How easily can the system be predicted?

Via risk attitudes; high risks may favour many parties or diverse product-firms; may also affect utility from investment; climate variability

Site specificity

How easily can the device be moved? What is the loss incurred of giving up/selling the device?

The higher the specificity, the more likely the transaction is to be integrated or safeguarded

Physical asset specificity

How specialised is the device? For how many different purposes can it be used?

The higher the specificity, the more likely the transaction is to be integrated or safeguarded

Human asset specificity

How many skills are required to use the device? How specialised are these skills?

The higher the specificity, the more likely the transaction is to be integrated or safeguarded

Legal background of off-grid solar support: The National Solar Mission In 2010, the Jawaharlal Nehru National Solar Mission (JNNSM) was launched as a part of India’s National Action Plan of Climate Change. The JNNSM’s goal is to develop solar power in India to increase the installed capacity to 22 GW by 2022. Two GW are planned for off-grid solar installations – predominantly in rural areas. The JNNSM also foresees the installation of 20 million square metres of solar collectors and the distribution of 20 million solar lighting systems under the remote village electrification programme of the Ministry of New and Renewable Energy (MNRE). Other aims include the facilitation of research and development, human capital development in the field of PV, and an expansion of India’s solar power manufacturing sector. The JNNSM supports the development of the solar off-grid sector through direct and indirect subsidies which are routed through the National Bank for Agriculture and Rural Development (NABARD) [Sairam, 2012]. Accredited channel partners, can be made up of banks, microfinance institutions, state agencies, energy service companies, or other intermediaries that propose off-grid projects to the MNRE’s Project Appraisal Committee. For off-grid PV systems of up to 100 W peak capacity per site and mini-grids of a maximum of 250 W peak capacity, consumers benefit from a 40% capital subsidy additional to a subsidised loan covering 50% of the capital benchmark costs set at about 3.8 €2012/Wpeak for systems with batteries and 2.7 €2012/Wpeak for systems without battery installed [Sairam, 2012].3 A down payment covers the remaining 20%. These subsidies apply for solar lighting systems to be installed in rural and urban areas and are not applicable in urban areas where direct MNRE subsidies are applicable. Harish and Raghavan [2011] and Deshmukh et al. [2010]

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consider the benchmark cost according to which subsidies are calculated discriminative to smaller systems at, or below, capacities of 40 W. The relative costs of solar lighting systems tend to decrease with increasing size, since the fixed costs of the internal wiring of houses, the purchase of CFL bulbs, the costs for installing the systems, etc. are constant regardless of system size. The subsidy does not restrict suppliers or consumers to a certain model and provides clear guidelines for financial institutions. Considering that electrifying the ‘bottom of the pyramid’ is stated as a priority in the JNNSM, it is surprising that as yet, a mere 7% of the subsidies have been spent on off-grid solutions for the poor [Deshmukh et al., 2010]. Evaluations of the first phase have furthermore shown that larger scale and on-grid projects have been implemented fairly quickly, whereas the development of rural off-grid projects has been cumbersome. The achievements to-date include a Special Incentive Package to promote domestic PV manufacturers, 1,100 MW of installed grid-connected solar power, and the distribution of 0.5 million small lighting systems, as well as 0.7 million solar lanterns. With the goal to unbundle the supply chain, several reforms are underway. In 1998, the Indian Electricity Regulatory Commissions Act was passed. The Electricity Act of 2003 allows private and decentralised energy generation. However, wheeling charges make only grid-independent use cost-effective [Hanisch et al., 2010]. In 2010, the Central Electricity Regulatory Commission (CERC) introduced the trade with so-called ‘Renewable Energy Certificates’ (RECs) on a national level. Furthermore, distribution system operators have the possibility to purchase RECs in order to fulfil their renewable power purchase obligations. The tariff system of the CERC comprises two core elements – the specific definition of capital costs applied to the generation of various energy carriers and the establishment of long-term feed-in tariffs. The capital costs determine the feed-in tariffs and are revised regularly in order to adjust the tariffs. The tariffs for PV are valid for a minimum of twenty-five years to provide a certain level of security for investors [Rommel and Sagebiel, 2012]. AP is one of the pioneers in unbundling and privatising its energy sector. The state has set up an Electricity Regulatory Commission (APERC) to increase transparency and participation of energy stakeholders. To further unbundle the sector, the generation company (APGENCO), the transmission company (APTRANSCO), and four regional distribution companies (DISCOMs) were founded in 1999. Notwithstanding the long way that India still has to go to further privatise and decentralise its energy sector, reforms such as the feed-in tariff, launched in 2005 by APERC, lead the way. Currently, the feed-in tariff in AP lies at around 17 €2012cents/kWh, but is likely to be significantly lower for new projects [NEDCAP, 2012]. The feed-in tariff is combined with a so-called ‘renewable power purchase obligation’ that binds the owners of transmission licenses to purchase 5% of gross electricity production from renewable sources. The tariffs offer a possibility for market entry for private energy producers [Rommel and Sagebiel, 2012].

Description of previous work and the study area The pilot project, initiated in October 2011, is situated in AP’s Karimnagar District, about 150 kilometres outside of Hyderabad. The main income source in the area is agriculture and about 65% of electric energy consumption is used for irrigation [CESS, 2012]. Electric supply in the area is carried out by a cooperative society, the Cooperative Electric Supply Cooperative, Siricilla (CESS), as opposed to the state-owned DISCOMs which dominate in the state.

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The region suffers from voltage fluctuations, power rationing, and frequent unannounced supply interruptions. The area was chosen for two reasons: firstly, the region is partly under a watershed programme4 and secondly, CESS – as a small, non-profit distributor – is more interested in reducing the power problems than the large DISCOMs. The project’s main aim is to improve electricity supply. The implementation strategy comprises a technical and a social part. Installing capacitors into the electric motors of the pumps will demonstrate that even low-cost technologies can create significant improvements in energy efficiency. Transformer committees, or small cooperatives of farmers, have been formed.

Institutional analysis In the following section, we will propose three options on how to implement PV technologies for lighting and cooling in electrified villages. Generally, the options can be distinguished by the factors that suits the technology best governance as given in Table 2 •. An analysis of these factors will then indicate which organisational arrangement suits the technology best. For illustration purposes, we consider a typical small village in the project area – Reddy Colony, which consists of thirty-five households, predominately farmsteads. All farmers participate in Distribution Transformer Committees, have invested together, and contribute to a savings group. In summer particularly, people suffer from unsatisfactory power supply (about six hours per day), and discussions with the heads of households revealed a great willingness to invest additional money on improvements in electricity supply. Description of the technology Generally speaking, rural households need electric energy for lighting and room cooling. The overall required load per household typically does not exceed 100 W.5 Cooling is usually required during daytime; whilst lighting is used in the evening hours. Thus, the load curve is smoothed and peak load is reduced. Three options, stand-alone systems (SAS), micro grids owned by an external investor, and micro-grids owned by the community, are discussed. The cost calculations are based on inquiries from different suppliers.6 Stand-alone systems A SAS is an independent PV system that provides electric energy to one household. It is usually constructed on the rooftop and supplemented with a storage battery. We propose a DC-powered system. The required equipment consists of a PV module with a voltage of 12 V, a module capacity of 150 W, a storage battery,7 a solar charge controller with 150 to 200 W capacity, a solar powered DC fan, other small pieces of electrical equipment like cables or fuses, and a mounting structure. The total cost for equipment for one household is about 400 €2012. Additional transportation costs, manpower costs, processing and servicing costs add up to about 100 €2012. Under the NABARD scheme, a subsidy of 40% is applicable to the PV modules. The total costs for a household would, thus, be 300 €2012. Micro-grid owned by an external investor If thirty-five households are equipped with PV, the installation of one larger PV system for all households might be considered. An external investor could cover the investment costs. The

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payback is then covered by a tariff charged to the users which will be higher than the DISCOM tariff for grid electricity. Nonetheless, it has the advantage of uninterrupted and high-quality power supply. In the case of Reddy Colony, we propose a 5 kW peak PV power plant with twelve 100 Ah batteries and an inverter with a capacity of 5 kW, which would result in 142 W peak per household. The total cost for the system is estimated to be 15,600 €2012 (445 €2012 per household). A subsidy from the MNRE of 30% is applicable. This means that the costs for the developer are reduced to 10,920 €2012 (312 €2012). The respective Nodal Agency, New and Renewable Energy Development Cooperation of Andhra Pradesh (NEDCAP), will set a tariff between 6 and 9 €2012cent, with 4 €2012cent to be paid by the customer and the remaining amount will be covered by NEDCAP. Micro-grid owned by the local community With regards to investment costs this option is identical with the aforementioned one. However, the community would finance the initial investment, resulting in different transaction costs. For instance, the question of how to distribute repair costs among users has to be solved. Comparing the alternatives Based on “The legal background” (pp.30f), we analyse the feasibility of the presented options from the perspective of the transaction costs involved. As the investment and maintenance costs are approximately the same for all options, the alternative with the lowest transaction costs will be the most suitable. The Tab. 3 • ranks the different options by the factors presented earlier, with low, medium, and high representing the respective transaction costs. It can be seen from the table that no option clearly outperforms any other option. The particular context will, thus, make a significant difference. It is notable that in the individual option, a household has to acquire specific skills for applying for subsidies, installing, and running a system which may not be well-adapted to peaks in demand. However, investments are mostly capitalised into the real estate, coordination costs are low, and the whole transaction is integrated into the household. For well-educated farmers8 who have a high use of uninterrupted electricity supply in a village where others may well be less educated and the demand for electricity is rather heterogeneous, it may thus be a viable option to install a SAS. External investors have low costs in applying for subsidies and face low human asset specificity, as the required knowledge can be used in other projects. Weather risks may be hedged with other projects, financial market instruments, or a diverse portfolio. The likeliness of hold-up, however, is very high. Consumers are a powerful entity in threatening an outside investor by not consuming or by refusing to pay for electricity. The legal enforcement of contracts creates high costs with the Indian judiciary. It may take decades for cases to be brought to court. An in-depth, ex-ante assessment of such risks is also costly. Regulatory risks are also high. How tariffs are set will be of high importance for the profitability of an investment. Activities in a region which is well-known to the investor and on which trustworthy information is available (e.g., through an NGO), might, hence, be best-suited to this model, especially when the company can hedge some of the risks. Farmer committees have the significant advantage in that hold-up problems are less likely to occur and information costs are low. Regulatory risks with regard to tariffs are less important if suppliers and consumers are identical. Villagers know each other personally and can assess the risk of pooling resources. Peer-pressure is a powerful mechanism for enforcing contracts. However, the risk remains that élite farmers may take advantage of the

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Tab. 3

Assessing transaction costs by the properties of transactions Factor

SAS (individual owners)

Micro-grid (external investor)

Micro-grid (farmers coop)

Scale economies (Large systems allow load curve smoothing; subsidies only have to be applied once for many users; fixed costs in the initial phase)

Variable load curve, because exchange between households impossible; high costs for applying for subsidy, high fixed costs (high)

Smoother curve; experience with subsidy application process reduces cost (low)

Smoother curve; costs for subsidy application can be shared, but no experience (medium)

Predictability (risks of theft and damage; regulatory risks; risks of default; reduced power supply in overcast weather)

Theft is reduced with panel on private rooftop; weather risks are borne individually (medium)

Theft and damage more likely; high regulatory risks and default risks; weather risks can be hedged (high)

Theft and damage reduced through peer-monitoring/ ownership; weather risks are similar to SAS (medium)

Site specificity (transferability of panels and wiring)

Panels can be sold or taken to new house; wiring in the house is capitalised into the real estate and increases value (low)

Panels can be sold or used in other projects; wiring is site-specific and creates hold-up problems; long-term land lease or rent may have little alternative use (high)

Panels can be sold; wiring is site-specific but is capitalised into real estate; coop can have conflicts which causes hold-up problems between members (medium)

Physical asset specificity (for how many different purposes can the asset be used)

Can be used only for small-scale household use; of little value for investors or without complementary (site-specific) equipment (high)

Can also be used for street lighting, farm activities, and small commercial units (medium)

Can be used or sold for local agriculture or other electricity requirement in the village which may be more easily identified and organised (low)

Human asset specificity (what kind of special knowledge is needed to start and run the system)

Specific skills have to be acquired which are of little general use (high)

Developer can use skills in other contexts (low)

Not everybody has to acquire skills; hold-up problem may arise from the fact some people are more knowledgeable than others (medium)

process and that in the course of development some people may acquire specific knowledge to their advantage, also bears some uncertainty for the successful functioning. The fact that the process has to be organised in great detail and rules have to be drawn-up and enforced, for instance, how to refund losses or profits, or how to distribute repair costs, should not be underestimated. These rules have to be perceived as fair by the majority. Heterogeneous interests will make such rule-finding more difficult. A high degree of homogeneity, previously established knowledge on electricity, and established trust are critical to avoid high transaction costs. This model may work well in villages where farmer committees have been successfully established. Also, support by an NGO through awareness-raising, capacity building, and technical assistance might well be a necessary condition.

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Conclusion In this study, we have shown how technical properties and the legal framework shape the properties of transactions and subsequently the transaction costs for organising rural, offgrid PV supply. Drawing on a theoretical framework which has identified scale economies, predictability, and three forms of asset specificity as important factors, we have compared different options of organising off-grid electricity supply. Our analysis shows that particular conditions on the ground are decisive for determining optimal governance. With regard to our pilot project, we can conclude that successfully established farmer committees may be a good entry point for further interventions in the field of renewable energy supply. This is especially true when the demand for uninterrupted supply is high. At first glance, the greenhouse gas saving potential of rural PV may appear small, as it mainly satisfies additional demand and does not reduce regular demand from the grid. However, if overcapacities are available, people may use freely available electricity they have generated to save on electricity otherwise bought from the DISCOM. With decreasing costs for panels and functional feed-in tariff schemes, on-grid solutions which generate additional income may become an option. The further development of adequate policies will be critical in this regard. Through this, urban consumers can also benefit a great deal, as the supply gap is reduced. Further reductions in grid demand from rural areas may be realised by considering an extension of applications to solar PV water pumps. Especially in summer, when the supply gap is particularly large, the generation capacity of PV coincides with this demand. Eventually, it has to be noted that anything that makes rural life easier can contribute to rural poverty alleviation and slow down migration processes. A detailed cost–benefit analysis would be necessary to assess the wider societal consequences of extended rural electrification through PV. Regarding transferability and up-scaling, the proposed collective model is especially relevant in contexts where electricity is scarce and the solar radiation potential is large. To satisfy the urban demand, in peri-urban areas of the global South, electric irrigation is often used for the intensive production of perishable high-value crops, which may create conflicts over the scare electricity supplies. Currently, only few farmer groups exist which could be used as entry points for the promotion of off-grid, rural PV technologies to reduce such conflicts. The up-scaling potential is great, as suggested by the success of our pilot project. Additional resources are required to kick-start such up-scaling. It is challenging to further motivate and train NGOs and other organisations for the much-needed transfer of technology-related knowledge.

References Bonus, H. (1986): “The Cooperative Association as a Business Enterprise: A Study in the Economics of Transactions”. In: Journal of Institutional and Theoretical Economics, Vol. 142, pp. 310–39 CESS (2012): Working Note on CESS. Internal Report, Sircilla, Karimnagar, Andhra Pradesh Deshmukh, R./ Gambhir, A./ Sant, G. (2010): “Need to Realign India’s National Solar Mission”. In: Economic and Political Weekly, Vol. 45, No.12, pp. 41–50 Directorate of Economics and Statistics, Government of Andhra Pradesh (2011): Agricultural Statistics at a Glance Andhra Pradesh 2010–11, Hyderabad, Andhra Pradesh Hanisch, M./ Kimmich, C./ Rommel, J./ Sagebiel, J. (2010): “Coping with power scarcity in an emerging megacity: A consumers’ perspective from Hyderabad”. In: International Journal of Global Energy Issues, Vol. 33, No. 3-4, pp. 189–204 Harish, S. M./ Raghavan, S. V. (2011): “Redesigning the National Solar Mission for Rural India”. In: Economic and Political Weekly, Vol. 46, No. 23, pp. 51–8

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Hansmann, H. (1996): The ownership of enterprise. Cambridge, Massachusetts Hussain, Z./ Hanisch, M. (in press): “Dynamics of peri-urban agricultural development and farmers' adaptive behaviour in the emerging megacity of Hyderabad, India”. In: Journal of Environmental Planning and Management Khanna, M./ Rao, N. D. (2009): “Supply and Demand of Electricity in the Developing World”. In: Annual Review of Resource Economics, Vol. 1, No. 1, pp. 567–96 Kimmich, C. (2012): Networks of Coordination and Conflict: Governing Electricity Transactions for Irrigation in South India. Dissertation, Humboldt-Universität zu Berlin Kimmich, C./ Sagebiel, J. (2013): Peri-urban linkages: Improving energy efficiency in irrigation to enable sustainable state-level transition. This Volume Künneke, R. W. (2008): “Institutional reform and technological practice: The case of electricity”. In: Industrial and Corporate Change, Vol. 17, No. 2, pp. 233–65 Lüdeke, M./ Budde, M./ Kit, O./ Reckien, D. (2010): “Climate Change scenarios for Hyderabad: Integrating uncertainties and consolidation”. In: Sustainable Hyderabad Project Deliverable. 2010 PIK No.1 Müller, J. R./ Rommel, J. (2011): “Is There a Future Role for Urban Electricity Cooperatives? The case of Greenpeace Energy”. In: Can We Break the Addiction to Fossil Energy? Proceedings of the 7th Biennial International Workshop Advances in Energy Studies Barcelona, Spain 19–21 October 2010, pp. 185–95, Universitat Autònoma de Barcelona, Barcelona Müller, J. R./ Rommel, J./ Sagebiel, J. (2012): Are people willing to pay more for electricity from cooperatives? Preliminary results from an online Choice Experiment, Paper presented at the International Conference “Cooperative Responses to Global Challenges,” March 21–23, 2012, Humboldt-Universität zu Berlin Nelson, R. R./ Winter, S. G. (1982): An evolutionary theory of economic change. Cambridge, Massachusetts NEDCAP(2012): New & Renewable Energy Cooperation of Andhra Pradesh 2012: Jawaharlal Nehru National Solar Mission. http://www.nedcap.gov.in/J_N_National_Solar_Mission.aspx [accessed December 22 2012] Olson, M. (1965): The logic of collective action: Public goods and the theory of groups. Cambridge, Massachusetts Ramachandrah, T. V./ Jain, R./ Krishnadas, G. (2011): “Hotspots of Solar Potential in India”. In: Renewable and Sustainable Energy Reviews, Vol. 15, No. 6, pp. 3178–86 Rommel, K./ Sagebiel, J. (2012): “Nachhaltige Entwicklung von Megacities am Beispiel Südindien – Was können Einspeisetarife dazu beitragen?“. In: Smart Energy. Wandel zu einem nachhaltigen Energiesystem. pp. 431–51, Berlin, Heidelberg Sairam, R. (2012): “NABARD adds more power to solar mission”. In: The Hindu. 12 April 2012 Shah, T. (2009): Taming the anarchy: Groundwater governance in South Asia. Resources for the Future, International Water Management Institute Washington, DC, Colombo, Sri Lanka Williamson, O. E. (1985): The Economic Institutions of Capitalism. New York Williamson, O. E. (1991): “Comparative Economic Organization: The Analysis of Discrete Structural Alternatives”. In: Administrative Science Quarterly, Vol. 36, No. 2, pp. 269–96 Notes 1 Three-phase supply is required for heavy load appliances such as large motors or electric stoves. In rural AP threephase supply is switched off for most of the time to restrict the use of electricity for irrigation pumps. 2 A detailed description of the pilot project can be found in Kimmich and Sagebiel (2013). 3 All cost calculations in this paper use the same exchange rate of 70 Indian Rupees per €, which was the average between September and December 2012. 4 In this programme the active management of watersheds and tanks (small ponds) for groundwater recharge is undertaken. Without taking into account and managing the availability of groundwater, increased efficiency of electrical pumping could lead to an over-exploitation. 5 The average energy consumption per day, assuming five hours lighting with two CFL bulbs and ten hours of 40W socket usage, is 0.49 kWh per day and household. 6 Detailed data and tables are available from the authors on request. 7 Assuming 70% of energy consumption during night-time, the battery bank capacity should be able to store around 12 kWh of energy. Twelve 12 Volt batteries with 100 Ah would suffice. The inverter should have a capacity of 5 kW. 8 Education is critical for managing the subsidy application process and installing the devices, especially when few other farmers with similar preferences and skills are available for the collective option.

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3.2

Christian Kimmich, Julian Sagebiel

Peri-Urban Linkages: Improving Energy Efficiency in Irrigation to Enable Sustainable Urban Transition Introduction This essay focuses on the adoption of cost-effective demand-side measures for electric energy utilisation in agricultural irrigation to increase both energy efficiency for climate change mitigation and water security for adaptation to climate change in India. Due to the multilayered, rural-urban connections of labour migration, food provision, and energy and water demand, the analysed measures will help to enable conditions for urban economic growth as well as sustainable transitions in resource use. The analysed measures: low-cost technologies to improve electric infrastructure utilisation and standardised motors for pumping, have been previously considered in several policies and implementation strategies in various states in India during the past decade. However, the social dimensions of learning and interdependence in technology adoption have so far been neglected; though have played a significant role in impeding successful implementation. This study reveals learning and governance mechanisms that can facilitate technology adoption that can be transferred to other technologies and environments. Background and problem statement Urban economies are linked in numerous ways to their rural hinterland; carrying major implications for mitigation and adaptation strategies to climate change. The most obvious link is migration, a major contributor to the emergence of megacities. The Indian megacity, Hyderabad is the example presented and analysed in this study. In the context of climate change and resource scarcity, an increasingly competitive demand for water in urban areas and, indirectly, for food provision through irrigation, as well as the utilisation of electric energy for industrial, urban commercial, household, and agricultural irrigation purposes, pose severe distribution problems on the state level. Urban commercial activities are seriously impeded by a large energy gap in electricity supply, which is manifested by frequent power shortages and inefficient backup technologies, resulting in hampered economic growth [Hanisch et al., 2010]. This study reveals that increasing energy efficiency in irrigation can be one of the most cost effective measures to improve both rural and urban resource provision, increasing economic growth potentials and reducing distributional conflicts. Figure 1 • depicts the development of sector-wise electric energy utilisation in Andhra Pradesh since 1980, revealing the high utilisation in agriculture, as well as the technological and commercial transmission and distribution losses, a large part of which is incurred due to rural distribution. This study also reveals that simple and highly effective technologies do exist, but their adoption is frequently obstructed if institutions of social learning and adaptation strategies are disregarded by policies. While we focus on the example of Hyderabad in our analysis, the

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Fig.1 Electric energy consumption in Andhra Pradesh, indicated in sectors [Kimmich 2009]

implications can be transferred to many other semi-arid, water-scarce regions in the world, the Middle East, North Africa, and Mexico being significant examples and, at least partially, comparable other regions [Scott and Shah, 2004]. The methodology outlined can feasibly be applied to many other social dynamics of infrastructure-related technology adoption, as will be outlined in the concluding section. Scope of the study The study focuses on the social dimensions of implementing a specific demand-side technology in electricity utilisation for irrigation in Andhra Pradesh. Adequate technology options for demand-side management and power quality improvement were studied. The implementation status of this demand-side technology was analysed through a survey covering 305 farmsteads. Existing policies and regulations concerning demand-side measure implementation were reviewed and contrasted with the implementation status. The bulk of the study uses a game-theory method to analyse interdependencies of technology adoption and the resulting consequences for optimal implementation strategies. The findings reveal that simultaneous technology adoption is needed to effectively improve power quality and increase energy efficiency. Sequential, or only occasional, technology adoption by some farmers does not yield positive results and is thus not economically viable. The research results were translated into a conceptual design of a pilot project that was conducted within the Sustainable Hyderabad Project. The core of this ‘best practice’ model is outlined in this study. The concluding section derives implications for research in climate change technology implementation and some broader implications for coordination in infrastructure governance and transferability to other megacities.

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Demand-side measures for energy-efficient irrigation in Andhra Pradesh Impact of electricity policies for irrigation Through a flat rate and thus, unmetered, tariff structure, electricity provision for irrigation is highly subsidised in most Indian states, including Andhra Pradesh. The subsidisation regime has had a tremendous impact on the diffusion of groundwater-based irrigation, providing reduced dependence on increasingly irregular rainfall due to climate change, and decisively contributed to the success of the Green Revolution [Badiani, Jessoe, and Plant, 2012; Kondepati, 2011; Repetto, 1994; Rosegrant and Evenson, 1992]. Besides a drastic increase in energy consumption and connections, the policy also led to a steady deterioration of the quality of the electric infrastructure [Shah, 2009; Tongia, 2007]. Although subsidised agricultural electricity supply is partly compensated for by the government, the state-owned distribution companies have steadily reduced investments, maintenance and staff budgets for rural distribution. This has resulted in reduced monitoring capacities and grid maintenance, and contributed to high voltage fluctuations, poor power quality, and increasing pump-set and electricity transformer burnout rates [Dossani and Ranganathan, 2004]. Non-standardised, unbranded, and often locally-manufactured pump-sets, in combination with repairs being undertaken by unqualified people, increase energy inefficiency and further deteriorate power quality [Tongia, 2007]. In addition, many pump-set manufacturers provide sub-standard equipment for irrigation [Narayan, 1999]. Analyses of the potential of demand-side measures (DSM) in irrigation reveal that a comprehensive improvement of both electricity-side motor improvements and water-side tube improvements can increase energy efficiency by up to 50% [Reidhead, 2001; Sant and Dixit, 1996]. The use of a capacitor alone − which is a small technical device that can balance out voltage and current to improve the power factor in three-phase electricity supply − can improve energy efficiency by 10−15%. The Andhra Pradesh Electricity Regulatory Commission realised the importance of DSM for increasing energy efficiency. In its tariff order for the financial year 2001−02, the transmission corporation and the distribution licensees committed themselves to distributing transformers and erecting capacitors for agricultural pump sets: “To improve the power factor, it must be made compulsory for the farmers to use capacitors with the pumpsets” [Andhra Pradesh Electricity Regulatory Commission 2001]. The commission also allows for a discount of 50% on monthly, flat rate charges where a set of DSM including capacitors are implemented, while also ordering the discontinuation of services if capacitors are not installed. The commission also provided specifications for choosing an adequate capacitor. A clear assignment of responsibilities for installation had not yet been delegated. In its tariff order for the financial year 2005−06 (2005), the commission stated that the “DSM measures, especially the capacitor compensation for the inductive load of the agricultural sector, has been the biggest techno operational problem encountered in the power sector especially in Andhra Pradesh. Past experience appears to indicate that the initiatives taken earlier. . . did not achieve the results as the consumers have not been made a party to the scheme.” Nevertheless, when a free electricity supply scheme was set up in 2004, farmers were warned that they “shall not be eligible for free supply” and no new connections would be granted if DSM are not implemented. These rules diverge greatly from practice, as the status of DSM implementation reveals.

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Tab. 2

Summary statistics for pump-set variables Variable

mean

sd

median

min

max

Branded pump-set (1=yes)

0,67

0

1

ISI-marked pump-set (1=yes)

0,37

0

1

BEE-rated pump-set (1=yes)

0,06

0

1

Capacitor successfully installed (1=yes)

0,10

Motor burn-outs per year

1,86

1,64

Costs for motor repair (INR)1

2693,15

1513,11

2500

200

8500

Costs for motor repair (€2010)

43,44

25,11

40,32

3,23

137,10

Age of the pump-set (years)

7,21

5,94

5

0

30

2

0

1

0

12

1) 62 INR = 1 €2010 [Kimmich, 2011c]

The status of DSM implementation A survey of 305 farmsteads conducted in the neighbouring districts of Hyderabad in 2010, revealed that only 10% of the farmers have a capacitor installed, whilst at least 37% use ISI-marked pumpsets; equipment that is standard-approved by the Bureau of Indian Standards [Table 2 •]. Only 6% use a BEE-rated pump-set, energy-efficiency labelled by the Bureau of Energy Efficiency. DSM: A win-win solution With unmetered electricity supply, farmers do not have to pay per unit of energy used, and thus do not have any incentive to improve energy efficiency. However, farmers have to pay a considerable amount to repair their pump-sets, partly incurred due to poor power quality. DSM, such as capacitors and ISI-marked pump-sets could, however, not only increase energy efficiency, but also improve power quality and thus reduce the costs to farmers for repairing their motors. At a price of 200−300 INR (3,23-4,84 €2010), capacitors are especially cost-efficient for the farmers to substantially reduce their repair costs, as well as, on a community level, to reduce energy utilisation and budget expenses for related subsidies [Sant and Dixit, 1996]. Being cost-effective, and given the DSM implementation policies by the regulatory commission, the question remains why these DSM have only been implemented by a small percentage of the farmers. Why have these technologies not been adopted on a larger scale?

Barriers to the adoption of technology The answer to the question raised above, i.e., the surprisingly low adoption of DSM, can be found in the characteristics of the electricity infrastructure. The electricity grid creates interdependence between the adoption strategies of the farmers through the network structure and the common-pool resource properties of power quality. Figure 3 • depicts a sample distribution transformer with all connected pump-sets. Due to the utilisation of poor quality pump-sets and the lack of the use of capacitors, there is a knock-on negative impact on power quality for all other farmers who have their

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Fig. 3 Sample of a transformer and connected pump-sets [Kimmich 2011b]

Fig. 4 Electric power quality in relation to contributing farmers. [Kimmich, 2011b]

pump-sets connected to the same distribution transformer in the electricity grid. The choice of one farmer to invest in DSM impacts on the choice of every other farmer connected to that grid. When most farmers do not invest in the use of a capacitor or an ISI-marked pumpset, the investment by one, individual farmer does not improve the conditions, neither for himself nor for the others. The adoption of these DSM may then, ironically, even exert a negative effect on power quality, especially under conditions of low voltage that emerge with insufficient infrastructure capacity and too many, often unauthorised, pump-sets are connected. According to several interviews undertaken and statistics gathered, between 10−30% of the connections in Andhra Pradesh are unauthorised. However, if a sufficient number of farmers, who have their pump-sets connected to one transformer, simultaneously invest in DSM, the overall power quality can surpass a threshold level where the positive effects of DSM on pump-sets can be observed. Figure 4 • depicts a schematic and stylised version of a collective production function of power quality, with 17 pump-sets and farms connected to the same transformer. This is the average number empirically derived from the survey.

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This arrangement of interdependent decision-making and strategies can be analysed with economic models of game theory. The underlying structure is a coordination problem; more specifically it is an assurance problem [Sen, 1967], with one risk-dominant, low Nash equilibrium, and one payoff-dominant equilibrium [Harsanyi and Selten, 1988]. Coordination problems emerge in all fields of infrastructure, from telecommunication and mobility, to water, drainage, energy networks, and agricultural technologies [Drèze and Sharma, 1998; Dutton, Schneider, and Vedel, 2012; Janssen, 2007]. In comparison to dilemmas of resource exploitation, this coordination challenge is rather benign, as advantages of ‘free-riding’ are almost non-existent. Every farmer can profit from installing DSM when all other farmers have also done so, but not if only few decide to install one. Coordination requires a strategy of resolute action for simultaneous investments. Strategic uncertainty − but also ecological and technological system uncertainties − are the cause of frequent coordination failures and have been observed in the case of the adoption of DSM by farmers. Fortunately, if the coordination failure is overcome, the outcome is highly profitable; thanks especially to the low-cost investment in a capacitor, and can eventually make coordination self-sustaining [Kimmich, 2011a].

A best practice model of social learning and cooperative governance for technology adoption The findings can explain why earlier policies of DSM implementation that did not consider the coordination challenge, have been unsuccessful. Unfortunately, a top-down implementation policy would require bottom-up coordination strategies that cannot easily be prescribed. Not only do many institutions of sequential social learning and experimentation by farmer peergroups counteract concerted action, but even the knowledge, and hence the ability to operate an electrically engineered power system, is only vague or often non-existent in the field. Due to budget constraints within the utilities, the operational ground level at higher-level transformer (33/10kV) sub-stations is often understaffed with only a few assistant electrical engineers and linemen. Tensions and mistrust between the distribution utilities and the agricultural communities, as well as illegal payments and corruption further complicate the situation. This occurs despite the fact that utilities could profit from improved power quality through reduced damage to transformers. Given these challenges, a carefully designed pilot project can reveal best practice to utility employees and farmers, where improvements can be observed, thus enabling grassroots learning and best practice technology adoption by others. A clear design of a transfer and up-scaling strategy, to be conducted after successful pilot project implementation and evaluation, enables a sustainable transition after the project intervention phases. The pilot project conceptual design The pilot project is led by the Division of Cooperative Sciences and the Division of Resource Economics at Humboldt University Berlin. The principal partner selected a group of local partners according to the project needs to facilitate collaboration, ownership, and commitment among these partners. The following six local partners were chosen:

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· As the implementing partner, a cooperatively governed electric utility, the Cooperative Electricity Supply Society, Sircilla Ltd. (CESS) was selected. This predominantly rural electric utility was selected because of the stronger reliance on agricultural electricity supply and the cooperative governance structure, creating a stronger sense of ownership among its members. · The selection and installation of adequate DSM technology, especially capacitors, requires electrical engineering and knowledge of power systems. As a scientific partner, the Power Systems Research Centre at the International Institute for Information Technology Hyderabad (IIIT-H) was chosen. · As a technology partner, the Steinbeis Centre for Technology Transfer, India (SCTI), an expert in technology and knowledge transfer between research and business, was selected to provide for market knowledge of technology selection and electrical engineers for the installation of DSM. · An advisory committee of two NGOs, the Prayas Energy Group Pune, providing expertise in the field of electricity and energy policy advice, and the Centre for World Solidarity Hyderabad (CWS), were chosen to provide expertise in the field of water governance. · For local mobilisation of farming communities, an NGO was selected that is active in the geographic locality of the electric utility. The Self-Employed Welfare Society (SEWS) has many years of experience working with farmers, predominantly in the field of watershed management. An established relationship of trust is essential to activate commitment among the farmers taking part in the pilot project. · A Hyderabad-based social scientist provides the local knowledge partnership to work with rural communities, in order to conduct surveys and to jointly develop locally operational governance models. Project phases and important milestones The pilot project is composed of five major phases: (1) a preparation phase to establish partnerships, (2) a planning phase of collaborative conceptual project design, (3) an implementation phase of technology installation and institution building, (4) an evaluation phase to analyse outcomes and impacts, and (5) an up-scaling phase to build and implement transfer strategies. These phases consist of the following measures, tasks, and milestones: 1. The preparation phase entailed establishing working relationships with the six local partners, including a Memorandum of Understanding and Terms of Reference, and building initial contacts between local partners for the formation of the pilot project group. 2. The planning phase consisted of a conceptual design workshop to collaboratively develop a project strategy, to identify and select the most feasible technological solutions, and to analyse potential improvements. A social and a technical survey of 800 farmsteads comprising farm holding data, cropping patterns, groundwater availability, electricity connection and pump-set data, technical specifications, as well as demographic and educational data, enabled the selection of villages for intervention. This phase also entailed the development of a detailed working plan, a finance plan, and a concluding workshop to clarify critical open questions. 3. During the implementation phase, the technical equipment − including capacitors and power measuring devices − was purchased. Meetings of the farmers and consultations were organised to create awareness and to build trust for the intervention. A group of electrical engineering field workers was established and trained to install capacitors and to

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measure power factor improvements at the pump-set level. A training workshop was conducted with the staff of the local NGO SEWS. Together with the technological implementation, the formation of governance units of Distribution Transformer Committees, Feeder Level Committees, and a Project Level Committee was organised and the respective committees were established. These units are crucial to organise the installation, monitoring among the farmers, and the future arrangement to employ an electrician for installation and maintenance. 4. The evaluation phase comprises a social and a technical survey to analyse the improvements in power quality and energy efficiency. The social survey enables the analysis of outcomes in terms of reduced repair costs for the farmers and reduction in transformer burnouts due to improved power quality, from which the electricity utility profits. Through the social survey, improvements in the understanding of the electricity system, related interdependence, the knowledge of coordination requirements and strategies for concerted action can be measured. An independent energy audit company will conduct a technical survey. The aim is to investigate the incremental or marginal improvement of a capacitor at transformer level, as well as the improvement of water discharge. The former is relevant for the utility and policy makers as it shows the potential for energy savings and CO2-emission reductions. The latter reveals the increased water availability to the farmer, one of the primary means to increase food production. 5. The up-scaling phase is based on a three-level design: (A) Reporting and marketing the pilot project concept. The results provide information to further develop the project concept and to adapt the requirements to other conditions and environments. (B) The pre and post evaluation data, as well as the experience and learning gained on the project, help the development of a business plan to calculate the costs of training, technology installation, governance unit formation, and the profitability of the overall project. The business plan can then be utilised by Energy Service Companies (ESCO) and other contractors to conduct energy efficiency improvement projects. Counterparties to the contractors can be electricity utilities, as well as governments that ultimately pay the subsidised electric energy provided for irrigation. A share of the saved energy expenses can then be used as revenue to finance the contractor. (C) Policy briefs and consultations also enable direct communication with respective government units, including energy departments and regulatory commissions, to inform the design of more effective policies for DSM implementation. These policies can include the cooperation with contractors for grassroots implementation, due to their expertise in respective technologies and entrepreneurial skills. It remains to be seen, however, whether contractors or other organisations are able to create the institutional arrangements necessary at the transformer level to facilitate successful coordination of technology adoption. The project is currently in the Evaluation Phase. The direct outcome of technological improvements have been measured, but the impact on the power system and reductions in pump-set and transformer burnouts can only be measured after a fixed time interval, as equipment damages occur in most cases only once or twice a year. The measured power quality improvements and encouraging experiences reported by the farmers are a first indication that the impacts are highly positive. Improved power quality will enable the farmers to proceed with investments into other DSM, such as standardised and quality-approved ISI-marked pumpsets. The viability of agriculture can thus be increased to strengthen food security. The saved energy will be available for industrial and, primarily, urban commercial purposes, where the gap in electric energy provision can be closed to reduce power cuts.

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Conclusions and implications This analysis has highlighted some of the crucial connections between rural and urban economies, consisting of labour migration, water and energy utilisation, and food provision. Improving power quality and thereby increasing energy efficiency in agricultural irrigation is one of the most cost-effective options of climate change mitigation, simultaneously increasing adaptation to climate change through groundwater use. The review of agricultural electricity policies has shown that subsidised electricity provision has led to a vicious circle of deteriorating electricity infrastructure, poor quality irrigation equipment, and high repair costs to both farmers and electric utilities. The analysis reveals why existing policies to improve energy efficiency through demand-side measures has remained ineffective, neglecting the concrete investments necessary to overcome coordination failure and to improve power quality. A pilot project has been built upon these findings to develop a best practice model of community learning for technology adoption. The project partner composition and the phase descriptions indicate how such an intervention can be translated into practice. Measures of transferability and up-scaling enable a sustainable transition after the phasing out of the pilot project. The project thereby aims to contribute to agricultural viability and energy savings that can translate into the intensification of urban commercial power utilisation. The presented analysis and methodology also yield broader implications: as mentioned above, coordination failures can be frequently observed in a variety of infrastructures. Traffic management and mobility logistics, including road and railroad infrastructures, as well as drinking water provision and sewage infrastructure are relevant issues. This infrastructure is often strongly linked to energy utilisation and thereby carries potentials for climate change mitigation. However, the reliable provision and utilisation of the infrastructure is also crucial for adaptation strategies. The decentralised investment in renewable energies requires an electricity infrastructure that can feed into small-scale electricity generation and similarly requires coordination to counterbalance supply and demand. The higher the population density and the number of users of the infrastructure, the more crucial are coordination efforts with regard to infrastructure provision and utilisation. As mentioned in the beginning of this text, the connections between rural and urban population are crucial in cases where the infrastructure or resource use expands to rural areas. This is especially the case for electricity infrastructure and groundwater use, where rural uses interact with urban uses. The specific case of electricity utilisation for irrigation can be found in many other semi-arid, water-scarce regions in the world, like the Middle East, North Africa or Mexico [Scott and Shah, 2004], where several urban agglomerations can be found that are surrounded by energy- and water-intensive agriculture. The analysis and the best practice model outlined above also show that incremental investments and gradual approaches, based on the current challenges faced by utilities, offer transition paths to improve the viability of both the utilities and their users. These approaches may be facilitated by governance changes and structural reforms of utilities, but do not necessarily require such changes from the outset. A sustainable transition can then, rather be seen as the concerted effort to simultaneously solve coordination challenges on the ground and to create favourable conditions through changes in governance structures and appropriate policies on the government, urban planning, and administration levels.

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Sources Andhra Pradesh Electricity Regulatory Commission. (2001): Tariff Order: Review of Tariff Filings FY2001−02, 4/2001 C.F.R. (2001) Andhra Pradesh Electricity Regulatory Commission. (2005): Tariff Order 2005−06 Badiani, R./ Jessoe, K./ Plant, S. (2012): “Development and the Environment: The Implications of Agricultural Electricity Subsidies in India. 2012”. In: The Journal of Environment & Development, Nr. 21(2), pp. 244−62 Dossani, R./ Ranganathan, V. (2004): “Farmers’ Willingness to Pay for Power in India: Conceptual Issues, Survey Results and Implications for Pricing”. In: Energy Economics, Nr. 26(3), pp. 359−69 Drèze, J./ Sharma, N./ Palanpur. (1998): “Population, Society, Economy”. In: Economic Development in Palanpur over Five Decades, Oxford, New York: Clarendon Press, Oxford University Press Lanjouw, P./ Stern N. H. (eds.), pp. 28, 640 Dutton, W. H./ Schneider, V./ Vedel, T. (2012): “Ecologies of Games Shaping Large Technical Systems: Cases from Telecommunications to the Internet. 2012”. In:, Innovation Policy and Governance in High-Tech Industries The Complexity of Coordination Bauer J./ Lang, A. / Schneider, V. (eds.), p. 1 online resource, Berlin, Heidelberg Hanisch, M./ Kimmich, C./ Sagebiel, J./ Rommel. J.(2010): “Coping with Power Scarcity in an Emerging Megacity: a Consumers’ Perspective from Hyderabad. 2010”. In: International Journal of Global Energy Issues, Nr. 33(3−4), pp. 189−204 Harsanyi, J. C/ Selten, R. (1998): A General Theory of Equilibrium Selection in Games. 1988. Cambridge, Mass.: MIT Press. Janssen, M. A. (2007): “Coordination in Irrigation Systems: An Analysis of the Lansing-Kremer Model of Bali. 2007”. In: Agricultural Systems, Nr. 93(1−3), pp. 170−90 Kimmich, C. (2009): “The Political Economy of Governing Electricity Infrastructure and the Implications for a Transition Towards Sustainable Resource Use: A Case Study of Andhra Pradesh, India”. In: Paper presented at the conference: Megacities: Risk, Vulnerability and Sustainable Development, UFZ Leipzig, Germany, 7−9.9.2009 Kimmich, C. (2011a): “Concerted Action and the Transformer Dilemma: Overcoming Uncertainty in Electricity Provision for Irrigation in Andhra Pradesh, India”. In: Paper presented at the 13th International Conference of the International Association for the Study of the Commons, Hyderabad, 10. − 14.01.2011 Kimmich, C. (2011b): “Coordination Failure and Implicit Conflicts in Power Provision for Irrigation.” In: Paper presented at the European Meeting of the International Association for the Study of the Commons, University Plovdiv, Bulgaria, 14. − 17.09.2011 Kimmich, C. (2011c): “Incentives for energy efficient irrigation through appliance quality: Empirical evidence from Andhra Pradesh, India”. In: Paper presented at the 1st International Conclave on Climate Change, Centre for Climate Change, Engineering Staff College of India, Hyderabad, 12. – 14.10.2011 Kondepati, R. (2011): “Agricultural Groundwater Management in Andhra Pradesh, India: A Focus on Free Electricity Policy and its Reform. 2011”. In: International Journal of Water Resources Development, Nr. 27(2), pp. 375−86 Narayan, J. (1999): Energy Sector Reform and Governance. 1999. In: Paper presented at the India in the new millennium: energy, environment and development, Harvard University Reidhead, W.(2011): “Achieving Agricultural Pumpset Efficiency in Rural India. 2001”. In: Journal of International Development, Nr. 13(2), pp. 135−51 Repetto, Robert C. (1994): The Second India Revisited: Population, Poverty, and Environmental Stress over Two decades. 1994. Washington, DC, World Resources Institute Rosegrant, M. W./ Evenson, R. E. (1992): “Agricultural Productivity and Sources of Growth in South Asia.” In: American Journal of Agricultural Economics, Nr. 74(3), pp. 757−61 Sant, G./Dixit, S. (1996): “Agricultural Pumping Efficiency in India: the Role of Standards”. In: Energy for Sustainable Development, Nr. 3(1), pp. 29−37 Scott, C./Shah, T. (2004): “Groundwater Overdraft Reduction Through Agricultural Energy Policy: Insights from India and Mexico”. In: International Journal of Water Resources Development, Nr. 20, pp. 149−64 Sen, A. K. (1967): “Isolation, Assurance and the Social Rate of Discount”. In: The Quarterly Journal of Economics, Nr. 81(1), pp. 112−24 Shah, T. (2009): “Taming the Anarchy: Groundwater Governance in South Asia”. Washington, D.C., Colombo, Sri Lanka: Resources for the Future, International Water Management Institute Tongia, R. (2007): “The Political Economy of Indian Power Sector Reforms”. In: The Political Economy of Power Sector Reform: the Experiences of Five Major Developing Countries Victor, D. G./Heller, T.C. (eds.), p.18,,p.330. Cambridge; New York: Cambridge University Press

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3.3

Thomas Telsnig, Enver Doruk Özdemir, Ludger Eltrop

The Role of Concentrated Solar Power (CSP) Plants for South Africa’s Electricity Generation Introduction This article highlights the role of concentrated solar power (CSP) plants as a promising technology for sustainable energy provision and a possible solution for efficient greenhouse gas (GHG) mitigation. Furthermore, CSP offers megacities in sun-rich and arid regions of the world an alternative option to conventional power plants and reduces their fossil fuel dependency. In the presented study, CSP has been identified as a promising option for sustainable electricity generation and the reduction of GHG emissions for the municipal energy system of the mega­ city region of Gauteng in South Africa. This paper analyses the status of CSP in South Africa, particularly in view of the government’s current policy to implement higher levels of renewable electricity generation in the national electricity mix. Moreover, a methodology to calculate the electricity yield and the production costs of different CSP plant configurations is presented and is compared to those of other electricity generating technologies such as the renewable options: wind and solar PV, versus conventional technologies and the use of coal. Background and problem statement In South Africa, the share of 93% of coal-based electricity generation marks the electricity sector as a primary contributor to the country’s overall GHG emissions [ESKOM, 2011]. The mega­city region of Gauteng which has more than 10.45 million inhabitants, and a share of more than 40% of the countries industry sector, is the economic hub of South Africa. Thus, it is a principal consumer of electricity [Tomaschek et al., 2012] [Wehnert et al., 2011]. The need to reduce high emission levels and an increasing demand for electricity has forced the government to promote the implementation of renewable energy technologies. Under the newly implemented scheme, the Renewable Energy Independent Power Producer Procurement Programme (REIPPPP), independent power producers (IPP) were able to place bids for defined capacities for renewable power plants [DoE, 2012]. On this basis the implementation of CSP − among other renewable energy technology projects − is incentivised, resulting in new solar electricity generation capacities which can either be produced or purchased by the administrations or stakeholders institutions in the conglomeration of Gauteng. Aim of the study The competition for power plant capacity and the incentives defined by the government, force the project developers to calculate their plant costs accurately for price determination. Moreover, in the case of CSP, the planned plant configuration, particularly the storage

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size, has a significant impact on costs. Therefore, in the following sections we present a closer evaluation of CSP storage technologies and the calculation of levelised electricity generation costs (LEC) for CSP plants with varying storage size. Furthermore, we compare a location for a solar power plant in the region of Gauteng with a location for a power plant in Upington, in the Northern Cape, where the most favourable solar resource conditions in South Africa are found. The methodology presented can be transferred to any other region and megacity region in the world. For the application of this method only a value for the direct normal irradiance (DNI) is required. The implementation of CSP plants can also be adjusted to and calculated for a specific demand profile for electricity, e.g., of the megacity region or a given energy system.

Technology options to generate electricity from the sun Photovoltaics and concentrated solar power – CSP The generation of electricity from solar energy can be achieved with different technologies. In general, two broad groups of electricity generating technologies can be distinguished. The first group is photovoltaic power plants or photovoltaic rooftop appliances which utilise the photovoltaic effect. Through the photovoltaic effect, an electric current is created when a photon is absorbed in a semiconductor material. The semiconductor material is the main function unit of the photovoltaic technology, from which many units are aggregated in the so-called modules. Different types of cells are available, e.g., with mono- and polycrystalline silicon or thin amorphous silicon, and different types of thin-film solar cells based on copper indium gallium (di)selenide (CIGS or CIS) or cadmium telluride (CdTe). There are also PV cells based on organic molecules (organic PV). Photovoltaic cells can use direct and diffuse sunlight to generate electricity, which makes it possible to deploy this technology worldwide, including latitudes which are more prone to cloud cover and seasonal changes [Rindelhardt, 2001]. In contrast to photovoltaics, concentrated solar power (CSP) plants use direct sunlight. The direct normal irradiance (DNI) is focused via tracking collectors to a receiver that heats up a thermal fluid which can be used to feed a conventional steam cycle or to store the energy in a thermal storage assembly. In the solar collector field, the incoming sunlight is concentrated either onto a receiver tube (a line focusing system) e.g., in ‘parabolic trough’ and ‘linear Fresnel’ systems or onto a central receiver (a point focusing system) in so-called ‘solar tower’ and ‘solar dish’ systems. Until today, parabolic trough and solar tower plants especially, have reached commercial scale, as realised CSP projects. The Andasol parabolic trough power plants and the Gemasolar solar tower, have demonstrated this [Solarpaces, 2013]. Fresnel systems and solar dish systems still remain in a prototype development phase with no major technology impact or relevant installed capacity as yet [Telsnig et al., 2012]. A fundamental difference between CSP plants and photovoltaic systems is CSP’s capacity to store collected energy in on-site thermal storage which provides the option to generate electricity at times of lower irradiance as well as during the night. An important advantage of CSP plants with storage is, thus, the potential for ‘dispatchability’, which enables the CSP plant to schedule electricity production along a given generation profile.

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Concentrated solar power and the REIPPP programme Large parts of South Africa are exposed to extremely high solar irradiance levels, which make it a promising location to deploy solar technologies. Particularly the desert regions of the Northern Cape Province have some of the highest direct normal irradiance levels on earth. Fluri [2009] calculated the potential for CSP in South Africa to an overall nominal power capacity of 547.6 GWel, with a major share (510.3 GWel) located in the Northern Cape. This potential would exceed the installed electricity generation capacity of South Africa in 2008 of 43 GW [Platts, 2008] by 13 times. In this study, areas with irradiation levels higher than 7.0 kWh/m²/d were identified in locations with a maximum distance to existing transmission lines of 20 km, and a maximal slope incline of 1% [Fluri, 2009]. Despite these excellent conditions, solar technologies for electricity generation are rarely implemented in South Africa today. The REIPPP programme is designed to change this. The principal existing solar technology are solar water heaters (SWH), which are implemented in the residential sector to offset the peak load from the electricity grid. A supporting scheme for SWH implementation exists with financial incentives through the national energy utility ESKOM [ESKOM, 2012]. To foster the implementation of renewables in the South African energy system, the government planned a renewable energy feed-in-tariff system (REFIT) in 2009 and early 2011, to be run through the national energy regulator NERSA [NERSA, 2011]. Nevertheless, no power purchase agreements by potential plant developers were made. This development resulted in the introduction of a renewable energy bid (REBID) scheme in June 2011. Finally, in the so-called ‘Renewable Energy Independent Power Producer Procurement Programme’ (REIPPPP), power plant developers can compete for installing renewable power plant capacities and acquire power purchase agreements [DoE, 2011]. A fixed capacity is set in the purchase agreement for each technology. The structure and the involved organisations of the REIPPP are shown in Figure 1 •. ESKOM is obliged to buy the produced electricity for twenty years [Engineering News, 2012a]. The national energy regulator, NERSA, awards the generation licences and monitors the power purchase agreements. Under the REIPPPP scheme the renewable energy technologies should reach the target of 3,625 MW by 2016. Each technology is assigned with a tariff cap under which the project developers have to compete for the advertised capacities. The REIPPPP considers small hydro with ≤10 MWel, landfill gas, biogas, photovoltaics, onshore wind, and concentrated solar power. Fig. 1 Structure and process of power generation with renewable energies under the REIPPPP scheme [based on Standard Bank, 2011 and DoE, 2011]

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Tab. 2

Tendered and allocated technology capacities and the tariff caps in the REIPPP programme [DoE, 2012] Tendered capacities

Allocated capacities in the first bidding phase*

Allocated capacities in the second bidding phase*

Remaining capacities for future bidding phases

Tariff caps

[MW]

[MW]

[MW]

[MW]

[ZARcent/ kWh]

[€cent/ kWh]

Onshore wind

1,850

634

562.5

653.5

114**

11.3

Solar photovoltaic

1,450

631.5

417.1

401.4

276**

27.3

Concentrated solar power

200

150

50.0

-

269**

26.6

Small hydro (≤ 10MW)

75

-

14.3

60.7

80

7.9

Landfill gas

25

-

-

25.0

60

5.9

Biomass

12.5

-

-

12.5

107

10.6

Biogas

12.5

-

-

12.5

80

7.9

TOTAL

3,625.0

1,415.5

1,043.9

1,165.6

* the first bidding phase was from Aug. to Dec. 2011, the second bidding phase from Sept. 2011 to May 2012 ** Tariff prices fell during the second bidding phase (Wind: from 115 to 114 ZARcent/kWhel. PV: from 285 to 276 ZARcent/kWhel. CSP: from 285 to 269 ZARcent/kWhel.) [Engineering News, 2012]

Table 2 • shows the fixed overall capacities that should be procured for each technology, the allocations of the preferred bidders of the first (August 2011 – December 2011) and of the second bidding phase (September 2011 – May 2012), and the tariff caps [DoE, 2012]. An overall of 2,459.4 MWel has been allocated to preferred bidders in the first two phases. The major share has been assigned to onshore wind and photovoltaic installation projects, although the full available contingent was not employed in the first two bidding phases. Concentrated solar power projects, in contrast, have depleted the determined capacity after the two bidding phases. This is principally due to the fact that the overall capacity was set to a relatively low level compared to photovoltaics or wind power. Except small hydro power plants, no projects that utilise the other ecological technologies under this scheme have been awarded as preferred bidders. In total, after two bidding rounds, 15 onshore wind projects (1,197 MWel), 27 solar photovoltaic projects (1,049 MWel) and three concentrated solar power projects (200 MWel) have been selected [DoE, 2012]. This positive reaction from renewable energy developers and investors regarding the REIPPPP resulted in the continued attempt of the government to convert the REIPPPP into an on-going programme. It is planned that an additional 3,200 MW of renewable energy capacity will be allocated through this programme by 2020 [Engineering News, 2012b]. The increasing amount of fluctuating energy sources, like photovoltaics and wind power will result in an increased demand for dispatchable power. This will require renewable energy technologies, which can also cover the demand at times of lower solar irradiance and/or at low wind speeds. CSP plants with a high storage capacity are particularly well suited to close the gap created by fluctuating energy generation and increased electricity demand.

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The question of exactly how CSP plants might respond to this requirement and respectively act as a dispatchable power technology, is investigated in this study. The results are presented in the following chapters.

Dispatchable power from concentrated solar power (CSP) plants An important advantage of CSP plants is the capacity to store (thermal) energy. This is achieved in on-site storage facilities, e.g., as molten salt or concrete storage. This storage allows operation during the night and at periods of lower insolation. Available and future storage technologies for CSP For the most common CSP plant type, namely the parabolic trough, the storage comprises a two-tank indirect molten salt storage. The plant is charged through a heat exchanger by the synthetic heat transfer fluid from the solar field. Large-scale, solar tower concepts operate with steam accumulators (Ruth’s storage systems) if steam is used as heat transfer fluid or with molten salt as the primary heat transfer fluid and the energy storage medium. Especially when large storage systems are required, molten salt is preferred, as the fluid properties of steam above 100°C results in a higher steam pressure and thus higher costs for the steam vessel [Tamme, 2009]. The different storage systems for the CSP technologies are either ‘sensible heat’ (heat is stored by an increase of internal energy and a temperature differential) or latent heat (where heat is stored isothermally via phase changing). Innovative concepts for sensible heat storage include systems using liquids in a single-tank system or using solid materials (e.g., concrete, sand, ceramic, rocks), whereas latent heat storage systems apply various phase- changing materials like nitrate salt mixtures [Tamme, 2009]. Thermal storage – a means to provide predictable power with solar energy To evaluate the potential of CSP plants and storage systems to alleviate the pressure in the electricity market, the electricity generation costs of different configurations were calculated and compared with the existing generation processes. Based on a given collector field, the size of the storage is a crucial point in finding the minimal costs of a CSP plant. Two factors influencing plant operation were taken into account. The direct normal irradiance (DNI) at the envisaged plant location is the most crucial factor. Extended series of hourly data were available to consider this factor. Secondly, the electricity demand profile that needs to be satisfied has to be evaluated. With this input data, the electricity yield of a CSP plant was calculated by using a performance model, which supports the decision as to which part of the power plant is able to cover the demand. With the help of the performance model, the parameters of the different operation modes of a CSP plant are evaluated: · Co-firing and collector operation: if the heat supply from the collector is not able to meet the demand entirely, then additional heat is delivered by a fossil-fuelled boiler. · Collector operation and charging of the storage: if the heat supply from the collector exceeds the actual demand, then the surplus is fed into the storage.

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Tab. 3

Parameters of the CSP plant configurations investigated Configuration

Aperture area [m2]

Storage

Demand profile [capacity]

Location

Irradiation data Best year*

Irradiation data Worst year*

solar only

600,000

No

Flexible (50MW)

Pretoria Upington

1997 1981

1990 1974

limited storage

600,000

Yes

Constant (50MW)

Pretoria Upington

1997 1981

1990 1974

extended storage

1,200,000

Yes

Constant (50MW)

Pretoria Upington

1997 1981

1990 1974

* optimal and least optimal year of the available time series for Pretoria from 1957 to 1997 and Upington from 1964 to 1992 Tab. 4

Specific investment costs for the main components of a parabolic trough power plant in 2010 [see also Telsnig et al., 2012b] Solar field ZAR2010/m²

Power block

€2010/m

[m² aperture area] 2,785

287

2

ZAR2010/kW

Storage

€2010/kW

[kW capacity] 12,664

1306

ZAR2010/ kWhth

€2010/kWhth

[kWhth storage capacity] 552

57

· Collector operation and energy dumping: if the heat supply from the collector exceeds the demand, then the surplus has to be discarded due to a fully charged storage. · Collector operation and discharging of the storage: if the heat supply from the collector is not able to meet the demand entirely, then additional heat is delivered by the storage. · Discharging the storage: heat is delivered by the storage option · System off: no part of the CSP plant is able to meet the demand · Co-Firing: heat is delivered by a fossil-fuelled boiler Besides these main modes of operation, several mixed transition modes exist. Several performance models for calculating the electricity yield of a CSP plant have been developed [Stine and Geyer, 2001 and Wagner and Gilman, 2011]. The model used in this study [Telsnig et al. 2012b] is based on Stine and Geyer’s model and considers additional operational modes which arise by implementing a co-firing unit into the control logic. For all calculations a maximum co-firing cap is assumed at 12% of the daily electricity generation. Three different parabolic trough configurations were investigated: a system without storage, a system with ‘limited storage’ option and a system with an ‘extended storage’ option. Table 3 • gives the basic assumptions on the solar field area, electricity demand profile and irradiation data for the three investigated configurations. For both configurations with storage, a constant electricity demand profile has to be met by the CSP plant. Therefore, the plant is either turned on full load to meet the demand using the appropriate mode of operation, or it is turned off completely. The ‘solar only’ configuration has a collector field size of 600,000 m² and no additional storage. In contrast to the configurations with storage, it is assumed that the ‘solar only’ plant should meet the demand, but is also allowed to feed a surplus of energy to the steam cycle of the plant. If the amount of heat from the collector is not able to meet the demand, then co-firing will make up for the remaining difference.

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Fig. 5

System performance for a ‘solar only’ configuration for a typical South African winter day (left) and a typical South African summer day (right) in Upington, Northern Cape, RSA [authors]

Fig. 6

System performance for a ‘limited storage’ configuration for a typical South African winter day (left) and a typical South African summer day (right) in Upington, Northern Cape, RSA [authors]

Figure 5 • shows the different operation modes on a typical South African summer and winter day at the Upington site. Due to the surplus of energy during daytime, the nominal capacity of the steam cycle is set higher than the demand. For all states below the nominal capacity, a part load of the yield from the turbine was calculated. The ‘limited storage’ configuration has the same collector field size as the pure solar configuration, but includes storage capacity which supplies energy during times of lower irradiance and during the night. If the energy from the collector exceeds the demand, then the storage is charged. Figure 6 • shows the seasonal differences in irradiation. It can be observed that during a typical South African summer day (right), the collected heat exceeds the storage capacity resulting in excess energy, which cannot be used and, accordingly, has to be dumped. On the contrary, the energy from the collector can be utilised during the low

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Fig. 7

System performance for an ‘extended storage’ configuration for a typical South African winter day (left) and a typical South African summer day (right) in Upington, Northern Cape, RSA [authors]

irradiation winter months (left). This results in three storage hours per day during the winter and up to nine storage hours per day during the summer. To further increase the storage capacity, the ‘extended storage’ configuration was designed with a 1,2 Mio. m² solar field area to supply the same demand structure. This doubling in collector filed size results in an increased storage capability. Two effects can be observed from Figure 7 •: firstly, the ‘extended storage’ option is capable of supplying energy throughout almost the whole day with stored energy. Secondly, only a small amount of co-firing is necessary to close the supply gaps when the storage is empty. Moreover, during summer months with a low demand, more (excess) energy has to be discarded. A further increase in collector field area, and thus in storage capacity, would result in higher costs, which are not compensated for by higher energy output, as the amount of excess energy that has to be discarded would exceed the additional energy that could be stored. For both configurations, including storage, the nominal capacity of the steam cycle equals the required demand.

Levelised electricity costs and availability of solar power plants Based on the described method, the lowest generation costs for the ‘solar only’ configuration were between 124 and 156 ZARcent2010/kWhel (12.8 and 16.1 €cent2010/kWhel). The main reason for this advantageous result is the assumption that all of the collected energy is fed into the grid and that the maximum share of co-firing is utilised. The implementation of a storage unit in the ‘limited storage’ configuration leads to increased levelised costs of electricity between 145 and 174 ZARcent2010/kWhel (14.9 and 17.9 €cent2010/kWhel). This is due to the additional investment cost for the storage unit and the constant demand profile, which has to be satisfied. The further enlargement of the collector field and storage size in the ‘extended storage’ configuration shows different results.

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Whereas at the Pretoria location the configuration with 167 ZARcent2010/kWhel (17.2 €cent2010/ kWhel) levelised generation costs shows a cost reduction in comparison to the ‘limited storage’ option, the generation costs at Upington are relatively low with 153 ZARcent2010/kWhel (15.8 €cent2010/kWhel). The reason for this is the higher share of energy utilisation from the storage i.e., the fact that at the Pretoria site less of the excess energy has to be discarded during the year because of full storage capacity. To achieve higher availability of the power plant configurations, a further increase in collector field and storage size leads to a higher percentage of wasted excess energy. Compared to the values given for the technologies within the REIPPP programme [Table 2 •], the production costs for CSP remain at a relatively low level. This can be explained by two factors: first, the calculated levelised electricity costs do not include a profit margin, and second, the price cap defined in the REIPPPP must be seen as an upper limit that should stimulate the competition between project developers for the tendered technology. Because of South Africa’s large coal reserves, which are also exploited at very low cost levels, the South African electricity sector is dominated by large coal-fired power plants accounting for 93% of the overall electricity generation [ESKOM, 2008]. Figure 8 • shows the levelised electricity generation costs of the solar power plants at the two investigated sites in Upington and Pretoria in comparison to the costs of photovoltaic electricity, wind power, and the costs of current (2010) and future coal-based power generation. Production costs for conventional pulverised and supercritical coal power plants range from 24 ZARcent2010/ kWhel (2.5 €cent2010/kWhel) to 27 ZARcent2010/kWhel (2.8 €cent2010/kWhel) [Telsnig et al., 2012]. The implementation of new ‘integrated gasification combined cycle power plants’ (IGCC) including the option of carbon capture and storage (CCS) was found to result in electricity generation costs of 47 ZARcent2010/kWhel (4.8 €cent2010/kWhel) [Telsnig et al., 2012c]. Regarding renewable energy technologies, wind power plants can be seen as the most economic solution in terms of generation costs. Based on wind data sets by CSIR [2011] with 10 minutes time resolution, the generation costs at the low wind speed location of Calvinia with 6.7 m/s Fig. 8

Levelised electricity generation costs (2010) for different renewable and conventional energy technologies in South Africa [authors]

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Fig. 9

Relationship between levelised electricity generation costs and system availability of renewable and conventional electricity generation technologies (2010) [authors]

average wind speed (100 metres above ground) were at 135 ZARcent2010/kWhel (14.0 €cent2010/ kWhel)), those at the mid-wind speed site in Beaufort West with 7.5 m/s average wind speed at 75 ZARcent2010/kWhel (7.7 €cent2010/kWhel), and those at the high wind speed location Napier, with 9.3 m/s average wind speed, were at 63 ZARcent2010/kWhel (6.5 €cent2010/kWhel). For Pretoria and Upington, the generation costs of different photovoltaic (PV) installations were calculated, namely for a 50 MW north facing PV open space power plant, for a 100 kW PV installation on a flat roof of an industrial building, and for a 5 kW PV system on a sloping roof. The open area power plant installations were found to be the cheapest solution, with 158 ZARcent2010/kWhel (16.2 €cent2010/kWhel) for Upington and 177 ZARcent2010/kWhel (18.2 €cent2010/kWhel) for Pretoria. PV installations on industrial and residential buildings were found to be more expensive with generation costs between 213 ZARcent2010/kWhel (22 €20102010/kWhel) and 184 ZARcent2010/kWhel (19 €cent2010/kWhel). Compared with the investigated CSP plant configurations, the levelised electricity generation costs (2010) for open space PV installations were in the same order of magnitude. Beside the costs, the availability of the different technologies has a significant impact on the security of energy supply. Figure 9 • shows the relationship between the cost and the corresponding availability of each technology in one graph. It becomes clear that most renewable technologies have lower availabilities than the conventional fuel-based technologies, due to the fluctuating nature of radiation levels and wind speeds. Figure 9 • also shows the lower and the upper range of the levelised electricity costs for CSP systems, which result from taking the most favourable and the least favourable year of irradiation at the corresponding location. The implementation of CSP plants, including storage, consequently results in a higher availability, offering the opportunity to replace conventional coal-fired power plants through solar technologies with similar characteristics. The results also show that currently this replacement would result in levelised electricity costs which would be around five times higher than those of conventional coal-fired power plants in South Africa. Nevertheless, the increased need to meet South Africa’s ambitious GHG mitigation targets, and the technology’s cost reduction potential, make CSP an attractive option for sustainable electricity generation in South Africa, as well as for other countries with high solar irradiation and high energy cost levels.

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Conclusions and transfer potential for other energy systems and city regions Against the background of South Africa’s REIPPP programme and as a measure to promote renewable energy technologies, the presented article highlights the role and characteristics of different concentrated solar power plant (CSP) configurations. CSP with storage allows the storage of energy from the solar collector during the day and the shifting of this energy generation to times of lower irradiance or at night when there is still demand. This projectable electricity generation can be used to compensate the fluctuating electricity production of other renewable energy sources, like wind or photovoltaic energy, to ensure supply security through energy system services. Moreover, CSP plants have a significant cost reduction potential, which makes them a promising future alternative to conventional fossil-fuelled power plants. The presented approach and methodology of calculating the system performance and costs of different CSP plant configurations via a thorough performance assessment can be used at any other site and location, or at other megacity regions. Concentrated solar power plants are especially suited to work in the solar rich ‘sun belt’ of the world south and north of the 35 degree of latitude. To evaluate and qualify specific locations for its suitability as a CSP site, long term data sets of solar irradiance, preferably at hourly intervals, is an important prerequisite to estimate the effect of cloud cover and seasonal changes. Based on the needs of a fast growing megacity region or any other energy system, a suitable CSP plant configuration can certainly be identified. In this respect, it is important to investigate the demand profile to be covered, either as a system to supply electricity at peak hours or to supply base load power during the entire day. Depending on these conditions, the costs and efficiency of solar power plants will vary. Nevertheless, it can be stated that with the solar thermal concentrating solar power plant concept, a very flexible and powerful renewable technology is available. It shows a high potential to meet different demand profiles of different energy systems, including the energy demand of a megacity. The CSP technology especially shows strengths in the solar-rich countries of the world. As it also has fairly low energy generation costs with still further potential for cost reductions, it is a particularly suitable technology for the countries in the southern hemisphere, developing, and transition countries.

Sources CSIR (2011): Wind Atlas for South Africa Online Database. http://www.wasa.csir.co.za/ProjectListText.aspx?&Rnd=695705, 12.07.2011 DoE (Department of Energy South Africa) (2011): Request for qualification and proposals for new generation – Part A: General requirements, rules and provisions. http://www.ipprenewables.co.za/page/post/view/id/169#page/post/ view/id/213, 15.08.2012 DoE (Department of Energy South Africa) (2012): Renewable Energy IPP Procurement Programme – Window two Preferred Bidders’ announcement. http://www.energy.gov.za/, 6.12.2012 Engineering News (2012a): “DoE confirms new renewables bid schedule after window-one delays”. In: Engineering News, online 10 September 2012, 10.09.2012 Engineering News (2012b): “Strong support for SA’s renewables model as first deals are concluded”. In: Engineering News, online 5 November 2012, 05.11.2012 Eskom (2011): Partnering for a sustainable future, Integrated Report 2011. http://financialresults.co.za/2011/eskom_ ar2011/downloads/eskom-ar2011.pdf, 13.12.2012 ESKOM (2012): ESKOM solar water heater programme. http://www.eskomidm.co.za /residential/ residential-technologies/solar-water-heating-programme-overview, 27.11.2012

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Fluri, T.P. (2009): The potential of concentrating solar power in South Africa, Energy Policy 37 (2009) 5075-5080 IPCC (2012): Renewable energy sources and climate change mitigation. Special report of the Intergovernmental panel on climate change. eds. Edenhofer O./ Madruga, R.P./ Sokona, Y. Cambridge University Press, 2012 NERSA (2011): NERSA Consultation Paper Review of Renewable Energy Feed - In Tariffs. http://www.nersa.org.za/, 15.01.2012 Platts (2008): UDI World Electric Power Plants Database 2008, Washington Rindelhardt, U. (2001): Photovoltaische Stromversorgung. 1. Auflage 2001, Stuttgart,Leipzig, Wiesbaden Solarpaces (2013): Online International Project Database. http://www.solarpaces.org/News/Projects/projects.html, 22.01.2013 Standard Bank (2011): The IPPPP RFP − Debate: Renewable Energy in South Africa. http://green-cape.co.za/upload/ IRPStandardBankPresentationAugust2011.pdf, 15.08.2012. Stine, W./Geyer, M. (2001): Power from the Sun. http://www.powerfromthesun.net, 01.06.2011 Tamme, R. (2009): Thermal Energy Storage for Large Scale CSP Plants. http://cuens.soc.srcf.net/img/Academic_ Material/Tamme_Storage%20CSP.pdf, 10.12.2012 Telsnig, T./ Özdemir, E.D./ Tomaschek, J./ Eltrop, L. (2012): EnerKey Technology Handbook − A guide of technologies to mitigate greenhouse gases towards 2040 in South Africa. Stuttgart: Institute for Energy Economics and the Rational Use of Energy (IER), University of Stuttgart Telsnig T./ Eltrop L./ Winkler H./ Fahl U. (2012b): “Efficiency and costs of different concentrated solar power plant configurations for sites in Gauteng and the Northern Cape, South Africa.” In: Journal of Energy in Southern Africa, 2012, South Africa Telsnig T./Tomaschek J./Özdemir E.D./Bruchof D./Fahl U./Eltrop L./ (2012c): “Carbon capture and storage as a cost-efficient option for CO2 mitigation in South Africa”. Submitted to Energy Policy Tomaschek, J./ Haasz, T./Dobbins, A./ Fahl, U.(2012): Energy related greenhouse gas inventory and energy balance Gauteng: 2007−2009, October 2012. Stuttgart: Institute for Energy Economics and the Rational Use of Energy (IER), University of Stuttgart Wagner, M.J./ Gilman, P. (2011): Technical Manual for the SAM Physical Trough Model. Golden: NREL Wehnert T./ Knoll M./ Rupp J. (2011): “Socio-Economic Framework for 2010 set of EnerKey Energy Scenarios – Summary of Key Figures. IZT”. In: Institute for Future Studies and Technology Assessment, May 2011, Berlin

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3.4

Michael Porzig, Mike Speck, Frank Baur

Driven by the Sun: The Joined Biogas, Charcoal and Erosion Prevention Project – An Option for Addis Ababa, Ethiopia Introduction The BMBF funded emerging megacity program understands growing cities as “research labs” to investigate urban interactions and to derive appropriate solutions for sustainable grow as blueprint for other fast growing cities worldwide. The program’s main focus herby is the development of technological, social and economic sound energy efficient designs of such cities by addressing the key topics mobility, building/housing, waste and water management, agriculture, urban planning and energy supply/consumption. The following approach demonstrates the potentials of interlinking different topics such as urban agriculture, waste and (waste)water management as well as energy supply issues to generate additional benefits in favour of energy efficiency, economy and income generation. According to Assfa and Demissi, [2012], cooking on household level in Addis Ababa is based on traditional fuels like firewood and charcoal and “modern” mineral oil-based fuels like kerosene. Firewood, at about 50%, represents the highest share of primary energy consumption. The high demand on firewood for fuel and wood for the production of charcoal result in a high deforestation rate, leaving cleared areas exposed to erosion of fertile soils, landslides and is finally contributing to desertification. The direct consequences are crop failures and thus economic problems further increasing the poverty rate and the migration pressure on the cities. Due to the high share of renewable energies in the Ethiopian electricity mix, consisting of approximately 97% hydropower and only 3% of diesel, used in stand-by units, the consumption of electricity would be more advantageous regarding climate protection with a grid emission factor in Ethiopia of approximately 0.01 kg CO2/kWh (Worldbank, 2009), but is restricted in its reliability due to temporary, but common black-outs. As a reliable energy supply can be seen as one precondition for development, the BMBF Future Megacities Project IGNIS1 does not solely focussing on the implementation of sustainable waste-management systems, but rather, by applying a multi-dimensional approach it also considers secondary effects and potential synergies to other sectors (energy supply, wastewater management, etc.). The pilot projects, which are representing the main basis of the application-oriented project, are analysed and evaluated according to the following criteria: · Material flow analysis · Profitability · Socioeconomic effects

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· Environmental and climate relevant effects/impacts · Occupational safety and health · Technological efficiency In this context the biogas, charcoal, and erosion-prevention pilot projects will be described and illustrated, specifically regarding their interconnection and their improvement potential for Addis Ababa. The overall aim of regional material flow management (MFM), which can be seen as a basis for the combination of the projects analysed, is to activate, increase, and improve the utilisation of available regional resources within defined system boundaries to substitute and minimise the need for imported (often fossil-fuel) resources. As an example, Figure 1 • describes the changes that will occur by introducing the regional MFM concept into agricultural systems. Combining and utilising available regional resources like food wastes and organic by-products, the import of energy and nutrients/fertiliser can be minimised. In addition to the fact that the optimised system is contributes to climate protection, what else could be further increased by also exploiting the available regional potential of renewable energies? As all measures and activities are implemented on a regional level, there will be added-value in terms of income-generation, job creation, and capacity building accompanied by positive effects on the sustainable local development.

The IGNIS pilot projects That theoretical approach was exemplary and applied within IGNIS by combining the three pilot projects “biogas plant”, “charcoal production” and “Jatropha plantation”. The pilot projects described below were analysed and evaluated according to the above mentioned criteria, however this paper focuses on the profitability and the climate relevance (life cycle assessments) of the activities.

Fig. 1

MFM concept for integrated resource economy in agricultural systems [authors]

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Fig. 2

Biogas plant and canteen facility at the Addis Ababa University [Panse, 2012a]

Biogas plant at the Addis Ababa University One of the IGNIS pilot projects is the installation of a biogas plant at the Addis Ababa University campus operated by the Addis Ababa Institute of Technology – AAiT (UNI AA Canteen [Figure 2 •]). The central part of the biogas plant is a single-phase, horizontal wet digester with a volume of 15 m³. The digester is insulated and kept at a temperature between 37°C and 40°C (mesophil). The necessary heat required is provided by solar collectors. An electric heater is also installed as emergency heating system. The plant has been set up alongside to the student canteen, to convert kitchen-wastes into biogas. Kitchen-wastewater is also added to ensure the optimal dry matter content of approximately 13% within the digester [Panse, 2012a]. The generated biogas is stored on-site in a gas storage facility. By activating a switch inside the canteen’s kitchen, a gas blower starts and a magnetic valve opens so that the biogas is directly delivered to the cooking site. The daily input of the digester consists of around 200 kg fresh kitchen-waste plus 400 kg wastewater, leading to a daily biogas production of roughly 28.7 m³ corresponding with an energy content of 159 kWh per day and a methane content (CH4) of approximately 55%. Within the kitchen the biogas is used for cooking and for water heating (washing-up of the dishes). The digestate is applied as soil conditioner and fertiliser at the Jatropha plantation (compare pilot project on erosion prevention). In addition, the biogas facility represents a platform for the Addis Ababa University to undertake applied research and education on biogas production. Due to the high renewable energy content in the electricity mix, the replacement of charcoal and firewood in the canteen is the most appropriate utilisation option for the generated biogas. Charcoal production For cooking, the majority of Ethiopian households depend on fuels like wood and charcoal. Even in Addis Ababa, due to the further increasing population, the demand for charcoal is still mounting. This trend, coupled with the poor charcoal production process and the inefficient burning facilities, puts massive pressure on the already-scarce biomass resources around the city of Addis Ababa.

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Fig. 3

Production centre and beehive production [own picture]

Fig. 4

Former pyrolysis kiln (left) [IGNIS] and modified system by the University of Stuttgart (right) [Claus 2012]

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In this context IGNIS established a pilot project on improved charcoal production (pyrolysis) and on advanced charcoal-based fuels to improve the efficiency of the burning process [Figure 3 •]. For the charcoal project a cooperation with the non-governmental organisation ‘WISE – Women In Self Employment’ (www.wise.org.et) was established. The strategic objectives of WISE are to promote sustainable income generation and to create job opportunities for women. Beside other projects, currently a group of six women is working on the charcoal production project. Due to the inefficiency of the original pyrolysis process [Figure 4 •], the women collected charcoal residues and dust from the market and shops in order to recycle them to charcoal briquettes, so called “beehives”. Meanwhile, with the improved pyrolysis process introduced by IGNIS [Figure 4 •], the women have once started again to utilise wooden residues to produce charcoal. Pyrolysis is a thermo-chemical decomposition process with the absence of oxygen. Under high temperatures volatile components such as H2, CH4, CO plus charcoal, and ashes are produced. Within the IGNIS project the produced pyrolysis gases are burned to oxidise the volatile components and to minimise emissions and thus the environmental impact. The charcoal produced is ground and mixed with water and sand. The mixture is then filled into the beehive mould and pressed into its final shape (beehive). The dried beehives are sold for heating and cooking purposes together with suitable stoves. Jatropha erosion prevention and oil production As many hills in, and around, Addis Ababa are suffering from heavy erosion due to the overexploitation of wood, the Jatropha plant (Jatropha Curcas), which additionally offers a high oil-content, was therefore identified as a valuable link between energy production, greenhouse gas (GHG) mitigation, income generation and erosion-prevention. Jatropha plants absorb nitrogen; this means that nitrogen is accumulated, making the soil also fertile for other plants. Jatropha plants lose their leaves twice a year and as the leaves decompose, the soil is continuously enriched with organic matter. This contributes to the retention of water in the soil, preventing the soil from being washed away and, therefore helping to prevent erosion. Fig. 5

Example for oil extraction mill (left) [R.K. Henning, http://jatropha.org] and Jatropha seeds with shell (right) [IGNIS]

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Fig. 6

A typical erosion site in Addis Ababa (left) and planting of the first Jatropha plants (right) [IGNIS]

In addition, the extracted plant oil, as well as the residues from pressing and cultivating the plants themselves will be used to substitute unsustainably-gathered fuels like wood, charcoal, and kerosene and will thus also prevent further soil degradation and deforestation. The referring IGNIS pilot project was established in cooperation with the Addis Ababa Environmental Protection Authority at erosion and landslide-prone areas in Addis Ababa.

The MFM concept to interlink the IGNIS pilot projects The following chapter describes the results achieved by comparing the GHG emissions, described as ‘CO2-equivalent per annum’ and the costs of the initial system with the improved system that is implementing the described IGNIS pilot projects. In accordance with the holistic approach, indirect effects by the substitution of materials (e.g., Jatropha oil versus kerosene for cooking purposes, etc.) or avoidance (e.g., deforesting) are also considered. The initial system at the Uni AA canteen The initial system (baseline) at the Uni AA canteen [Figure 7 •] did not show any closed loops or any approach towards circular economy. As can be seen from Figure 7 •, the kitchen-waste, mostly consisting of food processing and food residues, was entirely disposed of at the municipal landfill site, about ten kilometres away from the canteen. The kitchen-wastewater was discharged into the sewage system respectively into a septic tank, which was poorly maintained and indicated a low technical standard. The required firewood was purchased at the local market (Mercato). According to Panse [2012b], the recent cooking technology consumed 37.8 Mg of firewood per year with a primary energy content of approximately 544,320 MJ2. The thermal-efficiency of the original cooking facility was calculated at circa 25%, resulting in a final-energy consumption of approximately 136,080 MJ/yr [Table 8 •]. Asfaw and Demissie (2012) state an average thermal-efficiency of common household stoves of about 16%. The purchase price for firewood of 354 ETB/m³ (16.1 €2012/m3) was derived from CSA (2011). The price for solid-waste disposal is stated in Piaaf (2011) at 30 ETB/m³ (1.36 €2012/m3)3. The costs for transport were calculated as the average distance between the university and the corresponding

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Fig. 7

Initial material flows regarding the Addis Ababa canteen [authors]

Tab. 8

Annual energy and mass balance of the initial system at the Uni AA canteen [Panse, 2012a] Energy demand

Demand satisfied by

136,080 MJ/yr (final-energy)

Firewood: 37.8 Mg/yr

Operation related outputs Kitchen-waste:

73 Mg/yr

Wastewater:

146 m3/yr

market and the disposal site. The unit price for transport costs was derived from the average diesel price of 13.26 ETB/l (0.61 €2012/l) (CSA, 2011) and the average fuel consumption of garbage trucks of 38 l/100 km [Yunzhi, 2010]. Hence, the waste transport costs are included in the waste fees, the transport costs are only applied for firewood transport only. Thus, it was assumed, that each lorry transports a maximum of 3 Mg per trip, with an average distance of twenty kilometres (there and back). Regarding the wastewater disposal costs the action plan of the Addis Ababa Waste Authority (AAWSA 2002) states costs of 0.65 ETB per m³ (0.03 €2012/m³). Regarding the greenhouse gas emission balance, the direct CO2-emissions of wood combustion of 1.47 kg CO2/kg firewood were calculated by using standard chemical reaction equations assuming water content of 20% and 50% of C-content in the dry-matter. The GHG emissions resulting from the transport of the 38 Mg/yr firewood and the 73 Mg/yr biowastes are based on specific emissions per ton-km based on EcoInvent, 2010 v2.2 database (Hischier et. al., 2010) and the application of a garbage truck with 21 Mg gross capacity for the solid waste transport and a truck of 3.5-5 Mg capacity for the firewood transport. The suitable GHG emission-factor for landfilling at Reppi landfill in Addis Ababa is stated as 771 kg CO2-eq/kg bio-wastes based on IPCC [2006] and has been applied on the bio-waste output as baseline value. The overall results of the GHG balance and the cost calculation are summarised in the Table 9 •.

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Tab. 9

Cost and GHG balance of the initial system at the Uni AA Canteen Cost units

Annual costs

Annual GHG emissions

Firewood

1,216 €/yr (density: 0.5 Mg/m )

Solid-waste disposal

134 €/yr (density: 0.6 Mg/m )

56,290 kg CO2-eq/yr

Wastewater discharge

4 €/yr

--

Transport

58 €/yr (diesel fuel costs only)

1,925 kg CO2-eq/yr

Summary

1,444 €/yr

113,781 kg CO2-eq/yr

3 4

3

55,566 kg CO2-eq/yr

Fig. 10 The IGNIS MFM approach applied at the UNI AA canteen [authors]

The improved and interlinked IGNIS MFM system As already described, the concept of MFM interlinks material flows among different stakeholders to avoid imports by the activation and the utilisation locally-available resources. As indicated in Fig. 10 •, the improved system connects the material flows among the three pilot projects. The kitchen-wastewater and wastes are used to produce biogas, which is used in the kitchen for cooking purposes and thus is substituting firewood. The digestate, residue from the biogas process, is applied as fertiliser and can partially irrigate the Jatropha site. In addition to the biogas, the Jatropha oil is used in the kitchen of the canteen for cooking purposes. As by-products of the Jatropha plantation, the press cake from the oil extraction is added to the biogas plant to increase the biogas-yield. Wood residues are processed within the IGNIS charcoal project to substitute unsustainably derived wood which causes deforestation. In Table 11 • the energy demand is altered to the amount needed by using a typical cooker with an efficiency of 48% [Panse, 2012a]. The amount of outputs has not changed, because the processes within the canteen have not been modified. The concept includes the complete substitution of firewood by biogas and Jatropha oil (in total 136,080 MJ/yr). In order to calculate the biogas generation, the specific methane generation-rate was assumed with 0.07 m³ CH4/kg fresh kitchen-waste. The additional input of Jatropha press cake is stated at 0.3 m³ CH4/kg fresh material due to the high oil content. For the wastewater, the methane

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Tab. 11 Annual energy and mass balance for the improved system at the UNI AA canteen Unit

Input

Biogas plants

Bio-wastes

73

Mg/yr

Biogas

249

GJ/yr

Wastewater

146

m /yr

Digestate

204

Mg/yr

Press cake

3.7

Mg/yr

Digestate

204

Mg/yr

Jatropha plantations

Output

3

Charcoal production

Seed shells

7

Mg/yr

Transport

All flows

218

Mg/yr

Jatropha oil

0.9

Mg/yr

Press cake

3.7

Mg/yr

Seed shells

7

Mg/yr

Charcoal

2.3

Mg/yr

Tab. 12 Comparing the costs of the initial and the improved energy supply system of the UNI AA canteen Units

Annual costs (€/yr)

Annual revenues (€/yr)

Firewood

- 1,216

Solid-waste disposal

- 134

Wastewater discharge

-4

Transport

- 58

Initial system 

- 1,444

6

Biogas plant

7,545

Jatropha plantation

472

Charcoal production

272 7

Transport

344

Improved system

8,633

Summary

8,633

Net result

7,189

-1,444

generation-rate of 0.004 m3 CH4/m3 was applied [Panse, 2012a]. The Jatropha seed has an oil content of roughly 34% and an average dry seed yield of 1.4 Mg/ha [FACT, 2011]. With the current extraction technology, 14% of the oil content of the Jatropha can be extracted [FACT, 2011]. After pressing, the oil is filtered and can then be sold as cooking or heating fuel. The shells of the Jatropha seeds are peeled and delivered to the IGNIS charcoal project for further processing. According to the applied average oil-yield of 300 kg/ha and year [FACT 2011] the necessary cultivation area was calculated with 3.1 ha. The costs for transport have been calculated in a similar way to p. 64–65. According to Panse [2012b], the annual costs of the biogas plant pilot project can be stated at 7,545 €/yr. As the material flows, and corresponding the costs, of the initial system have been substituted, this amount needs to be subtracted from the IGNIS MFM system costs. Therefore, the values are stated with a negative prefix in Table 12 •. The Jatropha and charcoal projects are mainly run by manpower5. The specific costs for the beehive briquettes are 0.0168 €/MJBeehives. For the Jatropha plantation, the production costs are highly dependent on the oil-yield, which lies somewhere between 100 and 700 kg/ha and year depending on irrigation level, soil condition, and application of fertiliser [FACT, 2011].

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Tab. 13 Comparing GHG balance of the initial and the improved energy supply system of the UNI AA canteen Unit

GHG emissions (kg CO2-eq/yr)

GHG revenues (kg CO2-eq/yr)

Firewood

- 55,566

Solid-waste disposal

- 56,290

Wastewater discharge

n.n.

Transport

- 1,925

Initial system 8

- 113,781

Biogas plant

10,654

Jatropha plantation

- 454 9 - 12,798 10

Charcoal production

5.6

Transport

2,077

Improved system

12,737

- 13,336

Summary

12,737

- 127,116

Net result

- 84 11

- 114,380

As the costs are heavily depending on the per hectare yield, which is still unknown, for the calculation the market price for kerosene of 11.73 ETB/l (0.53 €2012/l) [CSA, 2011] was applied as reference value for the calculation. Within Table 12 • the results obtained from analysing the initial and improved energy supply system of the UNI AA Canteen are compared. Here, the costs of the initial system were applied negative, to demonstrate the avoidance effects resulting from the improvement measures. But, the net result of 7,189 € indicates higher annual costs of the IGNIS MFM system compared to the original system. As the improved system minimises wood consumption, significant benefits can be generated by preserving forest areas as CO2 sinks. The same benefits can be applied for the charcoal production, based on Jatropha seed shells and wooden residues, due to the avoided demand on primary wood. Additional benefits are possible by applying digestate as soil conditioner by substituting mineral fertiliser. Potential GHG revenues for changes of land-use (LUC) are stated with 4,125 CO2-eq/ha due to the conversion of erosion sites to arable land and the re-establishment of the natural function as CO2-sink [Fritsche and Wiegmann, 2008]. The avoided deforestation can be quantified with 0.012 kg CO2-eq/kg woodavoided [Hischier et. al., 2010]. The emissions for transporting the 218 Mg/a have once again been calculated with the same method described in p. 64–65. The GHG emissions for the biogas plant have been derived from Panse [2012b] and include as well emissions from the production and operation of the biogas plant. The emissions from the charcoal project have been taken as being comparable or even better, than to the traditional production process, and were therefore not considered. Thus, emissions at the IGNIS charcoal project are only occur from the electric grinder. The referring GHG emissions were calculated by applying the grid emission factor of 0.010 kg CO2-eq/ kWhel (Panse, 2012b) and the power consumption of 231 kWh/Mgcharcoal [Source: author’s calculation]. In summary, the IGNIS MFM system saves 114 Mg GHG per year, mostly by substitution of the energy supply within the initial system at the UNIA AA canteen [Table 13 •].

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Results and conclusion The consequent application of MFM at the IGNIS pilot projects is significantly reduces the GHG emissions [Table 13 •], but, it is also leading to higher costs [Tab. 12 •]. Therefore this system is not economically feasible under the current market conditions (low costs of disposal and for energy supply) and without changes of the economical system. For improvement of the system, and to reduce the costs, numerous approaches are available: · The fuel efficiency of cooking devices, stoves etc., is very low at 25% for firewood stoves and 48% for biogas stoves [Panse, 2012a]. An increasing of that efficiency would reduce the energy demand and consequently the consumption of fuels. · The currently very low disposal costs, caused by low-cost dumping, and the low-costs for fuels, also create contra-productive effects and do prevent innovation approaches.

Upscaling of the IGNIS MFM approach to Addis Ababa The biogas option In Addis Ababa currently, about 215,449 Mg bio-wastes12 are landfilled per year [Escalante, 2012]. In addition, according to experts of the Addis Ababa Environmental Protection Agency circa 25,000 hectares of erosion-prone sites might be suitable for the plantation of Jatropha plants. Considering these figures -and assuming that 50% of the bio-waste could be utilised in biogas plants as described in the IGNIS MFM system, and 50% of the potential erosion sites could be planted with Jatropha - the resulting GHG reduction potential, as well as the costs incurred. Here, the heating efficiency for firewood stoves is assumed to be 16% for the whole of Addis Ababa according to Asfaw and Demissie [2012]. All calculations were done in accordance to the methodology in p. 64–65. Utilising 50% of the bio-waste for biogas production and 50% of the available erosion-sites for Jatropha cultivation, the generated biogas and Jatropha oil equals 625 TJprimary-energy/yr and covers 2% of the total household primary-energy consumption in Addis Ababa of about 28,000 TJ/yr13. Regarding firewood consumption in Addis Ababa about 104,119 Mg wood (1,874 TJ/yr; about 4% of total annual firewood consumption) and in addition regarding charcoal production about 28,126 Mg wood input respectively 9,311 Mg charcoal (32% of total annual charcoal consumption in Addis Ababa) could be substituted per year by applying the improved MFM system. By up-scaling the system and by improving the combustion efficiency, the resulting CO2-avoidance costs of circa 63 €/Mg CO2-avoided (compare p. 67–68) could be reduced to 45 €/ Mg CO2-avoided. Within this scenario based on a theoretical approach about 1,673 biogas plants of the size of the IGNIS pilot project at Addis Ababa University need to be installed, for instance at condominium housing sites. Analysing the biogas based improvement options, it can be stated, that without additional revenues, as for instance derived from trading of CO2-certificats or appropriate disposal fees, it might be very difficult from the economical point of view, to shift the system towards a sustainable direction. Under the current conditions and without permanent subsidise, the biogas option must be stated as difficult to realise. But as the market prices for fuels and raw materials might increase over time (compare p. 64–65), the described alternatives might become feasible.

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The composting option As a further alternative towards integrated MFM, the bio-waste could also be utilised within composting plants, which were also part of the IGNIS pilot projects. Market studies, carried out during the IGNIS project, identified a willingness to pay for organic fertilisers/compost of about 5 ETB/kg (0.23 €2012/kg) [Laub, 2012], whereas the production of compost causes costs of about 0.06 €/kgfinal compost [AT-Association, 2013]. The intensified application of compost has a positive impact on the Ethiopian economy, as mineral fertiliser, which is entirely imported, will be substituted and further on the improvement of soil conditions. Therefore, within the adapted system, the biogas plants were replaced by composting plants and the ratio between compost and artificial fertiliser (Diammonium phosphate, DAP, as reference fertiliser) has been taken at 10:1 (10 kg of compost14 is rated equivalent of 1 kg DAP15 by considering the phosphorus content as a benchmark value). To satisfy the primary energy demand of 625 TJ/yr (compare p. 69), the biogas energy is replaced by firewood. The Jatropha press cake is also introduced into the composting plant. The costs and performance values for the composting process were derived from the IGNIS pilot project at Gerji, Addis Ababa. To maintain the fertility and thus the high-yield potential of the soil, the compost was partly applied at the erosion sites whilst the remainder is sold. For the GHG emissions of the composting plants, the values of Springer [2010] have been applied, considering open composting technology. Due to the lack of energy supply, 31,949 Mg/yr of firewood is still required to satisfy the end energy demand and to replace the biogas energy. For the firewood stoves an overall efficiency of 16% was assumed [Asfaw and Demissie, 2012]. With the applied composting technology the amount of 107,725 Mg/yr of bio-wastes could be processed to 51,160 Mg/yr final compost. To replace the former biogas digestate as fertiliser on the Jatropha plantation, about 22,565 Mg of the final compost have to be applied on-site. The remaining 28,595 Mg can be sold to local markets and can substitute around 2,860 Mg of DAP16 fertiliser per year. Comparing the biogas option leading to CO2-avoidance costs of circa 45 €/Mg CO2-avoided (compare p. 69) with the compost option, an annual net result of 3.5 Mio. € can be achieved, leading to specific CO2-avoidance benefits of 14 €/Mg CO2-avoided. But comparing the composting approach with the biogas scenario approximately 35,000 Mg CO2-eq could be less avoided per year.

Conclusion Based on the described IGNIS pilot projects and the up-scaling of their application to Addis Ababa, it could be demonstrated that the improved utilisation of bio-waste, either in biogas or in composting plants, combined with the production of residue-based charcoal and the reclamation of erosion areas with Jatropha, could comprise a massive GHG avoidance potential. As the compost-based optimisation option is already more cost-efficient than the initial system, it could have been already implemented, if the required understanding of interlinkages, willingness to invest and to take the risk, motivation (incentives, environmental policy, etc.) and capacity (skilled and trained staff, etc.) would be available. This would lead to higher regional added-value due to increased income for the stakeholders, who work along the value chain, or due to an increase of employees within that sector. The regional added-value in line

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with the substitution of imported fossil raw materials or fossil based products would contribute to a sustainable regional economy. But, to initiate the transformation of the initial system towards the interlinked MFM approach, various constraints need to be overcome (investment, lack of know-how/capacity, public opinion on waste based products, etc.) and additional supporting measures (marketing for compost, Jatropha oil, waste bases charcoal, more efficient stoves, sustainable policy, etc.) would be required. Regarding the GHG avoidance potential, the utilisation of regional available secondary resources like bio-wastes, wastewater, etc. to produce biogas instead of compost, would generate a greater annual GHG-emission reduction, but is not economical feasible under the current market conditions. The main constraints are the low energy prices and labour costs accompanied by the low grid emission factor for electricity in Ethiopia. Without market conditions, supporting the biogas option to become profitable in combination with the very low respectively lacking environmental protection standards, which allow low-cost dumping of wastes, there is no real incentive to improve the environmental performance of the system. Consequently, without considering incentives and improvement pressure from environmental policy and/or additional regular revenues, as for example from trading of CO2-certificates, it currently seems difficult to push the system towards to more sustainability. In consequence, trading of emission certificates, as applied within the Kyoto Clean Development Mechanism (CDM), might be seen as an option to overcome those constraints, but that approach would require a sufficient and reliable price level of the CO2-certificates, which can only be achieved, if the obligation to substitute GHG-emissions in industrialised countries around the globe becomes more compulsory and strict. Exemplary, for the biogas-based MFM approach, the certificate price must be circa 45 €/ Mg CO2 or higher to meet the economic feasibility under the current conditions (compare p. 69). Applying appropriate disposal costs of 20 €/Mgsolid wastes17 and a reasonable price rise of 20% for firewood, the economic feasibility would require certificate prices of 31 €/Mg CO2 and higher.

References AAWSA (2002): “Addis Ababa Water and Sewerage Authority − Wastewater Masterplan”. In: Volume 1, Executive Summary. Design Study Services Addis Ababa Sanitation Improvement Project. European Commission: European Development Fund, June 2002 Asfaw, A./ Demissie, Y. (2012): “Sustainable Household Energy for Addis Ababa, Ethiopia”. In: Consilience: the Journal of Sustainable Development. Volume 8, Issue 1, pp. 1−10, Addis Ababa, Ethiopia Claus, M. (2012): Production of bio-char from organic wastes by appropriate technology. Diploma Thesis, University of Stuttgart, Germany CSA (2011): “Report on annual average retail prices of goods and services”. In: Statistical Bulletin. July 2012. Central Statistic Agency of Ethiopia, Addis Ababa Escalante, N. (2012): IGNIS Deliverable on Workpackage 4.3. ISWA University of Stuttgart, Germany FACT (2011): The Jatropha Handbook: From plantation to application. The FACT Foundation, Eindhoven, Netherlands Fritsche, U./ Wiegmann K. (2008): “Treibhausgas- und Primärenergiebilanzen von Bioenergie-Konversionspfaden unter Berücksichtigung möglicher Landnutzungsänderungen“. In: WBGU-Expertise. July 2008 Hischier et. al. (2010): Ecoinvent database v2.2. Swiss Centre for Life Cycle Inventories. Dübendorf, Switzerland INEMAD (2011): Improved Nutrient and Energy Management through Anaerobic Digestion. FP 7 Call The research leading to these results has received funding from the European Union’s Seventh Framework Programme (FP7/20072013) under grant agreement n° 289712

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IPCC (2006): IPCC Guidelines for National Greenhouse Gas Inventories. Prepared by the National Greenhouse Gas Inventories Programme, 2006, eds. Eggleston H.S./ Buendia L./ Miwa K./ Ngara T. and Tanabe K. Institute for Global Environmental Strategies (IGES), Japan Laub, K. (2012): Market analysis and evaluation for bioorganic waste compost in the sector of sustainable waste management in Addis Ababa. Diploma Thesis, University of Applied Sciences Wheinstephan-Triesdorf, Germany Panse, K. (2012a): Biogasnutzungskonzept für eine Mensa in Addis Abeba, Äthiopien. Study Thesis, University of Applied Sciences, Zittau-Görlitz, Germany Panse, K. (2012b): Feasibility and Profitability Analysis of the IGNIS Biogas Plant in Addis Ababa. Master Thesis, University of Applied Sciences, Zittau-Görlitz, Germany Rashid, S. (2009): Fertilizer in Ethiopia: Policies, Achievements, and Constraints. Fertilizer Policy Symposium of the COMESA, Agricultural Market Program (AAMP), Livingstone, Zambia, 15.06.2009 Springer, C. (2010): “Energie- und CO2-Bilanz von Kompostierungsanlagen – Basis für einen Effizienzpass“. In: Manuskripte zur Abfallwirtschaft, Band 10, ed. Prof. Dr. Ing. habil. W. Bidlingsmaier, Bauhaus University Weimar, Germany Worldbank (2009): http://data.worldbank.org/indicator/EN.ATM.CO2E.PC/countries/ET-ZF-XM?display=graph Yunzhi, L. (2010): Assessment of the Greenhouse Gas Emission Baseline of Addis Ababa Waste Management System and Identification of Potential Optimization Measures. Master Thesis, University of Applied Sciences Trier, Germany Notes 1 IGNIS is a research and demonstration project of the German Federal Ministry of Education and Research (BMBF) under the research program “Research for the Sustainable Development of Megacities of Tomorrow - Energy- and Climate-Efficient Structures in Urban Growth Centres” of the Federal Republic of Germany (01.06.2008 - 31.05.2013) 2 Caloric value of ca. 4 kWh/kg 3 1 € = 22 ETB (Ethiopian Birr) 4 Assumed bulk density of 0,5 Mg per m3 firewood purchased on Addis Ababa markets 5 Jatropha: planting, irrigation, harvesting, transport, shell peeling, seed milling, oil filtering Charcoal: pyrolysis, grinding (electricity needed), pressing, drying 6 For values compare Tab. 8 • 7 Including - 702 €/yr annual revenue from charcoal sales 8 For values compare Tab. 8 • 9 Avoided deforestation 10 Land use change - LUC 11 Avoided deforestation 12 Transported and landfilled by public services 13 Calculated at a reference population of four million inhabitants and a primary-energy consumption of 7 MJ/capita*a (Asfaw and Demissie, 2012). 14 Bio-Compost: NPK ration of 0.7:0.4:0.7 per kg final product, assumed with 50% water content 15 DAP: NPK ratio of 18:46:0 per kg product 16 According to Rashid (2009) DAP and Urea are the main imported fertilisers in Ethiopia 17 Estimated costs factor for sustainable municipal solid waste management in Addis Ababa, currently under investigation by the IGNIS project

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3.5

Phungmayo Horam, Angela Jain, Christine Werthmann

Solar Powered Schools for Hyderabad, India – An Attempt for Decentralised Energy Production “...the sun occupies centre-stage in India’s climate strategy and the success in this endeavour will change the face of the country” Dr. Manmohan Singh, Prime Minister of India, 2008

Introduction The pilot project study presented in this paper was conducted in the city of Hyderabad in the southern Indian state of Andhra Pradesh. Three secondary schools, one of them a boarding school, participated in a solar project and installed photovoltaic (PV) systems on the schools’ rooftops. The study describes the overall process of project planning, implementation and lessons learned during the course of the project. Additionally, the study focuses on institutional factors that play a prominent role when implementing new technologies in the energy sector of an emerging megacity. The lessons learnt and conclusions drawn will be summarised and are intended to be a useful starting point for other researchers and practitioners that plan to engage in a similar endeavour. Background and problem statement The Solar Powered Schools Pilot Project is part of the Indo-German research project “Sustainable Hyderabad” which aims at studying and improving the sustainable development of the future megacity of Hyderabad, the capital of Andhra Pradesh in southern India. Hyderabad is the sixth largest metropolis in India, with nearly seven million inhabitants. The city is expected to grow to 10.5 million inhabitants by 2015, ranking it as the 21st largest city in the world [Spreitzhofer, 2006]. The rapid growth of Hyderabad has been fuelled by rural-urban migration and increasing economic growth. Similar to other emerging megacities, this process has led to a growth in commercial and indirect energy use, which is powered by conventional energy sources, leading to increasing per capita greenhouse gas emissions (GHGs). Under the current trends, the GHG emissions are forecast to increase to 10 million CO2 tons/year by 2020 [Guttikunda, 2008]. With the increasing energy demand, power shortages in the city have been steadily rising over the years. The power deficit in the state of Andhra Pradesh for the year 2011–12 has been estimated by the Central Electricity Authority of India to be 12.1% [CERC, 2012]. The growing power deficit over the years has led to increasing power cuts in the city and has adversely af-

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fected the learning conditions in schools, as important electrical devices like computers, fans and lighting which are necessary for an ideal learning environment cannot function during the hours when power is cut. Within this backdrop, the city of Hyderabad does have the potential to partly reduce its energy gap through solar energy, as the state of Andhra Pradesh is fortunate to have a high solar insolation of 5 to 5.5 kWh per day [NREL, 2011]. Aim of the study Given this potential, the study aims to illustrate the technical and financial feasibility of meeting the energy demand gap in schools through solar energy. In addition, solar energy systems installed in schools can have a number of other benefits that include utility bill savings, reductions in GHGs and other toxic air contaminants, job creation, environmental leadership and learning opportunities for students [NREL, 2012b]. The Solar Powered Schools Project has four distinct objectives in particular: · Bridging the gap between energy demand and supply in schools. · Evaluating the technical and financial feasibility of small-scale rooftop PV systems in urban areas and developing a sustainable business plan which can be transferred to other public or private buildings. · Contributing to the improvement of governmental structures and information for policy discourse to promote decentralised solar energy production. · Raising the awareness of environmentally-friendly energy production and consumption against the backdrop of climate change Scope of the study The study presented here describes the lessons learnt during all phases of the project and thereby hopes to contribute to further up-scaling and dissemination of similar kinds of projects in emerging megacities in India and other emerging megacities around the world. This paper also provides essential insights into the challenges of the adoption of small-scale solar technologies in urban centres, especially with regard to economic viability and institutional frameworks. The study demonstrates convincingly the importance of the support of institutions and governance for successfully implementing solar energy solutions. It gives an example of how the nexus ‘Energy and Sun’ can contribute to 1) the improvement of livelihoods (e.g., providing better learning conditions for school children) and 2) the various options for sustainable city growth (e.g., meeting the energy demand through renewable energy). The article is structured as follows: section two provides a brief description of the institutional environment governing solar energy sector in India in general, as well as of the potential of small-scale solar energy in particular. Based on this institutional environment the next section discusses the project planning and implementation process. Section four then describes the opportunities and challenges detected during the implementation of the project. The fifth section elaborates on the future prospect of small-scale solar in Hyderabad and the concluding section gives recommendations for the adoption of small-scale solar PV systems in India and other parts of the world.

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Institutional environment governing solar energy sector The role and relevance of the local institutional environment in the adoption and development of renewable energy has been illustrated by the experience gathered in a variety of countries [e.g., Michalena and Angeon 2009, Perez and Yannis 2009, Kulkarni 2010, Solangi et al., 2011]. Societal shift towards cleaner sources of energy and, in general, a shift towards pro environmental behaviour requires both external factors (institutional, economic, social, and cultural) as well as internal factors (motivation, knowledge, belief, attitude, awareness, norms, responsibilities, and locus of control) to be met [Steg and Vlek, 2008]. To facilitate such enabling institutional environment, the Indian government has been promoting solar energy under the Ministry of New and Renewable Energy since 1992. The institutional mandate, as well as the policies for the promotion of renewable energy in general and solar energy in particular, is given through the Indian Electricity Act, 2003. Under this Act, the National Electricity Policy, 2005 and the Tariff Policy, 2006 specifies specific policy instruments for promotion of solar energy [The Electricity Act 2003, National Electricity Policy 2005, Tariff Policy 2006]. Within this provision, a paradigm shift in India’s climate initiative finally arrived with the launch of the National Action Plan for Climate Change in 2008 (NAPCC). In this action plan, the development of solar energy became a fundamental issue in the national mission for the climate initiative. Under this plan, the Jawaharlal Nehru National Solar Mission (JNNSM), 2009, developed an ambitious national target of achieving 20 GW of solar energy by 2022. Under this national mission various funding schemes, for both grid connected and offgrid solar energy, have been introduced. However, the Feed-In-Tariff (FIT) support systems for on-grid solar energy have been confined to projects of MW scale and above [MNRE, 2008b]. This scheme went far beyond the scope of energy consumption in schools. The promotions of small-scale, on-grid solar through FITs were envisaged to be supported at state level through the tariff determination by the individual state’s electricity regulatory commissions. Unfortunately, however, due to various institutional constraints, FITs for small-scale solar energy, have not been implemented in most Indian states, including the state of Andhra Pradesh, to date. In absence of FIT for small-scale solar energy, other financial incentives for off-grid solar, have paved the way for the small-scale adoption of rooftop solar systems in India. Off-grid solar energy is promoted through various central schemes such as a subsidy of 30% of the total capital cost of the system, financial loans with interest rates lower than the market lending rate and other indirect subsidies [MNRE, 2010d]. Despite this existing central subsidy support, there are only few adopters for such decentralised rooftop solar systems, as social awareness of renewable energy technology in India is still low and most households cannot afford the high initial upfront investment costs associated with such systems. For adoption of such technology, consumers need to be aware of the technical and financial feasibility of such systems and their benefits over conventional supply systems [Faiers et al. 2007]. The pilot project study seeks to contribute to this awareness raising measures by demonstrating the feasibility of small-scale PV systems in the city of Hyderabad.

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Fig. 1

Analytical Framework for the “Solar Powered Schools” [own Figure, adopted from Hagedorn, 2002]

Fig. 2

Returnwith onand Investment with/without Feed-in-Tariff Return on Investment without Feed-in-Tariff (FIT) [own calculation]

(FIT)

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Project planning and implementation Achieving such objectives requires a project model which is financially viable and an organisational structure that is self-sustaining in the future. To this end, the following section describes the analytical framework of the project, which has been build on the basis of the existing local institutional environment, followed by the project planning and implementation process. Analytical framework used within the research project The analytical framework of the project is given in Figure 1 •. This framework is adopted from Hagedorn’s [2002] IoS framework and provides an institutional analysis for interaction between social and physical systems. It provides an interdependent cycle of transaction between the various stakeholders involved, the organisational structure and the institutional environment of the project. The central focus of the framework is the adoption of solar energy by schools. The results of such adoption are reflected in the bottom left and right of the framework. Bottom left indicate a reduction in CO2 emissions, which in turn contributes to climate change mitigation objectives at the regional, central and international level. Secondly, the bottom right indicates that the adoption of such technology can lead to greater social awareness, which in turn increases the demand for renewable energy in the long run and influences the formulation of climate friendly policies. This framework illustrates a functional network between project coordinating partners, schools and governmental agencies that ensures vivid information flow and a quick reaction to up-coming challenges. It provides a project financing model and the project coordinating partners which oversees the entire project planning and implementation process. Planning process Financial aspects The initial project strategy was to develop a financial model based on deriving revenue from an FIT. The project partners estimated that an FIT rate of 9.99 INR20101/kWh (0.17 €2010/kWh) enabled a payback period of ten years for a school with a 3 kW solar system as shown in Figure 2 •. Accordingly, a FIT petition was filed at the state electricity regulatory commission, APERC (Andhra Pradesh Electricity Regulatory Commission). The FIT petition was, however, declined and the financing model for the project was re-evaluated to consider other financing schemes, such as a central government subsidy. Ultimately, after several rounds of stakeholder workshops and project planning, a financial model for the project was developed as reflected in the project analytical framework. Under this model, 30% of the capital costs are financed through the central government subsidy and the remaining 70% are raised through the financial contribution from the schools and fund raising at school level, as well as through other contributions like corporate social responsibility (CSR) programs of the industry. Fund-raising at the schools was carried through various school fêtes and donations from parents and school alumni. The funds from CSR were raised through networks established through two workshops held in 2010 and 2011.

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Fig. 3

PV system installed at Sri Aurobindo International School [nexus]

Fig. 4

Implementation of a monitoring system with data logger and web portal [Granzör Engineering Pvt. Ltd.]

Technical aspects The crucial quality measure for the selection of system components is based on the Performance Ratio (PR) or fill-factor of a PV system. The PR describes the effectiveness of the whole system as a ratio between the maximum obtainable power and the actual open circuit voltage. A ratio of more than 70% was considered for the project. Test certificates about the quality and reliability of the products were obtained from government and an independent inspection authority. Finally, a PV module with a twenty-five year warrantee and 80% efficiency ratio in real-world conditions was chosen along with an inverter and a battery system efficiency of 85%.The components of the system consisted mainly of solar modules, inverter, charge controller, battery backup, data logger and other requirement such as cables and mounting structure.

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Fig. 5

Payback Period

Payback period for 3 kW solar photovoltaic systems [authors]

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Installation and monitoring The installation of the PV systems was executed by qualified installers or electricians. Teachers and pupils were involved in the process in order to get a better understanding of how a PV system works in practice. The PV system installed in the three schools differed with regard to their capacity as follows: · Sri Aurobindo International School: 3 kW [Figure 3 •] · Kallam Anji Reddy Vidyalaya: 5 kW · Meridian School, Madhapur: 2 kW Monitoring of the efficient operation of the system is done through a data logger combined with a display board and a web portal as illustrated in Figure 4 •. It facilitates easy monitoring of the output and performance of the system on a real-time basis and as well as for detection of potential failures.

Opportunities and challenges of small-scale PV installations The experiences in Hyderabad illustrate the financial feasibility of small-scale PV systems along with the typical challenges and opportunities that exist in an emerging market. Financial evaluation A financial evaluation of the project was carried out by calculating the project payback period in order to estimate the time required to recover the cost of investment. The payback period calculation is illustrated in Figure 5 •, for a 3 kW system, which has a life span of twenty-five

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years and total project cost of 571,200 INR2010 (9520 €2010). The total electricity generated annually is calculated at 4557 kW after taking into consideration six hours of sunshine per day and panel, inverter and battery system efficiency of 80%, 85% and 85% respectively. Given this output, the annual electricity sales revenue is estimated at 31,899 INR2010 (532 €2010) for the first year, based on per unit electricity price of 7.00 INR2010/kWh (0.12 €2010/kWh) and an annual electricity inflation of 2% per year thereafter. Based on the above cost and revenue data, the payback period for a 3 kW systems is estimated to be eleven years as indicated by the green line in Figure 5 • above. In addition, the payback period of fourteen years for projects without government subsidies is also illustrated to highlight the potential for growth under pure market conditions. The above financial assessment indicates a large potential for market growth despite the challenges of financing the high initial system cost. Following the same process, the payback period for a 2 kW systems at a total cost of 440,000 INR2010 (7333 €2010) is calculated to be twelve years with government subsidies and sixteen years without any subsidies. And for a 5 kW system at a total cost of 901,000 INR2010 (15017 €2010) the payback period is estimated to be ten years and fourteen years with and without government subsidies respectively. The financial evaluation for the three systems indicates greater investment returns as the system size increases and a higher market potential even without the benefit of government subsidies. Experience with ‘Energy Governance’ in Andhra Pradesh The Electricity Act 2003 empowered APERC for fixing an FIT to support the sectoral growth in the state of Andhra Pradesh. However the FIT petition filed by the project partners could not be granted as the regulators sited the inability of the consumers and the state utilities to bear the burden of high cost of solar power. This reflects the constraints within public authorities to bring policy changes due to low societal awareness and public support. As the FIT tariff route did not materialise, NREDCAP was approached for assisting in the subsidy application process and for other state financial and material support. NREDCAP applauded the initiative, but could not support the project due to lack of human resources within the organisation, as well as due to a lack of state funds. However, the prospect for future collaboration was discussed and agreed upon. Experience with solar industry Experience with the solar industry in Hyderabad illustrates the typical challenges that exist in a new market with inexperienced players. Despite a considerable number of new players in the market, few were forthcoming as most project developers were engaged with megawatt scale projects. Initially, two project developers were shortlisted for collaboration. However, the partnership could not proceed as both lacked experience in the new market and were not able to deliver the required project work task. Ultimately, experienced project developers from Delhi, Granzör Engineerings Pvt. Ltd., were selected to implement the project. The experiences gained with the solar industry in Hyderabad highlights the critical role public agencies can play in providing industry information about project developers and in regulating solar systems product standards for efficient project implementation.

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Fig. 6

Fundraising event at Sri Aurobindo International School [nexus]

Experience gained with the schools The experience gained with the schools in Hyderabad indicates a high willingness to shift to solar technologies due to two main reasons. Firstly, the fact that the increasing costs for power backup through diesel-based conventional technology are comparable with solar technology in the long run and the payback period on investment are attractive as indicated in Figure 5 •. Secondly, as the schools themselves have been proponents of sustainability, shifting to clean sources of energy, such as solar was an attractive choice.

Future prospects for solar schools Project upscaling The experience gained within this pilot project demonstrates viable opportunities for future up-scaling. Many other schools in Hyderabad have shown willingness to adopt solar energy. The project team firmly believes, that small-scale rooftop solar systems will be widely adopted if the technical and financial viability illustrated by the pilot project is further mobilised to raise social awareness and along with it, the government initiates systematic long-term policy instruments. The state regulator has started a solar Feed-in-Bank where developers can feed in their solar energy when not in use. This initiative is a way towards initiating a solar Feed-In-Tariff in the near future as is already the case in other states such as Gujarat. A solar FIT will facilitate systematic adoption of small-scale solar by the public. However, until such policy support is in place, the stakeholders’ network that has been established through

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the pilot project can be utilised for further networking and fund-raising for future project up-scaling. In addition, project up-scaling in the future can also link up with upcoming state initiated solar rooftop programmes for knowledge transfer and effective mobilisation. Social and educational dimension A crucial result of the project is the raising of awareness for renewable energy technologies and sustainable lifestyles against the background of climate change. The long-term monitoring and maintenance of the solar systems by the teachers and pupils would facilitate both theoretical and practical understanding of such new technology. The experience of the pilot project can be further spread through inter-school activities, workshops and collaborating with other complementing environmental projects to facilitate greater public awareness. Aside from this, the collected PV output data can be used by research institutes and industries for better informed decision making. Institutional dimension Experiences and success from the pilot project can be analysed for policy discourse to create an enabling policy environment for facilitating private adoption of rooftop solar energy. The presented pilot project has also highlighted the scope for public authorities to facilitate mass adoption of small-scale solar energy. This requires, however, a revaluation of the existing policy instruments and governance of the sector to incentivise greater public adoption. In addition, public agencies could establish a one-stop-agency which advises schools, house owners and other interested parties regarding the installation of solar energy systems. This agency could also function as an intermediary agency which facilitates interaction amongst potential adopters, project developers and financial institutions.

Conclusion and adoptability of small-scale PV in other cities The Solar Powered Schools pilot project has illustrated the technical and financial feasibility of small-scale rooftop solar systems in urban environment. Using pilot projects in combination with research created the opportunity to clearly define and understand the various challenges the schools faced during the course of implementation. The lessons learnt through this pilot project in regards to financing, coordinating and governing small-scale solar rooftop projects can be used for better informed policy making in Hyderabad and other emerging megacities in the world. The long-term growth of the sector will require mobilisation of such successful cases and systematic long-term government support. The current subsidies from the central government are not conducive for long-term growth of the sector, as the financial incentives are limited to an unknown number of projects with no certainty of the future incentive structure. Long-term growth of the sector will require a well organised incentive structure that takes into account the viability of the project as well as the financial burden to the public from the higher solar tariff. Future policy initiatives can utilise the project financial findings for estimation of long-term incentives structure. And as the costs of solar systems are decreasing over time due to technology innovation, the incentive structure can be reduced accordingly

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along with it at a later stage and adjusted to a reasonable level to ensure the maximisation of social welfare. Apart from the much needed long-term financial incentives, experience gained from the project also indicates a high level of transaction costs in the entire project implementation process due to the emerging nature of the industry and the lack of experience from market participants. There is a significant role and scope for public authorities to facilitate in this regard. Public agencies such as the State Nodal Agency for Renewable Energy Development, NREDCAP, can play a central role in raising public awareness and facilitating the interaction amongst potential adopters, project developers and financial institutes. This case study has shown that small-scale solar energy can contribute to clean energy production in cities. This is especially true in emerging megacities with increasing energy demand and energy deficit. To address this energy needs, decentralised renewable energy production from solar energy can play a crucial role in the sustainable development of such cities. This requires, however, certain propositions to be met. First of all, solar energy is only an option in countries and cities that have high enough levels of solar radiation so that an investment is financially sustainable. And secondly, the existence of social or cultural factors, like awareness for environmental concerns in the public and private sphere is needed to drive society engagement in the production of renewable energy. Both these propositions were met in the described case study here. Nevertheless, the study has also shown how important it is to consider the institutional framework. This will, however, differ from country to country, from federal state to federal state and even in each individual locality. These institutional factors need to be thoroughly analysed and taken into account for the successful implementation of renewable energy production projects.

References CERC (2012): Central Electricity Regulatory Commission: National Electricity Plan, Vol. 1. http://www.cercind.gov.in, 05.03. 2010 Fraiers, A./ Neame, C./ Cook, M. (2007): The adoption of domestic solar-power systems: Do consumers assess product attributes in a stepwise process: Energy Policy, 35, 6, pp. 3418–23 Hagedorn, K./ Arzt, K./ Peters, U. (2002): “Institutional arrangements for environmental co- operatives: a conceptual framework.” In: Environmental Co-operation and Institutional Change: Theories and Policies for European Agriculture., pp. 3–25, Cheltenham, UK Harriss-White, B./ Rohra, S./ Singh, N. (2010): “Political Architecture of India’s Technology System for Solar Energy” In: Economic & Political Weekly, 44(7), pp. 49–60. India Guttikunda, S.(2008): Co-Benefits Analysis of Air Pollution and GHG Emissions for Hyderabad, India. Integrated Environmental Strategies Program Washington DC, USA. http://www.cgrer.uiowa.edu/people/sguttiku/ue/reports/200710-IES-PMSA-Hyderabad.pdf, 8,02.2013 Jaswal, A.K. (2009): Sunshine duration climatology and trends in association with other climatic factors over India for 1970–2006. Mausam, 60, pp. 437–54 JNNSM (2009): Jawaharlal National Solar Mission: National Solar Plan- Govt. of India_Final Draft. http://www. indiaenvironmentportal.org.in/files/national-solar-plan.pdf, 23.01.2010 Kulkarni, A. (2011): Report on barriers for solar power development in India. South Asia Energy Unit, Sustainable Development Department, The World Bank. http://www.esmap.org/sites/esmap.org/files/The%20World%20Bank_ Barriers%20for%20Solar%20Power%20Development%20in%20India%20Report_FINAL.pdf, 20.01. 2011 Michalena, E./ Angeon, V. (2009): Local challenges in the promotion of renewable energy resources: The case of Crete: Energy policy, 37, 2018–2026 MNRE (2010d): Ministry of New and Renewable Energy: Guide lines for off-grid projects. http://www.mnre.gov.in/ adm-approvals/aa-jnnsm-2010-11.pdf, 20.01. 2011

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MNRE (2008b): Guidelines for generation based incentives (GBI) — grid inter-active solar power PV generation projects. http://www.mnre.gov.in, 21.10. 2012 NAPCC (2008): National Action Plan for Climate Change: National Action Plan for Climate Change, Prime Ministers Council on Climate Change. http://pmindia.gov.in/climate_change_english.pdf, 23.07. 2009 National Electricity Policy (2005): National Electricity Policy. The Gazette of India. http://www.powermin.nic.in/ whats_new/national_electricity_policy.htm, 23.01. 2010 Nexus (2010a): “Participative Energy Management – socio technical experiments for low emission lifestyles”. In: Sustainable Hyderabad, WP6, paper 1B, Status Report, 08/2010 NREL (2011): National Renewable Energy Lab: India Solar Resource. http://environmental design.files.wordpress. com/2011/01/dni_annual.jpg, 10.12.2011 NREL (2012b): National Renewable Energy Lab: Solar Schools Assessment and Implementation Project: Financing Options for Solar Installations on K–12 Schools http://www.nrel.gov/docs/fy12osti/51815.pdf, 11.10. 2012 Perez, Y./ Ramos-Real, F. J. (2009): The public promotion of renewable energies sources in the electricity industry from the Transaction Costs perspective. The Spanish case. In:Renewable and Sustainable Energy Reviews, 13, pp. 1058–66, 2009 Purohit, P./ Michaelowa, A. (2008): “CDM potential of solar water heating systems in India”. In: Solar Energy, 82, pp. 799–811, 2008 Singh, R. / Sood, Y.R. (2011): “Current status and analysis of renewable promotional policies in Indian restructured power sector – a review”. In: Renew Sustain Energy Review, 15, pp. 657–64, 2011 Solangi, K.H./ Islam, M.R./ Saidur, R./ Rahim, N.A./ Fayaz, H. (2011): “A review on global solar energy policy”. In: Renewable and Sustainable Energy Reviews, 15,4, pp. 2149–63, 2011 Spreitzhofer, G. (2006): Megacities: Zwischen (Sub)urbanisierung und Globalisierung. (Megacities: Between (sub-) urbanization and globalization): Friedrich Ebert Stiftung, Online Akademie 2006. http://library.fes.de/pdf-files/ akademie/online/50340.pdf, 20.05.2010 Steg, L./ Vlek, C. (2008): “Encouraging pro-environmental behaviour: An integrative review and research agenda”. In: Journal of Environmental Psychology, 29,3, pp. 309–17, 2008 Tariff policy (2006): TARIFF POLICY, The Gazette of India. http://www.powermin. nic.in/whats_new/pdf/Tariff_ Policy.pdf, 23.01. 2010 The Electricity Act (2003): THE ELECTRICITY ACT, 2003.http://powermin.nic.in/acts_notification/electricity_ act2003/pdf/The%20Electricity%20Act_2003.pdf, 2003, 23.01. 2010 Unabhängiges Institut für Umweltfragen e.V. (2011): Zwischenbericht Solar Support 1-3. http://www.ufu.de/de/solarsupport/solarsupport-fuer-schulen.html, 14.07 2011 Note 1 INR: Unit Indian Rupee at 2010 baseline; €2010 = 60 INR2010

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Solutions For Buildings And Settlements

Traditional urban fabric in Yazd, Iran [Wehage, P.]

4.1

Philipp Wehage, Elke Pahl-Weber

Energy and Space – Housing Design in Urban Context in the MENA Region Introduction Energy and sun as impact for spatial design in the MENA region This article presents a design-based research process for sustainable neighbourhoods in the MENA (Middle East/North Africa) Region that focuses on the case study of Hashtgerd New Town in Iran. Due to the fact that as much as 70% of the MENA region is classified as arid and semi-arid [Pahl-Weber et al., 2013] and the Islamic society represents a region-wide socio-cultural context; the geographic and socio-cultural site-specifics of the location represent a background for further dissemination of the project results through transfer and adaptation to other locations in the region. The intense solar radiation in the region and expected synergetic benefits from a holistic approach for urban and building design establishes the potential for locally-adapted, resource-efficient, and climate-sensitive spatial design for the emerging megacity regions in the Middle East. Background A significant proportion of energy consumption worldwide is related to the built environment. The use of renewable energy resources and the efficient application of energy through technological progress and innovative design offer a high impact on global energy demand. Iran is a fast-growing and developing society. In the past three decades alone, the population has doubled from about thirty-five million to seventy million inhabitants [Habibi et al., 2005]. This demographic development has been accompanied by a massive rural-urban migration. The Iranian New Towns Programme, set up in the nineteen-seventies, aimed to govern the urbanisation process by the foundation of new settlements in order to relieve existing metropolitan areas. About 40% of the national energy consumption is related to the building sector in Iran [Nasrollahi, 2011]. The most common energy sources in Iran are generated from fossil fuels. Due to the high rate of housing construction in the New Towns Programme, the implementation of resource-sensitive strategies on such a large-scale can have a high impact on energy demand and consumption of resources in the region. The area of the pilot case study is situated in Hashtgerd New Town approximately sixty-five kilometres northwest of Tehran. The programme, created out of an existing framework, provides a housing district with around 2,000 dwellings that includes social infrastruc-

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Fig. 1

The integrated planning and design process and district plan of pilot area Shahre Javan Community [PahlWeber, E.]

ture for roughly 8,000 inhabitants. The urban design process led to a specific urban layout [Pahl-Weber et al., 2012] including systems for water treatment, energy supply, mobility, as well

as the design for resource-efficient open spaces and built-up areas. Scope of the study This study focuses on the strategies and measures relating to spatial design for enhancing resource-efficiency in the pilot case study of the area, Shahre Javan Community. With regard to urbanism and architecture, the task from this context can be formulated as: the development of efficient urban structures using passive energy and the reduction of consumption of natural resources through the synergy of integrated processes [Figure 1 •]. The installation of sustainable approaches on an urban scale allows for intervention at an early phase in the project. Through the involvement of all relevant disciplines and actors in an integrated design approach from the beginning, further aspects on a smaller scale can be prepared and interests and conflicts from individual demands and requirements can be balanced into an optimal solution.

Design solutions for sustainable neighbourhoods Architecture and urban design, as integrating disciplines in the building and planning sectors, collects the technological, functional, and programmatic brief and requirements from all involved actors, and transforms them in a context-specific design solution to create spatial and functional units on building, neighbourhood, and city-scale. According to the fifteenth century Italian theorist, Leon Battista Alberti, architectural quality is defined by the fact, that: “Nothing should be subtracted, nothing could be added” [Neumeyer, 2002]. This definition shows the broad approach of architectural and urban

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design, integrating all components and elements to a complex unit, and gives illuminates the complex process of finding design solutions. Supposing that in a final design nothing could be subtracted and nothing could be added, then the solution could only apply to a specific task in a specific context. Therefore, the choice of strategies, measures, and elements for a design solution is bound to the specifics of the brief and the context. In this sense the tools and strategies for sustainable architecture and urban design, have to be developed out of the specific context. This leads to the definition of sustainable architecture as “contextualized architecture” as coined by McDonough and Braungart [McDonough et al., 2012]. Potential of architecture Architecture contains aspects of volumetric design, as well as structural, technological, and management aspects. This claim illustrates the close relationship between engineering and planning disciplines and the need for integrative solutions. Volumetric design allows for the optimisation of measures for enhancing the impact of passive energy and avoiding thermal loss. The optimisation of structural systems is a key factor for a contextually-adapted, economic design. Technological optimisation represents strategies for reducing energy consumption through the application and the use of innovative materials and systems. In other words: the grade of resource-efficiency is dependent on measures of static design, as well as on the operation of systems and qualified procedural management. The framework of architecture Besides an architectural approach, synergetic effects on an urban scale allow for further enhancement. Passive design measures, such as shading or the exposure of buildings to wind and sun, are in need of consideration in the urban context. The successful application of innovative energy systems, such as de-centralised energy-supply, is dependent on the urban layout. Through integrative planning with a continuity of scale from urban unit to the single building, the control and the assessment of synergetic potentials is guaranteed. Every measure and intervention applied in the urban context formulates the framework for detailed application on a building scale. In the case of contextualised design, the specific framework should be defined using a sustainable approach. Ecologic, economic, and socio-cultural aspects are in need of consideration. The aim of energy and resource-efficient design in the MENA region ought to be adapted to the local and regional conditions. Climate and site, as geographical context, formulate a physical framework whilst economic and socio-cultural aspects are linked to the society. The influence of these aspects leads to specific design forms and strategies. ‘Soft’ aspects, from social acceptance to economic feasibility, as well as ‘hard’, physical or topographical aspects have to be balanced in this framework in order to create a sustainable design. The energy relevant elements of spatial design The energy and resource-efficient value of architecture and urban design can be viewed on a multi-level approach. In order for the better identification of active and passive design measures, the following design levels of influence are seen to be most relevant:

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· The urban form, defined as three-dimensional arrangement of buildings and open spaces · The building envelope, defined as the closure of the building volume in its surroundings · The building plan with access, infrastructure, and support structure seen as a fixed approach for the interior organisation of the building volume The urban form influences the morphological design in architecture. Any strategies for passive energy have to be integrated into the given urban context. Passive solar impact for buildings is greatly influenced by urban determinants regarding orientation and urban density. The spatial demand for all technical and infrastructural needs has to be considered and arranged in the urban form. The gradation of building density and the design of open spaces influence the quality and quantity of natural resource cycles. The façade, the roof and ground slap, as thermal envelope of the building, define the boundary of the tempered interior to the exposed exterior. The structure and appearance of the façade is related to the construction and functional aspects, as well as to socio-cultural and site aspects. Through openings in the façade, the flow of light and air guarantees the functioning of the building. The design of surfaces and apertures affects the passive solar impact as well as the thermal loss. The energy quality is related to surface design and technical execution. The organisation of the floor plan balances the requirements of the users with the site context of the building volume. Spatial, functional, and technical demands have to be integrated into a well-designed floor layout. The functionality of the energy supply has to be considered through the suitable integration of spatial demand in the design of the floor plan. The potential for passive energy impact through orientation and the avoidance of energy loss through compactness ought to be considered in the spatial arrangement of the floor plan.

The design process This case study, Energy-Efficient-Homes, represents an urban and architectural design for sustainable housing in the pilot area, Shahre Javan Community in Hashtgerd New Town. As a specific design scheme presented in plans and drawings, it shows the spatial arrangement of an urban neighbourhood with a mixture of terraced and multi-storey housing units. The design is based in a typological catalogue developed in the context of the urban design concept for the pilot area integrating the parameters of a compact urban form. In acknowledgement of the site specifics, the modular spatial concept of the typology is transformed into an innovative, courtyard housing settlement, which respects the socio-cultural demand for high levels of privacy and uses the advantages of climate-adapted morphology. Methodology The development of the housing typology followed a holistic research method using a design process. Design approaches with general aspects (e.g., typology, use, and function) were contextualised (e.g., to urban and climate context) and vice versa. The design process as ‘interactive development’ produced solutions in various scales with different detailing. Results from every work phase had an impact on the definition of tasks for the following phase. As with most design processes, the development of the housing typology was characterised by the, more or less simultaneous, balancing of creativity and analysis [Figure 2 •].

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Fig. 2

The research by design process of pilot area, Shahre Javan Community [Pahl-Weber, E.]

Fig. 3 (left): Basic principle-passive solar impact [Wehage, P.] Fig. 4 (right): Upgrade-heat recovery [Wolpert, A.]

Layers for energy savings in architecture Research has defined the potential of energy savings in the building sector with a low-cost approach by up to 25% of the total savings potential [McIntosh, A., 2013]. This approach includes all measures based on architectural design, such as volumetric organisation and quality of execution. The remaining potential of about 75% are connected with the application of innovative and supplementary systems based on energy systems and design with extra costs, which need to be integrated into the design solution. Using this definition, a multi-layer approach was developed for the design of a sustainable housing scheme in the MENA region. The identification of the urban, architectural, and technical components and elements for sustainable building design lead to the definition of a basic principle and to possible improvements [Figure 3−4 •]. This categorisation helps to define different standards for application as well as a scientific basis for a planning process of sustainable housing in the region. The so-called ‘Basic Principle’ is the design strategy born out of a spatial approach without any additional technical demands. The strategy contains all planning and design measures to

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reduce energy demand out of spatial configuration, such as building orientation and compactness, adaption to the site and the cultural context. The Basic Principle can be seen as a low-cost approach and defines a basic standard for the Middle-East region. The ‘Upgrade’ level contains all measures for raising the standard of the Basic Principle. Supplementary technologies are integrated into the spatial approach. It starts with simple mechanical elements for light and energy guidance, such as solar-shutters, and continues with the use of soil temperature through earth tubes − and its combination with a heat exchanger concept − and leads to the application of higher technological materials, such as photovoltaic fabrics, to generate supplementary energy. The measures are characterised by a planning dimension as well as by technological and economical dimensions. The choice of implementing upgrading measures is dependant on the economic and technological context. The close relationship between technical supply and spatial arrangement asks for integration of the strategies and the measures in the design process from the beginning. The specific design of the building is the result of this process. Design approaches out of the basic principle The Basic Principle represents architectural design measures based on planning disciplines for volumetric design. Following the constraints from the urban design, the design of the building volume influences the demand on energy based on general physical principles. Concerning the building volume and arrangement, two core principles can be identified [Wehage et al., 2013b]: Maximisation of passive energy impact through south-orientated facades with a high proportion of openings − the exposure of building forms to the climate [Brunner et al., 2009]. This measure allows for a high level of solar incidence as passive energy impact. The floor plan should be organised according to this. Primary living zones should be situated on the south facades in order to reduce the high heating demand. This floor plan arrangement results in rather linear building forms, which need to be considered in the urban configuration. On one hand, the density of buildings is limited to the required distances for solar gain and building height, on the other hand, the linear orientation ought to be tested with the urban form. In most areas of the MENA region, the high solar impact can create a surplus of heat through solar radiation, particularly in summer. This fact must be considered in the planning of building forms and south-orientated façades. With regard to the façade design, shading devices ought to be provided to prevent over-heating in summer. Minimisation of energy loss through the optimised building volume − the protection of building volumes from the climate [Brunner et al., 2009]. The volume to surface ratio influences the compactness of building volumes. The thermal envelope (roofs, façades and ground slaps) as surface to the exterior is the most important element for the control of energy benefits and loss through heating or cooling. Because of the high demand for quality in the construction and detailing, the surface is a cost-intensive building component. By the optimisation of surface area through compactness, building costs can be reduced and a constant interior climate can be achieved for a deep volume. The floor plan organisation ought to consider the high ratio of interior spaces with low levels of natural lightning. One measure is to install an access and service zone in the inner areas of the volume (e.g., staircases and bathrooms) or, in deep volumes, to create courtyards or niches for supplying inner zones with sufficient light and ventilation. The supplementary surfaces, created by niches or courtyards however, decrease the compactness. In hot and dry climates, as in

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Fig. 5 (left): Private courtyard in case study [Wehage, P./ Wolpert, A.] Fig. 6 (right): Urban unit of case study [Wehage, P.]

most areas of the MENA region, this measure could help to reduce outside temperature of façades through shading. Both these strategies help to increase resource-efficiency in architectural design without any further need for technical or infrastructure investments. A mix of the strategies should be considered even though possible contradictions might occur (e.g., high ratio of façade surface for passive solar impact versus the optimisation of volume to surface ratio). Design measures from the basic principle In the context of the pilot area, the consequent north-south orientation of the building in urban form was combined with the compact, closed coverage to the eastern and western sides as a kind of contemporary courtyard house typology [Wehage et al., 2013a] [Figure 5−6 •]. The dense urban configuration with reduced street and path widths in urban areas produces shaded open spaces that avoid summer heat islands. Courtyards were incorporated into the volume of the two to three-storey buildings in order to create private and shaded open spaces with a good micro-climate. Supplementary south façades, orientated to the courtyards, increased the potential for passive sun impact during winter months by maintaining relatively compact building volumes with a surface to volume ratio of approximately 0,4−0,6, depending on the specific design and site position. Through this measure, the cost-intensive façade surface was reduced up to 30% compared to existing building typologies in Hashtgerd New Town. Regional experts estimated the building construction costs of the case study, including the high quality standard of the thermal envelope, to about 250-300 €2011 per square metre, which represents average costs for Tehran region [Gholizadeh, 2011]. Compared to the Iranian energy code standards (Code 19), the chosen ETICS (Exterior Insulation Composite System) construction reduces the U-value for exterior walls by up to 53% [Nytsch-Geusen et al., 2012]. In simulations the dense urban configuration and the self-shading of the building volumes showed a reduction of energy demand for cooling by up to 6% [Nytsch-Geusen et al., 2012] compared to un-shaded volumes. This value increases if the insulation quality of the building surfaces is lower than in the design presented.

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Design approaches out of upgrade The upgrading level represents measures based on the integration of efficient technologies in architectural design. Through the application of advanced technologies, efficiency can be enhanced on district and building level. These measures need to be considered and integrated in the energy supply system of the building and the neighbourhood. The combination of district and building scaled measures creates benefits for the community and the single customer. The suitable measures can be identified in two categories: the integration in the interior arrangement of the building design and the integration of additional design layers [Wehage et al., 2013b]. A strategy for reducing energy demand is characterised by the integration of technologies through the provision and the arrangement of built elements or spaces in the building design. An example of this is the heat recovery system. Advanced architectural design needs to consider air ventilation. Air exchange, with the help of thermal principles, is a regionally-rooted system in vernacular architecture. This is visible in the traditional courtyard houses and wind towers in hot, arid regions. Furthermore, with advanced technologies, great benefits in the reduction of energy demands are possible. A suitable system, with little technological effort, is the heat exchanger. In combination with a pre-tempered air supply, e.g., through an earth tube collector on a defined urban scale and the distribution in buildings through an air-channel, the heat exchanger recovers the heated air for the pre-tempering of fresh air from outside. The pre-tempering helps to reduce the energy demand from the cooling and heating supply. The second strategy is the integration of technologies as additive design layers. Shading devices help to regulate solar impact within the building. Especially in hot regions, shading through curtains or the covering of open areas benefits the microclimate. As an element from vernacular architecture, the covering of courtyards through mechanical or textile elements reduces direct solar impact and creates a tempered semi-open space. In advanced technologies, these elements can be combined with the effect of light guidance (e.g., for naturally-shaded spaces in winter) or energy benefits through high-tech fibres (e.g., photovoltaic fabric). Because of the advanced technological and quality standard, such elements and systems need to be considered with regard to the economic and technological standard in the region and for the specific project. Fig. 7

Schematic section − pre-tempering of outside air and its distribution in buildings [Wolpert, A.] centralized fresh air intake for several housing units

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Design measures out of upgrade Earth tube register and heat exchange A strategy of combined urban and building-scaled measures was implemented in the design of the case study [Wehage et al., 2013b]. Currently, the Iranian Cooling System works with evaporation chillers during summer months. For an apartment of 120 m2 with a room height of 2.8 metres one requires an air-exchange rate of 25 l/h to retain temperatures within the comfort zone. This system demands the use of 2.920 kWh and 63.5 m3 water per cooling season [Nytsch-Geusen et al., 2012]. Considering the high air exchange rate and the fact that the exhaust air still is far cooler centralized fresh air intake for several housing units than the supply/outside air, it is obvious that the temperature difference between exhaust 13,70air should be used to precondition 15,00 6,00 9,00 air and supply the supply air. Preconditioning with exhaust Extraction of exhaust air decentralized Exhaust air is possible in both summer and winter. In summer, warm/hot incoming air is cooled down with cooler, exhaust air and in winter when exhaust air is far warmer than supply air, it can be used to preheat outside air to reduce additional heating requirements. This preconditioning of supply air can be achieved by installing a heat exchanger. A heat exchanger functions on the precept that energy strives to be in balance, meaning that heat energy automatically moves to cooler materials. A heat exchanger simply transfers heat heat-exchanger (energy) from one material to another. The use of a heat exchanger allows the recovery of otherwise ‘lost’ energy from the exhaust air. The described heat exchange on building/apartment scale can be adopted on an urban scale. Here, the earth temperature atfresh anairapproximate Preheated or precooled depth of 1,5 – 4 metres is used to precondition the supply/outside air. APreconditioning central supply air intake for several housing units can be installed. The fresh air is blown of supply air though soil temperature over a length of minimum 52m through earth tubes that run in loops and allow the air to be either warmed up or cooled down by geothermal energy through direct contact with the earth. Blowing the air over the length

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Fig. 10 (left): Light shelves (Louvre) – summer position [Wolpert, A.] Fig. 11 (right): Light shelves (Louvre) – winter position [Wolpert, A.]

of fifty metres and at a depth of two metres, the supply air can be warmed up or cooled down by at as much as five degrees Celsius. This is a rather low estimation for the Hashtgerd region with its climatic conditions, as simulations could not be carried out within the scope of this project. However, the assumption is based on detailed studies for different regions and climatic data which show that the air-temperature can be lowered or raised by as much as ten or eleven degrees Celsius depending on the specific climate conditions [Blümel et al., 2001]. Combining several housing units allows a more economic installation of earth tubes [Figure 7 •]. For an urban unit, this could mean a division into four quarters [Figure 8 •]. While the supply air intake is centralised, the exhaust air could be decentralised and function with a heat exchange system as described above [Figure 9 •]. Light diverting devices Because of the intense solar radiation, a high potential of sunlight incidence for energy provision was identified as a suitable upgrade in the context of the pilot area [Wehage et al., 2013a]. In the design of the case study, light diverting devices affect the guidance of sunlight as a possible Upgrade [Figure 10−11 •]. It can be used as a protection against too much light exposure or to increase daylight incidence, for example in rooms with deep plans. In both cases, light diversion reduces energy consumption. On one hand, it reduces the cooling energy demand as it prevents overheating in summer and, on the other hand, the reduction of artificial lighting reduces energy consumption. The provision of daylight depends on various factors e.g., the degree of sun exposure, the angle of incidence, the overall plan layout, number/dimension of transparent openings, glazing type/factor of light transmission, and the position of openings. Light-diverting devices are available for internal and external use. External devices are more efficient. Daylight is transmitted into the room via external devices e.g., reflectors or prism plates, generally used for sunshading, but sometimes also used to divert light. The installation of mechanical light shelves in a vertical position above the courtyards enhances solar impact during the heating season in winter. Approximately 50% of the sunlight can be diverted into the north facing rooms of the courtyard. Thus, the rooms opening onto the courtyard, from north and south, are illuminated and preheated by the sun. The horizontal, summer position of the light shelves reduces the direct sunlight incidence in the courtyard and the south-facing rooms. As an alternative to large-scale rotatable shelves across the courtyard, a sunscreen made of photovoltaic fabric can cover the courtyard in summer. The shading prevents the inner courtyard and adjacent rooms from overheating and produces energy simultaneously. During the evening, this energy can be used to partially illuminate the same spaces. During winter months, the fabric is pushed aside allowing the sun to heat and illuminate the inner courtyard and the adjacent rooms.

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Fig. 12 The integrated approach: scales – dimensions – process [Pahl-Weber, E.]

Conclusion The contextualisation of architectural design is a key factor for the success of an integrated approach for sustainable architecture and urban design. General approaches of energy-related aspects of spatial design are in need of adaptation to specific site conditions, resources, and socio-cultural contexts. The continuity of scale from region, to neighbourhood, to individual buildings is a crucial factor for generating synergies and benefits out of integrated processes [Figure 12 •], such as the use of pre-tempered air through earth tube registers, heat exchanger technologies, or the use of reconditioned waste water for the irrigation of open spaces. Concerning architectural design in an urban context of the case study, all the measures described above − including the insulated thermal envelope and the energy supply system, − led to energy demand reductions in total of around 73% compared to the existing energy code of Iran [Nytsch-Geusen et al., 2012]. The design shows an adapted solution for housing developments in the Tehran region. The identification of natural resources for passive energy use in the region − such as the use of solar radiation, and the provision of different levels of economic and technological standards − formulate a general approach for a contextualised and adapted low-energy housing design typology in the MENA region. The basic principle of the design, based on an architectural design which uses natural resources, defines a low-cost standard achieved through integrated planning and can be adapted to most MENA countries as a first step towards low-energy housing. The supplementary integration of advanced technologies can be adapted to specific economic contexts, for example, in the wealthy gulf region. The development of the housing typology from the vernacular archetype of the courtyard house represents a suitable contemporary building form for the MENA region. The climaterelated advantages, in combination with the culturally-rooted demand for privacy of such housing; offer a high level of adaptation potential for the whole region.

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Fig. 13 The site of the case study pilot area in Hashtgerd New Town/Iran, looking north [Wehage, P.]

References Brunner, R./ Hönger, C./ Menti, U./ Wieser, C. (2009): Das Klima als Entwurfsfaktor. 2009, Luzern, Blümel, E./ Fink, C./ Reise, C. (2001): Handbuch zur Planung und Ausführung von luftdurchströmten Erdreichwärmetauschern für Heiz- und Kühlanwendung. 2001, Gleisdorf, Gholizadeh, B. (2011): Cost Assessment of New Residential Housing in the 35 ha Pilot Project. 2011, Tehran McIntosh, A. (2013): “Assessing and certifying sustainability of buildings − Energy Certificates – do they reduce carbon dioxide?”. In: Sustainable Urban Environments in Europe – Evaluation Criteria and Practices. To be published in 2013 McDonough, W./ Braungart, M. (2012): “Grundlagen des Nachhaltigen Bauens“. In: Nachhaltige Wohnkonzepte, 2012, Munich Nasrollahi, F. (2011): “Energy Efficiency in Construction & Urban Development in Iran”. In: Young Cities Research Paper Series: Vol. 2. 2011, Berlin Neumeyer (2002): Acc. to: Berten, P.: “Architektur”. In: Planen-Bauen-Umwelt a handbook. 2010, Wiesbaden, Nytsch-Geusen, C./ Huber J.(2012): Pilotprojekt 35 ha, Simulationsbericht Team 2, Version 1.4. 2012, Berlin Pahl-Weber, E. (2012): Integrated Planning and Design for Sustainable Neighborhoods in the MENA-Region. 2012, El Gouna Pahl-Weber, E. et al. (2012): The Shahre Javan Community Detailed Plan – Planning for a Climate Responsive and Sustainable Iranian Urban Quarter. 2012, Berlin, Pahl-Weber, E. et al. (2013): Young Cities Research Paper Series, Vol. 5. To be published in 2013, Berlin Wehage, P./ Wolpert, A./ Pahl-Weber, E. (2013a): “Energy-Efficient-Homes”. In: Young Cities Research Paper Series, Vol. 4. To be published in 2013, Berlin Wehage, P./ Wolpert, A./ Pahl-Weber, E. (2013b) In: Young Cities Research Paper Series, Vol. 5. To be published in 2013, Berlin

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4.2

Simon Wössner, Johannes Schrade, Hans Erhorn

Assessment of the Energy Performance of Buildings – A Simplified Calculation Approach to Visualise Potentials and Benefits Introduction Energy is a key element for the sustainable growth of a nation. Emerging countries, especially, rely strongly on a secure energy supply. Managing the supply of energy in a growing environment can be handled by increasing the amount of available energy by building new power capacities or by using the available energy more efficiently. These two options cannot be successful on their own; they must go hand in hand. Addressing the supply sector would seem to be easier, as there are fewer actors involved, like the power utilities, for instance. Managing the demand for energy on the supply side only seems now quite handy. However, an increasing dependency on other countries goes together with the economic growth for energy-importing countries. In addition the amount of available power cannot be infinitely scaled up. The existing power stations can only produce a certain amount of energy, and building new power capacities is a long term process. Additionally, the power grid must be able to transport the power. Therefore, there is a need to limit the demand or, better said, to reduce the demand by increasing the efficiency of the energy used. Only in recent years (i.e. since 2007) South Africa has been forced to look at managing its electricity demand due to a sudden surge in electricity demand and reduced electric capacity. South Africa was resigned to rolling blackouts, intermittent power cuts at certain times and in certain areas, in order to reduce the electricity demand. At the same time, massive campaigns by the South African power utility looked at quick ways to reduce the electricity demand, such as through exchanging countrywide incandescent light bulbs with compact fluorescent lamps (CFLs). An incandescent light bulb uses only approximately 8% of its consumed energy for light. The rest is transferred into heat, which is usually not necessary most of the year in South Africa. This type of campaign went far in reducing the immediate electricity demand; however it is only part of the solution. Background and problem statement At first glance, it would appear that advanced technologies like heat pumps or insulation systems do not exist in South Africa, but these technologies are available on the South African market, and yet even if these technologies are known to some, they are rarely implemented, if at all. An all too common barrier to make use of those technologies is that their real energy savings potential and the economic boundary conditions are not known. It can be difficult for a building owner or manager to know which technologies would actually provide some

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benefits to their building without undertaking an elaborate calculation. However, knowing how much a technology can save is very important, but often not enough to take a decision to implement a more efficient technology. Additionally, this implies higher investment costs which, if taken together with the comparatively low energy prices, results in longer payback periods. With the continuously rising energy prices, it is expected that the need for innovative technologies will increase in the future. South Africa has developed the South African Energy Efficiency Strategy [DoE, 2012], which requires various demand sectors, including commercial, public and residential buildings to become at least 15% more energy efficient by 2015. This political objective taken together with the electricity supply situation in South Africa, are the drivers towards energy efficiency. Given the short time span to meet this objective, a fast-growing megacity region like Gauteng Province must act quickly to ensure that informed decisions can be taken by building owners and operators. However, often the information about advanced technologies exists, but there is a need for an approach to estimate the energy consumption reduction potential for a specific building and the economic benefits of a measure. Aim of the study The urgent need for a wider implementation of energy efficiency in the built environment gets obvious when looking at the CO2 emissions of this sector. As most of the technical systems in the buildings in South Africa are running on electricity, this sector is responsible for 23% of the CO2 emissions; which makes it the second biggest after industry with 40% [CIDB, 2009]. This work focuses on the energy use in the built environment and shows which framework conditions are required for a successful installation of innovative technologies.

Calculating the energy demand of buildings with the balancing approach A commonly used approach to calculate the energy demand of a building is to use a transient building simulation. This very accurate and precise approach is very valuable and often necessary. A major drawback is the fact that highly skilled personnel are required who are able to setup the calculation model, to collect all the required detailed input parameters and can read and interpret the results. The results are very sensitive to the accuracy and itemization of the input and the expertise of the tool user. Only a handful of specialists are able to produce reliable and, more importantly, comparable results. In Gauteng, there were approximately 100,000 dwelling units built annually between 2007 and 2010 [Schrade et al. 2013]. It is impossible to do a simulation calculation for every single house. Since the calculation is very specific for each building as it includes a detailed input of the building itself the technical systems and their interaction, the different user patterns and the different options to reduce the energy consumption cannot be determined easily. Therefore these approaches are usually only used when the decision on the design of the building and its technical systems are more or less made. So, the simulation is often too late in terms of decision making in the planning process. Nevertheless it can be especially for complex buildings, required to calculate the energy demand using a simulation approach.

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A different and worldwide established approach is the balancing approach which is a simplified way to calculate the energy demand of a building [ISO, 2008]. This approach is internationally approved and accepted and based on international standards such as ISO 13790. Gathering the required input data is far less demanding and time consuming than for a simulation and standard values are available for a lot of parameters. This cannot be as accurate as a detailed simulation but it is close enough to show potential of various technologies and it is much more robust against errors and imprecisions created by the user of the tool. In an early planning stage, decision can be made based on a well-grounded potential analysis. Even decision makers from government or financial institutions are interested in knowing the potential of certain technologies or building designs. Tools with a user friendly interface based on typical buildings and providing reliable and applicable calculation approaches are required in terms of a large scale implementation of advanced technologies in the built environment.

A systematic approach to simplified energy demand calculation Fig. 1

The EnerKey Adviser (see p. 108) is a software tool that offers an easy entry towards energy demand calculation and estimating potential of applying innovative technologies. This is only one piece of the puzzle towards a wider application and implementation of energy efficient buildings. Figure 1 • describes which elements are required for a functional approach towards the implementation of advanced technologies in the built environment. The legal situation builds the foundation of energy efficiency in the built environment The implementation of the legal aspects are made easier for users of the built environment through tools based on a simplified calculation methodology. Typical buildings help the users getting started to determine energy saving potential by applying innovative technologies either in the typical buildings or in a specific building. Although these tools shall be easy to use certain training is always required and necessary. Incentives provide the right kind of motivation to comply with policies. Awareness raising is the most important element as this will create the setting that will bring about real change in the way we think and ultimately act regarding the built environment. Overview of the required elements for a successful implementing of energy efficient buildings [authors]

Legal situation In 2011, South Africa published a regulation to introduce requirements for the energy usage in buildings. This is a major step towards the national goal to integrate more energy efficient buildings. This regulation, South African National Standard (SANS) 10400 XA “The applica-

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tion of the National Building Regulations - Part X: Environmental sustainability - Part XA: Energy usage in buildings” [SABS 2011], enforces people to comply with certain requirements such as that 50% of the annual water requirement shall be provided by means other than electrical resistance heating. This means that every new building needs to have a solar water heater, a heat pump or other non-electrical systems. The general energy usage in buildings is addressed in another requirement. There are three possibilities to satisfy the regulation: · The building has an orientation, shading, services and an envelope in accordance with South African National Standard (SANS) 10400 XA, · The building is subject of a rational design of a competent person, which demonstrates that the energy usage is equivalent to or better than which would have been achieved by compliance with the requirements of SANS 10400 XA, or · The building has a theoretical energy usage performance, determined using thermal calculation software, less than or equal to that of a reference building in accordance to SANS 10400 XA. The regulation applies to all new buildings and compliance has to be testified when plans are submitted for approval. The compliance with the regulation is checked by the building control officers. If this regulation is properly enforced, it will have a major contribution to the reduction of the greenhouse gas emissions although this is just the first step. The regulations shall be tightened over time in order to fully comply with the non-mandatory standard on energy efficiency in buildings SANS 204 [SABS 2011b]. The three approaches also illustrate that it is possible to comply with the regulation without an energy demand calculation or even a simulation, but it needs a computer based tool so that also a building control officer can check the compliance without looking up the standards each and every time. Kick start the calculation with typical buildings, constructions and systems Decision makers often do not know every detail about the planned building. Even in the planning process at an early stage where a lot of design decisions are made, not all relevant details are known that would be necessary to run an energy demand calculation. At this stage typical building descriptions can be helpful. Typical buildings describe, for instance, the representative geometrical properties of a freestanding single family house. It offers information on characteristic used constructions and building techniques and even provides information on common used systems. By selecting a typical building the basic parameters are set as default values and a calculation of the energy demand is possible. This can now be used as it is and the influences of various energy efficient technologies can be investigated either alone or in combinations together with other specific technologies. As the planning process goes on the default values can be changed. It is then possible to model the basic parameters of a specific house by changing the building envelope or changing the systems. As all parameters have been set to default values throughout the refinement, a calculation is always possible and the influences of changed parameters can be seen at any time. Figure 2 • shows a factsheet of a middle-class house (Schrade et al. 2013b), which is the representative building for free standing single family houses in the mid income sector. Besides typical energy demand values, the properties of the building envelope are described with area and physical attributes. The equipment list shows which white and brown goods are typically available in such a building.

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Fig. 2

Factsheet of a typical building exemplifying a freestanding house in Gauteng [authors] Middle-class house Household income: R6.400 – R25.600 per month Geometry

Building envelope: Middle-class house A [m²] U-Values [W/(m²K)] Household income: R-Values R6.400 –[m²K/W] R25.600

U-Values [W/(m²K)] R-Values [m²K/W]

Building material

Heated Volume [m³]

477

A / V [m²/m³]

0.94 A

Roof

145

Ceiling

Building m aterial

6.36

0.16

110

-

-

-

477 126

2.75

0.36

A / V [m²/m³]

0.94

Basement A

-

U-Value

R-Value

Wall 152 Windows

1.88 27

0.53

Roof

6.36

0.16

145

Total Ceiling

-

-Atotal=450

Floor

126

2.75

0.36

Basement

-

-

-

27

4.3

SHGC=0,51

Atotal=450

h=2.12

Wall

Total

Number of persons

Wall

Roof Number Household size

R-Value 0.53

Heated Volume [m³] Floor

Roof Windows Household size

U-Value 1.88

Average unit size [m²]

Building envelope: A [m²]

110

Wall 152 Einfügen von Bild IBP_Figure02_factsheet.jpg

per month Geom etry

Average unit size [m²]

of rooms

Number of persons

-

-

-

4.3

SHGC=0,51

h=2.12 Brickwork + Plaster Tiles/corrugated iron 4

Brickwork + Plaster

7

Tiles/corrugated iron 4

Equipment (household appliance): Number of rooms

7

Equipment (household appliance): Energy systems Geyser Energy systems

Brown goods Brown goods White goods White goods

Final energy

and Finaldem energy [kW h/m ²a]: demand [kWh/m²a]:

Geyser

DVD Player, homeTVtheatre system, DVD Player, home theater system, set, HiFi/music center

TV set, HiFi/music centre

Microwave, washing machine, electric stove, refrigerator

Microwave, washing machine, electric stove, refrigerator 6,1  

7,6   1,5   45,7  

79,5  

Hea.ng  

• • • • •

DHW   Heating DHWLigh.ng   Lighting Appliance Appliances s   Cooking   Cooking

Figure 2: Factsheet of a typical building exemplifying a freestanding house in Gauteng

 

Methodology – the balancing approach

6

The regulation SANS 10400 XA aims to achieve a certain standard in terms of energy usage of buildings. It also wants to give information about a comparable energy demand value. This value can be calculated either by a simulation or by a simplified methodology, such as the “heat balancing approach”. Each way has advantages and disadvantages. The simulation calculation requires detailed input parameters and skilled personnel. This together still does not guarantee a comparable setting of boundary conditions. The simplified approach uses more standardized parameters, but the results are not as accurate as the simulation. A deviation of less than 5% in the results can be expected and is commonly accepted internationally.

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Fig. 3

Principle calculations within the balancing approach for heating and cooling demand [Fraunhofer IBP, 2010]

Setting the goal to have comparable energy demand values in the balancing approach is even more acceptable and as it deals a lot with standardized parameters the number of input parameters is significantly lower than with the detailed simulation approach. The balancing method is also subject of the international standard ISO 13790 [ISO, 2009]. South Africa is a full member of the International Standardisation Organisation (ISO) and therefore ISO standards are applicable in the country. The balancing approach collects all heat sources (or gains) and heat sinks (or losses) of a room or zone and balances them on a monthly basis against each other considering heat storage effects of the building mass by introducing a usability factor of the sources [Figure 3 •]. The heat sources mainly include solar radiation and internal gains through people and appliances. The heat sinks are basically due to transmission through the building envelope, ventilation through infiltration, windows or a mechanical ventilation system. If the outside conditions are warmer than inside, transmission and ventilation can also be a heat source. Together with the required energy for lighting, appliances and hot water this adds up to the net energy use in the building. This is the energy that is required to operate the building as it was designed. This energy demand has to be provided by the technical systems. These systems have certain inefficiencies (losses) to generate, store or distribute that energy. By adding this amount of energy to the energy use, the delivered energy is given. The delivered energy is the amount of energy for which one is billed. Finally the primary energy takes also the upstream generation processes into account, like the generation of electricity in a power plant as well as the mining of the coal and the transport to the power station. Computer based tools The described process is eased through support by computer based tools. These tools usually offer more than just the calculation and the theoretical energy consumption. They offer

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support by providing the required parameters such as the U - Value by selecting a pre-defined construction or sometimes even start with typical buildings. It is crucial that the software engineer keeps its designed target group in mind. A decision support tool does not need to offer each and every parameter, as the focus is on the energy saving potential whereas simulation software wants to calculate the effects of all the parameters. The target groups usually have a different knowledge base. Many different tools are available and we describe in chapter 4 the EnerKey Adviser [EKA, 2012] as a good practise solution developed and employed for a developing country, although it could also be applied anywhere else in the world. Training The whole topic of energy efficiency in buildings is still relatively new in South Africa. Training is required on all levels, including architects, building owners, facility managers, politicians, local authorities and building control officers to mention a few. Building control officers ought to check compliance with the legal requirements. Architects need to know all options to fulfil the building standards. The options on energy efficiency in buildings are not only of a technical character, a lot of them are design issues employing passive solar design or north facing orientation. It helps to argue for those passive interventions if the benefits can be shown as numbers in terms of reduced energy consumption or maintenance cost savings. It is clear that there is already a great need for energy efficient buildings. When energy prices continue to increase, the need to reduce the maintenance costs for buildings also occurs for existing buildings. The energy balancing tools can be also used for existing buildings. The job creation potential for assessing the retrofitting possibilities of existing buildings with innovative measures is a great market. This also requires trained people. The assessment for a simple residential building does not require an engineer and it is sufficient to have a basic understanding of energy and some training regarding energy efficiency in buildings. A training course tailored for facility managers has been developed within the EnerKey project [Wössner et al. 2013]. Incentives Bringing advanced technologies into the building sector might be fairly easy for new buildings as this is already required for the plan approval process. The existing buildings, nevertheless, already show a great potential for a reduction of the energy consumption as they have been built without any regards to the energy consumption. As more and more new buildings are being built with better standards, it gets even more obvious how big that potential is. It is not possible to enforce energy efficient retrofits in the existing building sector unless it is a major refurbishment where, again, approval from a trained inspector would be required. As there is no legal enforcement possible, other drivers need to kick in. The owner can decide to reduce his energy bill by implementing energy efficient technologies like replacing an old geyser with a heat pump, but some building owners are not aware of options or the need for them until they are incentivised, like with a financial subsidy. It is conceivable that a bank gives either a subsidy or a loan with a low interest rate if certain targets regarding the energy consumption of a building are met. The German Development Bank, KfW, has a success story offering such loans if one proves that its building energy

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consumption is either 75%, 55% or 40% of the legally required energy consumption [KFW, 2013]. The national housing bank of India also gives loans at low interest rates for buildings

with an energy consumption that is 30% lower than a reference building [IBP, 2012]. Awareness It is crucial that awareness is present in the public opinion that energy efficiency and energy consumption is an important issue. The national strategy on energy efficiency [DoE, 2012] cannot be successful unless people see a need for it. This must be supported with awareness campaigns to show why it is so important to reduce the energy demand. A very interesting instrument to show the significance of energy consumption in the built environment is energy performance certificates (EPC). They show a kind of labelling for the energy performance of a building. This labelling is known from white or brown goods - where every fridge and TV lists information on the energy consumption. The fuel consumption is an important factor when one is buying a car, but hardly anyone knows about the energy consumption of buildings. It is also not common that the consumption of a building can be rated in terms of a rather high or fairly low consumption. The European Union expected that energy performance certificates will have a major impact by increasing the awareness of building owners and users of the energy performance of their buildings It will probably play a key role in activating the improvement of existing buildings, which is a major challenge in reducing building CO2 emissions. Throughout the EU it is the law that Energy Performance Certificates have to be made available when buildings are sold or rented, thereby giving building owners the incentive to ensure that the building doesn’t consume excessive amounts of energy as this would need to be reflected in the selling or rental price. In public buildings they have Fig. 4 The EnerKey Performance Certificate to be displayed in a clearly visible place. In for the Civic Centre of the City of Johannesburg, France, for example, 2 million certificates are South Africa [authors] issued every year. There is also a big potential for job creation. With the upcoming renewal of the European Directive on Energy Efficiency in Buildings [EU, 2012] the energy consumption of buildings must be stated even in advertisements for renting or selling houses. The need for energy performance certificates is also stated in the Gauteng Integrated Energy Strategy [DoE, 2010] and an assistance to create the EPC is incorporated in the EnerKey Advisor Tool. The EnerKey performance certificate, which was developed in the EnerKey project, is shown in Figure 4 •. The depicted EPC, which is the first certificate issued in whole Africa, was handed over in March 2010 to officials from the City of Johannesburg [BuildUp, 2010]. The Certificate was created with the EnerKey Adviser [EKA, 2012].

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Fig. 5

Start page of the EnerKey Adviser Tool [authors]

Fig. 6

Options for residential buildings in the EnerKey Adviser tool

The EnerKey adviser The EnerKey Adviser [EKA, 2012] is intended to support planners, housing societies, developers, builders and local political decision makers in the early planning stages of a building. Within the early planning phase most - and the most important - decisions are made, which will have the greatest impact on the energy need of a building. Given this situation, the aim was to provide tools that are easy to apply and that do not require too many details when entering building information data, but will produce a reliable potential assessment of different innovative technologies. It allows for a quick comparative evaluation of diverse options pertaining to building energy performance. The main advantage of the energy assessment tool is that the user interface is full of useful default values starting with the different types of buildings (single-family houses, multi-family houses, etc.), the pre-configured quality of the building envelope depending on the building and the income group and a choice of building service systems. In many cases the default values can be adapted by the user to the real situation (in case it is known), but it is not necessary to have a very detailed knowledge about each building before the start of the calculation. Of course the better the building is known, the more exact the result of the potential energy savings of the improvement measures will be. Figure 5 • shows the start page of the EnerKey Adviser. As it is shown in the picture the EnerKey Adviser provides tools for residential and non-residential buildings.

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Fig. 7

The project wizard allows choosing a typical building which is described then as default values. [authors]

The main parts, which are depicted in Figure 6 •, of the EnerKey Adviser tool are: · An easy to handle rating tool for the energy consumption of buildings. The user quickly gets an impression how a specific building performance compares to national benchmark consumptions. · The generation of EnerKey Performance Certificates · Information on case studies for energy efficient retrofit of buildings · A technical description of energy efficient technologies in the building sector, including the building envelope, hot water systems, lighting, etc. · A calculation tool for residential buildings. At the moment the only way to calculate energy demands for buildings in South Africa is to run a simulation of the building. As this simulation is quite time consuming and needs skilled knowledge, a calculation tool for the energy demand in residential buildings based on a balancing methodology according to EN 13790 is included. The calculation method was adjusted to South African conditions and includes the energy demand for heating, cooling, domestic hot water, lighting and equipment. · An inspection protocol to guide the energy assessment of a building. (The toolkit is available for free on the EnerKey Adviser website www.EnerKeyAdviser.info) The third component of the EnerKey Adviser is for the calculation of residential buildings and simple non-residential buildings. Figure 7 • show the wizard with predefined buildings allows a quick start for calculation the energy demand of a building. Depending on the selection of a typical building and the income group, further parameters such as the building geometry, the properties of the building envelope and the technical systems for heating, hot water demand and lighting are defined. The energy demand is calculated and automatically compared to a reference building according to the requirements of SANS 10400-XA [SABS, 2011]. The results are shown in the result section on the lower part of the screen as can be seen in Figure 8 •. The calculation tool for the energy demand is based on a balancing methodology according to ISO 13790 [ISO, 2009] and includes the energy demand for heating, cooling, domestic hot water, lighting and other appliances. The option for “Energy Efficient Measures” contains brief descriptions of various measures that can reduce the energy consumption of a building [Figure 9 •]. The user can browse through

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Fig. 8

The EnerKey Adviser always compares the result to the requirements of the national regulation on energy usage in buildings. [authors]

Fig. 9

The knowledge base for energy efficient technologies inside the EnerKey Adviser [authors]

brief descriptions of various energy efficient measures, including the building envelope, hot water systems, lighting, etc. The last option is an inspection protocol to guide an audit of a building. It helps gathering all data that is required for an energy assessment of this building.

Conclusion Energy efficiency in buildings is crucial, but it needs a functional approach that includes legal requirements, a practical methodology for assessing the energy, typical buildings, constructions and systems to make energy performance calculation accessible for all people, cost calculations, training courses, incentives and, last but not least, the most important piece: public awareness on energy efficiency.

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The EnerKey Adviser is an easy to use tool, which incorporates all of these elements and offers fast growing urban areas the opportunities to assess not only the energy demands of technologies in existing buildings, but also the ability to determine which building types and technologies show the greatest potential for incorporating innovative elements in the built environment.

Sources CIDB (Construction Industry Development Board) (2009): South African Report on Greenhouse Gas Emission Reduction, Potentials from Buildings, A Discussion Document DoE (Department of Energy South Africa) (2012): National Energy Efficiency Strategy of the Republic of South Africa Schrade, J./Wössner, S./Erhorn, H. (2013): Report on building register, typical buildings, supply side systems and typical urban areas ISO (International Organization for Standardization) (2008): Energy performance of buildings – Calculation of energy use for space heating and cooling (ISO 13790:2008) SABS (South African Bureau of Standards) (2011): SANS 10400 – XA, The application of the National Building Regulations Part X: Environmental sustainability Part XA: Energy usage in buildings SABS (2011b): SANS 204 Energy Efficiency in Buildings Schrade, J./Wössner, S./Erhorn, H. (2013b): Report on building register, typical buildings, supply side systems and typical urban areas – Factsheets for typical buildings EKA (EnerKey Adviser) (2012): http://www.EnerKeyAdviser.info (accessed 10.12.2012) Wössner, S./Buddenbäumer, A./Schade, C./Erhorn, H. (2013): Energy management for the public building stock – Training Handbook KFW (Kreditanstalt für Wiederaufbau) (2013): http://kfw.de/kfw/en/Domestic_Promotion/Our_offers/Housing.jsp (accessed 02.02.2013) IBP (Fraunhofer Institute for Building Physics IBP) (2012): http://www.ibp.fraunhofer.de/en/Press/Press_releases/ pm-05-10--energy-efficient-buildings-india.html (accessed 10.10.2012) EU (European Union) (2012): Energy Efficiency Directive. http://ec.europa.eu/energy/efficiency/eed/eed_en.htm (accessed 02.12.2012) DoE (2010): Gauteng Integrated Energy Strategy, Department of Energy BuildUp, 2010. http://www.buildup.eu/news/8813 (accessed 02.02.2013)

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4.3

Bernd Franke, Christian Hennecke, Xiaoyan Peng, Ming Liu, Cassandra Derreza-Greeven

Extra Low Energy Housing: Urumqi as a Model City for Central Asia Introduction Sustainable energy supply and consumption in the housing sector is a great challenge in the Chinese city of Urumqi, where cold winters, with an average temperature of -14.4°C in January, drive the demand for heating to a very high level of 5000 heating degree days for a base temperature of 20°C. The design standard requires 4,300 heating degree days for an indoor temperature of 18°C. The energy balance for Urumqi [Figure 2 •] indicates that 64 PJ of coal (equivalent to about 3.1 million tonnes of raw coal) were used in 2007 for the heating of buildings, of which about 30% are lost during conversion and distribution. Due to low stack heights, lack of adequate pollution control, and frequent inversions in the cold winter months, emissions from heat generation are a major cause of air pollution. The standard of living is higher in the city of Urumqi compared to the average of the Xinjiang region. The per capita residential end energy consumption of Urumqi in 2007 was 18 GJ, 9% of which was for electricity consumption (1.6 GJ = 450 kWh).

Development of key parameters for the economy of Xinjiang province Between 1990 and 2010, the population in the Chinese province of Xinjiang increased from fifteen million to twenty-two million, i.e., by 42%. Residential end energy consumption increased by 40% during that period [XJSY 2012], hence the energy consumption per capita remained stable. During the same time period, the inflation corrected GDP per capita increased Tab. 1

Development of key parameters for the economy of Xinjiang province Parameter

1990

2000

2010

Population (million)

15.3

18.5

21.8

78

204

544

GDP per capita (RMB2010/ a)

5,070

11,000

24,900

Energy consumption (PJ/a)

564

972

2,430

GDP (billion RMB2010/a)a) a)

Emissions of CO2 (million Mg/a)

52

87

214

Emissions of CO2 per capita (Mg/a)

3.2

4.7

9.8

End energy consumption in the residential sector per capita (GJ/a)

8.2

10.3

11.5

b)

a) Inflation corrected and expressed in the RMB value of the year 2000 b) Only energy-related (i.e. without N2O from agriculture and coal fires)

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Fig. 2

Energy flow diagram (PJ) for Urumqi for the year 2007 [City of Urumqi Construction Committee, 2010]

by a factor of 12 and the energy-related CO2 emissions from all sectors grew by a factor of 2.9. In 2010, the residential energy consumption per person in Xinjiang reached 11.5 GJ, while the average German consumed almost three times as much (31.6 GJ/capita [UBA 2012]). The average residential electricity consumption per person in Xinjiang in 2010 was 216 kWh per year, while the average German resident in the same year consumed about 8 times as much (1,720 kWh [UBA 2012]), and the average US citizen almost 20 times as much (4,216 kWh/a [EIA 2012]). The growth of the city as well as the demand for larger apartments with more appliances will increase the pressure on the energy supply system. This is why the RECAST Urumqi project in the Future Megacities Programme focused on realistic options to significantly reduce the energy consumption in the residential sector, for both existing buildings as well as for new buildings.

Energy prices in the residential sector In order to evaluate technical and policy options to improve the energy efficiency of buildings, it is essential to understand the pricing structure for residential energy sources. In Table 3 • the prices for electricity, natural gas, and district heat for residents in Urumqi, Germany, and the US in the years 2000 and 2010 are compared. After correction for inflation, the effective price in Urumqi decreased by 19% for electricity, 32% for natural gas and 23% for district heat, respectively. At the same time, prices for electricity in Germany increased by 52%, 31% for natural gas, and 43% for district heat, respectively. In the US, prices for electricity remained constant, however the cost of natural gas did increase by 16%. The proportion of residential energy prices for the average national income tells us how the average consumer perceives energy prices. Over the past decade, Urumqi residents have experienced a considerable ease of pressure on their wallets. The heating cost for the current per-capita living space of 27 m2, for instance, has decreased from 6.8% to 1.8% of the average

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Tab. 3

Energy prices for private consumers (including all applicable taxes and surcharges) Electricity Urumqi, RMB/kWh (RMB2000/kWh) a)

Germany, €/kWh (€2000/kWh)

2000

2005

2010

0.42 (0.42)

0.43 (0.37)

0.50 (0.34)

0.14 (0.14)

0.18 (0.17)

0.23 (0.21)

0.082 (0.082)

0.095 (0.082)

0.12 (0.082)

Urumqi, €2000/kWh

0.052

0.045

0.042

Germany, €2000/kWh

0.14

0.17

0.21

USA, €2000/kWh

0.06

0.06

0.06

0.13 (0.13)

0.13 (0.11)

0.14 (0.09)

Germany, €/kWh (€2000/kWh)

0.039 (0.039)

0.053 (0.050)

0.057 (0.051)

USA, $/kWh ($2000/kWh)

0.026 (0.026)

0.043 (0.038)

0.037 (0.029)

Urumqi, €2000/kWh

0.016

0.014

0.011

Germany, €2000/kWh

0.039

0.050

0.051

USA, €2000/kWh

0.020

0.030

0.024

0.15 (0.15)

0.17 (0.14)

0.17 (0.11)

USA, $/kWh ($2000/kWh)

Natural gas Urumqi, RMB/kWh (RMB2000/kWh)

District heat Urumqi,a) RMB/kWh (RMB2000/kWh) Germany, €/kWh (€2000/kWh)

0.046 (0.046)

0.059 (0.055)

0.073 (0.066)

Urumqi, €2000/kWh

0.018

0.018

0.014

Germany, €2000/kWh

0.046

0.055

0.066

a) Values expressed in brackets (e.g. RMB2000) are inflation adjusted using IMF data to express the value of the currency in year 2000. b) Most residents pay a flat fee per m² GFA (e.g. 22 RMB/m² in 2010). The price was calculated using the average heat end energy demand of 131 kWh/m²*a (measured in 2007). Tab. 4 Energy prices in per cent of the average national wage per year Electricity

Consumption or floor space per capita

2000

2005

2010

Urumqi

450 kWh/a (2007)

2.0%

1.2%

0.7%

Germany

1,720 kWh/a (2010)

0.9%

1.1%

1.3%

USA

4,216 kWh/a (2010)

1.1%

1.1%

1.1%

Urumqi

27 m² (2007)

6.2%

3.0%

1.5%

Germany

45 m² (2010)

0.7%

0.9%

1.1%

USA

60 m² (2009)

0.9%

1.1%

1.1%

Natural gasa)

District heata) Urumqi

27 m² (2007)

6.8%

3.5%

1.8%

Germany

45 m² (2010)

1.1%

1.4%

1.6%

a) For reasons of comparison, the end energy use was assumed to be 150 kWh/(m²*a).

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wage for district heat, falling even a little lower for natural gas. An average German [WA, 2013], on the other hand, has 45 m2 of living space and the average US citizen [EIA, 2013] has 60 m2, respectively. Heating costs in both countries have increased only slightly and are now approximately 1.1% of an average wage for natural gas. In Urumqi, the proportion of an average wage to pay for the per capita electricity consumption of 450 kWh of electricity decreased from 2.0% to 0.7%. Although the average German uses almost four times as much, 1.4% of an average wage is required to pay for it. An average US citizen who uses more than nine times the amount of electricity than an Urumqi resident pays the least, at only 1.1% of an average wage. The prices in Urumqi reflect a policy of the Chinese government to keep energy prices for residents at a low level. The decrease in energy prices (inflation corrected) in China is covered by an increase in subsidies. In 2012, 90% of coal-fired heating plants were replaced by natural gas boilers at an investment cost of 12 billion RMB (1.4 billion €); whilst the annual subsidies for natural gas are estimated to be approximately 1.5 billion RMB (180 million €). The residential customer pays only around one third of the costs; two-thirds are covered by government subsidies. It is therefore important to consider these subsidies as well as the external costs of energy when planning.

Lowering the energy demand of buildings in Urumqi The gross floor area of residential and office buildings was expected to double to about 210 million m2 by 2034 accounting for the increase in population and the demand for larger residences; the development in the last years suggests that this value will be reached much earlier. In order to address the air pollution problems and the need for a better heat supply, the City of Urumqi adopted an Integrated Heating and Building Energy Efficiency Master Plan in 2010. This included an investment plan to retrofit buildings to make them more energy-efficient, boost the efficiency of district heating, and impose higher energy efficiency targets on new buildings (City of Urumqi Construction Committee, 2010). The aim is to reduce annual CO2 emissions from heat generation from 11.2 million tonnes in 2007 to 7.7 million tonnes by the year 2034. Fig. 5

Projected heat energy demand and associated CO2 emissions for buildings in Urumqi [based on data from: City of Urumqi Construction Committee, 2010]

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Tab. 6

Area of residential and public buildings in Urumqi (GFA) in 2007 by date of construction and type (million m²), rounded. [City of Urumqi Construction Committee, 2010] Year of construction

Residential

Non-residential

Total

Pre-1980

1.7

1.1

2.8 (3%)

1981-1990

11

4.8

16 (14%)

1991-2000

30

12

42 (39%)

2001-2007

34

14

48 (44%)

Total

77

32

110 (100%)

The heat demand of buildings is a function of the building energy efficiency codes for construction or renovation. For buildings built before 1980, the end energy consumption was set to 279 kWh/m2*a, relative to gross floor area (GFA). For new residential buildings, the socalled ‘50% Energy Code’ (139 kWh/m2*a) came into effect in 2003. A further reduction to 98 kWh/m2*a was introduced in 2009 with the so-called ‘65% Energy Code’ (MoHURD, 2008). As of 2007, only 20% of the buildings were built or retrofitted in accordance with the 50% Energy Code. Based on data for 2007, the average net heat demand per m² of GFA is lower than the design value and is estimated to be 131 kWh/m2 (112 kWh/m2 for residential, 175 kWh/m2 for non-residential buildings). The average building stock in Urumqi consumes less heat than one would predict from design objectives which are based on pessimistic climate parameters. As a further factor, retrofits (e.g., new windows) by proprietors have not only increased comfort levels, but have resulted in a decrease in heat demand. In 2007, the end energy demand to heat Urumqi’s buildings was thus about 14 TWh per year. However, due to substantial network losses in district heating, the gross heat demand is about 18 TWh per year [Figure 3 •]. The current retrofit programme in Urumqi envisions that by 2015, a total of 16.2 million m2 of building area will be renovated to the 50% energy savings standard. If no further action is taken and the energy saving code for new buildings is not amended, heat demand will increase to 22.5 TWh per year by 2034. The Integrated Energy Master Plan [City of Urumqi Construction Committee, 2010] calls for an acceleration of the building retrofit programme to 28 million m2, which at a cost of 200 RMB/m2 (25 €/m2) amounts to a total of 5.6 billion RMB Fig. 7

Heat energy demand per m2 net heated area in Urumqi compared to the passive house standard of Germany [IFEU]

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(690 million €). Implementation of the programme, combined with increasingly strict energy efficiency standards for new buildings and reduction in distribution losses, would essentially result in keeping the total heat demand in 2034 at the level of the year 2007. This would be particularly remarkable as the building area is assumed to increase from 110 to 206 million m2 [Figure 5 •]. The master plan sets ambitious targets. Nevertheless, still more efficient measures could be implemented. Figure 7 • illustrates the heat demand of buildings in Urumqi compared to the Passive House Standard of Germany. Lighthouse projects are needed to demonstrate that an even higher reduction in the energy demand in existing and new buildings can actually be achieved at reasonable costs. The RECAST Urumqi project contributed to this with the following: · Development of background materials for optimised energy planning · Transforming an existing building into a zero-emission building in Urumqi · Creating the first passive house in Western China Development of background materials for optimised energy planning A 108-page design handbook Sustainable Elements for the Development for the Dryland Megacity Urumqi was developed, focusing on the design of low energy buildings adapted to cold winters and dry hot summers. The design combined elements of traditional atrium buildings that could be adapted to year-round use of heated indoor spaces. This was demonstrated with designs of prototypes of different building sizes, types and city regions (urban/suburban) in order to visualise how theoretical approaches (A/V ratio, passive cooling etc.) could be put into practice in a meaningful way; balancing ecological, economic, and social factors. An example, the Vertical City is shown in Figure 8 •. An analysis of the heating energy needs under the harsh climatic conditions in Urumqi was provided in a report by the Passive House Institute [2010] which concluded that the space heating demand could meet the Passive House Standard of 15 kWh/(m2*a) [Figure 9 •]. Fig. 8

Sustainable urban planning brochure for Urumqi (left); Prototype example showing compact surfaces, reasonable window size, internal atriums, and loggias (right) [Hennecke, Culturebridge Architects]

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Fig. 9

Space heating demand versus heating load for the climate of Urumqi (city and surroundings) compared to Germany – single dots each illustrate a simulation of a different building design option (Passive House Institute, 2010) (above); solar gains in winter and summer for Urumqi (city and surroundings) compared to Germany (below). [Passive House Institute]

Transforming an existing building into a zero emission building in Urumqi The refurbishment of the existing Nanshan Agricultural Training Centre with 769 m2 of net heated floor space, to create the first zero-emission building in Urumqi, was carried out by local partners (Construction Committee of Urumqi, University of Xinjiang, and the Xinjiang New Energy Institute) in cooperation with the German partners IFEU Heidelberg, Culturebridge Architects Grünstadt/Beijing, and the Passive House Institute Darmstadt. The existing double-storey building is located in the South Mountains about 50 km from Urumqi’s city centre. Built in 1995, the building had a gross floor area of 984 m2. Before transformation, a coal-fired boiler around 300 metres away supplied district heat. The building lacked adequate insulation and was draughty during winter months. The guest rooms lacked toilets and showers and had cast iron windows that were responsible for substantial heat loss. The low quality of the construction promised fair energy savings with standard refurbishment measures, but was not a suitable base for high standard refurbishment, like the Passive House Standard. The aim of this prototype project was to introduce various concepts for energy efficiency, with a focus on approved effective and simple high-quality measures that utilise passive solar gains, rather than expensive fault-prone ‘high-tech’ solutions. Thus, in 2010, the German partners (IFEU Heidelberg, Culturebridge Architects Grünstadt/Beijing, and the Passive House Institute Darmstadt) began to refurbish the existing building in cooperation with the local partners (Con-

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Fig. 10 Nanshan renovation project (left: before energy retrofit; right: after retrofit) [Franke, P., IFEU]

struction Committee of Urumqi, University of Xinjiang and the Xinjiang New Energy Institute). The steps to transformation were: (a) optimising the building design, (b) improving insulation of floor, walls, and windows, (c) installing floor heating and heat recovery systems, and (d) fitting a solar heating system with seasonal storage. The heat demand in the harsh winter climate is now entirely supplied by solar heating with an innovative seasonal storage; the entire demand of electricity is provided by a photovoltaic system. Given the limited availability of insulation material, a combination of 150 mm extruded polystyrene foam (XPS, a standard insulation material) with casement windows (double-glazed windows) was selected to achieve a low U-value, reducing the heat transfer coefficient for walls from 1.44 to 0.2 W/(m2*K). Water-based floor heating with solar water panels served as the primary heating device. High quality, airtight construction and an active ventilation system with heat recovery allowed for a constant comfortable interior temperature even in the extreme winters. The focus was on simple design features inspired by the passive house concept, on which the German partners based a detailed concept design. The local design partner at the Xinjiang University, Faculty of Architecture, Prof. Wang, produced the construction drawings. During this phase the German partner, Culturebridge Architects, reviewed the drawings and pointed out issues, challenges, and potential for improvement based on their individual experience and advice from the Passive House Institute. Heat demand calculations for the pre and post-renovation status were done by both the University of Xinjiang, as well as by the Passive House Institute, Darmstadt/Germany. These calculations are summarised in Table 11 •. All amounts indicated were converted to the net usable floor space. Tab. 11 Estimated specific heat demand of the usable net floor space of the Nanshan Training Centre [kWh/(m²*a)] Condition

119

Prof. Wang, University of Xinjiang/Urumqi

Passive House Institute, Darmstadt/Germany

Current status 2007, pre-retrofit

332

420

After renovation, no heat recovery

68

76

After renovation, with heat recovery

47

With additional casement windows

68

- plus better insulation (400 mm)

46

- plus heat recovery

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Tab. 12 Heat transfer coefficient various components of the Nanshan Training Centre (W/m²*K) Current status, pre-retrofit

Theoretical after renovation

Measured after renovation

Roof

1.2

0.15

0.16

External walls

1.5

0.2

0.35 0.85

Component

Doors and windows

3.26

1.5

Ground floor

0.5 (0.3)

0.15

Outside gate

4.7

2.5

The heat demand calculated from heat metering in January and February 2011 was 59 kWh/m2*a which corresponded well with the value predicted from PHPP modelling (64 kWh/ m2*a). After the successfully completed retrofit, an energy certificate for the renovated building was prepared which provides a transparent representation of the improvements. The project will serve as a role model for other projects in the area [Figure 13 •]. Starting in 2011, the heating energy demand was reduced by more than 85% and annual emissions of 88 tonnes of CO2 were avoided. In the annual average, surplus electricity provided by the PV system exceeds the building’s electricity demand. The joint collaboration with local partners in the prototype projects resulted in an improved understanding of the technical and the economic conditions in China. It was difficult to exploit the potential of insulation as high-quality windows (triple-glazed insulation windows, U-value Fig. 13 Energy certificate of the zero-emission Nanshan Training Centre after retrofit [IFEU]

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including frame 0.75). Solar collectors on the roof will provide hot water during summer; natural gas will be used for heating and hot water during winter. The Xingfubao project combines a sustainable building design that is attractive to clients despite higher construction costs. It will demonstrate that a market for energy efficient buildings can be created. IFEU prepared the initial passive house design together with Culturebridge Architects and the Darmstadt-based Passive House Institute. A detailed design is currently being developed by the Xinjiang Architectural Design Institute. Site work was started in May 2012 and completion is expected by late 2013. Construction costs are estimated to be around 34 million RMB (4.2 million €), the City of Urumqi is providing cash funding of 2.5 million RMB (300.000 €). Figure 14 • provides an overview of the architectural design. The energy balance was determined with the PHPP tool of the Passive House Institute, which is far more detailed than the conventional tool used by architects in China and allows accounting for external and internal heat gains [Figure 16 •].

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Fig. 14 Xingfubao, the concept for the first passive house in western China [Hennecke, Culturebridge Architects]

The fact that a major real estate developer (Dacheng Industry constructs more than 400,000 m2/a) is investing in an innovative building design indicates the economic potential for high quality and energy-efficient buildings. The project has triggered production for highly efficient building components in Urumqi and has resulted in negotiations with German companies for joint ventures. Training for construction staff started in late 2012 [Figure 17 •] to ensure high standards of construction, benefiting workers and companies alike. The project has to overcome various challenges: · A specific passive house standard for Urumqi does not yet exist. This required extensive communication. · Even though district heating is available and would be preferred, the inflexible fee system makes the use of natural gas more economical. · Highly efficient passive house windows are not routinely produced in China; negotiations with German companies for a joint venture are under way. · Heat recovery units with efficiency of >80% are not yet available in China and may have to be imported from Germany. · The project costs may exceed the sale price for the building units; the investor accepts this risk. · Training of engineers, foremen, and site managers is required to meet the building quality required for the passive house design standard. Crucial for the success of the project achieved thus far was: (a) to share the long-term experience regarding details of passive house design in Germany with our Chinese partners, (b) to understand the interaction of city government and the investor, and (c) to develop incrementally the design and realisation, which will include on-site training of engineers and construction workers. As this is the first passive house to be realised in Urumqi, decision-makers are facing many uncertainties. It was imperative to adapt the low-energy design to conditions in Urumqi, to carefully identify potential problems (planning tools, availability of components, quality in construction, marketability) and to provide a three-month training session in Germany for key Chinese experts. The approach to select a challenging prototypical project and to collaborate with a private investor as well as the local government is also recommended in other contexts.

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Tab. 15 Projected design parameters for Xingfubao compared to the passive house criteria Parameter Specific heating demand Heating load Pressurisation test result

Projected

Passive house criterion

14.1 kWh/(m² a)

15 kWh/(m² a)

15 W/m²

10 W/m²

0.6 h-1

0.6 h-1

Specific primary energy demand (heating, cooling, hot water, auxiliary power household electricity)

54 kWh/(m² a)

Specific useful cooling energy demand

4 kWh/(m² a)

Fig. 16 Projected heating energy demands and gains for Urumqi [Passive House Institute, 2010]

Fig. 17 Capacity building at the Training Centre for Sustainable Construction, Cottbus (2012) [Karen Schmidt, Kompetenzzentrum für Nachhaltiges Bauen Cottbus]

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Fig. 18 Design of the super-low energy high-rise, Tower B in Urumqi (above) [Culturebridge Architects]; percentage of time with room temperature above 25°C (y-axis) as a function of change of window area (x-axis) (below) [both Hennecke, Culturebridge Architects]

Super-low energy high-rise building A separate feasibility study was conducted together with Dacheng Co. for a 173-metre-high high-rise building, the Dacheng International Tower B, which would be the second-highest building in Urumqi [Figure 18 •]. Although this project is in the first planning stages, the RECAST Urumqi team has analysed the possibility of building a true passive house with a heat energy demand of >1300

Wh>>1900

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system analytical and integration approaches

5

Total kWh/day

Evaluation of the ASH empowerment concept: critical findings and concept conclusions Even though the ASH-Code and its basic house concept have been developed to serve as a sustainable development guideline for residential houses in the low-cost sector, it showed to be applicable also for the development of a public community house. The different empowerment strategies in the code could be tailored to the needs and aspirations of the local community in Ilitha through intensive communication processes; resulting in education activities towards HIV/Aids prevention and the opportunity to support these activities with a future SHS. However, the implementation process in Ilitha also demonstrated that the local acceptance of alternative building constructions, materials and renewable energy interventions was highly dependent and interlinked with the specific empowerment goals that they pursued. The initial barrier that existed towards the construction of a residential house could be overcome through actively engaging the local population in decision-making and resulted in the implementation of a community house. Also, reservation towards the construction materials could be cleared out when the community members were integrated in the construction process on the spot [INEP, 2010]. The prospect of getting supplied with electricity from a SHS with no additional utility costs, and the opportunity to generate an income that benefits the community’s programmes, has strongly contributed to the acceptance of the ASH-Code approach. Experiences from other sustainable low-cost housing projects in peri-urban regions in South Africa also suggest that it is crucial to incorporate empowerment strategies and aspirations of the people not as a step that follows renewable energy interventions but as a step prior and simultaneously to the specific planning process [Guy, 2011; Sykes, 2009]. Particularly those interventions that challenge people’s cultural living habits need to be addressed prior to the implementation of renewable technologies. For example, the simultaneous use of TVs, washing machines or mobile phone chargers primarily in the evening hours, contradict the dependence on power provision of a PV installation during the day time [Guy, 2011]. In the context of accelerating empowerment potentials through PV systems, and for the further development of the ASH-Code, the following conclusions can be drawn: · Renewable energy interventions for low-cost houses and empowerment strategising have to go hand in hand and with full participation of the recipient in all phases of a house and/ or SHS planning, implementation and consolidation. · Capacity choices of SHS should be made individually according to the purpose of the system and the specific electricity demand and load curve of the respective household and/or business owner. Cultural habits have have to be discussed with recipients in order to avoid acceptance issues and system failures. · Particularly in an urban context, economic benefits of renewable energy interventions have to be communicated. This includes access to investment through income generating activities, additional income through small businesses and cost savings from decreased utility costs over long-term. · Local banks and authorities have to provide necessary support to overcome initial investment barriers and work closely with residents and other local organisations to facilitate business plans. · The establishment of sustainable community houses represent a valuable solution to showcase renewable energy systems and their empowerment potentials.

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Transfer potential to other megacity regions For emerging megacities in the developing world, the integrative conceptual framework of the ASH-Code represents a valuable tool to assess relevant framework conditions and to develop flexible low-cost, energy-efficient housing solutions. Grid-independent and also grid-integrated renewable energy supply concepts, as promoted within the ASH-Code, can be seen as auspicious to find application in any urban or rural environment where there is no access to the public electricity grid, or where it is unreliable or unaffordable. Electricity supply is highly influenced by the ability and willingness of the people to pay for it; particularly in low-cost housing settlements in peri-urban areas [Dobbins et al., 2010]. Solar energy however, is free in utility costs. It allows poor people to switch from fossil fuels to clean energy. The possibility to invest into a PV-system through income generating activities makes these solutions accessible for low-income and poor people internationally, provided that local banks and businesses open the opportunity for micro credit systems. Informal business models which are based on the use of energy (e.g. travelling salesmen selling cooled water bottles, ice, hot food, etc.) can benefit from these opportunities and support the establishment of local infrastructures in peri-urban low-cost settlements that are otherwise isolated from the general urban infrastructure [Rolland, 2011]. A study on the transferability of the ASH-Code to a South American framework revealed that the ASH-Code can find a high level of application in the north of Brazil [Braun, 2012] where the Brazilian government is testing first PV pilots in the housing sector to overcome development barriers and trigger social development [Pereira et al., 2010; Governo Brasileiro, 2012]. Fig. 8

Construction of the Ilitha Community House, supported by local residents, February 2010 [INEP]

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system analytical and integration approaches

References Braun, N. (2012): Chancen- und Risikenanlayse für die Übertragung des African Sustainable House Konzeptes auf die Zielregion Brasilien. Institute for Sustainable Energy Management, Politics, Risk and Social Innovation (INEP). Oldenburg, August 2012. CAHF (2012): Center for Affordable Housing Finance (CAHF): Building an Inclusionary Housing Market: Shifting the Paradigm for Housing Delivery in South Africa. http://www.housingfinanceafrica.org/wpcontent/uploads/2012/04/FFC-Presentation-Shifting-the-paradigm-for-housing-delivery-SA-FinMarkForumApril-1.pptx.pdf, 15/12/12 CECODHAS (2009): European social housing liaison Committee (CECODHAS): Housing and the EU Structural Funds in Action. http://www.em.gov.lv/Figures/modules/ items/0625%20JD%20CECODHAS_Housing%20&%20Structural%20Funds%281%29.pdf, 18/01/13 DTI (2003): Department of Trade and Industry (DTI): BEE strategy document – Department of Trade and Industry. http://www.dti.gov.za/economic_empowerment/bee-strategy.pdf, 18/01/13 Dobbins et al. (2010): Dobbins, A./ Oezdemir, D.E/ Woessner, S./ Marethe, S./ Wehnert, T./ Schrade, J./ Eltrop, L./ Fahl, U./ Tomaschek, J./ Knoll, M./ Guy, D. M./ Annegarn, H./ Erhorn, H.(2010): Patterns of energy use in poor households in Gauteng, South Africa. The relationship of income level, building design and use of energy appliances with energy consumption. Stuttgart, 2010. Institute for Energy Economics and Rational Use of Energy (IER), University of Stuttgart. DSD Eastern Cape (2007): Department of Social Development (DSD): Socio-Economic and Demographic Profile. http://www.socdev.ecprov.gov.za/districts/Amathole/AmatholeDemographics/ADM%20 Municipality%20Demographics/Amathole.pdf, 18/01/13 DoE (2012): Department of Energy (DoE): Renewable Energy. Solar energy. http://www.energy.gov.za/files/renewables_frame.html, 08/02/13 EuropeAid (undated): Position paper on rural and peri-urban electrification for the ACP-EU energy facility. http:// ec.europa.eu/europeaid/where/acp/regional-cooperation/energy/documents/rural_and_periurban_electrification_ position_paper_en.pdf, 18/01/13 FDA (1999): The Foundation for the Development of Africa (FDA): Black Economic Empowerment. http://www.foundation-development-africa.org/africa_black_business/index.htm, 18/01/13 Financial and Fiscal Commission South Africa (2012): Building an Inclusionary Housing Market: Shifting the Paradigm for Housing Delivery in South Africa. Presentation at FinMark Forum, April 2012. http://www.housingfinanceafrica. org/wp-content/uploads/2012/04/FFC-Presentation-Shifting-the-paradigm-forhousing-delivery-SA-FinMark-ForumApril-1.pptx.pdf, 03/01/13 Friedmann, J. (1992): Empowerment: the politics of alternative development. Cambridge Gordon et al. (2011): Gordon, R./ Bertoldi, A./ Nell, M.: Macro Analysis. A data led analysis of the performance of subsidised housing as a financial asset. Shisaka Development Management Services, November 2011. http://www. housingfinanceafrica.org/wp-content/uploads/2011/12/RDP-Assets_Macro-Analysis-_-FINAL_Nov11.pdf, 15/12/12 Governo Brasileiro 2012: Programmea Luz para Todos. www.luzparatodos.mme.gov.br/ luzparatodos/Asp/o_ programmea.asp, 17/12/12 Guy, D. M. (2011): iEEECO Village Project, Atlantis, presentation at the 5th EnerKey Long-term Perspective Group (ELPG) meeting “Decent housing for the Poor”, Emoyeni, October 2011. http://www.enerkey.info/Figures/stories/ intern/module2/ELPG/peer%20africa_elpg%20input_ieeeco_oct%202011.pdf, 15/01/13 Hofstaetter, W. (2012): Electricity, Water, Communication: Basic needs for sustainable development in Africa. Presentation at the workshop: Strengthening Empowerment to Make Energy Efficiency Solutions Successful. Johannesburg, October 2012. http://www.inep-international.de/en/downloads/KAITO-Presentation-INEPWorkshop20121009. pdf, 08/02/13 INEP (2010): International Institute for Sustainable Energy Management, Politics, Risk and Social Innovation (INEP): Planning of a sustainable settlement model in the province of Eastern Cape, Project Report. Oldenburg. Kihato, M. (2013): State of Housing Microfinance in Africa: A report commissioned by the Centre for Affordable Housing Finance in Africa (CAHF), January 2013. http://www.housingfinanceafrica.org/wp-content/uploads/2013/01/ State-of-Housing-Microfinance-in-Africa-17-Jan-2013.pdf, 08/02/13 Ndzana et al. (2008): Ndzana, J.E./ Klauenberg, E./ Heins, B.: Code for Sustainable Social Homes. The African Sustainable Home – ASH. Institute for Sustainable Energy Management, Politics, Risk and Social Innovations (INEP), Oldenburg. Pereira et al. (2010): Pereira A.,M.C./ Vasconcelos Freitas, M.A. / Fidelis da Silva, N.: “Rural electrification and energy poverty: Empirical evidences from Brazil”, in: Renewable and Sustainable Energy Reviews Volume 14, 2010, pp. 1229–40 Rolland, S. (2011): Rural electrification with renewable energy. Technologies, quality standards and business models. Alliance for Rural Electrification, June 2011. http://www.ruralelec.org/fileadmin/DATA/

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Documents/06_Publications/Position_papers/ARE_TECHNOLOGICAL_PUBLICATION.pdf, 18/01/13 Stelzer, B. (2012): Sustainable Low-Cost Housing and People Empowerment. Presentation at the workshop: Strengthening Empowerment to Make Energy Efficiency Solutions Successful. Johannesburg, October 2012. http://www. inep-international.de/en/downloads/INEP-Presentation-Workshop20121009.pdf, 08/02/13 Solsquare Solutions (2012): Quotation. SHS for Ilitha. Centurion. Sykes, J. (2009): Energy Efficiency in the Low Income Homes in South Africa. Climate Strategies, September 2009. http://www.eprg.group.cam.ac.uk/wp-content/uploads/2009/09/isda_south-africa-low-income-housing-study_ september-2009-report.pdf, 08/02/13 Tutiempo 2012: Climate East London from 1973 to 2012. Data reported by the weather station: 688580 (FAEL). http:// www.tutiempo.net/en/Climate/East_London/688580.htm, 20/12/12 Hector et al. (2009): Hector, S./ Knoll, M./ Wehnert, T.: Technical Report-Income Group Baseline. Institute for Future Studies and Technology Assessment (IZT), November 2009. http://www.enerkey.info/images/stories/intern/ module2/IZT_Technical%20Report%20Income%20Group%20Baseline_Nov09.pdf, 20/01/13 Winkler et al. (2002): Winkler, H./ Spalding-Fecher, R./ Tyani, L./ Matibe, K.: “Cost–benefit analysis of energy efficiency in urban low-cost housing”, in: Development Southern Africa Volume 19/5, pp. 593–614 Notes 1 The Application of the National Building Regulations Part X: Environmental sustainability Part XA: Energy usage in buildings was introduced in August 2011. 2 South African National Building Standard Energy efficiency and Energy Use in the Built Environment represent energy efficiency guidelines for new constructions, first drafted in 2008. 3 According to an income definition undertaken by Hector et al. (2009), households with an annual income of 9600 Rand and less are considered as “poor” in South Africa (Hector et al., 2009).

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Projects in Brief

On the following pages all nine participating cities of the research programme on Future Mega­cities are presented. Details are collected about the context and challenges for the projects, their objectives and approaches. A short overview of the most important outcomes and solutions is provided. More information on these solutions can be found at www.future-megacities.org.

Casablanca •

Tehran-Karaj •

• Urumqi

Hyderabad • Addis Ababa • Lima • Gauteng •

Featured in this volume: Energy and Climate Protection in Gauteng (South Africa) Solid Waste Management in Addis Ababa (Ethiopia) New Town Development in Tehran-Karaj Region (Iran) Resource Efficiency in Urumqi (China) Governance for Sustainability in Hyderabad (India) Featured in upcoming volumes: Urban Agriculture in Casablanca (Morocco) Transportation Management in Hefei (China) Adaptation Planning in Ho Chi Minh City (Vietnam) Water Management in Lima (Peru)

• Hefei • Ho Chi Minh City

Energy and Climate Protection in Gauteng (South Africa) Context

Gauteng province in South Africa is the most densely urbanised area in South Africa and covers an area of 18,178 km². The province consists of the three large metropolises: Johannesburg, Ekurhuleni, and Tshwane as well as four other district municipalities. Most of the province is located at an average altitude of 1,600 m above sea level with high solar radiation levels. There has been a striking lack of energy supply security over the last years, with frequent blackouts hindering Gauteng’s aim to be competitive as a global city. The energy supply system is dominated by electricity generated from coal. About one third of the fuel for transport is also produced from coal. Gauteng’s level of energy consumption and gas emissions can be compared to that of developed countries like Germany. For the energy sector alone, the energy consumption in 2009 was 765 PJ and the total CO2 emission were 126 million tonnes (10.5 tonnes per person). Despite the high solar radiation, the share of renewable energy use remains low. Due to low costs for electricity (relative to international costs), there are few incentives for energy saving behaviour and a more energy efficient policy implementation.

Objectives

The EnerKey project intends to contribute to a sustainable transformation of the Gauteng urban area by developing an integrated programme for an efficient, environmentally-friendly and climate-protecting system of energy supply and utilisation. EnerKey supports this process by carrying out research and assisting stakeholders in the implementation and monitoring of projects, measures, and strategies. This includes the development and application of tools and instruments for energy and environmental planning. Providing training and education courses to staff and admin-

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istration members of the municipalities will enable capacity building and dissemination of the results. The specific objectives are to: 1. Assess the present values of energy consumption and GHG emissions of the energy system in Gauteng 2. Provide means to improve the energy performance in the building sector, especially in public buildings 3. Initiate a process to reduce energy consumption and related emissions from traffic and transport 4. Show viable options for using more renewable energy 5. Demonstrate, with a number of practical projects, that the implementation of sustainable projects makes sense and can be successful

Approach

The EnerKey project has a clear interdisciplinary and integrated approach by combining socio-economic and technical aspects, as well as by cooperating with partners from different departments of regional and municipal authorities, NGOs, the private sector, and universities. The project follows both a ‘topdown’ and a ‘bottom-up’ approach. In the short term, individual pilot projects are initiated, for example in schools, administrative buildings, and in the transport sector. These projects are developed and monitored with the help of decision support tools and models. In parallel, an integrated energy model approach is set up resulting in the provision of measures and recommendations to improve urban development and the energy system in the region. The EnerKey project specifically undertakes measures for strengthening the Gauteng regional administration, to coordinate the municipal efforts in energy planning and development of pilot projects. Training and capacity building are undertaken to disseminate the results and findings.

Panorama of Johannesburg [Zehner, C.]

Solutions

• Gauteng Energy Office – the regional answer to energy challenges • TIMES GECCO – A regional energy and emission cost optimization model and training • EnerKey Advisor Tool – assessing energy performance of buildings • EnerKey Long Term Perspective Group – a governance think tank model • Transport Emission Inventory – informed mobility planning • Energy Technology Handbook – sustainable technologies for the future • CDM – Emission Trade Evaluation Tool • iEEECo – energy awareness activities for scholars and cost-efficient settlements for the poor • African Sustainable House – a holistic dwelling approach • EnerKey ‘Detectives’ – education and installation of solar panels in schools

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Contact

Project: EnerKey - Energy as a key element of an integrated climate protection concept for the city region of Gauteng Ludger Eltrop | IER - University of Stuttgart Email: [email protected] Harold Annegarn | University of Johannesburg Email: [email protected] Webpage: www.enerkey.info, www.enerkey.co.za, www.enerkey.de  

Solid Waste Management in Addis Ababa (Ethiopia) Context

Addis Ababa is one of the fastest growing cities in Africa and also the main commercial, financial, industrial, and service-provision centre in Ethiopia. The city is presently facing a plethora of problems, including an insufficient solid and liquid waste management. While an ever-increasing volume of waste is generated, the effectiveness of the solid waste collection and disposal systems is declining. In Addis Ababa, around 80% of the solid waste produced is collected. The remaining waste is dumped on open spaces or drains. The city has separate systems available that handle solid wastes. The formal system managed by the city administration collects the waste from collection points and transfers it to the landfill site (secondary collection). The second system assembles groups of organised pre-collectors who collect the waste from households and bring it to the collection points (primary collection). The collection of recyclables is performed by so-called ‘korales’, who collect only a small percentage of recyclables directly from the households. Both the pre-collectors and the korales are physically, socially and economically disadvantaged waste workers, whose work compensates for the lack of municipal services. Up to now, the recycling sector in Addis Ababa, particularly for organic waste, remains undeveloped. This means that organic waste, which makes up more than 60% of the municipal solid waste, is simply collected and dumped in the landfill. The landfill gas generated by the organic waste is not collected either, thus contributing significantly to the greenhouse gas emissions of the city.

Objectives

The general objective of the IGNIS project is to demonstrate that waste, if it is understood and treated as a resource, can be a source for income-generation and can contribute to global

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climate-protection, as well as to local environmental protection and sustainable development. Hence, the project aims to generate income from valorising municipal solid waste through establishing qualified, economically-workable, and sustainable waste treatment. Furthermore, the project seeks to contribute directly to poverty reduction and improved sanitation and, moreover, to reducing greenhouse gases from dumpsites, conserving raw materials, as well as improving energy and resource efficiency. In this context, the project aims to provide an instrument that includes methods, practical approaches, and simulation tools to be applied to other emerging megacities as well, in order to assess the effects when introducing similar waste management and treatment methods.

Approach

The approach comprises different strategies that correlate with one another. An essential aspect of the project’s approach is the generation of a reliable spatial, waste, and emission data base for the scientific work and the calculations of various scenarios. Additionally, pilot projects have been implemented and will be developed further. The majority of these pilot projects are small-scale projects on a decentralised level (e.g., composting, anaerobic digestion, recycling). These pilot projects are analysed with a focus on technical, greenhouse gas, and emission-related, socio-economic, and occupational safety and health (OSH) related aspects. Furthermore, the scientific staff, the city administration, and the groups working on the pilot projects are given the opportunity to build capacities and become familiar with the technologies as well as with the concept of using waste as a resource. The data collected and the results of the pilot project analyses are used for modelling, simulation or up-scaling of the businesses. Scenario simulation will provide the possibility of showing the effects, for

View on Addis Ababa [IGNIS]

example, on greenhouse gases and socio-economy. IGNIS is not conceived as a specific, isolated solution for Addis Ababa. Rather, several aspects of the project, e.g., methods, pilot projects, results, and lessons learnt, are transferred to other fast-growing cities in order to learn from the specific requirements of those cities. As a result, the IGNIS approach will be modified and adapted accordingly.

Solutions

· Methodology for data collection on waste quantities and quality · Model-based strategic planning for sustainable solid waste management · Adapted occupational safety and health standards and solutions · Market studies and business guidelines for entrepreneurs and for recycling products · Business improvement options for a paper-recycling manufacturer

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· Implementation projects for separate collection at source, biogas facility, charcoal briquettes from organic wastes, composting, school biogas-latrine · Training modules for WEEE collection and dismantling · Closing material cycles by means of using biogas sludge for erosion-prevention combined with energy crop production · Obstacle-based transfer analysis methodology for technologies or methods

Contact

Project: IGNIS – Income generation & climate protection by valorising municipal solid wastes in a sustainable way in emerging mega-cities Dieter Steinbach | AT-Verband Stuttgart Email: [email protected] Webpage: www.ignis.p-42.net

Urban Agriculture in Casablanca (Morocco) Context

Casablanca, currently the largest and most populated urban region in Morocco, has grown within a mere century, from a small settlement of 20,000 inhabitants to a metropolis of estimated 5.1 million by 2030. 22% of the national urban population live in Casablanca. 60% of industry in Morocco is concentrated in this agglomeration – creating rapid urban growth, accompanied by the development of deprived quarters (bidonvilles). In 1907, the city covered a small area of only fifty hectares. In 1997, the region ‘Greater Casablanca’ was created comprising 121,412 ha and 8 prefectures. Thus, many previously rural communities with agricultural areas are being urbanised, thereby consuming valuable open space. As a resulting phenomenon of current development processes specific to megacities, Urban Agriculture (UA) as a spatial dimension is considered to present new hybrid and climate-sensitive forms between rural and urban space. An underlying hypothesis is that these reciprocal urban-rural linkages contain the potential for a qualified coexistence that could be the basis for forming sustainable climate-optimised, multifunctional urban and open spatial structures (productive landscapes) in order to make a long-term contribution to the sustainability of cities and the quality of life for their inhabitants. It is to be assumed that UA will only be able to coexist in the long-term and in a qualitatively meaningful manner with other, economically stronger forms of land utilisation, when synergies between urban and agricultural uses arise.

Objectives

The project explores the existence of synergies between urban and agricultural uses and investigates how they might be developed. The project focuses on the possibilities of integrating peri-urban agricultural land into the urban development process. It

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also analyses to what extent UA can make a relevant contribution to a climate-optimised and sustainable urban development as an integrative factor in urban growth centres. It aims to answer the following research questions: 1. To what extent can UA play a significant role in adapting to the consequences of climate change, via climate protection, and via energy efficiency? 2. To what extent is UA an innovative strategy for sustainable land conservation of open urban areas? 3. To what extent can UA contribute to the struggle against poverty? 4. How can UA be integrated into urban development as a vital element in accordance with local conditions?

Approach

The parallel development of theoretical basis, basic research, as well as applied research and implementation strategies characterises the project. The research team is bi-national, interdisciplinary, and trans-disciplinary. The project pursues an open, process-oriented research approach subjected to follow-up adjustments. According to the methodological approaches of the participating research disciplines, subsidiary research approaches follow different routes, comprising the normative, the descriptive/empirical, and the applied research orientation. The three most important methodological tools for the overall project are the spiral-shaped work approach, the integration of the subsidiary results and the action-research approach via the pilot projects. The four topics urban development, agriculture, climate change and governance, and technical support were defined for the organisation of the working process and were studied in-depth.

Urban and rural landscape in Douar Ouled Ahmed in the suburbs of Casablanca [Gang, F.]

Solutions

· Action Plan for integrating UA into the urban development process · Design solutions for multifunctional space systems · Models on regional and local climate, weather, water balance, air quality, and flooding as a basis for informed decision-making · Experimental plants for industrial wastewater treatment and re-use · Concepts for peri-urban tourism · Approaches for healthy food production · UA as an integrated element in informal settlements · Awareness-raising (e.g. public campaign) and dissemination strategy

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Contact

Project: Urban agriculture as integrative factor of climate-optimised urban development Undine Giseke | Technische Universität Berlin, Chair of Landscape Architecture/ Open Space Planning (TU Berlin) Email: [email protected] Webpage: www.uac-m.org

New Town Development in the Tehran-Karaj Region (Iran) Context

The enormous increase in population in threshold and developing countries in relation to rapid urbanisation, as well as rising living standards, pose significant challenges to the affected regions in terms of energy supply and climate protection. However, these rapidly growing regions also offer a great potential for shaping sustainable urban development. Particularly in Iran, these developments are strikingly manifest. The Tehran-Karaj region forms one of the fastest growing urban agglomerations in the Middle East and is a major regional contributor to climate change. There is a demand for the construction of 1.5 million new housing units per year in a country that will be particularly affected by the effects of climate change. With the construction of new settlements, consumption of energy, commodities, and resources is rising dramatically. The related harmful climatic effects intensify global and regional risks.

Objectives

The Young Cities project is a German-Iranian applied research project that aims to develop solutions and strategies for a sustainable, energy-efficient and resilient urban development in arid and semi-arid regions as a contribution to significant CO2 reduction. The focus lies on contemporary, formally-planned, mass housing, within the framework of the case study of Hashtgerd New Town in Tehran province. The project intends to decrease CO2 emissions by reducing energy consumption within the principles of sustainable urban development. The aim is to help to reduce the consumption of other valuable environmental resources, primarily water, but also soil and air. These aspects are complemented by taking into account economic and social ambitions including social issues, efficient and flexible management, public participation, environmentally-conscious consumer behaviour as well as encouraging a positive local identity.

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Projects in Brief

Approach

To implement the goals and objectives of the project, an integral, interdisciplinary approach to urban development was chosen, ranging across different levels and scales: · Space – urban structure down to the sub-neighbourhood level · Networks – infrastructure networks of energy, water, mobility · Objects – buildings with a variety of different uses The social and economic conditions of the project are addressed by the further dimension of cross-sector approaches. This part of the approach focuses on high-potential fields of action for sustainable development such as: · Rising the qualification levels of the construction workers for better construction quality, thus lowering energy demand of the buildings, · The participation of the inhabitants and the raising of awareness on environmentally-friendly behaviour. The Young Cities project is committed to Action Research based on the method of ‘research through design’: the verification of research hypotheses through planning, implementation, and realisation of pilot projects forms an integral part of the project. One area, thirty-five hectares in size, located in Hashtgerd New Town, seventy kilometres west of Tehran, has been chosen as the central demonstration site for the development of an energy-efficient neighbourhood, called the ‘Shahre Javan Community’.

Solutions

· Detailed master plan for a 35 ha pilot area; the Shahre Javan Community in Hashtgerd New Town · ‘New Quality Building’ with 16 housing units, inaugurated in July 2010 · Manual for a climate-responsive and sustainable urban development

View on Hashtgerd New Town [Nasrollahi, F.]

· Manual for integrated urban planning in semiarid and arid regions · Conceptual designs for energy-efficient residential and commercial buildings · On-site vocational education and training for construction workers · Public transport concept · Wastewater concept · Ecological assessment model · Implementation of environmental compensation areas

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Contact

Project: Young Cities - Developing energy-efficient urban fabric in the Tehran-Karaj region Rudolf Schäfer | Technische Universität Berlin School of Planning, Building, Environment Email: [email protected] Webpage: www.youngcities.de

Resource Efficiency in Urumqi (China) Context

Urumqi is the capital of China’s North West Province, ‘Xinjiang Uygur Autonomous Region’ (XUAR). Initially with a population of 88,000 inhabitants in 1949, Urumqi is fast becoming the biggest economic growth node in Central Asia, with around 3.1 million inhabitants in the city and about 4.5 million in greater Urumqi. This rapid development is taking place in an ecologically highly-sensitive (semi-)arid environment within a 50-km-wide irrigated green belt between the foothills of the glacial Tianshan Ridge (up to 5445m a.s.l.) and the Junggar Basin (500−600m a.s.l.) The cold winters are typically accompanied by extended periods of stable inversion layers, which lead to dramatic increased levels of air pollution. As the region is extremely mineral-rich (coal, oil, gas, ores), dynamic industrialisation and the rising wealth of the growing population, as well as the increasing volume of traffic, are further driving factors that have catapulted Urumqi onto the ‘blacklist’ of the top five most air-polluted cities in the world (Blacksmith Report, 2007). Both industrial and private household waste are increasing rapidly, not only in quantity but also in variety, without having led to specific adaptations in waste management. Water is the most precious and socially-sensitive resource in the region. A water provision gap starts to open up during the summer months and has to be gradually closed by the (over)exploitation of groundwater resources. Climate change is aggravating the situation, as the snowline rises, the period of snow coverage decreases, as well as the period of permanent melted ice water runoff in spring.

Objectives

The project concentrates on energy efficiency, water resource efficiency and materials efficiency. Within the overall objective to promote a sustainability-oriented megacity development in semiarid areas, the project aims to:

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· Lower energy consumption in private households, as well as in industrial areas, thereby lowering air pollution, CO2 emissions, and resource extraction · Promote the installation of renewable energybased facilities · Implement a GPR-based monitoring system, concentrating on soil moisture content as an indicator for climate change · Design a realistic descriptive hydrological model and decision-making support system for Urumqi to allow political actors to be able to better predict future scenarios and their consequences on water availability and distribution · Promote developments towards a circular economy on the level of industrial enterprises as well as industrial parks

Approach

The main focal points of the project are directed at the ecologically-sensitive and closely interrelated core cycles 1) water, 2) materials and 3) energy with three Sino-German task groups being assigned respectively. The Chinese teams are led by key political or scientific decision-makers who promote specific tasks based on high-ranking political contacts and negotiating agreements that have proven to be a helpful support for the project. Scientists, engineers and other employees on the execution level proved to be important key partners within the development phase of products, processes, and the specification of advanced new ideas that contribute to greater resource efficiency in the respective field of action. A cross-cutting exchange of ideas, concepts, theoretical, and practical solutions is being facilitated by various exchange activities.

Panorama of Urumqi [Zehner, C.]

Solutions

· Construction of the first passive house in western China · Extra low-energy renovation of existing buildings · Development of waste management software for enterprises in Midong Industrial Park that covers, classifies, and characterises all categories of waste · Hydrological analyses and modelling, advice on efficient water use and water information management for political decision-makers in Urumqi Region · Mass and energy flow analysis in the Chinese PVC industry · Capacity-building for a soil moisture-based measurement methodology (Ground Penetrating Radar) as a basis for modelling climate change

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Contact

Project: RECAST Urumqi - Meeting the resource efficiency challenge in a climate sensitive dryland megacity Thomas Sterr | Ruprecht-Karls-Universität Heidelberg, Dept. of Geography Email: [email protected] Webpage: www.urumqi-drylandmegacity.uni-hd.de  

Transportation Management in Hefei (China) Context

Growing urbanisation and the increasing size of metropolitan regions is a challenge, as well as an opportunity, for the economic development and the social balance of societies, particularly in rapidly developing countries like China. The dynamic evolution of Chinese cities poses special challenges for transport concepts. According to the recent census, five million people live in Hefei (capital of Anhui province, China), three million of whom live in the urban area. Meanwhile, the rapid rise of car ownership in Chinese cities significantly impacts on people’s lifestyles as well as the environment. Traffic congestion as a phenomenon has extended from first-tier cities to second-tier cities such as Hefei. The rapid growth of private car ownership has also led to the excessive rise in road construction that remains insufficient to keep up with traffic growth, while simultaneously consuming valuable land resources in Hefei. Traffic congestion is becoming ever more critical day-byday and causes more delays, fuel consumption, air pollution, and CO2 emissions. The rapidly-growing demand for mobility and housing has created new challenges for urban administrative institutions, which have to deal with an unprecedented urban growth, thus leading to an urgent need for sustainable development.

Objectives

The main objectives of the METRASYS project are to contribute to climate protection through the development of sustainable transport in highly dynamic economic and urban regions. In particular, the project aims to provide decision-makers with the necessary means to effectively implement and guide sustainable transport in Hefei. Furthermore, special emphasis is placed on the general transferability of development approaches on traffic management for comparable megacities worldwide.

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Projects in Brief

Approach

The project integrates different disciplines, e.g., spatial planning, transport science, engineering science, and political science, and addresses both planning and operational aspects of the transport sector, supported by the deployment of a sophisticated geographic information system (GIS) and an advanced traffic management system. This system also facilitates environmental evaluations and analyses with an emission and pollution dispersion model developed in this project. This, in turn, provides valuable feedback to the transport and urban planning process. Furthermore, the results are used to explore opportunities for climate finance, which provides additional incentives for sustainable transport development. This comprehensive approach was devised and has being implemented in close cooperation with relevant Chinese stakeholders. This contributes to a constructive and concrete stakeholder dialogue, bringing all relevant parties together, thereby addressing the challenges of sustainable mobility in a holistic manner. The project works in four main research areas related to energy-efficient future megacities: 1. Technology Development: Realisation of effective concepts and implementation of intelligent traffic management based on Floating Car Data (FCD) and video detection for intersection monitoring. 2. Model Development: Energy efficiency and reduction of greenhouse gas emissions by assessing the environmental impact of the traffic management system and the planned urban traffic development through the validation and optimisation process using various models, such as traffic models, emission, and immission models. 3. Transport Planning: Capacity-building and accompanying urban and transport planning for sustainable city development.

Traffic management sign in Hefei [Zehner, C.]

4. Climate Finance: Identification of climate finance opportunities for sustainable low carbon transport in Hefei.

Solutions

· Intelligent traffic management system based on floating car data, video detection, and broadcasting with Digital Audio Broadcast (DAB) · Model development for the assessment of environmental impacts of traffic as a basis for informed decision-making and climate-friendly transport planning strategies · Guidelines and manuals for best practice in ‘traffic management’, ‘transport planning’ and ‘urban block design’ · Finance options for sustainable transport · Strategic design proposal for pedestrian-friendly cities

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Contact

Project: METRASYS – Sustainable mobility for megacities Alexander Sohr | German Aerospace Centre, Institute of Transportation Systems Email: [email protected] Webpage: www.metrasys.de

Governance for Sustainability in Hyderabad (India) Context

Greater Hyderabad is predicted to reach a population of 10.5 million inhabitants by 2015. The rapid economic growth of the emerging megacity has facilitated higher living standards and modern lifestyles for the emerging middle class. This is, however, accompanied by escalating energy and resource consumption. Furthermore, longstanding problems remain unresolved. For example, approximately one third of the population lives below the poverty line and continues to suffer from food, housing, education, and health problems. In addition to this, climate change is predicted to lead to extreme weather events, disastrous floods, strong heat waves, extreme droughts, and increasing water scarcity. Given this natural, social, and economic context of Hyderabad, the question arises: what can be considered a reasonable response to the anticipated impact of climate change?

Objectives

The overall objective of the project is to develop a sustainable development framework for Hyderabad by prioritising mitigation and adaptation strategies for climate change and energy efficiency. Focusing on the sectors of transport, food, land-use planning, and provision of energy and water, the project pursues the following functional objectives: 1. To increase scientific knowledge and to generate a database concerning climate change, its mitigation and adaptation opportunities, as well as to ascertain the potential of energy efficiency through collaborative research. 2. To identify institutional and policy solutions to encourage the change of behaviour of relevant actors in order to address the problems (i.e. ‘getting the institutions right’). 3. To design, propose, and implement demonstrable strategies for climate change adaptation

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and mitigation, as well as for an increased energy efficiency. 4. To ensure a wider adoption of these strategies by all relevant stakeholders and actors through appropriate communication, capacity-building, advocacy, policy dialogues, and dissemination mechanisms.

Approach

The project aims to achieve climate change adaptation and mitigation as well as energy efficiency through the design of appropriate policies that aim to change behaviour. Analysis of policies, of lifestyles in private households, of authorities for urban planning and administration, and of governance structures were conducted in tandem with a technical analysis in each of the focus fields: energy and water supply, food and health, and transport. The results of both analyses guided the conceptualisation of the pilot projects. The project applies a ‘discourse approach’ to implement the necessary changes in the institutions and government organisations. The knowledge generated through the research and the implemented pilot projects that involve all the stakeholders and actors is embedded in local discourse and dialogue. Eight pilot projects have been implemented and evaluated in the areas of urban planning, transport, food, clean and efficient energy provision, as well as education for sustainable lifestyles. The management options that evolved through pilot projects have been transferred to relevant stakeholders in Hyderabad with the help of capacity-building measures. The consortium, involving partners from scientific, governmental, non-governmental, and private organisations, has formulated a Perspective Action Plan (PAP) for Hyderabad and proposed its adoption.

Panorama of Hyderabad [Zehner, C.]

Solutions

· Climate Assessment Tool for Hyderabad (CATHY) · Strategic Transport Planning Tool · Street food-safety manual and on-site training to strengthen a climate-friendly urban food-supply system · Collective action for fuel transition among the urban poor · Cooperative and technical solutions to increase energy efficiency in irrigation · Solar powered schools · Education for sustainable lifestyles · Community Radio

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Contact

Project: Climate and energy in a complex transition process towards sustainable Hyderabad – mitigation and adaptation strategies by changing institutions, governance structures, lifestyles and consumption patterns Konrad Hagedorn | Humboldt University Berlin, Department of Agricultural Economics Email: [email protected] Webpage: www.sustainable-hyderabad.de  

Adaptation Planning in Ho Chi Minh City (Vietnam) Context

The mega-urban region of Ho Chi Minh City (HCMC) in South Vietnam is one of the most dynamic examples of rapid urban development over the last two decades and therefore, one of the regions most affected by climate change and risks in Vietnam. The urbanisation of Ho Chi Minh City has been intrinsically related to the process of industrialisation following the Doi Moi reforms of market liberalisation in 1987. Between 1986 and 2010, the population of HCMC almost doubled from 3.78 million inhabitants to the current level of 7.4 million inhabitants. In response to this high urbanisation pressure, HCMC’s government was forced to repeatedly expand the urban boundary, leading to the establishment of six new urban districts. Due to HCMC’s geographical location in a low altitude, intra-tropical coastal zone, northeast of the Mekong Delta and fifty kilometres inland from the South China Sea, the city experiences significant annual variations of climatic and weather extremes. Together with its huge population, its economic assets and the dominant role it plays in the national economy, the city is considered to be highly vulnerable to the impacts of climate change.

Objectives

The project aims to increase the resilience and adaptation capacities of HCMC in order to reduce the vulnerability of natural and human systems to the adverse effects of climate change. Hence, risks and vulnerabilities are assessed and sustainable adaptation measures are developed and incorporated into urban decision-making and planning processes. Consequently, the project seeks to establish a multi-layered, typological approach, which will be utilised to assess the sustainability of urban settlement developments. Furthermore, the project aims to develop adaptation strategies and measures which can be transferred to other affected regions.

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Projects in Brief

Approach

The project follows an interdisciplinary approach by combining expertise in different fields related to the two overall topics which constitute the project structure: Action Field 1 focuses on environmental research; Action Field 2 focuses on urban development. The Urban Typology Framework provides important environmental and social information which, in turn, are referred to the vulnerability assessment, based on strategic environmental assessment (SEA) as a basis for transferring scientifically known and documented problems of climate change into adapted planning systems (Action Field 1). Furthermore, the project aims to bring sustainable urban development strategies, in the context of climate change, into the mainstream urban system of HCMC. Based on the knowledge gained from the research, small-scale projects will be conducted with the Vietnamese partners to promote best-practice methods for further appropriate action (Action Field 2). On the practical level, the instruments of zoning and building codes will be examined and recommendations will be made for their improvement with regard to sustainable urban development, energy-efficiency, and resiliency to adverse climate changes. Furthermore, as the project follows an applied research approach, results are requested in terms of both, implementation (practice) and research (theory). Both are complementary, thus, on the one hand, the implementation of measures will be an outcome of scientific research and, on the other hand, research will be undertaken on the basis of the implementation of measures.

Panorama of Ho Chi Minh City [Zehner, C.]

Solutions

The following products are results of pilot projects implemented with different target groups: · Urban Climate Map as a basis for planning decisions within the general land-use plan · Urban Water Balance Modelling and Planning recommendations · Handbook for Decision-Makers: Land-use Planning Recommendations – Adaptation Strategies for a changing climate in Ho Chi Minh City · Urban Design Guidebook as a tool for integrating climate change adaptation into planning and design decisions · Handbook for Green Housing for disseminating good practice in urban design and architecture · Handbook for Community-Based Adaptation as a guide for building resilient communities through local action

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Contact

Project: Megacity research project TP. Ho Chi Minh Michael Schmidt | Brandenburg University of Technology, Cottbus Email: [email protected] Webpage: www.megacity-hcmc.org

Water Management in Lima (Peru) Context

Lima, a desert city (9 mm annual precipitation), has a population of approximately 9.8 million and is growing at an annual rate of about 2%, largely due to the influx of poorer people from the provinces. This development puts additional pressure on informal settlements, which lack an appropriate supply of electricity, water, and sanitation. Consequently, the polarisation between rich and poor districts is increasing. Water supply is mainly sourced from the Rímac River, which has an irregular flow due to the arid climate and due to significant seasonal rainfall variations in the Andean mountains. Furthermore, river flows from the Amazon catchment area are diverted in order to contribute to Lima’s water supply while groundwater resources remain limited. The scarcity of water resources will further aggravate the situation, as Peru is the third-most sensitive country to impacts of climate change on precipitation and water availability (Rosenberger, 2006). This is likely to intensify even more in the future due to the El Niño phenomenon. At present, the water supply network covers 80.6 % of the population of Lima, whilst about 77 % of the population are connected to the public sewer network. At present, only about 17 % of wastewater receives some form of treatment. New plants are under construction; however they will only offer a limited degree of wastewater treatment. The major quantity of wastewater is simply discharged into the rivers or directly into the Pacific Ocean. Furthermore, the potential for water reuse has not yet been fully exploited. The water sector strongly interconnects with the energy system, not only in the inherent need for energy for water and wastewater pumping and treatment, but even more so for the joint use of reservoirs for water supply and for energy production.

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Projects in Brief

Objectives

The Lima Water Project (LiWa) aims to improve sustainable planning and management of the water and sanitation system in Lima through informed decision-making and stakeholder participation. The project draws particular attention to the impacts of climate change and to the promotion of energy efficiency in water and sanitation systems. More specifically, the project intends to develop adequate and locally beneficial solutions for different problems and contexts that contribute to an overall favourable water management concept.

Approach

The LiWa project focuses specifically on the development and application of fundamental procedures and tools for participatory decision-making, based on informed discussions. The project builds upon modelling and simulation of the entire water supply and sanitation system within the megacity system of Lima. Furthermore, the project integrates findings from global circulation models, regionalised to Peruvian river catchments. The project also develops and evaluates options for reorganising the water tariff system in order to meet economic, ecological, and social requirements. Additionally, urban planning aspects are considered by developing the ecological infrastructure strategy, which is based on the concepts of water-sensitive urban design. With this holistic project approach, key issues and challenges of energy and climate-efficient structures of water and wastewater management can be adequately addressed. Hence, the following work packages are being addressed: 1. Integrated scenario development 2. Downscaling of climate models and water-balance modelling 3. Macro-modelling and simulation system

Panorama of Lima [Mangeot, M., Crossdocs]

4. Participation and governance approach 5. Education and capacity-building 6. Economic evaluation of water-pricing options 7. Integrated urban planning strategies and planning support

Solutions

· Simulator for macro-modeling of the urban water system for informed decision-making · Simulation of Lima’s future development, taking into account climate change effects on the water system for long-term planning · Round table discussions as new forms of governance in the water sector · Water-pricing options and improvement of tariff structure · Integrated urban planning strategies and planning support · E-Academy for education and capacity-building

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Contact

Project: Sustainable water and waste water management in urban growth centres coping with climate change – concepts for Metropolitan Lima, Peru Manfred Schütze | ifak e. V. - Otto-von-GuerickeUniversität Magdeburg Email: [email protected] Webpage: www.lima-water.de

Authors Jiaerheng Ahati graduated from the Chemistry Department of Xinjiang University in 1984. He worked for twenty years in the area of environmental monitoring and industrial pollution control in Xinjiang Autonomous Region. Ahati joined the Xinjiang Environmental Protection Bureau where he became the director of the Pollution Control Division. He was nominated president of the Xinjiang Academy of Environmental Protection Sciences in 2010 and was instrumental in initiating the Sino-German research project RECAST Urumqi and is the project’s key coordinator in China. Xinjiang Academy of Environmental Protection Sciences, Urumqi | [email protected] Harold Annegarn has researched atmospheric pollution, environmental management, and energy -efficient housing in southern Africa for thirty years. Annegarn has supervised over thirty MSc and PhD students. His current research interests focus on energy and sustainable megacities, through the EnerKey Programme in partnership with the University of Stuttgart; and as well as the development and testing of improved domestic combustion stoves, and their contribution to air pollution reduction. SeTAR Centre, Department of Geography, Johannesburg | [email protected] Frank Baur has a degree (Dipl.-Ing.) in civil engineering from the University of Stuttgart, Germany, where he focused on wastewater and waste management. Over many years, Baur has accumulated experience in the private sector as technical director and manager of a science-oriented engineering consulting office, focusing on sustainable waste management and biological waste treatment. Since 1994, Baur is professor for waste management, circular economy, and material flow management at the University of Applied Sciences Saarland (HTW). Baur is head of the Department for Material Flow Management at the IZES gGmbH (Institute for Future Energy Systems) since 2000 and is member of the scientific board of the institute. IZES GmbH, Saarbruecken | [email protected]

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Nina Braun has worked as a research fellow for INEP since 2011. Her research encompasses sustainable settlement concepts based on integrative technical supply systems in developing countries as well as health empowerment programmes for African women. Braun also coordinates sustainability projects in Brazil. She has a Masters in Sustainability Economics and Management. INEP Institut Oldenburg gGmbH, Uetze | [email protected] Mirjam Busch studied at the University of Applied Sciences Zittau in Goerlitz and completed her degree in environmental engineering. Busch has been a researcher at the Institute for Energy and Environmental Research (IFEU) in Heidelberg since 2011. She specialises in life-cycle assessment work and has contributed to the BMBF-funded RECAST Urumqi project in the area of industrial energy efficiency. ifeu — Institut fuer Energie- und Umweltforschung Heidelberg | [email protected] Cassandra Derreza-Greeven has a Masters of Science in Biological Sciences and has been a researcher at the Institute for Energy and Environmental Research (IFEU) in Heidelberg since 2010. In addition to waste avoidance projects in Germany and Mexico, Derreza-Greeven is currently working on the BMBF-funded RECAST Urumqi project, focusing on energy efficiency in the capital of Xinjiang, China. ifeu — Institut fuer Energie- und Umweltforschung Heidelberg | [email protected] Andreas Detzel holds a diploma in biology from the University of Mainz and has more than 18 years of experience in life-cycle assessment, emission reporting and environmental assessment. He has a broad experience in environmental consulting of national and international industry and its associations. He contributed to the BMBF-funded RECAST Urumqi project in the area of industrial energy efficiency. ifeu-Institut für Energie- und Umweltforschung Heidelberg | [email protected]

Audrey Dobbins works as a research associate at the Institute for Energy Economics and the Rational Use of Energy (IER) in the Department of Energy Economics and System Analysis (ESA) at the University of Stuttgart. She received a master’s degree in Energy Studies at the University of Cape Town in South Africa in 2006 and has been employed at the IER since 2008. Her research centres on energy demand in the residential and government sectors. Stuttgart University | [email protected] Ludger Eltrop is an energy systems scientist and head of the Department of Systems Analysis and Renewable Energies (SEE) at IER, University of Stuttgart. Eltrop studied Biology at the University of Bonn, the University of Toronto, and at the INRA in Montpellier, France. He qualified with a PhD at the University of Hohenheim. Eltrop worked as a project engineer in composting technology, before taking up his present position at the University of Stuttgart in 2003. He is project manager of the EnerKey-Project in the BMBF Megacity-Programme and guest professor at the University of Johannesburg, South Africa. Stuttgart University | [email protected] Hans Erhorn (Erh) is head of the Department of Heat Technology at the Fraunhofer Institute for Building Physics. Erh is a specialist in developing energy concepts for buildings and settlements. He has been a project coordinator of about 250 national and international research and demonstration projects during the last three decades. Erh is currently coordinating three research programmes for various German ministries (energy efficient schools, energy efficient settlements and energy surplus houses). He is chair of the coordinating panel for standardisation on energy efficiency in buildings in Germany. Erh has also been an assistant professor at the University of Stuttgart since 1990. Fraunhofer Institute for Building Physics IBP, Stuttgart | [email protected]

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authors

Ulrich Fahl heads the Department of Energy Economics and Systems Analysis (ESA) at IER, University of Stuttgart. Fahl is an economist, model expert, and coordinates numerous national and international projects. He is responsible for research activities in the fields of: energy and electricity demand, energy and electricity modelling, integrated resource planning, energy and transport and energy and climate issues. Stuttgart University | [email protected] Somaiyeh Falahat is a reseacher, with a background in architecture and urban planning, at the Chair of International Urbanism and Design and the Center for Technology and the Society, Berlin University of Technology. Falahat completed her PhD in 2010. From 2007 to 2010 she worked as a teaching and research assistant to the Chair of Theory of Architecture at the BTU. She carried out her postdoctoral research within the Young Cities Project from 20112013. Since March 2013, she is heading the DAAD programme of ‘Participatory Urban Regeneration’. Her main research interests are urban morphology, urban theory and community-based (re)developments with a focus on MENA cities. Technische Universität Berlin | somaiyeh.falahat@ tu-berlin.de Bernd Franke graduated from the University of Heidelberg and has more than thirty-five years of professional experience in environmental assessment projects in Europe, the USA and Asia. Franke is a co-founder of the Institute for Energy and Environmental Research (IFEU) in Heidelberg, where he holds the position of Scientific Director. He is currently IFEU’s project director for the BMBF-funded RECAST Urumqi project, which focuses on how to improve the energy efficiency in the building sector and industry in the capital of Xinjiang, PR China. ifeu — Institut fuer Energie- und Umweltforschung Heidelberg | [email protected]

Vineet Kumar Goyal has over twenty years of experience in working in the industrial area. Having a degree in Electrical Engineering and Ex. Masters in International Business, he has worked with reputable companies like Rockwell Automation, Crompton Greaves, Prudent Automation, the Confederation of Indian Industry and Thermopads for almost two decades. Currently, he is head of the Steinbeis Centre for Technology Transfer India – a Network Centre of Steinbeis GmbH & Co. KG for Technology Transfer, Germany. He has been successful in technology transfers in several areas including solar inverters, consulting and implementation of off-grid & mini-grid solar PV projects. He also has developed training and education models for solar PV technology. Steinbeis Centre for Technology Transfer India, Hyderabad | [email protected] D. Mothusi Guy has thirty years of international technical project management and business development experience. Guy served as the project pro-poor “implementing agent” and innovator of off-grid methodologies with government, EnerKey, Eskom and other business partners (Eland and Abron). He worked extensively with community organisations, educational institutions, SMMEs, NGOs, and the private sector since 2005 throughout South Africa and Haiti, creating a movement for integrated energy, environment, and empowerment cost optimised (iEEECO™) human settlement projects targeting the poor. PEER Africa WC CC, Johannesburg, South Africa | [email protected] Thomas Haasz works as a research associate at the Institute for Energy Economics and the Rational Use of Energy (IER) in the Department of Energy Economics and System Analysis (ESA) at the University of Stuttgart. He received a master’s degree in Business Engineering from the Karlsruhe Institute of Technology and joined IER in 2011. His research focuses on energy system analysis with a focus on industry and commerce in South Africa. Stuttgart University | [email protected]

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Christian Hennecke studied architecture in Darmstadt and Tokyo. He worked for four years in Beijing at the China Architecture Design and Research Group (former design department of the Chinese Ministry of Construction). He is the general manager of Culturebridge Architects, an architectural design studio active in the Rhine-Neckar region in Germany and China which he established in 2009. Since 2007 Hennecke has supported the RECAST Urumqi project in the fields of sustainable urban development and energy-efficient architecture. Culturebridge Architects, Grünstadt | chennecke@ culturebridge-architects.com Jakob Hoehne is an economist and research fellow at the Division of Resource Economics at the Humboldt University, Berlin. His current focus is on energy and emission related topics, as well as on regulatory aspects of the energy market. Humboldt University Berlin | jakob.hoehne@ hu-berlin.de Wolfgang Hofstaetter is an engineer and the Chief Executive Officer of KAITO Energy Solutions for Africa. His work focuses on the facilitation of sustainable business models in Western Africa. This includes rural electrification and business projects based on renewable energy micro-grids. KAITO Energie Loesungen fuer Afrika, Munich | [email protected] Phungmayo Horam is an economist, researching as a doctoral fellow at the Division of Resource Economics, Humboldt-University Berlin. His work is on institutions and credibility of renewable energy policy instruments with focus on the development of solar energy in emerging economies. His research interest lies in the economics of renewable energy, energy regulation and the works of new institutional economics. Horam qualified with an MBA in infrastructure management from TERI School of Advance Studies, New Delhi, 2009 and has worked in Indian state infrastructure development agency. Humboldt University, Berlin | [email protected]

Angela Jain studied environmental and urban planning and wrote her PhD dissertation on sustainable mobility management at the Humboldt University, Berlin. In 2005, she joined the nexus Institute for Cooperation Management and Interdisciplinary Research as head of the division Mobility, Spatial Planning and Demographics. From 2006 to 2013, she worked in the international project ‘Climate and Energy in a Complex Transition Process towards Sustainable Hyderabad’, funded by the German Federal Ministry (BMBF). Her areas of expertise include: sustainable city development in emerging countries, citizens’ participation, climate change awareness and local governance. nexus Institute for Cooperation Management and Interdisciplinary Research, Berlin | jain@ nexusinstitut.de Christian Kimmich is an agricultural economist and researcher at the Division of Resource Economics at Humboldt University, Berlin. He has worked on the regional governance of energetic biomass utilisation, food-versus-fuel conflicts, as well as broader issues of ecological macroeconomics. Within the BMBF funded emerging megacity programme Kimmich has conducted his PhD research on the sustainable provision of electricity for irrigation in agriculture from the perspective of evolutionary and institutional economics. Humboldt University Berlin | christian.kimmich@ hu-berlin.de Franziska Kohler is enrolled in the Master's programme of Integrated Natural Resource Management at Humboldt University, Berlin. Currently she is working on her Masters' thesis, which focuses on the implementation of off-grid PV systems in rural India. Since July 2012 Franziska Kohler has also been employed as a student consultant at Eclareon, an international consulting agency in the field of renewable energy. Humboldt University Berlin | [email protected]

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authors

Ming Liu graduated from the Northwest Architecture and Engineering Institute in 1985. He has been engaged in HVAC system design and research for twenty-five years. Liu’s research covers the seasonal energy efficient air-conditioning technologies in arid regions and the practical application of innovative designs and contributed to the RECAST Urumqi project in the area of energy efficiency design of buildings. Xinjiang Architectural Design and Research Institute, Urumqi | [email protected] Sheetal D. Marathe works as a research associate at the Institute for Energy Economics and the Rational Use of Energy (IER) in the Department System Analysis and Renewable Energies (SEE) at the University of Stuttgart. Marathe received a Masters degree in Water Resources and Engineering Management in Germany in 2009. Her research focuses on the development of land-use change simulation models, energy use, and emissions in the residential and agriculture sector. Stuttgart University | Sheetal.Marathe@ier. uni-stuttgart.de Li Niu studied at Tianjin University and the Technical University of Karlsruhe and completed his degree in Chemical Engineering. Niu contributed to the BMBF-funded RECAST Urumqi project, among other things, by developing a mass and energy flow analysis of the ZhongTai PVC plant in Urumqi in the capital of Xinjiang, PR China. ifeu — Institut fuer Energie- und Umweltforschung Heidelberg | [email protected] Enver Doruk Oezdemir completed his Masters Degree in Mechanical Engineering in 2005 at Middle East Technical University (Ankara, Turkey). Between 2005 and 2012 Oezdemir was a PhD student and research assistant at the University of Stuttgart (Institute of Energy Economics and the Rational Use of Energy). He completed his PhD on the subject of ‘alternative powered trains and fuels’ in 2011. Oezdemir is currently employed at the German Aerospace Center (Institute of Vehicle Concepts) as a team leader for road vehicles. German Aerospace Center | [email protected]

Elke Pahl-Weber has been Professor for Urban Planning, Chair for Urban Renewal, at the Institute for Urban and Regional Planning of TU, Berlin since 2004. Pahl-Weber directed her Urban Planning office, BPW Hamburg, which was founded in 1989, until 2009. Between 2009 and 2011 she directed the Federal Institute for Building, Urban and Spatial Research (BBSR) in Bonn whilst keeping her professorship at TU Berlin. Elke Pahl-Weber is head of the strategic dimension "Urban Development and Design" in the Young Cities Research Project in the BMBF Future-Megacities Programme and the cross-project accompanying research programme. Technical University Berlin | pahl-weber@isr. tu-berlin.de Xiaoyan Peng has obtained degrees in landscape architecture, Chinese and law from various universities. Peng manages the policies for energy-efficient design of buildings, developing renewable energy supply, and science and technology management at the Science and Technology Department of the Urumqi Construction Committee. Science and Technology Department of Urumqi | [email protected] Michael Porzig has a degree (Dipl.-Ing.) in Environmental Engineering and Process Technology at Brandenburg University of Technology Cottbus, Germany, where he focused on environmental management and planning (EMAS, ISO 14000ff) as well as on waste and recycling. Since 2008, Porzig is scientific employee for IZES gGmbH (Institute for Future Energy Systems) as project manager in national, international, and European research projects in the fields of waste and recycling management as well as decentralised energy systems. IZES GmbH, Saarbruecken | [email protected] Jens Rommel is an agricultural economist and a junior research fellow at the Division of Resource Economics at Humboldt University, Berlin. His PhD research is on collective action in the field of water and sanitation. His methodical emphasis focuses on behavioural and institutional economics. Humboldt University Berlin | jens.rommel@ hu-berlin.de

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Julian Sagebiel is an economist and specialises in international economics and research at the Division of Cooperative Sciences at the Humboldt University, Berlin. Currently Sagebiel is conducting his PhD research on consumer preferences in the electricity sector, focusing on India and Germany. Since 2011, he has been coordinating a pilot project on improving agricultural electricity provision in India within the BMBF-funded emerging megacity programme. Humboldt University Berlin | julian.sagebiel@ hu-berlin.de Johannes Schrade works as a research associate at the Fraunhofer Institute for Building Physics (IBP) in the Department of Heat Technologies. He has a diploma in civil engineering from the Karlsruher Institute for Technology (KIT). Schrade joined the Fraunhofer IBP in 2008. His research focuses on energy performance rating of buildings, transient building simulation, developing and evaluating energy concepts for buildings and residential areas and studying the development of road maps for local and provincial governments. Fraunhofer Institute for Building Physics IBP, Stuttgart | [email protected] Mike Speck has a degree (Dipl.-Ing. FH) in Civil Engineering from the University of Applied Sciences Saarbruecken, Germany and a Master in Environmental Engineering from the University of Newcastle upon Tyne, UK. Speck is deputy department head of the Department for Material Flow Management in the IZES gGmbH (Institute for Future Energy Systems) and is an authorised signatory. He is responsible for waste and resource management related projects within the Department for Material Flow Management. IZES GmbH, Saarbruecken | [email protected]

Bertine Stelzer (MA Sustainability Economics and Management) is a research fellow at the Institute for Sustainable Energy Management, Policy, Risk and Social Innovation (INEP). Since 2011 Stelzer has coordinated the research and implementation of guidelines for sustainable low-income housing in South Africa within the EnerKey Project. INEP Institut Oldenburg gGmbH, Uetze | bertine. [email protected] Thomas Telsnig works as a research associate at the Institute for Energy Economics and the Rational Use of Energy (IER) in the Department of System Analysis and Renewable Energies (SEE). Telsnig qualified with a Masters degree in Industrial Engineering from the Vienna University of Technology and joined IER in 2010. His research focuses on the technical, economic, and environmental assessment of concentrated solar power plants in the South African energy system. Stuttgart University | [email protected] Jan Tomaschek is employed as a research associate at the Institute for Energy Economics and the Rational Use of Energy (IER) in the Department of Energy Economics and System Analysis (ESA) at the University of Stuttgart. In 2008, he completed his master’s degree in Mechanical Engineering with Business Administration at the University of Siegen. His research focuses on furthering the development of energy system models and the model-based formulation of strategies for energy and climate change policy in regional, national and international contexts. Stuttgart University | [email protected] Philipp Wehage is an architect and an urban designer in the team Urban Development and Design in the Young Cities Project at TU Berlin where he has been from 2005 to 2013. Wehage was responsible for the architectural design of the case study. Beside these research activities, he established the Berlin-based, dmsw architects, where he is involved with the planning and realisation of urban and housing projects in Germany. Technical University Berlin | [email protected]

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authors

Christine Werthmann is an economist working as a ‘PostDoc’ at the Divison of Resource Economics at the Department of Agricultural Economics, Humboldt University, Berlin. After her studies in Business Administration, Werthmann conducted her post-graduate studies at the Seminar for Rural Development (SLE). Christine conducted her PhD research at the Philipps University of Marburg, investigating institutional factors in the Mekong Delta. Since 2010, Werthmann has lead the Workpackages Energy and Water in the Sustainable Hyderabad project (BMBF Megacity Programme). Humboldt University, Berlin | christine. [email protected] Simon Woessner is group manager of the planning instruments team. He studied Civil Engineering at the University of Stuttgart. Since 2002 Woessner has been a research associate in the Department of Heat Technology at the Fraunhofer Institute of Building Physics, Stuttgart. Woessner has experience in developing and implementing various software concepts. He has contributed to various IEA projects (e.g., Task31, Annex36, Annex 46) and is head of Module 3 of the EnerKey Project. Fraunhofer Institute for Building Physics IBP, Stuttgart | [email protected] Chenxi Zhao obtained a PhD degree in Environmental Engineering from Tsinghua University in 2010. Zhao worked at the Technical University of Denmark for a year and joined the Xinjiang Academy of Environmental Protection Sciences in 2010 as vice-president. He focuses on projects that collaborate internationally and that outreach from the Sino-German research project RECAST Urumqi. Xinjiang Academy of Environmental Protection Sciences, Urumqi | [email protected]

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