Energy Policy 38 (2010) 7898–7910

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Energy Policy

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Energy efficiency in social housing: Opportunities and barriers froma case study in Brazil

Susanne Bodach a,b,n, J. Hamhaber b

a Centre for International Migration and Development (CIM), Mendelssohnstraße 75-77, 60325 Frankfurt am Main, Germanyb Institute for Technology and Resources Management in the Tropics and Subtropics, Cologne University of Applied Sciences, Betzdorfer Straße 2, 50679 Cologne, Germany

a r t i c l e i n f o

Article history:

Received 9 June 2010

Accepted 7 September 2010

Keywords:

Energy efficiency

Social housing

Brazil

15/$ - see front matter & 2010 Elsevier Ltd. A

016/j.enpol.2010.09.009

esponding author at: Institute for Technology

ropics and Subtropics, Cologne University of

, 50679 Cologne, Germany.

ail addresses: susanne.bodach@gmail.com (S.

s.hamhaber@fh-koeln.de (J. Hamhaber).

a b s t r a c t

This paper investigates the energy efficiency in a segment of the building sector in emerging countries

by analyzing and evaluating the energy efficiency of a social housing project in Brazil. Energy efficiency

measures and bioclimatic design strategies are developed in order to improve thermal comfort in this

social housing project and to reduce the energy consumption and expenses of their residents. The

institutional barriers and constraints toward higher efficiency are described. The results of this study

show that there is a high potential to increase energy efficiency in social housing in emerging countries

like Brazil. The implementation and consideration of the energy efficiency measures and policy

recommendations would contribute substantially to the goal to dampen the fast growth of energy

demand in these countries. Moreover the improvement of energy efficiency in the social housing sector

could be a driver for market transformation towards more sustainability in the whole building sector.

& 2010 Elsevier Ltd. All rights reserved.

1. Introduction

The awareness for energy efficiency in the Brazilian commer-cial and public building sector has risen during the last years as aresult of governmental actions and research projects. However,building design in the housing sector has not been pushedtowards energy efficiency, because of low interest from the publicand private sector as well as lack of investment (Lamberts andWestphal, 2000). The social housing sector, as a solution to copewith the growing problem of high deficit of housing units in Brazil(FTD, 2010), is severely affected: a maximum number of housingunits should be constructed with a limited amount of investment.Thus, an investment cost per housing unit is very low resulting inpoor construction quality and renders it difficult to include anenergy efficiency measure.

In Brazil 44% of the electricity consumption is consumed inbuildings: 22% of that in the residential sector, 14% in thecommercial and 8% in the public buildings (EPE and MME, 2005).Due to population growth, urbanization and higher income,electricity consumption in the residential sector is growingsteadily from 4.7% in 2003 up to 6.2% in 2009 yearly (EPE,2009). The social housing sector is dominated by public agentsand investment. By considering aspects of building efficiency, the

ll rights reserved.

and Resources Management

Applied Sciences, Betzdorfer

Bodach),

public sector could be a major driver towards more energyefficiency in the housing sector. This in its turn could contribute todampen electricity demand growth and, thus, lower investmentneeds in the electricity generation sector. Geller et al. (2004) hasshown that policy choices toward more energy efficiency have asignificant impact on energy trends, social progress, and environ-mental quality in emerging countries like Brazil.

Furthermore, the target group of social housing, the pooreststrata of the population suffers eminently under increasingenergy costs; paying a high portion of their income for energyservices. For that reason, there is an urgent need for research inthe field of energy efficiency in social housing to improve thesustainability of the people’s livelihood.

The overall objective of this study is to develop technical designguidelines and present policy recommendation for the institutionalframework that contribute to the improvement of an energyefficiency in the social housing sector in Brazil and Rio de Janeiro.

2. Methodology

This study first examines the social housing sector in Braziland Rio de Janeiro, including the challenges of social housingpolicy and the involved stakeholders. Secondly, the context ofenergy efficiency is analyzed by focusing on policies andstandards in Brazil and identifying barriers for implementationin the social housing sector. Thirdly, at project level a case studyof a real social housing project in Rio de Janeiro (Mangueirahousing project) is analyzed in order to examine the technologicaldimension as well as the institutional and socio-economic

S. Bodach, J. Hamhaber / Energy Policy 38 (2010) 7898–7910 7899

framework. For the project design analysis and evaluation of thiscase study, an analysis matrix is defined.

The first and second methodological steps are done by meansof the literature review and expert interviews. The institutionalconditions are surveyed by means of structured interviews withthe stakeholders. In total, 16 structured interviews each of about1.5 h were conducted, the sample consisted of experts in the fieldof energy efficiency and building efficiency from relevantgovernmental institutions and from universities and of thestakeholders of the social housing case study like the municipalityof Rio de Janeiro, the financing institutions, the contractor andproject developer as well as engineers and architects. The result ofthe qualitative analysis is a comprehensive image of constraints ofenergy efficiency and opportunities for energy conservation in thesector, and leads to recommendations and guidelines for a moreenergy-efficient social housing in Rio de Janeiro and Brazil.

For the project design analysis of the case study, furtherinstruments are used. The ECOTECT software, a building designand environmental analysis tool, is applied to calculate the solarexposure of the building facades, to estimate the solar gains throughthe windows and to simulate the thermal performance of thebuildings. Due to the simplicity of calculation algorithm forventilation gains of the ECOTECT software, the accuracy of theresults of the thermal performance is limited. Also, a simplifiedqualitative approach was adopted to estimate the potential fornatural ventilation in the case study.

3. Situation of social housing in Brazil

3.1. The housing deficit

In Brazil, millions of families are excluded from the access todignified housing. In 2006, the Brazilian housing deficit reachedthe number of 7.96 million housing units, 76% in the cities and24% in rural areas (Salles, 2007).

The Brazilian housing deficit has major regional disparities,reflecting the general regional socio-economic inequalities (IBGE,2008). The federal states S~ao Paulo and Rio de Janeiro have thehighest deficit in absolute terms, with 1.5 and 0.8 million lackinghousing units, respectively. In relative terms, the largest deficits arein Maranhao (38.1%), Amazonas (33.7%) and Para (33.5%). The lowesthousing deficit was recorded in Santa Catarina (8.8%), Parana (8.9%)and Espirito Santo (9.8%) (Salles, 2007). The highest concentrationcan be found in the urban areas of the metropolitan regions in theNorth- and South-east. Related to the income, the poorest share ofthe population (up to three minimum wages, a total of 1.1 million) ishighly affected by the housing deficit, compared to only 200,000missing housing units in the income share above three up to fiveminimum wages (IBGE, 2008; Larchner, 2005).

The Brazilian housing deficit surfaces in precarious housing,cohabitation of families and the excessive financial burdenthrough renting (Fundac- ~ao Jo~ao Pinheiro, 2006). The cohabitationis the largest component in urban areas, independently from theregion, and corresponds to 60.8% of the total housing deficit in theBrazilian cities. In contrast, precarious housing is more present inrural areas, especially in the North-east and North region. Thecomponent of the excessive burden through rent payments isexamined only in urban areas and has its highest share with 37.3%and 28.9% in the South-east and Centre-west regions of Brazil.

1 1 minimum wage¼R$ 510 (Ministerio do Trabalho e Emprego, 2010).2 Personal interview with Heloui, N., Programme manager ‘‘Novas Alternati-

vas’’, Secretaria Municipal de Habitat de Rio de Janeiro (SMH), Rio de Janeiro, 8

May 2008.

3.2. Federal housing policy

In 2000, the Brazilian national housing policy started to bereformulated by the ‘‘Ministerio de Cidades’’ (Ministry of Cities)

and is now known as ‘‘Sistema Nacional de Habitac- ~ao’’ (NationalSystem for Housing). The main strategy of the new housing policyis to extend the private housing construction sector that, untilnow, was limited to the luxury market in the middle class. Federalfinancial resources focus now on the low-income classes up to 5minimum wages,1 where the highest housing deficit at no lessthan 92% is concentrated (Maricato, 2005).

The National System for Housing, established by the law N1

11.124 in 2005, has a subsystem for social housing called‘‘Subsistema de Habitac-ao de Interesse Social’’. The involvedentities of this subsystem for social housing are governments andhousing councils on federal, state and municipal level, promoters,funding agents and technical agents.

Several funds are provided by the government for theimplementation of social housing programmes that are mostlyadministrated by the Caixa Economica Federal (CAIXA), the mostimportant financing agency in the housing sector in Brazil. In2005, the CAIXA was responsible for financing 86% of new housingunits. In 2006, 408,325 new housing units were constructed bydifferent public housing programmes, whose funds are admini-strated by the CAIXA (CAIXA, 2008). Until today, only the CAIXA isparticipating in large scale credits programs for low-cost housing,as private or investor-owned banks shy the risk of underfundedcredit lines (FTD, 2010).

The social housing system of Brazil consists of 12 differentsocial housing programmes that differentiate between individualor collective initiator, public or private person, new or existinghousing, income bracket and funding conditions (Ministerio dasCidades, 2008). The PAR programme (Programa de ArrendamentoResidencial) is one of those social housing programmes, desig-nated for the population with currently a maximum familyincome of four minimum wages and has been responsible for theproduction of 259,898 housing units since 1999 (Ministerio dasCidades, 2008). In 2006, the PAR programme was responsible forthe construction of 10% of the new housing units (CAIXA, 2008).

3.3. Social housing in Rio de Janeiro

The Secretaria Municipal do Habitat (SMH) or MunicipalSecretariat of Housing is the institution that coordinates thehousing policy at municipality level in Rio de Janeiro. Created in1994, the SMH focuses on the upgrading and regularization of theshanty towns (called ‘‘favelas’’) and site development as well ason the promotion of new housing construction for the low-income population in areas with existing infrastructure. Themission of an SMH is to ensure the access to legal housing andurban infrastructure as a basic social right, using an integratedparticipatory process of urban planning. In contrast to the CAIXAas national public bank, the SMH is a small institution onmunicipal level with relatively low budget. The SMH has mainlya coordinating function within the implementation process ofsocial housing projects.2

For the new construction of social housing estates in Rio deJaneiro, four principal players are identified: the municipalitywith the SMH, the promoter, the funding institution (e.g. CAIXA)and the beneficiaries (Fig. 1). With the identification of possibleplots for social housing, the SMH is in most cases the initiatorof a project contacting the promoters. These may be the publichousing company (in Rio de Janeiro: Cehab-RJ) or a privateconstructor which is contacted by the SMH and elaborates the

Social Housing

in Rio de Janeiro

Beneficiaries

MunicipalitySecretaria Municipal

do Habitat

Funding institutionCaixa

PromotorPublic / private housing

estate company

Beneficiaries are selected by the municipality.

The selected beneficiaries are approved by the funding institution.

The municipality identifies plots for social

housing and looks for promotors.

The promotor elaborate housing project and applies for funding.

Fig. 1. Players and functioning of the social housing production in Rio de Janeiro.

S. Bodach, J. Hamhaber / Energy Policy 38 (2010) 7898–79107900

housing project according to the framework defined by theMinistry of Cities, the municipality and the funding institution.The beneficiaries are pre-selected by the SMH and approved bythe funding institution (see footnote 2).

The main building type, currently used for a new constructionof social housing in Rio de Janeiro, is either the single-familyhouse in the suburban context or the housing block of three tofive storeys in more dense urban areas. Few social housing units,for example in the city centre, are the result of rehabilitation and,thus, are types of small multi-family houses. Another, however,rarely used type is the terraced house. Social housing is mostlybased on modularized architecture, i.e. the architect develops abasic housing module, which is repeated according to the desiredbuilding type, density and site conditions.3

The main construction system used for social housing in Rio deJaneiro is structural masonry of bricks with mixed ceilings. Theroofs are either span roofs of wood structure and ceramic tiles orflat roof of joists of reinforced concrete and ceramic blocks. Thefinishing depends strongly on the financial framework ofthe project. While for the upgrading of shanty town houses, themasonry is only coated with a transparent paint, new housingunits of the public housing programme PAR are plastered andcoated with an acrylic paint.4

The construction quality largely depends on the knowledgeand experiences of the constructor. Due to these quality deficitsthe Ministry of Cities initiated the ‘‘Programa brasileira daqualidade e produtividade do habitat’’ (Brazilian programme forthe quality and productivity of housing) in 1998. Targeting onboth manufacturers of building materials and constructioncompanies, this programme aims at the quality improvement ofbuilding materials and the modernization of the constructionsector. First results of this programme are about 3,000 qualitycertified construction companies and 25 sub-sector programmes

3 Personal interview with Gouveia, M., Architect, Invento Espac-os Anastassa-

kis e Associador s/c Ltda, Rio de Janeiro, 3 June 2008.4 Personal interview with Cruz, A., Engineer for installation, Invento Espac-os

Anastassakis e Associador s/c Ltda, Rio de Janeiro, 2 April 2008.

focusing on different building components and constructionmaterials (PBQP-H, 2008).

The building quality in social housing improved considerablyduring the last years. However, it is still generally evaluated asvery low and simple in comparison to the construction quality inthe private housing sector. It depends highly on the buildingcompany and its experience. Due to the low budget and the tightprofit margin, the social housing sector is not as profitable as theprivate housing sector, especially for large experienced companies(see footnote 3). Therefore, in general smaller building firms withless experience are involved in the construction of social housingunits which may also result in lower quality (see footnote 3).Moreover the building quality suffered due to rationalization inthe sector, which started in the 1960s.5 At that time, buildingdesign began to use modularization, i.e. the same housing unitdesign was applied for the whole social housing dwelling. Hereby,the construction process could be optimized resulting in mono-tonous social housing areas with a high number of same buildingswith very simple design. Regarding installations, the quantity, e.g.number of sockets or lights, is reduced in order to fit into the tightcost limit. Furthermore, the quality of finishing in social housinggenerally is lower than in private housing.6

4. Energy efficiency in Brazil

4.1. Energy efficiency policy

The beginning of energy efficiency activities in Brazil wasmarked by the establishment of the National Institute ofMeteorology, Standardization and Industrial Quality (INMETRO)in 1984. INMETRO started debate on energy efficiency, informingconsumers of energy-efficient products, and encouraging con-sumers to purchase such products. Today INMETRO is responsible

5 Personal interview with Barroso-Krause, C., Professor, Universidade Federal

de Rio de Janeiro/Faculdade de Arquitetura/PROARQ, Rio de Janeiro, 10 June 2008.6 Personal interview with Brito, M., Director, BR4 Empreendimentos e

Participac- ~oes Ltda, Rio de Janeiro, 2 April 2008, 12 June 2008.

8 Personal interview with Bastos, L., Professor, Universidade do Estado do Rio

S. Bodach, J. Hamhaber / Energy Policy 38 (2010) 7898–7910 7901

for the Brazilian Energy Efficiency Labeling Programme for electricappliances, fossil fuel consuming advices and consumer products(INMETRO, 2008).

The National Electricity Conservation programme PROCEL wasfounded in 1985 by the Brazilian government. It is aiming at thepromotion of electricity conservation on the supply and demandside, in order to reduce investment costs in the electricitygeneration sector. PROCEL, housed at the public utility Eletrobras,funds energy efficiency projects carried out by the federal statesand local utilities, state agencies, private companies, universitiesand research institutes. PROCEL also helps utilities to obtain low-interest financing for major energy efficiency projects from arevolving loan fund within the electric sector. Since 2001, PROCELis divided in eleven sub-programmes which target differentsectors. PROCEL-Edifica, responsible for energy efficiency inbuildings, aims at the involvement of all sector agents, in orderto improve energy efficiency in the building sector.7

The CONPET programme, located at the semi-public Brazilianenergy company Petrobras, was established in 1991 with theobjective to encourage the efficient use of oil and natural gasderivatives in transportation, the residential and commercialsector, agriculture and industry.

Although some initiatives started in the 1980s and 1990s, thefirst consistent energy efficiency policy was established after anenergy crisis in 2001: the Energy Conservation Act, law N1 10295.This Act aims at the elaboration of consumption limits, orminimum energy efficiency requirements for energy consumingmachines or appliances. A steering committee, called ComiteGestor de Indicadores e Niveis de Eficiencia Energetica (Manage-ment Committee for Energy Efficiency Indicators), consisting of allrelevant institutions (PROCEL, CONPET, Regulatory Agencies,Ministry of Science and Technology, Ministry of Development,Industry and Foreign Trade) was established as the newcollaborative framework in order to define the indicators andlevels of energy efficiency in different sectors (Ministerio deMinas e Energia, 2008; Leonelli, 2007).

Concerning building efficiency, the Energy Conservation Actstates in Article 4 that the executive power has to developmechanisms for promoting energy efficiency in the buildingsector. Therefore, also in 2001, the decree 4059 was publishedthat announces the elaboration of maximum levels of energyconsumption, or minimum energy efficiency of buildings based ontechnical indicators and specific regulations (LabEEE, 2003).

Furthermore, at the same time the law N1 9991 came into forcewhich obligates the concessionaires and utilities of the publicelectricity service to invest in research and development, and inenergy efficiency programmes. One of these obligations is toinvest annually at least 0.5% of its net operating revenue inprojects that are designed to combat the waste of electricity. TheBrazilian Electricity Regulatory Agency ANEEL is responsible forthe selection and evaluation of these projects that can beconducted in the areas of education, energy management,commerce and services, communities with low purchasing power,public bodies, residential sector, rural areas or public services(ANEEL, 2008). Projects targeted at communities with lowpurchasing power include the replacement of inefficient equip-ment, e.g. refrigerators, light bulbs, electric showers, educationalactivities, such as lectures for promoting energy conservation inhouseholds, regularization of illegal consumers through connec-tion to the supply grid (ANEEL, 2008).

Summarizing, energy efficiency starts to become a major issueon political level in Brazil. However, the enforcement and

7 Personal interview with Perrone, F., Head of the department, ‘‘Desenvolvi-

mento de Eficiencia Energetica’’, Eletrobras/PROCEL, Rio de Janeiro, 2 June 2008.

implementation is still in the early age of development.Particularly, in the building sector energy efficiency does notplay an important role yet.

4.2. Brazilian building standards and codes related to energy

efficiency

Due to the short history of building efficiency in Brazil, thereexist only few and controversial standards for the residentialsector.8 Those standards are still very low and most are notmandatory.9

There are some Brazilian voluntary standards related tothermal performance of buildings published by the BrazilianAssociation for Technical Norms ABNT: the NBR 15,220, publishedin 2005, is the first standard that established the bioclimaticzoning of Brazil and that defines for the first time thermalperformance standards for single-family houses of social housingprogrammes (ABNT, 2005). The NBR 15,575, published in May2008, has the intention to normalize housing projects of one tofive stores and will be mandatory in 2010 (ABNT, 2008).

Another approach of standardization is energy efficiencylabeling of buildings which classifies the buildings in ranges A,B, C, D and E according to their energy consumption. In 2007, thevoluntary energy efficiency labeling for commercial, service andpublic buildings (Regulamentac- ~ao para etiquetagem voluntaria denıvel de eficiencia energetica de edifıcios comerciais, de servic-os epublicos) became legally effective. In future, a voluntary labelingscheme for residential buildings will be published called ‘‘Etique-tagem Voluntaria de Nıvel de Eficiencia Energetica de Edificac- ~oesResidenciais’’. This label will assess the housing according to theenergy efficiency of the building envelope, the air conditioning,the water heating system and the lighting system. Bonus pointsare given for the implementation of water saving measures and insocial housing for the provision of energy-efficient refrigerators orceiling fans. The voluntary approach aims at the stimulation of thebuilding sector with the objective of a market transformationtowards more energy efficiency and sustainability. The obligationof building labeling within five years will assure necessaryadaptation time for the construction sector (see footnote 9).

Compared to buildings, the energy efficiency labeling ofhousehold appliances and other equipment plays a moreimportant role already. INMETRO, the National Institute ofMeteorology, Standardization and Industrial Quality, labels about23 product categories, e.g. refrigerators, electric showers andfreezers, which are annually updated and listed. Every year,PROCEL honors the most energy-efficient appliances of the marketwith its seal of quality.

Regarding solar water heating, which can considerably reducethe energy consumption in buildings, the technical norms for theperformance of system components, project planning and in-stallation are defined by the ABNT (Table 1). In order to assurehigh quality of the installation of solar water heating, INMETROdeveloped the QUALISOL seal that certifies specialized installationcompanies. INMETRO also voluntarily certifies the energy effi-ciency performance of solar collectors and their storage tanks.

The Brazilian building codes do not consider energy efficiencyaspects yet. Due to the fact that they are elaborated and issued onmunicipality level, the implementation of such standards faceslarge difficulties. Merely since 2007, initiated by the activities of

de Janeiro/Centro de Estudos e Pesquisas em Energias Renovaveis (CEPER), Rio de

Janeiro, 14 May 2008.9 Personal interview with Lamberts, R., Professor, Universidade Federal de

Santa Catarina/Centro Tecnologico, Departamento de Engenharia Civil/Laboratorio

de Eficiencia Energetica em Edificac- ~oes (LabEEE), Rio de Janeiro, 28 April 2008.

Table 1Standards related to solar water heating in Brazil.

Standard Purpose

ABNT NBR-

7198

Planning and implementation of hot water installation in

buildings

ABNT NB-128 Hot water installation in buildings

ABNT NBR-

10,185

Heat tank of fluids for solar water heating systems

ABNT NBR-

12,269

Installation of solar water systems with planar collectors

ABNT NBR-

10,184

Planar solar collectors—determination of efficiency

S. Bodach, J. Hamhaber / Energy Policy 38 (2010) 7898–79107902

the NGO Cidades Solares, the obligation or promotion of solarwater heating has been included in some building codes, e.g. inS~ao Paulo.10

4.3. Barriers to energy efficiency in social housing

The barriers to more energy efficiency in social housing arederived from a combination of typical deficits of the buildingsector with the specifics of a low-cost situation: beyond theinvestments costs, low awareness and capacities and a fragmen-ted industry play major roles in obstructing progress towardhigher building efficiency (WBCSD, 2008). Finally, inconsistentregulation and standards contribute to the slow advances.

4.3.1. Investment and lifecycle cost

The high initial costs are considered to be the major barrier toenergy efficiency in social housing by most interviewed experts.The initial capital in housing for the poorest strata of thepopulation is very limited. Consequently, additional investmentnecessary for the implementation of energy efficiency measures israrely available—despite a short pay-back period due to thereduction of energy costs. The prioritization of lower investment costin contrast to reduced life-cycle costs is still a current practice andhinders the enhancement of building efficiency in Brazil. Moreoverthere exist almost no financing strategies for implementing energyefficiency measures in housing (see footnote 10).11 According to thecommon practice in Brazil, individual electricity meters are notprovided in social housing units (see footnote 6). As a consequence,consumers ignore individual electricity consumption. With a fixedshare in the common energy bill dwellers lack any incentives forsaving energy.

With a high housing deficit in the low-income section of thepopulation, the agenda for the initiating and financing institutionsis to provide large numbers of housing units per investment (seefootnotes 3, 9, 13). Consequently, the investment cost per housingunit is limited and regularly excludes energy efficiency measures.

4.3.2. Awareness and capacity

Furthermore, there is limited awareness of energy conserva-tion opportunities among the stakeholders of social housing(see footnote 9). The contractor’s interest is reduced to theconstruction phase, and is not considering life-cycle costs. Theenergy consumption and, thus, the energy bill is the concern ofthe dweller of the social housing unit. However, they lackawareness and knowledge about energy consumption and relatedenergy saving potentials (see footnotes 3, 6, 7, 9, 10).

10 Personal interview with Faria, C., Executive director of Departamento

Nacional de Aquecimento Solar (DASOL), Associac- ~ao Brasileira de Refrigerac- ~ao, Ar

Condicionado, Ventilac- ~ao e Aquecimento (ABRAVA), Rio de Janeiro, 10 June 2008.11 Personal interview with Rodriguez, D., Personal interview. Coordinator of

the Initiative Cidades Solares, Vitae Civilis NGO, Rio de Janeiro, 5 May 2008.

The construction sector is aware neither of energy conservationpotentials nor of environmental impacts (see footnote 6). Manyconstruction companies have no knowledge about energy efficiencytechnologies and their benefits. So they do not offer the implemen-tation of these measures to their clients (see footnote 11).

Among the other agencies of social housing like the financinginstitution, the awareness for energy efficiency opportunities isquite low.12 The CAIXA as one of the strongest agents in the sectoruntil now does hardly consider any energy efficiency strategies intheir social housing projects (see footnote 5). On the other side,the municipal planning agency of Rio de Janeiro is already awareabout the energy saving potentials in the public buildings. Therefurbishment of all public buildings according to the energyefficiency labeling for public building will be conducted in thenear future.13

Beside awareness education and capacity also play animportant role to enhance energy efficiency. The professionalsof the construction sector such as project planners have littleknowledge about climatic adaptation strategies and energyefficiency (see footnotes 2, 3, 6, 7). Investigation in buildingefficiency and bioclimatic architecture has about 20 years ofexperience in Brazil (see footnote 5). However, only in 2000,bioclimatic principles started to enter in the curriculum of thearchitecture faculties and until today they do not play, in mostcases, any important role (see footnotes 5, 8, 9, 13). Bioclimaticarchitecture and energy efficiency strategies are generally taughtas an optional and theoretical subject at Brazilian universities (seefootnote 9). In general, the knowledge about energy efficiencyamong the architects is still very low. The bioclimatic zoning ofBrazil and its recommended strategies are mostly not known bythe professionals (see footnote 2). Even when studied atuniversity, those principles are regularly not applied in the designin the later practice (see footnote 2). However, few of themstarted to consider some of those aspects (see footnote 13).

4.3.3. Policy and standardization

The lack of consistent policy action and legislation constitutesanother major constraint, according to various interviewed experts.Among others, there is the need of a national policy for enhancingthe use of solar water heating as standard technology. The buildingcodes, located on municipality level, do not include any criteria forimproving the energy efficiency in buildings (see footnote 5).Moreover existing standards are still very low and some legislationeven hinders energy efficiency (see footnotes 5, 8, 9, 11).

There is a need for energy efficiency regulations and standards(see footnote 9). Beyond this, implementation of existing andfuture regulations seems to pose a major challenge. The highinformality of the Brazilian construction sector, about 60% (Scheeret al., 2007; Capp et al., 2005), reduces compliance with energyefficiency standards or legislation, even if they exist (see footnote 9)and contribute to low construction quality (see footnotes 2, 8). Asa consequence, awareness raising and dissemination of appro-priate information about energy-saving opportunities is needed inthe construction sector.

In general, the enforcement of legislation and the provision ofinformation, the formation of professionals and incentives tobuilders and dwellers are necessary to ensure the progress in thesector towards more building efficiency (see footnote 11). Sincemany years, the government’s actions in this field has beenretarded (see footnote 9), as until now this issue has not been

12 Personal Interview with Martins, H., Personal Interview. Service manager of

GIDUR department. Caixa Economica Federal. Rio de Janeiro. 9 June 2008.13 Personal Interview with Castro, C., Manager for Climate Change and

Environment, Instituto Municipal de Urbanismo Pereira Passos, Rio de Janeiro,

30 April 2008.

Fig. 2. Housing unit (left) and constructive block (right) of Mangueira project (Invento Espac-os, 2006).

S. Bodach, J. Hamhaber / Energy Policy 38 (2010) 7898–7910 7903

reached on the top of the political agenda (see footnote 7). As anexample, there is no national policy and incentive programmes forsolar water heating today. This makes the dissemination of thosenew technologies very difficult and slow (see footnote 10).

4.3.4. Fragmentation of building sector

The fragmentation of responsibilities in current project devel-opment practices also has been identified to be a barrier for moreenergy efficiency in social housing in Brazil. For example, thebudget of such projects is elaborated by the architect; however,the contractor economized by cutting it. Consequently, seeminglysupplemental measures like shadow devices for windows cannotbe provided (see footnote 2). During the design process of socialhousing, there is no time and no possibility for applying energyefficiency principles. Other aspects, e.g. budget, maximize numberof units and ample parking space obtain higher priority by theinitiators and investors (see footnote 3). For some energyefficiency technologies, the current construction practice isunfavourable and even hinders their implementation: the lackof hot water pipe installation, for example, constitutes aconstructive obstacle for retrofitting solar water heating systems(see footnotes 8, 10).

5. Mangueira social housing project

5.1. Project context

The Mangueira social housing project is located in Rio deJaneiro city, the capital of Rio de Janeiro state. Rio de Janeiro has ahot humid climate and is classified in the Brazilian bioclimaticzone 8. In this context, the Mangueira housing project wasinitiated to improve the housing situation in city district of S~aoCristov~ao. The construction site is a brownfield of an abandonedceramic factory located in direct neighbourhood to the shantytown of Mangueira.

The Mangueira project is a social housing project of theResidential Rentals Programme (Programa Arrendamento Resi-dencial, PAR), a social housing programme funded by the CAIXA.The beneficiaries of the project are families with a total monthlyincome of maximum R$ 1800,14 preferentially from the directneighbouring shanty town Mangueira (see footnote 2).

It consists of 22 buildings with 496 housing units; each equippedwith a living room, two sleeping rooms, a kitchen and a bathroom

14 Brazilian Real: R$ 1800¼978 US$, average exchange rate in 2008: 1

US$¼0.54 R$ (IRS, 2010).

that amount to a total area of 37 m2. Four housing units composedin vertical direction are a constructive block which is added inhorizontal direction to two building types: eighteen buildings of thefirst type consist of six constructive blocks, i.e. six apartments perfloor and four floors. Four buildings of the second type consist of fourconstructive blocks, i.e. four apartments per floor and four floors. Theaccess to the apartments is provided by an exterior staircase and anexterior circulation corridor (see Fig. 2).

5.2. Assessment matrix for energy efficiency analysis

In order to evaluate the energy efficiency of a housing project,an assessment matrix is required that defines adequate criteriaand indicators. These criteria or indicators are established byenergy efficiency standards or green building certificationsystems. Due to differences in local building practices, climateand standards in the residential sector, many countries havedeveloped their own green building certification systems, e.g. theLeadership in Energy and Environmental Design (LEED) in theUSA, the Australian GREEN STAR or the Haute qualite environne-mentale des batiments (HQE) in France (Lamberts and Triana,2007). Brazil does not have a universal green building certificationsystem for the residential sector yet. Besides energy efficiency,those certification systems include criteria and indicators of eco-efficiency like water management or environmental impact.

Due to strong relation between energy efficiency, local climateand local building practices, it is difficult to apply criteria defined byother countries to social housing in Brazil. Therefore, an assessmentmatrix with own criteria was created based on the study ofinternational and national references, considering bioclimaticstrategies for the local climate of Rio de Janeiro (Table 2).

The criteria of energy efficiency are divided in three mainareas: site planning, thermal and visual comfort and installation.Due to the strong relation of energy efficiency and eco-efficiency,a fourth area called eco-efficiency is added to consider other kindsof resource consumption.

The proposed criteria of the assessment matrix for the energyefficiency analysis of the Mangueira housing project do not standalone, and are not independent from each other as there aresignificant interactions among them (Table 3).

The quantity and location of the vegetation provided in the siteplanning of a housing project can reduce strongly the urban heatisland effect due to the shadowing of buildings and pavement.Vegetation influences both the urban ventilation and the naturalventilation within the building. Dense vegetation, in front ofwindows, orientated to the prevailing wind direction, will reducethe air flow entering in the building. Trees in a line as wings of a

Table 2Assessment matrix for energy efficiency of the Mangueira Project.

Area Criterion Indicator

Site planning Heat island effect Characteristics of the paved areas: shadowing, clear colours with

high albedo, open pavement

Vegetation for shadowing Direct solar gains of the fac-ades

Shadowing through the surrounding buildings and vegetation

Urban ventilation Flow of local winds in summer

Thermal and visual comfort Compactness Compactness of building volume

Efficiency of the building envelope Thermal characteristic of exterior walls, roof and windows

Internal temperature during summer and winter

Natural ventilation Window area to room area

Location and orientation of windows

Day-lighting Illumination level within the housing unit

Shading devices Existence of shading devices

Solar gains through windows

Equipments Water heating Energy source and efficiency of water heating

Refrigerator Electrical consumption for cooling

Lighting Electrical consumption for lighting

Eco-efficiency Land use Type of land used for urbanization: Brownfield revitalization, etc.

Water use Sanitary water installations

Green area to closed pavements to open pavement

Building materials Embodied energy of building materials

Use of recycled materials

Transportation Existence or incentives for public and alternative transport

S. Bodach, J. Hamhaber / Energy Policy 38 (2010) 7898–79107904

building could enhance natural ventilation. Shading the buildingfac-ade and, thus, the windows by vegetation reduces direct solargains, and thereby the need of technical shading devices.

Urban ventilation can influence the natural ventilation positivelyor negatively within the housing unit. A site planning that favoursthe local winds and enhances the air movement improves thenatural ventilation within the building, while urban planning thatstops local winds and reduces the urban ventilation also decreasethe natural ventilation inside the housing. A further strong relation-ship exists between shading devices and day-lighting. The use ofshading devices will reduce the day-lighting inside the building.Depending on the type of the shading device, disturbing overlighting or direct solar radiation, can be reduced which leads to theimprovement of visual comfort. In contrast, fixed blinds will stronglyreduce day-lighting and even increase the need for artificial lighting.Furthermore, vertical shading devices reduce considerably thenatural ventilation of the housing unit which led to less thermalcomfort in hot humid climate.

5.3. Energy efficiency analysis

Table 4 summarizes the results of the energy efficiencyanalysis of the Mangueira project according to the previouslydefined assessment matrix and gives an overview of theperformance in each area applying a performance scheme ofPOOR, AVERAGE and GOOD.

From the fifteen criteria, the Mangueira housing project per-forms in seven criteria POOR, in three AVERAGE and in five GOOD(Table 4). This result shows that the social housing projectMangueira has high potentials for improving the energy efficiency.

6. Recommendations and implementation

6.1. Project design recommendations

6.1.1. Design guidelines

Based on the energy efficiency analysis and evaluation ofMangueira social housing project, 14 building design strategies

were elaborated for the improvement of energy efficiency ofsocial housing in Rio de Janeiro. They are summarized in Table 5with a short description of their measures. Those measures shouldbe incorporated in the social housing programmes, in order toenhance energy efficiency and, thus, limit increasing energydemand. Due to the large climatic variety in Brazil, not allproposed energy efficiency measures are applicable in otherclimate regions of the countries.

Seven specific measures in Mangueira housing project havepotential to improve the thermal comfort and, thus, to reduce theneed for mechanical cooling. They are summarized at this pointand listed in Table 6 with their effects and benefits.

6.1.2. Economic evaluation and affordability

Generally, the measures for improving the energy efficiencyimply an additional initial cost that is paid back within the firstyears of occupying the building due to reduced energy expenses.The economic analysis is conducted exemplary for the Mangueirasocial housing project for those measures which can be evaluatedeconomically, and where price information was available.

In order to improve the site planning of Mangueira housingproject for more energy efficiency, a total additional investment of9346.14 R$ is necessary that corresponds, distributed across 496housing units, to 18.84 R$ per housing unit (see Table 7). Theimprovement of thermal comfort of the housing units is estimatedat 1574.47 R$ (see Table 8). A further investments cost of 2977.00R$ is needed to improve the energy efficiency of equipments (seeTable 9). In summary, 4570.31 R$ more investment per socialhousing unit is necessary in order to implement the mostimportant energy efficiency measures in the Mangueira housingproject.

The economic analysis shows that the introduction of energyefficiency measures could be realized through the increase of theinitial cost per housing unit of 48,000 R$ to around 53,000 R$.Thereby, the costs for the adaptation of the site planning aremarginal, while installations contribute strongly to the initial costof energy efficiency measures.

The proposed measures for the improvement of energyefficiency lead to an increase of the initial costs. However, the

Table 3Relations between the energy efficiency criteria of the assessment matrixa.

Criteria of theenergy efficiencyanalysis

Influenced factors

Site planning Thermal and visual comfort Equipments Eco-efficiency

Influencing factors Heat

island

effect

Vegetation

for

shadowing

Urban

ventilation

Compactness Efficiency of the

building envelope

Natural

ventilation

Day-

lighting

Shading

devices

Water

heating

Refrigerator Lighting Land

use

Water

use

Building

materials

Transportation

Site planning Heat island

effect

X X X X X

Vegetation for

shadowing

R B B R

Urban

ventilation

R B

Thermal and visual

comfort

Compactness X E B B B X

Building

envelope

efficiency

X X X

Natural

ventilation

X X

Day-lighting X X X X R

Shading

devices

R X R E

Equipment Water heating X X

Refrigerator

Lighting X X

Eco-efficiency Land use X B X X B

Water use X X X

Building

materials

X

Transportation X

X¼existing relation

E¼enhancing relation

R¼reducing relation

B¼both: enhancing or reducing

a Table has to be read from left to right, i.e. the first ‘‘R’’ in row ‘‘vegetation for shadowing’’ means that vegetation for shadowing reduces the heat island effect; the first ‘‘X’’ in ‘‘heat island’’-row means that the heat island

effect is somehow related with the vegetation for shadowing.

S.B

od

ach

,J.

Ha

mh

ab

er/

En

ergy

Po

licy3

8(2

01

0)

78

98

–7

91

07

90

5

Table 4Results of energy efficiency analysis of the Mangueira Project.

Area Criterion Analysis result Performance

Site planning Heat island effect Fulfils LEED criteria of heat island effect Good

Vegetation for shadowing The location of trees is conducted without any regard to shadowing building fac-ades. Poor

Urban ventilation Six expected areas of low ventilation, which affect 10 of 22 buildings Poor

Thermal and visual

comfort

Compactness Acceptable compactness Good

Efficiency of the building

envelope

Sufficient thermal performance of the walls, insufficient performance of roofs;

according to the simulation, the thermal indoor comfort is low during the summer

months

Average

Natural ventilation Insufficient windows area Poor

Crossing ventilation partly assured

Daylighting Sufficient daylighting in all areas of the housing unit Good

Shading devices No shading devices provided Poor

Equipment Water heating Use of gas tankless individual water heaters Average

Refrigerator No provision or incentives of the use of efficient refrigerator Poor

Lighting No provision or incentives of the use of efficient lighting Poor

Eco-efficiency Land use Used plot is a degraded industrial urban area; availability of urban infrastructure Good

Water use Low efficiency of water installation Poor

No individual water billing; no raining water use

Building materials Sub-criteria partly fulfilled Average

Transportation Public transport available

Several urban functions in proximity Good

Table 5Summary table of energy efficiency strategies for social housing.

Strategy Measures

Site planning Reduce heat island effect Use of light coloured materials for at least 50% of the sealed area

Use of open pavers for the parking area

Planting of trees for shadowing the pathway

Shadow the building fac-ade Planting of trees in front of the south-west, west, south-east and east fac-ade

having regard to the prevailing winds for enhancing natural ventilation

Enhance urban ventilation Site planning for encouraging air movements in the housing estate

Orientation of the long building fac-ade of building in the direction of prevailing

wind

Orientation of openings in the prevailing wind direction

Thermal and visualcomfort

Improve thermal efficiency of building Use walls with high thermal inertia, e.g. structural ceramic blocks

Use external surface with light colours

Envelope Improve thermal transmittance of roofs through reflective insulation

Enhance natural ventilation Openings orientated to the prevailing wind direction

Increase area of windows

Use window type that maximize air flow (e.g. casement or pivot windows)

Allow crossing ventilation

Install ceiling fans in rooms of long permanence

Assure natural illumination Assure natural illumination in long permanence zones

Reduce direct solar gains Avoid windows in the east and west fac-ades

Install shading devices for windows orientated east and west, prioritizing the west

fac-ades

Equipment Use of solar water heating Install solar water heating

Reduce electricity demand for household

appliances

Use energy-efficient refrigerators

Inform new habitants about saving potentials

Involve local electricity supplies in the replacement of inefficient refrigerators

Reduce electricity demand for artificial lighting Use energy-efficient lighting

Inform new habitants about saving potentials

Provide energy-efficient lighting in the whole housing unit

Eco-efficiency Reduce environmental Utilization of unused urban or periurban land with access to basic infrastructures

Impact through land use Enhance brownfield redevelopment

Reduce water consumption Installation of water-efficient equipment

Use of collected raining water

Provide individual water meters

Reduce environmental impact through building

materials

Use of locally produced material with low maintenance need

Use of recycled materials and reuse of demolished materials

Use legal or certified wood

Reuse auxiliary construction materials

Assure waste management

Reduce need for transportation Assure accessibility to community and public transport

Enhance functional mix in social housing areas

S. Bodach, J. Hamhaber / Energy Policy 38 (2010) 7898–79107906

Table 6Measures for improving thermal comfort of the Mangueira social housing unit.

Measure Direct physical effect Benefit

Planting 40 large trees along the pathways Reduction of solar penetration of the pavement Reduction of outdoor air temperature

Planting 70 trees for shadowing the west

fac-ades of the buildings

Reduction of solar penetration of the western building

fac-ades

Reduction of indoor air temperature

Adaptation of site planning for enhancing

urban ventilation

Increase of air movements within the residential area Reduction of apparent air temperature

Use of reflective insulation for the roof Reduction of heat transfer through the roof Reduction of indoor air temperature

Increase of window size Enhancement of natural ventilation of housing unit Reduction of apparent air temperature

Use of casement or pivot windows Enhancement of natural ventilation of housing unit Reduction of apparent air temperature

Installation of shading devices for the east and

west orientated windows

Reduction of direct solar gains through windows Reduction of indoor air temperature

Table 7Economic evaluation of energy efficiency measures for the Mangueira housing project related to site planning.

Quantity Cost per unit Total costs Substituted cost Difference

Reduce heat island effect

Open pavers for parking areas 1221 m2 25.95 R$ 31,696.44 R$ 25,650.30 R$ 6046.14 R$

Planting trees along the side-walk 40 30.00 R$ 1200.00 R$ 0.00 R$ 1200.00 R$

Shadowing of building fac-ade

Planting of trees in front of the west fac-ades 70 30.00 R$ 2100.00 R$ 0.00 R$ 2100.00 R$

Total cost 9346.14 R$

Total cost per housing unit 18.84 R$

All prices obtained through offer from construction companies or market study in June 2008.

Table 8Economic evaluation of energy efficiency measures for the Mangueira housing project related to thermal comfort.

Quantity Cost per unit Total costs Substituted cost Difference

Improve thermal efficiency of building envelope

Use reflective insulation for the roof 12 m2a 15.00 R$ 179.45 R$ 0.00 R$ 179.45 R$

Enhance natural ventilation

Increase window openings from 1.2�1.2 m2 to 1.2�1.8 m2 4a 517.58 R$ 2070.32 R$ 1156.61 R$ 913.72 R$

Install ceiling fans in three rooms 3a 150.00 R$ 450.00 R$ 0.00 R$ 450.00 R$

Reduce direct solar gains

Install shading devices for windows orientated east and west 208b 74.63 R$ 15,525.12 R$ 0.00 R$ 15,525.12 R$

Total costs 780,936.78 R$

Total cost per housing unit 1574.47 R$

All prices obtained through offer from construction companies or market study in June 2008.

a For one housing unit.b For the entire residential area.

Table 9Economic evaluation of energy efficiency measures for the Mangueira housing project related to equipment.

Quantity Cost per unit Total costs Substituted cost Difference Pay-back

Use solar water heating

Install collective solar water heating within one building block (4 units) 1 1809.00 R$ 1809.00 R$ 0.00 R$ 1809.00 R$ 5 years

Reduce electricity demand for household appliances

Use energy-efficient refrigerators 1 1128.00 R$ 1128.00 R$ 0.00 R$ 1128.00 R$ 3 years

Reduce electricity demand for artificial lighting

Provide energy-efficient lighting in the whole housing unit 5 10.00 R$ 50.00 R$ 10.00 R$ 40.00 R$ 3 months

Total cost per housing unit 2977.00 R$

All prices obtained through market study in June 2008.

S. Bodach, J. Hamhaber / Energy Policy 38 (2010) 7898–7910 7907

population with low-income does not dispose of this capital. Thus,the additional initial cost has to be assumed by the social housingprogrammes. Those cost can be reallocated to the new inhabi-tants, e.g. in the case of the PAR programme through the increaseof the monthly leasing rate. The installation of the solar waterheating in the Mangueira housing project, for example, wouldcause an increase of the leasing rate per family by 14.47 R$ permonth, while the savings for the reduced gas consumption

amounts to 22.55 R$ per month (Table 10). The monetary benefitper month and household remain at 8.08 R$. Even higher benefitsare estimated for the application of efficient refrigerators orenergy-efficient lighting in social housing. The provision ofenergy-efficient equipment in social housing would increase theavailable monthly household income by 35.83 R$. That means theimplementation of energy efficiency measures in social housingcan contribute to alleviate poverty.

Table 10Affordability of energy-efficient equipment in social housing.

Solar water heating Refrigerator Lighting

Energy costs for energy-efficient equipment 15.03 R$/moa 11.90 R$/mob 17.85 R$/moc

Energy costs for inefficient equipment 37.58 R$/mod 35.69 R$/moe 4.46 R$/mof

Savings due to reduced energy consumption 22.55 R$/mo 23.80 R$/mo 13.38 R$/mo

Investment cost of energy-efficient equipmentg 1809.00 R$ 1128.00 R$ 50.00 R$

Increase of monthly leasing rateh 14.47 R$/mo 9.02 R$/mo 0.40 R$/mo

Monetary benefit for low-income household per month 8.08 R$/mo 14.77 R$/mo 12.98 R$/mo

a Solar water heating with gas backup system, monthly gas consumption: 4.8 m3 (Raimo, 2007), gas price: 3.13 R$/m3 (AGENERSA, 2008).b Average energy-efficient fridge according to market study, monthly consumption 24 kWh, electricity price 0.50 R$/kWh (AGENERSA, 2008).c Five efficient CFL lamps each of 15 W, daily 4 h in operation, monthly consumption: 9 kWh.d Gas tankless water heater, monthly gas consumption: 12 m3 (Raimo, 2007).e Average inefficient fridge, monthly consumption 72 kWh (Lamberts and Triana, 2007).f Five inefficient incandescent lamps each of 60 W, daily 4 h in operation, monthly consumption: 36 kWh.g Price information obtained through market study in June 2008.h According to the rules of PAR programme, the monthly leasing rate is 0.8% of the initial cost of the housing unit.

Table 11Constraints of energy efficiency in social housing.

Setting Constraints of energy efficiency in social housing

Overall

setting

� Initial cost limit per housing unit is very low

� Lack of standardized building material on the Brazilian

construction market, e.g. elements for natural ventilation and

radiant barrier for roof insulation with performance label

Political

setting

� No obligation for thermal performance or energy efficiency in

the building code

� No national policy for implementation of energy efficiency

measures like solar water heating

Project

setting

� Project planners have little knowledge about energy efficiency

and bioclimatic architecture

� Beneficiaries have little information about energy saving

potentials

Table 12Opportunities for energy efficiency in social housing.

Setting Opportunities for energy efficiency in social housing

Overall

setting

� Existing funds for energy efficiency improvements (ANEEL)

� Ongoing research about bioclimatic strategies and energy

efficiency

� Existing programme for assuring quality and productivity of the

construction sector

Political

setting

� Energy efficiency is important on national level

� Existing programme for energy efficiency in buildings like

PROCEL-Edifica

� Discussion about climate change on municipality level opens

doors for a debate about energy efficiency in social housing

� Starting discussion about energy efficiency standards in the

main funding institution CAIXA

Project

setting

� Short pack-back time of investment in energy efficiency

measure

� Financial benefit of energy efficiency measure for the residents

of social housing enhance their economical sustainability

S. Bodach, J. Hamhaber / Energy Policy 38 (2010) 7898–79107908

Although the affordability of energy efficiency measures in theareas of site planning and thermal comfort is not analyzed indetail here, a similar effect like in the case of equipments isexpected due to the fact that these measures implicate low initialinvestment and reduce electricity costs for air conditioningsubstantially.

If the initial capital for energy efficiency improvement couldnot be provided by the programme, the measures could beimplemented through energy performance contracting. Thisagreement with an energy service company (ESCO) or with thepower utility can be also used as tool for demand side manage-ment. It will identify and evaluate energy-saving opportunities inthe dwelling, and then recommend a package of improvements tobe paid for through energy savings. The ESCO will guarantee thatsavings meet or exceed annual payments to cover all project costs,usually over a contract term of up to ten years. Energyperformance contracting is particularly recommended for therefurbishment of existing social housing dwellings.

6.2. Constraints and opportunities of energy efficiency

As a result of the study, several aspects were found that arehindering energy efficiency in the social housing sector in Braziland in Rio de Janeiro. For example, the initial cost limit per socialhousing unit or the lack of a consistent national policy restrainsthe implementation of energy efficiency measures. Furtherconstraints are of insufficient knowledge among project plannersand scarce information about energy saving potentials among thebeneficiaries. All identified constraints are summarized in Table 11according to their setting.

On the other hand, there exist a number of opportunities forenhancing energy efficiency in social housing in Brazil, e.g. thelong history and ongoing research in this field or the short pay-back period of energy efficiency investments. A complete list ofthe identified opportunities is presented in Table 12.

6.3. Institutional framework recommendations

Government policies indicate that energy conservation be-comes an important issue in Brazil. One target of the NationalEnergy Conservation Act is to decrease the energy demand inbuildings. Energy efficiency in social housing can contribute tothis goal and also contribute to the poverty alleviation among theresidents of social housing.

The large housing deficit in Brazil will lead to the construc-tion of a huge amount of new social housing in the future, mainlywith public funds. In order to avoid unnecessary high energy

consumption in those new dwellings and to improve thesustainability of the people’s livelihood, it is highly recommendedto integrate energy efficiency issues in all social housingprogrammes. Thus, the main funding institution CAIXA shouldincorporate energy efficiency standards in their technical manuals

S. Bodach, J. Hamhaber / Energy Policy 38 (2010) 7898–7910 7909

for the elaboration of new social housing projects. Since the publicbody is the main investor in social housing, the incorporation ofenergy efficiency standards in these projects would contribute tosignificant savings in electricity consumption that could simulta-neously be a driver for more energy efficiency in the wholebuilding sector.

Therefore, it is necessary to increase the initial capital providedper social housing unit. The results of this study show an increase ofabout 10% would be enough to introduce the most important energyefficiency measure in projects of the CAIXA’s PAR programme.

The introduction of energy efficiency standards in the localbuilding codes would not only enhance energy conservation inthe social housing, but also in the whole construction sector.Those minimum criteria should be harmonized with existingvoluntary standards or the energy efficiency labeling for theresidential sector. Due to the low level of these standards, it isrecommended to strengthen them periodically.

With the establishment of a national policy for solar waterheating, this technology would rapidly become the standard forwater heating in housing. The implementation of more pilotprojects in social housing with public funds could contribute togain experiences in this field.

To improve access to capital the development and introductionof new financing instruments for the implementation of energyefficiency measures in existing dwellings is highly recommended.For that, one possibility could be enhancing the entrance of theEnergy Service Companies (ESCOs) in the social housing sector.For example, ESCOs could participate in the refurbishment oflarge existing social housing estates by implementing energyefficiency measures. The provision of financing mechanisms forthe acquisition of energy-efficient equipments like refrigerators orsolar collectors is also necessary, especially for the populationwith low-income. All these mechanisms should be introduced bya comprehensive campaign that raises awareness among allrelevant stakeholders.

The implementation of pilot projects in the form of energy-efficient social housing is recommendable in order to disseminatethese new ideas. The development of a manual for energy-efficient

Table 13Institutional framework recommendations.

Area Recommendation

Policies and regulations � Integration of energy efficiency aspects in social ho

� Introduce energy efficiency measures in the buildin

� Provide national policy for enhancing the use of so

� Strengthen existing and new energy efficiency stan

Financing � Increase the cost limit per social housing unit, e.g.

� Develop and introduce financing instruments for th

� Provide financing for the acquisition of energy-effic

Dissemination and awareness

raising

� Implement pilot projects of energy-efficient social

� Incorporate energy efficiency campaign for new res

� Develop manual for energy-efficient social housing

� Awareness raising among the professionals of the s

� Formation of project planners in bioclimatic archite

Implementation � Include energy efficiency measures in the technical

� Enhance collaboration between the municipality (e

project in the field of energy efficiency in social ho

� Enhance the entrance of the ESCOs in the social ho

� Develop alternative energy-efficient solutions (‘‘gre

Building materials � Develop and produce adequate element for (perma

� Establish standards and test methodologies for refl

� Develop and introduce eco-labeling for building ma

housing in Rio de Janeiro and its distribution among thestakeholders of social housing would increase the awareness forenergy conservation potentials and enhance project developers toconsider energy efficiency aspects in their dwelling projects.

For the PAR programme, it is recommended to incorporate acomprehensive energy efficiency campaign for the new residentsinto the social component of the projects (Trabalho Tecnico Socialno PAR). This could include the provision of a small manual about‘‘How to save energy in my new home?’’ and the offer of financingor subsidies for purchasing energy-efficient equipment likerefrigerators or lighting.

In Rio de Janeiro, the SMH should start to cooperate with thelocal energy providers in order to identify potential actions in thefield of energy efficiency improvement in social housing aiming atthe development of projects financed by the ANEEL fund.

The engagement of professionals, especially project planners,who have adequate and good knowledge about bioclimaticstrategies and energy efficiency measures, plays a key role inthe energy efficiency improvement of social housing. Therefore,universities and vocational schools should include energy effi-ciency as an important subject in their curricula.

The construction companies could contribute by developingalternative solutions for social housing, which integrate energyefficiency measures and strategies for reducing the ecologicalimpact of the construction.

Related to building materials, the construction sector sup-ported by research institutes should work on the development ofadequate building elements for permanent and controlled naturalventilation and introduce them into the market, if necessary withthe public support. For the quality improvement of reflectiveinsulation, applicable to enhance the thermal performance of theroofs, standards for this material should be established by anINMETRO. The Brazilian Programme for the Quality and Produc-tivity of Housing (PBQP-H) is recommended to encourage theconstruction market to provide more building materials with lowecological impact by developing and introducing an Eco-label.This would contribute to more sustainable construction in theBrazilian housing market.

using programmes

g code on municipality level

lar water heating

dards periodically

for the PAR programme from 48,000 R$ to at least 53,000 R$

e implementation of energy efficiency measure in existing dwellings

ient equipment in social housing

housing

idents into the social component of the social housing programmes

in Rio de Janeiro and distribute it among the stakeholders

ocial housing sector for energy efficiency

cture and energy efficiency

manual for social housing project of the CAIXA

.g. SMH of Rio de Janeiro) and the local electricity provider, in order to develop

using financed by the ANEEL fund.

using sector, especially for existing dwellings

en housing’’) for social housing

nent) natural ventilation and better materials for reflective insulation

ective insulation

terial

S. Bodach, J. Hamhaber / Energy Policy 38 (2010) 7898–79107910

In general, these measures should consider the fragmentation ofconstruction along the life-cycle and among the stakeholders, asmany of the named deficits are related to an uneven distribution ofcompetences, awareness, interests and benefits in different stepsfrom planning to construction to use of the building.

The institutional framework recommendations for enhancingenergy efficiency in social housing in Brazil and Rio de Janeiro aresummarized in Table 13.

7. Conclusion

There is a high potential to increase energy efficiency in socialhousing in Brazil. The analysis and assessment of the case study inRio de Janeiro have shown which energy efficiency measures arenecessary to improve the thermal comfort and to reduce theenergy consumption. The implementation of the proposed energyefficiency measures listed in Table 6 would contribute substan-tially to the Brazilian goal to dampen the fast growth of energyconsumption and, thus, reduce investment needs in the electricitygeneration sector. The economic analysis of this study has shownthat more energy efficiency in social housing would improve theincome situation of the poorest strata of the population due to thereduction of their energy expenses. Adapting recommendationsfor the institutional framework represented in Table 13, theinertia in advancing energy efficiency in the social housing sectormay be overcome.

The building sector in emerging economies like Braziltoday is already responsible for a huge share of primary energyconsumption—and will be even more so in the future. Thus,the enhancement of energy efficiency in the social housingsector in these countries could be a driver for market trans-formation towards more sustainability in the whole buildingsector.

Acknowledgements

The author feels grateful to all who made this study possible,especially, the great assistance given by the GTZ office in Rio deJaneiro and its staff in providing space and support. The researchstay in Rio de Janeiro was financially supported by the GermanAcademic Exchange Service (DAAD).

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