Implementationof the EPBD in

AUTHORHorst‐P.Schettler‐Köhler,Bundesamt fürBauwesen undRaumordnung(BBR)

1. Introduction

Energy efficiency of buildings in Germanyhas been subject to legal requirements since1976 when, in the wake of the first energycrisis, the Energy Saving Act was adoptedby the German parliament. Under this law,a series of ordinances were introduced andamended several times during the followingyears. At the end of the 1990s, thegovernment issued the first Energy SavingOrdinance (‘Energieeinsparverordnung’ –EnEV) which came into force in 2002,combining the two ordinances on thermalinsulation and heating appliances. Thislegal act was not only a step towards anintegrated approach for the energyperformance of buildings, but also acontinuation of certain standard practicesconcerning additional requirements, interalia, for building systems, thermal bridges,heat protection during summer. The Germangovernment took this step in full awarenessof the, at that time, ongoing negotiationsfor the Directive 2002/91/EC, in support ofthe new European approach. Nevertheless,there were still minor aspects within theEPBD pending for national transposition,which was finally completed with the 2007amendment of the Energy SavingOrdinance.

The Directive 2010/31/EU (EnergyPerformance of Buildings Directive – EPBD)brought up some issues for furtheramendment of the national transposition,mainly concerning Nearly Zero‐EnergyBuildings (NZEBs), certain aspects of EnergyPerformance Certificates (EPCs), andadditional obligations to include energyefficiency indicators in property sale orrental advertisements. The preparationsstarted in time to meet the time schedulegiven by the Directive 2010/31/EU. In theaftermath of the Fukushima accident in2011, the German government decided onthe ‘Energiewende’, which included a further

strengthening of energy performancerequirements. This new development had tobe taken into account within the context ofthe EnEV amendment, and thus the changesand additional formal steps caused a certaindelay. The “second Ordinance amending theEnergy Saving Ordinance” was finallydecreed in November 2013. Nearly all theprovisions of the ordinance came into forceon 1 May 2014, however the furtherreinforcement of requirements for newbuildings (towards NZEB level) shall enterinto force on 1 January 2016, and thepenalties for indicators missing in propertysale or rental advertisements are suspendeduntil 31 April 2015.

Overall, the EnEV stipulates the minimumenergy performance requirements, whereasthe Renewable Energies Heat Act sets quotasof renewable energy for new buildings andrefurbished public buildings. A set of DINstandards serves as a compulsory calculationmethodology in order to ensure non‐ambiguity of the calculated values andrequirements.

In Germany, the issue of energy saving inbuildings is subject to federal legislation,whereas the building codes fall underregional legislation. In general, theenforcement of federal and regional legalprovisions of any kind is the soleresponsibility of the regional governments.This should therefore ensure that everyenforcement decision takes into account therequirements deriving from differentregulations. Regional governments areprominently involved in the energy‐savinglegislation primarily due to their principalrole in enforcement issues, but also becauseof the overlaps with regional law. Inpractice, they have the ‘last word’ wheneveran ordinance is issued or amended, giventhat the consent of the (weighted) majorityof the Bundesrat (chamber of parliamentrepresenting the regional governments) isrequired.

STATUS IN DECEMBER 2014Germany

NATIONAL WEBSITE www.bbsr­energieeinsparung.de/EnEVPortal/DE (German)www.bbsr­energieeinsparung.de/EnEVPortal/EN (English)

For further important websites, please see footnote 1 on page 2.

[1] NATIONAL WEBSITES:Federal Ministry for Economic Affairs and Energy:> www.bmwi.de/DE/Themen/Energie/Energiewende­im­Gebaeudebereich/energieeinsparrecht.html (German)> www.bmwi.de/EN/Topics/Energy/Buildings/energy­conservation­legislation,did=667990.html (English)Special Site about the Renewable Energies Heat Act:> www.erneuerbare­energien.de/EE/Redaktion/DE/Standardartikel/waermegesetz_eewaermeg.html (German only)Federal Ministry for the Environment, Nature Conservation, Building and Nuclear Safety:> www.bmub.bund.de/themen/klima­energie/energieeffizienz/gebaeude/ (German)> www.bmub.bund.de/en/topics/climate­energy/energy­efficiency/buildings/ (English)

2. Current status ofimplementation of the EPBD

The most important instrument of thelegal framework for energy efficiency inthe German national legislation is theEnergy Saving Act. First introduced in1976 in the aftermath of two energysupply crises and pre‐dating the EPBD,this act has been amended several timesin order to meet the current politicalneeds – the last amendment dated June2013 responding to some aspects of theEPBD implementation. The Energy SavingAct does not contain any detailedrequirements, but serves as the basis forgovernmental ordinances dealing withsuch provisions. Therefore, the law mainlydetermines the issues of energyperformance requirements that shall begoverned by respective ordinances. Thelaw also sets a number of restrictions thatthe government must take into accountand provides the legal basis for theenforcement of the requirements.

The main restriction that will apply totechnical requirements is the so called‘Wirtschaftlichkeitsgebot’, which ιsequivalent to the ‘cost effectiveness’provision in Article 4 of the EPBD. InGermany, any financial investment aimedat meeting a certain requirement mustrepay itself through the energy savingsachieved within the lifetime of theinvestment. This has to be proven from ageneral point of view, not consideringwhether, or to what extent, the investorbenefits from energy saving. Therequirements concerning energycertificates and the inclusion of energyperformance indicators in advertisementsare not subject to the‘Wirtschaftlichkeitsgebot’.

In order to implement the NZEB provisionsof the EPBD, the current Energy SavingAct contains verbal requirements inaccordance with the Directive2010/31/EU, leaving specifications to beset out by an ordinance that is expectedbefore 2017. This next amendment of theEnergy Saving Ordinance is currently

under preparation. Furthermore, studieswere commissioned to support thegovernment in determining the basis for aproper description of the NZEB level, inconsideration of the EPBD and alladditional national issues.

I. ENERGY PERFORMANCEREQUIREMENTS

I.i. Progress and current statusSince 2002, energy performancerequirements for buildings are subject tothe Energy Saving Ordinance (EnEV),which is issued by the German FederalGovernment with authorisation of theEnergy Saving Act. The EnEV was amendedin 2004, 2007, 2009 and more recently, in2013. The amendments of 2009 and 2013provide for significant reinforcement ofrequirements, the latter entering intoforce by 1 January 2016.

The Federal Government has opted for astepwise approach towards the intendedNZEB level. As a result, stakeholders havethe time to adapt to the tightenedrequirements while the financial burdenmay also be reduced by allowing in theinterim new technologies to enter themarket.

The most recent amendment (issued inNovember 2013) foresees as a first stepfrom 1 May 2014 onwards, a methodicaladoption of recent technical proceduresand developments concerning climate andprimary energy factors. As a consequence,there will be minor changes in thecalculation of results and requirements,although this is not the primary purpose.As before, the calculation procedures takeinto account thermal bridges (defaultvalues or detailed calculation), infiltration(default values or detailed calculationwith respect to blower‐door test), shading(mostly via default values) and severaldifferent sets of indoor conditionsincluding thermal comfort, lightingcomfort (applicable only to non‐residential buildings) and air exchange‐rates, to be applied according to usage.

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As a further step towards the NZEB level,the current EnEV introduces tighterrequirements, which will be effectivefrom 1 January 2016. For building permitapplications submitted after the saiddate, the buildings’ primary energydemand may not exceed 75% of thereference building’s demand (Table 1).The reinforcement of requirements fromJanuary 2016 onwards applies to all newresidential and most new non‐residentialbuildings.

Since 2009, the Renewable Energy HeatAct has added an additional requirementfor new buildings, i.e., a quota ofrenewables. The 2011 amendment,introduced also provisions for the use ofenergy from renewable sources in thecase of major renovations of publicbuildings.

The entire concept shall be subject toevaluation. The Bundesrat issued aresolution to merge the Renewable EnergyHeat Act and the EnEV. This is the subjectof a study to be delivered by mid‐2015.Furthermore, the government envisagesan evaluation of the EnEV in order toimprove its acceptance in practice. Thetime schedule of this evaluation has notyet been determined.

I.ii. Format of nationaltransposition and implementationof existing regulations

New residential buildings

In Germany, requirements for newbuildings are not expressed by a fixedvalue, but by comparing the building inquestion with its corresponding referencebuilding. The reference building isidentical to the individual building interms of geometry, size, orientation anduse, but constructed with components andtechnical systems presented in the annexof the ordinance (Table 1). The energyperformance is calculated twice: oncewith the features of the reference building,and once using the real constructionfeatures and real system performance. Themaximum primary energy demand of thebuilding in question may not exceed theprimary energy demand of the referencebuilding (Figure 1).

For residential buildings, the EnEVprovides a choice between two differentcalculation methods (DIN V 4108‐6combined with DIN V 4701‐10, or the morerecent DIN V 18599). However, the samemethod must be applied to both the realbuilding and the reference building. Bothmethods are steady‐state calculation

models and generally in accordance withEuropean and ISO standards. Thermalbridges are taken into account, eitherusing two different default levels, or bydetailed calculation. Infiltration is alsoincluded for new buildings by twodifferent default levels, one withsuccessful on‐site airtightness check andthe other without.

In addition to the above mentionedoverall performance requirement for theprimary energy level, new residentialbuildings must meet several additionalspecifications:

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Note: The current requirement on boiler efficiency is linked to the previousboiler­efficiency Directive 92/42/ECC, which allows all gas and oil­firedlow­temperature and condensing boilers, as well as all biomass­boilers,even with lower efficiency. In practice, it is not relevant for new buildingsbecause even the installation of a low­temperature boiler in a newbuilding would not be economically reasonable. This requirement has tobe abandoned by September 2015 because of the new EU legislation.

Figure 1:The reference building as a way to define the maximum primary energydemand (Qp,max).

Table 1: Technical characteristics of the reference residential buildings

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> a requirement which limits the averagespecific heat transmission coefficient (ENISO 13789 and EN ISO 13370) to ensure aproper thermal quality, even in the caseof very low primary energy factors;

> several additional requirements fortechnical buildings systems (heating,Domestic Hot Water – DHW, ventilation,air‐conditioning);

> a requirement for summer comfortprovisions to avoid energy use forcooling of buildings.

The calculation method, as well as theprimary energy factors (Table 2) andapplicable boundary, use and climateconditions, are subject to the DINcalculation methods stated above. Withregard to certain aspects, the EnEVincludes differentiated provisions, orallows simplifications exceeding thoseprescribed by standards. The thermalconditions provided are mandatory forthe calculations and reflect the comfortneeds for residential use. Minimumrequirements for indoor air quality,temperatures and minimum daylight are,however, subject to other legal provisionsrelating to health, workplaceenvironment and safety issues.

New non‐residential buildings includingpublic buildings

The requirements for new non‐residentialbuildings follow an approach which issimilar to the one for residentialbuildings, but with some minordifferences. As lighting is an additionalaspect in non‐residential buildings, and asignificant number of these buildings areequipped with sophisticated ventilationsystems and air‐conditioning, thedescription of the reference building isquite extensive. Furthermore, there aresome differences related to the usepatterns and the height of the rooms. Therequirement for the minimumperformance of the building envelope isexpressed differently, i.e. a set ofmaximum average U‐values (Table 3) isdetermined instead of a maximumaverage heat transmission coefficient (asfor residential buildings).

With regard to non‐residential buildings,DIN V 18599 is the mandatory calculationmethod. Different from the method forresidential buildings, the method foreseeszoning of the building, primarily according

Table 3: Maximum average U­values for new residential buildings.

Table 2: Minimumrequired U­values

for building elements(W/m2.K).

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to different use patterns (partitioning;Figure 2). The zoning of the referencebuilding has to reflect the zoning of thereal building including the conditions ofuse. Most use patterns are provided in thisstandard and reflect accepted comfortneeds. For other, not so common usepatterns, rules for creating a customisedset of conditions are also included in thestandard. In order to simplify the effort ofcalculation, the EnEV allows skippingpartitioning for some frequentlyconstructed building types, e.g., officebuildings, standard retail buildings andschools. In these cases, a primary usepattern may be applied to the building asa whole without respect to zoning (single‐zone‐model). Nevertheless, calculatingthese buildings with detailed zoning isalso allowed.

Share of energy from renewable sourcesfor new buildings and majorrefurbishment of public buildings

Aside to the requirements on energyperformance established by the EnEV, theRenewable Energies Heat Act, in forcesince 2009 and amended in 2011, demandsa quota of energy from renewablesources. For all new buildings, a certainshare of Renewable Energy Sources (RES)to cover the building’s net demand forheating, DHW, significant hot watersupply (in non‐residential buildings) andcooling (if applicable) is mandatory. Theexact ratio depends on the chosen energysource; the given default solutions vary inshare from 15%, e.g., in the case of solarthermal power, to 50% in the case ofgeothermal heat (Table 4). As surrogateoptions, the Renewable Energy Heat Actallows either an energy performance of

15% higher than required by the EnEV, orthe use of district heating and CombinedHeat and Power (CHP) instead of RES.

For public buildings, the RenewableEnergies Heat Act (amendment in 2011)also sets requirements in the case of majorrefurbishment. This takes into account theleading role of the public in this field. Amajor refurbishment is defined as thecombination of a renovation of more than20% of the building envelope with anexchange of the boiler, or an exchange ofenergy source supplying the building. Themandatory share of renewables in thesecases is roughly the same, but thesurrogate option ‘enhanced energyperformance’ is defined differently.

Existing residential buildings

As far as existing buildings are concerned,there are two different types ofrequirements: some are mandatory only inthe case of major renovation (‘BedingteAnforderungen’ = conditional

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Table 4:Options to complywith the RenewableEnergies Heat Act.

Figure 2:Example for zoningan office buildingfloor accordingto DIN V 18599: thezoning follows theuse pattern ofindividual rooms. Inaddition, daylight andthe connection toseveral othersystems (red)is considered withinthe zones.

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requirements) and some are mandatoryeven without any renovation(‘Nachrüstpflichten’ = retrofittingobligations). Conditional requirements mustbe complied within defined cases, either offirst‐time installation or of certainrefurbishment measures applied to a shareof more than 10% of a building component(e.g., 10% of all outer walls of a building);see Table 5. In either case, therequirements extend exclusively to thoseparts of the building elements that are thesubject of the specific measure. Typicalmeasures leading to conditionalrequirements are, e.g., replacement ofroof tiles, new layers of plaster orsheathings on outer walls, as well as thereplacement of windows or glazing. As analternative for proving conformity withcomponent requirements, building ownersare also allowed to fulfil a certain wholebuilding requirement, which is 140% of theenergy performance level for new buildings(this still relates to the 2009 level).

Only one retrofitting requirement appliesto components of the building envelope:the upper ceiling has to be insulated ifthe roof above and the upper ceiling itselfare not yet insulated to a given minimumvalue. The deadline is 31 December 2015.Certain exemptions apply to small owner‐occupied residential buildings. Furthercompulsory retrofitting measures apply tosystems as described in section 2.II.

Existing non‐residential buildingsincluding public buildings

Requirements concerning measures onexisting non‐residential buildings are not

very different from those applying toresidential buildings (see above). Thereare certain provisions and exemptionsthat are not exclusively addressed to non‐residential buildings, but are normally notrelevant to residential buildings (e.g.,provisions for refurbishment of curtainwalls, exemption for revolving doors).

I.iii. Cost­optimal procedure forsetting energy performancerequirements

The German report on cost‐optimalcalculation for new buildings shows thatthe current requirements (or at least therequirements introduced for 2016) for alltypes of new buildings meet or exceed thecost‐optimal level (see, e.g., Table 1).The cost‐optimal level was calculatedusing a set of 6 representative modelbuildings where a number of differentsolutions were applied. This approachacknowledges the fact that the costsrequired to meet a certain primary energyrequirement may differ widely from theindividual construction and heat supply ofa given model building. The solutionswere different in terms of thecomponents used (thermal envelope, aswell as technical systems) and sometypical solutions from current fundingschemes were included. Thus, about 30different cases for each model buildingwere examined to detect the cost‐optimallevels.

The cost‐optimality of minimumrequirements in the case of refurbishmentof components depends on the costs ofheat and therefore on the heating systemand energy carrier. In consequence, theGerman report on cost‐optimality wascarried out with packages of a certainrefurbishment measure (defined by avariation of 3 to 4 U‐values) applied to abuilding component in connection withthe choice of 3 typical and generallyapplicable heating systems. This results in9 to 12 variants for each of the 4 majorcomponent‐requirements. These‘packages’ were applied to six modelbuildings. The heat generators wereassumed to be installed roughly at thesame time as the refurbishment measure,but independent thereof (Table 6). As aresult, using only a few model buildingswith only a few heating systems, the cost‐optimal level proved to be only slightlystricter than the current level. Thegovernment stated in the related reportthat a differentiation concerning theheating system or building type was not infavour of clarity and enforceability of therequirements, therefore the current level

Table 5:U­values in case of

refurbishment(component

requirement).

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should be considered as ‘cost‐optimal’from a general point of view and open toany technology. Furthermore, it wasconcluded that a unique level ofrequirements for all buildings and heatingsystems lead to lower prices for theapplied technical solutions.

Table 6 presents several examples of cost‐optimal levels for refurbishment ofcomponents.

I.iv. Action plan for progressiontowards Nearly Zero­EnergyBuildings (NZEBs)

National application of the NZEB definition

Germany delivered the NZEB Action Planin January 2013. Upon request of theEuropean Commission, additionalinformation was provided in July 2014.

According to the action plan, thenumerical definition of NZEB in Germanyis still under elaboration (see also section4). Nevertheless, we can safely predictthat this future level will derive fromGermany’s vast experience in fundingenergy efficient buildings through the KfWprogrammes. The current programmes dorefer — and have done so for more than 10years now — to a certain percentage ofthe current requirement for new buildings(maximum of primary energy demand,maximum transmission heat loss).

For new buildings, these ‘KfW‐Efficiencyhouses’ are defined by ‘efficiency house70’, ’efficiency house 55’ and ‘efficiencyhouse 40’, requiring a maximum of 70%,55% or 40% of the requirements for newbuildings respectively.

As a guideline, it can be indicated thatthe well‐known ’Passive Houses’ mostlymeet the requirement ‘efficiency house40’.

For major refurbishment of existingresidential buildings, funding levels arecurrently established as ‘efficiency house115’, ‘efficiency house 100’ and‘efficiency house 85’, requiring amaximum of 115%, 100% or 85% of therequirements for new buildingsrespectively.

For listed monuments, an additional levelis set at ‘efficiency house 160’ by specialregulations. Since 2011, the fundingprogrammes also apply to all kinds ofmunicipal buildings.

Since a significant portion (about 23%) ofall new residential buildings nowadaysconsists of ‘efficiency buildings 40 or 55’,the future NZEB requirement will mostprobably be defined around these levels.The definition will be legally introduced

with an amendment of the energy savingordinance due for 2017, which forbuildings owned and used by publicauthorities shall enter into force byJanuary 2019 and for other buildings shallbe effective by January 2021. Theamendment is currently underpreparation.

Figures and statistics on existing NZEBs

There are no detailed statistics availableabout the current total number of NZEBs(considering the most probable futuredefinition). The above mentioned schemeshave generated a significant number ofefficient buildings in Germany. The reportpoints out that about 463,000 apartmentsor homes were funded as new ‘efficiencybuildings’ as well as 1,090,000 apartmentsin refurbished residential efficiencybuildings (status June 2012). As thefunding of municipal projects in thissector started much later, the totalnumber of buildings funded under theefficiency house schemes was 1,350 untilJune 2012.

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Table 6:Example (semi­detached residential building) for the determination of thecost­optimal level for component requirement (outer walls) dependent ona choice of combinations with heat generators (‘packages’).

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I.v. Implementation of the EnergyEfficiency Directive (EED) regardingbuilding renovation and theexemplary role of public buildingsThe German Federal Governmentsubmitted to the Commission a reportaccording to Article 4 of the EnergyEfficiency Directive (EED) on 16 April2014. This report contains the firstapproach concerning the strategyprovided in Article 4, including theoverview of the national building stockbased on statistics, as well as theevidence‐based estimate of expectedenergy savings and wider benefits. Table 7shows the results from the NationalEnergy Efficiency Action Plan (NEEAP)calculations. The underlying calculationsby experts on behalf of the FederalMinistry of Economic Affairs and Energyinclude the effects of the major fundingschemes and the legal provisions of theEnEV. One of the funding schemes hasbeen established in order to provideenergy consultation for building owners.

The strategy to improve the building stockin Germany is based on three pillars toenhance market power: requirements –funding – information. As mentionedabove, the effect of the requirements andthe effect of funding are calculated indetail for different time periods. Thecalculation of the impact of informationcampaigns is more difficult as the reason

a building owner decides to refurbish abuilding cannot be easily determined.Nevertheless, it is obvious that campaignsadd a value to both other pillars.Therefore, the federal government investsin such campaigns, e.g., by fundingactivities of the German Energy Agency.The current activities are ‘branded’ withthe headline ’Die Hauswende’, withreference to the commonly used term‘Energiewende’.

In the residential sector, the strategy hasto address a high quota of rentedproperty, with the typical ensuingdifficulties due to conflicting interests oflandlords and tenants. Furthermore, thereport emphasises the obstacles arisingfrom the fact that the majority of heattransmitting surface elements havealready been modernised in the past andhave considerable residual lifetimes.

Statistics concerning heated and/orcooled buildings owned and occupied bythe German Federal Government are alsoincluded. The total floor area of suchbuildings was reported to be 3 million m2,including buildings that already fulfil thenational requirements due to previousrefurbishment. An amendment of thenational renovation strategy for thesebuildings according to EED Article 5(‘Energetischer SanierungsfahrplanBundesliegenschaften — ESB’) is stillunder preparation at the end of 2014.

Table 7:From German report

to EED Article 4:Evidence­based

estimate of expectedenergy savings (in

accordance with theGerman NEEAP).

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II. REQUIREMENTS FORTECHNICAL BUILDINGSYSTEMS (TBS)

In Germany, requirements for heating andDHW systems have a history of 36 years.Such obligations were first introduced withthe Heating Appliances Ordinance in 1978.These requirements, focusing on pipeinsulation, as well as centralised and de‐centralised controls, were broadened andstrengthened in various steps. In severalcases requirements nowadays involve thecompulsory update of existing systems,including boilers, insulation, etc. In 2002,these requirements were integrated in theEnEV and then amended as follows:

> in 2007, when requirements for air‐conditioning (AC) and ventilationsystems were added;

> in 2009, when additional requirementsfor AC and ventilation systems wereintroduced;

> in 2013, when the mandatory replacementof boilers older than 30 years wasintroduced. The range of the formerrequirement for replacement of gas‐andoil‐fired boilers installed before 1978 andwhich set the deadline at the end of 2006or 2008 in most cases, was considerablyexpanded by this regulation, maintaining,however, the exemption for low‐temperature and condensing boilers. Forsmall residential buildings, owner‐occupiedin 2002, the deadline is (and remains)2 years after change of ownership.

II.i. Coverage of heating,domestic hot water, air­conditioning and large ventilationsystemsRequirements with regard to buildingsystems cover the following issues:

> insulation of pipes (heating, DHW andcooling systems);

> controls (heating, DHW, AC and largeventilation systems);

> primary energy expenditure ratio ofboilers (heating systems, combinedheating and DHW systems) — see Tables8 and 9;

> mandatory replacement of boilers reachinga lifetime of 30 years (heating systems,combined heating and DHW systems);

> specific fan power (AC and largerventilation systems) — see Table 10;

> heat recovery (AC and larger ventilationsystems).

II.ii. Regulation of systemperformance, distinct fromproduct or whole buildingperformance

Nearly all aforementioned obligationsrefer to the design or configuration ofsystems. They are distinct from productperformance as well as from wholebuilding performance.

The requirement for the installation of amaximum primary energy expenditureratio[2] of a boiler is only partlyinfluenced by the product performance ofthe boiler as a product – the building’sheat demand and the individual featuresof installation (only for heating or incombination with DHW, installationoutside or inside the thermal envelope)influence this ratio as well. Therequirement for the maximum primaryenergy expenditure ratio is assumed to bemet in case of low‐temperature andcondensing boilers.

ΙΙ.iii. Applicability to new,replacement and upgradedsystems in existing buildings

Tables 8 to 10 show the applicability of allspecific system requirements to both newsystems (installed in new or in existingbuildings) and replacements or additionsoccurring in existing systems. Therelevant elements relating to themandatory update or replacement(required by German legislation) areaddressed in the fourth column ofTables 8 to 10.

ΙΙ.iv. Applicability to newbuildings (optional)

In case of new buildings, the systemperformance is accounted in thecalculation of overall energyperformance. This allows a detailedassessment of the issues addressed by thesystem requirements and makes minimumrequirements mostly unnecessary.Nevertheless, the minimum systemrequirements have to be met in newbuildings as well. This is not only incompliance with Article 8 of the EPBD,but also prevents confusion of consumers,who are accustomed to, e.g., findingthermostatic valves in every room andtemperature controls connected to everycentral heat generator.

[2] Primary energy expenditure ratio of a heat generator (according to the German calculation standards) is the amount ofnon­renewable primary energy needed by this generator to produce 1 unit of heat.

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Table 9:Requirements for

DHW systems.

Table 8:Requirements for

water­based centralheating systems.

Table 10:Requirements for

large AC andventilation systems.

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[3] SPF – Specific Fan Power

ΙΙ.v. Provisions for installation,dimensioning, adjustment andcontrol

Despite the fact that requirements onbuilding systems are formally addressedto the owner of the building, in practicemost are to be fulfilled by the installer,since the requirements require a properinstallation and system layout. Therefore,every professional installer working onsystems in existing buildings is due toissue a contractor’s declaration indicatingthat the requirements have beenfulfilled. Not issuing such a declaration,or giving false declarations is an offenceand can be prosecuted by penalties up to5,000 € for the installer. Thus, detailedtechnical requirements are mainly theresponsibility of the installer. Theviolation of the requirements as such(e.g., not replacing a boiler in due time)can be prosecuted with penalties up to50,000 € for the owner, as far as theviolation was done on purpose, or underserious neglect.

The main provisions are

> for water‐based heating systems:• installation of central controls to

adjust the water temperature and toshut‐off circulation pumps accordingto the time and the outsidetemperature (or an equivalent controlparameter); this has been amandatory retrofit requirement formany years; if nowadays a violation isdetected (e.g., by the chimneysweeper), the owner is required toadd the missing controls immediatelyfacing penalties up to 50,000 €;

• installation of room temperaturecontrols in every room of a building(except rooms with under‐floorheating with an area less than 6 m²);this is also a mandatory retrofitrequirement (with a special regulationfor old under‐floor heating systems);

• installation of circulation pumpsautomatically adapting to the actualdemand of circulating water in atleast 3 steps; this applies to both first‐time installation, as well asreplacement of these pumps, and canbe achieved by choosing a controlledpump, or by combining a conventionalpump with an external control unit;

• insulation of pipes and valves withcertain exceptions; this is also amandatory update requirement for

accessible, un‐insulated pipes inunheated spaces; the legal deadlinefor most cases (except some owner‐occupied small residential buildings)expired in 2006.

> for DHW systems:• insulation of pipes (provisions mostly

similar to those for water‐basedheating systems;

• installation of automatic controls toshut‐off hot water circulators (firstinstallation or replacement).

> for AC systems exceeding 12 kW ratedthermal output for cooling andventilation systems with 4,000 m³/hinlet air capacity:• in case of first installation or

replacement of major elements, amaximum SFP value[3] (category SFP 4according to EN 13779: 2007);

• in case of first installation orreplacement of central units withindoor air moisture regulation, acontrol with separate set‐points forhumidification and de‐humidification;this is also a mandatory updaterequirement if detected as missing inthe course of a mandatory inspection;

• in case of first installation orreplacement of central units or duct‐systems in systems designed forspecific inlet air volume of more than9 m³/h per m2 of useful floor space,systems have to be equipped withcontrols to automatically adjust theair‐flow to the needs;

• in case of first installation orreplacement of central units, thesystems have to be equipped withheat‐recovery units (minimumperformance category H3 according toEN 13053: 2007).

Dimensioning of heating systems andtheir adjustment are no longer subjectto legal requirements in Germany, sincethe calculation methods encourageproper dimensioning and hydraulicbalancing. Dimensioning of AC systems isonly dealt with in the course ofmandatory inspections. A (non‐mandatory) guideline for inspectingexperts is DIN SPEC 15240: 2013‐10.Based on DIN EN 15239, DIN EN 15240and DIN EN 15243 and underconsideration of DIN V 18599 (concerningthe calculation of the energy demand forAC). This standard defines a method forthe energetic inspection of AC systems.

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ΙΙ.vi. Encouragement ofintelligent metering

A new provision to promote intelligentmetering was first introduced by the 2008amendment of the German EnergyIndustry Act (‘Energiewirtschaftsgesetz‘).Since 1 January 2010, every new buildingnewly connected to the grids has to beequipped with intelligent meters. Thisapplies also in cases of major renovations(as defined in Article 2 (10) of the EPBD).The law only excludes cases in which theinstallation of these meters is technicallyimpossible, or economically notreasonable. Intelligent meters are definedas meters that show the realconsumption, corresponding to the realtime of usage, and that are connected toa communications grid.

Thus, the requirement to promoteintelligent metering as stipulated inArticle 8 (2) was already introducedbefore the EPBD in Germany. The legalrequirement nowadays refers directly tothe EPBD definition of majorrefurbishment. Currently, the revisedcalculation method DIN V 18599 allowstaking intelligent metering into accountfor the energy performance of non‐residential buildings (as part of thebuilding’s energy management provisions,see also section II.vii).

ΙΙ.vii. Encouragement of activeenergy­saving control(automation, control andmonitoring)

With the recent amendment of the EnEV(2013), building automation became asubject of calculation of the energyperformance of buildings. The new part11 of DIN V 18599 became part of themethod addressed in the EnEV. Itfollows the approach of EN 15232 andintroduces classes of buildingautomation and control. Therequirements for new buildings are givenby the reference building’s features,which include a state‐of‐the‐artautomation level. To encourage the useof improved building automation, ifapplicable, one of the two improvedclasses of automation can be taken intoaccount in efficiency calculations fornon‐residential buildings using certainparameters assigned to these classes.This applies to new buildings, as well asin case of calculations for existingbuildings (e.g., for the purpose ofenergy certification).

III. ENERGY PERFORMANCECERTIFICATES (EPCs)REQUIREMENTS

ΙΙΙ.i. Progress and current statuson sale or rental of buildings

Overview and administration system

The German building energy‐certificationsystem (first introduced in 2007) is basedaround independent experts, i.e., ownersin need of a certificate may contract anassessor from the ‘open market’. Theassessors act as independent experts andhave to fulfil a set of qualificationconditions. In order to implement theindependent control‐system according tothe EPBD, certain administrativeprovisions had to be added following therecent amendment of the EnEV (2013). Inparticular, register of assessors,registration of newly issued certificatesand a data model to carry out electroniccontrols were introduced. Also, theexisting penalty system with regard tocertification was revised.

In Germany, the 16 local governments(‘Länder’) are in charge of the control‐system and the general enforcement ofbuilding energy performance certification.The overall administration is run by theDIBt (‘Deutsches Institut für Bautechnik’),a common authority for mainly nationwideissues of building control. Because of thestrict data privacy law in Germany, thenewly introduced central database isrestricted to metadata (type of certificateand building, new or existing building,responsible local government, assessor).These data are accessible for theenforcing authorities and the individualexpert, but not for the general public.Further information gathered duringsample controls has to be madeanonymous afterwards. The anonymousdata can then be used for statisticalpurposes (e.g., to obtain informationconcerning the general state ofrefurbishment in Germany, as a whole orin a certain region).

The Energy Performance Certificates(EPC) in Germany can be grouped into twocategories according to the type ofassessment method: certificates based oncalculated energy demand andcertificates based on meteredconsumption. In doing so, all newbuildings and cases of major renovationmust have an EPC based on a calculationmethodology. The simpler metered energyconsumption method applies only for thefollowing:

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> existing residential buildings with atleast 5 apartments, where the influenceof individual user behaviour isstatistically balanced by the largenumber of users;

> existing residential buildings with lessthan 5 apartments, which at leastcomply with the first German ThermalInsulation Ordinance for thermalinsulation (1977);

> all existing non‐residential buildings.

How flats are certified in apartmentbuildings

In Germany, the certificates are generallyissued for the building as a whole, on thegrounds that heat flows betweenapartments are considered significant anddifferent EPCs for individual apartmentscould be misinterpreted in terms ofaccuracy. When a building is owned by agroup of owners of individual apartments(shared property), the obligation isaddressed to the specific group ofshareholders, even if only one of themintends to rent out or sell the apartment.The others benefit from the EPC issued atthis occasion, because the certificate willalso be valid for their apartments for thefollowing 10 years.

An exemption is foreseen for mixed‐usebuildings (residential mixed with non‐residential), where in certain cases twocertificates — one applying to residentialuse and the other to non‐residential useof the building — are issued.

Format and content of the EPC

The EPC format was introduced in 2007and amended twice (in 2009 and 2013).

Each certificate consists of five pages:

> Page 1 contains information about thebuilding, the selected calculationmethodology (asset rating or meteredrating), the source of the input data andthe assessor.

> Page 2 shows the results in case of assetrating (energy demand).

> Page 3 shows the results in case ofmetered rating (energy consumption).

> Page 4 includes recommendations andindividual comments by the assessor.

> Page 5 provides explanations concerningthe values and scales in the certificate.

There are different EPC formats forresidential and non‐residential buildings,however, both certificates shall, as far aspossible, follow the same structure.Figure 3 shows as example of the currentform for page 2 (showing the results in

case of asset rating) and highlights thechanges introduced in 2013.

Although detailed designs (includingcolours) are not mandatory, due tosoftware implementation combined with awidely used official printing tool, thecertificates mostly look as indicated inthe annexes of the EnEV.

EPC activity levels

Before 1 May 2014, there was noregistration of EPCs in Germany andtherefore there was no database and nocontrol system in place. Consequently,the certificates issued before this date donot have a registration number andcannot be subject to any controlactivities. The validity of thesecertificates (10 years) is however notaffected by the recent changes of theEnEV. Within the first 8 months of runningthe scheme (May 2014 to December 2014),DIBt registered 173,192 certificates basedon asset rating (energy demand), and149,016 certificates based on meteredrating (energy consumption). The averagemonthly number is now stabilised atapproximately 40,000 certificates. Due toother changes in the system, it is probablynot appropriate to assume that this wasthe monthly rate also in the period beforeMay 2014. Moreover, indicators show thata very large portion of certificates wasissued in 2008.

Figure 3:Page 2 of the EPC forresidential and non­residential buildings,(asset rating, version2013).

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Typical EPC costs

The Energy Saving Ordinance (or any otherlegislative act) does not include anyregulations with regard to the costsincurred in the energy certificationprocess. Therefore, there is no set pricefor the cost of an EPC. The price may bedetermined by the assessor and propertyowner individually and typically rangesbetween 50 € and 800 € for residentialbuildings. It can be assumed that the newadditional fees for registration (currentlyset at 4.50 €) have little or no effect onthe price of an EPC. There is no recentanalysis on the effects of the introductionof the database on the market price ofEPCs.

Assessor corps

When the system authorising the issuanceof EPCs was first introduced in Germany in2007, there was a need for opening up thepool of qualified assessors due to thelarge number of certificates required inthe first years of the scheme’s applicationand in order to keep the prices low. Theauthorisation of a professional to issuecertificates is based on the qualificationof the expert in question.

For new buildings, the preconditions toact as an assessor are defined by regionallaw. These experts —mostly architects andengineers — are also entitled to issuecertificates for existing buildings ofsimilar use and size.

Other experts intending to issue energycertificates for existing buildings mustidentify their personal qualifications andcheck whether they meet the conditionsset in the EnEV (§ 21). The individualrequirements for the qualification ofassessors for existing buildings includeoccupation (several different engineerqualifications and — for restricted fields ofactivity — building technicians and mastercraftsmen) and a corresponding level ofoccupational training and/or professionalexperience. The required qualificationsare described in an annex of the EnEV andseveral organisations offer customisedtraining. There is no official approval orcertification procedure. A professionalwho issues an EPC while not entitled to doso, breaches the regulations and can bepunished by law in the form of a fine. Therisk of facing possible fines/penaltiesshould prompt a potential assessor tocautiously examine whether he/she meetsthe conditions. Enforcement, also in thiscase, is a responsibility of the localauthorities who are due to act if aviolation is determined, e.g., via acomplaint.

Since the introduction of the independentcontrol system, experts intending to issuecertificates must register through apersonal account on the server of theDIBt. The creation of the account doesnot replace the ‘self certification’procedure described above. The DIBt isnot in charge of controlling the individualqualifications and additionalpreconditions of the expert for issuingcertificates. Currently, there are morethan 17,000 active expert accounts,including experts who perform inspections(AC systems); these are also entitled toissue certificates allowing synergeticeffects.

Compliance levels by sector

There is no recent study of thecompliance level including the impacts of

> the newly introduced control system;> the requirements concerning

advertisements;> the recent alterations about the clearly

defined onset of the requirement(advertisements, showing of houses).

The anticipated (but not yet scheduled)general evaluation of the EnEV (seesection I.i.) should, among other issues,cover this aspect of impact, enforcementand compliance. Since the control systemwas introduced in May 2014, significantresults are not yet available. Localauthorities will only have to submit adetailed report about the results of thecontrol system to the Federal Governmentby March 2017.

Enforcement with building owners andreal estate actors

The requirement to display or hand out acertificate of an apartment or buildingbecomes mandatory at latest at the timeof showcasing the apartment or buildingfor sale or rental to the prospective buyeror tenant. In case of non‐compliance,normally brought to light by a complaint,a penalty can be imposed on the owner ofthe building by the relevant buildingauthority (usually a local authoritydesignated by the respective region). Aspecial German market instrument, the‘warning notice’ (‘Abmahnung’, see belowin section III.iii.) issued by privatestakeholder organisations or bycompetitors, has sufficiently helped toachieve a high level of complianceespecially among estate agents andhousing companies. In view ofrequirements concerning advertisements(see section III.iii), property owners areregularly being pressed by their estateagents — who as professionals fear a

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‘warning notice’ — to have a certificateissued before any showing of the propertyto prospective owners or tenants.

Quality Assurance (QA) of EPCs

The recently introduced German approachof an independent control system workseffectively and allows to keep bothefforts and costs as low as possible. Theliberal approach of a free market withoutofficial state approval was a barrier to thesetup of the independent control system,as was the protection of data privacy forproperty owners, which is held in highregard in Germany.

For this reason, the control system has towork without a general data retention ina central database. A commissioned andauthorised body (’Deutsches Institut fürBautechnik – DIBt’) holds a central EPCregister without collecting all thecontents of the issued EPC. The registercollects data from the assessorconcerning the type of EPC issued and thelocation of the building. Each certificateis granted an individual registrationnumber and can be part of the randomquality checks. The contents of thecertificate and additional input data willonly be collected for certificates that arepart of the random samples. For thepurpose of a later long‐term storage in adatabase, the datasets have to be madeanonymous due to the above mentioneddata privacy rules, after all checks havebeen completed.

Checks are organised in accordance withthe three options of the Directive2010/31/EU. The first step of plausibilitychecks (option A: validity check of inputdata of the building) is currently carriedout automatically by DIBt on behalf oflocal authorities. For the year 2014,samples in the order of 5% (about 16,000certificates overall) are selected withrespect to type and location of thebuilding for the automatic checks. Theresults are communicated to relevantlocal authorities (based on location of thebuilding) and the assessor. Further andmore detailed controls (option B: checkof the input data and verification ofresults and option C: full check of theinput data and results, possibly includingsite visit) are the responsibility of localauthorities who are able to impose fines(up to 15,000 €) in case of violations ofregulations on certification. For example,this could include incorrect issuing ofcertificates, refusal to issue or to submita certificate, or deliberate inclusion ofincorrect information in energycertificates.

For existing buildings, according to theEPBD, checks for appropriate samples ofEPCs dated from 2014 will be carried outin 2015. Details and size of the sampleare under consideration by a task force ofcompetent regional authorities; thequotas will probably be set at the level of0.5% for option B and 0.1% for option C.

With regard to new buildings, such checksare already subject to the building codesof several regions.

The first results of the analysis of thesamples from 2014 (16,105 EPCs checkedin option A, and a further ca. 1,900foreseen for options B and C) areexpected in 2015. For earlier years (2012and 2013), a control of statisticallyrepresentative samples was (and still is)not possible, due to the absence of aregistration service or database.

ΙΙΙ.ii. Progress and current statuson public and large buildingsvisited by the public

Overview

With the adoption of the Directive2010/31/EU, the German transposition onDisplay of Energy Performance Certificateswas updated.

There may as well be cases where theformer Directive 2002/91/EC demanded apublic display, but the new wording of theDirective 2010/31/EU would not demandone. On the other hand, a new, separaterequirement to display the EPC addressesall cases of buildings frequently visited bythe public, though only if a certificate hasbeen issued. The German transpositionensures that buildings subject to thedisplay requirement already before the2013 amendment of the EnEV will also besubject to the display requirement in thefuture. This applies to, e.g., publictheatres and schools. Non‐public buildingsin Germany frequently visited by thepublic — in accordance with the Directive2010/31/EU — must meet a displayrequirement only when a certificate isalready issued, or as soon as a certificateis issued on the account of future sale orrental.

A display may either consist of all 5 pagesof the certificate, or include a reducedsingle‐page display. Figure 4 shows thedisplay format for asset rating.

Format and content of the EPC

The German legislation does notdistinguish between public and largeprivate buildings visited by the public andother non‐residential buildings. Thedisplay form is an integrated part of every

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certificate for a non‐residential building.The owner may display an EPC on avoluntary basis, even if not required to doso. If a certificate was issued underformer legislation, a new display (e.g.,needed because of new thresholds) basedon this certificate must mention theapplied version of the ordinance, but isotherwise not due for an update.

Frequency of updating

Certificates, as well as displays, are validfor a maximum of 10 years from the date ofissuance and can be used in their originalform during this period even if new formsare introduced by an amended ordinancefor newly issued certificates. When a majorbuilding refurbishment is underway and acalculation of the energy demand is carriedout in the course of these measures, aformer energy certificate loses its validityand a new one has to be issued based onthe recent calculation.

Activity levels

The display number of EPCs has not beenanalysed yet. This will probably beincluded in the upcoming generalevaluation of the EnEV (see section I.i.).In order to set a positive example forother authorities, the federal governmenthas implemented a programme from 2007to 2010 to ensure that also buildingsoccupied by federal ministries and higherauthorities — i.e., buildings frequentlyvisited by the public — are equipped withcertificates and displays. In theframework of this programme, about 35

federal state buildings in Berlin and about45 buildings in Bonn displayed theircertificates without obligation to do so,because of being ‘frequently visited bythe public’. Whenever a building ownedand occupied by the federal governmentis subject of major refurbishment, acertificate is created and displayed evenwithout any existing obligation.

Costs

There are no studies indicating themarket prices of certificates for thisgroup of buildings. During a study aboutenergy certificates for non‐residentialbuildings carried out in 2011, professionalowners were asked about the priceacceptability for a certificate for asimple, square, non‐residential buildingwith a single use. The replies ranged froman average of about 800 € for a certificatejust meeting the minimum requirementsto an average of 1,400 € if the certificateprovides really useful information.

Assessor corps

The assessor corps for non‐residentialbuildings is more or less identical to theone for residential buildings, with theexception of master craftsmen andbuilding technicians. Engineers andarchitects fulfilling the requirements ofthe EnEV (section III.i.) are entitled toissue certificates for all types of existingbuildings, but apparently some qualifiedassessors refrain from doing so for non‐residential buildings as the regulationsand the technical aspects in this field aremore complicated.

Quality Assurance (QA) of EPCs

In general, the German legal systempostulates full compliance when anauthority is the addressee of a regulation.Higher authorities are obliged tointervene if an authority under theirresponsibility does not fully comply withthe law. A system of penalties and fines istherefore unnecessary for the prosecutionof authorities that own or rent suchbuildings with display obligation for theirpurposes. For private owners, theissuance of the certificates is liable topenalties. However the recentlyintroduced obligation to displaycertificates in case of non‐public use withfrequent visitation is not yet subject topenalties.

Certificates for public buildings aresubject of the newly introduced controlsystem as well. The first results are alsoexpected from the 2014 samples underanalysis.

Figure 4:Display EPC in case

of asset rating(version 2013).

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III.iii. Implementation ofmandatory advertisingrequirement

The mandatory advertising requirementwas introduced with the 2013 amendmentof the EnEV and came into force on 1 May2014. This obligation applies toadvertisements in all commercial media(print and online, also estate agentsdisplays, with the exception however of,e.g., whiteboards provided for free inother places and advertisements of atenant looking for a follower). Theadvertising requirement is supported by aprovision about penalties, addressingowners and — indirectly — estate agentsacting on behalf of the owners.

Shortly after the introduction of thisobligation it became evident that there isno real need for penalties. A specificGerman market instrument, the so‐called‘warning notice’ (‘Abmahnung’) issued byprivate stakeholder organisations or bycompetitors, has contributed to the highlevel of compliance especially among realestate brokers and housing companies.This instrument works as follows:specialised legal professionals observe themarket on behalf of stakeholderorganisations, or of competing estateagents. As far as the advertisingrequirement is concerned, whenever anadvertisement lacking the due energyefficiency indicators is spotted, an officialletter is send out to the party at faultdemanding a declaration that this personor organisation will respect the regulationin the future. This warning letter entailsalso a significant fee for the lawyer andsometimes a compensation for theaffected competitor. The addressee mightfile a lawsuit to avoid these payments,but normally will refrain from doing sobecause of legal costs and an unsureoutcome. Legal professionals who issuesuch letters have a strong motivationbecause of easily earned fees. Even incases when the certificate is not due(e.g., for monuments) or not yet due(e.g., for unfinished new buildings), realestate agents tend to advertise energyperformance indicators just to avoid thelegal implications of ‘warning letters’.

In detail, the new regulation lists up tofive indicators that must be published indifferent cases (e.g., for residentialbuildings: type of certificate, value ofdelivered energy, energy carrier, year of

construction and energy class, ifapplicable). This quite extensive set ofindicators is owing to the fact thatGerman certificates (until recently) didnot generally provide a single indicatorfor energy performance, but a set ofdifferent indicators without a fixedclassification system.

Several supporting instruments areprovided, e.g.:

> an official guideline for owners andestate agents on identifying theindicators in the current seven differenttypes of energy certificates forresidential buildings and six differenttypes for non‐residential buildings; thisguideline is focused on the ‘old butvalid’ generation of certificates, sincethe current version contains clearinstructions;

> a smartphone app (Figure 5) usable alsoas online assistance to identify validenergy certificates and to find thecorrect indicators[4] and

> a list of abbreviations developed by thenewspapers and published as header onrelevant pages.

Figure 5:Smartphone app todetermine theindicators foradvertisements(Android, screenshot).

[4] www.immoenergie.de; (German only; offline usable with Android).

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ΙΙΙ.iv. Information campaignsThe Federal Government published twoinformation brochures (Figure 6) aboutenergy certificates according to theformer version of the EnEV, one for thegeneral public and one for experts andowners dealing with certificates for non‐residential buildings. Both brochures werein high demand. The first one informedcitizens on various issues of the energyregulations. An update of this brochure isunderway, but the publication waspostponed until 2015 due to the majorchanges of responsibilities within theFederal Government. The re‐editing ofthe second brochure is underconsideration. Meanwhile, additionalinformation (including FAQs) is providedon official websites. In addition,stakeholders (e.g., consumerorganisations, house owner federations)also publish information material for theirown clientele.

ΙΙΙ.v. Coverage of the nationalbuilding stockIn absence of a registration system before1 May 2014, there is no data available toindicate the coverage of the buildingstock with certificates. Taking intoaccount earlier evaluations[5], and thefact that for every new lease of a singleapartment in a building a certificate hasto be issued for the whole building, beingthus valid for all the apartments of thebuilding in question, it can be assumedthat housing companies with multi‐familyrental buildings reached a nearly fullcoverage already in 2008 for their8.4 million apartments (in about1.2 million buildings). On the other hand,

private homes presented a low coverageat the time of the evaluation study. Thesame appears to apply to privately ownednon‐residential buildings, without thoughany statistical evidence. According tointernal reporting by organisations of thefederal and local governments, publicbuildings appear to have certificates intheir ownership as far as they wereconstructed after 2007, or as far asdisplay of energy certificates wasrequired, however, there is no statisticalevidence to support such a presumption.The same assumption applies to municipalbuildings as well.

The total building stock in Germany bythe end of 2012 amounted to roughly18 million residential buildings and about3 million thermally conditioned non‐residential buildings. Based on thenumber of EPCs issued since registrationbegan in 2014, and indications that 10times that number of EPCs were issuedprior to that date, it is estimated that 10%of the German building stock is alreadycovered by certificates.

Indicators about the conditions leading tothe issuance of certificates (e.g., sale anddisplay obligation) could be laterextracted from the control‐samples.

IV. INSPECTIONREQUIREMENTS – HEATINGAND AIR­CONDITIONING (AC)SYSTEMS

In the course of the implementation ofDirective 2002/91/EC, Germany decidedto adopt different approaches for heatingand boiler inspections (alternativemeasures), and for the inspection of ACsystems (inspections). This decision wasmade based on the requirements alreadyin place in Germany. The already existingscheme for boiler inspection, does notcover all the provisions of the directive.In addition, there has been a long‐termapproach in place since 1978 providingfor mandatory requirements for heatingsystems. These measures have resultedin a relative high standard for existingheating systems, thus reducing theprobable impact of inspections of theaccessible parts. For this reason,Germany decided to follow the‘alternative measures’ approach forheating systems.

For AC systems, there were no similarmeasures in place until 2007. As a result,it was decided to follow the inspectionoption for AC systems.

[5] www.bbsr.bund.de/BBSR/DE/Veroeffentlichungen/BMVBS/Online/2010/DL_ON062010.pdf?__blob=publicationFile&v=2 (German only)

Figure 6:Brochures for the

information of citizensabout energy

certificates andrequirements; new

editions are expectedin 2015.

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With the introduction of the Directive2010/31/EU, Germany carried on withboth these approaches:

> for heating systems, a combination offunding and information campaigns,requirements for replacement andcompulsory updates, and inspection ofboilers, including pumps and boilercontrols;

> for AC appliances with an individualrated output exceeding 12 kW, amandatory inspection scheme, whichwill be completed by an independentcontrol system for inspection reports,carried out by the same organisations asthe control system for energycertificates.

Inspections of AC systems as well as thepackage of equivalent measures forheating systems, are not systematicallylinked to activities according to Article 4 ofthe EED for building renovation. In futurereports about equivalence, any possibleoverlap will be taken into account.

IV.i. Alternative measures,heating systems

Report on equivalence

Germany has reported to the Commissionthe selection of ‘alternative measures’three times under the Directive2010/31/EU. In 2013, a calculationshowed that the above mentioned systemof recurring measurement of boilers(especially with view to the severeenforcement leading to compulsoryshutdown of faulty boilers) in combinationwith a funding scheme for replacement ofconventional boilers with heat generatorsbased on renewables, led to energysavings exceeding by far those of aninspection scheme for accessible parts ofheating systems.

The report lists two kinds of alternativemeasures:

1. Measures with detailed impactassessment based on ‘hard’ market figures:

> recurring on‐site measurements for allboilers according to the Germanenvironmental law, based on thestatistics of the chimney sweeperassociation, with careful extrapolationto the future;

> funding[6] scheme for systemrefurbishment, only partially included inquantitative analysis because of overlaps;

> funding scheme ‘MAP’ concerning thereplacement of conventional boilerswith renewable‐powered heat

generators, based on the statistics ofthe funding organisation with carefulextrapolation to the future.

2. Other measures supporting the abovementioned (without numerical evaluationin the report):

> detailed enforcement of the regulationson shutting down old boilers (plus theirreplacement by other, more efficientheat generators) and compulsoryinsulation of pipes;

> other compulsory measures withoutsystematic enforcement (e.g., insulationof formerly uninsulated pipes);

> information campaigns by federal andregional governments, tradeassociations and privately driveninitiatives.

Impact and equivalence assessment

The most recent report states that theimpact of the alternative measures listedabove under point 1 amounts, in terms ofprimary energy savings, to 3,860 GWhwithin the timeframe 2014‐2016 (ex‐anteanalysis) compared to the savings thatcould be produced by an inspectionscheme amounting to only 1,051 GWh inthe same timeframe.

The calculation was facilitated by areliable set of data and a calculationframework providing figures to estimatethe improvements. The ex‐post analysiscould make use of the yearly statisticalreports provided by the association ofchimney sweepers and thedocumentations about funding.

Costs and benefits

The benefits stated above can beattributed to systems introduced andrunning for other purposes. Therefore, theabove mentioned benefits are not linkedto additional costs for inspections, whichwould have to be paid by the owners of thebuildings. It can be assumed that the‘saved’ costs for avoided inspectionsenhance the ability of the owner to investin refurbishment, hopefully forimprovement of the energy performance.

IV.ii. Progress and current statuson AC systems

Overview, technical method andadministration system

Regular inspections for AC systems aremandatory since 1 October 2007. Alsomandatory is the regular maintenance ofenergy‐related components of AC andventilation systems by a professional

[6] The scheme is about the introduction of renewables by replacing non­renewable heat generation.

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technician. The intervals for the lattershould be fixed according to the manualsand must consider the needs (sizing) ofthe individual installation. The mandatorymaintenance allows for a longer intervalbetween inspections.

Every AC unit with a thermal output ofmore than 12 kW must undergo aninspection by an engineer specialist every10 years. The scheme was first introducedin 2007 and established deadlines for thefirst inspections based on the age of thesystem by 1 October 2007: systems olderthan 20 years had to undergo the firstinspection within 2 years, systems olderthan 12 years within 4 years and systemsaged from 4 to 12 years within 6 years fromthe start date. Following the 1st inspection,further inspections are due every 10 years.This scheme was not changed with therecent amendment to the law, butprovisions on registration and formal issuesin order to identify the registeredinspection report were introduced.

In particular, the engineer must inspectthe appliance to check whether it meetsthe individual demands of the buildingand whether it requires modernisation.The inspector must providerecommendations for improving thesystem efficiency or replacing the system,according to the EPBD.

A compulsory inspection method was notlegally introduced, but DIN recently issueda (non‐compulsory) National Annex to EN15240 as a guideline for inspectors.

Arrangements for assurance, registrationand promotion of competent persons

The inspection report is subject to anindependent control system run by theregional authorities in the same way andusing similar means as the control systemfor energy certificates. For this purpose,the experts, as well as their reports, haveto be registered with the ‘DeutschesInstitut für Bautechnik (DIBt)’. Thisauthority will also provide statisticallyrepresentative samples of inspectionreports issued in a certain year for thepurpose of control by regional authorities.

Registration of experts started in early2014, while registration of reportsbecame mandatory as of 1 May 2014.Therefore, the experience with regard tothe registration system is only recent.Assessors are now obliged to keep thereports issued, together with the data andevidence used to create the reports, andmust provide these to the controllingauthority when selected to be part of thesample for independent controls.

Promotional activities

As the inspection scheme is in place since2007, owners should be aware of theirobligation and of possible penalties incase of not having their AC systemsinspected. Because the total number andlocation of the AC systems due forinspection is unknown, systematicenforcement is not possible. The systemso far relies mainly on promotion. Theintroduction of the control scheme hasbeen featured in many professionaljournal publications. The nationalorganisation representing AC systeminstallers is currently promoting the issuethrough the customer relationsdepartment of installation companies.

Enforcement and penalties

Owners who fail to have their AC systemsinspected, or who do not order aninspection in due time risk exposure topenalties. Inspectors who carry outinspections without possessing theappropriate professional education (legallydefined degrees of engineering), or thosenot having the required professionalexperience, can also be prosecuted andpenalised. The registration scheme isexpected to facilitate the enforcement ofpenalties in the future. Withoutinformation on the number of AC systems,nor their size, age and location, competentauthorities may currently enforce only theobligation of the owner (to assign theinspection to an assessor in due time)mainly by addressing complaints.

Indicators show that there is room forimprovement, especially concerningowners who fail to order an inspection indue time. There is currently an ongoingdiscussion on how to improve theenforcement, considering also the use ofevidence from energy certificates forcross‐checking.

Quality control of inspection reports

Competent regional authorities plan toenlist the help of highly experiencedexperts for control checks of issuedinspection reports in order to enhanceenforcement. A structured, semi‐automatic control protocol andaccompanying guidelines are currently inpreparation for experts checkinginspection reports on behalf of theenforcing local authorities, in order toensure equal control criteria. Samples ofinspection reports are currently beingcollected awaiting control in bundles assoon as the systematic scheme isapproved in 2015.

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Inspection activity figures

Current observations of registeredinspection reports show an almost steadyrate of about 150 inspection reports permonth since registration becamecompulsory in May 2014. Consequently,the overall number of registeredinspection reports issued in 2014 is about1,200. Decisions about the precise size ofthe sample due to be checked are stillpending, but there is no doubt that asignificant number of reports issued in2014 will be included.

Impact assessment

Stakeholders, and in particular theassociation of installers, attribute greatbenefits to the inspection of AC systems,not only relating to the improvement ofenergy performance in this sector, butalso to promoting innovation and ensuringsufficient work demand for the installers.A recent study[7] highlights possibleimprovements and additional impactsfrom the installers point of view. Thestudy also shows, in a very detailedmanner and for different systems andtheir components, how costs ofinvestments and benefits are connectedto the improvements achieved byfollowing recommendations. However, itdoes not address the issue of inspectioncosts, neither specifically for the differentsystem dimensions and designs, nor asaverage costs. As per free market rules,there are no legal instructions about theinspection fees other than the fees for theregistration process (a few € per issuedreport).

3. A success story in EPBDimplementation

Interdisciplinary standardisation leadsto better understanding

The German transposition of the EPBD isclosely linked to a great effort instandardisation, using a new form ofinterdisciplinary collaboration and leadingto a unique and exemplary result, the all‐in‐one calculation method DIN V 18599 forenergy performance of buildings.

During the implementation phase andrelated activities for the Directive2002/91/EC in the years before 2006, theGerman government instigated thedevelopment of a holistic calculationmethod covering all the aspects

mentioned in Annex I of this directive.The method is presumed to be suitable fordifferentiating between the different usesand combination of uses identified intypical German non‐residential buildings.The differentiation should, on the onehand, lead to a realistic calculated energydemand value that is comparable with themetered consumption under the sameconditions of use. On the other hand, thecalculation is expected to handle thedifferent systems and respective solutionsin a way that their specific energy needsare expressed realistically and thatpossible improvements on each systemcan be identified and compared to others.

For the purpose of this standardisationprocess, the German standardisationinstitute (DIN) established aninterdisciplinary committee that combinesknowledge from the areas of buildingphysics, heating and hot‐water systems, ACand ventilation systems and lighting in theform of different sectoral committees. Theaim was to develop a standard thatcalculates the energy performance in aunique calculation kernel with well alignedcontributions from all systems, usingdefined internal interfaces.

The work resulted in a first version of thepre‐standard DIN V 18599 which wasissued in 2005 and used to set up theGerman regulations and to carry out fieldtests for energy certificates, especiallyfor non‐residential buildings. Theexperience gained in practice led to thefirst amendment (2007‐02), which wasused as a compulsory method assigned tothe EnEV from 2007 until early 2014. The10 parts of the 2007 version (Figure 7)were implemented in nearly 20 differentcommercial software packages. Thesecond amendment in 2011 furtherimproved this work and an eleventh part,dealing with building automationconcepts, was added. The 2011 version ofDIN V 18599 was legally introduced withthe 2013 amendment.

The standardisation process led to afruitful and exemplary cooperation ofexperts from very different backgrounds.This became the basis for betterunderstanding among the differenttechnical disciplines involved. DINdeveloped a new command structure inthis field to overcome the differences instandardisation cultures and languages ofthe technical disciplines now workingtogether with a common goal, i.e., toachieve energy performance calculation.

[7] Schiller, H.; Mai, R.; Haendel, C. “Chancen der Energetischen Inspektion für Gesetzgeber, Anlagenbetreiber und dieBranche”, Fraunhofer IRB­Verlag, Stuttgart, 2013 (German language).

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The technical basis for DIN V 18599comprises several approved internationalstandards (e.g., EN ISO 13789, EN ISO13790). The calculation procedure is inprinciple in line with other CEN standardsfrom the mandate 343, being thoughmuch more consistent, unambiguous andclear to the users because of the ‘all inone place’ approach. Moreover, the‘common language’ and consequent use ofindicators and indices throughout thisunique standard facilitates its use forlegal purposes.

4. Conclusions, future plans

As odd as it may seem, since there are alot of advanced buildings and a relativelyambitious level of energy performancerequirements in the country, Germany haspostponed thus far the publication of thedetailed definition of Nearly Zero‐EnergyBuildings (NZEBs). Currently, one in twonew residential buildings exceeds therequirements sufficiently so as to receivefunding from the KfW funding bank.

The reason behind Germany’s holdingback is that the nearer to the point ofintroduction we stand, the moreambitious the energy levels for NZEBs canbe set considering the economiccircumstances: new technologies arebeing introduced, craftsmen andarchitects are getting acquainted with the

specificities of energy efficient building,energy prices are rising (at least in thelong term), whereas costs for energysaving measures are decreasing, andpublic awareness is growing. All thesefactors are conducive to an ambitiouslevel of requirements.

The detailed determination of the NZEBlevel is to be completed before 2017. Τhistask has been assigned to the governmentby the parliament within the EnergySaving Act 2013. In order to prepare forthis step, the Federal Institute forResearch on Building, Urban Affairs andSpatial Development has commissioned,on behalf of the government, severalstudies to determine the cost‐optimallevel for the next decade, identify thebest way for establishing therequirements, update certain elements ofthe use patterns, align the differentpresent legislative acts and, hopefully, tomake it all as easy as possible.

In general, the German public is alreadyaware of the need to improve the energyefficiency of new buildings. On the otherhand, there is a strong need to deal withthe shortage of affordable apartments inmany urban regions. Politicians will haveto ensure that NZEB levels are not inconflict with affordable costs for housing.As half of the German households live inrented accommodations, they are wellaware of the increase of the ‘second rent’consisting mainly of energy costs andadding to the rising, and, for people withlower income, sometimes nearlyunbearable costs of the rent itself. Everyeffort to reduce energy costs nowadayshelps to reduce the overall costs ofhousing, especially if the requirementsare set out with care to avoidunreasonable construction costs.

It is also clear that a reduction of CO2emissions can only be reached byimproving the energy efficiency of thecurrent building stock. Specificrequirements need to be applied in thisarea in case of refurbishment, but areasonable level must be found first. Toostrict requirements could result ininvestment reluctance. There is a hugetask ahead for the building stock of thefuture to meet climate‐neutral levels, andpotential investment in energy efficiencyshould under no circumstances bediscouraged!

Figure 7:Structure of German calculation standard DIN V 18599.

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The sole responsibility for the content of this report lies with the authors. It does notnecessarily reflect the opinion of the European Union. Neither the EASME nor theEuropean Commission are responsible for any use that may be made of the informationcontained therein.

The content of this report is included in the book “2016 – Implementing the EnergyPerformance of Buildings Directive (EPBD) Featuring Country Reports”,ISBN 978‐972‐8646‐32‐5, © ADENE 2015

More details on the IEE Programme can be found atec.europa.eu/energy/intelligent

This individual report and the full 2016 book are available atwww.epbd‐ca.eu and www.buildup.eu

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