Zero

Energy
Mass
Custom
Home

2015

OAPPC Provincia di Bari

International Conference
September 22 | 23 | 24
Lecce, Italy

Edited by
Haim Altan
Alberto La Tegola
Eliana de Nichilo

International Conference
September 22 | 23 | 24
Lecce, Italy

Edited by
Haim Altan
Alberto La Tegola
Eliana de Nichilo

Publisher

ZEMCH 2015
International Conference | Lecce, Italy
Conference Chair
Prof. Alberto La Tegola - University of Salento, Italy
Scientific Chairs
Prof. Haim Altan British University in Dubai, UAE
Prof. Alberto La Tegola - University of Salento, Italy
Board of Referees
Alberto La Tegola
Antonio Frattari
Kheira Anissa Tabet Aoul
Arman Hashemi
Dayana Bastos Costa
Ercilia Hitomi Hirota
Karim Hadjri
John Onyango, Sara Wilkinson
Jun-Tae Kim, Karl Wagner
Liangxiu Han
Masa Noguchi
Francesco Micelli
Local organizing Commitee:
Alessia Imma Aquilino
Pasquale Capezzuto
Massimo Crusi
Daniele Lorenzo De Fabrizio
Eliana de Nichilo
Alberto La Tegola
Carola La Tegola
Francesco Ruggiero
Vincenzo Sinisi
Graphic design
Nino Perrone
ISBN 9788894152609
Ordine degli Architetti Pianificatori Paesaggistici
della Provincia di Bari
Registered with Cancelleria Tribunale di Bari - Aut. n. 3 del
16/01/2016
All rights reserved
2015 Ordine degli Architetti Pianificatori Paesaggistici
della Provincia di Bari
No part of this book may be used or reproduced in any
manner without written permission from the publisher,
except in the context of review.
This publication was made possible thanks to the
contribution of Monte dei Paschi di Siena
Printed December 2015

Organizing partners

Politecnico di Bari
Ordine degli Architetti
Pianificatori, Paesaggisti
e Conservatori
della Provincia di Lecce

Ordine
degli Ingegneri
della Provincia
di Bari

ordine
ingegneri
provincia
di lecce

Scientific Partners

Cambridge University Engineering Department

Centre for Sustainable Development

UNIVERSIDADE FEDERAL
DA BAHIA - UFBA

Partners

Technical Sponsor

ANCE

ASSOCIAZIONE NAZIONALE
COSTRUTTORI EDILI
Bari - BAT - Lecce

Sponsor

Sommario

PREFACE / FORWARD
Hasim Altan, Alberto La Tegola

10

THE APULIAN WAY TO SUSTAINABILITY

Alberto La Tegola, Eliana de Nichilo

14

ZEMCH 2015 - BARI LECCE 21ST 25TH

SEPTEMBER
Arch. Vincenzo Sinisi, Arch. Massimo Crusi, Ing.
Domenico Perrini. Ing. Daniele Lorenzo De
Fabrizio

19

33

47

61

75

89

99

FEASIBILITY OF APPLICATION OF MODERN

METHODS OF CONSTRUCTION IN IRAN
Arman Hashemi, Masa Noguchi, Hasim Altan
DEVELOPING ENVIRONMENTAL PRACTICES
FROM SOCIAL ASPECTS: A CASE STUDY OF
DUBAI
Dania Tachouali & Hasim Altan
MEASURING AND PREDICTING
RESIDENTIAL MARKET ACCEPTANCE
FOR PHOTOVOLTAIC TECHNOLOGIES IN
MELBOURNE VICTORIA
Neville Hurst, Sara Wilkinson
CONCEPTUAL UNDERSTANDING OF
SUSTAINABILITY IN BUILT ENVIRONMENT
PROFESSIONALS
Sara Wilkinson
UNCERTAINTY EFFECTS OF INPUT DATA
ON COST OPTIMAL NZEB PERFORMANCE
ANALYSIS
Seyedehmamak Salavatian,
Elisa Di Giuseppe & Marco Dorazio
HOUSEHOLD LIFESTYLE AND ITS IMPACTS
ON ENERGY CONSUMPTION IN BEIJING
Nianxiong Liu, Dan Mo, Bing Chen,
Muzhou Wang
FINANCIAL ANALYSIS OF GREEN MOCKUP BUILDINGS IN TROPICAL EMERGING
COUNTRIES
Karl Wagner,
Gabriele Arese & Alberto De Marco

111 INTEGRATING TOURISM WITH RURAL

SUSTAINABLE DEVELOPMENT IN EGYPT:
CASE STUDY OF FAYOUM OASIS
Hagar M. Shalaby, Aia Sherif2 & Hasim Altan
123 TURKEYS ENVIRONMENTAL ISSUES AND
CHALLENGES TOWARD SUSTAINABILITY
Saja B. Nazzal & Hasim Altan

135 SUSTAINABLE SOLUTIONS FOR THE

PHILIPPINES BUILT ENVIRONMENT DUE TO
NATURAL DISASTERS
Salma Al-Zahabi & Hasim Altan
151 THE UNIVERSITY CAMPUS AS A MODEL
OF ENVIRONMENTAL AND SETTLEMENT
SUSTAINABILITY
Carla Chiarantoni & Calogero Montalbano
171 BUILDING RENOVATION, SUSTAINABILITY
AND URBAN REGENERATION
Rosa Maria Vitrano
181 SUSTAINABILITY ASSESSMENT
AND BUILDING PERFORMANCE ON
CONSTRUCTION PRACTICES IN THE UAE
Nadia Al Badri
193 A CLOSER LOOK AT SUSTAINABILITY
PRACTICES: LESSONS FROM THE UK
Yumn Nanaa & Hasim Altan
209 VERNACULAR ARCHITECTURE OF SOUTH
OF IRAN, EVAZ: DEVELOPING A SOLUTION
FOR FUTURE DESIGNS
Fatima Mirahmadi & Hasim Altan
225 EVALUATION AND VISUALISATION
OF THERMAL PERFORMANCE
OF INDUSTRIALISED HOUSING
CONSTRUCTION IN CENTRAL MEXICO
Habid Becerra-Santacruz,
Panagiotis Patlakas & Hasim Altan
241 MODELLING OCCUPANT ACTIVITY
PATTERNS FOR ENERGY SAVING IN
BUIDINGS USING MACHINE-LEARNING
APPROACHES
Jose Luis Gomez Ortega & Liangxiu Han
255 AN OVERVIEW OF BUILDING
SUSTAINABILITY RATING SYSTEMS IN THE
MIDDLE EAST
Sundus L. Shareef &Hasim Altan
269 SOFTWARE FOR THE HEAT FLOW
EVALUATION OF THE NEARLY-ZERO
HOUSES
Antonio De Vecchi, Simona Colajanni, Elsa
Sanfilippo, Luigi Alessandro Licalsi, Angela
DAraio, Marianna Di Salvo
279 USING 4D BIM IN THE RETROFIT PROCESS
OF SOCIAL HOUSING
Fernanda J. Chaves, Patrcia Tzortzopoulos,
Carlos T. Formoso & Jeferson Shigaki
291 EXPLORATION OF THE ZEMCH WORKSHOP
USP 2015
Karin Chvatal, Kelen Dornelles, Bruno Damineli,
Akemi Ino, Lcia Shimbo & Masa Noguchi

307 THE GREEN SPACE EXPLORED IN

DIFFERENT INDIVIDUAL HOUSING
TYPOLOGY, ALGERIA
Kheira A. Tabet Aoul, Wessal Keddah
319 AN EXAMINATION OF THE RELATIONSHIP
BETWEEN BUILDING INTELLIGENCE
AND SUSTAINABILITY USING LEED AND
BREEAM CERTIFIED CASE STUDIES IN THE
UK AND EUROPE
Tulika Gadakari,
Karim Hadjri & Sabah Mushatat

473 THE PAVILIONS OF EXPO 2015 IN MILAN,

AS A PRIVILEGED OBSERVATORY
ABOUT THE CONCEPT OF SUSTAINABLE
CONSTRUCTION IN ALL LANGUAGES OF
THE WORLD
Alberto La Tegola
489 PERSONALISATION STRATEGIES AND
RESIDENTIAL SATISFACTION IN CHILEAN
SOCIAL HOUSING
Victor Bunster, Masa Noguchi Rodrigo GarcaAlvarado & Tom Kvan

333 DESIGN DECISIONS AIMED AT REDUCING

WASTE IN THE CONSTRUCTION OF LIGHT
WOOD FRAME LOW-INCOME HOUSING
Carina F. Barros Nogueira, Fernanda A. Saffaro,
Sidnei J. Guadanhim & Erclia H. Hirota

503 OPPORTUNITIES AND CHALLENGES TO

MASS CUSTOMIZE LOW-INCOME HOUSING
IN BRAZIL
Patrcia A. Tillmann, Carlos T. Formoso,
Patrcia Tzortzopoulos

349 POST-CONFLICT SUSTAINABLE

DEVELOPMENT OF BAMIYAN CITY IN
AFGHANISTAN
Farah Al Amin & Hasim Altan

517 STUDY OF MODULAR, FLEXIBLE,

CUSTOMIZABLE HOUSING MODELS FOR
MASS PRODUCTION, WITH LOW ENERGY
CONSUMPTION
Domizia Mandolesi, Ilaria De Marco, Ilaria
Vergori

361 CORPORATE SOCIAL RESPONSIBILITY

PRACTICES: A CASE STUDY OF A
CONSTRUCTION COMPANY IN UNITED
ARAB EMIRATES
Godwin Francis, Nada El Bana & Hasim Altan
377 ISTANBUL TOWARDS SOCIAL
SUSTAINABILITY:
A REVIEW ON ISTANBULS SOCIAL
CONDITIONS AND DEVELOPMENTS
Lama A. Mouileq & Hasim Altan
389 SUSTAINABILITY PROPOSAL FOR
ENVIRONMENTAL IMPACT OF
POPULATION, AFFLUENCE AND
DEVELOPMENT ON INDONESIA
Mahbouba M. Karima & Hasim Altan
399 SUSTAINABILITY IN NATURE: LESSONS FOR
YAS ISLAND HOUSING COMMUNITY IN ABU
DHABI
Nada El Bana, Marwa Yousuf & Hasim Altan
419 DEPLOYMENT OF SUSTAINABLE
PRACTICES ON CONSTRUCTION SITES
Natasha Ilse Rothbucher Thomas & Dayana
Bastos Costa
431 ENVIRONMENTAL BEHAVIORS OF
MODULAR NEIGHBORHOODS THROUGH
CURRENT REGULATIONS ESTIDAMA, UAE
Oraib K.A.M. Al Abbadi & Hasim Altan
447 DESIGN DECISION-MAKING PROCESS OF
AFFORDABLE LOW ENERGY HOMES IN
LATIN AMERICA
Pablo Jimnez Moreno and Masa Noguchi

529 BPM AND LSS AS ENABLERS OF MASS

CUSTOMIZATION IN CONSTRUCTION
Mara Dolores Andjar-Montoya,
Virgilio Gilart-Iglesias, Andrs Montoyo &
Diego Marcos-Jorquera
543 A DESIGN PROCESS PROPOSAL TO
BRAZILIAN GOVERNMENTS SOCIAL
HOUSING PROGRAM
Sidnei Jr. Guadanhim, Jorge Daniel de Melo
Moura, Erclia Hitomi Hirota, Hana Beatriz
Cardoso El Ghoz & Fernanda Aranha Saffaro
563 INTEGRATION OF SOLAR ENERGY SYSTEMS
TO REDUCE ENVIRONMENTAL IMPACTS IN
KUWAIT
Mohammed Bou-Rabee, MagdySaadSaleh,
Suhaila Marafi
571 TOWARDS NZEBS: INNOVATIVE
MATERIALS AND TECHNOLOGIES FOR NEW
SUSTAINABLE ENVELOPE
Cecilia Mazzoli, Nicola Bartolini, Riccardo Gulli
583 ECO-FRIENDLY MATERIALS FOR THE
ENERGY RETROFIT OF EXISTING
BUILDINGS
Antonio De Vecchi, Antonino Valenza, Simona
Colajanni, Elsa Sanfilippo
593 ENVIRONMENTAL PERFORMANCE AND
SOLAR ENERGY POTENTIAL OF CHILEAN
MASS HOUSING
Rodrigo Garca Alvarado

603 A STUDY ON THE SIMULATION

PERFORMANCE
OF PV DOUBLE SKIN FACADE (PV DSF)
JiSuk Yu, SangMyung Kim,
JinHee Kim & JunTae Kim
613 IMPROVING THERMAL COMFORT IN LOWINCOME TROPICAL HOUSING: THE CASE OF
UGANDA
Arman Hashemi, Heather Cruickshank, Ali
Cheshmehzangi
623 CLAM LIFE MECHANISM: INSPIRED DESIGN
STRATEGIES FOR BETTER BUILDING
PERFORMANCE
Asma Al Ansari & Hasim Altan
635 ATTAINING THERMAL COMFORT THROUGH
BIOMIMICRY IN THE CASE OF EMIRATES
TOWERS METRO STATION IN DUBAI
Dana Aljadaa & Hasim Altan
653 RETROFITTING EXISTING BUILDINGS
IN UNITED ARAB EMIRATES:
BARRIERS, OPPORTUNITIES, AND
RECOMMENDATIONS
Enas Alkhateeb & Hasim Altan
669 USING GAMIFICATION TO ENHANCE
UNDERSTANDING OF BUILDING
PERFORMANCE
Panagiotis Patlakas,
Zacharias Maniadis & Rokia Raslan
683 DYNAMIC SIMULATION OF A SOLAR
COOLING HVAC SYSTEM WITH NANOFLUID
Colangelo Gianpiero, DAndrea Gerardo,
Franciosa Mariolina, Milanese Marco,
de Risi Arturo
701 ENERGY RETROFIT FOR ROME
MUNICIPALITYS RESIDENTIAL REAL
ESTATE. ATER A CASE STUDY: THE VIGNE
NUOVE COMPLEX
Marina Pugnaletto,
Cesira Paolini & Carmen Spagnoli
713 ANALYSIS OF THERMAL AND VISUAL
COMFORT IN RENOVATED SCHOOL
CLASSROOMS
Hasim Altan,
Jitka Mohelnikova & Pavla Mocova
721 DESIGNING A PASSIVE AUTOMOBILE
SHOWROOM IN HOT CLIMATIC
CONDITIONS
Iyad Abdaljawad & Hasim Altan
739 PASSIVE DESIGN APPROACH FOR HIGHRISE BUILDINGS: FROM COURTYARDS TO
SKYCOURTS
Saba Alnusairat, & Heba Elsharkawy

749 THE IMPACT OF PASSIVE DESIGN

STRATEGIES ON INDOOR COMFORT OF
SCHOOL BUILDINGS IN HOT-DRY CLIMATES
Sahar Zahiri & Hasim Altan
763 SUSTAINABILITY AND OFFICE TO
RESIDENTIAL CONVERSION ADAPTATION
IN SYDNEY
Sara Wilkinson & Hilde Remoy
775 APPLICATION OF STEEL FIBRES DERIVED
FROM SCRAP TIRES AS REINFORCEMENT IN
CONCRETE
Giuseppe Centonze, Marianovella Leone,
Francesco Micelli & Maria Antonietta Aiello
785 MAINTAINING A HEALTHY LIFE INDOORS:
AIR QUALITY AND SOURCES OF NOISE IN
RESIDENTIAL BUILDINGS IN THE UAE
Ehab Kamaleh & Hasim Altan
797 IMPACT OF RETAIL INDOOR ENVIRONMENT
ON CONSUMER WELLBEING AND
PERFORMANCE
Fathima Reaz & Hasim Altan
807 A POST OCCUPANCY EVALUATION OF THE
UAE MUSEUM INDOOR ENVIRONMENTS
Hawra Sharif Askari & Hasim Altan
819 THE IMPACT OF SMOKING ON INDOOR AIR
QUALITY IN HOSPITALITY VENUES
Parmis Nadali & Hasim Altan
831 INDOOR PLANTS IMPACT ON INDOOR
ENVIRONMENTAL QUALITY
Rasha Gafar & Hasim Altan
847 A REVIEW OF INDOOR ENVIRONMENTAL
QUALITY IN OFFICE ENVIRONMENTS
Reeny M. Thomas & Hasim Altan
857 GREEN WALLS FOR A SUSTAINABLE
CONTROL OF BUILDING MICROCLIMATE
Evelia Schettini, Ileana Blanco, Silvana Fuina,
Giacomo Scarascia Mugnozza, Carlo Alberto
Campiotti & Giuliano Vox

ZEMCH 2015 | International Conference | Bari - Lecce, Italy

PREFACE / FORWARD
Hasim Altan, Alberto La Tegola

Dear Colleagues and Friends,

We are glad to come together in Lecce, Italy at the 4th Annual Conference of the Zero Energy Mass Custom Home (ZEMCH) Network on 22nd-25th September 2015.
ZEMCH 2015, in its fourth year, is an annual global interactive forum for intellectual discussion
on the problems and delights of design, manufacturing and marketing surrounding the delivery
of low CO2 and ultimately, Zero Energy Houses that are customisable on a mass scale, either built
or under construction in developing and developed countries. The conference is covering topics
involving Mass Customisation and Sustainability in the Built Environment.
ZEMCH Network was established in 2010 by a zero energy mass custom home research group
to accelerate both research and development of socially, economically and environmentally sustainable homes in global contexts. The emerging concept of mass customisation is now crossing
borders into other types of buildings, and therefore the emphasis is now on more than just housing, covering the built environment. Presently, the network consists of 450 partners from over 40
countries.
This Conference Proceedings consist of many informative and comprehensive scientific abstracts
and papers, which are featured as oral presentations. Therefore, it provides a good opportunity
to become familiar with the most recent research in sustainable development. The Proceedings
covers many valuable studies and 64 full-papers presented at the Parallel Sessions over the entire
conference.
The objective of these ZEMCH conference series is to promote research and developments of
Sustainability in the Built Environment as can be also seen from the wide areas of topics including
many disciplines. We are happy to produce such a nice Proceedings, which can be used in future
scientific explorations.
Publication of selected papers in one of the below-listed reputable journals will be done among
the studies being at this Proceedings:
Engineering Sustainability
Open House International
Sustainable Buildings
Please note that the selected papers will be subject to journal peer-reviewing. On behalf of the
organisers, we would like to appreciate everyone who contributed to this Proceedings.
Hasim Altan, Alberto La Tegola

THE APULIAN WAY TO SUSTAINABILITY

Alberto La Tegola, Eliana de Nichilo

The International Conference of ZEMCH, 2015 edition, was held for the first time in Puglia in the
cities of Bari and Lecce at the Department of Engineering of the University of Salento and the
Polytechnic of Bari on days 22-25 September 2015, after the initiatives of the University of Glasgow
(Scotland) in 2012, the University of Miami (Florida) in 2013, the University of Londrina (Brasil) 2014.
The Congress was attended by speakers from 35 countries from all continents together with the
most representative authorities of the Apulia Region and the professional world.
For the event organization, in fact, ZEMCH Network for the first time asked the intervention of the
Professional Associations (Architects P.P.C. and Engineers) of the regional and provincial territory
where the conference would had been held.
This experimental co-organization formula was selected to reach a wider sharing and participation among all the parts involved in governance processes and according to ZEMCH mission: it
is true to say that the promotion and encouragement of a culture of environmental sustainability
in both territorial and urban transformations, but also in the construction of public and private
building, can be effective if administrations, professionals and enterprises share the same goals,
i.e. sustainable buildings construction techniques and sustainable building management.
In this light, the Apulian professional boards, spent their efforts to transform the initiative into a
major opportunity for their members professional growth and lifelong learning.
Therefore the Apulian edition provided a cycle of technical seminars and workshops in addition to
the international conference, to be considered an opportunity for professionals involved (experts,
professionals, administrators) to compare experiences, procedures and construction techniques
related to sustainable design, in a broader international scene.

Brief history of sustainability in Apulia

Our region since the enactment of the Regional Law n. 13 Rules for sustainable living on 10 June
2008 and the implementation of the D.R.A.G. guidelines (Regional document of general territorial
organization), has adopted some essential tools to disseminate sustainable living in cities and
provinces of Apulia.
We must quote some of the essential enactments on sustainability in our regional legislation:
DGR n. 2272 on 24th November 2009, ITACA Protocol Puglia 2009 that defines the sustainability certification system of residential buildings in accordance with Articles 9 and 10 of the
Regional Law n. 13/2008 Rules for sustainable living, and includes guidelines and annexes to
certify the environmental sustainability of buildings with a residential use;
Resolution n. 3 ITACA Protocol Puglia 2011 - Residential on 16th January 2013 (published in
the Official Bulletin of the Region, BURP, n. 26 on 19th February 2013), that replaced the previous
Protocol and contains the updated guidelines and the free calculation software, that also enables automatic compilation and printing of the certificate in conformity to the approved models;

10

ZEMCH 2015 | International Conference | Bari - Lecce, Italy

 DGR n. 2751 on 14th December 2012 (published in the Official Bulletin of the Region, BURP, n.
10 on 18th January 2013) that concerns the training and accreditation system of Apulian sustainability certifiers, in accordance with art. 9 of L.R. 13/2008, and covers the requirements for the
accreditation of personnel authorized to issue the Certificate of Environmental Sustainability,
the maintenance of qualified requisite, and also identifies the characteristics of the subjects
who can be involved into the training processes;
Prize Apulia, sponsored by the Puglia Region, and awarded annually to contemporary works of architecture or urban planning characterized by their capacity to conserve, enhance and protect the natural balance of the territory, to promote accessibility and usability of the built environment, to improve urban quality and beauty of human
settlements and preserve the landscapes and the quality of existing housing stock; to respond
to the needs of the city and of all the multi-ethnic society (Art n. 1 Prize Apulia Regulation).
The prize, includes two Sections: Planners Under 40, for young authors of contemporary or
urban architectural works being built in Apulia; Private Client, for persons residing or having
their business in Apulia and who have demonstrated a particular attention to the pursuit of
quality in architecture and urban planning. Nominations for the Prize to be submitted by December 30 of each year, must be made by the municipalities on whose territory the works have
been implemented, but can also be done by the design team, by the client or the owner.
Each of the previous Regional rules has been discussed with Regional associations and Municipalities (such as ANCI Puglia) with representatives of enterprises (Confindustria Puglia and ANCE
Puglia) but also with Professional Orders and Colleges: all parts on 26th July 2012 signed a Memorandum of Understanding that encourages effective and rapid implementation of sustainable culture.
The Memorandum also encourages the constant examination of the opportunities that the regional laws provide potentially (throughout seminars, courses, competitions, etc.), and give a
central role to technicians, companies, citizens and administrations that provide the Territory in
implementing rules and initiatives that would be appropriate to take, for achieving a sustainable
urban regeneration in the next future.

Training and accreditation system of sustainability apulian certifiers : the role of

the professional orders and colleges
The Apulian system of sustainability certifiers, i.e. the authorized persons who can issue certificates of sustainability of buildings under LR 13/2008 and its subsequent implementations, is quite
articulated.
The DGR n. 2751/2012 established the need for the Region to have at its disposal a list of authorized persons to issue certificates of sustainability of buildings under LR 13/2008, who have
to be previously trained and accredited by Professional Orders and Colleges.
The training system that Apulian technicians have to follow in order to be included by their professional orders in the Regional List of Sustainability Certifiers is clearly indicated in Annex A
Attachment 1 to the DGR n. 2751/2012 and includes:
a. Qualified training course (20 hours): it includes three modules devoted to the compilation of
an Apulian ITACA Protocol;
Basic training course (60 hours): it includes six modules on
1b - Site quality (6 hours, i.e. site selection and area design criteria, analysis of climatic, environmental and of specific site factors, territorial, urban and natural peculiarities, analysis
of contamination, of urbanization level and of accessibility to the sites services, landscape

11

Integration, quality of buildings pertinent areas, support to sustainable mobility),

2b - Consumption of resources - Energy quality (18 hours, i.e. fundamentals of energy, energy
buildings performance, envelope thermal transmittance, solar radiation direct penetration,
control of solar radiation, buildings thermal inertia, heating and cooling energy systems,
electrical energy, energy for installations devoted to the production of domestic hot water,
energy from renewable sources, natural ventilation in buildings)
3b - Resource consumption - eco-friendly materials (6 hours, i.e. use of eco-friendly and recycled construction materials, use of water resources for drinking purposes),
4b - Environmental loads of buildings (12 hours, i.e. calculation of CO2 emissions, solid waste,
wastewater management, heat island effect)
5b - Indoor environmental quality (12 hours, i.e. buildings ventilation, thermal, visual and
acoustic comfort, electromagnetic pollution)
6b - Quality of service (6 hours, i.e. systems integration, wiring systems quality, performance
maintenance during the buildings long-life, buildings technical documentation, maintenance plans, external envelope performance maintenance).
Both the courses, or part of them have to be previously approved by the Regional Sustainability
Sector.
Every Apulian professional order or college has an internal Sustainability Commission, appointed by the Board, that has the task of updating the list of their accredited members, following the
instructions and evaluation criteria contained on Attachment 2 to DGR n. 2751/2012, but also to
organize events, courses and seminars on sustainability issues. Periodically each Board approves
the updated list and send it to the Regional office in charge of keeping the Apulian Regional List
of Sustainability Certifiers.
Each Sustainability Certifier has to maintain the requirements of authorized persons to issue
certificates of sustainability of buildings under LR 13/2008, by demonstrating a lifelong formal
or informal learning.

ZEMCH 2015 International Conference and Technical Seminars

in this general framework the ZEMCH Network, the Professional Associations of Architects P.P.C.
and Engineers of Bari and Lecce Provinces, selected together a series of topics in addition to the
high cultural and scientific profile of the International Conference in order to offer to Apulian
self-employed architects and engineers both an interactive intellectual discussion forum, and an
opportunity to improve their competences as authorized sustainability certifiers.
Speakers from all over the world together with the most representative authorities of the Apulia
Region, the professional world, and invited keynotes speakers of international and national fame,
compared experiences, procedures and construction techniques related to sustainable design, in
a broader international scene during the entire last week of September 2015.
The topics developed during the ZEMCH 2015 Technical Seminars, held on 21st , 22nd and 25th September 2015 in Bari and Lecce, were adequately selected in order to encounter the high scientific
profile of the International Conference and the cultural needs of regional authorized technicians
who decline sustainability during their professional practices:
September 21st POLYTECHNIC OF BARI Urban sustainability and building design for the implementation of DRAG Puglia guidelines
September 21st POLYTECHNIC OF BARI Energy efficiency and renewable energies in historical
contexts
September 22nd POLYTECHNIC OF BARI Holistic design. The design according to Design for All

12

ZEMCH 2015 | International Conference | Bari - Lecce, Italy

issues
September 24th PLENARY SESSION - The holistic concept of sustainability
September 25th UNIVERSITY OF SALENTO Phytodepuration systems and landscape. What future?
September 25th UNIVERSITY OF SALENTO Solar screening: architectural and energy-saving integration
The technical seminars became also the occasion to compare the world of scientific research and
the leading companies in the materials/components production, to meet the desires and needs
of individuals and society in terms of sustainability.
In the near future residential building will play an important role in what will be conceived as
socially, economically, culturally sustainable, and the constant change and dynamism that characterizes the process leading to buildings realization will be the focus of future experimentations.
In the light of the international scope of the initiative, the organizers have provided recording of
all events of ZEMCH 2015 for their subsequent revival in form of distant learning and open access
through the Italian national councils web sites, usually attended by architects and engineers:
[email protected]
www.mying.it
The ZEMCH 2015 International Conference and Technical Seminars will soon be accessible to all
architects and engineers of the entire national territory, and shortly it is expected to disclose the
electronic format (e- book) of both the Conference Proceedings and Technical Seminars on the
canal www.issuu.com.
The great participation of researchers and technicians to every single aspect of ZEMCH 2015 rewarded the organizers for the great efforts made: the Apulian formula will give at least to architects and engineers of the entire Italian national territory the opportunity to have easily access to
the interesting and admirable research work of the entire ZEMCH Network.

13

ZEMCH 2015 - BARI LECCE 21ST 25TH SEPTEMBER

Arch. Vincenzo Sinisi Presidente O.A.P.P.C. Provincia di Bari
Arch. Massimo Crusi Presidente O.A.P.P.C. Provincia di Lecce
Ing. Domenico Perrini Presidente Ordine Ingegneri Provincia di Bari
Ing. Daniele Lorenzo De Fabrizio Presidente Ordine Ingegneri Provincia di Lecce

When our colleague Alberto La Tegola, in representation of ZEMCH Network, asked to our respective Boards
to establish a collaboration for the organization of the 4th Annual Conference of the Zero Energy Mass Custom Home (ZEMCH) on 22nd-25th September 2015, we soon recognised its further potentialities.
The theme of sustainable design is currently very relevant for Apulian technicians, because of the serious
crisis affecting today the construction sector, and still in progress in our country, and also because of the
need to convert the already existing built heritage, or to make it more efficient and sustainable.
Apulia in the latest years has already developed a series of socially, economically and environmentally sustainable laws that constitute the overall frame in which housing projects can be realised in the next future.
Considering this important work on rules, ranging from certification system of both buildings and technicians, to urban policies, sustainable mobility, energy-efficient buildings and neighbourhoods, we can
justify the current attitude of our regional associations and municipalities in cultural investments on sustainability.
It demonstrates that Apulia has today a diverse and dynamic approach to sustainability within the national
Italian territory.
I
ts effect can be recognised also in the slow but continuous impact on construction industry, building performance, sustainable community development, where innovation and industrialization, and product development are more often inspired to sustainability.
All the institution we involved in the initiative, in fact, grant almost immediately their patronage and sponsorship, demonstrating that a silent substrate, made of people who in different ways and with complementary competences currently work on sustainability in Apulia is alive and growing.
This large ZEMCH 2015 Conference, being held in Puglia for the first time was a result of a great organizational effort, to which colleagues, academics institutions and sponsor contributed with enthusiasm and to
whom we owe gratitude.
We thank above all Vincenzo Zara, Rector of University of Salento and Eugenio Di Sciascio Rector Polytechnic of Bari, but also to Prof Antonio Ficarella Director of Department of Innovation Engineering of University
of Salento.
The International Conference and the Technical Seminars would not have been possible without the
great participation and generous support of the numerous experts invited in each seminar/conference
session that put at the disposal of our members their precious contribution.
We are extremely grateful for both the concession of the patronage and for the personal contribution to
the Plenary Session in particular to:
Michele Emiliano, President Regione Puglia;
Carlo Birrozzi and Maria Piccarreta, Soprintendenza Belle Arti e Paesaggio;
Leopoldo Freyrie, President C.N.A.P.P.C.;

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ZEMCH 2015 | International Conference | Bari - Lecce, Italy

Giorgio Assennato, Director A.R.P.A. Puglia;

Paolo Perrone, Mayor Comune di Lecce;
Antonio De Caro, Mayor Comune di Bari;
Luigi Perrone, President ANCI Puglia,
Fabio Modesti, Director Parco Nazionale dellAlta Murgia;
Gaetano Centra, Federazione Regionale degli Ordini degli Architetti P.C.C. di PUGLIA;
Oronzo Milillo, Federazione Regionale degli Ordini degli Agronomi di PUGLIA;
Salvatore Valletta, President Order Geologist Apulia;
Francesco Tarantini, Legambiente Puglia,
Carmelo Torre, President I.N.U. Puglia,
Giuseppe Seracca Guerrieri, President A.D.S.I. Sezione PUGLIA;
Enrico Albanese, A.R.C.A. Sud Salento.
The organizers and the authors of this book are deeply grateful to the sponsor that have given their financial
support, and participated with their representatives to the technical seminars and to the Plenary Session:
Domenico De Bartolomeo, President Confindustria Bari-BAT;
Beppe Fragasso, President ANCE Bari-BAT;
Monte dei Paschi di Siena Lecce;
Franco Manzi, Manzi Marmi Srl Trani;
Mario Contini, Azko Nobel SIKKENS;
Stefano De Vito, Damiano Gigante and Giuseppe Foti Rossito, Comelit S.p.a. ;
Giuseppe Massari, Quemme s.r.l. Manduria;
Tamara Dongiovanni, Punto DFV;
Alessandro Frigerio, Frigerio Tende da sole S.r.l. ;
Paolo Marini, Compost Natura S.r.l. , Arnesano (LE);
Bruno S.r.l., Acquaviva delle Fonti (BA);
Agrid S.r.l. Bitonto (BA);
Felicia Bio di Molino Andriani S.r.l. Gravina in Puglia (BA);
Antonio Quarta, Quarta caff S.p.a. Lecce.
A special debt of gratitude is due to the entire Boards of O.A.P.P.C. Provincia di Bari and Lecce and Boards
of Ordine Ingegneri Provincia di Bari and Lecce, and in particular to: Alessia Aquilino, Franco Avella,
Fabiana Cicirillo, Pasquale Capezzuto, Flavio De Carlo, Rocco De Matteis, Eliana de Nichilo, Carola La
Tegola, Nunzio Perrucci, Fabio Rimo, Francesco Ruggiero, Andrea Toscano.
We have also to remember the valuable contribution of our members that supported the respective Boards
in the organization of each event held in Bari and Lecce, spending their efforts as tutor of each seminar/
conference session of ZEMCH 2015 and in particular to: Domenico Delle Foglie, Angelica Foscarini, Loredana Modugno, Pietro Gigante, Francesco Fusilli, Stefania Marella, Nicola Petruzzella, Giorgio Skoff,
Angelamaria Quartulli, Maria Giuseppina Urgo.
We have also to warmly thank the silent work of our secretariats which currently and patiently support our
members, and this this time have been on loan for the national and international guests: Emilia Antoniozzi, Giovanna Carbonara, Marco Iannone, Mara XXX, Laura Pieschi, Marco Quarta, Ivan Taurino.

15

International Conference
September 22 | 23 | 24
Lecce, Italy

Edited by
Haim Altan
Alberto La Tegola
Eliana de Nichilo

Publisher

International Conference | Bari - Lecce, Italy

Session I - II

FEASIBILITY OF APPLICATION OF MODERN

METHODS OF CONSTRUCTION IN IRAN
Arman Hashemi1, Masa Noguchi2, Hasim Altan3
1 Centre for Sustainable Development, Department of Engineering, University of Cambridge, UK,
Email: [email protected]
2 EDBI Research Group, Faculty of Architecture, Building and Planning, The University of Melbourne, Australia,
Email: [email protected]
3 SDBE, Faculty of Engineering & IT, British University in Dubai, United Arab Emirates,
Email: [email protected]

Abstract
Various plans and policies have been adopted by the Iranian Government to address the
housing shortages in Iran. Some of these policies have been successful and some have failed
dramatically deteriorating the housing conditions. Technology transfer from other countries,
such as the UK, may facilitate industrialisation which has been recognised as an effective way
to address housing deficiencies in Iran. The Iranian and UK construction industries, however,
differ in various respects which may increase the risk of failure if transferred technologies are
not adapted to Iranian needs and conditions. This paper compares the current conditions of
the Iranian and UK construction industries to identify the risks and opportunities if Modern
Methods of Construction (MMC) were to be transferred from the UK to Iran. Several issues
such as demand and supply, regulations and standards, practicality, costs, design, sustainability, and governmental policies have been studied in detail. The results reveal that MMC could
potentially improve the housing conditions in Iran by addressing major issues such as skilled
labour shortages, energy and materials wastes, building quality and speed of construction.
The major risks are also identified as volatile economy and housing market, transportation
and industry capacity. The chance of successful adoption is considerably higher for those
MMC that are suitable for small projects, do not require highly skilled labour and heavy machinery, and are compatible with prevailing methods of construction in Iran.

Keywords

Modern Methods of Construction, MMC, Construction Technology, Housing,

Technology Transfer, Iran, UK.

19

1. Introduction
During the last few decades, the Iranian Government has adopted various plans and strategies
to improve the housing conditions in Iran. Some of these plans have been successful and some
have failed dramatically deteriorating the housing conditions. It is estimated that over one million
residential units are currently required to be constructed annually (BHRC 2009) to answer the current demand. The current housing output should almost be doubled (Hashemi and Hadjri 2014)
in order to answer the demand during the next 15 years. This is by far beyond the current capacity
of the Iranian housing industry. For this and many other reasons, Industrialisation and Modern
Methods of Construction (MMC) have been suggested as effective ways to increase the housing
output in Iran (Hashemi 2015).
MMC can be classified under five main building methods of: 1) volumetric systems; 2) panel systems; 3) hybrid systems; 4) sub-assemblies and components; and 5) site-based methods (Ross et
al. 2006). MMC have several claimed advantages over traditional methods of construction such as
higher speed of construction; improved quality and health and safety; addressing skilled labour
shortages; minimising material waste; enhancing value for money invested; and cost predictability (Buildoffsite 2013; Myers 2013; Miles and Whitehouse 2013).
Such potential advantages of MMC over traditional methods of construction have encouraged
the Iranian and UK governments to promote MMC with the intention to improve the housing
outputs as well as the quality and energy efficiency requirements. Yet, despite governmental supports and incentives, the share of industrialised methods in Iran has remained considerably lower
than expected. In 2008, for instance, the share of industrialised construction methods was less
than 3% of (Fatemi Aghda 2008). Several reasons such as small scale of projects, costs and limited
knowledge of stakeholders about advantages and risks of such methods have been suggested
for the limited application of industrialised construction methods and the failure of previous attempts in Iran (Hashemi 2014; Hashemi 2015).
When considering the transferability of MMC to Iran, some additional criteria are involved; some
are desirable, some absolute; some controllable, some uncontrollable; some measurable and
some immeasurable. Some areas are of particular importance in the Iranian context as follows:
a.
b.
c.
d.
e.

Demand and supply

Practicality
Costs
Energy efficiency and waste reductions
Regulations and standards

In the following sections, these criteria are examined and key differences between the Iranian
and UK conditions, potentials, and limitations are discussed in detail. The aim is to evaluate the
opportunities and difficulties facing MMC if transferred to Iran.

Research Methodology
The methodology of this paper is direct comparison between the Iranian and UK construction industries. It is aimed to identify and then evaluate the risks, barriers and opportunities if MMC were
to be applied in large industrial scales Iran. Relevant documents in English and Farsi languages

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published by individual researchers, Iranian and UK governments, and other research bodies are
studied. The outcomes of the study are then discussed in detail to identify the critical factors
which affect the feasibility of application of MMC in the Iranian construction industry. Some recommendations are then drawn based on the findings of the research as the way forward.

2. Detailed comparison between the Iranian and UK construction industries

This section intends to discuss the abovementioned criteria in order to identify differences between the Iranian and UK conditions and to highlight opportunities and risks facing MMC in Iran.
To emphasise the interactions between the identified criteria, all factors involved in a particular
topic are included even though this necessitates some repetition.
2.1 Demand and Supply
The UK construction industry accounts for 8.7% of the countrys GDP (BERR 2009). The share of
the construction industry in the Iranian economy is around 5% of GDP (CBI 2014) of the Iranian
economy (CBI 2013a). In 2003, the private sector was responsible for around 90% of the residential
buildings in the UK (Lovell 2003) which decreased to just above 78% in England during 2012-13
(DCLG 2013). Prior to the Mehr Housing programme which was introduced by the former Iranian government, private sector was responsible for around 95% of the residential buildings in
Iran. This figure, according to the published documents by the Central Bank of Iran, decreased to
around 63% in 2011/12 (CBI 2013b). The share of the private sector returned back to more than 95%
in 2012/13 (SCI 2013a). The housing sector is one of the few Iranian industries where the governments share is much less than the private sector, giving developers and potential investors the
freedom to follow their plans in applying MMC without much control from the government.
Iran needs around 1.5 million new houses to be constructed annually by 2025 to answer its cumulative housing demand (BHRC 2009). According to the Statistical Centre of Iran, housing production was 693,670 units in 2007 (SCI 2008), 621,492 in 2009 (SCI 2010), 701,806 in 2010 (SCI 2013a),
765,024 in 2011 (SCI 2012), and 729,933 in 2012 (SCI 2013a) and 770,410 in 2013 (SCI 2014), which means
an average of around 705 thousand units per annum since 2007 (Table 1: Housing output 2007-2013).
The annual housing production should therefore increase by an average of 800,000 to answer
the current demand. This figure rises to more than 1000,000 housing units if the shortfall of the
previous years since 2007 is brought into the account. Although the Iranian government has been
trying to increase the housing supply, housing demand has been increasing inexorably year by
year as the current housing output is not capable of dealing with such huge demand.
Table 1: Housing output 2007-2013
2007

2008

2009

2010

2011

2012

2013

New housing units

693,670

650, 000 (Est.)

621,492

701,806

765,024

729,933

770,410

Average

704,627

Year

The UK situation is different in terms of the housing demand and supply. The demand is estimated to be around 233,000 housing units per annum during the next twenty years (CIH 2012); however, the recent housing recession considerably affected these figures. Housing supply in 2010 and
2011 was 103,000 (CIH 2011) and 146,000 (134,900 units according to DCLG (2012) units respectively
(Pawson and Wilcox 2013).
The cost of an MMC factory including staff training is over 10 million in the UK (Lovell 2003) and,

Feasibility of Application of Modern Methods of Construction in Iran

21

therefore, potential investors need to be assured about the long-term continuing demand for
MMC products. Comparing the Iranian and the UK conditions reveals that the housing demand
in Iran is over six times greater than in the UK which could be regarded as a continuing long-term
demand for MMC products. The massive housing backlog in Iran is a great opportunity for MMC
to be successfully adopted by the construction industry.
2.2. Practicality
Iran suffers from the shortages of skilled construction labourers, availability of heavy machinery, and inefficient infrastructure and transportation systems. Availability of raw materials is also
a fundamental issue. Reinforced Concrete (RC) and Steel frame systems are the most common
construction systems in Iran. According to SCI (2013a) about 82.5% of new buildings in 2012 in Iran
were constructed from either steel or reinforced concrete frame systems. Steel and reinforced
concrete systems are therefore very well known to Iranian architects, engineers and builders (Figure 1: Construction methods in Iran.). Thus, those MMC that are compatible with steel and concrete frame systems will have a higher chance of success in Iran.

Figure 1: Construction methods in Iran.

Industrial capacity not only deals with the availability of raw materials, labour, and machinery,
but also the capacity to answer the demand. It should be noted that to increase the construction
production modestly in a national scale, there should be a substantial investment in production
of raw materials to create a new capacity. The investment on raw materials should be based on
the future demand for them (Harvey and Ashworth 1997). A lack of industrial capacity regarding
availability and production of raw materials was one of the major reasons that resulted in the
failure of Winston Churchills 1944 emergency housing plan to produce 500,000 housing units
without increasing demand on conventional building resources and skilled labour (Finnimore
1989). Increasing production capacity for raw materials and improving infrastructure are therefore
key to successful application of MMC in Iran.

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2.3. Costs
The costs of MMC should be comparable with the prevailing methods of construction in Iran.
Higher costs of MMC products are a major barrier to broader applications of MMC in both Iran
and the UK. The average cost of MMC in the UK is currently 8-15% more than traditional methods
(CABE 2004) and it has been estimated that such materials and products could be up to four times
more expensive in Iran than in other countries (ICC 2005). Nevertheless, some examples in the UK,
such as Design for Manufacture (DfM) 60K house competition in 2005, prove that MMC can produce affordable, high quality, sustainable houses (English Partnerships 2006; HCA 2010).
Transportation distances are also one of the barriers towards broader application of MMC in the
UK since well-established factories are situated in the north of England while the demand is in the
south (Bagenholm et al. 2001). This is also an important issue in Iran since Iran is a vast country and
transportation can considerably increase the costs. Recent increases on fuel costs in both Iran and
the UK make this issue more important. MMC factories should therefore be located around the
areas where the current and future demands are concentrated. It is vital to avoid unnecessarily
long transport of materials/products, which increase costs and CO2 emissions of MMC.
Meanwhile, construction material and labour costs are much less in Iran than in the UK; however,
inflation is much higher (average of 21.5% in 2011 (CBI 2013c) and the economy is less stable. According to Statistical Centre of Iran, the increased costs of construction materials in 2012 varied
between 22.5% and 180.5% compared to 2011 in Tehran (SCI 2013b). The majority of construction
materials have seen an increase of more than 35% while many have seen a price increase of above
100% during this period which is much higher than the average inflation. These factors can considerably affect the finished prices of MMC in Iran; however, the same situation applies to other
products and industries.
Other issues such as lower quality and much more material waste (explained below) as well as
much higher construction dead-load, make the Iranian traditional construction methods rather
more expensive than those in the UK. Therefore, while MMC are about 8-15% more expensive than
the traditional methods of construction in the UK (CABE 2004), the finished prices of some MMC
may be well below the costs of the conventional methods in Iran. Moreover, because of low quality of materials and poor workmanship (Figure 2: Low building quality in Iran.), Iranian buildings
have a short lifespan and are vulnerable in the event of earthquake (Hashemi 2014). The average
building lifespan in Iran is about 30 years (Fatemi 2009) compared to the normally expected building lifespan of 60 years. Due to better quality controls in the factory, MMC can potentially produce
buildings with longer lifespans and less maintenance, leading to personal and national savings
particularly in terms of the embodied energy of buildings. In addition, the higher construction
speed of MMC means enhanced value as investors money will not be bound up in one project for
a long time.

Feasibility of Application of Modern Methods of Construction in Iran

23

Figure 2: Low building quality in Iran.

An important issue is the nature of the Iranian construction industry with many small builders
which makes it difficult to benefit from mass production and economies of scale. Statistics suggest that in 2008, 40% of all newly constructed residential buildings in Iran had three or more
stories and 30% have three or more units. This figure increased to 53% in 2012/13 (SCI 2013a). Mass
building appears to be much more prevalent in some parts of the country and especially around
big cities (Figure 3: Use of MMC is more viable in larger construction projects.). For instance, in
2012/13, 93.5% of the building permissions for residential buildings in Tehran were issued for buildings with five or more stories with around 52% which had five or more residential units (SCI 2013a).
Yet, compared to the UK, a very few projects may be considered as mass building to benefit from
the economies of the scale even in large cities such as Tehran. Therefore, transferred MMC to Iran
should be capable of supporting small developers/projects.

Figure 3: Use of MMC is more viable in larger construction projects.

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ZEMCH 2015 | International Conference | Bari - Lecce, Italy

2.4. Energy efficiency and waste reductions

Sustainability and energy efficiency in buildings are relatively recent issues in Iran; however, they
are becoming increasingly important. One of the main barriers toward applying energy efficiency
plans are the very low prices of energy. Energy efficiency regulations became mandatory for all
buildings in urban areas in 2010 (IFCO 2015). The government has also reduced the majority of
fuel subsidies, which has considerably increased the prices revealing the importance of energy
efficiency to the society. Yet, compared to the UK, energy costs are much lower in Iran. According
to the Iranian Fuel Conservation Company (IFCO), building costs in Iran increase by less than 5%
if energy efficiency requirements are applied correctly. Such extra immediate costs are returned
in about three years (IFCO 2009). UK building regulations have much higher energy efficiency
standards than the Iranian ones, which could make UK MMC products comparably expensive if
transferred to Iran. Therefore, transferred MMC should be modified and adapted to comply with
the Iranian standards and requirements to reduce the costs.
Table 2: Waste reduction potential of offsite methods of construction (Hartley and Blagden 2007)
Offsite Method/Products

Waste Reduction (Est.)

Concrete Panel Systems

20-30%

Timber Frame System

20-40%

Precast Floor Systems

30-40%

Pods (Kitchen, Bath)

40-50%

Precast Cladding

40-50%

Structural Insulated Panels

50-60%

Volumetric Systems

70-90%

Furthermore, MMC can mitigate the environmental impacts of the Iranian construction industry
by reducing the energy and material wastes during construction on site. Up to 70% of consumed
energy in gas and electricity, and water is wasted during the construction processes (Gharazi 2004)
and around 20% of building materials are wasted on site (Figure 4: Construction material storage
and waste in Iran (left) and the UK (right).) (Shakeri 2004). The wastes can be reduced by up to 90%
in the factory (Table 2: Waste reduction potential of offsite methods of construction (Hartley and
Blagden 2007)). Therefore, introducing some MMC, which benefit from a controlled factory environment, will considerably decrease environmental impacts of the Iranian construction industry.
Moreover, as described above, increased building lifespan thanks to the higher quality, not only
helps to reduce the overall costs but also reduces the CO2 emissions and embodied energy of
buildings during their lifecycles.

Figure 4: Construction material storage and waste in Iran (left) and the UK (right).

Feasibility of Application of Modern Methods of Construction in Iran

25

2.5. Regulations and policies

Compliance with building regulations and standards is one of the major issues that should be
considered when transferring a method of construction to Iran. UK building regulations and
standards are generally more detailed, precise, and comprehensive than the Iranian building regulations and standards. Therefore, in general, it could be argued that if MMC were to be transferred to Iran, they would probably comply with the Iranian regulations and standards. An important exception is the necessity for earthquake-proof design in Iran. Seismic requirements are
covered by so-called Standard No. 2800 (Iranian Code of Practice for Seismic Resistant Design of
Buildings). As Iran is situated on the Himalaya-Alps seismic belt, earthquake is a serious concern
throughout the country. Therefore, any potential MMC must comply with earthquake regulations.
This, to avoid additional costs, it may be more feasible to start with some non-structural products
and methods that do not need fundamental modifications to comply with Iranian building regulations. Different cladding and internal wall systems may be suitable options to begin with.
One of the major issues in Iran is the high sensitivity of the housing industry to economic conditions and governmental policies, especially financial ones. In many cases, such policies create
great shocks in the housing market followed by massive house price increases in a very short
period of time. Rising prices are not necessarily a bad phenomenon if they happen in a rational
way but this is not the case in Iran. The experience has shown that house prices in Iran could rise
by more than 100% in a very short period as happened recently in many parts of the country. For
this and several other reasons, there are frequent housing booms and busts which can greatly influence the demand for housing and MMC products consequently. Obviously, the governments
responsibility is to stabilise the economy since such instabilities are discouraging for potential investors. Economic instability, however, may have some benefits for some MMC too. This situation
may encourage builders to use offsite methods of construction since the contract for such methods is usually set at the beginning of the project when prices are agreed. Therefore, developers do
not need to be concerned about price fluctuations while the project is in progress on site.
Restrictive (subjective) planning policies are also a major barrier towards broader applications of
MMC in the UK (Lovell 2003; Bagenholm et al. 2001; NAO 2005). The absence of proper planning
and design policies in Iran has caused many cities such as Tehran to suffer from critical problems
such as uneven texture, heavy traffic, air and sound pollution, privacy issues and massive population density in some areas. However, fewer planning limitations decrease the associated risks of
MMC and increase the chance of success in Iran.

3. Discussions
The major reason for the Iranian government to encourage industrialised modern methods of
construction is to increase the efficiency and housing output. Arguably, this situation is comparable with the UK conditions after World Wars when massive and urgent demand encouraged
the UK government to consider prefabricated methods of construction to overcome the housing shortages. The dull and unattractive prefabricated buildings of the 20th century are widely
considered to have caused some social and environmental problems, leading to the premature
demolition of many such buildings. One of the outcomes of such mistakes was negative public
attitude towards prefabricated methods of construction in the UK. Indeed, a negative public attitudes towards such methods due to the poor quality of prefabricated systems is a major barrier to
broader application of MMC in the UK is (Lovell 2003). Iranian people, in contrast, have a fresh attitude towards MMC and prefabricated methods of construction. According to a questionnaire survey undertaken in Tehran, around 90% of architects have a positive attitude towards such meth-

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ZEMCH 2015 | International Conference | Bari - Lecce, Italy

ods of construction (Hashemi 2015). This is a great opportunity for MMC to be successfully applied
in Iran. It should be noted that after about a century of experiencing prefabricated methods of
construction, the UK is still suffering from several social, environmental, and economic problems
some of which have been the outcomes of mistakes made during the past century (Hashemi
2013). Variety in products, flexibility in application and continuous development can help to avoid
repeating the UKs mistakes. New approaches, such as mass customisation, could be an appropriate strategy which should be considered by the Iranian construction industry to address flexibility
issues. Japanese experience in mass customised housing (Hashemi and Hadjri 2013) is a great example which could be followed by both the Iranian and UK construction industries.
Moreover, continuous demand is the key factor for successful application of MMC. Foreign systems were not sufficiently adopted by the UK construction industry until late 1950s when housing
programmes grew considerably and investors became confident about local authorities and the
governments commitment to system building. This was when foreign and UK building systems
flooded into the housing market (Finnimore 1989). The Iranian government has announced some
plans to support investors in MMC; however, these plans are neither sufficient nor effective in
practice. Meanwhile, not only are high tariffs for imported materials normal but their rate is volatile, giving importers little certainty about the costs. Recent sanctions/embargoes and uncertainties about the currency exchange rates also contribute to the above worries. In this respect,
the government should provide special facilities for innovative methods of construction to make
them more feasible in Iran. Currently, considering the abovementioned risks, it seems more rational to adapt transferred MMC by minimising the use of imported materials, with a corresponding decrease in the finished prices.
Furthermore, the UK government is encouraging and promoting MMC through different activities such as research grants, best practice strategies, and national and international exhibitions
and competitions. The government is also applying MMC in social housing and other governmental projects. The Iranian government can also promote MMC by considering similar policies and
strategies. The number of relevant seminars held in the UK is far greater than in Iran. There are also
several professional organisations such as Building Research Establishment (BRE) and Buildoffsite that are constantly working on various construction technologies and MMC, whereas in Iran,
there are no professional organisations to consider MMC in detail. It is the governments responsibility to establish professional organisations to carry out more research, seminars and courses on
relevant subjects. National exhibitions and competition would also help to promote MMC in Iran.
Moreover, fundamental changes in the role of designers and manufacturers are essential in order
to have a successful application of MMC (Pasquire and Connoly 2003). The main question is as to
how ready designers, builders, and manufacturers are to change their traditional roles and attitudes toward new methods of construction. Considering MMC is a relatively new subject in Iran,
more effort may be required to change the traditional role and behaviour of the clients, designers,
engineers, manufacturers, and developers in the construction industry. Moreover, these members of the construction industry have very limited knowledge about MMC (Hashemi 2015) which
may increase the associated risks of MMC.
Identifying early adopters is also a key factor in successful application of an innovation. Early
adopters are the most influential group in any system since potential adopters look to them for
advice and information (Rogers 1995). Likely, early adopters and stakeholders of MMC are not
readily apparent in Iran. There are two key questions which should be answered:
Who are the potential investors in MMC?

Feasibility of Application of Modern Methods of Construction in Iran

27

 Who would be the pioneers to adopt MMC changes and their innovative approach to design,
manufacturing, and management in the construction industry?
More research needs to be undertaken among different stakeholders including architects, consultants, engineers, developers, contractors, manufacturers, society, and the government to answer these fundamental questions.
A major point which makes the Iranian and UK construction industries different is that the UK
construction industry works as an Open or Flexible system, meaning that many products from
different manufacturers are compatible with each other. UK companies and manufacturers cooperate with each other and refer to or recommend other companies products that are compatible
with theirs. Many products can be easily applied in different projects without concerns about
their compatibility. Manufacturers also use approved contractors who work under their license to
guarantee the quality of finished products. Published literature and technical help lines also assist architects and engineers to choose the right products and materials. Many seminars are also
organised by manufacturers to introduce and promote their products in the market.
The situation is rather different in Iran since manufacturing systems are usually Closed, and different products are generally not exchangeable/compatible. Manufacturers cooperate very rarely
and, for various reasons, are not willing to publish their technical information. Moreover, a very
few companies assist architects and engineers during the design processes. Therefore, designers are responsible for almost all detailed design without much assistance from the manufacturers, which considerably increases the risks of errors and costly modifications particularly when
it comes to offsite methods of construction. This situation must change in order to decrease the
risks associated with MMC. Considering the current conditions, three options with regards to
transferring MMC to Iran appear viable:
To transfer a Closed system where every single component is manufactured in the system
itself.
To modify/adapt transferred MMC.
To start with less complex methods and products.
In the first scenario, transferred MMC may become far too expensive compared with prevailing
methods of construction in Iran. In addition, such systems may not be flexible enough for future developments, which may increase the risk of failure in long term. The second option means
applying regional/local materials and modifying the details and components to produce MMC
which are suitable for the Iranian conditions. This will considerably increase the chance of success
for MMC although it needs considerable initial investments as well as accurate planning and execution which may be costly and time consuming. The third option may be the most successful of
all suggested scenarios as the methods and products are simple and do not require highly skilled
labourers or heavy machinery and are easily combined with prevailing methods of construction.
Examples are some internal and external walling, cladding and roofing systems such as compound walls and sandwich insulated panels etc.
It should be noted that it is a great mistake to assume that traditional methods should be completely replaced with industrial and modern methods of construction. In fact the history of the UK
construction industry during the 20th century has shown that although the share of industrialised
methods increased greatly, they were never able to replace traditional methods of construction.
Traditional methods have always competed with the industrialised methods by increasing their

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efficiency through the use and application of new and enhanced methods, components, materials, and management. This was however not possible without creating a competitive environment in which traditional methods felt under increasing pressure/threat by the very popular prefabricated methods of construction. Iran should also prepare the ground for broader application
of industrialised methods and create a competitive environment in which both traditional and
innovative methods become more efficient and adopted by the Iranian construction industry.

4. Conclusions
This paper intended to study the feasibility of application of Modern Methods of Construction
(MMC) in Iran. Several issues such as demand and supply; practicality; costs; energy conservation
and waste reductions; regulations, policies and standards were studied and opportunities, challenges and risks were identified and discussed in detail. The results of this study revealed that,
compared to the UK, the Iranian construction industry is immature in terms of efficiency and performance. Several modifications are required in order to minimise the associated risks of MMC in
Iran. The chance of successful adoption is considerably higher for those MMC that are simple and
suitable for small developers, do not require highly skilled labour and heavy machinery, and are
compatible with prevailing methods of construction in Iran.
According to the findings of this work, the current demand for housing in Iran is about six times
greater than in the UK, which could arguably be regarded as long term demand and low risk
for MMC products. However, finished prices of MMC products are not clear since several criteria, which have the potential to save (e.g. less waste, cheaper materials and labour), or increase
the costs (e.g. less industry capacity, transportation, economic instability) should be evaluated in
more detail. Moreover, environmental advantages of MMC such as greater energy saving, higher quality and, consequently, longer lifespan would potentially help to reduce the environmental impacts and CO2 emissions of the Iranian construction industry. However, there are concerns
about CO2 emissions from transportation as Iran is a vast country which suffers from inefficient
transportation infrastructure.
It should be noted that MMC are very different from traditional methods of construction in terms
of the associated risks and construction processes. Educating the stakeholders to become aware
of the advantages and disadvantages of MMC would help to reduce the associated risks. Without considering such issues, MMC may not only fail to achieve their potential advantages but
could possibly deteriorate the current situation. Yet, there are great opportunities for some MMC
if abovementioned issues are considered and MMC are adapted to the Iranian requirements and
conditions.

5. References
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Watford.
BERR, 2009, Construction, Department for Business Enterprise & Regulatory Reform. <http://www.berr.gov.uk/whatwedo/sectors/construction/index.html > retrieved on January 16, 2009.
BHRC, 2009, New Construction Technologies (5th edition.), BHRC, Ministry of Housing and Urban Development, Tehran.
Buildoffsite, 2013, Glossary of Terms 2013. <http://www.buildoffsite.com/pdf/publications/BoS%20Glossary%20of%20
terms%202013%20(web).pdf > retrieved on July 07, 2015.
CABE, 2004, Design and modern methods of construction, Research outcomes: 5, Commission for Architecture & the

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Built Environment, London.

CBI, 2013a, Economic Trends No.71, Fourth Quarter 1391 (2012/2013), Central Bank of Iran, Public Relations Department,
Tehran.
CBI, 2013b, Annual Review 1390 (2011/2012). Central Bank of Iran, In Economic Research and Policy Department, (Ed.,
Public Relations Department, Tehran, Iran.
CBI, 2013c, Economic Trends No. 67 Fourth Quarter 1390 (2011/2012). Central Bank of Iran, In Economic Research and
Policy Department, (Ed., Public Relations Department, Tehran, Iran.
CBI, 2014, Annual Review 1391 (2012/2013). In Economic Research and Policy Department, Public Relations Department,
Central Bank of Iran, Tehran.
CIH, 2011, The housing report (1st edition), The Chartered Institute of Housing, Coventry, UK.
CIH, 2012, The housing report (3rd edition), The Chartered Institute of Housing, Coventry, UK.
DCLG, 2012, Net supply of housing: 2011-12, England, Housing, Statistical Release, Department for Communities and
Local Government, London.
DCLG, 2013, House Building: March Quarter 2013, England, Housing, Statistical Release, Department for Communities
and Local Government, London.
English Partnership, 2006, Lesson Learnt, the challenge to build a quality home for 60K, Design for Manufacture,
English partnerships, Department for Communities and local government London.
Fatemi Aghda, M., 2008, Less than 3% of the countrys construction projects are industrial, trans., < http://shasa.ir/
newsdetail-48201-fa.html> retrieved on July 05, 2015
Fatemi, M., 2009, Omr-e Mofid-e Sakhtemanhay-e Tehran: 30 sal Building & Housing Research Centre. <http://www.
bhrc.ac.ir/portal/Default.aspx?tabid=56&articleType=ArticleView&articleId=32> retrieved on Sep. 30, 2010.
Finnimore, B. 1989, Houses from the factory: system building and the welfare state, 1942-1974 London, Rivers Oram
Press.
Gharazi, 2004, 70% of energy in construction process is wasted, trans., Special News of Construction and Housing, No.
50. Iran Construction Information Centre.
Hartley, A., and Blagden, A., 2007, Current Practices and Future Potential in Modern Methods of Construction, WAS003001: Full Final Report, Oxon: Waste & Resourcesn Action Programme.
Harvey, C. R., and Ashworth, A., 1997, The construction industry of Great Britain (2nd edition), Reed Educational and
Professional Publishing Ltd., Laxtons, Oxford, pp. 100-101.
Hashemi, A., 2013, Review of the UK housing history in relation to system building, Alam Cipta International Journal of
Sustainable Tropical Design Research and Practice, 6(1), pp. 47-58.
Hashemi, A., and Hadjri, K., 2013, Code for Sustainable Homes: opportunities or threats for offsite manufacturing and
mass-customization?, ZEMCH 2013 international conference: The Visibility of Zero-Energy Housing, 30th October 1st November 2013, University of Miami, Miami, USA, pp. 111-122.
Hashemi, A., 2014, Mitigating the Risks of Offsite Manufacturing through the Application of BIM, International Journal
of 3-D Information Modeling 10/2014, 3(4), pp. 26-35.
Hashemi, A., and Hadjri, K., 2014, Offsite construction, a potential answer to the Iranian housing shortages, Construction Technology and Management CTM 2014 International Scientific Conference, 9th-11thSeptember 2014, Bratislava, Slovakia, pp. 189-199.
Hashemi, A., 2015, Offsite Manufacturing: A Survey on the Current Status and Risks of Offsite Construction in Iran,
Journal of Civil Engineering and Architecture, 9(2), pp. 141-152.
HCA, 2010, Design for Manufacture Lessons Learnt 2, Home & Community Agency, London.
ICC, 2005, Bahregiri az technologi-haye jadid, zaroorat-e goriznapazir-e bakhsh-e maskan, trans., Iran Civil Center,
<http://www.irancivilcenter.com/fa/news/view.php?news_id=413> retrieved on Sep. 30, 2010.
IFCO, 2015, Some Clarifications Around the Title 19 of National Building Regulation, tarns., Iranian Fuel Conservation
Company, available at: <http://ifco.ir/building/mabhase19/mabhase19_desc.asp> retrieved on July 15, 2015.
IFCO, 2009, Mabhas-e 19 Moghararat-e Melli-e Sakhteman, trans., Iranian Fuel Conservation Company. <http://ifco.ir>
retrieved on February 18, 2009.
Lovell, H., 2003, Modern Methods of House Building, Parliamentary Office of Science and Technology POSTnote,
December 2003, number 209. POST.

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Miles, J., and WHITEHOUSE, N., 2013, Offsite Housing Review, Construction Industry Council, London.
MYERS, D., 2013, Construction Economics: A New Approach (3rd edition.), Routledge, Oxon.
NAO, 2005, Using modern methods of construction to build homes more quickly and efficiently. National Audit Office,
London.
Pasquire, C. L., and Connolly, G. E., 2003, Design for Manufacture and Assembly, 11th Annual Conference of the International Group for Lean Construction, July 2003, Virginia, USA.
Pawson, H., and Wilcox, S., 2013, UK Housing Review. The Chartered Institute of Housing.
Rogers, E. M., 1995, Diffusion of Innovations, Innovativeness and adopter categories (4th edition), The Free Press, New
York.
Ross, K., Cartwright, P., and Novakovic, O., 2006, A Guide to Modern Methods of Construction, IHS BRE Press on behalf
of NHBC Foundation, UK.
SCI, 2008, Information of building certificates issued by municipalities in 2007, Statistical Centre of Iran, Tehran.
SCI, 2010, Information of building certificates issued by municipalities in 2009, Statistical Centre of Iran, Tehran.
SCI, 2012, Information of building certificates issued by municipalities in 2011, Statistical Centre of Iran, Tehran.
SCI, 2013a, Information of building certificates issued by municipalities in 2012, Statistical Centre of Iran, Tehran.
SCI, 2013b, Results of the Survey on the Construction Material Price, Second half of the year 2012, Statistical Centre of
Iran.
SCI, 2014, Information of building certificates issued by municipalities in 2013, Statistical Centre of Iran, Tehran.
Shakeri, A., 2004, 120,000 housing units can be constructed every year using building material waste, trans., Special
News of Construction and Housing, No. 52. Iran Construction Information Centre.

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International Conference | Bari - Lecce, Italy

Session I - II

DEVELOPING ENVIRONMENTAL PRACTICES FROM

SOCIAL ASPECTS: A CASE STUDY OF DUBAI
Dania Tachouali1 & Hasim Altan1
1 Sustainable Design of the Built Environment, Faculty of Engineering & IT, British University in Dubai, UAE,
[email protected] / [email protected]

Abstract
In a city where everything is possible, architecture plays a significant role in improving the
quality of life, by reducing the CO2 emissions, today Dubai is a modern city with over two
million inhabitants, the modern architecture of Dubai carries the Arabic culture with western influence which is inspiring to the mind and the imagination, on the other hand, due to
the rapid developments and their environmental consequences, the UAE was ranked the first
with the highest ecological footprint according to the world life fund of nature 2010; Dubai
Plan 2021 is a key inspiration to adopt new strategies and implement new solutions to the
social, environmental and economic challenges in the region. Dubai Plan 2021 consists of five
main elements; the Society, the Experience, the Government, the Place, and the People. The
paper is aiming to achieve one of the Dubai Plan 2021 elements, the Society, by presenting
solutions that can help in reducing CO2 emissions and can mitigate the impact of the built environment, which can be achieved by creating a sustainability package. This paper discusses
the results of each practice to demonstrate how this will add value and help in achieving the
highest standards of a clean environment to face the challenges of today.

Keywords:
Sustainable Built Environment, Dubai Plan 2021, Innovative Solutions, Sustainable
Development, CO2 Emissions, Sustainability.

33

Introduction
As the world is worried about the future sustainability and climate change is a global concern,
both energy consumption and CO2 emissions have been major targets in the built environment
to call for new strategies to saving energy. Dubai Plan 2021 is the latest strategy in the region to
implement a long term approach to achieve a greener economy for sustainable development and
an approach with main goals to define Dubai in 2021 the preferred place to live, work and visit;
a smart and sustainable city; a pivotal hub in the global economy; and a pioneering and excellent government. Dubai Plan 2021 consists of five main elements; the Society, the Experience,
the Government, the Place, and the People (Government of Dubai 2014). The main focus of the
study is to achieve one of the most important elements (the Society), and the study will highlight
the challenges and provide some innovative solutions to improve Dubai livability by improving
the indoor and outdoor environments with suggested strategies. The study will propose a sustainability package which will focus on the social aspects, which will carry different practices that
can be adopted to mitigate the impact of CO2 emissions and to help steer Dubai into sustainable
future. Moreover, this paper will discuss the results of each practice to demonstrate how this will
add value and help in achieving the highest standards of a clean environment.

Figure 1: UAE ecological foot print compared to the world bio capacity (Source: WWF UAE 2015)
Achieving the right practices for the social aspect is the main aim and is to achieve one of the
Dubai Plan 2021 elements, in this case the society, which will pave the way towards a city of happy
and satisfied people. Therefore, by understanding the culture of Dubai residents and the main urban ways of living, the study addresses human standards and role to achieve the image of Dubai
as a preferred place to live.

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Figure 2: Dubai Plan 2021 elements (TEC Government of Dubai 2014)

Problem Definition
Going back to Dubais History, the six emirates of the UAE were united in 1971; Abu Dhabi and Dubai were the richest emirates for having oil reserves (About News 2013), which played a big role in
speeding up the process of building a new developed city, the price of this fast growth was ranking Dubai at the top carbon polluter for consuming the highest percentage of energy (CEEI 2010).
It is predicted that oil reserves will be exhausted in 20 years (Allianz 2014); therefore a new strategy
should be adopted for energy sector to reshape the new source of energy for the UAE that can
be reliable for the long term and help in achieving a clean environment. Smith (2005) highlighted
the contribution of construction materials to the energy requirement of the architecture sector
as shown in Figure 3.

Figure 3: Role of Various Materials to the Energy Requirements of the UK construction sector (Smith
2005:14)
In addition to the environmental problems that are caused by the rapid growth of architecture,
it is important to mention that consumers in the wealthiest cities consume three times more
energy than a resident of Bombay (Smith 2005:14). As a result, the life style of Dubai residents contributes a major share of greenhouse gas emission; therefore CO2 emissions enhanced the need

Developing environmental practices from social aspects: a case study of Dubai

35

for finding unconventional solutions by implementing Dubai Plan 2021 to achieve sustainability.

Methodology
The aim of this study is to propose a sustainability package that can be adopted to mitigate the
impact CO2 emissions, and the paper is divided into four main categories, listing the objectives:
1. Presenting one of the selected elements of Dubai Plan 2021 (the Society) by highlighting a
group of strategic development goals for Dubai; each strategy is discussed by defining Dubai
Plan vision for the society.
2. Highlighting the challenges supported with statistics and tables.
3. Reviewing of literature which will highlight lessons learnt from previous practices in the same
field and will also help to pave the way for Dubai sustainable future, in order to think globally
and act locally to achieve the latest environmental practices in the social sector.
4. Determining the right solutions for the government to interact and support the regulations
with new sustainable guidelines; by referring to the literature reviews that present the same
challenges.
Figure 4 shows a conceptual framework of the main two elements of Dubai Plan 2021.

Figure 4: Conceptual framework

Glimpse of Dubai Plan 2021

In 2014, the UAE Vice President and Prime Minister, and Dubai Ruler H.H Sheikh Mohammed Bin
Rashid Al Maktoum launched Dubai Plan 2021 as a new innovative strategy for the next seven
years. This consisted of six main elements that create the image of Dubai in 2021 and can achieve
the main goal of Dubai Plan 2021, which is achieving peoples happiness (Gulf Business 2014). This
strategy is dedicated to everyone living or visiting Dubai (Emiratis, residents, tourists, organization, investors and government). A detailed journey was created since 2013 to design the framework of Dubai Plan 2021 that can cope with the changes efficiently in many categories. Figure 5
shows the framework in details since 2013, the project launch.

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Figure 5: Detailed framework of Dubai Plan 2021 (Emirates24|7 2015)

In this section, the study is presenting the social aspect (the Society) Dubai Plan 2021 by addressing three aims to achieve the image, the inclusive and the cohesive society:
1. A vibrant and sustainable multi-cultural society: Dubai is different and unique for its multicultural society that enrich the city economically and demographically, and it is considered as a
great advantage for Dubai future plan to give every citizen a chance to make a change in the
sustainability journey.
2. A tolerant and inclusive society embracing the civic values of Dubai: Despite of the people,
nationalities and their backgrounds, they are judged and treated equally because the main
vision of Dubai is meeting human needs in critical way of sustainability with respect of civic
values including tolerance and personal responsibility towards sustaining the city.
3. Cohesive families and communities forming the bedrock of society: the children are the future;
therefore Dubai plan 2021 is enhancing unity in their spirit and taking responsibility towards
the environment to make it a clean and healthy place to live.

Literature Review
Through a literature review, the study is supported by previous practices, theories and methodologies that can be inspiring to create a sustainability package for architectural and social aspects; two examples are presented to show how other countries were successful in greening their
building environment and acting socially right to have an impact on their local and global future
sustainability:
1. Factor 4 Projects: Factor 4 is a new environmental trend that aims for increasing in resources
efficiency to reduce the ecological footprint to have a society that live healthy while using half
the resources and reducing 50% of the negative impacts (GDRC.org 2015). Factor 4 follows the
Sustainable Development World Strategy, the Tokyo Protocol and the European Energy Policy.
One of Factor 4 projects is the social housings in Europe which aims for four targets (Suden.org

Developing environmental practices from social aspects: a case study of Dubai

37

2014): The first target is guiding the citizens to set up sustainable solutions to generate power for
their buildings by offering innovative solutions that are already tested and guaranteed in term of
money back. The second target is offering all the required technical information about applying
new sustainable strategies to the building and how it will affect economically. The third target is
focusing on stretching the life span of the resources and the lifecycle of energy. The fourth and
the last target is aiming to create new jobs. Another successful project is recycling carpets; most
European companies now sort the carpets to reuse or recycle them according to their components instead of burning them or sending them to the land fill. Srinivas. H (2013) highlighted the
advantages of recycling or reusing the carpets, it consumes less energy comparing with manufacturing new carpets. Moreover, it deducts the energy needed to get the virgin materials and
minimizes the areas used for landfills. In addition to that, recycling carpets helps in opening new
markets for eco-friendly products.
2. Agenda 21: Agenda 21 was established in 1992 in Rio de Janeiro as a result of the world conference on environment and development by the Center for Economic Development (UCED).
The main purpose of this agenda is to put international guidelines for sustainable development
for different subject areas; economic, environmental, social, and industrial (Plessis 2013). Figure 6
shows what the causes of unsustainable development are to avoid them.

Figure 6: Causes of unsustainable development (PSDN 2015)

To act locally with referring to agenda 21, Local Agenda 21 was established to achieve human
needs for living quality life by protecting the ecosystem with human practices which can be
achieved by interactive and collaborative participation (UN 2015). Yirmibesoglu (2015) highlighted
in his research three main goals for Local Agenda 21: The first goal was the local administration of
the city which should act and participate with the citizens to implement Local Agenda 21 guidelines. The second goal was increasing the interaction between local and international communities to encourage co-operation between both administrations and exchange knowledge and
experiences in the environmental field. The third goal was encouraging women and youth to be

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decision makers in the community and have their voices heard to make a change.

Figure 7: The sustainable development in relations to the essential dimensions of society (PSDN 2015)
Figure 8 shows in Germany the impact of implementing Local Agenda 21 parameters on the CO2
emissions; an increase of the share of renewable energy was expected and CO2 emissions have
been decreased as a consequence of introducing electricity TAX.

Figure 8: CO2 emission in Germany (UN 2015)

3. Earth Charter: Newman (2008) defined earth charter as a document that consists of shared
values and principles towards achieving a sustainable future. It was launched in June 2000 by
local governments at the Johannesburg earth summit and thousands of people in seventy eight
countries formed the document. Earth charter shares four main values: The first value is to respect
and care for the community of life to respect earth and life in all its diversity, and care for the community by being smart in using natural resources without harming the environment when people
are given the freedom. On the other hand, they are responsible of the consequences. The second
value is ecological integrity. Its the human duty to protect the ecosystem to sustain the humans
needs by adopting regulations and preserve conservations. In addition to that, its very important

Developing environmental practices from social aspects: a case study of Dubai

39

to prevent harm to the environment by reducing, reusing and recycling used materials; and supporting scientific and technical cooperation on sustainability to develop the study of ecological
sustainability. The third value is the social and economic justice. It is everyones right to have clean
water, clean air, food security, and shelter; institutions must promote for human development in
addition to financial organizations. The fourth value is democracy, non-violence and peace: all
involved institutions should participate in decision making and have access to justice, to support local, regional and global civil society and protect freedom; schools are involved as well by
educating the young generation and preparing them to contribute in sustainable development
and teaching them respect to all living beings and avoiding violence. Earth charter can be an inspiration and a reference for business, researches and decision making; it can be an educational
instrument for the young generation.

Expected Solutions
After reviewing literature and analyzing different studies that have a similar approach of this
study, the following solutions have been suggested accordingly with Dubai Plans themes and
aims. This sustainability package has been suggested for the social aspect (the Society):
Integrating Media Tools at the Right Areas
The technology nowadays helps the government to reach everyone, launching social media
flat form in the right place where people can enrich Dubai vision with their ideas and enhance
awareness of sustainability. It gives an opportunity of interaction between people and their surroundings with engagement of mobility and Wi-Fi technology; the government is now able to
connect with people at any place in addition to the architectural surfaces that can be used for
social engagement. Wireless technology offers unlimited destination, designers can be creative
to integrate media methods into human life. Therefore the following methods have been further
suggested that can be applicable to increase awareness about sustainability in the society:
Visual activities: mapping and scenario planning is an attractive method to link with people
and deliver a message by a play.
Mobile social network: using robots is one of the latest media methods to allow people to see
the sense of the city.
Interactive urban screens/ foursquare.
Exchange information over radio waves
Touch screens as an urban-technological imaginary
Integration of social media network (face book/twitter and LinkedIn) to create organizational
accounts to connect people locally and on an international scale to focus on major issues to
discuss about sustainability, and give a platform for people to interact and share their thoughts.
These designs will allow people to visualize the future that we are aiming for. It is important to
develop new concepts to attract people attention and present sustainability in innovative way,
the relationship between people, technology and the environment is going much further and
reaching to a great impact on the society. Sustainability must be put at the heart of peoples
agenda and cooperate to build a sustainable world, this can happen by cooperate activities; social
media is a tool to reflect how people operate towards the future and encourage others to follow
and do a step towards a greener life. The challenge related to integrating media tools is making
information uptake easier for consumers which can be 30 seconds radio show or a screen slot or
printed poster to avoid information overload, and present sustainability to people in the most
attractive method.

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Creating Strategies for Visioning

Its important to know what people should value the most, what the role of place in sustainability is, and what peoples responsibilities are towards the place (Newman & Jennings 2008). To
achieve sustainability, people should relate vision to human needs of today without affecting
on the future generations needs; as sustainability is a global concern, every city should setup a
framework and act locally with a global aspiration for sustainability. To develop visions strategies
Dubai should set goals to enrich the ecological, social, and economical values by the incorporation with decision makers.
It is important to mention that H.H Sheikh Mohammed bin Rashid Al-Maktoum Vice-President
and Prime Minister of UAE, and Ruler of Dubai insists on dedicating the government to satisfy
humans demands (Expo2021 2013) by engaging people to ensure that the new policies meet the
needs of people, this process will bring Dubai people together and give them the opportunity to
dream and imagine the future of Dubai to build a better sustainable world. Amen (1997) explained
how people can accept the consequences when they are given the freedom and not forced to
change, the community participation is the key to grow the vision of the city in different sectors (business, education, health care, and environment); this can be achieved by hosting public
events and encouraging children visioning in schools.
To achieve the right strategies for visioning, each strategy should give an answer to these questions to obtain sustainability:
a. Calculate the ecological footprint of Dubai to know where we are now and evaluate the impact of the recent CO2 emissions on the environment.
The ecological footprint of UAE in 2008 which indicates that people of Dubai consume food,
energy, goods, and services more than the planet can handle naturally to regenerate; WWF
(2015) also indicates that Dubai people need 4.5 planets to cover their demands.
b. Set goals according to the ecological footprint result. Figure 10 shows that household contributes with 57% of the UAE footprint; this finding is the key to develop goals that should be
obtained on the long and short run to live in a good place that is blessed with a healthy environment.

Figure 9: UAE Footprint by Demand (GFN 2015)

c. Enriching community engagement with government and private sectors as it was mentioned
in the literature review, Factor 4 Project can be obtained to encourage the citizens to setup
sustainable solutions to reduce negative impact of the ecological footprint up to 50%.

Developing environmental practices from social aspects: a case study of Dubai

41

Figure 10: Sustainability Strategy Model (Newman & Jennings 2008:29)

Figure 10 is relating the vision to the environment and how cities can become more sustainable by
consuming less resource to minimize the waste and maximize the livability; by implementing this
model people will gain environmental, social and economic benefits for the future generation,
and to achieve that, vision principles should be considered:
Integration: economic, social and environmental factors should be integrated to achieve the
goal of reducing CO2 emission.
Commitment: People should believe in the importance of sustaining their life needs to plan
their strategies and start making a change towards their future.
Hope: When people are working on preserving their life and resources, they are giving hope
for the future generation to have a quality of life.
To achieve the strategies for visioning, the government must get over the barriers; it can be financial barrier which focus on the economic growth rather than peoples right, and it can be avoided
if the economy is considered as part of the environment. The innovation and social barrier is one
of the biggest challenges especially when it comes to changing humans behaviors to achieve
sustainable development; over all, sustainability must be a priority for the government to initiate
the change and be supported by a global vision to follow like the earth charter.
Educations Role in Enhancing Awareness of Social Issues
Education plays a big role by supporting the next generation of sustainability leadership, the
UNESCO (2014) reported that the environmental impacts are results of peoples unsustainable
practices which were learnt, but now its the time to teach the young generation how to live
sustainably which requires to do changes in the way the children are educated, by now people
know that children should feel the responsibility towards their environment, and learn how they
can make a change to see how their studies about the importance of the environment and to the
global warming can be implemented by real projects and see how they can add value to their
surroundings. Kiran Bir Sethi (the founder of river school in Ahmadabad in India) explained how
giving the children the opportunity to experience real world project like experiencing child labor,
they learnt about their rights and they were willing to give their opinions accurately out of honest
feelings.

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The first step towards education role is to pave the way for our children to find their purpose in
life instead of making their decisions; children can be concerned about the environment equally
as they are concerned about other subjects and that comes by enhancing awareness about sustainability and what are the negative impacts of the daily practices towards the environment and
how the children can help in reducing the CO2 emissions; if the children are treated like they make
a difference in the world, they will make a difference. The second step is to motivate the children
to work with others to build a sustainable future by developing their social skills and encourage
them to participate in environmental activities out of school. The third step is to develop the human right education and focus on efficiencies and how the school is managing to reduce energy
consumption, minimizing waste and water use, and link it to the classroom learning. Figure 11
shows how to approach education for sustainability, it includes different adjectival approaches
(Human rights education, environmental education, peace education, and multicultural education), schools should not neglect the social , economic and political factors in addition to the
environmental factor; to achieve a sustainable learning these five areas should be covered within
the school curriculum (Gilbert 2004:195):
Studies that support social sustainability
Studies that support economic sustainability
Studies that support ecological sustainability
Studies that support democratic sustainability

Figure.11 Sustainability Strategy Model (Calder & Smith 1992:12)

Because sustainability is hard to define, one of the biggest challenges in educational sector is to
teach sustainability, it might be easier to change the young generation behaviours than adults
as children are more flexible and easier to adapt, on the other hand, it is a great responsibility to
prepare a generation who will be the decision maker for the future, therefore the academic experience should be rich of tangible resources and professionalism in teaching.

Developing environmental practices from social aspects: a case study of Dubai

43

Conclusions
In the view of the above, it is important to mention that the main aim of the study is to create a
sustainability package for one of Dubai Plan 2021 themes (the Society) that can be practiced and
applicable in Dubai. It is very challenging to find innovative solutions for a city that has the care of
trusted hands and updated with latest practices in all categories. The solutions are inspired by the
authors readings and analyzing the literature reviews that have the same approach, in addition
to international practices that can be applicable in Dubai. The study enriched the sustainability
package with statistics and given tables to estimate the level of the problem and presented the
right solutions, and showed the impacts of these solutions on the ecological foot print of Dubai.
The paper presented (the Society) element, and suggested three innovative strategies that can
help in reducing CO2 emissions on the long-term and short-term; the strategies were inspired
from other studies that are global organizations that support sustainable development. The
solutions given varies between theoretical and conceptual framework to develop the vision of
people towards a sustainable future, the impact of given solution cannot be predictable as they
all focus on changing peoples behaviour which will reflect on the CO2 emissions with their practices. Mostly importantly, all suggested strategies should be supported by the government and
the decision makers, because without their support there will be no potential for modifying and
achieving the required goal.

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PSDN. 2015, Philippine Sustainable Development Network, [online] retrieved from: http://www.psdn.org.ph/ [Accessed 3 march 2015].
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Developing environmental practices from social aspects: a case study of Dubai

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International Conference | Bari - Lecce, Italy

Session I - II

MEASURING AND PREDICTING RESIDENTIAL

MARKET ACCEPTANCE FOR PHOTOVOLTAIC
TECHNOLOGIES IN MELBOURNE VICTORIA
Neville Hurst1, Sara Wilkinson2
1 School of Property, Construction & Project Management, RMIT University, Melbourne, Victoria, 3001 Australia. Email:
[email protected]
2 School of the Built Environment, Faculty of Design Architecture and Building, University of Technology Sydney, NSW,
2007, Australia. Email: [email protected]

Abstract
Globally varied, and in some cases extensive efforts, have been made by governments and industry stakeholders to create a market appetite for solar technologies within the housing sector. Given the benefits to the individual home-owner of lower energy bills and, more broadly
to the environment as housing contributes 25% of all built environment related green house
emissions, it is perplexing why solar technologies do not have a more consolidated position
in the housing domain. Uptake of such technologies by end users has been moderate and
this phenomenon has not been unnoticed by researchers. Since global warming is a universal
problem, and with efforts to abate further damage remaining elusive, it is both appropriate
and timely to review how residential markets are responding to these technologies.
Australian governments have adopted a view of allowing market forces to drive the social
acceptance of energy efficiency technologies into the housing market psyche. Newly constructed homes in Australia are required to meet minimum energy efficiency performance
standards. However, there remains no requirement to uplift the energy performance of existing buildings, which are, and will be for many years to come, the substantive population
of the Australian housing stock. This is also the case for other countries. Real estate agents,
as market facilitators, are in a unique position to observe market behaviours and potentially
influence them through their engagement with buyers and sellers. Using this unique circumstance, this research has examined an extensive database of real estate agent advertisements
in Melbourne Victoria from 2008 - 2013 to undertake a time series analysis aimed at measuring
the rate of increase of the appearance of words relating to solar technologies. It was found
that without specific government efforts aimed at increasing the appetite of homebuyers
for energy efficient housing the opportunity for solar technologies to significantly contribute
towards the mitigation of climate change in the foreseeable future would be lost.

Keywords
energy efficiency, real estate agent, housing, advertising, Solar

47

Introduction
Since the release of the Bruntland Report nearly three decades ago (Bruntland, 1987), climate
change has become deeply ingrained in public discourse and has challenged governments to
implement ways of reducing damaging anthropogenic activities. Buildings are major contributors to negative environmental impacts via carbon dioxide (CO2) emissions emanating from ongoing occupation of buildings. The need to reduce these damaging activities is deemed essential
by many (Stern 2007, Garnaut 2011). Globally, varying climates present long-term housing issues
unique to individual countries, such that development possibilities are particular to each city and
must be assessed within the context of its own region (Bruntland 1978:170).
Considerable research has been undertaken into the barriers facing the adoption of energy efficient housing, largely concluding that without concerted government intervention integration
of such measures into everyday house choice decisions is problematic (Blunt & Dowling 2006,
Reid et al 2010). As key stakeholders, it is incumbent upon government and industry to consider
mechanisms that facilitate market acceptance for more energy efficient houses. Environmental
policies in Australia have been the subject of extensive debate as political ideologies collide in
public forums resulting in a view that Australias commitment to ongoing change is questionable
(Lowe, 2014). Current paradigms are embedded in neo-liberal capitalistic beliefs that market forces will drive change. The current Australian government has set in place a framework to facilitate
this standpoint. Solar technologies are considered an essential component of CO2 emission reductions due to their ability to replace fossil fuel in energy production (Nelson et al 2014). Considerable efforts and advancements have been made globally to introduce solar technologies into
the housing sector and, in Australia, federal and state governments also introduced schemes to
subsidise solar technologies. These financial subsidies apply to both installation and feed-in tariffs, but have been progressively reduced from the initial levels, claiming that design and manufacturing improvements have led to considerable real cost reductions (Climate Commission 2013).
Examining the effectiveness of this approach, this research investigates the extent to which real
estate agents in Melbourne Australia are advertising house solar energy technologies and the
relationship they may have with demographic characteristics. The research examines real estate
advertisements used to market established housing stock in Victoria between 2008 and 2013.

Drivers for domestic solar technologies

The scientific community has attributed many recent extreme weather events to climate change
as being caused anthropogenic activity leading to excessive amounts of greenhouse gas (GHG)
emissions (Australian Academy of Science 2010 ). Housing in Australia is believed to contribute
between 7% (Department of Industry 2014) and 20% (EPA 2014a) of national GHG emissions. Victorian housing, which is heavily reliant on coal for electricity generation, is at the upper end of
that estimation (Environment Victoria 2014). Although the actual the estimates vary considerably,
there is no disagreement about the negative effect housing has upon the environment and that
measures must be implemented to reduce these impacts.
However, exactly how to encourage the uptake of more energy efficient housing has challenged
governments globally. Some have opted for regulatory frameworks with minimum building
standards for new and extensively renovated homes, whilst others add reporting requirements.
In response to the international call to reduce GHG emissions the Australian government initially
planned to introduce mandatory energy efficiency reporting at the time of sale. This method-

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ology was considered an appropriate strategy by Federal and State governments to inculcate
improved social environmental attitudes towards housing. However this policy has since been
revoked. Currently Australian governments favour market forces to create demand for energy
efficient housing. Legislative framework, which varies throughout the states, requires only new
homes and extensions beyond existing rooflines, to comply with prescribed energy efficiency
standards.
Given the majority of Australian housing was constructed prior to 2005, the year which heralded the introduction of mandatory energy efficiency standards, many houses have poor energy
performance rating of 2 stars or less utilising the NATHERS system of 0-10 star rating (Environment Victoria 2014). Under the NATHERS system a 10 star dwelling suggests no artificial heating/
cooling is required for thermal comfort. Outside of new homes, which are subject to mandatory
requirements, the uptake of energy efficient technologies has been slow. Arguably market forces
will drive change over time, but change is likely to be slow (Cudmore, 2011) and it is unlikely that
homebuyers will respond to general information alone when it comes to developing sustainable
practices (Mackenzie-Mohr & Smith 1999, Henning 2008).
Historically heating and cooling costs have not featured heavily in the home-buying decision
when buyers are considering the future benefits derived from housing. However increasing energy costs may change this perspective. The proposition held by supporters of a market led adoption of energy efficiency in the home-buying decision, is that as energy costs rise buyers will seek
more energy efficient houses thereby driving greater market demand and acceptance of this type
of housing. Electrical energy costs in Victoria have risen considerably in recent years, and over the
study period, increased a total of 63% for the average household (Essential Services Commission
Victoria 2013). It follows then, if rising energy costs is to be a catalyst for creating demand for more
energy efficient housing, evidence of words and phrases highlighting the benefits of house energy efficient technologies ought appear in real estate agent advertisements.

Barriers to the uptake of domestic solar technologies

The subject of this research is non-detached housing stock and the unit of analysis real estate
agent advertisements. As much of this housing stock was built prior to energy performance regulations, it is appropriate to review barriers for retrofitting houses with energy efficient technologies.
Retrofitting energy efficient technologies needs to be cost-effective for homeowners to outlay
capital funds (Pellegrini-Masini et al, 2010). Viability is often measured in terms of the homeowners ability to achieve future benefits via reduced energy bills and recover capital expenditure
prior to selling. Australian households are comparatively mobile; only 27% living in their current
home for more than 15 years (ABS 2010). This high rate of mobility may impede investment in energy efficient technologies.
With specific regard to solar technologies, the subject of this research, the cost of installation
and benefits gained are of immense importance to the homeowner (Branker et al. 2011). Without
government support solar system technologies are unlikely to be attractive. The financial considerations of such technologies are two-fold. Firstly the initial installation, which in Australia costs
thousands of dollars and; secondly, the extent of rebates provided for excess electrical energy,
generated from the PV arrays, which is fed back into the grid. If this financial framework does
not capture the interests of the general public little, or no, real gain will be made in the shift to
renewable energies.

Measuring and predicting acceptance for photovoltaic technologies in Melbourne Victoria

49

A third factor and potential barrier is the market facilitator, namely, real estate agents. This group
must be able to sense a market appetite for solar technologies if they are to be promoted in advertisements and the sales process. If the agent does not understand the benefits to owners and
occupants, they are less likely to make such references in advertisements. Inability or reluctance
on the part of agents to promote house solar technologies positively could therefore act as an
impediment to long-term market acceptance of such technologies.

Solar in Australia
Australia is one of the sunniest continents in the world (NREL 2008) yet it has one of the lowest uptake of small-scale solar technologies (Pew 2013) suggesting a disconnect between opportunity
and resource exploitation. There are approximately 1.25 million solar PV installations in Australia
(Clean Energy Council 2013) and relative costs for the purchase and installation of PV systems
has fallen to approximately one quarter compared to costs around the late 1990s/2000 (APVA
2013). As a result of government efforts to enhance the uptake of such technologies, these costs
are currently subsidised by rebates at Federal and State government levels. At the Federal level,
homeowners seeking to install a new system are able to apply for solar rebates to assist with initial
capital outlays, and at the State level feed-in tariffs of 6.2 cents per kilowatt-hour exist (Energy and
Resources Victoria 2015A). This amount, under the current Liberal Federal government has been
reduced substantially from 60 cents per kilowatt-hour provided in 2009 under a Labour Federal
government (Energy and Resources Victoria 2015B). This decline in feed-in tariff rates is arguably
appropriate as the market rate for domestic electricity supply is around 30 cents per kilowatt-hour
(Origin Energy 2015) and therefore, high feed-in tariffs are unsustainable.
The argument for the adoption of solar technologies in Australia is predicated upon cheaper energy bills. Typical Australian rebates for PV systems allow for payback back periods around four
to six years depending upon the size of the system (Solar Choice 2014). Installations of solar PV
systems in Victoria have increased significantly since 2008 (Figure 1). This sudden and rapid uptake
is largely attributed to the introduction of more generous government rebate schemes. Financial
funding for these schemes has been progressively reduced from 2012. Figure 1 shows the total
installations of PV systems in Victoria since 2006 and Figure 2 shows the year on year growth of
these systems. In Victoria 12.9% of dwellings have been fitted with PV systems (Australian PV Institute 2015).

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(Source: Authors)
As shown Figure 2, the numbers of new PV installations have waned since 2012, and one possible cause is the reduced feed-in tariffs rates, leading to extended payback periods and reduced
upfront rebates to offset installation capital costs. However, if there is a market demand for such
technologies from home buyers, then this should be observed in marketing campaigns as real
estate agents would be keen to promote these technologies if they perceive a buyer demand.

(Source: Authors)

Marketing and advertising housing

When real estate agents advertise housing for sale or lease, it is important to promote the most
attractive characteristics to potential buyers as means of creating enquiry. Whilst acting in the
best interests of their client, usually the seller, the role of the real estate agent is central to the

Measuring and predicting acceptance for photovoltaic technologies in Melbourne Victoria

51

sales process and dichotomous in itself. To achieve a successful outcome, real estate agents must
be proficient at negotiation, understand building design and technologies, have extensive working knowledge of consumer and property laws, understand selling and marketing principles and
possess in-depth knowledge of the geographic and demographic composition of the region in
which they work (Arndt et al 2013). Agents are generally remunerated via success fees, thereby
aligning both parties towards a successful outcome. The objective to sell is innately linked to a
marketing campaign that highlights the houses most attractive attributes to attract the most
suitable buyer (Bridge 2001, Perkins et al 2008).
Advertising is a core element of any marketing campaign. The advertisement is produced to attract qualified buyers with the aim of motivating them to enquire and view the property. The
agent has an aligned interest to the seller to produce quality advertisements as it; prompts buyer
inquiry, is a means of enhancing agency and is designed to locate the property within its submarket through the use of persuasive language (Bruthiaux 2000).
To be successful real estate agents must be in-tune with the market in which they operate to
ensure advertisements are written to attract suitable buyers to the house being offered for sale.
Real estate agents often use emotive text to highlight characteristics of a house to create desirable images in the mind of reader (Pryce & Oates 2008). Studies have shown that real estate agents
manipulate linguistic patterns in order achieve favourable outcomes (Beangstrom and Adendorff
2013, Perkins et al 2008, Schollmann et al 2001). Textual variances of real estate advertisements
can be informative when examining social change. Studying house advertisements over 20 years
Rodriguez and Siret (2009) observed that housing preferences had changed in the use of space
and the concept of comfort within the built environment. They noted advertisements are a compact description of the characteristics and qualities that dwellers and real estate-agents give to a
house in order to make the best sale (Rodriguez and Siret, 2009:93). Following this observation,
real estate agent advertisements are considered a useful way to examine social trends and; therefore, words that refer to solar technologies ought to appear in house advertisements if a demand
for such technologies in housing was emerging under a market led policy, such as that favoured
by successive Australian governments.

Framing the research: The City of Melbourne

The City of Melbourne is a large cosmopolitan city comprising approximately 4.35m people (ABS,
2013) with much of Melbournes original growth to the east of the citys CBD. Currently extensive
development is occurring in the citys western region creating a city with wide spectrum of old
and new housing styles and technologies. Many suburbs in the inner and middle-eastern regions
have median prices exceeding $1m and are colloquially referred to, as the desirable leafy suburbs. This mix of housing styles and demographics provides an ideal tapestry in which to study
the uptake of introduced technologies such as solar.

Research aims and objectives

The aim of this research is examine the uptake of solar technologies, within the prevailing government policy framework, by residential property market participants, specifically house buyers.
The Australian government has opted for a market led policy believing that buyer demand will
lead to potential sellers installing solar and energy efficient technologies in order to avoid pricing discounts. Therefore the primary research question is: How are advertisements promoting solar
technologies influenced by government policy?

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Principal-agent theory suggests that agents will act ethically on behalf of clients but retain an
element of self-interest (Anglin & Arnott 1991). When applied to the context of this research it is
posited that if real estate agents perceive a benefit in promoting house energy efficient technologies, such as solar, they are likely to do so and will therefore script words and phrases within
advertising material to attract buyer interest.
This research examines the potential for success of the Australian governments strategy of using
market forces to drive demand for energy efficient housing, thereby encouraging house-owners
to retrofit technologies to avoid price discounts. The objective is to gain a deeper understanding
of the extent of engagement that real estate agents have in the promotion of energy efficient
characteristics. As market facilitators real estate agents exhibit significant influence over the sales
process (Jauregui & Hite 2010) and therefore it is essential that their role be understood together
with the influence of demographic profiles upon solar technologies.
At any given point in time there is approximately 30,400 houses for sale in Melbourne (Mr David
Hall REIV email 22nd June 2015). Latest approvals for solar installations indicate that currently approximately 12.9% have been fitted with PV panels. Therefore it can reasonably concluded that
approximately 3922 of the houses on the market at any given point in time would be fitted with
solar technologies. If real estate agents are seeing such technologies as attractive to the market
then one should be able to observe a similar percentage of advertisements with words and phrases referring to these technologies. Thus this research is aimed at investigating the extent to which
real estate agents are acting in the manner sought by a market led policy.

Research Method
This investigation is informed by research that suggests education and wealth influence decisions
to adopt energy efficient and sustainable practices within domestic environments. With this in
mind, the aim of this research is to investigate the extent to which real estate agents include
words and phrases relating to existing solar technologies in advertisements. Such findings will
enable a better understanding of the extent buyers are seeking such technologies as part of their
home buying decision. This research adopts a quantitative approach by assembling a database to
explore the research questions. Data used in this study is real estate agent advertisements used
to promote residential properties between July 2008 and June 2013. In Victoria real estate agents
submit their advertisements together with sales information to the Real Estate Institute of Victoria (REIV) at the time of sale. The REIV is Victorias industry peak body representing approximately
70% of all real estate agents (J Mitchell REIV email, 26th November 2014) with the remaining 30%
largely being non-residential agents. The statistical methods adopted best practice approaches
and ensure that internal validity is addressed (Silverman, 2008).
Keywords that either directly or make inferred reference to solar energy being available within
the advertisement were searched and included in the count. Keywords were identified through a
review of a random selection of 250 advertisements, noting any words that related to solar energy features (see Table 2). References to solar hot water services were not included. The rationale
for excluding solar hot water systems is that electric hot water systems in Melbourne account
approximately 43% of all installed systems (Origin Energy 2015) and the inclusion of these systems
here has the potential to corrupt the count, where the objective was to focus on the diffusion of
PV panels into the market. Evaluating textual composition of advertisements within geographical regions and comparing each to demographic profiles will demonstrate whether real estate
agents are recognising market demand for energy efficient technologies.

Measuring and predicting acceptance for photovoltaic technologies in Melbourne Victoria

53

Family income often influences where people purchase their home. Wealth is also correlated to
the likelihood of adopting better environmental practices (Mandell and Wilhelmsson 2011) and
therefore it is appropriate to investigate if advertisements in different regions display a varying
amount of words relating to solar technologies. For this part, analysis of local government areas
(LGAs) defined by the Australian Bureau of Statistics (ABS) were used. Each LGA has information
regarding wealth and other demographic characteristics provided in census data. The REIV data
provided with postcodes were matched with LGAs to allocate data for analysis. In a small number of cases postcodes were applicable to two adjoining LGAs. These were examined in detail
to determine the extent of data corruption. In the worst case it was found 98.6% of the relevant
postcode from REIV data resided in a single LGA with the remaining 1.4% within the adjoining
LGA. Given the large size of the database this was accepted as a limitation to the result. The database was screened to include only detached dwellings resulting in 91,331 items of data. Attached
dwellings were of interest because owners are free to make choices about retro fitting and house
upgrades. SPSS Version 22 was used to undertake the analysis.
Table 1 shows the demographic variables used for analysis and Table 3 provides a sample of the
data acquired from the Real Estate Institute of Victoria (REIV) after cleaning for irrelevant sales
such as vacant land. Table 3 provides details of the word categories used in the analysis. Words
and phrases within advertisements were grouped into primary categories that identified the nature of the terminology used in order to further understand if certain solar technologies were
preferred in favour of others. Previous research has revealed that buyers who are more educated
and affluent are more likely to adopt energy efficient behaviours and are willing to pay for such
technologies (Jansson et al 2011, Mills & Schleich 2012). This therefore would suggest that markets
exhibiting such demographic profiles would have a greater prevalence of language referring to
solar technologies appearing in the advertisements. Strings of text were examined for words that
related to such technologies being present in the house.
Table 1 Demographic ABS & Property Variables
1. Median Age
2. Median Monthly Mortgage Repayments
3. Median Total Weekly Personal Income
4. Median Weekly Rent
5. Median Total Weekly Family Income
6. Average Number Of Persons Per Bedroom
7. Median Total Weekly Household Income
8. Average Household Size
9. No. Beds (From Description)
10. Education Group 1 (University)
11. Education Group 2 (Technical And Further Education TAFE)
(Source: Authors)
Table 2 Keywords searched and coded into SPSS
str_solar_panel

SOLAR PANEL

str_solar_power

SOLAR POWER

str_solar_energy

SOLAR ENERGY

str_solar_electricity

SOLAR ELECTRICITY
SOLAR ELECTRIC

(Source: Authors)

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4 No. Bedrooms

$1,425,500 Sold Price

10/08/08 Sale Date

HOUSE Property Type

VIC State

3124 Postcode

Camberwell Suburb

5289591 Record ID

Table 3 Sample of REIV data

Comments
Situated on a generous allotment this home provides a great opportunity
for you to live in one of Melbournes most desirable suburbs. Comprising:
Two living areas with hardwood floors- Period style kitchen with gas
cooking facilities, recently installed solar panels, spacious rear yard for
the family and off street parking. Located a comfortable stroll to popular
Bourke Road retail precinct and rail. First time offered for sale for many
years. This is a home to excite the most discerning buyer.

(Source: Authors)

Results And Discussion

Real estate agent advertisements were examined for the frequency of words and phrases used
to inform the reader of existing solar technologies. Grammatical forms were examined and are
explained in Table 4.
Table 4 Flag category used
Flag

Explanation

flag_solar1_word

Words and phrases that attempt to highlight the house comprising installed and functioning solar
power source. For example; solar power, solar energy, solar panel(s).

(Source: Authors)
These categories were designed to capture the possible range of descriptions that could be used
when describing solar technologies within the house and were guided by contemporary research.

Correlations
As the aim is to consider the influence of demographic profiles on solar words in advertising,
bivariate correlations between the keyword and demographic variables were undertaken. All variables exhibited weak form correlations but were nonetheless significant in many cases. Solar
words appeared negatively correlated for regions where the residents had undertaken higher education [r=-0.009, n=91,331, p=0.001]. This contradicts previous research findings (Eves and Kipps
2010; Zhang 2010) that more educated people are more likely to adopt energy efficient technologies and real estate agents appear to be marketing to this disposition. Although weak, this finding could be explained by the proposition that government subsidies are available to all people
and attraction to energy bills is likely to be taken up irrespective of educational background. Correlation with household size is also weak but significant [r=0.016, n=91,331, p= 0.001]. This finding
suggests that larger households are seeking ways of reducing ongoing energy bills. In itself this
would seem intuitive, however this can generally only be achieved if the household income has
sufficient to outlay the initial capital expenditure. Previous literature suggests that pro-environmental behaviours and investment are linked to income levels (Jansson et al 2011). As no correlations with weekly family income were found one plausible reason is that households are seeking
to take advantage of government subsidies, and if none, then they may not invest in such technologies. The third and highest correlation is No. of bedrooms in the house [r=0.035, n=91,331, p=

Measuring and predicting acceptance for photovoltaic technologies in Melbourne Victoria

55

0.001]. As it is likely that houses with more bedrooms are larger in floor area it is probable that the
occupants would again seek to reduce energy bills and seek install solar technologies if possible.

Logistic regression
Finally, to further elucidate findings from the data, logistic regressions for the keyword were conducted. The logistic regression reveals the likelihood of the keyword appearing in advertisements
within the specific geographical regions. As geographical areas exhibit unique demographic
characteristics a logistic regression will enable the examination of the likelihood of the keyword
appearing in advertisements within those regions thus indicating whether or not emergent association exists. In order to define regions in a manner consistent with ABS data used within this
research, the ABS statistical regions were adopted and applied here. These regions are defined
by clustering neighbouring LGAs and labelled in a manner that reflects their relative geographic
position to the Melbourne CBD. Logistic regression outputs are shown in Tables 5.
Table 5 - Logistic regression of Solar keyword
Independent Variable

S.E.

Wald

Df

Significance

Exp(B)

region_inner Eastern Melb

0.015

0.112

0.018

0.894

1.015

0.25

0.127

3.872

0.049

1.283

region_north Eastern Melb

region_mornington Peninsula

-0.032

0.119

0.073

0.788

0.968

region_north Western Melb

0.118

0.138

0.74

0.39

1.126

region_outer Eastern Melb

-0.085

0.131

0.422

0.516

0.919

region_outer Western Melb

0.152

0.111

1.885

0.17

1.164

region_south Eastern Melb

0.459

0.119

14.812

1.582

region_south Melb

-0.138

0.117

1.395

0.238

0.871

(Source: Authors)

Regional discussion for keywords

For the solar keyword, only South Eastern Melbourne, one of Melbournes middle/higher income
regions, was significant at the 0.001 confidence level. The Mornington Peninsula, a popular beachside retirement region, was significant at the 0.05 confidence level. Both these regions are typically well established in terms of housing stock and therefore if solar technologies are present, they
have probably been retrofitted. These results support two propositions. The first, that retirees
with constrained income are seeking ways of reducing energy bills and therefore may be attracted to houses displaying technologies capable of achieving this. Secondly households who have
higher levels of income are likely to be committed to higher mortgage repayments and would
therefore, seek ways of reducing ongoing energy bills. This would be more possible when government subsidies are available. No other regions were statistically significant.

Conclusions
The need to reduce carbon emissions and the impact on the planet by changed behaviours and
ways of thinking is considered to be increasingly urgent. Residential buildings have a significant
affect upon the climate and the diffusion of beneficial technologies into markets and society more
broadly is critical to abate environmental damage. If governments persist with indirect action policies, it is crucial that market participants understand the benefits of energy efficient technologies
and factor cost premiums into purchase decisions. This understanding can be achieved through
the engagement of market facilitators that is, real estate agents.

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This research investigated the appearance of words and phrases relating to solar technologies
in advertising to examine the effectiveness of a market led policy for the diffusion of energy efficient technologies in the Victorian housing market. The research question posed was; how are advertisements promoting solar technologies influenced by government policy? Results show that the
market is not yet paying significant regard to solar technologies and therefore not responding to
the governments objective of a market led adoption of energy efficient housing. Advertisements
describing solar technologies whilst present are disproportionate to the number of potential
properties that could include such words and phrases.
This research is unique in using real estate agent advertisements to reflect market activity and
buyer attitudes towards energy efficient housing. Real estate agents aim to promote the characteristics they believe will be most attractive to homebuyers. Therefore if solar technologies were
front of mind to the buyers, textual phrases relating to such technologies ought be found within
advertisements. The findings suggest that little progress has been made towards the diffusion of
energy efficient paradigms into the housing market. This in turn implies that indirect action policies are not likely to make any significant contribution towards the reduction of carbon emissions
in the residential sector, at least in the foreseeable future. It is the opinion of the researchers that
government must take a direct approach to this important issue.
Further studies that investigate reasons for the low level of market promotion of solar and energy
efficient technologies in the housing sector are likely to provide perspectives that could further
inform this research. This research is part of a broader project to investigate market/demographic
characteristics and acceptance of energy efficient technologies and the limitations apparent in
this article are acknowledged.

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International Conference | Bari - Lecce, Italy

Session I - II

CONCEPTUAL UNDERSTANDING OF
SUSTAINABILITY IN BUILT ENVIRONMENT
PROFESSIONALS
Sara Wilkinson1

1 School of the Built Environment, Faculty of Design, Architecture and Building, University of Technology Sydney,
Australia, [email protected]

Abstract
With the connection between energy use, greenhouse gas emissions and climate change and
the reality that as a whole, the built environment produces around half of total emissions, there
is substantial potential within the sector to reduce emissions and a key role in mitigating global
warming. However indications imply that our current grasp of the concept of sustainability is
disjointed and ambiguous (Cook & Golton, 1994. Wilkinson et al, 2004. Wilkinson 2012. Wilkinson,
2013). Many terms cover sustainable buildings, such as ecological, green, Gaian; do they mean the
same thing or are they different? Furthermore do those employed in built environment professions
demonstrate a clear understanding of the concept of sustainability? The consequence of a lack of
understanding is that the built environment industry and professions will be unlikely to deliver
sustainability efficiently or even at all, with broader and more onerous consequences for society.
This research sought to ascertain individual professionals conceptual understanding of sustainability in the built environment. Evidence is accumulating (Wilkinson 2014, Van Der Heijden &
Van Beuren 2013) that mandatory and voluntary approaches to increasing sustainability in the
built environment is having, at best intermittent and at worst negligible success, in Europe and
Australia. This research increases our understanding of how individuals understand the concept
of sustainability; and explores how that type of understanding influences their behaviour and
actions with respect to sustainability. A better understanding of this relationship will enable us to
develop mechanisms that are more likely to deliver the sustainability targets required to mitigate
climate change (MacKenzie-Mohr, 2006). This qualitative research adopted an online questionnaire survey data collection to ascertain individuals Individuals were sampled within a number
of key organisations in the property and construction industry. Issues of internal and external
validity and reliability were addressed in the data collection and analysis.

Keywords
conceptual understanding, built environment professionals, technocentrism, ecocentrism,
sustainability.

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Introduction
The awareness of the relationship between greenhouse gas emissions and observed climate
change and global warming has risen significantly over the previous 30 years. From initial scepticism and denial, globally more governments and business sectors have acknowledged and accepted that some action is necessary to reduce greenhouse gas emissions attempt to mitigate
the perceived impacts of climate change (Stern 2006, Garnaut 2008). Policies and strategies have
been debated and launched at all levels of government, and corporate social responsibility (CSR)
has been taken up by some within the business community.
Construction, which involves the mining, extraction and use of resources, has a substantial environmental impact (Ortiz et al, 2009). The impacts of the buildings constructed vary in terms of
the amounts of embodied energy, as well as, water and energy consumption during the building
lifecycle. Specification of materials and the resources used in maintenance and repair has further
impacts. The built environment in total is responsible for around half of all greenhouse gas emissions (Wilkinson, 2011), although estimates do vary from around 30% to 50% depending on what
is included or excluded in the calculation. Overall the impact from the built environment is significant, and will increase with population growth and increased urbanisation of the worlds population (RICS, 2015). Therefore the way built environment professionals perceive and understand
the concept of sustainability is crucial to the implementation of meaningful actions to mitigate
climate change.
It is said that sustainability is a contested concept; in other words it is interpreted or perceived
differently by different actors; it means all things to all men (Sderbaum 2011, Washington, 2015,
Cook & Golton 1994). If the concept is poorly understood, it follows that actions and practices may
be ill-informed, misguided and ultimately will not deliver the much needed outcomes (Cook &
Golton, 1994). To capture the views of those professionals who work in the built environment, this
paper addresses the questions; what is the conceptual understanding of sustainability within built
environment professionals and, (b) what is the implication of this level of conceptual understanding
with regards to delivering sustainability?

The spectrum of sustainability; ecocentrism to anthropocentrism

Within the built environment a surfeit of terms encompass the concept of sustainability. For example, green, Green, greener, Gaian, ecological, environmentally sensitive, environmentally conscious natural, and sustainable design or building are some of the terms adopted (Wilkinson,
2012). Such variations beg the questions; do these concepts overlap or, are they the same? Are
there shared aspects between the concepts and if so, what are they? Further, is the degree of
sustainability embedded within some concepts questionable? Moreover is it conceivable to consider a sustainable building in an absolute or a relative form? By this, it is meant; can a building be
actually sustainable when considering the earths total resources (absolute) or, is it simply more
sustainable than a building to which is it contrasted (relative)? Currently building rating systems
such as BREEAM, Green Star and LEED are regarded as being sustainable in an absolute sense. This
research elucidates some of these questions. Currently, sustainability is the preferred term and
typically embraces economic, environmental and social considerations (Elkington 1997), although
the term was defined initially in the Bruntland Report in 1987 (WCED, 1987). The concept is further
informed by political and philosophical notions, considered within the literature review, which
exposed distinct attributes and sub-groups which needed to be de-constructed and ordered to

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clarify shared and unique attributes.

A central division is Ecocentrism and Anthropocentrism (Pepper 1984, Dobson 1990, Brown 1995).
An Ecocentric worldview sees ecosystems as part of an integrated environmental system with
organisms, biological communities and ecosystems creating the mantle of life surrounding the
planet. Ecocentrism is advocated by an environmental movement known as Deep Ecology (Naess
1990, Washington, 2015) and is grounded in seeking the common good of the human and non-human world (Purser & Montuori, 1995). Ecocentrics are radically egalitarian, and entities such as animals, humans, rivers, seas and lakes are all believed to have equal and intrinsic value (Washington,
2015. Naess, 1990). Ecocentrics claim only when this worldview is adopted will we exchange environmentally destructive policies, for more benign policies. Paradoxically in asking humankind to
take responsibility for whole of the ecosphere Ecocentrics express Anthropocentrism (a human
centred worldview). It is claimed the egalitarian Ecocentric world would collapse into nihilism if
no distinctions of value are made, where for example, the value of a child in a ghetto tenement
is equal to that of a family of rats (Brown, 1995). Taken to extremes, there is a view that Ecocentrism lends itself to an ideology of domination, where eco police enforce eco policy (Dobson,
1990). Therefore although reduction in mankinds interference with the ecosphere is desirable,
it is argued that some types of Ecocentrism would involve the rejection of human rights in favour of the ecosphere. An example is the Transpersonal Ecology group who propose a cull of the
human population as a solution to population growth (Naess, 1990). Ecocentrics tend to dislike
centralised systems and materialism within social and political systems; a stance which puts them
heavily at odds with current prevailing paradigms of growth and consumption (Cook & Golton,
1994, Washington, 2015).
Anthropocentrism, is the dominant worldview, where humankind is believed to have the foremost role, only humans possess intrinsic value, are the rightful masters of nature, as well as being
the origin and source of all values (Pepper, 1984. Cook & Golton, 1994). Clearly Anthropocentrism
is a very different world view to Ecocentrism (Washington, 2015). It is asserted that to deliver sustainability sufficient to avert overwhelming levels of climate change, it is necessary to persuade
civil society to make a break from the anthropocentric perspective where the environment affects
and benefits humans (Salinger 2010). Within Anthropocentrism resources are extracted without
replenishment and non-reusable materials such as plastics and nuclear waste accumulate. Some
argue that Anthropocentrism is based in the positivist, objective-thinking characteristics in our
scientific, mechanistic and technological world view which emerged from the 17th century onwards (Brown, 1995. Washington 2015). Ecocentrics believe Anthropocentrism is the root cause
of the ecological crisis (Cook & Golton, 1994). However Anthropocentrics believe that mankind
can provide a technological fix to environmental problems (Washington, 2015). Another term for
Anthropocentrism is Technocentrism (Cook & Golton, 1994).
Nevertheless it is nave to see a clear gap between Ecocentrism and Anthropocentrism / Technocentrism, as the boundaries are blurred and the issues are complex (Pepper, 1984). One issue
between an Ecocentric worldview and an Anthropocentric one is; where does the line between
fair use and abuse lie (Purser and Montuori 1996)? Or, where does economic development become
exploitative? Pearce (1993) and Pepper (1984) perceived further subgroups or categories within
Ecocentrism and Anthropocentrism. Within Anthropocentrism those on the left, known as Accommodating Environmentalists tend to be gradual reformers believing in careful economic and
environmental management but without radical change to social economic and political structures (Cook & Golton, 1994). Those on the right, identified as Cornucopian Environmentalists, believe in unfettered economic growth and humankinds right to use resources as they see fit. Within

Conceptual understanding of sustainability in built environment professionals

63

the Ecocentrics, there is division between those on the right; Deep Ecologists, who put a greater
emphasis on the limits to growth or carrying capacity of the earth, and those on the left, Moderate Ecologists, who believe in decentralised political and social institutions. Deep Ecologists
believe in compulsory restraints on human population growth and on resource consumption.
Economically, Anthropocentrics are neo-classicists, believing economic growth is possible, and
rejecting intervention to tax or incentivise sustainability measures, the market is king. This stance
is beginning to change and evolve in capitalist economies with an increase in the scope of environmental legislation. For example, in 2010 the disclosure of energy consumption in commercial
buildings in Australia became mandatory (Warren & Huston, 2011) and in the UK similar legislation, Energy Performance Certificates (EPCs), was mandated in 2007 (DirectGov, 2012). There is
also mounting evidence that mandatory approaches to sustainability in the built environment
are more effective that voluntary approaches (Wilkinson et al, 2015, Wilkinson, 2014). The carbon
pricing mechanism, or Carbon Tax was contentious legislation in Australia, which commenced in
July 2012, and met significant resistance in the parliament during 2011. There was concern about
the potential impact on the economy and the amount of the carbon price compared to other
countries; it was rescinded after the 2013 election when a neo-liberal party displaced a labour
administration. The Australian government had largely offset the potential negative political and
economic impacts of the pricing mechanism with generous government assistance to households. It was a temporary shift in the neo-classical economic philosophy to Accommodating Environmentalism, which has returned to a Cornucopian position. Another concern is that within
the built environment, improved economic performance through a perceived increase in capital
value is the main argument used to persuade owners and investors to adopt sustainability (Eichholtz et al 2009, Fuerst & McAllister 2011, Newell 2008).
Thus a spectrum of ideas and values exist within the concept of sustainability which goes from
dark green to light green, or as some have suggested to grey; implying that the pursuit of weak
sustainability does not deliver sustainable outcomes (Cooper 1994, Washington 2015). The range
of views identified in the literature is shown in Table 1 below. Five groups were identified, two being classed as Anthropocentric (Accommodating and Cornucopian Environmentalism) and three
as Ecocentric (Transpersonal, Deep and Moderate Ecology).

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Deep Ecology

Moderate
Ecology

Accommodating
Environmentalism

Cornucopian
Environmentalism

Belief system

Transpersonal Ecology

Stand-point

Table 1: Ecocentric and anthropocentric standpoints. (Source: Author)

Religious level of
belief

Bio-ethics and
intrinsic value

Primary value of
ecosystems

Intra and intergenerational equity

Support for traditional

ethical reasoning

Accepts carrying
capacity of earth
argument

Instrumental value in
nature

Rights of humans

Accepts carrying
capacity of earth
argument

Emotional and irrational

Rational and pro science

Lacks faith in technology

Population

Population cull

Resource
consumption
World view

Faith in science and technology

Reduce population Zero population

growth

Silent

Extreme
preservationist

Resource conservationist

Resource
preservation

Ecocentric

Resource exploitative

Anthropocentric

Lacks faith in technology

Faith in technology

Waste

Reuse, repair and then recycle

Economic

Capitalism is not
sustainable.
Rejects
consumerism.

Heavily regulated
economy.
Capitalism is not
sustainable.
Do not favour
overseas trade.
economics. Rejects
consumerism
Little overseas trade.

Zero economic
growth. Capitalism
is not sustainable.
Do not favour
overseas trade.
economics. Rejects
consumerism. Little
overseas trade.

Managed growth.
Capitalism is sustainable.
Consumerism is
acceptable.
Overseas trade is
acceptable.

Maximise growth.
Capitalism is
sustainable.
Substitution theory
prevails.
Laissez faire
economics.
Green consumerism is
accepted.
Promotes
consumerism.
Promote foreign trade
/ agreements

Energy

Preservationist

Preservationist

Conservationist

Conservationist

Nuclear is acceptable,
conserve and increase
consumption

Strong
sustainability

Weak sustainability

Very weak
sustainability

Very strong sustainability

Recycle

In Table 1 the most radical group, Transpersonal Ecologists are so embroiled in ecosophical debate
they are unable to form a coherent group who are capable of action (Dobson, 1990). The Deep
Ecologists and Moderate Ecologists share some beliefs, such as, both groups believe capitalism
is unsustainable, but also have distinct and separate positions on issues. Deep Ecologists believe
in bio-ethics and the intrinsic value of nature, where Moderate Ecologists believe in the primary
value of ecosystems; which is a less extreme view. A similar situation exists for Anthropocentrics.
The two Anthropocentric groups share views on the value of science and rational thought. They
diverge on the rights of humans, which are dominant in the Cornucopian Environmentalists

Conceptual understanding of sustainability in built environment professionals

65

group, Accommodating Environmentalists however, hold there is instrumental value in nature.

These beliefs are shown figuratively in figure 1 as the spectrum of sustainability.

Figure 1.The spectrum of sustainability. (Source: Author).

Figure 1 shows the separation between Transpersonal Ecology and Anthropocentrism / Technocentrism. Elsewhere there is some overlap between the groups in their value systems and beliefs.
There is a broader divide between Ecocentrism and Anthropocentrism where one is considered
to deliver strong sustainability and the other weak sustainability. The question is: is weak and very
weak sustainability going to deliver sufficient changes for the generations to come and those already here? Washington (2015) and Brown (1995) strongly assert this level of sustainability will fall
far short of what is needed.
The built environment is responsible for significant environmental impacts. Buildings use resources during construction with the extraction of resources, energy and water resources are used in
the transport and manufacturing of construction materials and components. Vast amounts of
waste are created at this stage. During the operational phase energy resources are used to light,
heat and cool buildings, and water is used in building services. Materials used during construction affect occupant health. At the end of the lifecycle, unless materials are re-used or recycled,
they are transported to landfill where the resources are lost in perpetuity. Around 25% of the built
environment is housing.
Within the built environment, professionals impact on the sustainability of the buildings that they
design, build and sometimes operate, and in this regard their conceptual understanding of sustainability is extremely important. Education on sustainability in built environment courses has
been delivered since the early 1990s and therefore most professionals should have been exposed
to the concept of sustainability. Many organisations adopt CSR as a means of organising, structuring, managing and reporting their environmental impact (Wilkinson et al, 2004) and this is
another way in which professionals would be aware of sustainability.

Research questions and methodology

This research is qualitative, in that it seeks to gain a deeper understanding of the ways in which
people conceive the world around them and adopts an inductive hypothesis generating approach (Bryman, 2012). The research methodology was based on an online questionnaire, which

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ZEMCH 2015 | International Conference | Bari - Lecce, Italy

was easily distributed among built environment professionals globally. In order to gain as wider
spectrum of responses as possible the survey was distributed via the Royal Institution of Chartered Surveyors (RICS) Oceania LinkedIn, the ZEMCH LinkedIn and the researchers LinkedIn networks. The researcher endeavoured to collect data from different countries to determine whether
attitudes varied between developed and developing nations. The survey was distributed in May
2015 and open for a 4 week period.
The survey comprised three distinct sections as follows. Section one asked the respondent about
their age, gender, the sector they work in, level of education and professional qualifications and
membership, and the global region they work in. The second part of the questionnaire comprised questions about different viewpoints of sustainability, and aimed to reveal whether respondents held Ecocentric or Anthropocentric/Technocentric perspectives. This data was critical
as it helped identify whether or not there is a clear and consistent set of viewpoints. Section three
posed questions about environmental actions respondents take at home, on the assumption that
at home they have dominion and choice over actions. The final section posed the same questions
about action but set in the workplace to see whether variation existed between actions at home
and at work. The aim was to determine whether the views respondents expressed in section 2
were followed through with actions in sections 3 and 4. Only responses to section 1 and 2 are
reported here.

Data analysis and discussion

Section one asked respondents about themselves to gain a deeper understanding of their background and level of experience. There were 59 responses to the survey, which is relatively small.
Males comprised 76.8% of the respondents. 39.3% of respondents were aged between 41 and 55
years of age, followed by 37.5% aged 26-40 years. The sample is experienced with 71.15% having
over 10 years professional practice experience. Of the remaining respondents, 15.38% had 5 to
10 years experience and 13.46% had less than 5 years experience. Overall 33.33% most of the respondents are employed in academic roles, followed by property 22.22% and construction 17.67%,
with the remaining respondents employed in architecture, engineering and land surveying. However this is a reasonable range of built environment professionals. They are highly educated, with
71.15% having a post graduate qualification. Given the distribution of the survey most are members
of the Royal Institution of Chartered Surveyors (RICS), 58.56% followed by the Australian Property
Institute (API) at 29.27%. Built environment professionals often join more than one professional
body and this is the case with this sample. Not surprisingly 82.35% worked in the Oceania region,
with 5.88% each based in the UK and Middle East. 76.47% have responsibility for decision-making
in the work role and 60.78% are responsible for other staff members.
Overall the sample is predominantly male, well educated, academic, experienced, a member of
RICS, responsible for decision-making and staff within the workplace, and working in Oceania.
Given the age and level of experience all respondents should have had reasonable exposure to
sustainability concepts at university and in the workplace as well as through continuing professional development requirements of the professional bodies they belong to.
Section two asked respondents about their personal view on a number of key tenets of sustainability as summarised in table 1 above. Table 2 provides a summary of the responses to questions
8 to 15. Question 8 asked whether respondents believed that humankind is a part of the eco-system, this is a Moderate Ecology standpoint, which 97.7% agreed to, with 2.3% not knowing the
answer (Dobson, 1990. Washington, 2015). When compared to question 9, which asked whether
respondents believed that humankind is the most intelligent of species on the planet and that

Conceptual understanding of sustainability in built environment professionals

67

gives humankind the right to decide how the planet resources are used, 54.5% agreed with this
Cornucopian standpoint. This illustrates that the understanding is not fixed to one set of values or
ideas espoused by each grouping within the sustainability spectrum of thought; a finding echoed
by Washington (2015). Question 10 asked about the carrying capacity of the earth and population
issues, which is in the discourse of Ecocentrism (Dobson, 1990). Each response reflected the slight
differences between Transpersonal, Deep and Moderate Ecology standpoints as well as the Accommodating and Cornucopian standpoints. Here the responses showed 57.1% fell in the Ecocentric school of thought and 42.9% adopted a Anthropocentric / Technocentric position. In question
11 respondents were asked about the issue of resources and what we need to. The responses
reflected standpoints from all schools of thought. The do nothing, exhaust the resources we currently use like oil and then substitute switch to gas, or solar power is a Cornucopian standpoint
and only 2.4% held this view. 34.1% adopted the Accommodating Environmentalist view of use
less resources now save energy, however overall most (63.4%) took an Ecocentric standpoint of
resource preservation (Moderate Ecology) and the highest group 46.1% held the strong preservation (Deep Ecology) view. So in this instance the majority took the Ecocentric standpoint, which
contrasts to question 9 where Anthropocentric / Technocentric thought dominated.
Question 12 explored the issue of resource consumption through attitudes to waste and recycling. The first option recycle products is an Anthropocentric / Technocentric standpoint which
47.5% agreed with, the Ecocentric standpoint to repair and reuse had a slightly higher response
at 52.5%; overall a fairly even split. A more marked division came out in question 13, which examined possible responses to climate change. Anthropocentrics tend to believe we can engineer
solutions because of our inherent intelligence and position as the dominant species on the planet
(Pepper, 1984). The question asked the way to solve the problem of climate change and global
warming is to invent some technologies such as cloud seeding to create rainfall where we need
and want, in this way will be able to produce enough food to sustain the global population, is
a Cornucopian standpoint which 12.5% concurred with. However the majority of 87.5% believe
humankind has to change our behavior more radically; a technological fix is not the answer to
the problem; a standpoint held in the Accommodating Environmentalist and Ecocentric groups.
This is another example of a belief or value, which overlaps Ecocentrism and Anthropocentrism /
Technocentrism to some extent.
In question 13 the focus shifted to economic views with regards to policy and sustainability. 23.1%
agreed with the Transpersonal Ecology view that capitalism and consumerism are not sustainable, whereas 23.1% believed that heavy intervention is required into economic policy to ensure
sustainable policies are enacted. Only 5.1% agreed with the Moderate Ecology belief that zero
growth is the solution. So overall 51.3% held Ecocentric standpoints. The remaining 48.7% were
Anthropocentric/Technocentric and believed that managed growth and consumerism were acceptable; an Accommodating Environmentalist view (28.2%) or that consumerism and capitalism
are definitely sustainable (20.1%); a Cornucopian belief. Question 14 asked about energy policy
overwhelmingly the responses were Anthropocentric / Technocentric, 70% believed in the Accommodating Environmentalist and Moderate Ecology beliefs that energy conservation to be the
preferred solution, while 20% adopted the Cornucopian view that we can increase energy use by
adopting nuclear. This is a position, that is highly contentious, and some Ecocentrics have shifted
on recently (Washington, 2015). Only 10 % held the Deep Ecology and Transpersonal Ecology view
that preservation of resources is the solution humankind should adopt. So overall we can see that
the conceptual understanding of the sample complex and fragmented.

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Table 2 Summary of responses of questions 8 to 15

Question
number

Transpersonal
Ecology

Deep
Ecology

Dont
know

0%

2.30%

54.40%

11.40%

42.90%

0%

34.10%
5.70%

11

12

25.70%

25.70%

46.30%

17.10%

34.10%

52.50%

13
15

Accommodating Cornucopian EnviEnvironmentalist ronmentalist

97.70%

10

14

Moderate
Ecology

87.50%
23.10%

23.10%
10%

2.40%
47.50%

5.10%

28.20%
70%

0%
0%

12.50%

0%

5.10%

0%

20%

0%

Figure 2 Summary of responses to questions 8 to 15 showing type of environmentalism adopted

Question 16 looked at several statements, each of which reflected different standpoints. 81%
agreed with the inter-generational equity argument posited in the Bruntland definition of Sustainable Development (WCED, 1987) and an Accommodating Environmentalist view. However this
dropped to 52.4% who agreed with intra-generational equity, also part of the Bruntland definition
of Sustainable Development (WCED, 1987) and an Accommodating Environmentalist view. Only
47.5% of respondents agreed with the Moderate Ecology standpoint that the earth has intrinsic
value and should be protected on this basis (Dobson, 1990). An even smaller percentage of 2.4%
agreed with the Cornucopian standpoint that humankind can look outside planet earth to grow
lettuces in space as a viable solution to the issue of climate change and population growth, and
11.9% felt the planet was humankinds to do as they wished with; another Cornucopian standpoint
(Washington, 2015). 21.9% adopted the Ecocentric standpoint that humankind is the problem,
and a small minority of 7.1% held the Anthropocentric / Technocentric view that a rational, scientific solution was the right course to follow.
For this section of the paper, each persons answers to the questions in this section on the five environmental groups were scored with one point towards that groups viewpoint for every statement chosen that represents that groups viewpoint. As the maximum possible points for each
of the five were different, the five scores were converted into a percentage of the total possible
(see table 3).

Conceptual understanding of sustainability in built environment professionals

69

Table 3 Respondent scores by sustainability standpoint

(source: Author)
A factor analysis was performed to simplify the five standpoints and scored each person on the
resulting factors to get an idea of their tendencies (see table 4). The first component loads positively on the three ecology standpoints that are associated with strong sustainability. It also loads
very negatively on Cornucopian Environmentalism, which is associated with a weak sustainability standpoint. The second component loads positively on Accommodating Environmentalism,
which is associated with weak sustainability. When respondents are scored on these two components, high scores on the first factor indicate a strong sustainability standpoint. High scores on
the second factor indicate a weak sustainability standpoint.
Table 4 Factor analysis of respondents standpoints on the sustainability spectrum

(source: Author)
Looking at the distribution of factor scores in the figures 3 and 4 below, it appears that the academia/education sector is scoring higher on factor 1 and lower on factor 2 than some of the other
sectors, indicating a stronger sustainability standpoint.

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Figure 3 Strong Sustainability Factor by Type of Employment

(Source: Author)
Figure 4 Weak Sustainability Factor by Type of Employment

(Source: Author)
The mean factor scores of the academia/education sector were tested against the scores for construction and property, since they had larger numbers of respondents than the other sectors.
No significant differences were found between academia / education and construction. Table 5
below shows the comparison between academia/education and the property sector. The results
show that the academia/education sector has a stronger sustainability standpoint than the property sector.

Conceptual understanding of sustainability in built environment professionals

71

Table 5 Comparison between academia/education and the property sector and level of sustainability

(source: Author)
These tests were also run on the variables of gender, age groupings, years of experience, and
education and no differences were detected and the reason is likely to be the small sample size.

Conclusions
The built environment as a whole has a substantial environmental impact that could deliver significant impacts on mitigating climate change. However, as a sector, what do we believe? And,
do we collectively, have the strength of belief to deliver the changes needed to make an impact?
There is a spectrum of thought within the paradigm of sustainability, ranging from Transpersonal, Deep and Moderate Ecology falling within an Ecocentric school of thought. Their worldview
is contrasted to an Anthropocentric/Technocentric worldview, which embraces Accommodating
Environmentalism and Cornucopian Environmentalism. The key issues are discussed in the literature review and summarised in table 1. The danger is, that we think we are all talking the same
language, with the same understanding of issues and solutions. This is clearly not the case and to
be expected to some extent, however the consequences are potentially dire, and we need to understand our different standpoints more objectively. The consequence of not having this deeper
conceptual understanding is that opportunities for effective action will be missed. This research
explored the conceptual understanding within a small sample of built environment professions.
In answer to the question (a) what is the conceptual understanding of sustainability within built
environment professionals, it is shown that there is a broad spectrum of views expressed from
Ecocentrism to Anthropocentric/Technocentrism that need to be acknowledged and taken into
account, where possible and relevant. The issues are complex, and as the result show, there is little
consistency and awareness of conceptual understanding amongst built environment professionals. Within the grouping academics were found to adopt views that lead to strong sustainability.
Whist some would argue that this position reflects a disconnect between the real world and the
ivory towers of academia, we can see it also as a call to arms, as the opportunity to educate and
inform the conceptual understanding of future generations of built environment professionals
rests in our hands. Firstly though, we must inform ourselves of this discourse, and of the different philosophical positions within the spectrum of sustainability for a deeper and more fully informed conceptual understanding. The second question asked (b), what is the implication of this
level of conceptual understanding with regards to delivering sustainability? The implications are
clear; inaction and indecision are not sufficient, weak levels of action are also inadequate. It is
clear that the degree of sustainability embedded within some concepts, those of Cornucopian
Environmentalism particularly are weak and very questionable. As a sector we need to engage in
this debate explicitly and consciously. After all, the planet depends on it.

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ZEMCH 2015 | International Conference | Bari - Lecce, Italy

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International Conference | Bari - Lecce, Italy

Session I - II

UNCERTAINTY EFFECTS OF INPUT DATA ON COST

OPTIMAL NZEB PERFORMANCE ANALYSIS
Seyedehmamak Salavatian1, Elisa Di Giuseppe1 & Marco Dorazio1
1 Construction, Civil Engineering and Architecture Department, Universit Politecnica delle Marche, Ancona, Italy,
[email protected], [email protected], [email protected]

Abstract
According to EPBD recast 2010, all European member states have to set their national
minimum energy performance requirements with a view to achieve cost-optimal levels
following the delegated regulation No 244/2012 and normative EN 15459:2008. Although
economic input data utilized for calculating future costs are based on statistical predictions and not definite, most of studies in this regard are based on a deterministic system
that do not consider any randomness of parameters in global cost calculations.
This paper aims to utilize EU suggested methodology on a representative apartment
building in Italian context in order to evaluate effects of uncertainties in assumed economical input data on calculation results. In this study, twenty two wall envelope technologies were taken as design variables for acquiring primary energy needs and performing
LCC calculations. By analyzing time series of main financial rates during recent years, their
magnitude as well as marginal percentages were introduced and applied to the parameters by means of a of Monte Carlo based method; Then, amount of uncertainties for obtained results were quantified by means of statistical indicators and variation of possible
output around base case values were figured out. Moreover, influence of individual input
as well as combination scenarios were studied in a sensitivity analysis. Among studied
parameters, Rp (Product price development rate) was identified as the most dominant
stochastic parameter.

Keywords
Nearly zero energy building (nZEB), Building envelope, Cost benefit analysis,
Uncertainty analysis, and Sensitivity analysis.

75

Introduction
Energy Performance of Buildings Directive (EPBD) in 2002 had set a framework which forced all
member states to determine their national required building performance. Later in 2010, EPBD
recast requested member states to ensure that their minimum energy performance requirements
for buildings must be complied with a view to achieve cost-optimal levels. Main purpose of this
type of study is to make a proper link between financial targets and building energy performance.
This economical assessment shall be done in accordance with a comparative methodology described by EU No 244/2012.
The most common method to assess cost efficiency of energy performance requirements of
buildings is Life Cycle Cost (LCC) analysis. In this regard, European standard EN 15459:2008 presents the detailed method of buildings global cost calculation which considers all types of cost
during building life time including investment costs, energy costs, maintenance costs, operational costs, replacement costs, and added costs. All the future costs are calculated in their value at
the starting year by means of the method Net present value (NPV) which is a tool for financial
assessments of long term projects.

Literature review
There is a great number of researches which has performed LCC analysis of an entire building(Badea et al. 2014:542555)(Corrado, Ballarini, & Paduos 2014:443452)(Fabbri, Tronchin, &
Tarabusi 2010:30643071)(Ferrara, Fabrizio, Virgone, & Filippi 2014:442457)(Gani & Ylmaz 2014:94
107)(Han, Srebric, & Enache-Pommer 2014:223231)(Kapsalaki, Leal, & Santamouris 2012:765778)
or specific building elements e.g. energy supply systems(Aste, Adhikari, & Manfren 2013:615624)
(Georges, Massart, Van Moeseke, & De Herde 2012:452464)(Leckner & Zmeureanu 2011:232241)
in various building types, commercial buildings (Kneifel 2010:333340) and office buildings (Pikas, Thalfeldt, & Kurnitski 2014:3042) in different contexts in order to determine the cost optimal
solutions. In Italy, Corrado (Corrado et al. 2014:443452) studied a typical apartment block taken
from National Building Typology as a reference building and applied a sequential technique in
which energy efficiency measures (EEMs) for the building envelope as well as technical systems
and renewable technologies were applied. Results showed that the optimal level gets an annual
primary energy use for heating, cooling and domestic hot water of 115 kWh/m2yr corresponding
to an actualized global cost of 676 /m2.
Some studies demonstrated that within different assumptions, different cost optimal levels are
obtained. In a study in Turkey (Gani & Ylmaz 2014:94107) EU methodology framework for cost
optimal calculations were adapted in the national level according to Turkish factors and implemented on an exemplary office building under two different climatic zones and regarding different time periods in order to find the lowest LCC under a limited number of retrofit packages. By
considering various time scales, this study found out that lowest global costs varies in short-term
(e.g. 5 and 10 years) or long-term (e.g. 20 and 30 years) periods. Results also showed that cost optimum point in temperate dry or hot-humid climates doesnt belong to the same retrofit scenario
as a consequence of higher cooling energy needs in the latter one.
The global cost calculation procedure recommended by EN 15459 which was utilized in aforementioned studies is modeled based on a deterministic system that does not consider any randomness for involved parameters. According to Sterner (Sterner 2000), whole life costs of a building
cannot be supposed definite and this uncertainty is mainly due to insufficient economic data and
the limited ability to foresee future consequences. Therefore, a LCC analysis is expected to involve
the uncertainty embodied in the assumptions concerning future costs, cost development, future

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inflation rates and the anticipated life of the component or facility. For these reasons, some researchers tried to use economic risk assessment, using either probabilistic or sensitivity approach,
to evaluate some of these uncertainties (Cole & Sterner 2000:368375). In this way its possible to
lessen the uncertainties in the result by performing sensitivity analysis over the parameters which
are of the greatest importance to the result (Sterner 2000:387393).
A considerable number of studies have performed sensitivity analysis regarding their LCC calculations. According to (Boermans, Hermelink, & Schimschar 2011) a sensitivity analysis was carried
out on three different energy price development scenariosi.e. high (+30%), medium (base case),
low (-30%) - with two individual measure packages over a case study to assess the sensitivity of
results. Their comparison illustrated that energy price evolution can change the optimum cost
level; in the low energy price scenario the lowest global cost goes for the package with higher
energy needs while for high price scenario ,with 25% growth in global cost, the package with
lower energy needs comes out as the lowest one. Also impact of different interest rates on results
was examined when applying lower (2%) or higher (6%) rates, compared to a base case of 4%. It
was shown that with a lower interest rate, investigation on energy efficiency measures is more
beneficial. Similar results were observed in a study in Denmark (Marszal & Heiselberg, 2011) which
implemented for a multi-storey residential netZEB.
In the context of Estonia (Jarek Kurnitski et al. 2011), a cost optimal and nZEB energy performance
level calculation was conducted on a detached house. LCC analysis was carried out for four construction concepts as well as all relevant heating systems. By comparison of global incremental
energy performance related costs, the lowest PV (present value) of cost was found. Although
primary calculations were done by energy escalation rate (e) of 2%, it was observed that results
are sensitive to interest rates and with a higher rate (e=3%) the cost optimal is shifted to the left
toward lower primary energy needs however cost optimal solution remained the same case. In
the other side with a lower value (e=1%) cost optimal shifted to right and cases with lower PV and
higher energy needs became cost optimal. Similar results were also observed in (J Kurnitski et al.
2013:183) where a sensitivity analysis on the value of real interest rate was performed in the cost
optimal calculations of a representative Estonian apartment building and by lowering the interest
rate, cost optimal level was shifted to lower primary energy needs.
Additionally, It was argued in (Pikas et al. 2014:3042) that although nZEB requirements (100
kWh/m2yr in Estonian context) are not the cost optimal solutions at this moment, by performing
some sensitivity analysis it has been found out that they may become cost optimal in near future
under particular values of energy escalation rate and probable construction costs reduction of
some specific element. In Finland (Hamdy, Hasan, & Siren 2013:189203), the sensitivity analysis
regarding energy price escalation rate (e) for a cost optimal level of a single family house -within
the range from 2 to15%- showed that investing on energy saving measures and renewable energy
sources is more feasible at higher energy price escalation rates.
Some authors in Australia (Morrissey & Horne 2011:915924) applied more than one discount rate
for samples consisting of 80 house plans. They used a 3.5% discount rate for 030 year period,
and 3% for 3070 years. Moreover, this study investigated two different cost scenarios for gas and
electricity with low and high prices and it was observed that the differences between energy
costs at high and low scenarios were marginal at the 10 years-time horizon but after 25 years, an
approximate 25% difference in values appeared in energy savings between high and low energy
price scenarios.

Research Aim
By taking advantage of the experiences of previous researches on uncertainty analysis in LCC calculations, this paper aims to utilize EU suggested methodology on a reference building in Italian

Uncertainty effects of input data on cost optimal NZEB performance analysis

77

context in order to find out how the cost optimal energy performance outcomes are vulnerable
to uncertainties of several economical input data as influential parameters of building lifetime
cost calculation. Its focus is to monitor the variations in achieved results to illustrate their sensitivity to uncertain economic parameters.
Firstly, an Italian representative apartment building model was simulated with twenty two different wall envelope technologies and then by means of global cost calculation, the cost-optimal
solution was found out. In particular, crucial economic parameters which have the highest influence on the global cost calculations are investigated in order to look at the effects of their variation in a specific range on global energy performance related cost results.

Methods
The entire procedure of this study relies on four main steps; defining envelope technologies for
the reference building (RB), simulating and obtaining the energy needs, performing cost optimal
calculation to find out life cycle present value of cost and as the final phase, analyzing deviation
of cost optimal solutions versus uncertainties in financial parameters.

Reference building
European Directive EU No 244/2012 requires investigation of cost optimal nZEB energy performance level to be performed on different building categories; single-family houses, apartment
blocks and multifamily buildings, office buildings and other non-residential buildings. The chosen RB is a sample of social housing built by ACER (housing service of region Reggio Emilia) in
2005 with energy consumption of slightly more than 70 kWh/m2yr. This RB properly represents a
typical Italian condominium with constructive characteristics of Mediterranean area such as walls
and attic made of brick. Summary of main geometrical and constructive properties of the building is presented in Table 1 and Table 2 respectively. Brick structure applied in the RB guarantees its
compatibility with typical Italian traditions in construction methods.

Figure 1: Isometric view of analyzed building

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Table 1 : General data of building

Unit

Value

Gross heated volume

m3

3962

Outer surface encircling the heated space

m2

1923

S/V

m-1

0.485

Usable surface

m2

948

Number of heated floors

--

Net internal height

2.7

Number of units

--

12

Table 2 : Constructive data of building

Thermal transmittance
[W/m2K]

Construction element

Description

Opaque vertical envelope

22 different stratification, as described in table 3

Transparent vertical elements

Windows with solar transmittance of 0.67 without

shielding, except for those shielded by projection of
the building

Upper horizontal enclosure

Attic in brick and cement

0.297

Lower horizontal enclosure

Attic in brick and cement

0.21

Roof covering

Pitched roof with roof tiles

0.623

Internal partitions

11 cm Brick dividers

Vertical divisions between heated

areas

Multi-Layer brick wall with inserted thermal

insulation

0.393

Horizontal divisions in heated areas

Attic in brick and cement

0.576

1.4

Building envelope technologies as design variables

Twenty two different alternatives are considered for opaque envelope of the exterior wall. They
are picked based on their spread in the Italian building sector. This selection includes single-layer,
multilayer, with or without insulation panels as seen in Table 3, with thermal transmittances ranging from 0.134 W/m2K to 0.267 W/m2K calculated according to EN ISO 6946:2008.
Moreover, their periodic thermal transmittances (Yie) are calculated according to EN ISO 13786
and are all within the required range of national standard described in DPR 59/2009. Only the alternative No. 22 is a monolayer wall in brick with the transmittance as the limit value requested in
the standards for climatic zone E. Heating system for spaces and domestic water is assumed as the
gas boiler and no mechanical cooling and ventilation are considered according to the common
practice in traditional construction systems in Italy.
Energy simulations were conducted for all 22 alternatives and primary energy needs of the RB
for space heating and domestic hot water are obtained by means of the professional simulation
software, Termo which is compatible with national standard for determination of energy performance (UNI TS 11300) and models the entire building in semi-stationary state with climatic data of
city of Bologna to obtain the total primary energy needs.

Uncertainty effects of input data on cost optimal NZEB performance analysis

79

Life cycle cost analysis

The financial calculation was carried out according to the Global Cost method described in the
European Standard EN 15459 and was provided for economic issues of building systems involved
in the energy demands. This standard permits that only components and systems which influence
the energy performance of the building are considered and others could be assumed constants
and not be applied in the calculations. Global cost is sum of the present value of the initial investment costs, energy costs, maintenance costs, operational costs and replacement costs (referring
to the starting year), as well as disposal costs and its equation can be written as
(1)

Where:
: calculation period
Cg (): global cost referred to the starting year 0
CI: initial investment cost
Ca,i(j): annual cost for component j at the year i
Rd (i): discount factor for the year i
Vf,(j): final value of component j at the end of calculation period
Calculation period was considered 30 years, as recommended for residential buildings in EN 15459.
Annex A of the same standard represents life span of construction elements which is determining in calculation of their replacement cost and residual value as well as their maintenance costs
which is a percentage of initial cost.

Financial input parameters

Energy carriers of the building is considered to be gas and electricity as it is common among
Italian residential buildings and their costs are obtained through the energy tariffs provided by
AEEG (Authority of electricity and gas) and are updated every three months. According to AEEG
databank updated on December 2014, electricity and gas prices are considered to be 0.2716 /
Kwh +VAT (10%) + excise costs and 0.4759 /m3 + VAT (22%), respectively. It must be noted that in
this study illumination related costs as well as energy consumption of household devices are not
considered.

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Table 3 : Main thermal characteristics of analyzed wall envelope technologies

Wall
code

Wall Description

Thickness
(cm)

U-value
(W/m2K)

Yie
(W/m2K)

Clay block, monolayer, non-insulated

43

0.236

0.004

Clay block, monolayer, non-insulated

53

0.203

0.001

Load bearing, monolayer, highly insulated

for seismic zones

46.5

0.229

0.001

Clay block, monolayer, non-insulated

53

0.225

0.002

Load bearing, interlocking clay block,

monolayer, non-insulated, with external
mortar finishing

45

0.277

0.003

Clay block, externally insulated

45

0.205

0.004

Load bearing, reinforced blocks, externally

insulated

43

0.235

0.012

Load bearing, monolayer

45.5

0.289

0.003

Load bearing, reinforced blocks, multi-layer

46

0.236

0.011

10

multi-layer, facing brick

45.3

0.208

0.022

11

multi-layer, facing brick

45.3

0.225

0.022

12

multi-layer, facing brick

47.3

0.218

0.012

13

Interlocking blocks, monolayer

48

0.175

0.001

14

Interlocking blocks, monolayer

48

0.244

0.003

15

monolayer, developed insulation

integrated blocks and slats as finishing

43

0.201

0.002

16

monolayer, EPS inserted blocks

43

0.214

0.005

17

Load bearing, monolayer, high

performance integrated insulation

43

0.243

0.003

18

monolayer, insulating plaster

46.5

0.233

0.003

19

multi-layer, perforated brick, facing brick

46.5

0.217

0.010

20

Load bearing, multi-layer, facing brick

50

0.213

0.009

21

highly insulated light-weight dry wall

47.3

0.134

0.024

22

insulated wall with U-value required for

zone E according to Leg 311/2006

38

0.32

0.016

Historical data from ISTAT (Italian national institute of statistics) and ECB (European Central Bank)
are utilized as data resources of interest rate and inflation rate. Rate of development of energy
price is another important parameter which affects total global cost by altering energy cost and
differs from inflation rate; data sources for its estimation were taken from AEEG as well as Italian
stock market and European commission reports. Moreover product market might vary from region to region inside the country and cause differences in final investment cost rather than the
assumed costs. To consider this into calculations, investment costs are taken as uncertain values
and accordingly wall envelope related prices in various geographical locations of Italy were studied to be compared and estimate the variation of products price.
According to Burhenne(Burhenne, Tsvetkova, Jacob, Henze, & Wagner 2013:143154), input uncertainty and future trend of economic data are determined by measurements, estimates, and
judgements. In this study, ARIMA models were utilized to analyze historical data to predict averages for future values based on time series data; Predictions obtained by the models are also
subject to uncertainties, therefore a plausible variation range of values are provided by means of

Uncertainty effects of input data on cost optimal NZEB performance analysis

81

given confidence interval of 90%. Rate values and variation interval of parameters considered in
calculations are represented in Table 4.

Figure 2: Example of estimation for gas price by ARIMA models

Uncertainty/ Sensitivity analysis

Statistical method of Monte Carlo is used to generate probabilistic output. In this method, for
the desired parameters, values from their probability distribution are randomly selected and a
simulation is undertaken. Simulations are repeated in a large number of evaluations with new
values randomly selected (I. Macdonald & Strachan 2001). Sample size of simulation in this study
was taken 100 as recommended by Macdonald (I. A. Macdonald 2009:992999) for building simulation. In this study, by generating an Excel calculation sheet which operate automatically by
utilization of Visual Basic Application (VBA) codes, all inserted input are applied in calculation of
corresponding global cost and VBA macro enables repetition of calculations for 100 times while
varying input parameters within their given variation range. Distribution of all simulated results
is studied and their uncertainty range is quantified. In the second step sensitivity analysis is performed and through a regression analysis, coefficient of determination (R2) is considered as the
indicator for variance of obtained values. In this way importance of individual input parameters
are compared to determine the most and least influential parameters.

Result
By inserting primary energy needs of 22 cases in the calculation sheet which is created according
to EN 15459, PVs are achieved. Figure.2 indicates primary energy consumption and global cost of
22 studied alternatives. As seen in the scatter plot, wall No.22 with U-value compatible with Lgs.
311/2006, represents the highest energy needs and lowest global cost while wall No.21 with the
minimum transmittance among alternatives (U-value=0.134 w/m2K) does not lead to a reasonable
global cost. Among all simulated cases, wall No.4 and No.5, as highlighted in the graph, are the
most cost-efficient with primary energy consumption of 37.5 and 40 kwh/m2yr, respectively.

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Table 4: Rate values and variation interval of input parameters

Base case Value

Range
of Variation

Market interest rate (R)

4.25%

15 %

Inflation rate(Ri)

1.90%

5%

Rate of development of energy cost (Re)

1.95%

25 %

Rate of development of price for envelope and technical system (Rp)

10 %

Rate of development of price for maintenance

5%

Rate of development of price for added cost

5%

Variable Parameter

Figure 3: Global energy performance related cost for various wall envelope technologies
Toquantify uncertainty, i.e. uncertainty analysis (UA), amount of outcome values, first standard
deviation (SD) was utilized. SD is a proper measure to describe data dispersion around the mean
and has the same unit of data. In figure.4, mean value for global cost obtained from 100 times of
Monte Carlo simulations is shown. Moreover, SD of all output data of 22 cases respect to their
mean value is presented which varies within 30 to 36 /m2 and its magnitude is about 5% of the
mean.
However SD is a practical statistical indicator for data distribution, it doesnt consider the importance of variation respect to the actual value and in this study acts mostly as an indicator for
comparison of wall alternatives. Hence, for a more overall perception of results, a probabilistic
approach was considered. In figure.5, box whisker plot graph visualize a proper overview of un-

Uncertainty effects of input data on cost optimal NZEB performance analysis

83

certainty distribution in obtained outcome. The identical range of output as well as equal length
of interquartile for all cases indicate that differences in wall technology, which ends in various
global costs, doesnt influence tendency of output uncertainty. Distribution of data in all cases fits
normal distribution due to median and mean value located at the same level and no skewness is
observed in none of them. Therefore, assuming that output distribution is a normal one, it could
be concluded that 68% of data ( SD) is located within 5% on either side of the mean and in the
same way, 95% of data ( 2SD) within 10.
Additionally, apart from total uncertainty quantification, it is an added value to distinguish individual input importance in output uncertainty and figure out which input parameters are more
dominant than others in varying outcome. Hence in the second step, a sensitivity analysis (SA)
was performed to study how output variation could be attributed to variation in individual input
parameters. For this purpose the regression analysis was utilized since it shows more quantitative
measures of sensitivity.
In figure.6, regression model of different scenarios are shown. In this method one or more input
parameters are considered variable within their predicted variation range while others are kept
identical to their baseline values in all iterations. Coefficient of determination (R2) was considered
to study variance of obtained values via simulations that is explained by variation in expected
value, i.e. base case value. The lowR2value suggests that data is spread widely around the regression line while a large R2 indicate a strong relationship between obtained values and fitted model.

Figure 4: illustration of mean value and Standard deviation of 100 iterations in Monte Carlo simulations

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Figure 5: Box plot of obtained results by 100 iteration of Monte Carlo simulation for 22 wall envelope
alternatives

Figure 6-a: Regression model of variation in individual input parameters

Uncertainty effects of input data on cost optimal NZEB performance analysis

85

Figure 6-b: Regression model of variation in input parameter combination scenarios

In this study, the more variation around regression line points out higher influence of the specific
parameter in output uncertainty. Input ranking is determined by considering this equation:
Dominance factor (%)=1-R2

(2)

As seen in figure.7, uncertainty in Rp, either solely in the left side or included in combination set
of input parameters in the right side represents the highest output uncertainty effect; while other
parameters have rather equal position in the graph. This result denotes that among investigated
input parameters, geographical based disparity in product prices might cause the greatest uncertainty in global cost calculation outcome.

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Figure 7: Dominance ranking of input parameters in output uncertainty; (a) left: individual parameters,
(b) right: combination set of parameters.

Conclusion
This study investigated stochastic nature of some input parameters involved in cost optimal nZEB
calculations and their effects on output uncertainty. By conducting an uncertainty analysis, obtained results of Monte Carlo simulations represented a normal distribution and revealed the
probability that potential output be located within 5% of base case value (deterministic calculation) is 68% while it is 95% for 10% around it.
In sensitivity analysis, through the regression analysis carried out, it was observed that Rp (product price development rate) has the highest dominance in affecting output uncertainty and created the largest variance; while other studied parameters were at the same level of importance.
Therefore, forhigher level of accuracy in results,more precise input assumptions are required. For
this purpose, it is desired that EU suggested methodologies in their following revisions consider
stochastic nature of input parameters in determination of cost-optimal nZEB level and include
them as a phase in calculation process. This could be achieved through a parametric procedure
which in preliminary steps marginal error of each uncertain input parameter is determined and all
values within expected range are taken into account in the calculation. In this way, it is more likely
that obtained cost-optimal level would be closer to reality. In-depth investigation of this step of
study could be subject of future works.

References
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HAN, G., SREBRIC, J., & ENACHE-POMMER, E., 2014, Variability of optimal solutions for building components based on
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KAPSALAKI, M., LEAL, V., & SANTAMOURIS, M., 2012, A methodology for economic efficient design of Net Zero Energy
Buildings. Energy and Buildings, 55, pp. 765778.
KNEIFEL, J., 2010, Life-cycle carbon and cost analysis of energy efficiency measures in new commercial buildings, 42,
pp. 333340.
KURNITSKI, J., SAARI, A, KALAMEES, T., VUOLLE, M., NIEMEL, J., & TARK, T., 2013, Cost optimal and nearly zero energy
performance requirements for buildings in Estonia. Estonian Journal of Engineering, 19(3), 183.
KURNITSKI, J., SAARI, A., KALAMEES, T., VUOLLE, M., NIEMEL, J., & TARK, T., 2011, Cost optimal and nearly zero (nZEB)
energy performance calculations for residential buildings with REHVA definition for nZEB national implementation. Energy and Buildings, 43(11), pp. 32793288.
LECKNER, M., & ZMEUREANU, R., 2011, Life cycle cost and energy analysis of a Net Zero Energy House with solar combisystem. Applied Energy, 88(1), pp. 232241.
MACDONALD, I. A., 2009, Comparison of sampling techniques on the performance of Monte-Carlo based sensitivity
analysis. In Building Simulation pp. 992999 Glasgow.
MACDONALD, I., & STRACHAN, P., 2001, Practical application of uncertainty analysis, 33, pp. 08.
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Denmark. Energy, 36(9), pp. 56005609.
MORRISSEY, J., & HORNE, R. E., 2011, Life cycle cost implications of energy efficiency measures in new residential buildings. Energy & Buildings, 43(4), pp. 915924.
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International Conference | Bari - Lecce, Italy

Session I - II

HOUSEHOLD LIFESTYLE AND ITS IMPACTS ON

ENERGY CONSUMPTION IN BEIJING
Nianxiong Liu1, Dan Mo2, Bing Chen3, Muzhou Wang4
1 School of Architecture, Tsinghua University, China, [email protected]
2 School of Architecture, Tsinghua University, China, [email protected]
3 School of Architecture, Xian Jiaotong-Liverpool University, China, [email protected]
4 School of Architecture, Tsinghua University, China, [email protected]

Abstract
Compared to the centralized thermal environment controlling system which has been widely
used in the north of China, natural gas heating household deserved more attention. The application of a decentralized household gas heating boilers with more customized functions can
be operated according to the user demands and lead to better energy efficiency based on the
principle of lifecycle analysis. This paper aims to provide an insight survey into household of
lifestyle, thermal comfort and gas consumption in Beijing, China, and explore the impact of their
habits and behaviour the way of using gas-consuming heating boilers (e.g. duration, intensity
and frequency of use) to ensure indoor thermal comfort on energy consumption. To achieve
this objective, a pilot study was conducted. Twelve households have been randomly selected as
sample and relevant data has been collected using multi-strategy research approach from a long
term perspective from 2012 to 2013. Household hourly room temperature monitoring data points
and annual temperature profiles are used in not only recognizing the usage patterns of heating
equipment controlling, but also in the evaluation of household thermal comfort. Additionally
household heating energy consumption data were collected by gas meter recording. From a
socio-technical perspective, it is found that different households often have different patterns
on controlling appliance, as a result, the household thermal comfort zone hours and gas consumptions were varied greatly during monitoring periods. This comparative analysis have shown
that higher gas consumption did not necessarily yields higher comfort hour percentage proportionally. It suggested that there were potentials in energy saving by lifestyle and behaviour.It is
expected that some findings from this research would serve as an evidence database to inform
occupants about a more energy efficient way of managing energy-consuming appliance and
thereby guide the building design and controlling system operation in the future.

Keywords
Lifestyle, Energy Consumption, Thermal Environment, Controlling System.

89

Introduction
Household energy consumption is a socio-technical phenomenon, arising from interactions between people and technology (Lutzenhiser 1993).In the case of households thermal environment,
the energy saving potential decreased under the update of residential building codes and progress of technology in China. The impact of occupant behaviour, however, has become increasingly significant. Occupant behaviour rather than households physical characteristics deserves more
attention in energy efficiency. There might be great difference in energy consumption or carbon
emission of the same household depending on users sustainable view and lifestyle. The promotion of occupants knowledge, motivation and value was the key factor in reduction of building
carbon emission (Chen et al. 2010).
In Germany the main factors inuencing choice when purchasing a specic heating system have
been identied and economic aspects are very important (Decker et al. 2015). In China, there was
a comprehensive survey of 1450 households in 2012 to identify the characteristics and potential
driving forces of residential energy consumption. The results show that commercial energy is
used mainly for space heating in urban areas and space heating and cooling patterns show a vast
disparity in different climate zones.40 percent of surveyed households use central heating systems. Individual heating meters are not widely used, so 92 percent of centrally heated households
pay in accordance with the heated area or the dwellings room area (Zheng et al. 2014).This means
that household owner will not benefit economically from energy efficiency behaviour. This policy
will not play an active role in encouraging the change of household lifestyle in energy saving.
About 75 percent of the energy consumed in the residential sector in the Netherlands is used for
home heating. Investigation of household behaviour and its impact on the use of natural gas for
home heating was carried out. Household behaviour and home characteristics prove to be the
major determinants of energy use for house heating. The greatest savings can be attained by
reducing the amount of energy (mainly natural gas in the Netherlands) used for home heating.
Large differences are observed between households in the use of natural gas. These differences are related to the behaviour activities and lifestyle of the household members. Most energy
use however is related to the usage of appliances and energy savings require changes of behaviours and daily routines e.g. lowering the thermostat at night, closing curtains, using fewer rooms
and using ventilation systems sparingly (Verhallen et al.1981).In the examined the relationship
between homeowners attitudes and their winter gas consumption, the results confirmed that
thermal comfort was the most important determinant of household energy use. Residents need
or desire for comfort can have a substantial impact on consumption because space heating comprise the biggest components of residential energy consumption. It must be remembered that
energy consumption is not behaviour; it is a consequence of behaviour primarily thermostat setting in the case of residential energy use (Becker et al. 1981).
Winter heating energy consumption is a large part of the households total energy consumption
in cold zones of China. Compared to the centralized heating system which has been widely used
in the north of China, the application of a decentralized household gas heating boilers with more
customized functions can be operated according to the demands of occupant and lead to better energy efficiency. Previous research has shown that, household heating gas consumption is
7~9m3/ (100m2d) in Dalian, Shenyang and Harbin, cities of severe cold climate zone (Qian et al.
2005), and 7.21Nm3/ (m2a) in Beijing, city of cold zone (Hua 2003). This provide the general description of household gas consumption, however there are no detail study currently on household

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heating energy efficiency and it relationship with indoor thermal environment as well as occupant behaviour.
The object of this paper is to provide an insight survey into household of lifestyle in Beijing, China,
and explore the impact of their habits the way of using gas heating boilers (e.g. duration, intensity and frequency of use) to ensure indoor thermal comfort on energy consumption. It is found
that different households often have different patterns on controlling appliance. It is expected
that some findings from this research would serve as an evidence database to inform building
occupants about a more energy efficient way of managing energy-consuming appliance, and
provide ideas and recommendations to achieve energy efficiency in households.

Research approach
To achieve this objective, a pilot study is conducted 12 households have been randomly selected
as sample in a community, and relevant data has been collected using multi-strategy research approach from winter heating months, December, 2012 to April, 2013. There is an interrelated analysis, from a socio-technical perspective, of households thermal environment, occupant behaviour
and energy consumption in winter gas boiler heating based on post occupancy monitoring.
This study attempt to recognize and understand the impact of occupant behaviour on energy
consumption. It contains five main processes: sampling selection and participator recruitment,
data collection, data analysis, case study and interrelationship study of occupant behaviour and
energy consumption.

Data collection
This survey was carried out in Beijing. Researchers recruiting 12 participants from a typical 6~12
stories residential community built in 2002. The distribution of sample households is shown in
Fig.1.House type A (139m2, 3 bedrooms ), B (120m2, 2 bedrooms) , C (80m2, 1 bedrooms) and D
(150m2, 3 bedrooms) from building No.10, 11, 14, 23 and 30. Distribution of some of the households
surveyed is shown in Fig.1.

Figure 1: Distribution of some of the households surveyed

Household lifestyle and its impacts on energy consumption in Beijing

91

The data was surveyed and collected in three methods: post occupancy monitoring, questionnaire and gas meter records. The general situations and lifestyle patterns, including the heating demand and appliance controlling, were captured through in-depth questionnaire and walk
around survey. Temperature (T) and/or Relative Humidity (RH) of household living room or bedrooms were automatic recorded hourly from December, 2012 to April, 2013. Quarterly household
gas meter records were collected. They outlined the general situation and specific character of
each household.
In each household, 3 loggers were installed in living room and bedrooms (south facing and north
facing), attached to positions 1m above the floor in each room, with no direct exposure to sunlight. The outdoor temperature were also recorded for comparison purpose.
To get lifestyle patterns in detail of the residents, questionnaires were developed to collect information regarding household, equipment and operation in the following areas, questions about
family: members, vocation, education, employment and income etc.; questions about house location, area, orientation, etc. ; questions about lifestyle patterns: age, activity, clothing, time staying at home, etc. ; questions about heating boiler demands: time, room, temperature, etc.; lists
of gas-consuming equipment and other issues concerning the environmental awareness, waste
classification, energy saving building refurbishment, energy efficiency electricity appliance. Information concerning the households characteristics and specifics was shown in Table 1.

Members at home
(day/night)

Ages

Members Hours
staying at home (h)

Activity

A(3)

4/6

139

3/5

DEEA

14

BD

B(2)

2/6

120

10

A(3)

2/6

139

2/5

EEFB

16

11

A(3)

1/6

139

4/4

Clothing (Winter)

Area (m2)

10
10

Floor/total floors

House type
(bed-rooms)

1
2

No.

Building
No

Table1:Informationfromquestionnairesofsamplehousehold

11

B(2)

2/6

120

2/2

EF

11

B(2)

2/6

120

0/3

DDB

ABC

11

C(1)

1/6

80

1/2

ED

24

11

B(2)

4/6

120

0/0

DDB

11

A(3)

4/6

139

0/0

DDB

10

14

A(3)

4/6

139

1/4

DFB

12

11

23

A(3)

4/7

139

0/2

EE

12

12

30

D(3)

2/12

150

3/6

DDEEA

13

Ages: A. <6y; B. 6-18y; C.18-30y; D. 30-50y; E.50-65y; F. >65y;

Activity: A. physical exercise; B. reading and TV; C. cleaning; D. working;
Clothing ;A. Short Sleeves; B. Shirts; C. Sweaters; D. Jacket; E. others;
For each household, heating boiler controlling patterns, for example temperature setting, zonal
control, usage duration, starting mode, operational adjustment, were also be recognized from
superposition of the temperature profiles of living room, bedrooms and outdoor, combined with
information obtained through the questionnaire. The occupant behaviour and controlling pat-

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terns were described and classified based on duration, intensity and frequency of use, and gas
consumption.

Data processing
Data points contained in each logger (temperature values), labeled with date and time, were
downloaded and exported to MS-excel and plotted on temperature line profiles.
According to the monitoring, during winter heating period, December, 2012 to April, 2013, the
outdoor temperature ranged from -9.1~33.6C,while indoor room temperatures for the sample
occupant and household ranged from 7.3~31.5C.The maximum, minimum, mean values of room
temperatures varied from house to house and room to room, as were shown in Fig 2. It is clear that
for different house, the operation and adjustment of gas boiler, the settings of heating temperature varies to size of household, family members age, clothing, activity and time staying at home.

Figure 2: Household rooms temperature distribution (December, 2012 to April, 2013)

(1) Percentage of comfort temperature hours (Pcth)
Percentage of comfort temperature hours (Pcth) was introduced in evaluate the thermal comfort
of each household. According to Chinas Design Standard for energy efficiency of residential buildings in severe cold and cold zones(JGJ26-2010), the computational temperature for winter heating
is 18C. Pcth, as a new variable, would be the percentage of comfort temperature hours (T18C)
of total monitored hours. It described and evaluated the thermal environment of rooms or households. Pcth of sample households were shown in Fig.3.
(2) Heating boiler gas consumption estimate value (ENG)
Gas consumption cannot be record separately from household meters due to equipment limitation, however, quarterly gas meter records of the first, second and third quarter of 2013 were available. Monthly gas consumption value per square meter (ENG) was introduced in the estimate of
the heating boiler gas consumption. The monthly amplitude was supposed to be the proportion
for heating. ENG in this study was the difference value of gas consumption of heating months
(January to March) and non-heating months (April to September).
Households quarter gas meter readings and ENG of 2013 was shown in Fig.3. Monthly ENG of sam-

Household lifestyle and its impacts on energy consumption in Beijing

93

ple household during the monitoring months ranged from 0.8 (No.11) to 5.1 (No.7) m3 / (m2month),
whereas the mean value was 2 m3/(m2month). It was also notable that, Pcth of No1,4,5,6,10,11,12
was quite similar in value, ranged from 97.6% (No.5 ) to 100% (No.1,4,6 and 11), however, their ENG
varied far apart from 0.8 (No.11) to 3.1 (No.5) m3/(m2month). ENG of No.5, 3.1 m3 / (m2month), was
nearly two times as much as that of No.4 ,1.4 m3 / (m2month), whereas Pcth of No.5 (97.6%) was
even slightly lower than that of No.4 (100%).Additionally, Household No.7 marked the highest
ENG,5.1 m3 / (m2month) and meanwhile the lowest Pcth (78.5%) among households. This comparative analysis had made it clear that higher household gas consumption did not necessarily yields
higher comfort hour percentage proportionally. It suggested that there were potentials in energy
saving by gas boiler controlling patterns.

Figure 3: Households quarter gas consumption (2013), ENG and Pcth

Case study
Heating boiler controlling patterns were not only reflected on indoor thermal environment, but
also on actual gas meter reading results. As shown in Fig 3, there was no linear relationship between the ENG and Pcth. More gas consumption did not mean more comfort temperature zone
hours for those households surveyed.
When analyzing energy efficiency, several factors such as controlling patterns, gas consumption
and thermal comfort were interrelated. In the following case study, as shown in Tab.2, analysis of
those factors and temperature profiles of some of the households, No.5, 6 and 11, helped to figure
out the relationship between operation patterns (e.g. duration, intensity and frequency of use,
temperature settings, zonal controlled) and gas consumption.
Household heating controlling patterns were monitored and recorded in the room temperature
profiles, depended on not only weather condition but also user demands and interactions between occupant and equipment. They were also impacted by the house characteristics, such as
the size, family members age, clothing, activity, presence and absence. In the superposition of

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room temperature profiles, the time and spatial variations of thermostat settings, such as turned
on and off, operated continuously or periodically, adjustment and controlling of equipment
settings could then be described and further recognized combining with questionnaire, Usage
patterns across the monitoring period, for example, time (daytime, nighttime), duration (always
on, on continuously), frequency, and temperature settings (high, low in value, time variation),
adjustment (active /inactive), zonal control (room variation) were identified and then categorized
by profile characteristics. For example, as shown in Tab.2, in sample household No.11, family members were absence at daytime and heating equipment was running periodically. Room temperatures were adjustable according to the user demand from 19~23C. Household room temperatures varied independently during monitoring period. Although the heating energy consumption
(ENG) of No.11 was relatively low in value, 0.8 m3/ (m2month), it actually had a rather high value
of indoor thermal comfort temperature hours percentage (Pcth, 100%,mean value 83%).As for
household No.5, on the other hand, the heating system was running continuously and not active
in temperature setting adjustment. It had a much higher value of energy consumption (ENG)
3.1m3/ (m2month) and yet a slightly lower Pcth (93.9%) than that of No.11 (100%).
Table 2: Superposition of room temperature profiles, boiler controlling patterns and gas consumption
No.

Room temperature profiles(Dec.2012~Apr.2013 and

Feb.1~Feb.14 2013)

Controlling patterns,
gas consumption and thermal
comfort
Controlling patterns: Heating
system was running continuously,
and periodically. Room temperatures
were ranged from 17 to 25C.Settings
were not adjusted actively. Not zonal
controlled and room temperatures were
varied independently. Temperature of
living room was always higher than
bedrooms.
ENG: 3.1(mean value 2), m3/(m2month);
Pcth: 93.9% (mean value 83%);

Household lifestyle and its impacts on energy consumption in Beijing

95

Controlling patterns:Nobody was

at home during daytime; Heating
system was running continuously
and periodically. Room temperatures
were ranged from 18~24C, Settings
were not adjusted actively. Not zonal
controlled and room temperatures were
varied independently. Temperature of
bedrooms were always higher than
living room.
ENG: 2.4(mean value 2), m3/(m2month);
Pcth: 97.5% (mean value 83%);

11

Controlling patterns: Nobody

was staying at home at daytime;
Heating system running periodically.
Room temperatures were ranged
from 19~23C. Not zonal controlled.
Settings were adjusted actively. Room
temperatures varied independently.
Temperature of bedroom (N) was
sometimes higher than living room or
bedroom(S).
ENG: 0.8(mean value 2), m3/(m2month);
Pcth: 100.0% (mean value 83%);

It was clear that, differences of household controlling patterns of appliance were always neglected in the widely used centralized heating system, which deserved more attention in energy efficiency perspective. The following results could be derived from case study.
(1) In the application of a decentralized controlling system with more customized functions, from

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a socio-technical perspective, households always had their own winter heating demands and had
different patterns in controlling heating boiler appliance. The household energy consumptions
were different to each other even if all the monitoring households were selected from a community and they have the same physical characteristics such as construction of building envelop or
thermal performance.
(2) Interrelated analysis of appliance controlling patterns, energy consumption (ENG) and indoor
thermal environment (Pcth) had shown that, Households percentage of comfort temperature
zone hours value was not directly relate to its energy consumption. Even for households with the
same percentage of thermal comfort temperature hours, the gas consumptions were different
due to lifestyle and appliance controlling.

Conclusion
Energy savings arising from patterns on controlling heating boiler appliance. The case study above
has demonstrated the impact of their ways of using gas-consuming heating boilers (e.g. duration,
intensity and frequency of use) to ensure indoor thermal comfort on energy consumption. Occupant behaviour regulations can save more energy and lead to better energy efficiency based on the
principle of household lifestyle and occupant behaviour.
The number of sample households is limited in this study, however, further research with big data
analysis approaches to massive databases, and its possible in the future to gain more precise
insight into residential thermal environment condition and energy consumption patterns. It is
possible, with socio-technical analysis, to optimize both house design and occupant appliances
usage.

Acknowledgements
Project 51178238 supported by National Natural Science Foundation of China. Thanks to sample
households and Feng Sijies contribution in data collection. Thanks to Han Mengzhen for the help
in data processing.

References
BECKRE,L. J., SELIGMAN,C., FAZIO,R. H. and DARLEY,J. M.,1981, Relating Attitudes to Residential Energy Use. Environment and Behavior, 13, pp. 590609.
CHEN, B. and KANG, J.,2010, Low carbon architecture in the UK: research and development from an integrated perspective, World Architecture, (2), pp.54-59.
DECKER, T and MENRAD,K.,2015, House owners perceptions and factors inuencing their choice of specic heating
systems in Germany. Energy Policy, 85, pp.150161.
HUA,Y., 2003, Heating Ways of City Residential District, Beijing City Planning & construction review, (4), pp.78-81.
LUTAENHISER, L.,1993, Social and behavioral aspects of energy use, Annual Review of Energy and Environment, 18,pp.
247289.
Ministry of Housing and Urban-Rural Development of the Peoples Republic of China, 2010, Design standard for energy
efficiency of residential buildings in severe cold and cold zones(JGJ26-2010), Beijing.
QIAN, W., LIU, W., YUAN,G. and PIAO,H., 2005, Application Prospect of Wall-mounted Gas Boiler for Individual Heating,
GAS & HEAT, 25(11),pp.39-40.
VERHALLEN,T. M. M. and RAAIJ, W. F. V.,1981, Household Behavior and the Use of Natural Gas for Home Heating. Journal of Consumer Research, Vol. 8, No. 3 (Dec.), pp. 253257.

Household lifestyle and its impacts on energy consumption in Beijing

97

ZHENG,X.,WEI,C.,QIN,P., GUO, J., YU,Y., SONG,F. and CHEN, Z.,2014, Characteristics of residential energy consumption in
China: Findings from a household survey, Energy Policy 75, pp.126135.

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International Conference | Bari - Lecce, Italy

Session I - II

FINANCIAL ANALYSIS OF GREEN MOCK-UP

BUILDINGS IN TROPICAL EMERGING COUNTRIES
Karl Wagner1, Gabriele Arese2 & Alberto De Marco3

1 School of Business, University of Kuala Lumpur, Malaysia, [email protected]

2 Department of Management and Production Engineering, Politecnico di Torino, Italy, [email protected]
3 Department of Management and Production Engineering, Politecnico di Torino, Italy, [email protected]

Abstract
In recent years, global warming has been identified as the most serious environmental problem facing our planet Earth. Malaysia, like most of the rapidly developing nations, is facing a
significant challenge by spreading carbon and greenhouse gas emissions into the atmosphere.
According to UNEP SBCI and other independent sources, it is estimated that buildings contribute to as much as at least one third of total global greenhouse gas emissions. Thus, encouraging investments in energy efficient buildings is a chance that governments can grasp in order
to reduce spreading gases into the atmosphere and improving living conditions. This study undertaken for low and zero energy efficient residential buildings for mass customization aims to
present and share the findings of Green Building profitability. It considers the life cycle of green
buildings and how to showcase cost-effective investments of residential sustainable buildings
not only in Malaysia, but also other developing countries around the tropical belt. If successful, the findings can even encourage investors and owners to embark in energy efficient residential houses. The methodology for this study is developed through the analysis of two setup
Mock-Up Green Buildings in Kuala Lumpur/Malaysia. Instead of running simulations, the authors
use them as two case studies equipped with green elements. Demo Houses insulation performances are evaluated through data monitoring, and the Life Cycle Costing Approach is used as
a tool to compare a sustainable demo house with a conventional one in terms of cost/benefits
as well as cash flows analyses. Finally, a sensitivity analysis is conducted in order to study the financing plans and to design and evaluate an appropriate financial structure of debt and equity
sources of funds. The conclusion of this paper demonstrates that investing in sustainable technology-based green buildings definitely produces larger financial value comparing to the conventional ones even with short-term considerations. Furthermore, it suggests and exemplifies a
financial scheme and capital structure owners could use as a guide to pursue such capital projects.

Keywords
green buildings, energy efficiency, cash flow analysis, financial structure

99

1. Introduction
Nowadays, there is widespread evidence that Green is going main stream. The energy efficient
technologies in the built environment are growing rapidly (Kok et al. 2011) and some real estate
developers and governments are considering sustainable buildings already as a real opportunity.
A growing number of online resources and articles show the environmental and social benefits
of green buildings. It is widely recognized that energy efficient buildings lead to natural resource
conservation, air quality improvement, waste reduction and health and productivity improvements. However, the picture is more complex when dealing with financial-economic advantages
of building green since: the actors involved in the green projects include banking institutions. It
implies precise knowledge of buildings financial performance measures, there is a lack of knowledge about the cost the house would have as a conventional bricks-and-concrete building.
This research attempts to analyze the financial benefits of sustainable buildings in developing
countries by gathering the data from two small experimental mock-up buildings located in Malaysia. The two case studies allow the comparison among sustainable and conventional design,
since the first is equipped with green elements, while the second one is a standard conventional
building. Hence, the research aims to study the financial plan and profitability focusing on a specific house design.
With this research, the authors like to answer the questions Is it profitable and financially sustainable investing in the two investigated buildings? How does the financial model change according
to the different project risk profile? Is an investment in green or in conventional buildings more
beneficial?
Summarizing, this study aims to demonstrate in how far integrating sustainable or green building practices into the construction industry can be a solid financial investment. The trial is made
via analysing primarily the profitability and the bankability of those capital projects.

2. Literature Review
This paper will seek to compute the financial value and feasibility of a green building compared
with a conventional one, looking at the buildings entire life cycle from the angle of three methods.
The literature shows that, from a profitability perspective, a) the Net Present Value (NPV) method
is the most common project evaluation technique used for investment decisions. It examines the
cash flow of a project over a given time period and compares it to one equivalent present date
value. In general, a project is undertaken if the NPV is positive and, if two or more projects are
alternatively considered, the project that has greater present value is selected (Remer et. al. 1995).

(1)

A first crucial issue in using the NPV is the choice of the discount rate, also referred to as the minimum attractive rate of return (MARR). In the literature it is widely recognized that the Weighted
Average Cost of Capital (WACC) is a good approximation of the MARR mainly for its ability to deal
with levered capital and to incorporate the tax shield in the present value computation (Farber
et al. 2006).
(2)

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Further complementary methods used beside the NPV to determine the return are the Internal
Rate of Return (IRR) and the payback period:
b) The IRR can be considered as the rate of return that renders the NPV equal to zero. This method
has its appeal in practice because of the tendency to look at investments in terms of percentage
return of the capital invested (Bagajewicz 2008).
c) Finally, the payback period of a project refers to the number of periods or years it takes before
the cumulative forecasted cash flow equals the initial investment (Brealey et al. 2002).
(3)

A second crucial aspect is Project Financing (PF) to assure that the stream of cash flows generated
by the project is able to repay for the debt. Usually, lenders assess the capacity of the company
to service the loan looking at the annual DSCR. This important indicator is defined as the ratio of
annual cash flow available for debt service to annual principal and interest payments, as shown in
the following equation (Zhang et. al. 2005).

(4)

where is the yearly debt service coverage ratio; is the operating cash flow at year j; is the debt
instalment (principal plus interest); and N is the debt repayment period.
According to the definition, it is clear that the DSCR is strictly related to the companys financial
leverage. Generally, lenders prefer a high equity level to minimize their risks as debt has a higher
rank in repayment than equity investment (Zhang et. al. 2005). On the other hand, private investors aim to ask for more debts since it is a cheaper source of capital. Thus, the choice of the minimum DSCR determines the maximum amount of debt the company can ask.
For lenders, a project is considered bankable if it doesnt fall below certain DSCR targets anytime.
In other words, this achieved if the revenue stream generated is sufficient enough to protect the
lenders from the perceived risk. The minimum DSCR required by lenders depends on the site
country, industrial sector, lenders involved and market situation (Zhang et. al. 2005). Generally,
the DSCR of the project must be in the range of 1.10 - 1.25 in order to be considered bankable. The
comfortable range of DSCR is 1.30 1.50 and even realistic a DSCR greater than 1.50 is preferable
(Koh et al. 1999). However, according to the risk profile of the project, the bankable target may rise
up to 1.5-2.0 (Yescombe 2007).

3. Research Methodology
The methodology for this study is developed through the analysis of two set up Mock-Up Buildings with equal 3m3, positioning and shading in Kuala Lumpur/Malaysia. Both are life labs, each
simulating a small bedroom in a residential area to stay in. The first one, the Mock-Up Green Building (MUGB), is equipped with green passive materials and active technologies available in the Malaysian market. Instead, the Mock-Up Conventional Building (MUCB) is a reference demo-house
built up following the nowadays common industrial building design of local conventional and
not-sustainable houses with sand bricks, zinc roof, louver windows with aluminium frames (IBS).
The analysis section of this research investigates the financial plan of both case studies. Typically, real estate projects face negative balance of the cash flows in their initial phase due to the
construction costs. With this model, the authors try to solve the financial gap by suggesting the
amount debt capital the developers can ask using financial-leverage based mechanisms. Further-

Financial Analysis of Green Mock-Up Buildings in Tropical emerging Countries

101

more, they show the profitability of each project by discounting the cash flows of both MUCB and
MUGB. Thus, the analysis is carried on with a matter-of-fact approach in two phases: by selecting
the capital structure which satisfy the minimum DSCR, and by studying the cash flows over the
life cycle of the buildings.
Finally, financial-plan scenarios are developed through a multivariate analysis changing the values of the two independent variables: loan duration and DSCR target. The outputs of each scenario are the following indicators of profitability and bankability measures: debt percentage, average
DSCRpost-tax, yearly minimum revenue, NPV, IRR and Payback.
3.1 Case studies in two Life-Labs
The two case studies are part of a larger research project The Making of a Proto-Tropical Passive
and Low-Energy House at the University of Kuala Lumpur. It includes the construction of altogether three sustainable demo-houses M1, M2, M3 and the conventional one M0 to run comparative experiments and researches about low and zero-energy efficient buildings in a tropical
country. For the research presented here, the two buildings mentioned above are selected and
described as such:
a) The conventional MUCB M0 is a standard concrete foundation and sand brick building as it is a
wall family undoubtedly still taking the unquestioned lead in the modern tropical built environment. Replacing traditional clay and stilt houses, it uses basically sand bricks, it is equipped with
single glazed metal-framed windows and has a zinc or metal deck roof and gypsum board ceiling.
Typically for low-cost housing in tropical countries, a thin gypsum board ceiling and no shading
system is provided. With high heat transmission rates and no insulation, this kind of building has
both a tremendous heat intake and long daily heat retention cycles to digest by the thermal mass
of its bricks. Literally speaking, the walls cannot unload the heat intake it has harvested during the
daytime before. b) Conversely to the open air house, the MUGB M1 is an airtight low-energy house
with the same dimensions of its standard counterpart. It uses aerated Lightweight Reinforced
Concrete (LRC) blocks instead of the standard sand bricks which have a high heat transmission
(U-value of 8.0). The producer sells the material as a Green Product and assures high thermal insulation with U-values of only 2.3-2.4 at the comparative thickness of 10cm. This building will later
be equipped with GE solar panels that are used as complementary electricity supply, fitted with
5 cm Wood Wool Cement Boards (WWCB) shutters and uPVC low E-glazed windows. The ceiling
is also made by a 5 cm layer of WWCB assuring further thermal insulation. Unlike the common
almost insulated heat tank of conventional buildings, the ventilated roof allows enhancement in
terms of thermal performance. The house follows the principle of the fully insulated building: the
airtight low-energy house no longer allows gaps that let the passively or actively cooled indoor
air escape and fresh hot air enter the building in an uncontrolled manner during the daytime after
about 8:30 am. At a later stage, a CO2 alarm will still enable to house to harvest fresh air during
the daytime.
3.2 Data collection
The data needed and collected for this research are related to two elements: the construction
considered as capital expenditures (CAPEX) and the operating expenditures (OPEX).
The capital expenditure (CAPEX) has been gathered comparing the official quotations received
independently from local suppliers with the real costs the buildings incurred. Since most of the
building elements are sponsored or funded by the private sector, the researchers have contacted
those suppliers directly in order to come up with gaging the real final cost of both buildings upon
completion. Table 2 shows the overall capital expenditure of MUCB and MUGB inclusive of labour.

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Table 2: Capital Expenditure of MUCB and MUGB

Description

MUCB (M0) cost

MUGB (M1) cost

New Building and structures 3 x 3 m

5.922,00RM

5.625,90RM

Walls

1.700,00RM

1.938,00RM

Finishes

1.656,00RM

1.573,20RM

Door and Windows

1.390,00RM

3.981,06RM

Roof and Roof Covering works

3.696,00RM

3.416,20RM

Painting Works

1.020,00RM

969,00RM

Electrical

3.425,00RM

3.253,75RM

Solar (DC-run light generation)

Total

760,00RM
18.809,00RM

21.517,11RM

A different approach has been used to estimate the operating costs (OPEX), as at the time of
the research both buildings were not connected to electrical supply yet. Due to the lack of past
data about the real operating expenditure of the two case studies, the researchers simulated the
buildings performances through a comprehensive building simulation tool. The software used
is is a widely used whole-building performance simulation tool known as eQUEST. The software
needs the development of an underlying model. Hence, the following design parameters have
been inserted: The buildings location and orientation, dimension, envelope insulation, finishing,
building operation schedule and interior end-uses are the parameters. Both buildings have been
considered a residential single-family area type with an operation schedule of 24-hours per day
over the entire year.
The yearly operating costs of both MUCB (M0) and MUGB (M1) resulting from the output of the
simulation are shown in Table 3. The highest position within the electricity consumption are the
cooling costs derived from the different active cooling demand of both buildings. Due to the fact
that M1 is about 2.4 degree C cooler than M0, it will also consume less energy to cool the house
down to an acceptable maximum tropical thermal comfort level of 28.6 degree C during the day
respectively the heat peak hours (Wagner 2013):
Table 3: Yearly Operating Expenditure of MUCB (M0) and MUGB (M1)
MUCB

MUGB

Water consumption (RM/Year)

42,07

42,07

Electricity consumption (RM/Year)

233,33

146,53

Total (RM/Year)

275,39

188,59

4. Analysis
In order to develop a comprehensive financial model for the two investigated compared buildings, the analysis proceeds in three phases. The first step is to set up the financial model by doing
some basic assumptions related to the Malaysian financial market. Afterwards, the future cash
flows are projected: operational, investment and financing cash flows are evaluated on a yearly
basis throughout the whole buildings life cycle. Finally, a multivariate analysis is conducted to
create different scenarios and evaluate the buildings financial measures by changing some independent variables.

Financial Analysis of Green Mock-Up Buildings in Tropical emerging Countries

103

4.1 Financial model assumptions

Representing the financial performances of a project implies some basic assumptions that are the
foundations of the project itself. Concerning this research, the assumptions are related to the type
of loan and type of repayment method used for the analysis. Furthermore, the following input
information is needed to set up the financial model: cost of equity, cost of debt, tax rate, and tax
shield in Malaysia. The information is aggregated through a literature review.
In Malaysia, banks offer two types of loans: Islamic and Conventional. However, the latter accounts
for 90% of the total debt sources of funding and, generally, banking institutions offer plain-vanilla
mortgages at a fixed or variable interest rates (Endut et al. 2008). This research applies the standard type and fixed interest rate repayment system: the payments are equals each year and at the
beginning a greater amount of the interest is paid.
Several models could be applied to estimate the cost of equity. According to the literature the
Malaysian cost of equity can be estimated around 14% (Boubakri et al. 2012) and, according to the
Malaysian Central Bank, the effective debt rate floats around 4.85%.
Finally, the last parameter is the tax the Malaysian government imposes on the local companies.
The Malaysian tax rate is at 24% and the Malaysian government considers any interest paid on
outstanding debt as tax deductible (Pricewaterhouse Coopers 2014).
4.2 Cash flow analysis
The first step involves the identification of the capital structure. Different percentages of debt are
analysed. Then, the capital structure that maximizes the financial leverage is the one that satisfies
the minimum DSCR target. The DSCR is calculated with equation (4).
The cash flows of both MUCB and MUGB are then estimated: each individual inflow and outflow
is evaluated on yearly basis over 30 years of buildings operation. The element considered in the
cash in is the operating revenue; it is considered as the minimum level of income needed in order
to consider the project bankable. Hence, the operating revenue as defined above is strictly related to the financial leverage and it is computed with the formula:

(5)

Where NOI is the Net Operating Income and the OPEX is the Operating expenditure.
The cash out considered in the analysis are the operational expenditure, the tax payment, loan
interest payment and principal. The tax payment is simply the tax rate applied to the taxable income; the debt instalment (principal plus interest) instead is computed as follows:

(6)

Where M is the monthly debt instalment; L refers to the loan amount; I is the interest rate; and n
the loan period.
Finally, the present value of the future cash flows is determined and the WACC is used as the discount rate; the WACC is considered the best rate to use in order to take into account the time value of money and the risk uncertainty when dealing with levered capital. The WACC is computed
by applying Equation (2). Table 4 shows the cash flow analysis.

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Table 4: Cash flows of the MUCB with loan 30 years and DSCRpre-tax 1.35
0
Year #
18809
Capex
Revenues
Opex
EBITDA
Dep.
EBIT
Loan Int.
EBT
Tax
Earnings
Principal
16551,9
Cash In
18809,0
Cash out
-2257,1
Cash Flow
Discounted -2257,1
cash flow
Cumulated -2257,1
DCF
DSCRpre-tax
DSCRposttax
1,29
Average
DSCRposttax

28

29

30

1717,3

1717,3

1717,3

1717,3

1717,3

1717,3

1717,3

1717,3

1717,3

1717,3

1717,3

1717,3

275,4

275,4

275,4

275,4

275,4

275,4

275,4

275,4

275,4

275,4

275,4

275,4

1441,9 1441,9 1441,9 1441,9 1441,9 1441,9 1441,9 1441,9 1441,9 1441,9 1441,9 1441,9
627,0

627,0

627,0

627,0

627,0

627,0

627,0

627,0

627,0

627,0

627,0

627,0

815,0

815,0

815,0

815,0

815,0

815,0

815,0

815,0

815,0

815,0

815,0

815,0

802,8

790,4

777,4

763,7

749,5

734,5

718,8

702,3

685,0

140,2

95,6

49,0

12,2

24,6

37,6

51,2

65,5

80,5

96,2

112,7

129,9

674,8

719,3

766,0

2,9

5,9

9,0

12,3

15,7

19,3

23,1

27,0

31,2

161,9

172,6

183,8

9,3

18,7

28,6

38,9

49,8

61,2

73,1

85,6

98,8

512,8

546,7

582,2

255,6

268,0

281,0

294,6

308,9

323,9

339,6

356,1

373,4

918,2

962,7

1009,4

1717,3

1717,3

1717,3

1717,3

1717,3

1717,3

1717,3

1717,3

1717,3

1717,3

1717,3

1717,3

1336,7

1339,7

1342,8

1346,1

1349,5

1353,1

1356,9

1360,8

1365,0

1495,7

1506,4

1517,6

380,6

377,6

374,5

371,3

367,8

364,2

360,5

356,5

352,4

221,6

210,9

199,7

362,8

343,0

324,2

306,3

289,2

273,0

257,5

242,7

228,6

57,7

52,3

47,2

141,7

370,3 2760,6 2813,0 2860,2

-1894,3 -1551,3 -1227,1 -920,7 -631,5 -358,5 -101,0

1,36

1,36

1,36

1,36

1,36

1,36

1,36

1,36

1,36

1,36

1,36

1,36

1,36

1,36

1,35

1,35

1,35

1,34

1,34

1,34

1,33

1,21

1,20

1,19

4.3 Multivariate analysis

The last phase of the analysis is to identify how certain variables have impact on the bankability
and profitability measures of the projects. The target is to observe and evaluate the uncertainty of
some input values by creating different scenarios answering some what-if questions.
The selected input values are the DSCRpre-tax targets and the loan duration. Mainly because they
are related with the banks risk of lending the money: technology-based projects may result more
riskily from the borrowers point of view, and a longer loan duration means a higher risk exposure.
In particular, the DSCRpre-tax is observed in a range from 1.25 up to 1.55. Concerning the loan
duration, usually banking institutions dont offer loans longer than 30 years; the loan periods selected for the sensitivity analysis are 20, 25 and 30 years.
The profitability performance measures evaluated in each scenario are the NPV, payback and IRR.
The bankability is analyzed by computing the average DSCRpost-tax that, as a rule of thumb, must
be greater or equals to 1.20. Finally, the Revenue shows the minimum income the project needs in
order to consider the project able to repay for its outstanding debts.

5. Results& Discussion
The output of the sensitivity analysis for both Green and Conventional buildings can be found
in Tables 2 and 3. The rows show the variation of the loan period; whilst the columns refer to the
different levels of DSCRpre-tax the banks ask in order to consider the project able to repay for its
outstanding debts. Each scenario is evaluated through indicators of both profitability and bankability measures.

Financial Analysis of Green Mock-Up Buildings in Tropical emerging Countries

105

Table 5: MUCB Sensitivity Analysis results

L = 20

L = 25

DSCRpre-tax1,25

DSCRpre-tax1,35

DSCRpre-tax 1,45

DSCRpre-tax1,55

D%

D%

D%

D%

80%

70%

65%

Average
1,17
DSCRpost-tax

Average
1,25
DSCRpost-tax

Average
1,34
DSCRpost-tax

Average
1,44
DSCRpost-tax

Revenue

1.767RM

Revenue

1.786RM

Revenue

1.795RM

Revenue

1.794RM

NPV

1.859RM

NPV

1.412RM

NPV

839RM

NPV

155RM

IRR

8,4%

IRR

8,2%

IRR

7,8%

IRR

7,5%

Pay-Back

24 years

Pay-Back

25 years

Pay-Back

26 years

Pay-Back

30 years

D%

87%

D%

83%

D%

78%

D%

74%

Average
1,20
DSCRpost-tax

L = 30

75%

Average
1,27
DSCRpost-tax

Average
1,36
DSCRpost-tax

Average
1,44
DSCRpost-tax

Revenue

1.725RM

Revenue

1.752RM

Revenue

1.776RM

Revenue

1.789RM

NPV

2.567RM

NPV

2.451RM

NPV

2.142RM

NPV

1.778RM

IRR

11,4%

IRR

10,6%

IRR

9,8%

IRR

9,3%

Pay-Back

13 years

Pay-Back

14 years

Pay-Back

17 years

Pay-Back

19 years

D%

93%

D%

88%

D%

84%

D%

80%

Average
1,20
DSCRpost-tax

Average
1,29
DSCRpost-tax

Average
1,37
DSCRpost-tax

Average
1,45
DSCRpost-tax

Revenue

1.673RM

Revenue

1.717RM

Revenue

1.745RM

Revenue

1.767RM

NPV

2.622RM

NPV

2.860RM

NPV

2.829RM

NPV

2.659RM

IRR

20,5%

IRR

15,6%

IRR

13,5%

IRR

12,1%

Pay-Back

6 years

Pay-Back

8 years

Pay-Back

9 years

Pay-Back

11 years

Table 6: MUGB Sensitivity Analysis results

L = 20

DSCRpre-tax 1,25
D%

80%

AverageDSCRpost- 1,19
tax

L = 25

D%

75%

Average
1,28
DSCRpost-tax

DSCRpre-tax 1,45
D%

70%

Average
1,38
DSCRpost-tax

DSCRpre-tax 1,55
D%

65%

Average
1,48
DSCRpost-tax

Revenue

1.895RM

Revenue

1.917RM

Revenue

1.927RM

Revenue

1.926RM

NPV

2.613RM

NPV

2.204RM

NPV

1.626RM

NPV

900RM

IRR

9,2%

IRR

9,0%

IRR

8,7%

IRR

8,3%

Pay-Back

23 years

Pay-Back

23 years

Pay-Back

24 years

Pay-Back

26 years

D%

87%

D%

83%

D%

78%

D%

74%

Average DSCRpost- 1,21

tax

L = 30

DSCRpre-tax 1,35

Average
1,28
DSCRpost-tax

Average
1,38
DSCRpost-tax

Average
1,47
DSCRpost-tax

Revenue

1.847RM

Revenue

1.877RM

Revenue

1.905RM

Revenue

1.920RM

NPV

3.165RM

NPV

3.150RM

NPV

2.919RM

NPV

2.584RM

IRR

12,0%

IRR

11,4%

IRR

10,7%

IRR

10,2%

Pay-Back

11 years

Pay-Back

12 years

Pay-Back

14 years

Pay-Back

16 years

D%

93%

D%

88%

D%

84%

D%

80%

Average DSCRpost- 1,20

tax

Average
1,30
DSCRpost-tax

Average
1,38
DSCRpost-tax

Average
1,47
DSCRpost-tax

Revenue

1.788RM

Revenue

1.838RM

Revenue

1.870RM

Revenue

1.895RM

NPV

3.028RM

NPV

3.421RM

NPV

3.510RM

NPV

3.424RM

IRR

20,6%

IRR

16,1%

IRR

14,3%

IRR

13,0%

Pay-Back

6 years

Pay-Back

8 years

Pay-Back

9 years

Pay-Back

10 years

The first scenario is not considerably bankable for both MUCB and MUGB; both buildings have
an average DSCRpost-tax lower than 1.20 that is the minimum threshold to claim the project fi-

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nancially viable. All the other scenarios can be considered bankable, however different optimal
capital structures are needed according to the different bank requirements.
Graph 1 and Graph 2 provide a better understanding of buildings financial scheme and profitability; they plot the values of the dependent variables Rent, NPV and Leverage according to the different combinations of DSCRs and Loan durations. At a glance, the graphs show how increasing
the DSCRpre-taxthe minimum needed income rises and the related financial leverage falls. This
is due to the risk profile of the project: if the lenders consider it a high-risk project they request a
higher yearly income to the borrowers and, consequently, they are less willing to provide funds.
Graph 1: MUCB Sensitivity Analysis

Graph 2: MUGB Sensitivity Analysis

The worst scenario is with DSCRpre-tax equaling to 1.55 and a loan of 20 years; in this case the
borrowers need at least 35% of Equity in their capital structure otherwise they would lack of debt
carrying capacity.
Similar considerations can be done with the profitability analysis. Generally, investors seek to
maximize the financial leverage since the debt capital incurs in a lower cost than the equity. Consequently, it permits the NPV maximization. The data show that the financial leverage is maximized with the lowest DSCRpre-tax and the larger loan period possible.
The choice of the minimum DSCRpre-tax and the duration of the debt are crucial from the lenders
prospective since they are strictly related to the intrinsic risk of the project. Dealing with innova-

Financial Analysis of Green Mock-Up Buildings in Tropical emerging Countries

107

tive technology-based projects like green buildings can bring about banks and lending agencies
to ask for more strict requirements raising the DSCRpre-tax targets and shortening the loan duration.
From a conventional building prospective, the best bankable scenario is with an annual minimum
rent of 1.717RM and 88% of debt leading to a NPV of 2.860 RM. Starting from this reference standard value, it is possible to realize that the sustainable building outperforms in terms of NPV, under
the conditions of a 25-years long loan. The only exception is the scenario with DSCRpre-tax1.55
where even with loan durations of 25 years the NPV is lower than the conventional one.
In summary, we can state that a sustainable design -following the standards set up in our case
study- leads to profit maximization, even if specific considerations need to be investigated in case
the banks are asking a DSCRpre-tax greater than or equal to 1.55. However, according to our experience and with the concept that rental building is considered a quite safe investment project,
the banks are not supposed to ask more than 1.45 for the DSCRpre-tax and a loan shorter than 25
years. This leads to the conclusion that the Green Mock-Up Building is a more profitable investment than its standard counterpart, even compared to the worst-case scenario.

6. Conclusions
This research has investigated the advantages of going green and energy-efficient in a tropical
emerging country like Malaysia merely from a financial point of view. The study addressed two
specific experimental case studies and attempts to prove the higher financial value private owner
can benefit by choosing a specified sustainable design rather than its standard counterpart.
The body of this research focused on determining the cash flows over the life cycle of both conventional and green buildings and to deploy a financial plan in order to support private building
investors in choosing among sustainable and standard design.
As summarized in the previous section, the results prove that the Green Mock-Up building produces larger financial value compared with the conventional one. Even in the worst-case scenario
where more strict requirements are considered our to green and sustainable project, the findings
show that the investors should still focus on the sustainable design.
Apart from a reduction of operational costs and subsequently CO2 to cover the gap towards the
achievement of thermal comfort, there are plenty of additional sustainable buildings advantages
not considered in this mere financial research. It is widely recognized that green energy efficient
buildings lead to environmental assets (reducing waste, improving health by air quality, conserve
natural resources) and social benefits (well-being and quality life improvement). However, those
benefits are so far still enunciated more related to public institutions rather than to private investors. To enable potential buyers to gain more information, our approach focused the profitability
of sustainable buildings. .The findings presented in this initial publication can even encourage
investors and owners to embark in energy efficient residential houses

References
BAGAJEWICZ, M. (2008). On the Use of Net Present Value in Investment Capacity Planning Models, Ind. Eng. Chem. Res.,
47, 94139416. University of Oklahoma, 100 E. Boyd T-335, Norman, Oklahoma 73019.
BOUBAKRI, N., GUEDHAMI, O., MISHRA, D. and SAFFAR, W. (2012). Political connections and the cost of equity capital,
Journal of Corporate Finance, 18, 541559, Elsevier.
BREALEY, R.A. and MEYERS, S.C. (2002). Principles of Corporate Finance, The McGrawHill Companies, 7th revised edition, ISBN 978-0071151450.
ENDUT, N. and HUA, T.G. (March 2008). Household debt in Malaysia, Proc. of a joint conf. organised by the BIS and the
Bank of Korea, 107-116, Seoul.

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FARBER, A., GILLET, R. and SZAFARZ, A. (2006). A General Formula for the WACC, Int. J. of Business, 11(2), ISSN: 1083-4346.
KOH, B.S., WANG, S.Q. and TIONG, R. L. K. (July 1999). Qualitative Development of Debt/Equity Model for BOT infrastructure projects, Proc. of Int. Conf. on Constr. Process Re-engineering, 501-512. Faculty of the Built Environment, University of New South Wales, Sydney, Australia.
KOK, N., MCGRAW, M. and QUIGLEY, J.M. (May 2011). The Diffusion of Energy Efficiency in Building, Papers & Proceedings,
101(3), 77-82. American Economic Review.
PRICEWATERHOUSECOOPERS (2014). 2014/2015 Malaysian tax and business booklet, PP13148/07/2013 (032730).
REMER, D.S. and NIETO, A.P. (August 1995). A compendium and comparison of 25 project evaluation techniques, Int. J.
Production Economics, 42, 79-96. Harvey Mudd College of Engineering and Science, Claremont, CA 91711, USA.
WAGNER, K. (March 2013). Tropical Thermal Comfort and Adapted Tropical Green Residential Housing, Conference Affordable Quality Housing, Marriot Hotel Putra Jaya.
YESCOMBE, E.R. (2007). Public-Private Partnerships Principles of Policy and Finance, Elsevier Ltd, ISBN: 978-0-7506-8054-7.
ZHANG, X. and ASCE, M. (2005). Financial Viability Analysis and Capital structure Optimization in Privatized Public Infrastructure Projects, J. Constr. Eng. Manage. DOI: 10.1061/(ASCE)0733-9364(2005)131:6(656).

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International Conference | Bari - Lecce, Italy

Session III

INTEGRATING TOURISM WITH RURAL

SUSTAINABLE DEVELOPMENT IN EGYPT: CASE
STUDY OF FAYOUM OASIS
Hagar M. Shalaby1, Aia Sherif2 & Hasim Altan2
1 Faculty of Engineering, Architectural Department, Alexandria University, Egypt, [email protected]
2 Sustainable Design of the Built Environment, Faculty of Engineering & IT, British University in Dubai, Dubai, UAE
[email protected] / [email protected]

Abstract
The Egyptian rural deteriorating conditions require careful, fundamental and creative solutions in order to improve the living conditions and to maintain the characteristics of local
communities at the same time for future sustainable development of the region. Rural tourism or tourism in rural areas is a growing form of activity which can bring economic and social
benefits to the society, and can be a tool for achieving a good level of sustainable development in the rural areas. Although rural tourism in its true form is relatively new in Egypt, the
development of this is considered to be a necessary ingredient that can have a positive impact
on the rural community improvement with less needed financial support. This paper represents the Fayoum Oasis as an example of a potential site/region that can be exploited for the
purpose of sustainable development of poor rural settlements by adding a new product to
the countryside depending on its variable characteristics from the natural environment, the
landscape, the presence of traditional arts, and other local cultural products, such as food and
other local cuisines. Although there will be some negative socio-cultural impacts of applying
this new activity on the local communities, the potentials can be developed to achieve a sustainable development mostly for its social means by ensuring the continuity of its uniqueness
and again by providing economic benefits to the society at the same time. The research is
analysing the current situation of the rural tourism in Fayoum in order to formulate a set of
goals and recommendations to achieve a successful sustainable rural tourism development.

Keywords
Fayoum Oasis, Rural Tourism, Rural Settlements, Sustainable Development, Egypt.

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Introduction and Background

The percentage of rural population in Egypt is 57% (World Bank 2008). A typical Egyptian rural settlement is a compact agricultural village surrounded by intensively cultivated fields. The villages
range in population from 500 to more than 10,000. They are almost similar in physical appearance
and design throughout the country, except for minor local variations in building materials, design, and decoration. Until comparatively recently, the only source of drinking water was the Nile;
consequently, many of the villages are built along the banks of its canals (Britannica Encyclopedia
2002).
About 99% of the rural population has an access to water and 93% accessed to sanitation network. Egypt has reached the Millennium Development Goal of halving the number of people
without proper access to safe water and sanitation by 2015 ahead of time in 2008 (World Bank
2008). However, according to the government report of the same year, Egypt was still off track to
achieve the sanitation target in rural areas, especially in Upper Egypt and in frontier governorates.
Currently, poverty percentage in rural Egypt is about 30% of total villages, 30% are suffering from
pollution and 28% is the percentage of unemployment according to the Ministry of Economic
Development. The same problems are continuously reappearing as a result of the improper practices of the population. The most noticed one is the unauthorized construction in locations where
the needed infrastructure is not available or not enough.
The countryside is attractive by the culture flavour given to it by the people living in it. It consists
of overlapping social spaces with their own logic, institution, and networks of actors. The attractiveness of the countryside lies in what urban life cannot give. Rural Tourism can be an important
force for developing disadvantaged rural areas. In particular, rural communities with few other
options for development may perceive that tourism represents a panacea for growth (Aref and
Gill 2009). Nowadays, rural tourism has turned into a leading economic activity and studies show
a positive relationship between developing rural tourism and an increase in income, it can be a
suitable way to enhance economic advantage and employment (Egbali et al. 2011). Rural tourism
became very popular especially in the economically developed countries. It is its economically
and socially positive impact which allows farmers to gain additional financial sources and create
new job positions for other local people. In fact, it is a very positive and ecological form of tourism. Unlike the uncontrolled mass and purely commercial tourism, rural tourism leisure activities
have a very low negative impact on the environment (Simkova 2007). However, making use of the
tourism attractions in such rural areas needs solving not only the problems of the fresh water, but
solving serious visually, healthy and environmentally problems caused by the insufficient draining water system in most of the rural villages as well.
Regarding Egypt, the Egyptian rural tourism takes a modest position in comparison with the other tourism types. Although rural tourism is a key element in the development process, it is underestimated in Egypt as it is often viewed as recreation, not business. It is rarely included in the
rural villages development schemes as the rural tourism activities are not taken seriously within
the proposed tools to achieve sustainability in the Egyptian villages. This is due to the absence
of the actual realization of the importance of such activity in poor areas in addition to the lack
of awareness, the lack of good marketing plans, the lack of an institutional framework, the lack
of the tourism work force, the lack of information about the problems and challenges and the
available components of the rural tourism in Egypt. Moreover, the bad reputation of the Egyptian
rural areas especially the agricultural villages - due to the low level of services, infrastructure and
the natural pollution- is negatively reflected on this industry.

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For the purpose of playing the positive role of tourism in the process of rural sustainable development, paying attention to environment management, local contribution, firm laws, marketing
and realistic planning in tourism seems necessary (Egbali et al. 2011). The objective is to get closer
to the values of the rural world, such as its culture and heritage, contemplating the countryside,
tranquility, physical and spiritual renewal, and the like (Polo and Frias 2010) in order to form the
tourism as a tool to achieve the sustainability development depending on the place without outer finance. Tourism cannot and will not be the solution to the rural crisis and the introduction of
tourism must not be seen as a substitute for more stable livelihood options. This is critical particularly as tourism is an activity that is based on consumption, and it seeks to substitute in the rural
context, livelihoods based on production (Equations 2008).
Attention to sustainability in rural areas is usually focused only on the agricultural lands as it is
the most prevalent pattern in the countryside. The goal of sustainable agriculture is to increase
food production in a sustainable manner, ensuring and enhancing food security and improving
livelihoods in rural areas. This goal should expand to include the development of all the forms
of the countryside. In order to realize this goal, efforts should be made towards educational programs, efficient utilization of economic incentives and the development of appropriate and new
technologies. Such efforts will ensure stable supplies of nutritionally adequate food, employment
and income generation to alleviate poverty, and protect natural resources and environment as
well. However, conserving and rehabilitating the natural resources on marginal or lower potential
lands in order to maintain sustainable man/land ratios is extremely important (Kruseman and
Vullings 2007). The question is how to establish new patterns and processes of development in
rural areas, besides the agricultural pattern, which are stable and more sustainable? (Shalaby et
al. 2011:16).

Tourism and Rural Sustainability

When illustrating the relationship between tourism, sustainability and rural regions, the community is central to this process, and in many ways cannot be separated from any of the elements on
the map (Aref and Gill 2009). Moreover, the objective of human development of rural community,
especially the disadvantaged, women and youth, helps focus on what is their own, e.g., their skill
in traditional arts and crafts, their cultural heritage, community or private land, natural resources
(flora and fauna) and environment of the area. The attempt to promote what is their own obviously leads to addressing what is their due, e.g., their right to the wealth generated by tourism
in the given locale and the right to decision making about its creation and equitable distribution,
on the one hand, and the right to protect and preserve what is their own on the other, and this
is a form of economical sustainability (Equations 2008).
The challenge is how to establish new patterns and processes of sustainable development in rural
areas. How to create these patterns and processes of development to achieve greater sustainability? As well known, the comprehensive concept of sustainability is extended to the environmental,
social and economic development. To achieve that in a rural primitive society which is somehow
unattractive for investments, primitive activities (beside agriculture) that match with that reality
must be highly considered. It is an integrated and interdependent process, beside the concern
to agricultural work, primitive activities, traditional works and local heritage are key solutions for
such communities. The traditional craft business is probably the clearest type of such target, small
businesses that rely on traditional character and hand folkloric would maximize economic returns
for individuals and the rural community. This will create new jobs and improve the standard of
living as a result of the continuous attachment with visitors and touristic groups who come to

Integrating tourism with rural sustainable development in Egypt: case study of Fayoum Oasis 113

visit those areas and learn about them. These visitors will transfer an image of a better life, which
may raise the level of the acceptable living standards to the population. Here, we can assume
that rural tourism can be the content of this strategy, without tourism market, these required
customers will not be available to accommodate these products and activities, and to develop
the stereotypical image of the local population. After all, there are no blueprints for sustainable
development, behaviors and trends that may/may not lead to tangible results in the near future
and on the long term.

Rural Sustainability Goals in Egypt

The challenge lies in how rural sustainable development can be translated into principles so
that effective policies can be based on in order to reverse current unsustainable trends of environmental degradation and human oppression (Abo Elfetouh 2006). According to Abo Elfetouh
(2006), there are five major pre-requisites for sustainable rural development:
1. A learning-process approach.
2. Peoples priorities first.
3. Secure rights and gains.
4. Sustainability through self-help.
5. Staff calibre, commitment and continuity.
Tunis village in Fayoum is a good model of how tourism can be successfully integrated in the sustainable development through the five pre-requests motioned above. Although it took 50 years
of spontaneously local efforts to achieve rural sustainability, the village has turned from extreme
poverty to a sustainable village based on rural tourism without any governmental prior planning
schemes. Making the rural poor the starting point in the development process and to put the
priorities of the poor first of all is crucial for promoting sustainability. Ensuring that the individuals
have secure rights to resources with focus on issues of land ownership and tenure are key issues
for increasing benefits and productivity (Abo Elfetouh 2006). According to Abo Elfetouh (2006),
sustainability development goals within the context of rural Egypt are:
- Conserving Natural Resources and the Environment: the protection of agricultural land from
haphazard urban encroachment along with the other resources such as water surfaces and deserts, as well as preservation of water quality and air quality alike.
- Promoting Economic Growth: the stimulation of the local economic development, mobilization of resources and elaboration of new financial mechanisms to create more job opportunities,
which are appropriate to the market demands.
- Social Development and Equity: improvement of the quality of basic public services, narrowing
the rural urban gap on the national and regional level alike and promoting gender equality.
Objectives, strategies and laws were formulated to achieve the sustainability goals but each region has its own character that requires a special treatment in order to exploit its ingredients as
appropriate for its circumstances. Rural tourism may be the solution as it has always been a valuable, growing economic strategy, advantage of low risks and costs and considering that resources
are available, costs are low and plans are smaller compared to other tourism plans nonetheless it
provides:
Economic growth in rural areas.
Create variety and stability in employment.
Dynamism in commerce and industries.
Creating opportunities to larger incomes in multiple activities.
Creating new markets for agricultural products.
Enhance a basis for the regional economy.

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Methodology
This paper is analytical qualitative study adopting an exploratory orientation in order to achieve
the following tasks:
Displaying the main features of the Egyptian rural.
Identifying the main aspects involved in the rural sustainable development and the rural tourism.
Presenting tourism as a proposed tool for achieving a successful rural sustainability development.
Viewing a primary model of tourism-rural sustainable development in the selected case study
area, in this case; Fayoum Oasis - Tunis village as a good sustainable rural touristic village in
western Egypt.
Clarifying the importance of the awareness in the rural sustainable development.
Formulate a set of recommendations depending on the extracted results.

Case Study: Fayoum Oasis - Tunis Village

Fayoum is a green oasis lies in the middle of the Desert, in the West of the Nile, located in the
North Upper Egypt Region. The governorates total area covers 6068 km2. Fayoum combines geographical and climatic characteristics of both Delta and Upper Egypt and the Western Desert; it
represents a valley, a delta, and a lake. This provides a diversity of rural activities such as; agriculture, fishing in Qaroun and Rayan Lakes, handicrafts in Tunis and Nazla village. Villages in Fayoum
are less crowded than in Delta and less polluted; people of Fayoum are more civilized than people
of the Delta, and less conservative than the population of Upper Egypt (El Saed). Among the most
noted sustainable villages depending on rural tourism Tunis, Fayoum is not only a famous rural
tourism destination in Egypt, but also is a very important international tourism destination when
it comes to history, heritage and environmental eco-system. The following figures are illustrating
the tourism potentials and the rural activities in Fayoum oasis, and around Tunis village. The oasis
contains a special composition of rural and tourism along with four well known paths for visitors
and tourists. These potentials can easily be used to achieve a successful sustainable development.

Figure1: The tourism potentials along with the local/rural activities in Fayoum oasis

Integrating tourism with rural sustainable development in Egypt: case study of Fayoum Oasis 115

Figure2: The current rural tourism tours in Fayoum oasis

The Sustainable Rural Tourism in Fayoum Oasis: Tunis Village

In spite of the existence of three nature reserves in the green Fayoum, villages are very far from
being sustainable mainly due to the lack of awareness. Only Tunis village is a special case as it
presents the only sustainable rural tourism destination in Fayoum. The village site is very special,
located on a hill, surrounded by flat land at the same level of Lake Qaroun, which provides a panoramic view of the region, a mixture of water and greenery natural scenic gives Tunis its distinguished features (Mustafa and Emam 2013).

Figure3: Arial view of Tunis village

It is located on the western edge of Qaroun Lake, 60 km from the city of Fayoum and 100 km from
the capital, Cairo. Tunis was a simple village suffered from low levels of education and poverty for
many years. A Swiss woman, Eveline Burie came in on the sixteenths to fulfill a passion in pottery

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works and took a wise step as she established the first workshop in her house for childrens education Pottery industry; a step which changed the destiny of the village to be an international
destination of art and nature scenic beauty (El-Galy 2014). In one hour drive from Cairo by a public
bus or private vehicles, you can reach the village of celebrities and writers as known for the Egyptians. It is a low cost tourism destination; an individual can spend an entire day with eating three
meals for only 100 Egyptian pounds -about 15 dollars- (Saad El-Deen 2010).
Tunis contains a variety of natural assets exploited in rural tourism; it can be divided into three
categories: focal, secondary, and supporting facilities. Focal attractions are as follow:
Local handicrafts art and products (schools, workshops, exhibitions and the yearly pottery festival (Fig.4).
Local architecture, local traditions and local food.
Direct contact with communities lifestyles; i.e. the Bedouin, fishermen and farmers.
Tunis is the closest site to the world heritage site of Wadi El-Hitan and fossils of Gabal Qatrani.
Desert safari activities; mountain climbing and hiking, desert trekking, trails, horse and camel
riding.
The secondary attractions:
Fayoum cultural foundation and caricature museum.
Water sports activities in the lakes; small sailboats, feluccas, kayaking, single-line fishing in
Wadi El Rayaan, bird watching around the lakes and in the agriculture lands.
The other tourism facilities and services are included within the ecological accommodation in
Zad El Musafer lodge, Sobek, Zelal El Nakheil and the Safari Camps in Wadi El Rayan.

Figure4: The marketing posters of Tunis pottery festival 2013

Environmental Sustainability: Conserving Natural Resources and the Environment

Tunis is one of the richest natural spots in Egypt; there is a lake, the beautiful birds, green hills,
in addition to a large number of lush fields of fruit and the olive trees that surround the village
from all directions. As eyes are moving to south, a yellow soft desert sands are extending on the
horizon (Saad El-Deen 2010). At the beginning, Tunis was just a group of nests (A very low level of
unlicensed housing) inhabited by limited number of workers and peasants. This continued to be
the case until the couple (Evilin and Hijab) built the first house with the vernacular style of rural
Egypt and the architecture of the poor by Hassan Fathy. Now there are about 300 vernacular style
villas belongs to artists, writers, critics and academics. All residents were committing to build their

Integrating tourism with rural sustainable development in Egypt: case study of Fayoum Oasis 117

houses with the local style of architecture (Fig.5 and Fig.6), houses are made of stones, sand and
mud. The unspoiled palm trunks are used for windows and ceilings. As they used the special natural components that keep the inside not affected by external temperature, they reduce the use
of electricity (Mustafa and Emam 2013). Yet, there are serious attempts to insert the solar panels
for electricity similar to reality in El-Hetan nature reserves.

Figure 5: The vernacular architecture in a private villa

Figure 6: The vernacular architecture in Zad El-Musafer Eco-lodge
It is important to note that the village has adopted an organic-waste management system depends on an agreement between the residences; farmers are using the organic waste as a natural
fertilizer in agriculture. It should also be noted that the non-organic waste, especially plastics,
are limited on what tourists are bringing with them from outside the village. The whole village,
including the eco-lodges is adopting the trend of reducing the trash production as much as possible. Pots for the kitchen and dining are made of mud, copper and metal, and all of the furniture
is based on natural raw materials. The environmental-style houses provide a solution to the problem of the high price raw materials. It is providing a low economic cost shelter with elements of
comfort, beauty and distinctiveness. Not only the houses, is Tunis famous for but also its environmental Eco lodges like Zad El-Musafer, Sobek and Zelal El-Nakheil (Mustafa and Emam 2013).
Villagers are seriously taking care of their farmlands (Fig.7) as they depend on them for the food
supplies. They are very interested in the preservation of biodiversity in their village and they are
aware of its importance as a tourism attraction.

Figure7: the extended green farm lands around Tunis village

The awareness that has spread in the village is the main reason for achieving a good level of sustainable development. Cars are very limited to 4X4 for safari trips in the desert which moves in
specific paths because of the natural reserves in the neighborhood and recently, the villagers are
trying to use the electrical oven instead of the diesel fuel in order to get rid of the only source of
air pollution in the village.

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Economical Sustainability: Promoting Economic Growth

Eveline School was established about 25 years ago. The place known as the School of Pottery,
but the original name was The Ptah association of pottery training for children from urban and
rural areas (Mustafa and Emam, 2013). In Egyptian mythology, Ptah is the demiurge of Memphis,
god of craftsmen and architects. The school was a nucleus of a new economic activity and the
pottery industry was flourished in the village and became a source of income beside agriculture
and reduced the unemployment rates. The school is responsible for marketing the products and
the manufacturer gets 33% of the revenue. The selling rates are medium throughout the year
except during the pottery festival in November. There no division of labor in pottery works, everyone is working and each worker is responsible on his products from the beginning until it is ready
to be showed (Mustafa and Emam 2013).
Another economic direction was introduced when some visitors proposed to establish a place
where writers and artists can stay in the village (Mustafa and Emam 2013). Zad El-Musafer was
the first eco-lodge in Tunis followed by Sobek and Zelal El-Nakheil. The environmental accommodation became an attraction and has contributed to the recruitment of young graduates from
the village. At the end, the booming of the tourism activities led to the prosperity of the village
economy.

Social Sustainability: Social Development and Equity

Residents does not exceed 4 thousand people work in agriculture, fishing in Lake Qaroun, pottery
and some art crafts from palm fronds. Residents are four types:
Permanent residents and they do not exceed five families.
The foreign workers, translators, artists and painters, and they spend the whole winter working
in the village and they return to their countries with the beginning of the summer to present
what they have produced for publishing, exhibitions, etc.
The visitors on the weekly holidays and public holidays.
Those who bought houses and left them closed they do not come at all.
Evelyn had a huge impact on the rural community, beside her pottery workshop, she has helped
many people to establish their own independent pottery industry workshops. Mahmoud El-Sharif says: For more than 20 years, all of us in the village have learned at Madame Eveline workshop,
she transformed the youth into creative artists. During our education she focused on values and
principles of love and compassion and how to rely on ourselves. After many years, she helped us
in establishing international exhibitions in different countries (El-Galy 2014).
Even children of Tunis are very sensitive to beauty and arts as Eveline trained them to be inspired
by the nature around them. Now they became very talented youth participating in international
exhibitions to present their special products (Mustafa and Emam 2013). It is important to mention that gender equality is promoted in the village, women also have their own business and
they have their independent workshops and exhibition beside their role as housekeepers. Eveline
lived 10 years in the village without electricity, water or even TV, now there is a huge Improvement
of the quality of basic public services from electricity, fresh water network and good sanitation
system to telecommunications in order to fulfill the very basic needs of the residents and visitors.
In a building with a distinctive Dome of the mud in the center of a green area surrounded by tall

Integrating tourism with rural sustainable development in Egypt: case study of Fayoum Oasis 119

trees, the caricature paintings published in various newspapers and publications in Egypt are
lined together to form the first museum of cartoons in the Arab world, which opened in March
2009 (Mustafa and Emam 2013). The idea of 1977 has been revived by the Egyptian caricaturist Mohamed Abla who believes that caricature is a historical document presents a live picture reflect
almost every moment of the history. The museum contains a collection of the oldest and best
of what Egyptians caricature artists drew since 1927 to date (Mustafa and Emam 2013). Now the
village is combined of a unique and diversified community as farmers are living next to foreigners
in real harmony as the various cultural activities in the village made the rural urban gap in Tunis
almost not exist.

Conclusion and Recommendations

A good level of awareness of the importance of sustainability is a necessary element for the success of any sustainable development. The success of any development depends primarily on the
community acceptance and their positive contribution. The boom of pottery industry in Tunis
had played the main role in spreading the awareness of rural tourism, especially with the occurrence of economic benefits and the improvement in living conditions. The good sense and the
ability to realize the unique beauty of the place, the pottery festival, the oriented tourism marketing, environmental hotels and the local architecture were prefect techniques contributed to
the rural-tourism sustainable development in Tunis village. The existence of the natural reserves
in the area helped to enrich the community awareness which preserved the local identity as a
source of personal income and a product. Locals are refusing and standing against any activity
that may destroy the nature or hurt their special identity.
By building a low-carbon economy that makes efficient, sustainable use of resources, protecting
the environment and preventing biodiversity loss, Tunis is a successful model of the congenital
sustainable rural tourism development. New strategies should be formulated to help consumers
make well-informed green choices. In order to achieve a successful sustainable tourism by integrating tourism activities, a serious attention should be given to the following considerations:
Preserving cultural values in any society or country must be a priority in any development
plan. The historical remnants, treasures and documents of high cultural values are supposed to
be preserved and fairly protected to be passed on to the future generations (Egbali et al. 2011).
Aboriginal tourism operators, Band Council, and community stakeholders must be invited to
the tourism table, so to speak. They need to be included in all stages of tourism development,
especially when they are incorporating their culture as part of the tourism package.
A participatory community based impact analysis should be undertaken to find out: How
many people have moved from the low income to middle income groups after being associated with the project? / Gender impact - change in the roles of women engaged with the project
/ Employment generation.
A good sustainable development plan requires and it should include an environment impact
assessment (environment friendliness, meeting environment management standards) with a
strong focus on the energy and waste, coasts and financial sources, ethics and responsibility
to the environment (Simkova 2007).
It is required to reach a community that accepts the simplicity of living so the undergraduates
will return to their origins in order to stand against the bad practices that may distort the place.
The educated youth are able to develop new sustainable practices and new options according to
their experience and their knowledge gained from what they have learned. Moreover, the mental
health, comfort, relaxation and tranquility offered by the place should be the priority number one

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of such tourism development plans, especially with the noise and crowdedness of city modern
life.

References
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University, Egypt.
AREF, F., and GILL, S.S. 2009. Rural Tourism Development through Rural Cooperatives, Nature and Science international journal, 7(10), pp. 68-73.
BRITANNICA ENCYCLOPAEDIA. 2002. The Egyptian population.
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study of rural Semnan province II- Iran, South Asian Journal of Tourism and Heritage, 4(1), pp. 44-55.
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%D9%84-%D8%A5%D9%8A%D9%81%D9%84%D9%8A%D9%86-%D8%A7%D9%84%D8%B3%D9%88%D9%8A%
D8%B3%D8%B1/1818460#.VauZXfkirIU > Retrieved on 17 July 2015.
EQUATIONS. 2008. Community-based Rural Tourism in Developing Countries: Insights and Lessons from the Endogenous Tourism Project in India. Ministry of Tourism and UNDP India.
KRUSEMAN, G., and VULLINGES, W. 2007. Rural development policy in Egypt towards 2025; Target conditional income
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LOUREIRO, C., and KASTENHOLZ, E. 2011. Corporate reputation, satisfaction, delight, and loyalty towards rural lodging
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MUSTAFA, S., and EMAM, H. 2013. Tunis tourism village in Fayoum; The beginning was a couple loved the place,
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%8A%D8%A9-%D8%AA%D9%88%D9%86%D8%B3-%D8%A7%D9%84%D8%B3%D9%8A%D8%A7%D8%AD%D9
%8A%D8%A9-%D8%A8%D8%A7%D9%84%D9%81%D9%8A%D9%88%D9%85-%D8%A7%D9%84%D8%A8%D8%
AF%D8%A7%D9%8A%D8%A9> Retrieved on 5 July 2015.
NILSSON, P. 2002. EU rural policy and tourism -Farm tourism reinvestigated, SELASETUR WORKING REPORT NO. 0202.
POLO, I., and FRIAS, D. 2010. Collective Strategies for Rural Tourism: The experience of networks in Spain, Journal of
Tourism Consumption and Practice, 2 (1), Spain. <http://ejournal.narotama.ac.id/files/Collective%20Strategies%20
for%20Rural%20Tourism%20The%20experience%20of%20networks%20in%20Spain.pdf> Retrieved on 10 June
2015.
SAAD EL-DEEN, R. 2010. Tunis village: The eastern Swiss on the banks of Qaroun Lake, <http://archive.aawsat.com/
details.asp?section=41&issueno=11481&article=568150#.Vaucb_kirIU> Retrieved on 10 July 2015.
SHALABY, M.Y., AL-ZAHRANI, K.H., BAIG, M.B., STRAQUADINE, G.S., and ALDOSARI, F. 2011. Threats and challenges to
sustainable agriculture and rural development in Egypt: Implications for agricultural extension. The Journal of
Animal & Plant Sciences, 21(3), pp. 581-588.
SIMKOVA, V. 2007. Approaches to rural tourism and sustainable development of rural areas, University of Hradec Kralove, Hradec, Czech Republic. <http://www.agriculturejournals.cz/publicFiles/00291.pdf> > Retrieved on 30 June
2015.
United Nations (UN). 2008. The UN Special Rapporteur for the Human Right to Water and Sanitation, Achieving the
Millennium Development Goals: A Midpoint Assessment, 2008, Egypt, pp. 55-56.
WORLD BANK. 2008. Arab Republic of Egypt: Urban Sector Update, <http://documents.worldbank.org/curated/
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Session III

TURKEYS ENVIRONMENTAL ISSUES AND

CHALLENGES TOWARD SUSTAINABILITY
Saja B. Nazzal1 & Hasim Altan1
1 Sustainable Design of the Built Environment, Faculty of Engineering & IT, British University in Dubai, UAE,
[email protected] / [email protected]

Abstract
Turkey is one of the countries that exposed recently to fast increase in economy and population. This caused a noticeable inequality of welfare between the socioeconomic groups and
the region. Thus, the country increased its energy consumption. These changes stimulated
the demolition of the ecosystem and the developments which affected the wellbeing of the
social sustainability. This study aimed to investigate the environmental, social and economic
issues that the country faced in the past and at present. Thus, the paper evaluates the impact
of these issues on the countrys development and the human health. Moreover, defining the
challenges that already implemented by the country toward sustainability have been discussed in the paper. In the study, a holistic approach have been adopted to cover the main
issues of sustainability and to provide the appropriate solutions within a sustainability package in order to enhance the countrys income and society. This was supported by an extensive
literature review. The study revealed five main issues in Turkey which are; air pollution, Greenhouse Gas (GHG) emissions and climatic change, water resources pollution, green land degradation and energy consumption. The proposed solutions are; social awareness, renewable
energy (solar and wind energy), water resources conservation, biodiversity and conservation
of forests, GHG and CO2 emissions reduction, Municipal Solid Waste (MSW) and construction
waste management and integrated sustainable regulation and policies.

Keywords
Healthy Environment, Social Impact, Economy, Natural Resources, Sustainable
Development.

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Introduction
Environmental issues have been increasing in the whole world. Peoples health and wellbeing
are affected by these issues such as air pollution, water pollution, energy consumption, urban
sprawl and CO2 and Greenhouse Gas (GHG) emissions. Some countries started to stop the negative changes effecting their civilization by implementing sustainable strategies. These strategies
are achieving some sustainability in these countries without destroying the need of their future.
Turkey is one of these countries that have noticeable negative changes allowing features to move
toward sustainability.
Turkey has a strategic location between Asia and Europe, which make it as an energy link between
the oil and natural gas producer in the Middle East and the western energy consumer markets.
Its bordering the Black Sea, Aegean Sea and the Mediterranean Sea. The total area of Turkey is
approximately 781,000 km2, most of it in Western Asia and only 3% in Southeastern Europe. Topography of the country is very tough and has many slopes. Half of the land area is occupied by the
rivers. It has approximately 9 rivers and 26 catchment areas.
In recent years, Turkey was exposed to fast increase in economy and population. This caused a
noticeable inequality of welfare between the socioeconomic groups and the region. Thus, it has
increasing energy consumption. These changes stimulated the demolition of the ecosystem and
the developments that affect the wellbeing of the social (Evrendilek and Doygun 2000).
The study is investigating the main environmental, social and economic issues that Turkey faced
in the past and is facing at present. Because of these issues are causing a continuous degradation
for the natural resources. Thus, it affects the satisfaction level of the public in their country and
affects their health negatively. Thus, the study aims to evaluate the impact level of these issues on
the countrys development and the human health. Moreover, the aim of this study is to improve
the quality of the life, increase the healthy life lived, control all the hazards that cause a deterioration for the public and the natural resources, increase the stewardship practices and develop the
country economy but in sustainable way. This is carried out by providing a sustainability package including several solutions. The paper further elaborates on and discusses these solutions.
In more specific, the paper is focusing on four topics which are; the main environmental, social
and economic issues in Turkey, the impact of each on the social, the implemented challenges and
strategies toward sustainability as part of a sustainability package.

Approach, Methodology and Analysis

In order to achieve the aims of this study, a holistic approach will be conducted in order to cover
the main issues of sustainability in Turkey. An extensive literature review has been conducted
to extract the countrys environmental issues, causes, impacts and their challenges toward sustainability. This review will help in providing several new solutions to be applied (or can possibly
be applied) which have been identified through analyses of exiting literature, by studying their
results and making comparisons in order to achieve the sustainable solutions.

Environmental, Social and Economic Issues in Turkey

Turkey has several issues that related to these three main pillars of sustainability. Environmental
issues can affect the social and the economy stability and vice versa. So, they are all related to

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each other and couldnt be separated. This part will define the main issues in Turkey and how they
affect the three pillars of sustainability. Moreover, the impact of each issue on the social sustainability will be addressed.
GHG Emissions and Climate Change
Turkey considered one the countries that have a rapid increase in urbanization, economy and
population. The population in 1990 was approximately 56.47 million, it increased to reach 73.72
million in 2010 and it expected to reach 85.41 million in 2050. Increasing the population led to
increase the urban areas which lead to increase the economic rate. Thus, industrialization has an
impact in increasing the economy in Turkey (PMR 2013). It has been noticed that increasing in the
economy leads to increase the GHG emissions in the same time.
As shown in Figure 1, the GHG emissions in 1990 reached approximately 187 million tons tCO2e and
it increased 114.90% in 2010 (TurkStat 2012). Thus, it shows that the GHG emissions do not have a
significant increase in 2008 and 2009 because of the economic crisis. While in the other years it
has a steady increase.

Figure 1: GHG emissions in Turkey between 1990 and 2010 (TurkStat 2012)
The main problem of increasing the GHG emissions especially CO2 is refers to burning fossil fuels.
High level of CO2 concentration in the atmosphere is lead for the climate change in Turkey. Most
of the energy that used in Turkey is supplied by imports, so it considered high energy importing
country (Kaygusuz 2003). Turkey is an energy intensive country when its compared with the developed countries. After the studies that conducted by Turkish Statistical Institute in 2012, it shows
that GHG emissions mostly came from energy and industrial sectors as shown in Figure 2. In 2010,
the energy sector recorded the highest GHG emissions sector which reached 70.9% of the total
GHG emissions while the industrial sector took the second place. Energy sector could include
residential, manufacturing, electricity generation and transportation.
Air Pollution
The most critical issue and threaten the human health in Turkey is air pollution. A rapid economic
growth, population growth and energy consumption in Turkey lead to increase the air pollution.
When comparing Turkeys carbon emissions per capita to EU advanced countries, it seems that
Turkey has the highest (Bilen et al. 2008). Man-made activities and natural sources emit dangerous pollutants to the air. These activities can include; burning fossil fuels to produce electricity

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and for transportation, industrial activities, waste management, agriculture and natural disasters
(EEA 2013).
Sari and Bayram (2014) conducted a study in zmir and they found that the concentration of different pollutants in the cities depend on the meteorology, topography and the pollutants source.
One of the sources that emit significant amount of pollutants is domestic heating. The pollutants
from this source mainly increased due to the increasing of population and households. Thus, it
can be found only in winter. Moreover, the study shows that the most polluted region from the
domestic heating in zmir is the central district (konak). It has approximately 18% of 10 kt SO2 and
5 kt PM10.
The intensive use of coal for domestic heating in the areas increases the amount of CO, PM10 and
SO2 in the air. As a result, they started to use the high quality coal which has less ash and sulphur
while the eastern part of the city is less exposed to the pollutants due to the wind direction and
less population.

Social Impact of Air Pollution and GHG Emissions:

Altug et al. (2014) stated that a lot of pollutants can cause several problems for the humans respiratory tract (chronic bronchitis and asthma). Thus, it stated by Likhvar et al. (2015), that it causes
mortality due to the cardiovascular diseases. GHG emissions cause also a negative impact for
human health. There are major air pollutants that emit from the source mentioned above which
affect the social comfort and threaten their health which are:
Ammonia (NH3): Mainly emit from agriculture and can be formed for secondary pollutant. It
cause irritation for different body parts and its sensitive for people who have asthma because
it makes difficulties in breathing.
Sulfur Dioxide (SO2): Emitted from burning fuels for electricity production. It can produce secondary pollutants. It can cause a health problem (lung and respiratory system) and damage for
the forests and ecosystem in lakes.
Carbon Monoxide (CO): Produced from incomplete combustion in transportation, industry,
business and household activities. Nervous system will be affected by this particle. Thus, it
cause fatigue and discomfort symptoms.
Nitrogen Oxides (NOx): Transportation and industrial sectors are the main sources of NOx. It
contains the nitrogen dioxide and nitrogen monoxide and it can help to form ozone. It affects
the lung, liver, spleen function, respiratory system and it causes acid deposition.
Non Methane Volatile Organic Compound (NMVOC): Emitted from cleaning products, paints,
transport and solvent uses. Some vegetation can produce biogenic NMVOC but the amounts
rely on the species and the temperature. It harms the human health and can be precursors of
ground- level ozone.
Water Resources Pollution
Lakes pollution can occur due to the industrial waste, agricultural activities, urban activities and
mining of metals. This can affect the aquatic life in negative way and damage the ecosystem. This
can be undertaken especially when the concentration of the heavy metal reach the toxic level
in the water (Guven et al. 1999 cited in Karadede and Unlu 2000). Thus, debris (any manufacture
solid waste that entering the waterways from any source) in marine and waterways have a high
impact in water pollution. Bosporus straits in Turkey are exposed to pollution due to the shipping
traffic accidents which cause severe environmental problems. Thus, its threatening the health of
12 million residents that live around it.

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In 1994, Nassia disaster happened in the Bosporus straits (oil tanker ships accident). It resulted in
spilling large amount of oil in the straits and it affect the aquatic environment by killing around
30 seamen. Another problem can affect the ecosystem is releasing contaminated water from the
oil and natural gas ships. Clean up mechanisms is very costly and it estimated to be as high as $15
billion (EIA 2000).
Ground water pollution sources in Turkey divided into two parts; the natural activities and the anthropogenic activities. The anthropogenic activities include the underground septic tank, waste
from industrial activities and mining, agriculture and improper construction. The natural sources
include geothermal fluids, geological formation and seawater intrusion. These are found in the
Central and Mediterranean regions and arsenic in Aegean region. Geothermal fluids can harm
the bones, skeleton and dental. Leakage of surface water can also increase the pollution level of
the ground water. Thus, sea water intrusion can contaminate the ground water especially in the
coastal areas (Baba & Tayfur 2011).
Water Pollution and its Social Impact:
Some rural areas use the groundwater as drinking water. So, this will cause dangerous diseases
for them. Lakes, rivers and sea pollution will give uncivilized image of the sea, affect its aesthetic value and alienate the sea visitors. Direct contact to the polluted water can cause infectious
hepatitis, diarrhea, bacillary dysentery, skin rashes, and even typhoid and cholera (Sheavly and
Register 2007).
Green Land Degradation
Studies shows that 90% of the forest in Turkey is natural and it have a huge number of trees and
shrubs in different species. Over grazing, cutting, fires and clearance of agriculture reduce the
forest areas from 60%-70% to 26% and increase the steppe areas from 10%-15% to 24% (Mayer and
Aksoy 1986 cited in Colak and Rotherham 2006).
Forest areas started to be threatened by the unsustainable agricultural expansion and damaging
the wild plants by the forest villagers and commercial collectors. These activities increase the
social and economic pressure on the forest resources. Excessive use of herbicide because of the
intense farming cause a soil erosion (Colak and Rotherham 2006). Lack of management of forest
harvesting and grazing in the past and present make also problems in destroying the forests areas. Thus, increasing the areas for industrialization and urbanization has a huge impact especially in the mountain zones. Uncontrolled and unsustainable tourism development in coastal and
mountain areas in Turkey affect the ecosystem in these areas. Thus, it affects the economic growth
in these zones. Intensive construction activities occur to accommodate the increasing of tourism
number (Colak and Rotherham 2006).

Green Land Degradation and its Social Impact:

Lack of green lands in Turkey will reduce the natural aesthetic value and affect the psychology
of the habitats. Thus, it will have an impact on the tourist influx to the country, which will reduce
the economy. Green land degradation affect the air quality in negative way, increase the pollutants and increase the risk of the climatic change. People in rural areas will affected more than the
others because it cause malnutrition for them and even reduce their income. Therefore, diseases,
health risk and poverty will be increased (UNCCD 2013).

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Energy Consumption
Energy use in Turkey has been increased significantly over the past 20 years. Figure 3 shows that
the energy consumption in 1980 reach 1.0 quadrillion Btu (quads) and its increase to reach 2.9
quads in 1998. As above mentioned, most of the energy use is for the industrial sector (50%). Some
experts ensure that 22% of the energy consumption in Turkey is lost due to inefficient distribution
and relay systems (EIA 2000).

Figure 3: Energy consumption in Turkey between 1980 and 1998 (EIA 2000)
Sozen et al. (2005) stated that there are few energy sources in Turkey; most of the net energy
consumption (52%) is produced by imports. Coal, oil, natural gas, geothermal and lignite are parts
of the initial energy sources in Turkey. The major source for fuel production in Turkey is the coal.
Recently the oil for energy consumption increased. The oil consumption reached 44% and natural
gas reached 12% in total primary energy source consumption. While, in the primary energy source
production, the ration of the oil is 1% and the natural gas has 13%. This is due to the lake of oil and
natural gas fields in Turkey. The biggest ration is for the lignite. In 21st century, Turkey has insufficiency of energy sources because of the rapid increase of domestic energy demand. Therefore,
the reliance on outside energy supplies has been increased in this time (Sozen et al. 2005).

Energy Consumption and its Social Impact:

As mentioned above that energy consumption will increase the level of GHG and carbon emissions. Energy use is responsible for three quarter of the dangerous CO2 emissions. That means
the air will be more polluted with dangerous particles which will affect the human health and
comfort. Thus, the traditional energy production didnt give the opportunity for the end user to
participate in the energy production. While, the renewable energy allow for them to sell their
own power to the main grid (PV installed on the roof ) which increase the social acceptance for
the renewables.

Challenges Toward Sustainability

In the last 15 years, Turkey has started to implement new strategies to create a sustainable environment due to the negative impact of the problems that occur. The Constitution ensures in 1982
that the living environment should be healthy for the citizens. In 1991, the awareness of the environment was increased and the Ministry of Environment have been established. However, the
economic and social issues were still not integrated within the environment (Kaygusuz 2009). The

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government of Turkey established the way toward the environment protection, energy polices
and increased the efficiency of the economy (Bilen et al. 2008).
Since 1991, Turkey started to utilize from its energy sources that considered renewable energy
due to its benefit in GHG emissions reduction and other environmental issues. So, it started with
geothermal energy, solar thermal energy and hydropower energy. Investment can increased significantly due to the fixed feed in tariffs and purchase obligation for distribution companies under
the proposed new Renewable Energy Law. Thus, Turkey implemented strategies to produce electricity from nuclear power plant and decreasing the reliance on energy imports. But, this procedure need a lot of studies for the investment cost, waste disposal, safety and other issues related
to nuclear power plant (Bilen et al. 2008).
According to Kaygusuz (2009), sustainable environmental practices became the preference in
Turkeys Eight Five Year Development Plan for 20012005. Moreover, the National Environmental
Action Plan (NEAP) worked to increase the energy and environment awareness by implementing
several strategies. The big challenge is the demand of energy have been increased (growth of
economy) while, the low carbon emission is the target. As mentioned above, burning of fossil fuels emit GHG which cause a climatic change. So, the regulation for the next 20 years will be highly
aware of accommodating between the energy and worlds climate. These sustainable regulations
will affect the economy of the future. The steps toward this issue started with the National Climate
Coordination Group then, a National Climate Program was developed in the scope of the United
Nations Framework - Convention on Climate Change (UNFCCC). Moreover, International Energy
Agencys business as usual scenarios have been already put the regulations at the mid of 2006
(Kaygusuz 2009).
Moreover, practices in solid waste management have been conducted. Since 1950s, industry sectors started to recycle the glass, plastic, metal and papers. Thus, it recycle more than two millions
of junk metal each year, since it considered one of the biggest importing country of junk metal.
Recycling the waste of the household has been accomplished mainly for the packaging waste.
Separating the recyclable materials has been completed since 1993. A lot of strategies toward
MSW management were implemented in Turkey (Metin et al. 2003).

Sustainable Solutions: A Proposed Sustainability Package

The mentioned issues identified above need to be solved by creating a proposal for sustainable
strategies. These strategies will help in decreasing the GHG emissions, reducing climate change
and thus improving the air quality in Turkey. Therefore, health and the life of the social will be
improved.
Clean and Sustainable Energy
Toklu et al. (2010) ensured that Turkeys geographic location encourage to shift from the non-renewable energy to the clean energy. Haluzan (2015) mentioned some of the renewable energy
advantages comparing with the fossil fuels. These advantages include:
Renewables allow for the private sectors to participate in energy production, so it provides
more jobs for the citizens. This will give the country an excellent opportunity to boost with its
economy.
It decreases the reliance on the foreign oil and stop importing it from other countries. Increasing the reliance on the existing renewable sources will improve the energy security and energy independence. Thus, the country will get the benefit from its natural resources instead of

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destroying them.
Renewable energy sources have abundant amount of energy unlike the fossil fuels have limited amount. For example, Turkey can use intensive amount of sun energy without intermittence.
It increases the political relationship in term of exchanging the knowledge. Thus, large renewable projects could be shared with other countries.
Ocak et al. (2004) stated that Turkey have large amount of renewable energy sources. In 2001,
the energy that produced from the renewables reaches 8.95 Mtoe. In the near future, the major
sources of energy in Turkey are the fossil fuels, nuclear energy and renewables (biomass, direct
solar energy, hydropower and wind).
In other words, Turkey has already implemented some strategies to emphasize on renewable as a
source of energy. But, still it has a high amount of coal consumption which has an environmental
risk mainly air pollution. Renewables have some of disadvantages but comparing with the fossil
fuels, they are not harmful. Biomass, geothermal and hydropower energy are exploited well in
Turkey. Solar and wind energy are used in limited area while they have the proper conditions to
utilize from them.
Solar Energy
Solar energy is inexhaustible and unlimited source of energy. Turkey is located in sunny belt between 36N and 42N latitudes. Figure 4 below shows the annual average solar radiation and sunshine duration in different areas in Turkey. It seems that there is a high potential for solar energy
application to be installed in different locations in Turkey. This is due to the availability of the land
and high amount of solar radiation. The amounts of solar energy that can be exploited reach 36.2
Mtoe per year. The percentages of the land area that can be utilized for solar energy in 10 month
reach 63% while, in the whole year, 17% of the land area can be utilized (Ocak et al. 2004; Sagbas
and Karamanloglu 2011).

Figure 4: Solar and wind energy potential in Turkey (Ocak et al., 2004).
Turkey considered a third largest producer of solar thermal energy in the world. On the other
hand, it doesnt have a significant installed capacity of PV cells. Whereas, PV applications can be
exploited in different areas in Turkey, where there is direct solar radiation and land availability.
So, getting the benefit from all solar energy application will reduce the reliance on fossil fuels as
s source for energy.

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Wind Energy
Wind energy has been used currently in many countries due to its huge power, low cost and it
causes air pollution. Turkey one of the countries that has the suitable conditions for wind energy
and it can cover all the electricity needs. However, it did not utilize this abundant amount of energy. Sagbas and Karamanloglu (2011) stated that the potential wind energy in Turkey is approximately reaching 88,000 MW while Turkey only installed 12 wind power plants. However, in 2007,
the wind energy installed capacity started to increase from 50 MW to reach 150 MW in 2008.
Water Resources Conservation
Ocak et al. (2004) ensured the importance of storing the runoff water in water storages during
different time in the season. In order to use it when there is a need for it. Thus, the cleanness of
the water resources in Turkey such as; Bosporus, lakes, river and underground water is very important. Cakmak et al. (2007) cited that the current legal management in Turkey is integrated and not
enough to avoid the water pollution. Thus, there is a need for comprehensive regulation in order
to establish a standards and law for using these resources.
Strategies and adequate planning for pollution reduction in groundwater should be conducted. Proper construction methods and industry activities will enhance and increase the quality
of groundwater. It can achieve by replacing the toxic raw materials and solvents with less toxic
or nontoxic and increase the efficiency of the manufacturing process (recycle and reuse). Thus,
design for waste reduction which should be issued in the planning phase (Granholm and Chester
2003). Some industries dump their waste in the groundwater instead of pay for warehouse to
store their waste. The waste could be stored in old oil deposits because it works as geological trap
(Sviridova et al. 2007).
Another solution for groundwater pollution could be implemented is fixing the leaky sewers and
mains systems. This method could be expensive but in the long term the risk of the pollution will
be higher. Geothermal pipes that contain fluids must be insulated well in order to stop leakage in
groundwater (Sviridova et al. 2007). There are different methods of cleaning up the oil that spills
in the Bosporus. The issues are that these methods are expensive and may result in GHG emissions. Thus, it will harm the aquaculture. So, avoiding spilling the oil in the sea is much easier than
cleaning it.
Biodiversity and Conservation of Forests
Strategies and programs for conservation of forest product and increase the biodiversity should
be implemented in sufficient way. Management for these programs is very essential in order to
achieve the goal of them. These strategies will not be affective without the awareness of the public
and their desire to change their behaviour in order to create a healthy sustainable environment.
There are three actions should be taken in term of biodiversity which are; protection, research and
development and utilization (Kaya and Raynal 2001).
Turkeys government should be aware about land degradation risks. In order to implement the
policies that conserve the historical, cultural and natural resources, increase the biodiversity and
protect the genetic resources. It should start with identifying the factors that threaten the biodiversity in forests and destroy the natural resources. Then, measures should be taken to stop
the loss of natural habitats. Continuous researches and update methods to protect the land and
forest from degradation. Policies, regulation and proper management should be accomplished.
The harmonization between the objectives of the forest management system and the plant diversity should be assured. Thus, silviculture and forest engineering practices should be studied and

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reviewed properly. Some of unplanted sites in afforestation areas should be reserved in order to
produce the diversity of the natural habitat.
GHG and CO2 Emissions Reduction
This solution can be achieved by applying more than one strategy. These strategies could be:
Using renewable energy and stop burning fossil fuels will reduce these emissions as mentioned above.
Carbon tax: its a well-known instrument and can be applied within the existing administrative
system. It considered cheaper than the emission trading system. The taxes are differentiate
according to the GHG taxed, the size of the tax and the exceptions and concessions that provided for the large energy production stakeholders. High taxes are associated with the energy
production from burning polluted fossil fuels (in term of greenhouse gases) while lower taxes
for less polluted fossil fuels (Diesendorf 2007; Spaulding et al. 2008).
Emission trading: this way is much complex than the carbon taxes. It works to set standards
for the allowable amount of emission. It can give special permissions for the some producers
to emit specific amount. The allowable amount of emission should not obstruct the target of
GHG emission reduction. It allow in trading the permits. This can be done by when some of
entrants can decrease their emissions at lower cost than others. So, they have the ability to sell
their permits for other entrants that decrease their emissions at higher cost (Diesendorf 2007).
Life cycle analysis (LCA): specific programs and methods used to measure the environmental
performance for a building or product. It improve the construction steps and methods in order
to achieve less carbon footprint e.g. using replacing some materials with other that has less
carbon emission. Moreover, LCA used to measure the environmental performance for specific
material or product which also helps to define the amount of emissions. Specifying the LCA for
the materials that used in the building will reduce the emissions and increase the efficiency of
the building.
Municipal Solid Waste (MSW) and Construction Waste Management
Beside the strategies that already implemented in Turkey regarding the MSW, additional practices
should be accomplished in order to minimize the waste generation. Waste reduction and recycling are the main strategies to reduce the MSW. Waste reduction could be done by increasing
the durability and the life cycle of the product in order to resale it again. Thus, it could be done
by composting. The use of internet has a significant impact on the use of the papers. MSW could
be recycled if have the incentives and the support from the government. Economics of recycling
should be considered before the recycling process occurs. This can be achieved by studying the
energy cost of recycling product vs. landfill disposal. Thus, the energy cost of producing a new
product from recycled one vs. producing new product from the scratch. Moreover, the health
effect cost should be considered.
Social Awareness
Peoples awareness of environmental problems and the risks that associate with them is the first
step toward sustainability. They have to understand the causes behind sustainability e.g. why
we have to reduce the carbon and GHG emissions and why we have to reduce the green land
degradation, etc. Therefore, when they understand these issues, they will convinced and have the
motivation to change their behaviour. Changing in their behaviour will strongly affect in achieving the solutions because most of environmental problems are caused by the humans. Internal
motivation of the individuals is important because it will take long term to behave sustainably.
Social milieu should be helpful and encourage people to change their way toward sustainability.
It may differ from one to another because of the way of thinking (Werner 1999).

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Integrated Sustainable Regulation and Policies

In order to achieve a sustainable environment, integration of regulations and policies should be
enforced. This solution could be considered as a long term solution. Government is responsible
to put these policies and regulations. Thus, it should put a penalty for the outlaw people. These
regulation should considered the three pillars of sustainability which are; environment, economy
and social. Because of each one of these is connected to the other and cannot be separated. Regulations and policies should be taken for every practice that cause a negative environmental and
economic impact, deplete the natural resources, increase the climate change, increase the heat
island effect and affect the human health and wellbeing.
When the government implements these strategies and policies to protect the environment, the
habitat will be affected and encouraged. So, integrated regulation in the country will encourage
the people to change their behaviour and becoming more awareness about the environment.
National policy should have strategies that reduce the climate change and global warming. These
can be at local government level, and then it will have the potential to be international. It promotes the growth of the natural resources, decrease the automobile emissions and increase the
potential of renewable energy. Thus, it encourages the habitant and the private organizations to
embrace the sustainable practices (Salkin 2009).

Conclusions
To conclude, Turkey is one of the countries that have aesthetic and valuable natural features
which can increase the quality of life. These features should be conserved by using sustainable
strategies and policies that protect them from degrading. Therefore, this study provides the most
appropriate strategies that could help the country after reviewing the main problems. In order to
insure the high quality of living, reducing the death rate because of the diseases and pollutants
in the air, and providing the citizens all the support to live safely in their country are essential
features. Furthermore, sustainable living should be spread all over the world in order to stop the
global environmental crises and helping one and other. Starting the implementation in one country will encourage the awareness of the other countries.

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COLAK, A. and ROTHERHAM, I., 2006, A Review of the Forest Vegetation of Turkey: Its Status Past and Present and Its
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Operations in Turkey: A Case Study in Turkey, Waste Management, 23 (5), pp. 425-432.
OCAK, M., OCAK, Z., BILGEN, S., KELES, S., and KAYGUSUZ, K., 2004, Energy Utilization, Environmental Pollution and
Renewable Energy Sources in Turkey, Energy Conversion and Management, 45(6), pp. 845-864.
PARTNERSHIP FOR MARKET READINESS (PMR), 2013, Market Readiness Proposal.
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429-436.
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Books.

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International Conference | Bari - Lecce, Italy

Session III

SUSTAINABLE SOLUTIONS FOR THE PHILIPPINES

BUILT ENVIRONMENT DUE TO NATURAL
DISASTERS
Salma Al-Zahabi1 & Hasim Altan1
1 Sustainable Design of the Built Environment, Faculty of Engineering & IT, British University in Dubai, UAE,
[email protected] / [email protected]

Abstract
The Philippines with its high population, limited development, continues natural disasters,
and poor economy, creates extremely poor living standards not only for its people living today, but also for the future generations living conditions. The Philippines is one of the most
disaster-prone countries in the world, said the Australian Aid program of Philippines (2007),
keeping it in a large-scale danger zone to date. In this study, the research was divided into
four main categories: (1) selecting a relevant case study; (2) conducting reviews of previous
literature and experiments; (3) suggesting sustainable solutions, and finally (4) creating a
comparison between proposed solutions and other existing implementations and their outcomes. The paper suggests anti-flood floating shelters with an initial dynamic design shape
allowing protection of residential shelters and occupants during and after natural disasters
such as heavy floods. The approach is to create both solutions to save the countrys people
and infrastructures from natural dangers. Sustainable design illustrates low energy shelter
designs, inspired by buoyant concept and light floating materials. The proposed design is presenting two types of renewable energy generations; hydropower energy and vortex induced
vibration aquatic clean energy (VIVACE) through machines underwater. As a result, shelters
dynamic shapes allow water circulation and movement to generate energy using hydro turbines attached to proposed shelters that will supply power in presence and absence of floods
during natural disasters. In conclusion, the paper suggests a large-scale design implementation plan covering existing houses in collaboration with the governments future sustainable
projects.

Keywords
Philippines, Natural Disasters, Floods, Buoyant definition, Anti-flood Shelters,
Hydropower Energy, Energy Turbines, Renewable Resources.

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1. Introduction
The Philippines is a country of the largest American population in Asia, where many Americans
have seen its paradise islands nature and decided to stay in, based on the author Sabrina Lovino,
2012. Philippines coastline islands are unique by their baby-blue pacific oceans, long leafy tree
forests, warm tropical weather and a number of 7,100 different islands; forming its paradisiacal
atmosphere. Nevertheless, in contrast with its beauty, Philippines is known by its high population, limited development, continues natural disturbance, and poor economy which forced huge
number of local residents to live overseas and fight for a better individual income. The Philippines
as a country is well known by its extreme poor living standards, pollution and highly vulnerable
conditions to climatic changes and its impact. The Philippines is one of the most disaster-prone
countries in the world, said by the Australian Aid program of Philippines in year 2007. Continuously, in recent years 2011, 2012, and 2013, there were the five deadliest typhoons recorded in the
Philippines. Moreover, the year 2013 has been recorded as the strongest typhoon to hit country,
which killed thousands of lives, resulted in major damages and predicted higher risks in the future.
The Philippines show a huge conflict between its beautiful magical natural resources that definitely attracts tourism, and its extreme poor living of residents and the continuous damages
caused by its natural disasters. Moreover, understanding current risks and the ongoing severe
problems, observing damages and issues expanding through the countrys lifetime and expected
to continue in the future, this study aims to propose a plan that can balance the current situation
by improving countrys economic status, suggesting sustainable solutions for housing, and using
its natural resources as sources and tools to help developing further, by also increasing its income
in order to achieve a better and more sustainable outcome.

2. Methodology
The paper is divided into four main categories; First (1), selecting a relevant case study; a city
experiencing major aspects that must be discussed and analyzed. Second (2), studying pervious
reviews and experiments (i.e. constructed solutions or suggested ideas), and addressing the main
problems, causes and challenges faced. Third (3), suggesting sustainable solutions that are based
on upgraded sustainable ideas for more effective and environmentally friendly impact to fill-in
gaps of earlier solutions. Solutions will be divided into two main aspects: Aspect A, is how to
protect and prevent (or reduce effects on) residences and infrastructures from natural disasters
by enhancing better control systems and using successful implementation techniques made by
developed countries with relevant issues of concern. Aspect B, is to make use of natural resources, rather than neglecting their existence, such as generating electricity from water. Fourth (4),
creating a comparison between proposed solutions and other existing implementations, and
discussing their outcomes if there were to be implemented showing improvements or any other
successful results, e.g. countrys economy.

3. Philippines Islands Nature

3.1 Geographical Aspects and Climate
It is recorded as the 7th highest population in Asia, and the 12th country in the world. Philippines;
the islands which are known as the Republic of Philippines, located in southeast Asia, is marked
as 64th largest country in the world, consisting of 7,107 different islands. Its current population

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(2014) is recorded as an approximate of 107 million people; based on the estimation of worlds
population (2014) by the United States Bilateral Relations Fact Sheets, in addition of 12 million
people who live overseas. Philippines total islands area is 300,000 square kilometers, considering
it as the 5th longest coastline and also as the 3rd deepest country in the world. The Philippines is
a tropical maritime climate, usually known by its hot and humid weather. Introducing three main
seasons; hot dry season, rainy season, and cool dry season. Coolest month starts from January,
warmest in May, and the rainiest season from June to August. On the other hand, it is also usual
for unexpected rain or storms to visit Philippines islands anytime through the year, provided by
the worlds weather and climate information (2013). Moreover, the Philippines is known by its distinguished environmental nature, because of its location and ground level. It introduces volcanic
island nature, earthquakes and mainly heavy rain that leads to major natural disasters such as
storms, floods or typhoons.
3.2 Environmental Disasters
One of the environmental problems (disasters) the country is facing regularly is floods; they are
the result of heavy continuance rain falling on rivers, and because of its deep surface levels, water
easily enters islands surface. An average of 20 tropical cyclones, of which 5 to 7 are destructive,
hit the country every year (AusAID, 2011). Floods end in massive destruction in the city as a whole;
destroying its nature (i.e. landscape, agriculture), buildings (i.e. houses, schools, hospitals, governmental centers), public ways (i.e. subways/transportation bypass), and end up killing residents (elderly, men, women and many kids). Even when floods occur in a smaller scale, mentioned by one
of the residents in Manila, Philippines capital; water can stay more than a day or two, residents
may swim or use boats to travel from one area to another, where water levels can reach our knees
and many times to our chests, forcing us to collect our furniture in our houses, arranging them on
top of each other, protecting and raising them from water level. The recent and biggest Typhoon
in the region, internationally known as Haiyan (Yolanda) occurred in the Philippines in December
2013, which resulted in massive damages and deaths.

4. Case Study
Selected area is Metro Manila city; selection is made based on areas location, population, high
percentage of damages obtained, and availability of complete information and studies made earlier by different associations such as Global Facility for Disaster Reduction and Recovery Trust
Fund of the Australian Agency for International Development (AusAID). Figures below (Fig.1 and
Fig.2) illustrate images of Metro Manila; Figure 1 presents map of the city with clear view of islands
connection to the water surfaces and river lines. Figure 2 illustrates realistic image taken in 2012
during NECK-DEEP flood.

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Figure 1: Boundary of study area and the river basins (AusAID 2011)

Figure 2: NECK-DEEP floods devastated parts of Metro Manila as monsoon rains poured endlessly
(AFP/DND 2012)

5. Conducted Reviews
AusAID, is a development partner that works as an agency on governmental projects of Philippines to mobilize, fund, and reduce risks from natural disasters by setting different systems and
services, focusing on the most vulnerable - the poor. The reviews and documents discussed are
highlighting many aspects, like urban planning and infrastructure, economic and mortality risks,
emergency preparations, and development goals of reducing damages. The program is designed
to show how AusAID will substantially contribute to building the resilience of Philippines cities
over the longer-term through four activities (AusAID 2011:38):
1. Enhancing national capacity for risk analysis.
2. Helping communities build disaster preparedness and awareness.
3. Establishing risk-sensitive land use plans and policies.
4. Building safer and disaster-resilient homes and settlements.

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6. Potential Sustainable Solutions

Suggested solutions are categorized into two main parts; (1) protecting and preventing highest
risks of natural disasters of individuals or small groups (families), and (2) usage of natural resources as a source of generating income. Details are presented in Figure 3 below.

Figure 3: Potential sustainable solutions

Philippines poor economic status, low employment, limited educational opportunities, high
population and construction condensation, presents high poverty in population that most residents are barely able to pay their electricity bills and/or send their children to schools, buy cars
for transportation, or own homes with basic comfort standards. The Philippines society lives in
ignorance that challenges the country is facing, a lot of development and safety assurance need
to be obtained. Thus, simple guides must be delivered to the society to highlight the importance
of safety and to reduce the risk of deaths in poor areas.
Preventing natural disasters can be implemented in various techniques; in rainy seasons, studying to prevent the floods (flood protect system), such as creating dams, river dikes, landscaping,
rise homes ground levels, underground water tunnels, and other building design suggestions. In
contrast, during dry seasons, using underground water tunnels for car transportation to reduce
the traffic, and using stored water when country suffers from water shortages during dry seasons.
Moreover, the usage of natural resources to enhance better sustainable living, e.g. electricity from
water by hydro-electric power, which gives free sustainable technique in generating electricity,
selling electricity, increasing economic growth, and allowing employment. The methods and systems used are influenced and studied by other countries that initially started these strategies,
such as the Netherlands (most densely populated on earth) that used several flood controls for
hundreds of years starting from basic manual systems to technologically highly-developed solutions. In addition, Malaysia, which started the first underground flood system tunnels and bypass,
and other countries like Japan and Pakistan.
6.1 Hydro-electric Power (HEP)
HEP is a technique for generating electricity or watts from water, which can play a key role in
funding of power projects (Kim and Urpelainen 2012). This study suggests an examination on using HEP on a group of houses; an average of six, low to medium shelters at standard levels, then
determining the amount of power generated and if the amount can be used as a permanent
generator. Also, finding solution in presence of flood (high current water) or in absence of flood
(low current water).

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7. Protection and Prevention of Natural Resources (Destruction)

7.1 Metro Manila Current Practices
Metro Manila, a popular region in the Philippines, it includes governmental sectors and other
metropolitan cities; presenting the highest population density, 43,079.38 per km2. One of the metropolitan cities, is the city of Manila, overall consists of clusters of high-rise buildings, towers,
universities, and other famous shopping malls in the city center, as shown earlier in Figure 2. On
the other hand, smaller buildings and houses occupy the rest of the areas. These low building
structures and housings are most likely the ones that would be affected by floods and natural disasters, which take place in the city. This study is using a single area compound of a small housing
project in order to improve their performance and to meet a higher level of sustainable design,
by also focusing on their current and future practices.
7.2 Sustainable Usage of Housing Land
Metro Manila is an area that consists of buildings and homes of different sizes and heights. In
general, the most areas that were affected by floods are areas of low height buildings and houses.
On the other hand, tall buildings are less affected and they are considered as safer shelters. Thus,
redesigning areas of single-story homes to multiple story buildings would majorly affect and help
positively to reduce natural disaster impacts. Considering houses of single stories, illustrated in
Figure 4 below, a compound of an approximate area of 600 square meters (sqm), including four
single story houses per compound, which makes it a ratio of 4:4 is full filling the whole area. While
redesigning the same occupancy area with single and multiple story buildings, decreases the
ratio to 1:4 and allows 3:4 ratio for other services and spaces. This division reduces land occupancy
and helps reducing the risk of house flood damages where three houses are considered in a safe
zone while only one lower level is in risk.

Figure 4: Top view, housing compound sample, 4:4 housing area, no housing services, single-story
level (left), 1:4 housing area, 3:4 housing services, multi-story houses (right)
Nevertheless, multiple story buildings still lack efficiency and protect their users from massive
amounts of water entering homes during high flood activities. Because ground level and subways
are still affected and cannot be accessible, as shown in Figure 5 below; lower building story, and
other services and subways are majorly affected, and must be carefully studied.

Flood water level

Figure 5: Elevation view, housing compound sample, 1:4 housing area, 3:4 housing services, multi-story houses

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Liquid-proof building material is also required; bad proofing and finishing will not only allow
water to pass through houses external walls and building indoors, but also destroys their structure, e.g. Philippines most recent floods in 2014 destroyed hundreds of houses and infrastructures
completely. Philippines government organized hundreds of tents for occupants who lost their
houses, which is absolutely considered as an endurable solution. Many residences are still using
the same tents until today, facing more issues than they faced in their original homes, said by one
of the residents, Jason Fabra, 2014.
Other suggestions discussed by engineers and designers is to raise the ground level of the whole
area that is highly affected by the floods. This concept would help reduce the probability of the
water reaching occupied surface areas by creating a new ground layer on top of Philippines existing island layers, however, building materials, cost, time, and efficiency, make it not the best
sustainable solution to be conducted in the case of Philippines due to its current and poor economic status. As an alternative, solutions must be effective and economically sustainable to obtain much more efficient results, lower costs and earth/user friendliness.
Figure 6 below presents a flood resistant home, using one of the initial strategies; raised platform
from ground level. This idea of detaching homes from ground level was never the perfect solution. A house pillar heights are never enough, based on different flood water levels. In addition,
for the period of absence of floods in the rest of the year, design shows poor interaction with its
surroundings, space is wasted on ground level, hard accessibility and costly construction material
usage.

Figure 6: Flood resistance home design (Aussie Handmade 2014)

7.3 Flood Control Concept
Buoyant defined as the ability or tendency to keep afloat or rise to the top of a liquid or gas (Oxford Dictionaries 2015). The idea of obtaining object maximum balance on any depth or liquid surface, which allows an object, such as a small boat to flow high above water level. Instead of water
liquid overlapping boats roof and ends up sinking, this technique will allow a boat to smoothly
run on water surface. Nevertheless, the same strategy can also be used on bigger scale boats and
yachts. New idea was raised by using similar methods in houses designed to obtain balance in
houses during flood periods, and to make them work exactly as boat floating in a marine. Considering the areas infrastructure in case of a flood; the new idea will play a massive support to
prevent their destruction, but instead to make them float and interact smoothly with their natural
surroundings.
How can boats float and function? Mainly, boats fall under four main categories; (1) how fast it can

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speed on water surface, (2) boat stability, (3) cost of material used to build and design, and finally
(4) the draft, how deep a boat can operate in water. These are summarized under Archimedes
principle and physics of buoyancy (Carroll 2015; Nave 2015). A principle that states; the buoyant
force is equal to the weight of the displaced water, and thus allows an object to float. Shape of
an object also plays a role on its balance and stability. Flat base boats are likely to be more stable
than shaped ones; they help boats to keep their minimum body surface under water level. They
will also minimize friction between boat surface and floodwater flow, which will not allow any
strong hits on objects basement, but instead run smoothly below.

8. Anti-flood Floating Shelters (AFFS) Concept Design Proposal

8.1 Proposed Housing Design System Anti-flood Floating Shelters
In this study, the proposal is a unique sustainable concept, suggesting a new and an innovative
design, which will be tested on a small scale; single housing compounds or a single building. After
testing and commissioning a design proposal, effectiveness and workability will be evaluated;
design can be then approved and applied on different sites that are considered highly affected
by floods, such as the City of Manila, Philippines.
Anti-flood floating shelters (AFFS) concept will mainly focus on the idea of flexibility. The concept
of flexibility will elaborate design in; (1) usage in different occasions, and matters, (2) how design
can be adjusted based on natural disasters, (3) how proposed design can make usage of water,
and generate other resources, and finally, (4) highlights the presence of design concept in respect of its surrounding nature, materials, and most importantly its users. All of the above will be
combined to produce a unique, good-looking design that considers the environment and future
living. This design proposal will be shown in two stages; a building during a regular dry season,
and a second scene during a wet rainy season (or presence of flood).
The main influence are the boats and their ability to balance and float on water surfaces. Thus,
buoyancy principle will be applied on homes on a regular basis, they will settle down on ground
as a regular system, but during floods, homes will rise by buoyant system installed under the
house or building, and therefore will rise on top of water level, building will be able to move vertically. In case of major floods, none of the houses will sink and be covered by water, but instead,
all homes and buildings will be floating on top of the water surfaces. On the other hand, boat and
buoyant system, were not the only features and elements that influenced the proposal in this
study, but also a conceptual design, suggested by a designer from New Orleans, Cornell, who designed a proposal after Hurricane Katrina struck New Orleans considering its surrounding neighborhoods; it was considered one of the most catastrophic natural disasters ever to impact the
United States (US), said by one of a single family home owner. The concept of this proposal was
to protect the family house by the ability of the house to rise up in the attendance of water. The
house is attached from both sides, by two supporting walls; as shown in Figure 7 below. Images in
the figure were captured from a video of flood simulation to show the workability of the system
in a smaller scale, illustrating southwest view of the family home, showing the extraction of the
house upwards, without causing any damages of destruction to its exterior or interior structures.
Finally, the very bottom images illustrate the final design in a real flood scene where the design
shows nicely how it floats and prevents the house from sinking in water like other neighboring
homes.

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Figure 7: Anti-flood house, video capture, New Orleans (PEREZ TORRES, 2012)
8.2 Philippines Anti-flood Floating Shelters
When considering the City of Manila, many aspects are taken into consideration in addition to
floating system of the house, because Manila is known by its high number of residents and low
economical rates. The area must be designed carefully in a way to obtain the extreme benefits;
especially considering sustainable renewable aspects; earth friendly and cost effective scenarios,
to assure its future convenience. Thus, design must be able to observe maximum number of families living and in need of such resources.
Firstly, building will consist of two stories only, allowing 3 different tenants or users to each floor,
a total of 6 tenants per building (shelter). Total average of the building will be an approximate of
400 square meters, comparing the earlier total area of a standard compound, standard housing
clusters of four equals to an approximate of 600 sqm. Comparing both areas to be occupied by
land, proposed design will reduce a percentage of 44.44%. Table below illustrates a detailed calculation (Table 1).

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Table 1: The data of the standard and proposed design areas required
Land Area
Standard design

1 tenant

150 sqm

Proposed design

1 tenant

66.66 sqm

Secondly, it is the building shape, which is considered as a critical point, because of building land
critical nature, proposed building will not be built in a practical dry area, but instead, it will be
built in an area that is probably expecting a natural disaster anytime during the year. Thus, special
design outline must be proposed to conduct an accurate, successful, and workable design outcome. At the very beginning, the aim was to make use of every side of the interior space, and to
reduce the maximum cost, thus shape A was proposed, as a basic square shape as can be seen in
Figure 8. However, in case of flood, water would strike directly on the buildings sharp edges allowing hard collision, performing a direct high pressure on its exterior structure, which will cause
it to shake and increase the probability of being damaged. On the other hand, circular design plan
as shown as shape B, will give more easy and flexible flow of water waves around the building. Yet,
considering its interior curved walls, design is not much appreciated and considered as a waste
of space. As a result, combination of both shapes have been considered in order to produce more
convenient square curved edges building shape, to also fulfil both aspects and to produce more
rich design, repeating the shape 3 times, increasing the number of residences, and implementing
a more flexible outline, and to generate the acceleration of water smoothly on the building, allowing water flow from all sides. Shapes A, B, C, and D are illustrated in Figure 8 below.

Figure 8: Building design outline development, illustration

Thirdly, understanding the obtained design shape, while building an operating system must be
understood too. As mentioned earlier, concepts behind boats and floating design systems will be
proposed to design a sustainable initial proposal that is qualified to operate the building based
on its current situations and problems of concern. In the case of Manila city, which faces a high
number of floods per year, sustainable design must reduce the destructions caused by these disasters, and make use of this non-stopping natural resource, considering countrys future. Proposed design will be flexible in a way that it can be elevated from the ground level, based on flood
water level, and can be returned back safely in the absence of flood. At the center of the building,
tubular column will be structured in the ground, up to the highest level of the building, to hold
and support the building in presence of floods, and as a main structure for the building when
rising vertically, allowing building usability in different occasions and water levels.
As shown below (Fig.9), building is divided into three different sectors, and connected in a center
by a single big structural tubular column, which holds the building structure together, and because of buildings shape, all building sides will smoothly prevent any direct harsh contact of
water flows, and in this way, any damages and issues will be reduced.

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Figure 9: Floodwater flow on proposed design building, illustration

Overall, figure below (Fig.10) summarizes building system, and explains all working mechanisms.
Blocks A, B, and C are the basic houses division of every floor, connected by center column, which
is structured deep in the ground, and around the column (in white color) is the main staircase
that will be the access tool to building blocks. The lowest level of the building, illustrated in grey
color, contains the buoyant device. In case of floods, these devices will be filled with water before
it reaches the house, making the buoyant device float, floating the building with it. The proposed
building design will only have the flexibility of moving vertically; upwards and downwards, and
the level of the water will dedicate its height, keeping the house and all interior content dry and
safe.

Figure 10: Building buoyant system before and after the presence of flood (3DS Max render)

Structural walls will contain multiple layers to protect building interior from its exterior unwanted
weather. Walls will include, interior wallboards, nailing ribs, studs, spray on insulation, and finally
waterproof plastic finishes, and by offsetting the exterior finish of the house, creating multipurpose wall functions as a rain screen, and heat/humid resistant material finish, which will resist
any approximate of 90% of the house, by avoiding any humid heat entering the space. Using this
method, building is saving energy while keeping the interior space cooler.
In addition, for dry and sunny seasons, windows must also be protect by heat reflectors, to enable
them to work as shading devices for house interiors, by rebounding outdoor radiation and keeping cool air into the interior space. Furthermore, heat exhaustion, hot air produced by occupants
and building equipment, is always stored high in ceiling levels as shown in figure below (Fig.11),
and by allowing openings through the staircase, around structural column; air will flow and exit
from interior space to the exterior.

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Figure 11: Building heat exhaustion (3DS Max render)

8.3 Anti-flood Floating Shelters (AFFS) and Hydro Power Renewable Energy (HPRE)
As mentioned earlier, the huge amounts of water that the City of Manila is collecting daily/monthly, must not be neglected, but instead must be used wisely, as an important source of energy. This
resource will work toward helping occupants instead of causing them negative impact on their
living and health. Generating energy from water is a common technique used by many sectors
and in different fields, usually in large scale projects where harnessing hydro energy is effective
by reducing poverty in different countries, such as China, Japan, Pakistan and India. In addition to
many other resources like coal, gas, and oil, among these energy powers, hydro power is the only
renewable resource.
Energy access is only emphasized in a tiny minority of projects (Kim and Urpelainen 2012:411), indicating that although government is working with different associations to adopt better sustainable guidance and implementation, nevertheless, the poor society is still receiving unsustainable
solutions at high costs, which cannot be affordable or beneficial. In the case of Philippines, hydro
power is generated by large private and governmental sectors, using big electrical generators to
extract energy power from moving water. Nevertheless, these projects are not reaching the users
directly (i.e. the city people) and have no straight benefit for people in need, instead, the private
sector is selling these energy sources to the government at high prices, because they are still
considered as new systems. This process is helping the country to grow slowly, but not effective
enough to give guidance to most of the residences, and to help with reducing the big bills residents are paying currently.
AFFS will propose two types of new hydraulic design systems, used as a small scale implementation, generating energy to single buildings only. System A Turbine Wheel, will generate energy
in the presence of a high water flow during floods, and stores energy in battery generator during
the absence of water. System B, named as VIVAC (University of Michigan 2009) will generate energy from slow water currents, which can be used as a permanent energy source.
AFFS HPRE - Type A
Considering the proposed design, two residential stories in addition to the ground buoyant system story will be built, and on the first story base, two turbines will be installed on each side
of building blocks. Turbines will accelerate and generate energy in the presence of floodwater,
directly connected to building battery storage, which will allow building residents to use their
self-energy generation. Figure below (Fig.12) will illustrate basic elevation of one of the building
blocks.

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Figure 12: Building hydro-energy turbines, 3Ds Max Render

As shown in above figure (Fig.12), turbines will be placed on the first floor base, 2 per block, and
6 turbines for 6 shelters. Each turbine will supply energy to one residential shelter. This source of
energy will be useful in emergency cases, such as during floods. On regular basis during floods
in Philippines, electricity is cut or disconnected due to wire damages or for safety guide. Using
hydro-energy turbine, residents will not worry about any safety issues; instead, energy will be
sufficient in a larger scale during flood emergency.
AFFS HPRE - Type B
VIVACE an approved invention system produced by the University of Michigan researchers in
2009, and used as a power generator in slow water moving currents deep in both ocean and river waters. VIVACE does not depend of any type of turbines, dams or waves, and it is believed to
be more environmentally friendly than that other sources. The machine imitates the strategy of
school of fish, and pops a cylinder in the bottom of the river, across the direction of water current,
the cylinder moves will cause the water to move above and below the cylinder, resulting in particle vibration, which are captured by the machine.

Figure 13: VIVACE machine, invention by University of Michigan (video capture) (University of Michigan 2009)
Because of the Philippines islands nature, the cities are surrounded by seawater from all sides,
and river lines cutting the islands. VIVACE will be installed deep in rivers or sea grounds, connected to battery generators that will directly connect to building battery, and to generate permanent
energy supply for the residences; proposing sufficient amount of energy for residents to use on
a daily basis.
Overall, AFFS will focus on illustrating a sustainable building sample that can work in presence
and absence of floods, highlighting two major points; (1) protecting structure and residences of
flood casual damages, and (2) generating energy from water and protecting Philippines future
residents with a permanent source of energy. AFFS will help proposing a better and a more sus-

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147

tainable system for the Philippines residences in the presence of floods and other natural disasters, and keeping the country in the developed nations list of the future, and giving its residents
an opportunity to a safe land and a better living area.

9. Conclusions
Every year, the Philippines is economically decreasing because of the infrastructure loss caused
by various different natural disasters. In 2014, more than two billion dollars were recorded as loss,
in addition to human lives that are being in danger and facing major risks. The probability of
having bigger disasters are increasing based on recent climate change scenarios. It is highly recommended that the government should take an action and start building renovation systems by
updating buildings with new sustainable solutions, relevant to most of the developed countries,
and by paying costs to improve building systems and to reduce any likely future damages, rather
than losing on more and more costs on a yearly basis.
The study has suggested ideas that can be obtained as future sustainable solutions in order to
utilize the areas to be livable in the coming years with appreciations from those residents. All
suggestions are made for individuals and small scale buildings, and can be carried out as accurate
solutions to allow the private companies and individual residents to action upon such proposals, and to also enable them to start their own building constructions, which will not only raise
awareness throughout the country, but also motivate other residents and local authorities as well
as the government. The study may be expanded in the future for more detailed information and
simulation about the AFFS proposal design and system.

References
ASCOSTA, A.L., EUGENIO, E.A., and ENANO, H.N., 2014, Sustainability trade-offs in bioenergy development in the Philippines: An application of conjoint analysis, Biomass and Bioenergy, pp. 1-22.
AUSTRALIAN AGENCY FOR INTERNATIONAL DEVELOPMENT (AusAID), 2011, Building the resilience and awareness of
metro manila communities to natural disasters and climate change impacts.
BUREAU OF INTERNATIONAL LABOR AFFAIRS (ILAB) and US EMBASSY, MANILA, 2003, Philippines, Foreign Labor
Trends, 1990-1991.
CARROLL, B.W., 2015, Archimedes Principle. [online] retrieved from: http://physics.weber.edu/carroll/archimedes/principle.htm [Accessed: 3 Aug 2015].
DINH LE, H., SMITH, C., HERBOHN, J., and HARRISON, S., 2012, More than just trees: Assessing reforestation success in
tropical, Journal of Rural Studies, 28(1), pp. 5-19.
DINH LE, H., SMITH, C., HERBOHN, J., and HARRISON, S., 2014, What drives the success of reforestation projects in tropical developing countries? The case of the Philippines, Global Environmental Change, pp. 334-348.
GHASSEMINIA, A.S., and FARAJI, A., 2008, Storm Resistant Boat Designing Based on the Geometry and Movement of
Water Strider. Journal of Bionic Engineering, Suppl., pp. 87-90.
HARMS, U., KOEBERL, C., and ZOBACK, M.D., 2007, Continental Scientific Drilling. A Decade of Progress, and Challenges
for the Future.
KIM, J., 2012, R&D investment of electricity-generating firms following industry restructuring. Energy Policy, 48, pp.103117.
KIM, S.E., and URPELAINEN, J., 2013, International energy lending: Who funds fossil fuels, who funds energy access for
the poor? International Environmental Agreements: Politics, Law and Economics, 13(4), pp. 411-423.
LASCO, R.D., VERIDIANO, R.K.A., HABITO, M., and PULHIN, F.B., 2012, Reducing emissions from deforestation and forest
degradation plus (REDD+) in the Philippines: Will it make a difference in financing forest development?. Mitigation
and Adaptation Strategies for Global Change (2013), 18, pp.1109-1124.

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NAVE, R., 2015, Buoyancy. [online] retrieved from: http://hyperphysics.phy-astr.gsu.edu/hbase/pbuoy.html#arch3

[Accessed: 3 Aug 2015].
OXFORD DICTIONARIES, 2015, Oxford Dictionaries. [online] retrieved from: http://www.oxforddictionaries.com/definition/english/buoyant [Accessed: 3 Aug 2015].
PEREZ TORRES ARQUITECTOS, 2012, [online] retrieved from: http://www.pt-arq.com/ [Accessed: 1 Aug 2014].
RASWAN, K.J., and TUPPER, E.C., 2001, Basic ship theory, Butterworth Heinemann, Oxford.
SHAISH, L., LEVY, G., GOMEZ, E., and RINKEVICH, B., 2008, Fixed and suspended coral nurseries in the Philippines: Establishing the first step in the gardening concept of reef restoration, Journal of Experimental Marine Biology and
Ecology, pp. 8697.
UNIVERSITY OF MICHIGAN, 2009, [online] retrieved from: https://www.umich.edu/ [Accessed: 10 Jul 2014].

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International Conference | Bari - Lecce, Italy

Session III

THE UNIVERSITY CAMPUS AS A MODEL

OF ENVIRONMENTAL AND SETTLEMENT
SUSTAINABILITY
Carla Chiarantoni1& Calogero Montalbano2
1 Department of Civil Engineering and Architecture, Politecnico di Bari, Italy, [email protected]
2 Department of Civil Engineering and Architecture, Politecnico di Bari, Italy, [email protected]

Abstract
The present research explores the spatial and functional structure of the university campuses
in the contemporary outline of the energetic, environmental and settlement sustainability.
The campuses, also due to their different origins, are neatly differentiated according to spatial
and functional organisation, often causing significant effects also on the urban systems to
which they are variously connected. The different rates of interference with the social and
spatial dynamics of the urban systems to which they are connected turn them into extremely
interesting models for their potential influence on transformation and restoration processes
of the contemporary town. The long formal and energetic restoration process that has involved over the last decades many urban realities has once again highlighted the extreme
importance of these places seen as open laboratories for the experimentation of innovative
settlement models; socially, technologically and energetically sustainable. This has often imposed a rethinking about the strategic relationship between the university campuses and the
towns. In this respect, there are significant transformation processes started by some universities which have originated deep reflections on the sustainability of the settlement and have
significantly affected the local social-economic fabric. From here emerges the hypothesis of
a new project scenario for the implementation of Tarantos University Center, for which the
Polytechnic of Bari is searching for new development strategies, as a laboratory for urban and
environmental experimentation, able to cope with the current territorial issues and respond
to the even more intricate needs of the university and urban community. The so defined procedure is articulated in three stages: Interpretation of the behavioural models of the campuses; Analysis of models and examples that interfere with the urban regeneration processes;
Examination of Tarantos University Center and its urban context, comparison with the critically inferred model of reference and formulation of the first project hypothesis.

Keywords
university campuses, Green Campus, sustainable settlement models, urban regeneration,
innovative constructive solutions

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Introduction. From the theorisation of university models to the Green Campus

The image of the monastic cloister surely constitutes the project archetype of the university
building as a circumscribed place where small communities of learners can discuss and share
their knowledge.
Such idea has remained rather unchanged until the modern age, consolidating, especially in
central and southern Europe, in architectonic organisms greatly integrated with the town and
their economic/social apparatus, sharing the facilities, public green areas, the commercial fabric
and, eventually, the residential system (Baratta & Carlini 2012).
In England and especially in America [1],on the contrary, the university institution was shaped,
except for a few instances, on the principle of colleges: actual settlements, substantially isolated,
marginal with respect to the urban context and independent from the system of the social relationships of the town (Chiarantoni 2008).
From these two behaviours it is possible today to derive two different settlement models that
identify the university campuses: the Anglo/American campus, originated from the Anglo-Saxon
college, and the general European, seen as natural evolution of the long history of the athenaeums, forced to communicate with the towns they are located in (Chiarantoni 2005).
With respect to these two cases, the middle European model, to which we shall refer in the following, due to its particular proximity and ability to interfere with the urban development processes,
can be divided into two further sub-models in function of the major or minor concentration of the
structures within the urban fabric: the concentrated model and spread model (Baratta & Carlini
2012).
The concentrated model involves all the academic and research buildings as pavilions subsequently distributed within a closed academic fence and organised according to a plant, derived from a
master plan, that alternates closed spaces to open collective spaces and promotes the exchanges
and the interdisciplinary dialogue among professors, students and researchers.
The spread model, instead, is characterised by university structures raised in the urban centres
and then developed through the successive acquisition of buildings, even distant among them,
although arranged within the same town and very often shared with the urban community.
In both these models, in a paradoxically opposed condition compared to the Anglo/American
campus model, it can be seen, moreover, that the university residence, technically designed to
compose the basic fabricof any pseudo-settlement system (Caniggia & Maffei 1979:122-165; Caniggia 1981; Rossi 1966; Falasca & Carbonari 1987), plays a marginal role within the university system, appearing as an autonomous reality, more or less integrated in the urban neighbourhood
it belongs to.Such behaviour is probably derived from the lack of vocation of middle-European
University Center to act as pseudo-settlements, contrarily to what happens to the university settlements of Anglo/American campuses.
Hence the research, hereof summarised, of a developmental model of the university systems that
interferes directly with the urban structure, sharing the infrastructures and the primary services
to optimize and maximize its efficiency of use.
The experimental value of such an integration would affect significantly the implementation of
sustainable facilities and practices within the urban environment and the social, cultural and economic enhancement of the urban settlements.
At the same time the economies of scale and the variety of facilities in university centres would be
maximized, especially under the circumstances in which the economic autonomy of universities
appears to be rather limited (Coppola Pignatelli 1995).
Even the role of the university residence would tend towards renewal, finding a greater mediation
with the urban context, thanks to the research of specific living mixtures (Macchia et Al. 2012) and

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its unequivocal tendency to compose homogeneous fabrics, through which it could be reconnected to the urban organism.
Apart from the theme of an experimentation greatly connected to the urban developing processes, there is, on the other hand, another issue in this context that affects more and more the planning of modern university centres and that, since about a decade, has led some universities to
employ their theories and technologies to transform their venues into green campuses, through
which to embody the idea of green/sustainable university [2]: prototypes on urban scale of the
various experiments on the principles of energetic-environmental sustainability.
The design theorem, in such cases, is basically focused on the strategic integration between territory, local resources and university settlement, as well as on efficient energy management of
buildings.
Table 1: Actions to support sustainable campus planning, design and development. (Clayton
2013:41)
Category

Action

Campus planning

Campus-specific sustainability objectives included in all campus planning instruments (i.e.

considering climate and weather patterns, topography, geology/soils, hydrology, urban design
context).
Space planning at campus, precinct and building scale to optimise flexibility, adaptability,
diversity and multifunctionality of spaces.
Investigation of non-building solutions to accommodate university growth.
Physical accessibility of the campus to the external community, different age groups and people
with a disability.

Campus building design

Design to the appropriate green building rating system as the minimum starting point.
Each new building / major refurbishment to incorporate at least one innovative sustainability
feature beyond the requirements of the green building rating system.

These theoretical aspects provide the basis to the experiments conducted on Tarantos context
and the project of implementing its University Center as indicated by the Polytechnic of Bari over
the next years.
Starting from these physical and theoretical models it is now possible to deepen some non-exhausting interventions that allow us to comprehend the modality of interpretation of some of
these actions as actual virtuous processes.

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Study Cases. 1-The University of Bristol _Feilden Clegg Bradley Architects LLP,
2006

Figure 1: Urban structure and localization (Macchia et Al. 2012)

Over the last 20 years the University of Bristol has recorded an increment in the number of students from 8,000 to 12,000, as well as a growing demand for research facilities. In order to address
these issues the University required 38,000 sqm of new academic spaces, but great part of the existing building heritage was not able to provide room for classes and modern research. Moreover
the campus was saturated.
The only possible area of development was the historical-archaeological that houses the Royal
Fort Gardens, on which great of the master plan was focused. The latter has taken time to enhance
the historical features and the natural landscapes present in the area and create:
a better pedestrian access to the campus, providing a new cycling path that opens the boundaries of the campus towards the town;
better relationships between the University and the town, by means of the planning of a wide
range of public facilities within the campus;
a mixture of space and facilities in the central area of the university department;
strong relationships between existing and new academic buildings, animating public areas
and creating new flexible structures to satisfy future requirements.

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Figure 2: Boundary conditions and ideogram of the intervention. (Macchia et Al. 2012)
The Masterplan is thus articulated in 10 strategic steps that delineate the picture for the proposed
development for the next 10 or 15 years.
Table 2: Actions to support sustainable campus planning
Category

Plan Actions

Campus planning

1. Make Tyndall avenue, the social core of academic life

2. Extend the pedestrian path, internal to the campus, towards east and reconnect it to Tyndall
Avenue
3. Create a new entrance, representative of the University, on Tyndall Place
4. Create new axes and panoramic views of Saint Micheals hill towards Fort Roayal Gardens
5. Create new connections between the town in the south, through openings in the dense
building fabric south of the campus
6. Reinforce the common sense of belonging of the area through the enhancement of Royal Fort
gardens
7. Create the new department of life sciences on the eastern side of the university district
8. Create a New Learning Centre on the existing site of Arts Library and IT Centre
9. Redevelop Hawthorns site at the entrance of the campus also for student residence functions
10. Create a new welcome centre building at the entrance of the campus and Royal Fort
gardens

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Study Cases. 2-The University of Salford (Munchester) _ Turley Associates, 2011

Figure 3: Urban structure and localization (Macchia et Al. 2012)

The campus is located west of the old town of Salford about 3.2 km from Manchester and consists
of 3 colleges, 12 schools in total, integrated to some shops and an art museum. Albeit the mixture
of functions, they appear diffusely distributed over a land of 70 ha, marked by evident physical
barriers represented by Irwell river at east and the great Peel Park that rises at the centre of the
campus, on a greatly elevated plateau. For these reasons the activities of the campus appear to
be very fragmented, and the park, though with a high landscape-natural value, is not much used
also for its scarce visibility from outside.

Figure 4: Boundary conditions and ideogram of the intervention. (Macchia et Al. 2012)

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The campus area is marked by an external high speed road system (A6 and the railway) and an internal road system that lacks a hierarchy of pedestrian/vehicular and in which more than 21 parking areas contribute to the conflict between drivers and pedestrians. The area is characterised at
east, by the presence of dismissed areas, and in the north, by an industrial plant, Innovation Park.
This, together with the scarce affluence of the park users, suggests an insecure image of the campus at night hours. The scarce nightlife of this area is also caused by the proximity of the urban
centre that acts as a catalyst for the activities.
The masterplan proposes to lead the development of the campus over 20 years, with the aim of
creating a green campus that would embrace the surrounding nature represented by Peel Park.
Aside from the redevelopment of the green area, in particular the one next to the overflowing river bank, the plan attempts to free the campus from isolation and introversion through the reconfiguration of the internal and external road systems, so to incentivize the pedestrian movement,
and the demolition of the numerous obsolete buildings that turn their back to the park, to open
new squares towards the new linear park.
The discouragement of car use is also achieved through a new student residential pole, close
to the academic core, and to a nearby private sport centre. This strategy, together with the construction of new public commercial spaces, open to the district, contributes to the restoration
of the campus vitality over the 24 hours. Lastly, a further opportunity for growth stems from the
Innovation Park for the development of strategic synergies between the academic world and the
world of work.

Study Cases. 3-The Usek University (Kaslik- Beirut) _ Antoine Dahdah Architect,
2010

Figure 5: Urban structure and localization (Macchia et Al. 2012)

The USEK community is the third biggest private University in Lebanon and the biggest University of the country after the Lebanese University (public university) and Saint Joseph University
(private university).
At present, USEK welcomes more than 7,000 students over 4 campuses (Kaslik, Zahle, Rmeich,
Chekka), with its ten faculties and four institutes, namely fourteen academic units that offer a
wide range of levels of instructions. USEK students are educated by a teaching staff including

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around 1,000 educators and researchers; the administration is composed by 290 staff members.
The project has a clear environmental vocation that completely falls within the logic of the energetic-environmental sustainability of the Green Universities. The policies it formulates involve
the subjection of all the new constructions and the retrieval of the existing ones to satisfy the US
Green Building Council LEED Gold standard requirements for new buildings and Silver standard
for the existing ones. Moreover the University will adopt a low consumption purchase policy for
the equipment and aims to become, within 5 years, a car-free campus. Shuttles for all the teachers, the personnel, students and visitors will be available.
Table 3: Actions to support sustainable campus planning, design and development
Category

Plan Actions

Campus planning

introduction of a GREEN FLET (transport system) using hybrid busses that recharge with solar
energy and a car pooling system, a plan for cycle paths and car parks to discourage the use of
cars
implementation of water retrieval system with large storage basins and compatible strategies
for food supply and waste recycling
study of the views of the new buildings to offer glimpses on the new campus garden and the
natural values of sea and mountains
redistribution of parking areas under the Eco- garden platform.

Campus building design

construction of modern didactic building for and a great sports center with passive behavior in
terms of orientation and materials according to the LEED protocol
creation within the Eco- garden of a nursery for herbal species for the conservation of
biodiversity
creation of a raised platform connecting the elevated part of the campus to the lower one and
sustaining an eco-garden of 14,000 m2

The University will begin producing at least 30% of its electricity consumption from local renewable sources (solar panels), within 4 years.
The plan involves an enormous raised platform on which a mantle of vegetation will be placed.
Underneath the latter there will be the parking area. It also involves the addition of new university structures, among which academic buildings and a sport centre. The plan also foresees the
retrieval of existing buildings and the addition of a path covered by solar panels that crosses the
area.
***
To sum up, among the various enhancements of the international university poles, both for the
ones falling within the specific denomination of Green Campus and those of wider extent, there is
a common tendency to redevelopment with concern to environmental protection. This sees the
disincentive use of cars, and the pedestrianisation of the internal routes to the campus and, also,
the redevelopment of green spaces, as important objectives for development.
To this matter, careful attention to the energetic project of the university settlement is paid with a
particular reference to the constructions and to an interrelation between the innovative energetic systems that, if well managed, could bring about experimentations and prototypes for wider
impact and implementation on urban scale.
Moreover, in the interventions examined it can be noted how, although present the same requests for academic spaces, services, residences, routes, etc., the single projects stem from the
specific relationship between the town and university pole and from the integration that it is

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being pursued between them.

The aim of such interventions, therefore, has to be connected to the wider argument about the
impulse to the development of new protocols and the beginning of new processes/projects for
urban and energetic regeneration.

The case of Taranto

The study therefore focuses on Taranto and its University Center. Taranto is one of the most industrialised towns of southern Italy. A town whose economy has for years revolved around the great
steel industrial plant of ILVA (second in Europe until the 90s) and the petrochemical industry. With
the outbreak, in 2012, of the case Taranto, following inquiries on the companys top management
for the environmental disaster, the problem of decontamination of the areas of high risk of environmental crisis is dramatically opened at a national level.
From this it comes to the urgent provisions for the restoration and requalification of Tarantos
territory [3] and the plan of action on the SIN areas (Sites of National Interest) included in it [4],
for around 65 million [5].
In the coming years Taranto will be therefore very affected by complex reclamation operations
that will be accompanied by a process of industrial reconversion, hopefully inspired by the principles of Green Economy. All this will transform Tarantos area in an enormous laboratory which, in
order to function, will necessitate continuous fuelling aside from large funds from knowledge,
technologies, experiments and human resources specialised on the themes of sustainable development.
Coherently with its mission, the Polytechnic of Bari, inspired by the models of some famous industrial cities that relied on research, innovation and culture (among which Pittsburgh, Sheffield,
York, Tremont, Bagnoli, Genova, Bilbao), intends to contribute to the development of Tarantos
area creating a Green Campus in which to conduct research, experiments and teaching on the
themes of sustainable development.
Tarantos University Center could, in this sense, become a great open air laboratory for strategies
and operations able to positively act on the territory.
This could be achieved through processes of high environmental and energetic efficiency, transforming, contextually, a technically isolated and decayed urban sector of the town, Paolo VI district, in a laboratory for experimentations of new urban practices, technologically, socially and
culturally advanced and so, in a new bet for the rebirth of a town that has temporarily lost its
own raison dtre. In this sense, Tarantos University Center would represent for the town a development lever and, at the same time, a solid opportunity for research and experimentation for
the Polytechnic, for the companies existing on the territory and hopefully for other companies
attracted by the reclamation and experimentation activities that could begin.
In this respect it is impossible, on the other hand, to circumscribe the problem of Tarantos University Center to the mere presence of a campus isolated within the current boundaries and unable
to interfere with the urban fabric. The attempt to establish a new interaction with the town might
therefore define further levels of urban infrastructures and renewed interactions between public
and private places of the university with the possibility of introducing numerous approaches and
principles for the sustainable development of this territory.

The strategy for urban integration and the system of sustainable mobility
The case of Taranto has therefore been examined and compared with the models previously obtained.
The analysis, started from the reference framework of the Strategic View indicated for the town

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(Montalbano et Al., 2015) (Fig. 6) and from an initial survey of the spatial and functional structure
of the urban neighbourhood of reference, have allowed to highlight the considerable urban value
of the district Paolo VI within which the University Center stands and, at the same time, the high
weakness and risk factors that have determined thus far the marginalisation and degradation of
this district (Tab.4).

Figure 6: Strategic plan proposed for the mobility of the town of Taranto
(Montalbano et Al. 2015:34)

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Table 4: SWOT Analysis at urban level. (Authors: M. Positano & G. Sorino)

Strengths

Weaknesses

Opportunities

Threats

1. Tarantos City
Council in cooperation
with A.M.A.T. S.p.A.
and C.T.P. (local
public transport)
has provided a fast
line that goes from
Parco Cimino to via
Margherita and vice
versa
2. The A.M.A.T S.p.A.
in July 2008 has
presented a project
on sustainable
mobility (still not
approved) that
involves:
creation of
exchange parking
areas in Cimino
between private and
public vehicles and a
landing place for the
waterway service;
creation of an
integrated area of
interchange and
intermodality in
Croce locality (near the
active railway station);
waterway
service in support
of the tourism
development
(itinerary Mar Piccolo,
itinerary Isole
Cheradi, itinerary
Spiagge, itinerary
mari di Taranto).

1. The presence of a single active

railway station, external to the
core centre of the town. Its position
seems to have been conceived
in function of the industrial and
commercial activities, rather than
public transport
2. The ports exploit especially the
industrial and commercial potentials
of Tarantos area. At present there
are only two routes that partly
involve the internal basins (only
in the first inlet of mar Piccolo). The
latter are exclusively used for tourism
purposes to reach S.Pietro island.
3. The railway network only
covers great distances and serves
principally the town harbour.
4. The only connections
between Paolo VI district and
the Tarantos town centre are
road transport (cars and busses),
through two routes: SS7ter and
SS172.
5. Only the SS172 allows the
residents of Paolo VI district to
reach the (active) train station. The
distance factor forces to public
transport (busses) or private in order
to take advantage of the railway
service.
6. The routes of the bus lines 11, 17
and 24 are long, the frequency of
departure is above 20 minutes (at
certain times it is above 35 minutes).
The stops within the district and the
town are on average 400 metres
apart. There are no fast or direct
lines (without intermediate stops)
that connect the main urban poles
(Station New Hospital Campus
Shopping Centre).
7. The extra-urban transport is
provided by the FSE bus service, but
the routes connecting Paolo
VI district with Bari, Martina
Franca and San Giorgio Ionico
are only run during the school
period at restricted times, with few
stops.
8. The disused railway track
comes to the military port on mar
Piccolo and Tosi shipyards, currently
in disuse.

1. Reactivation of the inactive train

station adjacent to Paolo VI district.
2. Reactivation of the dead track as
urban surface rail line, with a diversion
towards San Giorgio Ionico.
3. Activation of a new intermodal
station (subway, rail, bicycle paths, Circum
Mar Piccolo road, urban streets) near the
shopping center, at the end of Via della
Liberazione road.
4. New fast bus line with final stop at
the currently inactive station parking area
Nasisi (to be reactivated) and Parco Cimino
parking area (as foreseen by the 2008
project by A.M.A.T. S.p.A.); moreover two
intermediate stops will be included.
5. New stop at the junction between
SS ter, via Giobatta Magnaghi and
via Mario Rondinelli. This location will
correspond to the final stop of both the fast
line and line 24.
6. Redesign of line 24. The new final
stops are the new stop at the junction
between SS ter, via Giobatta Magnaghi and
via Mario Rondinelli and the parking area in
Cimino. A slight diversion from the line will
regard the route to the shopping centre,
until the final stop in the parking area.
7. Redesign of the bus lines 11, 17
and 24. Two new lines will connect Paolo
VI district with the town centre. A third,
internal, line will exclusively serve Paolo VI
district.
8. The final stops of the new lines will be
respectively: Station 1 Shopping centre
and Station 2 Hospital.
9. The extra-urban bus lines FSE go
along the fastest main (existing) roads (SS
and SP). The only necessity is to cover
more time slots, valid for the whole week,
every day and not only during school time.
10. The fast line as envisaged in the City Hall
plan can be extended until the parking area
in Croce locality (by the active train station).
It would still stop in via Margherita.
11. The racecourse is served by SS 77.
It is hoped that such resources will be made
accessible also to the residents of Paolo VI
district. There is therefore the possibility to
create a new route that connects the
racecourse with the north-east part of
the district.

1. The public
service related to
urban transport
by bus lines is
not convenient
(waiting time
factor). So the
faster and direct
connections
between Paolo
VI district and
the rest of the
town occur by
road, mainly
with private
cars. The frequent
use of cars causes
traffic jams and
high level of
atmospheric
pollution.
2. Paolo
VI district
appears as an
autonomous
reality
compared to
the town centre.
3. The presence
of the Shopping
centre in the east
periphery of Paolo
VI district does
not favour small
businesses and
the development
of a competitive
market at retail
level.
4. The
racecourse
(north-east of
the district) is an
isolated structure
that would offer a
great potential not
yet exploited in
the most suitable
way.

The University Campus as a model of environmental and settlement sustainability

161

This study has highlighted some aspects of great interest for the enhancement of mobility and
infrastructural connections of Paolo VI district. In particular, these connections would allow:
a high potential of reunification of the district with the rural and environmental system of the
northern edge of Mar piccolo. Such condition would make Paolo VI strategic district, in a view
of Vast Area, for the speed of connection with the other settlements of Tarantos inland (among
which Grottaglie with its airport, Montesemola and Statte), and for its immediate connection
with the urban green belt of Taranto, from which take advantage of zero kilometre food products and through which reach new levels of environmental integration.
a new continuity with Taranto, founded on a principle of sustainable mobility (European Commission 2004: 20-49; European Commission 2013) thanks to:
the creation of a light mobility system defined by the transformation of the dismissed railway line Circum Mar Piccolo into electrified surface metro line;
requalification of the system of local road public transport of Circum Mar Piccolo, that
would definitively solve the connections on the eastern segment of the town;
creation of a system of waterways mobility that will turn the small harbour area of the
ex-shipyards Tosi into an important outflow on the Mar Piccolo and from here a connection
point to the whole urban system;
creation of a new train station with intermodal exchange (convergence of the railway, light
underground, Circum Mar Piccolo road and beginning of district walk and cycle paths with
bike sharing exchange) in contrada Torre Rossa (close to the current shopping centre), as a
new urban gate to the district.

Figure 7: SWOT Analisys at urban level. (Authors: M. Positano & G. Sorino)

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Towards an experimental district

Examining the inside of Paolo VI district the provisions of green areas and facilities have been
analysed as well as the settlement skeleton (arterial roads and axis) and the nature of settlement
fabric (residential types, settlement distribution, open or closed shape of the fabrics) (Caniggia &
Maffei 1979; Rossi 1966; Gibelli 2003:61-62).
A scarce organisation of the settlement fabric has been observed, along with the almost total
lack of diffusion of base services of the district; serious problems of formal articulation and spatial
dispersion of the fabric; a significant presence of urban dispersion areas (degraded green areas or
simple waste lands), as derived from the coarse zoning policy from the 70s.
Moreover, the presence on the edge of the district of a large shopping centre has prevented in
time the development of retail trade, eliminating that network of small businesses that actually
shape a substantial part of the residential fabric of a town. Such features, associated with the
substantial isolation of the district with respect to the remaining part of the town and the characterisation of the buildings fabric founded on an accentuated distance between the bodies and
a elevated development in height determines the substantial absence of an urban continuum,
transforming the Paolo VI district in an unpleasant and socially fragile dormitory district (Fig. 8
and Tab. 5).

Figure 8: SWOT Analisys of Paolo VI district - Taranto. (Author: M. Positano)

The University Campus as a model of environmental and settlement sustainability

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Table 5: SWOT Analisys of Paolo VI district - Taranto. (Author: M. Positano)

Strenghts

Weaknesses

Opportunities

Threats

1. Paolo VI district rises on

the junction of territorial
connection roads that
reach Grottaglie, Statte,
Vocchiaro and Montemesola.

1. The routes of the bus lines

11, 17 and 24 are long, the
frequency of the departures
is above 20 minutes (at
some times even above
35 minutes). The stops
within the district and the
town are on average 400
metres apart. There are
no direct and fast lines
(without intermediate stops)
connecting the urban poles
(Station New Hospital
Campus Shopping centre,
...)
2. There are not very
functional cycle paths.
3. Within the district there
are no:
Colleges for offsite
students;
Leisure areas
4. The private urban voids
cover an area widely higher
than the buildings.
5. The percentage of well
managed private green areas
is higher than the the public
one.
6. Within the buildings fabric
an accentuated distance
between the constructions
can be noted, as well as
an elevated development
in height of the prevailing
building type. The absence
of a urban continuum is
incremented by the presence
of imposing floating building
volumes in empty space and
emphasized by the presence
of empty spaces either not yet
built or waste lands.

1. Redesign of public
transport lines
2. Creation of activities
and leisure facilities in the
proximity of the shopping
centre
3. Retrieval of the
environmental park in the
vicinity of Paolo VI district
4. Retrieval and
reconversion of the PIP
area
5. Requalification of the
waste lands within the
district
6. Redesign of the cycle
paths and routes
7. Promotion of
agriculture of proximity
systems
8. Thickening of the
settlement fabric to solve
the urban discontinuities
9. Creation of an
infrastructural axis
for sport and leisure
activities in green.

1. The zoning that affected

the district has highlighted
large waste lands within
the settlement fabric. Such
areas, even if conceived
to provide facilities for the
district, collective spaces and
public green areas, are still
abandoned. From this it
can be observed how the
public open spaces are in
all respects urban voids
rather than spaces of
relation.
2. The presence of the
shopping centre does
not favour retail trade,
eliminating the network of
small businesses that indeed
composes a substantial part
of the residential fabric.
3. Paolo VI district is, indeed, a
dormitory district.

These conditions reveal, on the other hand, interesting opportunities for urban development that
might exploit the presence of the university, the presence of services at urban scale (municipal
offices, hospital, sport centres), the social mixture and new cooperative forms to promote the
transformation of the district. In this respect the enhancement, the extension and the ramification of the University Center within the context of Paolo VI would undoubtedly determine strategic relapses for the rebirth of the district. (Tab. 6)

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Table 6: Actions to support sustainable Paolo VI district planning, design and development
Category

Plan Actions

Street Infrastructure

1. Creation of a new train station with intermodal exchange (convergence of railway,

light underground, Circum Mar Piccolo road and beginning of district walk and cycle paths with
bike sharing exchange) in contrada Torre Rossa (by the current shopping centre), as a new urban
gate to the district.
2. Redesign of the bus lines. Two new lines can connect Paolo VI district to the town centre
and a third one, internal, serving exclusively the district with the last stop at the Hospital and
Shopping Centre. The latter would include a series of intermediate stops, 300m away on average.
3. Redesign of the cycle paths and routes with rest areas for bike sharing.

Urban design

4. Requalification of waste lands internal to the district (creation of equipped parks and
urban gardens) and those in the proximity of the University Pole (greenhouses and ecogardens with nursery of herbal species for the preservation of biodiversity).
5. Promotion of agriculture of proximity systems that would favour the management
and maintenance of agricultural areas and develop a commercial network of local zero
kilometres product as an alternative market that could flank, without any competition, the
shopping centre.
6. Retrieval of the environmental system adjacent to Paolo VI district, and facing the Shopping
Centre (characterised by the presence of farm lands, archaeological areas and the environmental
system of a river) as equipped environmental park.
7. Retrieval and reconversion of the dismissed PIP area for the realisation of laboratories,
areas for experimentation and business incubators for the university.
8. Thickening of the settlement fabric(residential and specialist) also with buildings
dedicated to the students hospitality (student houses, student centre,..); with the use of low
density and finegrain housing types (e.g. terraced) to solve the urban discontinuities, reshape the
urban roads (main roads, secondary and virtual axes), reduce the size of the open spaces,
9. The racecourse is served by SS 77. It is desirable that this resource is made accessible also
to the residents of Paolo VI district. Hence the necessity to create a new road system that
connects the racecourse with the new sport centre (CUS) creating an infrastructural
axis for sport and leisure activities in the green.

Building design

10. Transformation of the current campus (branch of the Polytechnic of Bari) and
creation of a GREEN CAMPUS.
11. Creation, in the waste lands surrounding the current campus, of structures with
low environmental and energetic impact formally identitarian as:
Colleges and student residences for offsite university students and visiting
professors;
An equipped park with refreshment points;
A sport centre;
A multifunctional cultural centre;
12. Promotion and creation of leisure activities and structures (cinema, disco pub,...)
in the proximity of the shopping centre. The choice of this kind of attractions arises from
the necessity of reactivating the area of the shopping centre also during evening and night
hours.

The university campus as experimental laboratory

From the context analysis previously indicated it is possible to define a strategy of design intervention that reviews and reinforce the collocation of the new Tarantos University Center so to
achieve strategic objectives on different scale:
on district scale, for what regards the social and spatial regeneration of Paolo VI, its distributive
and energetic efficiency, and its relationship with the town;
on metropolitan scale, for what concerns the service provided to the extended territory and
the rational employment of the connections and the opportunities offered for the business
development of the surrounding local contexts;

The University Campus as a model of environmental and settlement sustainability

165

 on national and international scale for the experimentations on the urban, environmental and
energetic processes it could favour.
These aspects define the need of a project that would collocate didactic and research activities in
the district, constantly inspiring to:
the recognizability, the functionality and the energetic efficiency of the single buildings;
the reduction of the inefficiencies connected to the students and teachers mobility and the
dispersion of the services;
the functioning of the district according to a highly integrated logic of facilities and mobility
systems to ensure the maximum accessibility from the outside [from the international accesses (as Grottaglie airport) and national ones (as the Bari-Taranto highway and the railway)] but
also the maximum dynamicity, logicity and ease for moving people, as well as the sustainability of internal mobility;
creation of an open university settlement, permeated and animated by public and private
spaces, that would use the education and cultural diffusion functions of the university as instrument for the benefit of the town and to favour the integration in the relational life.
In the pole will have to be collocated research laboratories and training activities, but also activities connected to innovation, technological transfer towards the small and middle businesses
and territorial services, making it a place of contiguity and permeation between industrial and
academic research, social and student aggregation and, then, the driver for urban regeneration.
Within such context, the architectonic quality, the sustainability (containment of the consumption of resources, energy saving, use of renewable energy, employment of eco-compatible materials, reduced environmental impact, reduced operational and maintenance costs should surely
become primary strategic objectives) and the technologic innovation of the buildings, in order to
return the image of high level architectonic and technological culture, would become important
strategic objectives. In this respect the actions aimed at the technological enhancement of the
new venue will have to take into account specific aspects and impacts that could be summarised
as follows.

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Table 7: Sustainability aspects and impacts, significance and potential management responses in
relation to the maintenance of campus grounds (Clayton 2013:32)
ACTIVITY

ASPECT

IMPACT

SIGNIFICANCE

MANAGEMENT

Water use

Resource depletion

Depends on climate and

geography will be of
major significance for
some sites

Use recycled water and/

or captured rainwater
Select low water
requirement plants

Fuel use

Resource depletion
GHG emissions
Air pollution

Depends on extent
of mechanised
maintenance, impacts
likely to be moderate

Substitute biofuels for

fossil fuels Purchase fuelefficient equipment
Reduce use of
mechanical equipment
Improve equipment
maintenance, training

Fertiliser use

Replace artificial
Resource depletion
Impacts generally
Damage to soil structure moderate, but may be fertilisers with organic
Runoff / eutrophication more significant where products
a university is located
near sensitive natural
ecosystems

Herbicide / pesticide use Resource depletion

Effects on non-target
species
Runoff / water pollution
Spillage
Grounds
maintenance

Generally as above;
however the impact of
a spill may represent a
major risk

Reduce chemical use

Substitute non-persistent
for persistent chemicals
Improve chemical safety
storage, handling,
training

Biodiversity and
ecosystem services

Positive or negative
Biodiversity and
ecosystem services may impacts range from
be maintained, enhancedrelatively low to high,
or reduced, depending depending on location
on maintenance regime (urbanised vs. natural
ecosystems)

Specify local native

species
Preserve significant
vegetation during
building works Avoid
monocultures
Avoid environmental
weeds

Soil disturbance

Erosion
Compaction
Dust

Apply mulch
Use no-till methods

Generally low, but may

be moderate, again
depending on location

Garden organics (green Reduction of landfill

waste)
space GHG emissions
Impacts of transport to
landfill
Land and aquifer
contamination
Production / use of
compost

Process garden organics

Moderate negative
to generate mulch and
impacts from landfill,
but these will increase as compost
landfill space runs out in
many regions
Moderate positive
impact of composting

Campus amenity

Impact on work/
study environment,
productivity, quality of
life

Moderate positive
impacts

Local employment

Impact on local economy Range from low

to relatively high,
depending on location

Continually improve
maintenance standards,
training
Hire grounds staff from
local area

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167

Conclusions
Such study allows to highlight how, through specific typologies of actions, it is possible to produce, within the processes of urban transformation, effects that aid the regeneration of the parts
of the town in physical and social decay..
The university campuses, intended as places of research and cultural training, to that effect, thanks
also to the numerous social facilities (residential, sport, cultural, leisure,...) that rotate around
them, affect directly the enhancement of the urban spaces, determining, at times, a turnaround
of the role and the hierarchies of the spaces and the urban and extra-urban connections. The
inclusion of these places in specific urban contexts becomes, therefore, one of the most effective
tools within the requalification policies of the urban areas of the contemporary town.
The aspects of experimentation and technologic innovation that may result from these places
should not be neglected. These settlements, due to their multi-faced functions, can become places of applied research where experiment innovative constructive solutions from the technical
and technological point of view. In this sense the case of Taranto poses itself as a significant opportunity for the start of such experimentation.

Acknowledgements
The present work is an integral part of a larger research regarding the campuses and the processes of urban regeneration, conducted by the authors for several years through publications
and degree thesis. The section on the development of Tarantos University Centre takes its cue
from the elaboration of the Strategic Plan of the Polytechnic of Bari in 2014 concerning possible
investments for the rebirth of the territory of Taranto and some preliminary studies conducted by
professors Barbara Scozzi and Pierpaolo Pontrandolfo (Scozzi & Pontrandolfo 2013).

References
BARATTA A., CARLINI S., 2012. Alloggi e residenze per studenti universitari. Lesperienza del programma 338/200, TECHNE, aprile, 262-270
BOLOGNA R., 2009. Costruire in laterizio, n. 130, 2-3
CANIGGIA, A., 1981. Strutture dello spazio antropico. Studi e note. Alinea, Firenze
CANIGGIA, G., MAFFEI, GL., 1979. Composizione architettonica e Tipologia Edilizia I. Lettura delledilizia di Base. Marsilio, Venezia, 122-165
CHIARANTONI, C., 2005. La residenza universitaria. La storia e le funzioni. Analisi critica della situazione italiana. Il ruolo
del progetto tra norma e tecnologia nella definizione delle nuove tendenze. PhD Thesis, Politecnico di Bari.
CHIARANTONI C., 2008. La residenza temporanea per studenti. Atlante italiano. Alinea, Firenze
CLAYTON, J. (Ed), 2013. Greening University Toolkit. Transforming universities into green and sustainable campuses.
United Nations Environment Programme (UNEP)
COPPOLA PIGNATELLI, P.,1995. Progetti per la nuova sede della Terza Universit di Roma, Industria delle costruzioni, n.
289-290 pag. 68-75
EUROPEAN COMMISSION Environment Directorate-General, 2004. Reclaiming city streets for people. Chaos or quality
of life?. Office for Official Publications of the European Communities, Luxembourg
EUROPEAN COMMISSION, 2014. EU Energy, Transport and GHG emissions trends to 2050 Reference Scenario 2013.
Publications Office of the European Union, Luxembourg
FALASCA, C C., CARBONARI, M., 1987. Residenza e fenomenologia urbana. Alinea, Firenze
GIBELLI, MG., 2003. Il Paesaggio delle frange urbane. Volume 19 di Quaderni del piano territoriale, Franco Angeli.
MACCHIA M., MUDONI M., PEDONE V., 2012. Il campus come parte di citt: nuovi scenari di riqualificazione e sviluppo

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sociale. Degree Thesis, Politecnico di Bari.

MONTALBANO, C., GUSTAMACCHIA, L., TORRE, C., NEGLIA, G.A., CHIARANTONI, C., 2015. The Gardens of Taranto.
Peripato Garden: The gate to the sea as tool for internal and urban regeneration Feasibility Study. Polytechnic
University of Bari
ROSSI, A., 1966 (2006). Larchitettura della citt. Citt Studi Edizioni, Milano.
SCOZZI, B., PORTLANDOLFO, P., 2013. Idea progettuale per Un Green Campus a Taranto sede di Ingegneria dello Sviluppo Sostenibile. Report, Politecnico di Bari, 29 Aprile
TAFURI, M., DAL CO, F., 1979. Architettura Contemporanea. Vol I, Electa, Milano, 32-49.

The University Campus as a model of environmental and settlement sustainability

169

Note
[1] In America, in particular, the term campus denotes integrated structures in a single organisational system of didactic,
residential and service functions, including almost all the student residences within the campus. The morphologic
setting is mostly structured into monofunctional buildings (residences, gyms, library) concieved for convential
typological models and low density building structures immersed in the green, with the dislocation of the collective
services in barycentric areas at the service of several residential structures. This is due to the specific mentality of the
colony, so the American towns, being detached from any connection with history rose as an implant able to maximize
the efficiency of the building zones with the possibility to destine great areas to specific functions (zoning), as the
university (Tafuri & Dal Co, 1979: 32-49).
[2] For the promotion of these concepts several university networks have been instituted, as for example Universities
Leaders for a Sustainable Future (ULSF) International Sustainable Campus Network (ISCN) and the Association for the
Advancement of Sustainability in Higher Education (AASHE).
[3] Draft law n. 1733 converting into Law order from DL 5 January 2015, n. 1, concerning Urgent provisions for the
conduct of businesses of national strategic interest in crisis and the development of the town and the area of Taranto.
By Doctor Vera Corbelli Extraordinary Commissioner for the urgent operations of reclaiming, environmentalisation
and requalification of Taranto.
[4] The surface concerned by the interventions within the National reclaiming plan and environmental restoration,
approved with the DPCM issued 468/2001 is divided as follows: 22.0 km2 (Salina Grande); around 17 Km of coastal
development. In the Senate of the Republic hearing: Doctor Vera Corbelli, Tarantos area, state of implementation of
the scenario/route actions to be carried out, ROME 19 January 2015.
[5] D.L. 129/2012 converted from the Law 171/2012 art.5 understanding concluded on 26 July 2012. The 65 ME of resources
transfered to the Special Accountability derive from the funds: CIPE (110 ME), MATTM (28 ME), network and mobility
PON (14 ME), research and competition PON (30 ME), c.d. Kyoto Fund (70 ME).

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International Conference | Bari - Lecce, Italy

Session III

BUILDING RENOVATION, SUSTAINABILITY AND

URBAN REGENERATION
Rosa Maria Vitrano1
1 Department of Architecture, University of Palermo, ITALY, [email protected]

Abstract
The paper investigates issues related to the principles of eco-sustainability and criteria of design choice to be made in respect to the characteristics of the interventions. It proposes cases
of recovery and re-use sustainable in Sicily, whose choices of action were made in respect of
the environment and local traditions. General directives: reduction of the energy consumption; use of recycled and recyclable materials;improvement of the thermo/igrometric. The
programming is based not only on the control of the performance, but on an idea of global
quality of the operations. The correspondence between the needs and the requirements of
the organism and the norms that protect the user, its a necessary condition to complete a
renovation project and achieving the objectives

Keywords
renovation, building renewal, sustainable, regeneration, rehabilitation

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Introduction - The case of Cianciana in Province of Agrigento - Sicily

Cianciana is a municipality in the province of Agrigento in Sicily, it is rich in history and natural
beauty. This picturesque town is a special case of urban regeneration and environmental sustainability. The history of Cianciana is linked to the presence of sulfur mines and the river Platani,
which over time have played an important role for the whole community (fig.1) (Sanzeri, 2007).
The City of Cianciana seemed destined to be abandoned for the closure of the mine but thanks
to a virtuous strategy to promote tourism in the area ciancianese since 2002 the urban center is
undergoing a major tourist flow: A case that is attracting the attention of publications over the
world. A small town inland back to life thanks to foreigners: Cianciana, 3500 souls to 450 meters
above the sea, in the province of Agrigento (table 1). A municipality that seemed destined to
disappear gradually after the closure of the mines (when the inhabitants were over 10 thousand)
and instead returned to growth. The empty houses were purchased by the British, Danish, French,
Polish, American, Russian. But also Swedish, Finnish, and Norwegian. And today foreigners make
up 10 percent of the population (...). Cianciana has become an attractive international thanks to
the natural and cultural resources in the area but also for the high quality of the environment. To
attract foreigners are the rhythms of life (...)

Figure 1: Municipality of Cianciana (Agrigento)

Table 1: Historical table (P.Sanzeri)

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Table 2: Project of urban redevelopment

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Cianciana is a small Switzerland: the waste has reached 68 percent. The streets are clean and without holes and the water is always present (...). (A. Alfano)
So Cianciana is a municipality that does not surrender to the crisis but on the contrary, today in
partnership with the University, is developing an urban regeneration project aims to promote the
area and the historical, cultural and landscape that possesses

1. Attractiveness of the landscape and nature of the City of Cianciana

The attractiveness of the landscape and nature City of Cianciana are input design of sustainable
urban regeneration. Cianciana is part of the Sicani Mountains and is located in the valley of Platani. The limits of the territory consist of the Walloon Cini, the Walloon Intronata, Millaga and
Knights and south from the river Platani. The territory of Cianciana, extended 3,700 hectares, comprises former fiefdoms Cianciana, Feudotto and Bissna.
Land and subsoil - The territory is a succession of hills and valleys from which rise: Rosskopf (756
m), Pizzo Firraria (656 m) and Monte Chiappara (703 m). Monte Cavallo are some caves of great
archaeological and naturalistic interest: the Horse Cave, the Cave of the Mayor, the Grotto and the
Cave Zubbio freezes, in which cavity, hundreds of meters long, it has a much lower temperature
than the outside. Very interesting from the geological point of view, natural and archaeological
landscapes of these caves have underground very interesting: the percolation of water inside the
caves, over time, has formed stalactites; in the bottom of Horse Cave it is also a pond deep, about
six meters, in whose waters have been found remains of ancient civilizations.
Rivers and springs - In the territory of Cianciana flows the river Platani that the ancestors called
Halykos to the saltiness of the water. The river forms the border south of the town.

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Table 3: The ecological area particular of the green wall in the prospect - containing emissions and
use of alternative energy in buildings

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Figure 2: Municipality of Cianciana - project areas

Table 4: Technologies for building renovation

Long ago the ancient peoples it went back with their boats to refuel salt and fod. Platani grows on
the slopes of a particular type of natural flora of interest medicine and food, it was known in the
past by shepherds and farmers who made heavy use. Along the river you can find the presence of
several nesting species, including: the wagtail, the moorhen and woodcock.
In the municipal area there are also small springs that were once used by the population for domestic use. About 700 meters away from the town is the source dellAlbano, 2 km of the Pile,
behind the Mother Church to St. Anthony. 4 km from the town, in the feud of Bissana are the
source of the Sick and the Fountain of the Moor. These small sources, close to the town, formed
the reference point for the supply of Ciancianesi. Only in 1910, it is realized the aqueduct, which is
fed by the waters of the springs Voltano.
Soil and vegetation typical of the Mediterranean
The soil is of Pliocene origin: in outcroppings are yellow sand, tufa, blue clay; in the basement
there are deposits of rock salt and sulfur *.
The vegetation has a variety of crops: vineyards, olive groves, cereals, almond groves, orchards,
vegetables and pastures. The wooded area covers about a fifth of the entire municipality: the larger part was implanted in the Monte Cavallo, the remainder in the district Pintaloro. It is plantations
consist of a mixed deciduous conifers: eucalyptus, pine and cypress trees.
The slopes of the Rosskopf are rich in vegetation typical of the Mediterranean: elderberry, oleander, reed, mastic, palma nana, olive, locust, sage, thyme, rosemary and asparagus.

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2. Dynamics of technological project and methodology of intervention

The redevelopment of Cianciana is part of a project intervention complex and diversified, which
will characterize the values of the existing environment.
The main purpose of the research project was to support the Municipality of Cianciana with the
drafting of guidelines concerning the applicable technologies in the urban context (fig.2); achieve
the development and / or modification of municipal building regulations in order to make viable
technologies, materials and criteria, aimed at saving energy and enhancing sustainable. The redevelopment of the buildings has been turned to experimentation with materials and energy-efficient construction techniques (table 3).

Table 5: Technological analysis - state of conservation of the buildings - calculation of energy dispersion in buildings damaged, calculation of energy requirements in buildings - technologies for
building restoration

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The project intervention has been designed as a tool aimed at:

Redevelopment / regeneration of the built environment;
Enhancement of cultural, environmental and naturalistic;
Promotion of a sense of belonging on the part of the community, considering the social expectations through participatory planning processes.
The proposed research project has been the result of a participatory public decision aimed at
achieving greater coherence between the needs of residents and the works of environmental
transformation.

3. Towards the smart city - use of vegetation for energy retrofits of buildings
and land use
The regeneration project concerns the transformation of urban areas and the recovery of three
buildings, which are located along the SS118 in the southern outskirts of Corleone Agrigentan,
which branches off the historic urban core.
In particular those concerning:
1. the ecological renovation of the buildings (fig.3). Containing emissions and use of alternative
energy in buildings. The refurbishing work includes the development system of the buildings
in terms of energy, through the use of vertical gardens on prospectuses of the buildings, the
use of photovoltaic on the roofs and micro wind turbines in the open areas intended for agricultural green / urban gardens;
2. the upgrading of the municipal gardens: green trails and paved paths for parking, an information point, a ticket office and service environments for users and for maintenance personnel of
the open spaces, an outdoor theater that looks out on an extraordinary landscape.

Table 7: The ecological area - an urban district with low energy consumption,
draft urban regeneration and environmental.

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3. conversion green area in urban allotments - parcelling of the green area for agricultural land
subsidiary with a thistle and decumanus which incorporates the urban texture of Cianciana.
These two great boulevards will shape clearly defined area: the people, according to precise
rules, they will have the opportunity to grow their own products for private use and can expose them for sale at the ecological space.
4. processing of extra urban area - now abandoned - to be used as RV parking, to accommodate
the many visitors from all over the world.
5. the reclamation of an urban area of small dimensions, which in the current state is in strong
state of building and environmental degradation; the Municipality, attentive to the decorum
and the urban quality, decided to intervene in this area with the design of plots of urban garden for the local community.
The restoration project aims to create new spaces for todays meeting and socializing in which
the rehabilitated areas become the focal points of the dialogue between ciancianesi and foreign
nationals. All this in a logic of green city, where the man rediscovers the values of
the land and
healthy life.
Retrofit of buildings - The retrofit includes a set of operations aimed at improving the performance of individual buildings and aims to its substantial improvement in terms of environmental
impact (table 4).
The ultimate goal is to transform the buildings with a system of greening / renaturation horizontally and vertically to reduce emissions into the environment.
The technologies of greening / renaturation of the buildings will allow to considerably decrease
the use of cooling systems for electrical pollutants. It is indeed an urgent need to comply with the
directives that the European Community indicates for containment. This greening / renaturation
of buildings is a system to integrate existing with the new paying attention to the future.
For renaturation of the buildings must be integrated other measures to achieve the ultimate goal
of sustainable redevelopment: the use of renewable energy, the use of environmentally friendly
materials and techniques for building insulation and therefore to improve the thermal comfort.
The measures provided for retrofitting the buildings were made system after thorough analysis
of the urban fabric, the study of pre-existing natural, as well as aspects of climate acting on the
buildings.
The retrofitting is also linked to the analysis of the intrinsic characteristics of the buildings, regarding their state of physical obsolescence, performance and installations (table 5).
The forecast of the specific actions of retrofitting, to improve the system performance of buildings, including the construction and use of the following systems of environmental conversion:
a. use of vertical and insulation in the external walls (table 6)
b.
c. the replacement of windows - with new thermal break windows or the application of the double glazing.
d. the modernization of the plant - it is recommended that the electrical, plumbing and air conditioning. The use of renewable sources - use the sun to produce electricity with photovoltaic
panels or hot water with solar thermal (to be inserted in the roof or in front), use the wind by
installing wind micropale inserted in the garden (table 7) .

Conclusions
The territory of Cianciana implement all its resources, natural, cultural and landscape. In the draft
environmental regeneration is experienced using housing green, what system of new characterization of the urban image. In addition to the redevelopment of the buildings they have been

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designed new urban centers that will be the development of connectors for the expansion of
tourism. These planned actions are the active instruments to define the possible prospects to
Cianciana can apply for green city of the Province of Agrigento, exploring scenarios still little practiced in this context and in the short and medium term priority will be attributed character. The
regeneration project follows the aim of reducing emissions and the use of alternative energy
in buildings, whereas 33% of CO2 emissions in the environment resulting from the construction
sector.
The regeneration project involved the integration of environmental public spaces in green agriculture, urban gardening, social services, tourism services and private residences. It also makes a
district carbon negative able to produce more renewable energy than many consumed through
the use of wind and geothermal sources.
In the project for Cianciana the theme was therefore the environmental regeneration, which has
combined urban solutions of architectural quality with operations environmentally sustainable.

Notes
* Image taken from P. Sanzeri, St. Anthony of Cianciana. Story of a newly founded cities, Graphics Geraci, 2009, p. 158.
** Cianciana has become famous for its sulfur extracted from the nineteenth century. Sulfur extracted in the territory of
Cianciana has a special feature this unique, has a hexagonal crystal structure. The high costs, because of the depth at
which the ore is in the territory ciancianese, have meant that mining was stopped in the sixties. You can find the sulfur
crystals Cianciana in major natural history museums in the world: London, Bern, Milan and Washington.

References
Anzalone R.,Esperienze di territorio, Cianciana 80-81,Ila Palma, Palermo 1982.
Cannatella F.,Cianciana onomstica, volumi 1-2, Grafiche Geraci, Santo Stefano Quisquina 2008.
Cottino P.,La citt imprevista: il dissenso nelluso dello spazio urbano, Eleuthera 2003.
DAngelo P, Estetica della natura. Bellezza naturale, paesaggio, arte ambientale, Laterza, Roma 2001.
Griffo P., Akragas, Legambiente, Agrigento 2005
De Miro Ernesto,La fondazione di Agrigento e lellenizzazione del territorio fra il Salso e il Platani, in Kokalos VIII,
Palermo 1962.
Di Giovanni G.,La Circoscrizione territoriale di Cianciana e dei Comuni finitimi, Montes, Agrigento 1877.
Fazello T.,Della Storia di Sicilia, Tipografia Giuseppe Assenzio, Palermo 1817.
Norberg - Schulz C., Genius Loci, Paesaggio Ambiente Architettura, Electa Editrice, Venezia, 1979.
Sanzeri P., SantAntonino di Cianciana, storia di una Citt di nuova fondazione, Grafiche Geraci, Santo Stefano Quisquina 2009.
Vitrano R.M., Definire i nodi dellidentit per la rigenerazione del paesaggio Mediterraneo: un futuro governabile per
Agrigento e la Valle dei Templi, in CITTAM, Luciano Editore, Napoli 2008.
Vitrano RM . Habitat Tecnologia Sviluppo - Sviluppo sostenibile dellambiente costruito e valorizzazione delle risorse
locali, vol. 1, Luciano Editore, Napoli 2009.
Vitrano R.M., Sistemi verdi. Linee Guida per un progetto tecnologico appropriato, Vol.1 in Collana Scientifica Progetto
Tecnologia Ambiente di Alinea Ed., Firenze 2014.

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International Conference | Bari - Lecce, Italy

Session III

SUSTAINABILITY ASSESSMENT AND BUILDING

PERFORMANCE ON CONSTRUCTION PRACTICES IN
THE UAE
Nadia Al Badri1
1 Interiors and Architecture Department, University of Sharjah, UAE, [email protected]

Abstract
Over last decade, rapid growth in economic and population accompanied with depletion of
the energy resources lead to serious impacts on environment and humanity. This development coupled with active constructions, which in some cases ignore the impact on the environment. Therefore, principle of sustainability has been required to reduce this negative
impact on the environment and the humanity. In developing countries, it seems that there is
a huge gap between current construction practices and sustainable principle, which needs
more attention to clarify and define the problems to find suitable solutions before it comes
more difficult and expensive. The study aims to evaluate and assess the current standing in
terms of building sustainability and performance through collecting data on construction
practices in UAE. A survey have been designed in order to collect data from experts who are
involved in constructions projects such as architects, civil engineers, mechanical engineers,
electrical and interior designers. A questionnaire has been designed to demonstrate strong
and feeble points to clarify the current practices in terms of sustainability and performance
in constructions. The result of the data lead to highlight the significant important of sustainability and buildings performance issues in United Arab Emirates to recognize the problems,
reduce the obstacles, and try to stimulated solutions and alternatives to improve the current
situation, furthermore to be sure that sustainability implementation will be achieved in future
.

Keywords

Sustainability, building performance, construction practices, survey, and sustainable

implementation

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1. Introduction
Sustainability has been defined as The needs of present without compromising the ability of
future generation to meet their own needs. In 1992, these principles were backdrop in Rio Earth
Summit, the major concern in economic and environmental issues was the sustainability in addition to other topics such as poverty, peace. These classic archives are very important to recognize
the sustainability development in the world. (Blackburn 2007).The rapid growth in economic and
population associated with the sprawl of the cities and the affluence of the industrialization to
distributed several kind of pollution such as air pollutions, water pollutions, in addition to the
changing in climate, health problems, sick cities, depletion of the resources, natural hazardous.
Early twentieth century the deterioration of urban condition need to draw attention globally, the
professions of city planning, architects, landscape designers, are worried about the expansion
of the industrial cities. (Wheeler & Beatley 2009).The Kyoto Protocol adopted in 1997 and implemented in on February 2005, which address the global warming and stabilization of greenhouse
gases as major issues by UNFCCC (United Nation Framework Convention on Climate Change). A
consequence of these sustainability developments, in November 2009 187 states have signed and
ratified the protocol including the United Arab Emirates which was ratify the protocol on 26 January 2005. (Salama & Hana 2010).The unique location associated with natural resource such as Oil,
rich natural gas, fishing, pearling to create significant importance for U.A.E. since the discover of
oil which exploited in 1960, U.A.E became an open economy with high per capita income.
It has transfer form an impoverish region of small desert to a modern state with high level of lifestyle. Further U.A.E becomes as centre of business, trading, banking, financial services, and tourism for the Gulf countries and for the entire world. (Carter 2006).In Europe, over 40% of energy
consumption has related to building industry, 50% of natural resources have used as a materials
related to constructions sector, 50% of national waste produced by building field. In fact, these
percentages are even higher in U.A.E in way that it should be attract more attention from the
government. In order to align the construction sector with sustainability development approach,
the major attention should direct towards establishing a new regulation in addition to sustainable guideline (AboulNaga & Elshehtawy 2001). According Asif (2015) GCC countries facing many
challenges in terms of energy and environment, the GCC countries considered as the highest in
the world in terms of energy consumptions. The average figure of GCC is more than seven times
than global average, meanwhile Qatar, Kuwait and the United Arab Emirates are amongst the top
six countries in world in terms of per capita Carbon dioxide (CO2) emission.

2. Aim of the study:

The study aims to examining the current practices of buildings constructions in United Arab
Emirates and their impact on the environment, the study will investigate the level of sustainable
implementation in U.A.E especially in Dubai, Abu Dhabi, Sharjah, and Ajman, which witnessed a
huge constructions projects. This data will help to assess the buildings performance in U.A.E and
highlighted the main obstacles to achieve sustainability in constructions field. The main motivation of the study is about U.A.E is a developing country that represents a motivating case study
because of the rapid growth in economic and the booming in construction projects.

3. Methodology
In order to evaluate the sustainability practices in U.A.E, a survey structured to look in the following key area:

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 The level of sustainable awareness and implementation in current practices in constructions

sectors.
The challenges that facing the sustainability achievement in construction industry.
The questionnaire distributed to a 40 random samples of practitioners including, architects, engineers, projects managers, health and safety environment, finance and other professionals. A total
of 25 response were received which presents around 63% while the rest have been neglected. In
fact 4 of the response is uncompleted which could not be under consideration .However the 21
responds were not satisfied to the researcher but it were enough to provide outline for investigate the data. Consequently the research should depend on the reality not on the assumption.
The survey contains three major sections, the first one investigated information about the participants while the second sector including questions that addressing the level of the involvement
in sustainability practices and the sustainable awareness of the practitioners. The third section
highlighted the major challenges that facing the sustainability achievement
3.1 Participant profile
This part of the survey focuses on the gender, the job classification, company type, in addition
to, period time and the location of the experiences in U.A.E in order to comparing between levels
of sustainability implementation from emirate to another. Meanwhile the participants nationality and companys profile as (international or local) can compare the variety of the sustainability
knowledge.
3.2 Current practices:
This section designed to achieve full concept about the current practices of construction in order
address the awareness of the participants and the level of sustainability update in the context of
United Arab Emirates. It contains 20 questions with multiple choices ranging from always (which
mean maximum score) till I dont know (which mean lack of awareness)
The table below shows the scoring system from 5- 1 to give the participant answers levels of score
for example choosing of always score 5 which is the maximum for measuring the sustainability levels while dont know scored 0 which means breakdown in understanding and knowledge
about sustainability.
Table 1 explain the scoring system
Always

Almost Always

Sometimes

Almost Never

Never

Dont know

In order to evaluate the Sustainability achievement The questions covered the following key area:
The integrated design
The flexibility in design
Passive design
The use of renewable energy,
The building lifespan,
The used of local materials
The awareness and knowledge of sustainability
3.3 Challenges
The last section of the survey highlighted the challenges which facing the sustainability in U.A.E
context, it contains 10 statements with multiple choices ranging from (strongly agree, moderate
agree, undecided, moderately disagree, strongly disagree and dont know).The choices of strongly agree scored 5 while dont know scored 0 which measuring the misunderstanding and lack of

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awareness about the questionnaire

To identify the challenges this section covered the following aspects:
The lack of knowledge about sustainability principles
The comparison between performance and the rapid benefit of the building.
The lack of professionals and skilled workers.
The lack of education in the public sector and the academic institutions.
Absents of recycling and reused principles.
When the results are classified and then it analysed according to the main aspects which are the
professional background and experiences, the current practices according to building efficiency,
design integration and sustainability awareness of staff and public. The challenges analysed in
term of building performance and lifestyle .Once these analysis complete, obstacles becomes
very clear and increase the level of ability to achieve solutions.

4. Results and Discussion

As mentioned before, 21 responses considered which represents 52% of total number surveys
distribution. Numbers of respondents are not satisfying but the percentage provide outline for
the main purpose of the study.
4.1 Participant profile:
The result from this section including the number of male and female, as shown in Figure 1 that
the 86% of the participants from male while the rest from female. Its very clear that the sector of
construction running by the male decisions.

Figure 1 shows the percentage of male and female of the participant profile and shows the majority
of experiences location
Most of participants are architects 62% while the less one is the health and safety environment
which presents 4% from the total as shown in Figure 2 Its absolutely clear that the professionals
who support the environmental issues are very limited in spite of the architects have big part of
the responsibility to achieved sustainability in design phase but it is vitally important to linked
and integrated between all the staff of the construction projects.

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Participants of sustainability in design phase

Figure 2 shows the domination of the architects for the participants.

The information about experiences gives indication about the period of time that participant
spend it in construction sector in U.A.E, as clear from the Figure 3 that most participant have more
than 10 years in U.A.E which represents 53% of the total. While the range from 2-5 years have the
less percentage 14%, it is very clear the last 10 years witnessed the rapid growth in construction,
which attracted many people to have their opportunity to have jobs in U.A.E while the financial
crises in 2008 affect the rate of constructions, which reduce the number of labour. This will have
disadvantages that the level of experience construction sector has been improved during the
last 10 years. In the other hand the mix of nationality have advantage and disadvantage because
it could be strong point as a background experiences and feeble point because sometime this
background not matching the U.A.E climate and culture. As shown in Figure 4 that the major nationality in construction field is the Middle east 38% from the total, which including Iraq, Egypt,
Lebanon, Syria, Jordan, and others.
Experience construction sector

Figure 3 shows the experiences period in U.A.E

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Nationality of construction
section in UA.E

Figure 4 shows the mix of nationality in construction sector in U.A.E

In fact, this variety in nationality provide the construction sector with different background this
becomes as disadvantage especially in terms of design rhythm which sometimes directed away
from the local climate and the culture value .while it becomes an advantage when it provide the
city with unique design such as the tallest building in the world (Burj khalifa) or (Burj Al Arab)
which is the most luxury hotel in the world ,these icon buildings attracted the tourism and placed
U.A.E as one of the most important architectural city in the world. As shows in Figure 5 its clear
that majority of experiences are located in Dubai 57% and then Abu Dhabi 29% , Ajman 14%
while the other emirates totally neglected, this represents an evidence that the construction in
Abu Dhabi deliberate and planned with slowly rhythm than Dubai.
Locations of experiences in construction sector U.A.E

Figure 5 shows the experiences locations in U.A.E

4.2 Current Construction practices
As known that the projects going through stages to be ready for occupants, these stages classified to three major area: design phase, construction phase and occupancy evaluation. Each one of

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these stages should integrate with the two others in order to enhance buildings performance and
sustainability. Sustainability achievement required to involved with, Ecologists (concern about
preserving the natural system), Economists (which deal with the growth efficiency and the uses
of resources, Sociologists (which focuses on human needs and culture identify) (Wright.R2008)
Totally 65% of the questions in this section investigate about the design phase to highlight the
significant important of sustainability to be achieved from the beginning of the project. One
of the general question about the ability to achieved sustainability in design have 48% of the
answers are(sometime )which mean that the principle of the sustainability may consider or not
while the 20% of the answers are (almost never) that gives full image about the current practices
in U.A.E in term of sustainability.
However the site assessment before the design is a major step weather through the software
evaluation analysis, the answer of this question 52% (sometime) while the 33% of the answers
(almost always). Its very clear from these percentages that site evaluation not basic requirement
in current practices while in fact it should be.
As the building the main consumption of energy through operating of cooling, heating and lighting, the questions about the use of renewable energy such as solar panel, photovoltaic, wind
turbine..) 47% of the total answers are (sometime) while the 29% of the answers are (never) and
19% (almost never) this result analysis as it begun to take place in the current practices but not
widely because of the absence of motivation and encouragement from the government, On the
other hand, in spite of lack of energy in some emirates such as Ajman and Sharjah which are both
of them suffering from this problem but still without regulations forced or alternative renewable
energy have been followed to reduce consumptions. Hence, the building consumes energy, so
the design and construction of buildings should increase operating efficiency, durability and reduce the energy consumptions (AboulNaga & Elshehtawy 2001).
The durability means the increase of the lifespan and evaluated the cost of maintenances during
the design phase, the questions about the consideration of lifespan for the building,38% of the
total answers are ( almost always ) while 20% are (always) and 9%( sometimes) ,that gives indication that the durability of the buildings considered in current practices in U.A.E which provide
opportunity to reduce the energy and materials used to achieved sustainability .Meanwhile the
question about evaluated the cost of maintenances during the design phase, the answers coming 53% (almost always) and 24% (always) this situation gives an evidence that maintenance of
the building consider in current practices in U.A.E .
The culture value one of the important components of sustainability as it means the respect of
human needs and requirement and the cultural background, as the question about the considered of local culture value in project design .The answers are 35% (sometimes) while 29% ( almost
always) and 19% (always) these data give evidence that not all the time the culture value considered in current practices because many of architects and designers belong to another societies
and different background. This is exactly what causes the loss of identity. During the last years
U.A.E witnessed an improvement of awareness of sustainability which still need further enhancement in order create sustainable culture
The main part of the lifestyle depend on culture knowledge and education, the question about
the ability of provide funding in order to support researches on environment and sustainability
issues, the answers are 4% (always), 9% (almost always), 29% ( sometimes) and 34% (never), its
very clear that the funding of researches very limited and unregulated by the government.
other question about the education is about the offering of sustainability training or courses for
employees of the companies, the answers are 23% (sometime), 28% (almost never) and 34% (never) these data shows the lack of sustainability knowledge in the professionals field but many organization and academic institutions begun to manage courses and conferences such as Ajman
University in order to improve the professionals awareness.

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4.3 The challenges

The result of the challenges ranging between (strongly agree) and (moderately agree) .62% of the
total choices are (strongly agree) that in developing countries the lack of sustainability knowledge lead to the absence of sustainable design.49% of the total participants (strongly agree) that
the initial cost of sustainability might turn people away from it without consider the saving during the projects operating, while 38% (moderately agree)
Meanwhile, 34% of the total choices (strongly agree) with the lack of skilled professionals lead to
reduce the sustainability practices while 24% (moderately agree). 9% (strongly agree) about the
rapid rhythm of constructions in U.A.E minimize the ability of evaluated the building performance
.24% (strongly agree) and 23% (strongly disagree) that the lifestyle of U.A.E limited the ability of
used recycling or reused materials, 20% (strongly agree) 43% (moderately agree) about the preferring the profit from the building rather that the building performance. 48% (strongly agree)
and 42% (moderately agree) about the significant important of public involvement in sustainable
projects in order to create sense of responsibility towards their environment. 20% (strongly agree)
and 43% (moderately agree) about the lack of local manufactured materials in the market reduces
the use of materials that suitable for U.A.E climate. 29% (strongly agree) while 38% (moderately
agree) about the missing data from the monitoring and reporting for occupied buildings lead
to absence of rating system for constructions in U.A.E .According to the result above, its very
clear that most of the participants recognize the challenges and considered the constraints which
facing the sustainability achievement. This awareness about the obstacles can be accounted as
advantage because the first step in finding solutions is to recognize the problems first. It seems
that the next period of time will witness many improvements in adopting sustainability as a consequence of the knowledge improvements.
4.4 The impact on the sustainability and performance of building
The efficient design is the main component to measure sustainability, while energy used, population growth, resources efficiency and the waste are the others components. The improved in
building performance leads automatically to achieve sustainability. The failure in building performance will lead to change the direction away from the sustainability achievement. One of the
important factor to increase the ability of improving building performance is the site analysis
whether by software analysis or by simulation methods to recognize the best orientation and
how can be used to reduce energy or harness the site conditions to provide energy for instance
the use of solar panels or photovoltaic in order to reduce energy consumption .It shows from
the survey that 52% of the vote going to sometime while 5% choose never and 33% choose almost always as shown in Figure 6 normally this will affect the building performance in terms of
ignore the indoor air quality which depend on natural ventilation. In the other hand it affects
the achievement of sustainability by increasing the energy consumption and used of electricity
though the cooling system.

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Figure 6 shows the percentage of site assessment

The best way to improve building performance is the used of integrated design which means the
inclusiveness efficiency, the integrated should be considered in design phase and implemented in
constructions period and monitoring in operation time in order to achieve high level of efficiency.
Meanwhile this integration include all the professionals who involved in design, constructed, and
operating the building .one of result analysis shows in Figure 7 that the respond about the use
of integrated design in order to improve the building performance is 43% of participants choose
sometime while 9% choose never and between them 29% almost always. This result shows that
the integration in design not all the time part of the project processing, for example if the design
not consider the local climate, this will lead to reduce the mechanical system efficiency by over
exceed the used of cooling system the energy consumption increased also. All these impacts
related to each other, as consequences the absence of integration design affect the building performance which impacts the level of sustainability achievement

Figure 7 shows the percentage of achieve integrated design

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5. Conclusion
Due to the rapid growth of economies and population, energy consumption has increased globally. GCC countries had the fastest rate of increase at 12.4% during to 2005 -2009 representing
3.15% annually. The average consumptions of GCC countries watt per person reached 1149, this
figure is dramatically higher than the world average which is about (297 W per person). Many
countries in the region are realizing that depending on sustainability and renewable energy will
be the primary solution due to a depletion of natural resources and environmental impact ( Al
Naser 2011) therefore, sustainability implementation are needed to meet the increase demand of
energy.
Its very clear from the result analysis that the current practices lacks of sustainability achievement which lead to limited the improvement of building performance .On the other hand the
positive side is the growing awareness of sustainability which absolutely lead to improve the future of sustainability achievement .In fact Emirates Green Building Council (EGBC) associated with
Emirates Environment Group (EEG) are guiding the construction sector towards the sustainability
achievement. EGBC was establish in July 2006 and become a member of the World Green Building
Council in the same year , meanwhile U.A.E becomes the eight country in the world to establish
such a council.
The study concludes that the lack of professionals which lead to weaken the level of building
performance especially during the design phase. One of the important conclusions that the architects are leading the constructions sector through the design or the constructed period, usually
the architects have low awareness about the mechanisms and systems which reduce the ability
of improve the performance of the building
The main recommendation is to increase the awareness of sustainability in constructions sector
and the academic field through courses and conferences in order to be sure that the new generation of architects and engineers have background to support their practices and implementations. The other recommendation is to increase the regulations and managing the constructions
sector. The aim of the regulations is not only to managing the process of the buildings but to encourage the developer to utilizing environmentally friendly technologies, techniques which can
enhance buildings performance and protect environment. Furthermore, the used of motivation
system to push the developer to find alternative of energy such as using solar panels.
Many principles such as 2 R which are recycled and reused should be part of the lifestyle and
culture knowledge. Many project designed in U.A.E to be as guide for sustainability as Masdar
City which created with limited Carbon emission to be as full sustainable project educating the
public and provide an academic institution. Abu Dhabi creates an organization which is Estidama
that offer education and exam to authorize professional staff in order to increase the awareness
and regulate the construction sector. In addition Municipality of Dubai sill follow LEED, the building rating system is very important to collect data from the occupied building by reporting and
monitoring the building performance. This will create competition between the professionals to
achieve the sustainability.
The government should support researches about sustainability and environmental issues which
lead to improve the academic and construction fields. In addition to involve the public in sustainability activities to create their responsibility about the environment
There are many advantages not mentioned, the major one is construction sector measures the
level of country development and economic improvement .but it should be control by regulation
and organization.

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Acknowledgements

Great thanks for Prof. Dr. Moshood Olawale Fadeyi for supporting this research British University in Dubai, National University of Singapore

References
AboulNega,M. & Elsheshtawy,Y(.2001) Environmental sustainability assessment of buildings in hot climate: the case of
the U.A.E. Renewable Energy 24 (2001) 55-563
Al Naser, W. &Allnsser N (2011) The Statues of Renewable Energy in the GCC Countries Renewable and Sustainable Energy Reviews 15 (2011) 3074-3098
Carter,T.(2006) Dubai City Guid
Asif, M. (2015) Growth and sustainability trends in the buildings sector in the GCC region with particular reference to
the KSA and UAE, Renewable and Sustainable Energy Reviews avalibale online through
http://www.sciencedirect.com/science/article/pii/S136403211500502X
Salama,M & Hana,A.(2010) Green Building And Sustainable Construction in the U.A.E. School of Management and Languages, Heriot Watt University, Edinburgh, UK
Wheeler,S. & Beatley,T. (2004). The SUSTAINABLE URBAN DEVELOPMENT 2 ed USA and Canada by Routledge.

Wright, R. (2008)Environmental science: toward a sustainable future(10th ed.).

Sustainability assessment and building performance on construction practices in the UAE

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International Conference | Bari - Lecce, Italy

Session III

A CLOSER LOOK AT SUSTAINABILITY PRACTICES:

LESSONS FROM THE UK
Yumn Nanaa1 & Hasim Altan1
1 Sustainable Design of the Built Environment, Faculty of Engineering & IT, British University in Dubai, UAE,
[email protected] / [email protected]

Abstract
Sustainable development is becoming an increasingly rising topic all around the world. The
more developed countries contribute, the greatest share to innovations and solutions, as they
are more aware of such global issues, and have more mitigations and legislative abilities to
propose solutions. The study is a closer look at the United Kingdom as a case study, and the
environmental issues the country has faced, with a look from the environmental perspective. The major challenges are about energy, waste disposal, water scarcity, climate change,
and other challenges like employing sustainable codes on buildings since there is a substantial amount of the UKs emissions that come from existing buildings, which are responsible
for 44% of the countrys CO2 emissions. Moreover, the paper analyses its current standing in
terms of past and current environmental practices and the impact on its local and global future sustainability. The UK was selected as a case study due to being one of the pioneers in the
field and a leading country in the field of science, architecture, and urban planning, a history
of success and world records. In this paper, the current problems, causes, and challenges have
been identified, reviewed and discussed. Furthermore, energy security is also examined as a
country that is dependent on imported gas relies on political situations, and renewable energy proposes its own challenges of application in such a cold climate. As planners and sustainable designers, when assessing sustainable practices and setting standards for any climate/
country, looking around for similar situations, or ones that are more advanced, and analysing
the parameters of the sustainability matrix will always be of utmost help to build up new regulations, and learn the lessons from previous experiences.

Keywords
Existing Buildings, Energy Performance, Sustainable Built Environment, Sustainability,
UK, Policies and Regulations.

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Introduction
Great Britain, also known as the United Kingdom (UK), was a leader in the industrial revolution
and that was due to the abundance in key resources, population, labour, natural resources in the
North such as coal, iron, copper, which all led to the development of industry (Fig.1) (Kennedy
1989)

Figure 1:Relative Shares of World Manufacturing Output, 1750-1900 (Kennedy 1989)

All of the progress on the industrial side came at a price, where the environment of the UK started
to change, and excess of coal use in the first half of the 20th century in England led to the great
smog incident in 1952, where for 5 days London gasped for fresh air (Fig.2). Following a government investigation, however, Parliament passed the Clean Air Act of 1956, which restricted the
burning of coal in urban areas and authorized local councils to set up smoke-free zones. Homeowners received grants to convert from coal to alternative heating systems (Klein 2012).

Figure 2: Smog in London (Getty Images 2014)

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When coal was overused, and has proved not eco-efficient, gas substituted it, and the local gas
resources were exploited, whereas now the UK imports most of its gas consumption. To highlight
the most important factors; the UK has a cold climate for most of the year, with heating being
the main energy requirement of most buildings. Sunny months are not sufficient to provide solar
energy; hence its applications are quite minimal. However, in 2006, the UK had installed 12.5 MWp
of photovoltaic capacity; by 2011 this had increased to 750 MWp. While for wind power, it is one of
the best locations in Europe, the UK consisting of 5,276 wind turbines with a total installed capacity of over 10 GW. The UK is ranked as Europes third largest producer of wind power (GWEC 2014).
A substantial amount of the UKs emissions come from buildings which are responsible for 44%
of CO2 emissions: 26 per cent of the UKs emissions come from homes, 18% from non-residential buildings (Inside Housing 2014). At the Rio summit in 1992, several governments agreed to
sustainable development. However, the UK government was pioneer by setting out its national
strategy in 1994. In 1999, the UK government then outlined how it proposed to deliver sustainable development in A Better Quality of Life. This set out a vision of simultaneously delivering
economic, social and environmental outcomes as measured by a series of headline indicators
(HM Government 2005). Accordingly, being one of the pioneers in this field, and a leading country
in the field of science, architecture, and urban planning, a history of success and world records; it
is important for the study to analyse and discuss the country and its current standing in terms of
past and current environmental practices, and the impact on its local and global future sustainability.
This paper presents the environmental issues that the UK has faced, with a look from the environmental perspective. The major issues are about energy, waste disposal, water scarcity, climate
change, and challenge of implying sustainable codes on buildings.

Discussion and Analysis

The Built Environment and Associated Emissions
After the global warming crisis occurred, attention was given to CO2 emissions and the serious
need to cut them down to stabilize the worlds climate. This procedure does not come at a cheap
price, but measures have to be taken. The latest estimates from the Tyndall Centre (Bows et al.
2006) are that a reduction of 70% from the current levels of emissions is needed to stabilise the
temperature at 0.58C above the present level. The built environment accounts for a large proportion of emissions, and within that sector housing in 2004 accounted for about 27% of the UKs total
CO2 emissions of 152.5 MtC (DEFRA 2006). The main energy use at an average UK home in such a
cold climate is heating: space heating, and water heating. While any action to improve buildings
should be applied on both new build or existing housing, but implementing standards for new
buildings is a more realistic approach, and the UK government has enforced some.
The UK government justies this focus on new build by asserting that making every possible
cost-effective energy improvement to existing homes would reduce the annual CO2 emissions in
2050 by only 25% of what is necessary: the rest must be achieved in new homes (DCLG 2006a). According to a report by the Department of Business Innovation and Skills (BIS) (2010); The amount
of CO2 emissions that construction can influence is significant, accounting for almost 47% of total
CO2 emissions of the UK. In-use building emissions accounts for the largest proportion, over 80%,
of total CO2 emissions that construction can influence. Manufacture (of construction products
and materials) accounts for the largest amount of emissions within the process of construction
(Fig.3).

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Figure 3: Amount of emissions by buildings (BIS 2010)

Actions to reduce the impact of buildings on the surrounding environment have varied and from
gov.uk, we can clearly read the main actions taken which can be summarized as follows:
The government requires local planning authorities to ensure that new developments are energy efficient.
The plan is to make sure all new homes to be zero carbon from 2016 and this extends to include
all other buildings from 2019.
The government has initiated the green deal to enable people to pay for home improvements
over time using savings on their regular energy bills.
As a result to this legislative framework, there are many case studies which show that citizens
have been able to cut down their energy bills to keep their homes warm in the long cold winter in
England, by some home improvements that was financed by the green deal, (total 60.76 million)
and in the same time help reduce the carbon footprint of their homes. It is worth noting that one
of the methods of assessing and rating the sustainability of buildings was initiated in the UK,
which is BREEAM (Building Research Establishment Environmental Assessment Methodology), in
1990, more than 250,000 buildings have been BREEAM certified in the UK and another 50 countries around the world. BREEAM sets the standard for best practice in sustainable building design,
construction and operation (BREEAM 2014).
A new national standard for the sustainable design and construction of new homes all over the
UK was initiated. This code helps reduce carbon emissions and make all buildings more sustainable in design, more than what is set by just building regulations.
The aspects for this standardisation as mentioned in the publication by the UK government (CfSH
2006) are; energy/CO2, water, materials, surface water runoff (flooding and flood prevention),
waste, pollution, health and well-being, management, ecology. For the assessment, a star system
is used to rate the sustainability performance, where 6 is the maximum. This code up till now is
still voluntary, unlike regulations, and is separate from the zero carbon policy and the 2016 zero

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carbon target. In certain cases, the code could be applied mandatory:

Local councils require developers to comply with the code by including a requirement in their
planning policy.
Affordable housing is funded by the homes and community agency that requires homes to be
built to code level 3.
The level 3 energy standard is now incorporated in the building regulations (CfSH 2006).
This awareness to the issue after global warming and temperatures rise, has led to less consumption and a better quality of air in the UK. SO2 emissions were reduced because of two main reasons: the decline in the use of fuel oil in power generation, as well as industry, and the transfer in
power generation from coal to natural gas since 1992 (Fig.4) (Ekins 2000).

Figure 4: SO2 emissions by fuel use, UK (Ekins 2000)

As can be seen in Figure 4, from Economic Growth and Environmental Sustainability the thousands of tonnes disposed yearly in the UK have significantly dropped, in a comparison between
1970s and 1995.
Energy Security
A look at the current break down of energy resources (Fig.5) used in the UK would clearly show
dependence on gas as a main energy resource. A percentage of this gas is produced in northern
England, but this resource is declining, and most of the gas consumption today is imported from
other gas rich countries mainly depending on Russia for a large percentage of the coal. Pipelines
already exist between the UK and Russia, but Ireland is the furthest consumer. As a result, any
disputes between Russia and other user nations along the pipeline and there have been disputes where Russia has cut off the gas every year for the last three years could affect the UK. It
is estimated that by 2020 90% of natural gas used in the UK will be imported, but, additionally,
the decline of coal-red and nuclear-powered electricity generation is likely to lead to increased
dependence on gas over the same period. Price uctuations in the general gas market over the
last couple years have led to sudden increases in house- hold gas and electricity prices (Banfill
and Peacock 2007).

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People in the UK are already suffering of extremely high prices of electricity that mainstream people could not afford. In BBCs (Energy Crisis in the UK 2013) documentary, some people in Blackpool, which is a rather small town and suffers a high rate of unemployment, people are trying to
provide proper insulation for their own homes, and are living and sleeping in one room to cut
down the cost of heating (YouTube 2014). Natural gas imports are shown in Figure 5, over 60% of
the UKs coal is already imported, principally from Russia, followed by South Africa and Colombia
(Day 2007).

Figure 5: UK Natural Gas Imports (Day 2007)

The UKs latest proposals are two documents, released for consultation by the Department of
Communities and Local Government (DCLG) in December 2006, which had three admirable main
goals; to achieve zero-carbon new homes by 2016; to increase the UKs energy security by reducing reliance on imported gas; and to help to meet the UKs Kyoto commitments.
Potentials of renewable energy resources such as wind, wave, tidal and solar are alluring; there
are quite a few limitations to them. For instance, intermittence availability only when the wind
blows, the tide flows or the sun shines since storage of significant quantities is not yet widely
available, figure 6. In the UK, wind power is available only about 20-25% of the time, whereas base
load electricity demand is constant 24/7 (Day 2007).

Figure 6: UK total primary energy consumption by source 2001-2012 (US Energy Information 2012)

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There is a gap between Englands future energy needs, and the existing supply. The government
intends to improve the security of the UKs energy supply by boosting imports from a more various collection of fuel supplies, by generating more of the needs of the UK using renewable energy sources such as wind power or solar, and by relying on nuclear energy for a more dependable
type on energy production.
Waste
Since this study is about a highly developed nation, the problems of waste and consumption are
serious. The more people progress towards a more developed and industrial country, the more
they consume, and the more waste they produce. On average, each person in the UK throws
away seven times their body weight in rubbish every year (Stuart 2014). About 177 million tonnes
of waste every year is generated in England alone. This is a poor use of resources and costs businesses and households money. Waste sent to landfill produces methane, a powerful greenhouse
gas, hence there are also environmental consequences of such waste. Waste generation by sector
is shown in Figure 7. The irrigation water used globally to grow food that is wasted would be
enough for the domestic needs (at 200 litres per person per day) of 9 billion people the number expected on the planet by 2050 (Staurt, 2014) thus even the UKs water footprint is rising.
Although much has been done about waste in the past decades, the UK is still behind several
European countries in managing this issue, and reducing landfills and the amount of waste.
Recycling/reuse together with composting have become the dominant methods of waste management in the UK, accounting for 42.2% of the total MSW (Municipal Solid Waste). In 2012 a total
of 13.1 million tonnes of MSW was recycled or composted in the UK, representing an increase of
27.3% since 2002. The generation of MSW is predicted to continue to decrease over the next 20
years from 32.3 million tonnes in 2010 to 29.5 million tonnes in 2030. This forecast is based on the
Bogner and Matthews model, which shows a linear relationship between the energy consumption of a nation and its generation of MSW, as well as on an energy consumption forecast published by the UK governments Department of Energy and Climate Change (DECC) (Bourtsalas
and Themelis 2013).
Recycling
The UK in general is doing a relatively good job when it comes to recycling, with an increased
share of municipal waste recycling from 12 to 39% between 2001 and 2010 (DEFRA 2010) but other European Union (EU) member countries have already reached 50% which is the target set by
EU for all countries by 2020, this way, the UK has to follow up with Austria, Germany and Belgium, which are already above 60% (EEA 2014). According to the latest figures from DEFRA, 37%
of household waste was recycled in 2008/09. There was a 235% increase in household recycling in
England between 2000/01 and 2009/10. In 2009/10, compost was the largest component of recycled waste, comprising 40% of the total (Wikipedia 2014).

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Figure 7: Total waste generation by sector, UK 2004-2008 (Gov.uk 2014)

Climate Change
The effects of climate change are already evident in the UK and around the globe. UK temperatures have risen. Globally, the weather is becoming more extreme, and will have a negative impact on humans, animals and plants (Clark 2013). The high temperatures in Europe in recent years
have cost the agricultural sector 13 billion. The economic consequences of changing climate
are serious and affect peoples lives directly (Banfill and Peacock 2007). The effects on the UK are
shown in Figure 8.
The UK governments latest climate change risk assessment identifies multiple climate threats
such as flood risk, summers becoming hotter and prolonging, heat waves, severe snowfalls, rising sea levels (around 40 cm by the end of the century) (Bradford.gov.uk 2014) stresses on water
resources, biodiversity threatened, loss of natural habitats, and the aftermaths for the UK from
climate change waves abroad (Clark 2013).

Figure 8: Effect of climate change to 2030 on the climate of London and South East England (Energy
Efficient Housing 2014)
This challenge/issue is more global than local, and the treatment available is quite limited to a
climate policy cutting global greenhouse gas emissions which could have a tangible effect on
future climate impacts.
Water Scarcity
The 1976 United Kingdom heat wave led to the hottest summer average temperature in the UK
since records began. At the same time, the country suffered a severe drought. It was easily the

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driest, sunniest and warmest summer in the 20th century. Rainfall was way below average. Again
in 2012, England and Wales experienced one of the 10 worst droughts of the last 100 years, according to the Met Office. According to the EEA (European Environment Agency), the UK is amongst
the 9 countries considered as water stressed, meaning that 46% of the regions population lives in
places which are water-stressed. (EEA 2014).
From the figure below (Fig.10), it is evident that water scarcity in the UK is geographically distributed; the more serious case is in the south east, while the north and west suffer less than the other
areas. In a publication by Environment Agency (Water Stressed Qualification 2013) the regulation
suggested that areas classified as serious water stressed have to evaluate metering and all other
options available when preparing water resource management plans. Climate change has affected the UK water case badly, where rainfall is abundant in the summer, when most of that will
evaporate, and less occurring in winter, when the aquifers should be topped up. In figure below
(Fig.9), it can be seen how the rainfall has changed relative to monthly average over the past few
years.

Figure 9: Monthly rainfall levels, southern England, Dec 09 - Jan 14 (Met Office 2014)
The problem with drought is not a minor one especially that the weather has become unpredictable, 2012 was dry, then 2014 witnessed abundant rainfall, and with all the mitigations and water
metering, hosepipe banning, the worst-case scenario, according to the EA, is that total water demand in England and Wales could increase 35% by the 2050s. Water metering has already taken
effect, all homes built since 1990 have water meters, and in 2008 1/3 of houses and apartments in
England and Wales are also fitted with water meters. Water UK suggests that this estimate will rise
in water stressed regions to 80% by 2020. Government is currently encouraging water companies
to build reservoirs, which is a quite huge investment, and it is hard to predict how things will
change and whether they will able to use them.

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In 2011, London Mayor Boris Johnson called for the resurrection of a 1942 plan to build a canal from
the Scottish borders to the South East in the Daily Telegraph. Since Scotland and Wales are on
the whole higher up than England, it is surely time to do the obvious; use the principle of gravity
to bring surplus rain from the mountains to irrigate and refresh the breadbasket of the country
in the South and East, he writes. After considering such an option, so far the cost is way too high.
For an island country, one obvious suggestion is desalination, which means drinking water would
come from salt water, after being processed. There is an example that has opened in London
(2010); the Thames Water has initiated this large desalination plant. It was first initiated to safeguard against water shortages, after 2005 and 2006, and it can supply 400,000 homes or 1 million
people with water. Water stress areas are shown in Figure 10.

Figure 10: Areas of relative water stress (EA 2007)

Desalination remains a very expensive, very power hungry process, (Barford and Everitt 2012).
Furthermore, all the salt and brine resulting from such a process would become an increasing
burden. Another suggested solution is stabilizing population, to limit the growth in demand on
water, reducing immigration, especially to the south east of England, and encouraging long-term
population transfer from parts of the UK like the South East of England that suffer shortages to
other parts, like the North West or Scotland, that are less vulnerable.
Transportation
Private vehicles are the main concern contributing the largest share of air pollution from transport, and causing the most congestion and inconvenience in the streets, there is a plan to build
some infrastructure that will support green electrical cars in the UK, and that has been backed
with a government grant of up to 5000 towards electric vehicles that achieve certain protection
and performance criteria (Clarke 2010).
Highlighting the role of public transport, especially buses, the Department for Transport is sup-

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porting sustainable transport through its Green Bus Fund the first three rounds of which have
helped to fund the introduction of nearly 1,000 new carbon-cutting green buses by the end of
March 2013. More than 680 of these buses can now be seen operating on public bus services in
many of our English towns and cities. Using the latest green technology, these new buses are
quieter and, in the case of hybrid- electric buses, use less diesel than conventional buses. Many
of the buses have also been manufactured in the UK, sustaining jobs and bringing green growth
(DEFRA 2013). To ensure the design and management of the interchange facility is thoughtful
of the environment and energy efficiency. New interchange facilities meet with national carbon
emission, water and waste objectives, and lessen their energy supplies. Maximising on-site energy generation, and use local materials. For instance:
Substitute artificial lighting with natural.
Ensure insulation is efficient to minimize energy use.
Renewable energy to be generated on the site.
Minimizing the need to air conditioning by using natural ventilation.
Providing enough recyclable waste containers.
Communication
To move towards a sustainable future communication at all levels is a must between legislative
authorities, people, politicians, and the new generation. That will help sustainability evolve from
the mainstreams point of view, when so much of the carbon emissions are directly related to humans daily activities, and require enough knowledge and commitment to the cause to be solved.

Sustainable Development Strategy

The UK Sustainable Development Strategy suggested that this development has four key objectives which include social progress and equality, environmental protection, conservation of natural resources and stable economic growth. These objectives reflect the concept of sustainable
development and support the principles of Agenda 21.(Gov.uk, 2013)
UK Strategy for Change
After defining sustainable development, the UK Government began to incorporate it into national policies. This acknowledges the need for the nation to progress, whilst maintaining its economic, social and environmental objectives. The necessity of environmentally comprehensive
methods is recognized, especially concerning transport and energy. The Government aspires to
allow economic development to prosper, in a sustainable way, and not compromise the existing
natural environment or cause social discrimination. In 1999, there has been a modification of this
policy into a more comprehensive one, which contained construction policy documents, and recommended key action themes to start-off the undertaking of sustainable practices. It was titled:
building a better quality of life, a strategy for more sustainable construction. Again in April 2004,
there has been an update on the policy titled; Indicators for a Strategy for Sustainable Development for the United Kingdom a baseline assessment which looked into details of indicators to
define benchmarks.
Ecotowns
According to The British Broadcasting Corporation (BBC) (2014), in 2009 the UK Government
named four towns as ecotowns. The towns received some government funding and are granted
ecotown status on the basis of the latent for attaining sustainability. The government funding
purposes to afford:
Affordable housing.
Sustainable living.

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203

Carbon neutral developments.

Creative use of waste and more recycling.
Employment that is local.
Locals have a say in the development.
Local services and schools, less demand for use of private vehicles.

Whitehill Bordon is an example of an ecotown and was given the status in 2009. To reduce the use
of private vehicles and in the long term depend more on public transport or bicycles as shown in
Figure 11 (Whitehill and Bordon 2012).

Figure 11: Whitehill and Bordon proposed masterplan (Whitehill and Bordon 2012)
Positive Initiatives
London as an exemplary city in the UK, despite being one of the cities most polluted with high
rates of particles and air pollution, a huge population and a lot of business, it has gone a long way
in sustainability. The City of London Corporation has an 800 year-long history of looking to the
welfare of generations and is acutely aware that a clean environment and a prosperous economy
go hand in hand with a good quality of life. The City of London Sustainability Review reports on
the following areas (Von Gunten 2010):

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Promoting a positive and sustainable workplace.

Supporting communities and working for a sustainable World Class City.
Contributing to society and supporting socio-economic development.
Addressing climate change, energy and resource use.
Enhancing biodiversity.
Promoting sustainable travel options.

The City of London will be a full participant in the Carbon Reduction Commitment (CRC) Energy
Efficiency Scheme, a mandatory national climate and energy scheme, which started in April 2010.
The City Corporation supports the aim of a low-carbon future and seeks to maximize its contribution to the national effort of reducing greenhouse gas emissions. Again, in 2009, the City of London Corporation was the first local authority in the UK to be awarded the Carbon Trust Standard
by the Carbon Trust for its exemplary work in carbon management. (Von Gunten 2010).
The City of London relies on the advanced Citigen Combined Heat & Power (CHP) system to supply 23,000 MWh of heating and 5,300 MWh of cooling a year to a number of its properties. The system was established in 1993 and is one of the largest CHP community energy schemes in the UK.
Heat, which is normally wasted in electricity generation, is captured and supplied to the local heat
distribution network. The heat is also used to produce chilled water for air conditioning (sometimes referred to as tri-generation). The CHP represents a more sustainable option to supply
energy as it is up to 70% energy efficient compared to 40%% for a conventional power generator.
Given the limited potential for renewable energy generation in the Square Mile, using the heat
and cooling supplied by the CHP is a useful step for the City Corporation in reducing its carbon
intensity. The estimated CO2 savings achieved at the City properties supplied by the CHP amount
to about 3,700 CO2 tonnes avoided each year (Von Gunten 2010).
London has also released its new Climate Change Adaptation Strategy that ensures infrastructure
of London as well as services is prepared to meet the challenges predicted by climate change.
London has been able to monitor and coordinate the air quality within the Square Mile, by 13 air
quality monitoring points, which are used to monitor air pollutants including nitrogen dioxide
(NO2), fine particulates (PM10), very fine particulates (PM2.5) and ozone (O3). 4 continuous analyser sites report data to the London Air Quality Network which then coordinates and advances
air pollution monitoring. Some initiatives to facilitate more sustainable forms of transport and
encourage healthy lifestyles like The European Mobility Week and offered a range of activities including bike-to-work and walk-to-work helping raise awareness of the issue. The City of Londons
European Mobility Week events were shortlisted for the official EU Mobility Awards. The City of
London was one of 11 cities shortlisted out of 2,181 cities participating across Europe.
In 2009, an enhancement project was completed at Grants Quay on the River Thames. The project involved opening up the Thames Path and creating new landscaping and paving to develop
accessibility and safety, as well as new planting to promote biodiversity and support wildlife in
the area.
Challenges of Sustainable Development
Although it is sometimes possible to identify the threshold where development and the effect
on the environment are unacceptable, the UK government has identified five objectives that will
encourage the UK to become more sustainable:
Although the UK economy is one of the most developed in the world, it is a necessity that the
economy continues to relish, because that will help maintain the high standard of living that

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they are used to.

It is a must that the future growth exceeds the one in the past, and must be achieved whilst
reducing pollution and resource exploitation.
An equal distribution of wealth across the nation is a must.
Towns and the countryside contribute significantly to our quality of life. Landscape and wildlife must be protected.
The UK has a responsibility to contribute to global sustainable development, in particular to
aid those in extreme poverty.

Conclusion
Looking at the UK from the sustainability point of view, shows that the more developed a country is, the more challenging the bet to remain sustainable, while maintaining the development,
corporate revenues, public contentment with a wide variety of services, and natural surroundings
which is the literal soil for all of that to be up and running. The main picture is quite optimistic,
though some of the challenges e.g, the water scarcity and energy security, only get more complicated with time, much development has and is still happening in this field in a country that was
a pioneer and leader in sustainability issues from the 1990s. However, for this country or another,
no progress is the limit, and the need for constant research for the current limitations, challenges,
and the appropriate solutions, is the way to ensure planners are doing their due diligence, and
resources are at best use, to enhance the environment, and deliver it in the best manner possible
to the and future generations.

References
BARFORD, V. and EVERITT, L. 2012. Eight radical solutions for the water shortage. BBC News Magazine, (17600062).
BBC.CO.UK. 2014. BBC GCSE Bitesize: Case study: Whitehill Bordon (Ecotown), UK.<http://www.bbc.co.uk/schools/
gcsebitesize/geography/sustainability/sustainable_living_rev2.shtml/> retrieved on 17 May. 2014.
BOURTSALAS, A. and THEMELIS, N. 2014. UK Waste Management: Growing Old Or Growing Clean?. Waste Management World, 14(3), pp. 1.
BRADFORD METROPOLITAN DISTRICT COUNCIL 2014 What is climate change? How will climate change affect the UK?
<http://www.bradford.gov.uk/bmdc/the_environment/climate_change/about_climate_change/how_will_climate_change_affect_UK> retrieved on 20 Aug. 2014.
BREEAM, 2014. What is BREEAM? <http://www.breeam.org/about.jsp?id=66> retrieved on 17 May. 2014
CLARK, D. 2013. What are the potential impacts of climate change for the UK? <http://www.theguardian.com/environment/2013/oct/08/potential-impacts-climate-change-uk> retrieved on 20 Aug. 2014
CLARKE, PAUL 2010. The Top 10 sustainability issues and opportunities, talktalk.co.uk
CODE FOR SUSTAINABLE HOMES 2006. 1st ed London: Communities and Local Government Publications. <http://
www.planningportal.gov.uk/uploads/code_for_sust_homes.pdf> retrieved on 20 Aug. 2014
DAY, ANTHONY 2007, The Economic Consequences of a Global Energy Crisis
DEPARTMENT FOR BUSINESS INNOVATIOIN & SKILLS, 2010. Estimating the amount of CO2 emissions that the construction industry can influence
EKINS, P. 2000.Economic growth and environmental sustainability. 1st ed. London: Routledge.
EUROPEAN ENVIRONMENT AGENCY, 2014.Highest recycling rates in Austria and Germany but UK and Ireland show
fastest increase (EEA). http://www.eea.europa.eu/media/newsreleases/highest-recycling-rates-in-austria
retrieved on 17 May. 2014.
GOV.UK, 2013.Reducing and managing waste - Policy - GOV.UK. [online] Available at: <https://www.gov.uk/government/policies/reducing-and-managing-waste> retrieved on 20 Aug. 2014.
GWEC.NET, 2015. GLOBAL STATISTICS - GWEC < http://www.gwec.net/global-figures/graphs/> retrieved on 31 Aug.

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2015.
HM GOVERNMENT, 2005. Securing the future
KENNEDY, PAUL M,1987.The Rise And Fall Of The Great Powers. New York, NY: Random House print.
KLEIN, CHRISTOPHER, 2012. The Killer Fog That Blanketed London, 60 Years Ago History.com
LONDONSDC.ORG, 2014.Making London an exemplary sustainable world city London Sustainable Development
Commission | LSDC. <http://www.londonsdc.org/> retrieved on 16 May 2014.
NATIONAL ARCHIVES, 2014.SD Indicator 2: CO2 emissions by end user <http://webarchive.nationalarchives.gov.
uk/20110223093550/http://defra.gov.uk/sustainable/government/progress/national/2.htm> retrieved on 16 May
2014.
P.F.G.BANFILL and A.D.PEACOCK, 2007. Energy-effcient new housing the UK reaches for sustainability. BUILDING
RESEARCH &INFORMATION (2007) 35(4), 426436
SMITH, C., CLAYDEN, A. and DUNNETT, N. 2009. An exploration of the effect of housing unit density on aspects of
residential landscape sustainability in England.Journal of Urban Design, 14(2), pp.163--187.
TRISTRAMSTUART.CO.UK, 2014.WASTE. <http://www.tristramstuart.co.uk/FoodWasteFacts.html> retrieved on 20 Aug
2014
UKGBC.ORG, 2014.New Build | UK Green Building Council <http://www.ukgbc.org/content/new-build> retreived on
16 May 2014
VON GUNTEN, CHIARA, 2010. City of London Sustainability Review 2009/10.
WHITEHILL AND BORDON ECO TOWN, 2012. Growing a greener future. Whitehill and Bordon print.
WIKIPEDIA, 2014Industrial Revolution <http://en.wikipedia.org/wiki/Industrial_Revolution> retrieved on 20 Aug. 2014.
YOUTUBE, 2014.BBC Panorama Energy Crisis 2013 <http://www.youtube.com/watch?v=TGCok0bUia0> retrieved on
20 Aug. 2014.

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Session IV

VERNACULAR ARCHITECTURE OF SOUTH OF IRAN,

EVAZ: DEVELOPING A SOLUTION FOR FUTURE
DESIGNS
Fatima Mirahmadi1 & Hasim Altan1
1 Sustainable Design of the Built Environment, Faculty of Engineering & IT, British University in Dubai, UAE, Fatima.
[email protected] / [email protected]

Abstract
Nowadays in modern life, every technology and technique for comfortable life is available.
People with low income, in other words, with low levels of economic power, can also have
those facilities to stay warm in winter and stay cool in summer. Many years back when there
were no updated systems for human needs, passive strategies played a big role in peoples
life at the time. This paper concentrates on a small city in Iran that had used special strategies
to solve peoples environmental problems. The city is called Evaz, which is located in the Fars
region of Iran and with distance about 20 km from Gerash city and 370 km from south east
of Shiraz. Evaz receives minimum rainfall, which is the reason why water is restricted in this
area and therefore, cisterns (water storage) had been used for many years that will be studied
in more detail in this paper. In summers, the climate is hot and dry, sometimes temperatures
reaching around 46C during the day. Although the winters are typically cold and likewise dry,
moderate climate is available in Evaz during autumn and spring. This research identifies some
of the past/used strategies and describes them in detail with analysis for transformation and
connections with the modern and traditional fundamentals. Furthermore, the study develops
some solutions utilizing a combination of both modern and traditional techniques in design
to suggest better and more effective ways to save energy, and at the same time to remain
sustainable for the future.

Keywords
Sustainable Development, Vernacular Architecture, Passive Strategies, Traditional
Techniques, Modern Solutions, Iran.

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Introduction
Nowadays in modern life, every technology and technique for comfortable life is available. People
with low-income levels or economic power can also have those facilities to stay warm in winter and
stay cool in summer. Many years back when there were no modernized systems for human needs,
passive strategies played a big role in peoples life at the time. This paper focuses on a small city in
Iran where vernacular architecture had played a key role for sustaining certain needs in life for people through special strategies that have been used to solve peoples environmental and architectural issues, not only during those days but also even until today. The city is called Evaz and located
in the Fars region of Iran with distance about 20 km from Gerash city and 370 km from south east of
Shiraz. Evaz receives minimum rainfall, which is the reason why water is restricted in this area, and
traditionally, vernacular architecture provided solution for many years. Therefore, cisterns (water
storage) are used and the focus of this study is in more detail on this element in this paper.
The reason of selecting Evaz is the special climate and urban criteria this city has, which is extremely challenging for urban planners, architects and designers in general, and for addressing
sustainability issues for the future. This city has a very limited resource, such as water and electricity power. These problems have generated another sociability issue; many of residents migrated
to different cities and are out of the country. The research identifies the architectural strategies
of vernacular architecture in Evaz in order to generate ideas for transformation plus connections
with the modern and traditional fundamentals. Furthermore, the study aims to develop some
solutions utilizing a combination from modern and traditional designs in order to suggest better
and more useful ways to save energy, and at the same time, sustainable design performance.

Methodology
The methodology used in this research is the qualitative method. Intensive literature review has
been carried out to identify as much information as possible from existing literature. To collect
further information on local level, field studies were undertaken involving interviews with local
people and data collection through observation. Studying photographs of current situation in
the city of Evaz, involving cultural personalities of Evaz for their consultancy and online surveys
with Evazi people are some of the other methods used in the research to further enhance the
study and the investigation intended on the vernacular techniques of Evaz.

The City of Evaz

Evaz sites at 54 degrees southeast 53 minutes east longitude, north latitude and longitude from
Greenwich meridian, 27 degrees 34 minutes. It receives minimum rainfall, which is the reason
why water is restricted in this area (IAU 2015). In summers, the climate is hot and dry, sometimes
temperatures reaching around 46C during the day. Although the winters are typically cold and
likewise dry, moderate climate is available in Evaz during autumn and spring.
From the climatic conditions, the areas climate is hot and dry, with average rainfall of 220-180 mm
per year, which is more influenced by the Mediterranean air masses in autumn and winter. Maximum temperature 48-46 degrees for the months of July and August, and a minimum temperature
of zero degrees, is related to the months of December and January. There is limited agricultural
area in this city, the famous tree and landscape includes citrus trees, palm trees and planting
vegetables. The average relative humidity of this area is maximum 58% and minimum 29%. The
number of frost days; 51 days has been reported (IAU 2015) (Fig.1). The most important reason behind this is the lack of water resources, extreme heat, irregular rainfall annually, and cheap lands.

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Figure 1: Evaz plain in March 2011

The citys population is around 23000 people (IAU 2015; EPNU 2015). On holidays and summer, it
increases because a considerable amount of Evazi people has shifted to other cities and countries
around Persian Gulf and others. Evazi people who has immigrated to Persian Gulfs countries, usually they consider a part of their income to help their hometown especially for the places such as
construction areas, hospitals, schools and universities. At present, a considerable number of those
who were living abroad have returned to Evaz and some of them were invested their income over
there.

Architecture in Evaz
History of Evaz goes back to pre-Islam era (IAU 2015).In terms of the important factors of formation of the Architecture in south of Iran and Evaz, different buildings have been constructed, old/
vernacular architecture have focused on important factors such as climate and weather for each
area. Observing these factors causes the influence of comfort ability and comforting in the space
with balance and beauty that is the reason how they became center of the attention. To reduce
the heat, architecture were using different methods through passive strategies. Evaz is also included in hot and dry climatic conditions. They designed the buildings in a way of narrow streets
and winding, high walls for houses to decrease direct sun light and assist to build a shade (Kamal
1999:51).
Forms of monuments were two types introverted or extroverted. Introverted is noun for houses
with yards inside the building and extroverted is the building which looks like cage and yard is designed out of it (Pirnia 1990:32). In order to provide a good atmosphere in warm and cold seasons,
the methods which has been used by architecture of this region also included, under the ground
in homes, mosques, double shell roofs and selecting suitable materials, such as mud and brick
was the other principles to keep the house cold in a summer warm in the winter (Kamal 1999:51).
Wind tower is one of the developed factors of Iranian architecture; it has a huge usage in hot,
humid and dry areas. Wind tower is used especially on the top of the houses to direct the air flow
into the space to create a fresh and cool air. Creating openings on the four sides of the tower as-

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sists the wind flow to enter more without difficulty. At this point, there are some simple and some
with more beautiful works on it. A wind tower, which is located in Evaz, is shown on the top of the
houses and four sided designs at the past where it was used in luxury houses (Fig.2).

Figure 2: Wind tower in a historic house in Evaz in November 2010

Factors Affecting Architecture Styles
After the climatic conditions, political and security issues are the factors of creation of regions.
When the country was unrest, Evaz as other cities of Iran became like a castle. The city was enclosed within a fence fortified with towers and ramparts. To ensure the security of the city, the
wall had been put up with several gates and guards with special defenses. Moreover, in order to
further strengthen the two fences surrounding ditch and water was launched between the ditches (Karamati 1953:32-22).
Economic factors are another reason of formation of structures in architecture of ancient cities. In
any society, political peace with the support of craftsmen and artists, i.e. talented people, will lead
to economic growth. Creation of Gheisarie Bazar, shopping centers, caravanserais inside and out
of the city and develops of pathways has straight impacts on creation of contexture of old city.
Impact of religion is obvious in observing tombs and holy shrines, which has been developed duration of time. These tombs are belonging to outstanding spiritual personalities; in the past time
of history, it was an attractive place for people to visit and observe religious ceremony. Taste of
Board of Governors and Influential personalities is another impact on architecture and structure
of old textures in each place (Kamal 1999:54).
Architecture of Evaz have inspired by many factors as mentioned earlier. During the history, some
changes occurred that affected the city. Evazi people who are living in the Gulf region and who
are interested in righteous support most of the peoples needs.

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Overview of Traditional Architecture in Houses

Traditional architecture of hot and dry cities has been divided into two styles of Introvert and Eccentric. Evaz has introvert style. In this style, yard is located in the middle of the house and rooms
are located around the courtyard, which is almost square shape (Fig.4).

Figure 4: courtyard from the top view, Alipour house, in south of Iran (Nobahar 2015)
Because of the hot weather conditions and strong radiation of sun, lighting design was in a way to
have shades and indirect natural light for interior spaces (EPNU 2010). Most of the skylights were
made from rock and plaster. In addition to add a beauty and shine to the room, glass door were
designed with colorful glass pieces to adjust the interior light (Fig.5).

Figure 5: Historic house of Sodagar in Evaz

Ceiling of the ancient houses were flat and built with wooden beams. The beams were made
from Tamarisk and palm tree, which are popular and grow well in the warm climate. In the middle
of the ceiling, there was design of diamond, geometric shapes with paintings and colors, which
made the design special and beautiful (Fig.6 and Fig.7).

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Figure 6: More than 100 years old two storey residential building in Evaz; Esmaili Home

Figure 7: Traditional ceiling design, Evaz, Mirahmadi house, July 2015

One of the purposes in traditional home style was to make the home look animator and pleasant.
Thats the reason small garden is always a major key of the traditional architecture which was
famous in Evaz .Variety of trees which are suitable for hot and dry climate was available in these
gardens specially palm tree, Because of its high productivity and matching with the dry climate of
the region Palm tree were more in attention of the people. Rock pools were used in some luxury
houses, which assist the view to look more attractive. For occupants daily water need, wells were
drilled in houses (Fig.8).

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Figure 8: Wells in houses for daily water use in Evaz museum

History of Water Cistern (Berka) in Evaz

Hot and dry climate conditions and lack of adequate rainfall in more than six months in a year and
seasonal rivers were the reason to motivate architecture to create new ideas of the cisterns, bands
and canals. Cisterns were made to save water in rainy days. Water cisterns are important not only
as one of the most important structures of water, in fact, it were guidance for passengers and caravans in the past for whom were passing the way in the desert and plain (Fig.9).

Figure 9: Evaz cisterns, July 2011

Accordingly, the cisterns are a symbol for architecture of rural in Iran. The oldest water resource
in Iran belongs to Eilami Dorantash in Chaghazanbil of Khuzestan state (province). This water cistern is build 1250 years before BC. There are many water cisterns located in the south of Iran and
islands in Persian Gulf, which prove the value and importance of human to secure a vital element,
water (Kamal 1999:154). In Islamic duration, water cistern had increased rapidly and today there
are many historic places from those periods. Water cistern usually divided in two categories; the
water cisterns which are used generally by everyone in the area and region (more public), and the
second one more private water cistern for inside the houses.

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Criteria of Evaz Cistern:

Evaz cisterns are one of the most famous cisterns in the region. Generally, the original plan of the
cistern is available in two designs.

1. Circular plan and domes roof (Fig.10)

2. Rectangle plan

Figure 10: Circular plan and domes roof, July 2011

The design of water resources are the common ones in the south of Iran. The resource of the water
in these cisterns comes in the cylinder shape, which has been constructed in the middle of the
ground. Ratio of diameter in the source depended on the size of the pond. Domes were used for
circular pond designs and it were calculated on acquire mathematic calculations with the best
materials that is the reason they lasted for long time and stayed beautiful.
Construction Methodology of the Cistern:
People in the past were using traditional ways to build this vital element; there were different
ways of construction for these famous cisterns. The device, which they were using, called Pargar
(compass); this was used to create the dome shape. Pargar made from a board and from four
sides of that board were ropes, which were connected to four sides of the pond. Therefore, the
architecture of the pond became from moving around the pound with the ropes until it reached
the require size of the dome, and this was the way to create an accurate environment of the pond.
On the top of the pond there is a stone element called Kakol when it appears, it means that
the work is completed. The dome was installed on the wall, which has been called Ghors which
means strong and fit. In addition, it gave height to the cistern. The base (Ghors) helps cisterns
height to be higher and it helps to the movement of airflow, which is affected on the water to be
fresh and cold (Kamal 1999:156).
Shape of the Dome:
To make the shape of the dome, the architecture was picking and sticking the stones row by
row and each new row were organizing the stones more forward. That was the way as it goes
higher the stones size was becoming smaller. Usually after building four rows, ceiling should get
one-meter slope to achieve the shape of the dome. In the huge sizes of cisterns, two Ghors (base)
were required to stay the dome on it (Fig.12). After building the dome, outline were covered by
mortar, to protect the mortar from the cracks resulted by water and strong heat in this area they

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were covering it by plaster and clay.

Figure 12: Circular plan and domes roof, July 2011

On the top of the pond there is a stone element (Kakol) when it appearances means that the work
is completed. The dome was installed on the wall, which has been called (Ghors) which means
strong and fit. In addition, it gave height to the cistern. The base (Ghors) helps cisterns height to
be higher and it assist the movement of the airflow, which is effected on the water to be fresh and
cold. To attract less sun with heat transfer, they had made the cover of the cistern with plaster. In
addition, the white color of the plaster helps passengers to aware of water from the far view.
Air Conditioning in the Cisterns:
In Evazs cisterns, they use the holes around the cistern with the specific distances instead of the
wind tower (Fig.13).

Figure 13: Holes around the cistern, July 2011

Materials used in the Cistern:

Certain materials used in the construction of the pond. They used stone and mortar in the floor
(source) of the ponds and in building stone tablets .They made the mortar soft, hardly with shovel. Unlike plaster, mortar can be very resistant and durable in an environment where there is lack
of water. The plaster in dry and away from water can be more durable based on the experiences
and human resources over time, Homeira Kamal has mentioned in his book (2004:158). According-

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ly, mortar used for floors and walls which in directly connected to the water and plaster used for
dome and the top which is in dry area and under the sun.
Nowadays, because of the difficulties in making mortar material, architecture is using cement
instead of mortar, which does not have the same value of mortar. In addition to the design of the
cistern in the past, they were building two shelters with stone platform attached to the cistern
for passengers and caravans whom were passing that way, but in nowadays, they do not apply
it anymore. The way to the access of water source was stone stairs, which has been made inside
the cistern periodically. The amount of the stairs was depending on the size of the cistern. In the
front of the cistern in direction of water flow were small, hence pond this part protects water from
waste and suspended things.
This specification was applied in cisterns out of the city as well with a small difference. In cisterns
out of the city there were platform in the direction of Qebla (Muslims pray direction) for passengers who want to pray in the comfortable place. Mostly the cisterns belonged to Safavie Empire
(1502 - 1736) which has been repaired after.

Figure 14: Holes around the cistern (SEEIRAN 2011)

Current Water and Climate Situation in Evaz
Lack of water and hot climate has created the reason for native people to immigrate. Since long
time back Evaz faced with a problem of drinking water. In the past, the citys tap water was salty, it
was only for use of washing, and watering the plants, however in January 2008, they have started
to use fresh water piping network of the city of Salman Farsi Dam. Although Evaz is still facing
with the same problem of water and using the water from cisterns to supply its water demand
became an issue because the abundance of fresh water that is subject to sufficient rainfall to fill
the Salman Farsi Dam. In the past and today, the main source of drinking water and of this city
were large stocks of the cisterns inside and outside of the city. According to the latest statistics,
about 750 large and small cisterns (water reservoirs) to supply drinking water in the city made by
the people of the region (IAU 2015).
Problems of Cisterns:
The first problem, which has been mentioned in the research, was lack of rainfall, which is related to the climate conditions; some other problem has been created in these years and was the
reason to stop using some of the cisterns. The quality of water after drought reduces because for

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long time water is moveless and some people does not use the water through healthy ways so
the place will have a contamination. That is why people stopped using them. On the other hand,
the study proposes some sustainable design solutions for these problems, which can solve this
issue and people, can continue using the rainwater in a face of fresh and healthy way. As soon as
most of the water requirements are supported by cisterns, it is necessary to solve human health
hazards in cisterns.
Sustainable Solution:
The best way to protect the water from microbe and bacteria is water filtration idea. Water filter
machine can create movement in the water in addition to kill the bacteria and hazards inside
the water. To activate the filter electricity is the major element, which is required but the lack of
power, is another problem, which also requires another solution. As mentioned before, Evaz has a
strong solar power, which has not been used until today. Using solar panel to produce electricity
for those water cisterns will be great idea. As per the research on different kind of solar panels, it
has been discovered that with installation of a solar panel on one cistern can produce electricity
power to nine other cisterns as well. Radiation of sun in the south orientation is more powerful
than any other orientation (Fig.15).

Figure 15: Radiation of sun in Iran (1999-2011) (GeoModel Solar 2015)

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Figure 16: Specification of the climate data in different month of the year (NASA 2015)
Solar based on 10 numbers of 740W load for 12 hours with 1-day autonomy. The filter will work
with electricity generated from the solar panel and each solar panel will be enough for 10 cisterns.
From the panel, electricity will be transferring to another cistern and all of the generators will
proceed with filtering water for more safety and healthy environment. Details of the solar plan
are shown in Figure 17.

Figure 17: Process of the solar panel (Apex Power Concepts 2015)

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Outline:
Panels are used to power the load. Charge controllers are used to control the charging of the
batteries, which enhances the life of the batteries. Batteries are used to store charge and power
the load when the sun is not shining. The batteries are designed to operate for 1-day of no-sun
back-up. An inverter is provided to convert DC power form the battery to AC power so that the
loads can be operated. Cables and connectors are provided to wire the system completely. A solar
mounting stand is provided to place the panels. Because of the dome shape in water cistern, it has
been decided to design the solar panels in with the dome shape. After analyzing both quotations
for two different panels, there was a huge price difference. Therefore, the decision was to choose
the normal shape of solar panel, the specification of the panel is mentioned in Figures 18 and 19.

Figure 18: Dome shape solar panel idea/concept

In the dome shape solar panel design, cistern looks more beautiful but the price increased a lot.
In the city similar to Evaz, investing for this amount of money needs management that is more
precise. With the experience of being in cultural and city development meetings of Evaz city,
discovered that Evazi people are interested to invest and develop their small city of less natural
resources. Although this idea and concept is looking beautiful and useable, the cost is not reasonable. Therefore, the second option will give same process and good amount of power to filtrate
the water for peoples daily water use.

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Figure 19: Price list of solar panel for dome shape solar design for 10-cistern power generator (Apex
Power Concepts 2015)

Figure 20: Rectangle shape of the solar panel idea/concept

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Figure 21: Price list of solar panel for rectangle solar design for 10-cistern power generator (Apex Power Concepts 2015)

Conclusions
In sustainable solutions, all the matters should be considered carefully and precisely. Especially
when the product is cost is high. In the first stage, designer should consider who is going to pay
for the product and how it is going to help the city and the people living in it. Evaz had built universities, schools and hospitals on the support of the people and they are highly looking forward
to improve the city. Therefore, applying this solution is not far from what has been suggested and
proposed within this paper with the support of this study. Some related research have already
shown the benefits can be achieved from applications of solar panels; how effective solar panels
can be and extensive amount of electricity that can be generated from the sun, because of Irans
geographical position and the gaining amount in solar radiation. Therefore, the considerable
amount in cost and energy can be saved for the future of the Evaz city in Iran.

References
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apexpowerconcepts.com/.
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at: http: //www.epnu.ir/.
EPNU, 2015, Population of Evaz City, 2010, Current Population of Evaz, [Online]. Available at: http://www.epnu.ir/.
GEOMODEL SOLAR, 2015, Average Annual Sun of Iran, 1999-2011, Situation of Solar Radiation power in Iran, [Online].
Available at: http://solargis.info/doc/_pics/freemaps/1000px/ghi/SolarGIS-Solar-map-Iran-en.png.
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KARAMATI, M.H., 1953, History of Pleasing Evaz, Tehran.

KAMAL, H., 1990, Historical and Architectural Background about the City of Evaz, Historical and Artistic Effects of Evaz,
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Session IV

EVALUATION AND VISUALISATION OF THERMAL

PERFORMANCE OF INDUSTRIALISED HOUSING
CONSTRUCTION IN CENTRAL MEXICO
Habid Becerra-Santacruz1, Panagiotis Patlakas2 & Hasim Altan3
1 Environmental Design, Faculty of Architecture, Universidad Michoacana de San Nicolas de Hidalgo (UMSNH), Mexico,
[email protected]
2 Built Environment Group, Southampton Solent University, UK, [email protected]
3 Sustainable Design of the Build Environment, Faculty of Engineering & IT, British University in Dubai, UAE, hasim.
[email protected]

Abstract
Mass industrialised low-income housing is a building typology that is common in Mexico
and possesses characteristics that differentiate it, in scale and social impact, to similar developments in other parts of the world. The business needs and socioeconomic factors behind
these initiatives mean that the environmental performance is typically of low or no importance to developers, who instead are primarily concerned with speed of erection and profit
margins. However, such developments present particular interest to the environmental design researcher, as the large number of identically constructed buildings, occupied by users
with similar socioeconomic conditions and usage patterns, allowing for comparative studies
that isolate specific aspects. This paper presents initial results from an extensive Post Occupancy Evaluation (POE) field surveys conducted over a period of 2 years in Morelia, Mexico.
The monitoring phase encompassed 12 dwellings with four different orientations (North, East,
South, West), measuring internal temperature and relative humidity levels at 10-minute intervals over the two distinct seasons of the climate of the area (Cool and Warm).The results are
commented upon and initial conclusions are drawn that aspire to guide research and practice future developments in this type of construction. In addition, an important aspect of the
work is the presentation and communication of the collected data for different stakeholders
involved in design, construction, and operation phases. The monitoring results are presented
not only in the standard graph formats, but also via 4d interactive visualisation approaches,
relying on a proprietary research software prototype. Observations on the use of the software
are made as well as comments on the potential of visualisation methodologies to communicating building performance data to non-expert stakeholders.

Keywords
Post Occupancy Evaluation, Industrialised Housing, Visualisation, Thermal Performance,
Mexico.

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Introduction
Background
The accelerated growth of the population in Mexico during the 1960s brought consequently a
large housing deficit, particularly in the major metropolitan areas. According to Boils (2006), in
order to cover the housing deficit in the country, it is necessary to build an average of 1 million
houses per year for period of 10 years. A major Real Estate Investment business states that an average of 850,000 new homes per year are required until 2020 when the rate of household formation will start to decrease (Gomes, 2004). The National Population Council (CONAPO) estimated
that in 2010 there would be nearly 30 million homes in Mexico and by 2030 a total of 45.6 million
households (CONAPO, 2012) which involves an average growth of 780,000 new homes per year.
These figures clearly show the countries big housing demand. As a result, during the last decade
different federal agencies, international aid associations, as well as private and public organisations have been taking some actions to promote the housing sector. In 2007 the State set a goal
to provide 1,000,000 new homes per year between 2007 and 2012 (Federal, 2007).
The strong need for great quantities of low income housing, together with an advanced construction sector headed by big consortiums, have led to innovative construction solutions based
on a mass industrialised housing production (MIHP), which allow the rapid delivery of significant
volumes.
Mass Industrialised Housing Developments in Mexico
Today because of different federal actions taken towards housing development, Mexico is one
of the hotbeds of mass industrialised housing production (MIHP) worldwide. Two of the largest mega housing developments of Latin America are located in the metropolitan zone of Valle
de Mexico, in the municipality of Ixtapaluca; Los Heroes with 20 thousand dwellings, and San
Buenaventura with 23 thousand homes (Miranda, 2012). Figure 1 illustrates the urbanisation model and the monotony of developments where the same housing design has been constructed
repeatedly.

Figure 1: Aerial views from the 23 thousand homes development San Buenaventura located in Ixtapaluca, Mexico state - (a) Photography by Artist Livia Corona, (b) Google Maps (2015) (c and d) Oscar Ruiz

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The vast majority of the housing developments are located far from the centre of the city, in
the periphery, where land is cheaper. Typically, these developments are fitted with minimal infrastructure, lack the provision of urban and community services and have not been integrated into
the transport or infrastructure networks. Mass housing developments are commonly shaped by
dwellings of one and two levels, covering large areas of land with very low-density housing with
low numbers of inhabitants per hectare (Snchez, 2012). These developments, have little variety in
their design, and are developed from clusters of about 50 homes, opening the possibility of gated
sections within the development (Hernndez et al., 2005; Peralta and Hofer, 2006; Coulomb et al.,
2009; Lopez-Silva et al., 2011; Lpez Estrada and Leal Iga, 2012; Gilbert, 2014).
Furthermore, these developments are constructed in areas where the climate conditions can be
challenging, the environmental and energy performance of those is rarely a primary consideration, as factors such as erection speed and cost minimisation typically take priority. In this context,
there is evidence indicating that a significant number of new housing construction has serious
problems of comfort that are relatively reflected in high consumption of energy (Coulomb and
Schteingart, 2006).
Industrialised Building Systems (IBSs)
Many of the mass housing developments in Mexico have been achieved by using industrialised
building systems (IBSs) through the production of repetitive prototypes. Trikha (1999), has defined industrialised building system as a building system in which all building components such
as wall, floor, slab, beam and staircase are mass produced either in a factory or at the site under
strict quality control and minimal onsite activities. Under the category of mass produced in site,
large housing developers in Mexico have widely adopted the IBSs also known as Concrete Formwork System.
The Concrete Formwork System uses two main components: concrete and steel; this characteristic allows accurate calculations of inputs and consequently, zero waste. Working in this way,
significant savings can be achieved and higher profits can be earned by companies (Hernndez
et al., 2005).
In the construction process, all elements of the house are cast simultaneously by pouring the
concrete in the formwork, which is previously placed to form walls and ceilings; the prefabricated
details are added in a final stage (Fig.2). This systematic process of identical and repetitive actions
is a linear method that can be easily replicated, allowing total control of housing production. In
this way, companies manage to make considerable savings regarding monitoring costs, construction management and production.

Figure 2: Dwellings constructed via industrialized building system of Concrete Formwork

Thermal performance of industrialised housing construction in Centra

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Presentation of the case study

The present study has been carried out in the city of Morelia, which has a warm-temperate climate and is located in the central part of Mexico (Fig.3). During the last decade, the city of Morelia
and neighbouring municipalities have also presented a fast urbanisation grow where many mass
industrialised housing developments were built. Table 1 presents the 10 largest housing developments built after the year 2000, which all-together accounts to nearly 40 thousand homes and 50
thousand Inhabitants.

Figure 3: Location of Morelia

Table 1: Low-income housing developments located in the city of Morelia (INEGI, 2011; Matus R.
M. and Ramrez A. R., 2013).
Name of the Hosing Development

Number of Dwelling

Number of Inhabitants

Conjunto Habitacional Villas del Pedregal

14000

10934

Fraccionamiento Misin del Valle

5484

8663

Villa Magna

3175

4577

Fraccionamiento Galaxia Tarmbaro

3009

5989

Fraccionamiento Metrpolis II

2998

5973

Lomas de la Maestranza

2572

2432

Villas de la Loma

2057

4336

Conjunto Habitacional la Hacienda

1720

1848

Campestre Tarmbaro

1655

2774

10

Fraccionamiento Hacienda del Sol

1591

1848

38261

49374

Total

The largest housing development in Morelia called Villas del Pedregal, which today has around
14,000 dwellings, has been built using the described industrialised system, based on reinforced
concrete formwork. All elements, including both load-bearing and non-load bearing, are poured
in place, using lightweight formwork panels. The development is particularly suited for environmental design research as it consists of identical housing designs. The modularity and repeatability of the construction process, together with the extremely large available sample, provide an

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opportunity to study the performance of a specific building typology under a variety of orientations and environmental conditions. Figures 4 and 5 present the housing development and the
housing design under study.

Figure 4: Development studied; Villas del Pedregal

Figure 5: House model studied

Thermal performance of industrialised housing construction in Centra

229

Methodology
A Post Occupancy Evaluation (POE) has been carried out as a main methodology using the case
study Villas del Pedregal development from Morelia. The thermal performance assessment involved a long-term seasonal monitoring of the indoor climatic conditions (air temperature and
relative humidity levels) of 12 selected houses, where three dwellings per orientation were chosen; facade facing North, East, South and West. All monitored dwellings were occupied by families
and none of them have air conditioning or any type of space heating systems.
HOBO U10-003 data loggers (Fig.6) were used as a monitoring instrumentation, complying with
the ranges and accuracy levels specified on Table 2 of Standard ISO 7726 (1998) for measuring the
physical variables of the environment. The operating ranges of these data loggers are -20 to 70C
for temperature, with a resolution of 0.02C, and a 0 to 95% for Relative Humidity, with a resolution of 0.1%. Accuracy for temperature is 0.4C from 0C to 40C, and for RH 3.5% from 25% to
85% over the range of 15C to 45C, 5% from 25% to 95% over the range of 5C to 55C. The time
accuracy is 1 minute per month at 25C (HOBO, 2010).

Figure 6: Data-logger Onset HOBO U10-003 used for monitoring

The monitoring was carried out during 42 consecutive days (six weeks) in two seasons: the cold
period from the 17th of December 2008 to the 27th of January 2009 and the warm period from the
11th of May to the 21st of June 2009. The chosen periods were determined by the weather analyses of the region identifying the months that presented the most extreme conditions during the
year. Two data loggers were used on each house, collecting data from the bedroom and the living
spaces (kitchen, dining and living room) where the residents spend most time. Figure 7 shows the
design and distribution of the house, and location where the instrumentation was installed. The
recordings of air temperature and relative humidity were set at 10-minute intervals. As a result,
the housing monitoring generated a detailed database of the indoor environment with a total
number of 580,608 readings from both seasons.

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B ackyard

B ackyard

B edroom

B edroom

K itchen

K itchen

F acade

B ackyard
Dining Area

Living Area

Living Area

B edroom

B athroom B athroom

F loor P lan
1.00

B edroom

S ection

Metres

G R AP HIC S C ALE
0.00

B ackyard

Dining Area

2.00

3.00

4.00

5.00

Figure 7: Floor plan, facade and section of the house model studied and location of the data-loggers

Results
Thermal Performance Assessment
Occupants in residential buildings have a comprehensive flexibility to adjust their clothing and
activities, as well as carrying out actions such as opening and closing windows to regulate natural
ventilation, which allow them to feel comfortable. In this context and also aiming to promote energy conservation, the Adaptive Comfort Standard (ACS) from ASHRAE-55 was used to establish
the neutral temperature and comfort limits for the region under this study. Results from a field
study (Figueroa-Villamar et al. 2014) conducted in a very similar context and similar buildings, validated the use of the Adaptive Comfort Standard (ACS). The neutral temperature (Tn) and comfort
zone for each monitored season were calculated using ACS, the thermal boundaries were defined
for 90% of occupant acceptability at 5 K (2.5C on either side of the neutral temperature) and for
80% of occupant acceptability at 7 K (3.5C on either side of the neutral temperature). For relative
humidity a range between 30% and 80% is still acceptable (ASHRAE-55, 2004; CIBSE, 2006; Szokolay and Docherty, 1999; ISO-7730, 1994).
Table 2 presents the comfort temperatures and thermal boundaries for 90% and 80% of occupant
acceptability on each season. Tn was calculated using the formula from ACS, the average outdoor
temperatures, provided by a local meteorological station were calculated over the 42 monitored
days of each season. Once the boundaries were established, the measurements were compared
against the comfort zone to evaluate the thermal performance. The nomenclature established in
Table 3 has been used in the analysis of this study to identify the rooms and its orientation.

Thermal performance of industrialised housing construction in Centra

231

Table 2: Comfort temperatures and thermal boundaries of Morelia over the two seasons under
this study
90% acceptability

80% acceptability

42 days period
measurement

T out

Tn

Tn max

Tn min

Tn max

Tn min

Cool season

15.4

22.6

25.1

20.1

26.1

19.1

Warm season

21.6

24.5

27.0

22.0

28.0

21.0

Table 3 Nomenclature for the houses and spaces analysed

Orientation
Room

North

Common space

1A

2A

3A

4A

East
5A

6A

7A

South
8A

9A

10A

West
11A

12A

Bedroom

1B

2B

3B

4B

5B

6B

7B

8B

9B

10B

11B

12B

Cool Season
Figure 8 shows external and internal air temperatures for the 12 monitored houses, on which it is
possible to notice an outdoor great daily fluctuation, reaching up to 20C difference throughout
the same day. During this season, the lowest outdoor temperature registered was 5C and the
highest was 26.40C. The indoor temperature followed the outdoor temperature fluctuations but
these were less pronounced; the average maximum temperature of all rooms was 23.32C and
the average minimum was 15.97C. Week Five registered the lowest outdoor temperatures, which
has an impact in the indoor climate where the average temperature was 18.40C. The average
maximum temperature was 22.22C and the average minimum was 15.47C. However, from these
graphs it is difficult to judge in which degree the houses offered or failed to provide comfortable
conditions to the occupants.

Figure 8 Outdoor and indoor air temperatures for 12 houses common rooms and bedrooms over the
cool season

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Indoor relative humidity levels were found to follow, in some proportion, the fluctuations of outdoor relative humidity. Figure 9 shows the outdoor and indoor relative humidity of all monitored
rooms plotted against the relative humidity comfort zone (30% < RH < 80%). This season presented maximum outdoor relative humidity of 96%, minimum of 14% and average of 60%. In comparison to the outdoor, the indoor presented lower amplitude in the fluctuations, the average maximum indoor relative humidity of the 24 monitored rooms was 85%, average indoor was 35% and
total average was 62%. Another important observation from these figures is the fact that indoor
relative humidity levels did not follow the same or similar pattern in all rooms, like the case of air
temperatures. In this case, it is suggested that indoor relative humidity was influenced by the lifestyle of the occupants, assuming that operation of openings as well as occupants activities such
as cooking, ironing, and showering have influenced the relative humidity levels indoors. These
graphs also highlight that although indoor relative humidity levels vary with the time; these levels were within the comfort range (30% < RH < 80%) most of the time. The 24 monitored rooms
were 97% of the time inside this range; therefore, no further analysis was required in terms of
relative humidity during this season.

Figure 9: Outdoor and indoor relative humidity for 12 houses common rooms and bedrooms against
the comfort range (RH <30% >80%) over the cool season

Figure 10 exemplifies the outdoor and indoor temperature profiles against the 90% and 80% acceptability comfort zone along week five, for rooms 1A, 2A, 3A facing North. In most of the rooms,
indoor air temperature followed the same fluctuations patter with minimal air temperature differences. Despite that, outdoor air temperatures reached their lowest temperature of 6.0C, indoor
temperatures never fell below 14.2C during this week. However, as can be seen from the figures,
these temperatures are still well below the comfort zone and all the houses failed to offer comfortable conditions.

Thermal performance of industrialised housing construction in Centra

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Temperature in degrees centigrade

32
30
28
26
24
22
20
18
16
14
12
10
8
6
4

14/01/09
00:00

14/01/09
12:00

15/01/09
00:00

15/01/09
12:00

16/01/09
00:00

16/01/09
12:00

17/01/09
00:00

17/01/09
12:00

18/01/09
00:00

18/01/09
12:00

19/01/09
00:00

19/01/09
12:00

20/01/09
00:00

20/01/09
12:00

Week 5
Cmf zone 80%

Cmf zone 90%

Out Temp

1A

2A

3A

Figure 10: Outdoor and indoor air temperatures for North facing common spaces against the comfort
zone for 80 and 90% acceptance during week five
In order to evaluate the degree to which the houses failed to provide comfortable conditions to
the occupants, the number of discomfort hours (DH) and the percentage of discomfort hours
(PDH) per room outside the wider comfort zone (7K) for 80% acceptability were calculated. From
this calculation, none of the rooms reached temperatures above the upper comfort limit. By contrast, all rooms significantly felt below the lower comfort limit, table 4 presents the results from
this calculation. From here it is possible to observe that rooms of faade facing south (7A, 8A, 9A
and 7B, 8B, 9B) presented lower percentage of discomfort (compared to other rooms of faades
facing different orientations) during the entire monitored season. In six weeks period, the average
discomfort percentage for A rooms on the North orientation was 55%, on the East was 44%, on
the West was 56% and on the South was 27%. Average discomfort percentage for B rooms on the
North orientation was 50%, on the East was 42%, on the West was 47% and on the South was 25%.
This indicates that all rooms on the North, East, and West orientations require heating 50% of the
time to achieve comfortable conditions.
Table 4: Number of discomfort hours (DH) and the percentage of discomfort hours (PDH) per
room outside the wider comfort zone (7K) for 80% acceptability along the cool season
Common rooms
1A

2A

3A

4A

5A

6A

7A

8A

9A

10A

11A

12A

DH

464

642

553

479

380

450

212

278

313

652

545

508

PDH

46%

64%

55%

48%

38%

45%

21%

28%

31%

65%

54%

50%

Bedrooms
1B

2B

3B

4B

5B

6B

7B

8B

9B

10B

11B

12B

DH

418

537

549

462

313

495

102

311

342

540

546

338

PDH

41%

53%

54%

46%

31%

49%

10%

31%

34%

54%

54%

34%

Warm season
Figure 11 presents an overview of the thermal performance of the houses over the warm season.
In general, all the houses performed in the same way, following a similar pattern of temperature
fluctuations. This season also presented a great outdoor daily fluctuation, reaching up to 16C difference throughout the same day. During this period of measurement, the lowest outdoor temperature registered was 12.91C and the highest was 32.15C. The indoor temperature also followed
by the outdoor temperature fluctuations with a smaller difference, however, it is highlighted that

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during this season, indoor temperatures exceeded outdoor temperatures. The average maximum
temperature was 32.07C and the average minimum was 23.42C. Week five was the warmest week
in this season where the average maximum temperature was 34.39C and the average minimum
was 26.18C.

Figure 11: Outdoor and indoor air temperatures for 12 houses common rooms and bedrooms over the
warm season

Figure 12 shows the indoor relative humidity levels from the monitored 12 houses against the
comfort range (RH 30%< <80%) over the warm season. This period presented the maximum outdoor relative humidity of 90%, the minimum of 19% and the average relative humidity of 56%. In
comparison to the outdoor, the indoor presented lower amplitudes in the fluctuations, the average maximum indoor relative humidity of the 24 rooms monitored was 71%, the average indoor
was 23%, and the total average was 48%. In comparison to the cool season, indoor relative humidity in this season presented closer and more consistent relation with the outdoor relative humidity. In this case, it is suggested that this was influenced by the operation of openings allowing
greater natural ventilation, and therefore, following a very similar pattern to the outdoor relative
humidity. Most importantly, this figure (Fig.12) highlights that although indoor relative humidity
levels vary with the time, these levels were most of the time within the comfort range (RH 30%<
<80%). The 24 monitored rooms were 97% (same as the cool season) of the time inside this range;
therefore, no further analysis was required in terms of relative humidity during this season.

Thermal performance of industrialised housing construction in Centra

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Figure 12: Outdoor and indoor relative humidity for 12 houses common rooms and bedrooms against
the comfort range (RH 30%< <80%) over the warm season

Temperature in degrees centigrade

Figure 13 illustrate both the outdoor and indoor temperature profiles against the 90% and 80%
acceptability comfort zone along the warmest week (week five), for rooms 10A, 11A, 12A facing
West. These rooms presented the most critical conditions concerning thermal performance, indoor temperatures reaching just above 36C. This figure (Fig.13) also highlights that the indoor air
temperatures were usually outside the comfort zone and all the houses failed to offer comfortable conditions.
38
36
34
32
30
28
26
24
22
20
18
16
14
12
10

08/06/09
00:00

08/06/09
12:00

09/06/09
00:00

09/06/09
12:00

Cmf zone 80%

10/06/09
00:00

10/06/09
12:00

11/06/09
00:00

Cmf zone 90%

11/06/09
12:00

12/06/09
00:00

Week 5
Out Temp

12/06/09
12:00

10A

13/06/09
00:00

11A

13/06/09
12:00

14/06/09
00:00

14/06/09
12:00

12A

Figure 13: Outdoor and indoor air temperatures for West facing common spaces against the comfort
zone for 80 and 90% acceptance during week five
Table 5 shows the number of discomfort hours and the percentage of discomfort hours per room
outside the comfort zone for 80% acceptability. In this analysis, it is possible to observe that the
difference of percentage of discomfort between different orientations was less pronounced in

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comparison with the cool season. However the rooms of faade facing west (10A, 11A, 12A and 10B,
11B, 12B) presented slightly higher percentages of discomfort during the entire monitored season.
The six weeks period average discomfort percentage for A rooms on north orientation was 37%,
on east was 45%, on south 37%, and on west 48%. Average discomfort percentage for B rooms on
north was 37%; on east was 41%, on south 41%, and on west 44%. The total average discomfort
percentage for all rooms was 41%.
Table 5: Number of discomfort hours (DH) and the percentage of discomfort hours (PDH) per
room outside the wider comfort zone (7K) for 80% acceptability along the warm season
Common rooms
1A

2A

3A

4A

5A

6A

7A

8A

9A

10A

11A

12A

DH

404

409

315

421

479

456

394

412

302

494

510

383

PDH

40%

41%

31%

42%

48%

45%

39%

41%

30%

51%

53%

40%

8B

9B

10B

11B

12B

Bedrooms
1B

2B

3B

4B

5B

6B

7B

DH

369

410

338

346

451

447

509

356

372

426

505

329

PDH

37%

41%

34%

34%

45%

44%

50%

35%

37%

44%

53%

34%

The Importance of Novel Visualisation Methods

As can be evidenced from the above, the process of environmental data logging typically results
in significant amounts of data. The standard presentation of this data in 2D graphs is common in
many scientific and engineering disciplines, and researchers are generally highly adept at interpreting those.
However, this does not necessarily mean that other stakeholders are equally conversant with such
approaches, or equally committed to investing the time and effort required in interpreting such
graphs. This can be particularly important as designers, clients, facilities managers, users, and
decision makers would all benefit from having a better understanding of building performance
in-context.
The benefits of visualisation in general are well-established; visualisation enables better comprehension of data, it facilitates hypothesis formation, and allows for multi-scale evaluation (Ware
2012). The latter is particularly important for projects such as the one presented here, where a large
number of buildings was logged and the comparison of different buildings via graphs becomes
complex very quickly. Lai et al. (2010) review a number of benefits of 3D visualisation discussed in
the literature, such as contribution to a users learning process, intuitive and natural appearance,
sense of immersion in the environment, in the context of Environmental Impact Assessment.
Visualising the output in EnViz
The collected datasets were visualised in EnViz, a research software application for the visualisation of environmental data. The software is developed in Java SE 7, utilizing the OpenGL programming interface for the 3D graphics, as implemented via the Lightweight Java Game Library. The
3D models are imported in the COLLADA format via a custom-built parser, and the data logger
output in the Excel format, using standard freely available libraries.
Approximately 250,000 measurements were parsed for the purposes of this study. The models
were built in SketchUp; each building was separated in three distinct volumes: Living Area (Data
logger 1), Bedroom (Data logger 2), and other areas (not logged). The visualisation used was both

Thermal performance of industrialised housing construction in Centra

237

static 3D (Fig.11) and dynamic 4D (Fig.12). In addition, there is support for the setting up of thermal
comfort criteria, with an immediate inspection of which models pass or fail.

Figure 11: Zoom-in of the collected volumetric models

Figure 12: Visualisation of relative humidity data

The source data was also used in workshops that aimed to measure the efficiency of the visualisation process. These were carried out in three workshops at a university in Mexico, and the results
have been documented in an academic paper (Patlakas et al. 2014).

Conclusions
The use of industrialised building systems for low-income housing in Mxico has been a success
in terms of delivering mass quantities of housing to cope with the high demand. From an environmental point of view, the current IBSs have failed to provide desirable indoor thermal conditions.

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The results from the extensive POE have demonstrated that even using the adaptive comfort
criteria, the concrete formwork system demands the use of mechanical ventilation around 50%
of the time (in both warm and cold seasons) in order to provide suitable indoor thermal comfort
conditions.
The wide applicability, engineering advantages, and significant financial and socioeconomic benefits derived from MIHP mean that this approach is highly likely to continue and expand in the
future. In this context, it is essential that designers, developers and decision-makers implement
common sense practices to overcome easily avoidable problems, especially during the early
stages of the design process. The current paper provides a clear picture of the overall thermal
behaviour of the studied industrialised building system and can function as an indication of the
weaknesses of such systems to designers, researchers, and other stakeholders to the further development of MIHP.
More generally, and with regard to the general discipline of environmental design research, the
4D visualisation exercise contributed to a better understanding of the data, especially with regard
to comparing different buildings. It also highlighted the potential of novel presentation methods
to communicate the results to non-expert stakeholders. The importance of POE surveys can be
realised by the wider community only if the logging output is easily understood and not viewed
as the domain of the specialist. The integration of such datasets in the wider context of Building Information Modelling can enhance this further and allow the whole life-cycle monitoring of
buildings to become a routine part of the design process.

Acknowledgements
The authors would like to thank Grupo Herso for providing the monitoring equipment for this
study. This research project was funded by the National Council for Science and Technology
(CONACYT) of Mexico. The developer of the case study was not involved in the writing of this
paper.

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International Conference | Bari - Lecce, Italy

Session IV

MODELLING OCCUPANT ACTIVITY PATTERNS FOR

ENERGY SAVING IN BUIDINGS USING MACHINELEARNING APPROACHES
Jose Luis Gomez Ortega1 & Liangxiu Han1
1School Of Computing, Mathematics & Digital Technology, Manchester Metropolitan University, UK,
[email protected]
2School Of Computing, Mathematics & Digital Technology, Manchester Metropolitan University, UK,
[email protected]

Abstract
Since occupants play an important role in the energy consumption in buildings, it is crucial
to develop accurate models of occupant behaviour patterns for the automation of building
management systems. With the advancement in information and communication technology
(ICT), machine-learning technologies have been used for accurately modelling and learning
occupant behaviour patterns based on environment sensing. In this work, we have developed
a pattern recognition model based on non-linear multiclass Support Vector Machine classification approach, to accurately detect occupant behaviour patterns by modelling human activities of daily living (ADL). To evaluate the proposed model, we have selected multiple public
datasets collected by different teams from diverse ambient sensors (i.e. motion, contact or
pressure sensors). Two different data pre-processing techniques (i.e. Timeslice approach (TA)
and chunk data (CDA)) have been developed for facilitating the construction of the models.
Furthermore, we have also compared our model with other machine learning techniques (i.e.
Hidden-Markov Model (HMM) and k-Nearest Neighbours (KNN)). The experimental results
have shown that the proposed SVM-based model outperforms the other methods in terms
of accuracy in three different scenarios for Dataset1 using the TA method and for the second
dataset evaluated, combining CDA data pre-processing and SVM approaches, the accuracy is
higher than other methods such as HMM and KNN.

Keywords
machine learning, SVM, mathematical modelling, energy efficiency, sensors.

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1 Introduction
Different studies and organisations claim that buildings are one of the major sources of carbon
emissions. In fact, it is been estimated that the energy consumptions from buildings in the UK
reaches values over 40%(de Wilde et al., 2013). In order to comply with the national and international CO2 reduction targets set, various solutions have been adopted for energy saving in buildings in recent years, such as improvements in the thermal insulation or renovation of windows,
boilers etc. In addition to this, recent studies (Haldi and Robinson, 2009)(Azar and Menassa, 2012)
show that occupants have a large impact on energy consumption in building. Occupants not only
generate heat and moisture through their natural metabolism, but also their behaviour patterns
will determine the use of the different building systems and consequently the final energy (Teixeira et al., 2010).
Due to all these considerations, we must try to find the best ways to automate BMS such as lighting or heating efficiently, so as to maintain the real user needs, but using only those resources that
are strictly essential for the actual occupation of the building.
It is evident that the indoor parameters such as ventilation rates, indoor temperature or lighting
will be different depending on the occupant activity performed (e.g. sleeping will require little
lighting while shower will require high rates of ventilation to eliminate moisture). Therefore, by
knowing at all times the current activities being performed, we will be able to use that information to regulate systems adequately.
To carry out these tasks we will need to collect information from users and indoor parameters and
also we will need to learn from that data to identify the patterns that occur for each activity. For
the former, we can collect information through ambient sensor readings (sensors such as motion,
temperature or contact sensors are ubiquitous, inexpensive and easy to deploy and handle). For
the latter, machine-learning (ML) based modelling approaches have shown a great potential to
learn patterns from sensor data and recognise daily activities.
In this work, we propose a new activity pattern recognition model using machine-learning approaches to accurately identify occupant activities. We train the model based on two public available datasets (Kasteren, 2011)(Cook et al., 2013). We constructed our model using a multi-class support vector (Burges, 1998) and compared its accuracy against other existing approaches namely
HMM (Rabiner, 1989) and kNN (Indyk, 1998).
The rest of the paper is organised as follows: Section 2 reviews the previous related work in the
field. Section 3 explains the methodologies used in our experiments by firstly introducing the
modelling techniques, the datasets used for model training and validations. Section 4 presents
and discusses the results of the experimental evaluation. Finally, Section 5 concludes the work
and highlights the future works.

2 Previous related works

Occupant behaviour and activity modelling has been developed lately with the introduction of
multiple models to capture human patterns in order to create novel adaptive systems to regulate
BMSs accordingly. Different machine learning approaches have been used as in Pages model (Page
et al., 2008) where an HMM based algorithm simulated presence and absence of people in an office building using motion sensors. Other models attempted to simulate occupancy by modelling

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not just presence, but also inferring the number of occupants inside a space through multi-sensor
readings. As in Mamidis work (Mamidi et al., 2012) where a combination of multiple sensors (i.e.
motion, temperature, humidity and CO2) readings was fed into different machine-learning approaches such as SVM reporting high standard results from the models evaluated.
One important research objective in the human pattern modelling in buildings is the development of activity pattern recognition (APR) models, which are mainly focused on the modelling of
occupant activities (ADL classification) in domestic scenarios. User activities are estimated from
sequences of sensor readings by identifying sensor event patterns to infer which activity occupants are conducting. The ultimate goal for activity models would be the creation of ambient
intelligence environments to adapt the systems in place to real user needs. These include diverse
applications such as digital houses or healthcare systems which try to monitor patients or elderly
people and discover any abnormal behaviour that could represent a symptom of illness or accident. It is normal therefore for these scenarios to incorporate a high sensor density and diversity
(the latter depending of the complexity of the activities intended to model). From the TV to media
devices, appliances, communications, security or the mentioned healthcare issues, all of them are
common applications for APR models. Existing Approaches of Activity Recognition Smart home
is a concept frequently related to APR, since the main goal of these models is to regulate and automate different equipment at home, seeking the ultimate user satisfaction. One of the pioneering works was proposed in (Si et al., 2005) where the authors used data from RFID and wireless
sensors (temperature, light and PIR) and contacts to detect phone calls. By means of fuzzy sets to
integrate them, they used HMM to run the model limited to 3 scenarios in which lights, music and
TV where regulated. In (Aipperspach et al., 2006) they also used Markov models but with datasets
from Georgia Aware Project and MIT House which consisted of piezo sensors (floor pressure) data
to detect movement patterns at home.

3 Methodology
In this work, we propose a new model to identify and detect occupant daily activities in buildings
more accurately using publicly available datasets based on non-linear multiclass SVM-based approach. We have developed two new data-pre-processing approaches and have compared the
accuracy performance of our proposed methods with existing approaches (HMM and KNN) with
two data pre-processing approaches.
3.1 Activity Recognition Data Description
Activities of daily living might be of a very diverse nature. The number of activities and the nature
of the activities labelled will depend on the scenario and the sensors available. For example, in
this work, the data contains activities such as sleeping, leave home, having breakfast, etc.
Two datasets have been selected (denoted as D1 and D2) from previous human behaviour detection studies: D1 was in (Kasteren, 2011) to be used for ADL recognition purposes, and D2 was made
publicly available by WSU CASAS (Cook et al., 2013) and also used for ADL recognition. These two
datasets have been selected for our experiments in this work because, alongside the datasets,
both projects provided their own baseline recognition performance experiments. These are extremely helpful since, by using the same data, the performance of the models proposed in our
project can be compared and evaluated under similar conditions. Other important consideration
for the choice of these datasets was their substantial length (D1 contains over 42k sensor readings
and more that 800 activity occurrences and D2 has over 600k readings including 600 activity annotations).

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Finally, the variety about sensor nature found in the two datasets (D1 is based on 5 various types
of sensors while D2 is mainly based on just motion sensors) will help to contrast the performance
of the models when fed with data from different sensor nature.
3.1.1 Dataset 1
Data was collected from three scenarios presenting different characteristics: House A, House B
and House C. D1 consists of data divided in days and collected by means of sensors deployed
in the three house scenarios. The types of sensors used are motion passive infra-red (PIR), reed
switches, pressure mats, mercury contact sensors and float sensors. For example, House A has a
total of 14 sensors and the labels were annotated by the occupants using a Bluetooth voice detector device rather than other scenarios in which the activities were just written down on paper.
Further information can also be found in https://sites.google.com/site/tim0306/datasets.
The D1 data used two sets of annotations. The first set refers to sensor events which were recorded
using 4 columns stating the start time, the ending time, the sensor ID and the value of the sensor.
Note that, as all the sensors included in this dataset are binary, the state is always 1(ON) since it
only reflects the time the sensor has been active. The second set also indicates starting and ending time but for the activity performed in that interval, therefore indicating the ID for the activity
being performed. The numbers of activities go from 10 in House A, 13 in House B and 16 in House
C. Figure 1 contains a section of this dataset.

Figure 1: Example of annotation for Dataset 1. The first rows are the sensor annotations and the latter
ones are the activities labelling.
3.1.2 Dataset 2
This dataset was collected from 27 motion sensors deployed in a domestic scenario through 56
days. However, many sensor events were not associated to any activity and subsequently they
cannot be used to train and test our models. In spite of this, the data available for supervised
learning is still of quality enough to be used for model performance evaluation. Unlike D1, this
dataset contains only motion sensors events. Nonetheless, as discussed in future sections, this
motion sensor data proves to have the potential to provide information enough to accurately
perform activity recognition under certain considerations.
This dataset has only one set on annotations (including sensor readings and labels), which contains 7 columns stating the time, the sensor ID and the value of the sensor as in D1, which in this
case can be either ON or OFF. In addition to the sensor event, in the same line we can also find
when an activity starts (denoted by the activity label plus begin) or ends (denoted by end). This
dataset has a total of 10 activities. For further information visit: http://ailab.wsu.edu/casas/datasets/. An example would be as follows:

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Figure 2: Example of annotation for Dataset 2

3.2 Activity Pattern Modelling Based On Machine Learning Approaches
The purpose of this work is to accurately model and detect daily activities in two datasets D1 and
D2 as described in Section 3.1.
3.2.1 Feature Extraction
In the feature extraction process, we built two different matrices: a feature matrix and a label matrix. The feature matrix presents sensor firings timeseries. The rows represent each sensor and the
columns a moment in time (sample). As we are only working with binary sensors, each feature cell
fxy must contain either a 0 or a 1 depending on the state of the sensor sx at the time ty. The label
matrix has only just one row corresponding to ADL labels and again one column for each moment
in time. Each label cell ly will consist on a number representing a class, therefore the range will
be between 1 and the maximum number of activities (1-num_act) found in the activity or label
matrix. Table I has a representation for both matrices.
Table I: Feature and Label Matrices. fxy represent the features while ay contain the labels. Sensors
range from s1 to sn, activities from 1 to num_act and samples are distributed from t1 to tm, which
represent each unit of time, timeslice or sampling time.
fxy

t1

t2

t3

tm

s1

0/1

0/1

0/1

0/1

s2

0/1

0/1

0/1

0/1

s3

0/1

0/1

0/1

0/1

sn

0/1

0/1

0/1

0/1

1-num_act

1-num_act

1-num_act

1-num_act

Features
ay
Labels

3.2.2 The Proposed Approach based on a Non-linear Multi-class SVM

We modelled activity patterns using a one vs. one (Pal, 2005) approach multi-class SVM classifier
to perform supervised learning from labelled data as explained above. Due to non-linear unbalanced data, a non-linear SVM have been used for this purpose, which uses different kernels to
separate different labelled points using hyperplanes. By using multidimensional planes, non-linear problems can be solved as linear ones, therefore allowing creating functions that maximize
the separation between points of different classes. We evaluated the SVM performance using the
most popular kernels: linear, polynomial, radial basis and sigmoid. For parameter estimation, we
followed the guidelines published by the libsvm creator (Chang and Lin, 2011).The mathematical
representation can be described as follows:

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or

where x are the training samples represents the bias and corresponds to the vector of weights for
each sample. Mathematically we need to solve the weights maximize the distance all the training
points x into two possible class values +1 or -1.
Regarding the kernel functions used, we included the most common approaches namely
Linear:

Polynomial:

and Radial Basis Function RBF:

Furthermore, the SVM one vs one approach (which has proven to perform better than its counterpart one vs all) enhances this naturally binary classification algorithm, giving it the possibility to
perform multi-class classification. The essence of this approach consists in classifying each new
point against two possible classes for each pair of classes possible. The class of choice at that first
stage will be used against the next class and so on.
3.2.3 KNN and HMM Approaches
We have compared the proposed approach against two other classification algorithms including
KNN and HMM.
In the case of the kNN prediction, apart from the popular euclidean, other measurements for distance where considered (i.e. mahalanobis and correlation), yet the variations were too small to be
significant achieving the best overall performances when using the typical euclidean approach.
The kNN model was evaluated using different number of neighbours for each scenario, including
each odd number from 3 to 101 and selecting the most accurate.
For the parameter estimation of the HMM algorithm, a Maximum Likelihood approach is used.
Therefore, when there is no specific observation or state transition in the training data, the HMM
algorithm is prone to errors due to 0 probability of transmission or emission. When this happens

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the Viterbi algorithm is not able to calculate all the possible paths and cannot give a sequence
with certainty. To prevent this, we applied a smoothing technique to give a small probability to
every transmission and emission even if it never happened through the whole dataset. In this
experiment we used the Pseudoemissions and Pseudotransitions parameters in the MATLABs
HMM function.
3.3 Data Pre-processing
Let be our model and the training data extracted from our datasets is , where each y is the training label and each x in the sensor reading sample. If we consider that occurred at time t=1, and
at time t=n, which is when the last annotation in the dataset, we need to specify the time in
between each time step t=1,2,3 This is what we call timeslices. As the dataset has a resolution
of miliseconds, we could assign a timeslice as small as that value. However, if we opt to do that
we would be creating 1000msx60sx60mx24h=86.4x106 samples per day, which is computationally
unmanageable. Timeslices from a second long might be considered but previous works as well
as our own experiments suggest that this length is too costly in terms of computation times and
dont really give a real improvement in terms of model accuracy.
As discussed in previous sections, D1 dataset is divided into three different scenarios named
House A, House B and House C; comprising 25, 14 and 19 days of data respectively. We have evaluated the models using different sample lengths. We evaluated the three models for timeslices
ranging from 30 seconds per sample to 10 minutes. We evaluated each scenario independently
performing a cross validation dividing the data into days, testing one of them while leaving the
rest for training (leave one out), and then calculating the average on the results.
In the case of Dataset 2, two different setups were considered: Timeslice Approach (TA) and Chunk
Data Approach (CDA).
3.3.1 Timeslice Approach (TA):
As with D1, for the second dataset timeslices of 60 seconds were also the length of choice for the
data hashing. Therefore, for 56 days with 1440 secods per day, a total of N=80600 samples were
initially generated. However, the datasets we are using for our experiments are not fully labelled.
This means that not every xn has yn label associated. This issue can be addressed in two different
ways. The first solution would be to create an idle activity and consider it as another different
class, assigning every empy yn to that label. The other option would be simply removing those
samples from the training data.
In a previous experiment using D1, the absence of activity associated with sensor firings was considered as activity idle, and the preliminary results suggested yielded similarities between including this data or not. We decided to keep this samples in order to maximize the use of the readings
in D1. However, for D2 this approach was not advisable based on the fort attempts to include idle
in this dataset. The amount of unlabelled data for D1 was just of 12%, 7%, and 19% for House A, B
and C respectively. Nevertheless, for D2, the amount of information from sensors unassociated to
any activity (the frequency of empty yns) accounted for more than the 80% of the total samples.
Due to this, the classifiers trained with D2 data predicted just class idle for all the test points due
to the massive imbalance of this new class idle in addition to the fact that any sensor firing combination could have an idle label associated since we dont know what activities were actually
occurring during those blank timesteps.
To solve this, all the information from sensors events that was not related to any label was just removed from the feature array, thus the label idle was not considered. Ultimately, the TA approach

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for D2 contained a total of 9606 samples over the 56 days instead of the initial 80600 (See Figure
3 and Figure 4).
3.3.2 Chunk Data Approach (CDA):
All the initial results obtained when training the models using the D2 and the TA approach, were
really bad in terms of accuracy levels (40%-50% of accuracy). Comparing our results with the ones
reported in publications associated with the dataset, we noted they achieved much higher accuracies even when using similar methodologies (e.g HMM). That made us think that the real
difference was on the preprocessing of the data rather that in the algorithm of choice. Therefore,
we also followed the preprocessing techniques they suggested. Under this scope, the data was
processed in chunks instead of timeslices. Each chunk of data contained all the sensors events
happened while an activity was active. The CDA approach also implied removing all the unlabelled data from the D2 and the final number of samples was a total of 600, which is the number
of any activity occurrence through the whole dataset.

Figure 3: Dataset 2 Activity occurrence. In the over 80000 samples generated by the TA approach,
more than 70000 (white area) are unlabelled or idle. The coloured portion was the only information
processed for this dataset.

Figure 4: In this case, the unlabelled region corresponds to the red region, and is not as big as in D2
(between 7% and 12% of the total for any scenario). Therefore, for this dataset we can include the
activity idle to get as much information without incurring in classification failure as happened with
the other dataset.

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This method consequently reflects that there is a relationship between all the firings happening
when an activity in occurring as a whole. TA approach computed each firing as an independent
sample and based its classification on just only timestep sensor event. Conversely, CDA assumes
that a single firing doesnt contain enough information standalone, and has to be considered as a
part of a bigger event, which we called chunk. In this case, the features include the sum of all the
firings for each sensor, the time the activity started, the time the activity ended and the duration.
In Table II we can observe the different processing of 5 timeslices of data using TA and CDA approaches. While TA represents the data in 5 samples of 4 sensors as inputs and 5 labels as outputs,
CDA will group the data into just two samples including the entire sensor readings occurred while
one activity was continued in time. CDA also includes start time, end time and duration of the
chunk.

Table II: Differences between processing the same information using TA and CDA approaches.
Timeslice Approach

t=1

t=2

t=3

t=4

t=5

Sensor1

Sensor2

Sensor3

Sensor4

Label

Sample

Chunk Data Approach

Time Start

3pm

5pm

Time End

4pm

8pm

Duration

20 min

190 min

Sensor1

Sensor2

Sensor3

Sensor4

Label

Sample

4 Experimental results
Dataset 1 has been evaluated using only the timeslice approach using a variation of the timeslice
duration to study how the different values affect the final model performance. For the dataset
2 we also included the CDA approach since the initial values of the timeslice approach method
were alarmingly lower compared to those reported in the publications by the team who made
this dataset publicly available.
4.1 Model Performance Based On Timeslice Variation
We evaluated the models to each scenario and observed how the accuracy changed for different
timeslices. Despite the loss of information due to the increase of the TS duration, the SVM model showed to be a robust solution since it barely changed its performance while increasing the
timeslice. The other models also maintained the values within certain levels, yet showing some

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variations. However, none of them indicate any significant change except in the case of House C,
in which SVM boosted its performance from around 40% for 30sec timeslices up to over 60% for
the bigger timeslices of 10 minutes. This is also an indication of the adaptability of the support
vectors to different input spaces.
Figures 5 to 7 show these variations for each of the scenarios included in this dataset; using all
three models (SVM, HMM and kNN).

Figure 5: TA approach with timeslice variations from 30 seconds to 10 minutes. Dataset1 House A.

Figure 6: TA approach with timeslice variations from 30 seconds to 10 minutes.

Dataset1 House B.

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Figure 7: TA approach with timeslice variations from 30 seconds to 10 minutes.

Dataset1 House C.
This might seem contradictory with the fact that the longer the timeslice, the more information
about real sensors readings is lost. However, as we are working with unbalanced datasets, there is
a chance that the samples which are going to be lost earlier (as we increment timeslice duration),
are those labelled as the less frequent activities. Consequently, fewer classes are to be classified
and the models perform better with less infrequent states.
Regarding overall model performance, the experimental results show that the SVM approach
yields the most accurate performance among the three models evaluated, reaching values above
80% accuracy in two out of three scenarios. We tried different kernels using several values for
the kernel parameter, following the suggestions given by the libsvm developer (Chang and Lin,
2011). However, when introducing value variations within reasonable limits, the results do not
present large variations. The overall SVM best parameters were the RFB as kernel with gamma=1/
num_features.
For House A and B the results are over the 80% of accuracy. However, results from House C were
significantly less accurate. All of our experiments, in addition to the results reported by this dataset team, are always under 50% of accuracy in House C. The poor accuracies suggest that this data
does not contain representative enough information, or there could have been issues with labelling or sensor deployment. Another different factor from this House C scenario is that it contains
a larger area from all three, thus it has the less sensor density and it performs up to 16 activities (3
more that House B and 6 more than House A.) All this factors seem to have had a negative impact
on the performance of the classifiers for that scenario as all the results for the other scenarios are
much more consistent.
Moreover, results show that the multiclass SVM-based approach outperforms other approaches.
As we can see in Table III, SVM outperforms HMM and kNN significantly in all scenarios and SVM
results are better than all the previous generative models proposed (NB, HMM and HSMM); and
also above the discriminative one (CRF) in House B scenario. The averaged accuracy for the three
scenarios shows that our SVM approach outperforms all the previous models proposed, with a
71.64%.

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TabIe III: TA accuracies for all scenarios using Dataset 1.

4.2 Model Performance Based on Data Pre-processing Approach

For this dataset we made an initial experiment using the TA approach in which the results were
well below those from CASAS experiments. They used a baseline of three different models, Naive
Bayes, HMM and CRF, getting accuracies of 80.33%, 75.55% and 90.76% respectively. The accuracy
for our SVM combined with the TA approach was of only 51%, which indicated that the TA preprocessing was not the appropriate choice for this dataset. Following the procedures used by the
CASAS researchers, we applied the CDA preprocessing to the dataset, and the accuracy of our
SVM model increased to 91.77%, better than any other result so far.
Table IV: The results using Dataset 2 and TA approach showed a poor performance. However, the
same data combined with the CDA approach, showed high performance specially when using
discriminative models. The multi-class SVM model achieved the best performance of 91.67%.

As happened with Dataset 1 results, SVM again outperforms all other models considered for CDA
processing approach, that is, both models we proposed (HMM and KNN) and the results obtained
by CASAS algorithm which best result was 90.77% with a CRF approach. Although when using the
TA (60 seconds timeslice) approach HMM performs better (51.60% vs. 59.85%) than SVM, it is clear
that, regardless the algorithm used, this TA is not the best approach to process this data, which is
clearly meant to be processed using CDA.

5 Conclusion
In this work, we have presented an activity pattern recognition model using a non-linear multi-class SVM approach for detecting daily activities based on two public available datasets. We
have compared our methods with other state of the art machine learning approaches using the
same datasets. The result demonstrates the proposed method outperforms other methods. We
have developed two data preprocessing techniques including TA (time slice) and CDA (chunk
data). It is noted that appropriate data preprocessing techniques can significantly improve the
accuracy of the model.
Future work will be to test the models using a wider variety of datasets, data processing approaches and new mathematical modelling approaches to establish more comprehensive model
performance baselines.

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Multiagent Systems, 1, 4252.
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International Conference | Bari - Lecce, Italy

Session IV

AN OVERVIEW OF BUILDING SUSTAINABILITY

RATING SYSTEMS IN THE MIDDLE EAST
Sundus L. Shareef1&Hasim Altan1
1Architecture and Sustainable Built Environment, Faculty of Engineering & IT, British University in Dubai, UAE,sundus_
[email protected] / [email protected]

Abstract
The globe shares common concerns namely global warming, pollution, limited resources, carbon footprint and greenhouse gas emissions-GHG, all of which are major elements that affect
the future of people on the planet. Buildings play a considerable role in these environmental problems, and the challenge of human wellbeing could be resolved through the unique
solution; Sustainability which could be considered as a method of life. Sustainability is the
way to plan and manage the present and the future generations life, this work explores the
definition of the widely used term; and highlights the most used tools, rating systems, and
practices that could be adopted to archive the sustainable developments. However, green
building specifications and rating tools became a mandatory requirement for each city in
order to provide the guidelines of the green design and performance that reduce the negative environmental impact from one side and to evaluate the buildings sustainability from
the other side. This study conducted a comparison between the International and the Middle
East Local Green Building Rating Systems, and concluded that the implementation of regulatory framework and mandatory regulations for sustainable design will serve more in building
performance towards sustainability. Furthermore, the locally designed systems would serve
much better for achieving targets than employing the international ones.

Keywords
Green Building Rating Systems, LEED,BREEAM, PEARL, Environmental Sustainability.

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Introduction
Sustainability the widely used term defined by the United States Environmental Protection
Agency (EPA) as what we need for our survival from surrounding natural environment, either
directly or indirectly, it creates a kind of harmony and maintains between humans and nature
(EPA 2012).Sustainability as a concept has three poles; Economy, Society, and Environment, where
ESTIDAMA Pearl rating system developed by Abu Dhabi Urban Planning Centre added Culture as
a fourth pole of sustainability concept (ADUC 2010).

Figure 1:Greenhouse Gas (GHG) Emissions from buildings (US DOE 2012)
As the main causes of global warming and climate change are largely chemical, the urgent human act today is reducing the fossil fuels burning, industrial emissions and other human activities
with the negative environmental impact. This requires significant efforts especially with the rapid
increase of world population and the consequence need for energy as a power of life and economic growth.
Sustainable Buildings
Sustainable Buildings, High Performance Buildings or Green Buildings, all of which are interchangeably terms refers to comprehensively address the ecological, social and economic issues
of building and community. In the same content, Sustainable Building term could be defined as
a healthy facilities designed and built using ecological based principle and taking in to consideration efficient manners (Kibert 2009).The term Sustainable Building refers to the structure that is
designed, built, renovated, operated, or reused in an ecological and resources efficient manner.
For well-designed green buildings, no additional cost may require implementing Green Building
specifications, and it should be noted that many green building measures can be incorporated
with minimal or zero increased in capital cost.
On the other hand, the sustainable construction may have a higher capital cost, but saves through
lower operating costs over the life of the building, and in order to reach the high level of effec-

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tiveness commercially, socially and environmentally the sustainable design has to afford measurable benefits, spatially in commercial and educational design. Some of the reported benefits of
the sustainable buildings are; energy and water efficiency, better occupant health, high level of
comfort, high productivity, less pollution and landfill waste (Bradshaw 2006).However, in order
to convince the private developer to approach new trend and use a sustainable technology, the
design should maximize the benefits and minimize the expenses further to increase the efforts
of illustrating the economies in fuel bill, market advantage, long term exposure to environment
problems and the enhancement in productivity of workforce.
From another point of view, there are some challenges that the designer may face and questions
may rise like: Will the building perform as predicted? Are the green cost affordable and the technology is reliable? Edward (2003) mentioned that such questions required more attention to all
technologies, options, solutions that could be followed to achieve the desired level of building
sustainability.
Green Building Rating Systems
Green Building Rating Systems and practices mainly developed to reduce or eliminate negative
environmental impacts through high performance in aspects of design, construction, operations
and demolition, through covering the main systems categories namely; site selection, energy
and water efficiency, operating and management, material recourses and occupants productivity. The main categories and indicators are various between the existing rating systems, which are
also providing an evaluation of sustainability or greenness level of any development, in additional to the opportunity that provided to the stakeholders to enhance or upgrade the development
performance toward greener attitude or higher sustainable levels. Furthermore, each rating system can be an ideal practice guide for sustainable design, operation and management.
In addition to the International Rating Systems, world countries including Middle East countries
tend to develop their own regulations and rating systems which is to comply with the local contents and characteristics. Roderick(2009) stated that Internationally, the most famous rating systems used all over the world are the United States Green Building Council (USGBC)s Leadership
in Energy and Environmental Development (LEED)and the UK Building Research Establishment
(BRE)s Environmental Assessment Method (BREEAM), as both the USA and the UK have the leadership in this domain.
Locally and complying with Abu Dhabis 2030 vision of being one of the world sustainable cities,
the capital of the UAE developed the local green rating tool Pearl Rating System(PRS) in order
to drive the sustainable developments towards World Sustainable Capital (WSC). Another local
regulations which will be outlined in this paper is Green Building Regulations and Specifications
developed by Dubai Municipality (DM) as an implementation of Dubai Strategic Plan 2015, and
the aim is to keep Dubai as a model of sustainable city that follows the highest standards of sustainable developments which adapted to local conditions of the United Arab Emirates (UAE).
Jordan has started steady pace towards sustainability and green buildings design. The Ministry
of Public Work and Housing (MPWH) released Jordan Green Building Guide and Regulations as a
reference guide for more efficient and high performance design that comply with international
standards and local content(MPWH 2013).Moreover, Hikmat and Saba(2009) conducted a research
to develop new rating tool to assess and evaluate buildings greenness level in Jordan, and the researchers had published their work explaining that the Jordanian local green building tool SABA.

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Comparative Analysis
The sixth mentioned rating systems and regulations are outlined and reviewed from the aspects
of Structure, Categories, Levels and Certification Process. Furthermore, a comparison between
these systems from the mentioned aspects are illustrated and analyzed.
LEED - Leadership in Energy and Environment Design
The environmental assessment system has been administrated by the USGBC since 2000. LEED
(v.3, 2009) is the current version of the LEED and USGBC is working on improving LEED rating
systems in the new version (v.4). The system based on earning points for evaluating on a scale
ranging between two values. LEED consist of set of codes and study guides for Sustainable Buildings Design, and LEED certification is available for all building types including: New Construction
(NC), Existing Buildings(EB): Existing Buildings Operations & Maintenance (EB: O&M), Commercial Interiors (CI), Core & Shell (CS), Schools (SCH), Retail, Healthcare (HC),Homes, Neighborhood
Development (ND). Towards sustainable buildings, LEED design and construction project should
cover the five essential categories; Site Selection (SS), Water Efficiency (WE),Energy & Atmosphere
(EA), Materials &Resources (MR), Indoor Environmental Quality (IEQ) and two additional categories; Innovation in Design (IDO) and Regional Priority (RP)(Fig.2).
LEED certification for New Construction (LEED 2009) (NC) awarded due to the general scale:
Certified 4049 points
Silver 5059 points
Gold 6079 points
Platinum 80 points and above, within 100 base points, additional credits awarded as;6 for Innovation in Design and Operation (IDO), and 4 Regional Priority (RP) points
According to the USGBC, LEED certificate could be obtained online, where project teams can
manage project details, complete documentation requirements for LEED credits and prerequisites requirements, upload supporting files, submit applications for review, receive reviewer feedback, and ultimately earn LEED certification (USGBC 2012).The certification process covering five
stages; determination & preparing application, registration, submission for reviewing, a wait for
the application review and issuing the certification.
BREEAM- Building Research Establishment Environmental Assessment Method
BREEAM is developed by Building Research Establishment (BRE) in the United Kingdom (UK), in
1990, ten years before the LEED. BREEAM could be defined as sets the standard for best practice
in sustainable building design, construction and operation. It also used as Scoring system that is
transparent, flexible, and easy to understand, supported by evidence-based science and research.
BREEAM codes cover different types of buildings, it is available in (BREEAM New Construction)
which includes; Courts, Healthcare, Data Centers, Education, Industrial, Multi-residential, Offices,
Prisons and Retails. In addition to above categories, there are the following versions; BREEAM
Communities, BREEAM In-Use, BREEAM Eco Homes, BREEAM Refurbishment and Code for Sustainable Homes (BREEAM 2012).BREEAM covers the essential categories through in which sustainable project can be achieved, in addition to more sub-categories: Site Selection & Ecology, Water,
Energy, Materials, Indoor Environmental Quality, Waste, Pollution, Transportation, Management,
Innovation (Additional)(Fig.2).

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Depending on overall score of collected points, BREEAM Rating System can certify the building
under one of five levels;
Pass
Good
Very Good
Excellent
Outstanding
OR Star rating from 1 to 5 stars
BREEAM Certification process depends on appointing an assessor. The assessor should be trained
under a United Kingdom Accreditation Service (UKAS) to become accredited competent person
who will be able to interpret the requirements of the system and communicate them to project team as well as collating the evidence required to be submitted with the assessment report
(BREEAM 2012).
The main objective of the qualified independent assessor is to promote the discussion between
the project team, appointing the assessor earlier will insure smooth, uncomplicated process. Furthermore, assigning BREEAM Accredited Professional (AP) who is an architect, engineer or a person with design skills and responsibilities combined with a high level of capability in the BREEAM
assessment process, will add sustainability and environmental design skill to project team, further to a benefit of (AP) knowledge in BREEAM assessment process and requirements to proceed
with the certification professionally and easily (BREEAM 2012).The certification process stages are;
Registration, Appointing the Assessor, Assessment Report Submission and Releasing the Certification.
ESTIDAMA - Pearl Rating System (PRS)
The Pearl Rating System which could be defined as Estidama Tool, developed by Urban Planning
Council (UPC) of Abu Dhabi and launched in April 2010.Pearl is a combination of most international systems in use (LEED and BREEAM) but more importantly a combination that locally suited
system with local priorities. Pearl system is a hybrid between BREEAM and LEED(Elgendy 2010).
Pearl (version 1.0) is the one in use, a second version (version 2.0) of PRS has been developed and
it is available for stakeholders reviewing only.PRS started with three types of development codes;
Pearl for Villas (PVRS),Pearl for Buildings (PBRS), and Pearl for Community (PCRS). Pearl for Operation and Maintenance is in process for releasing as an existing building code and specifications.
The (PBRS) can be applied to all building types and functions including: Hotels, Hospitals, Industrial buildings, Laboratories and warehouses.
PRS consists of six categories; Site Selection & Natural System, Water, Energy, Materials, Indoor
Environmental Quality, Integrated Design Process(Fig.2). The PRS designed to cover all building
stages; Design, Construction and Operation to assure sustainability through the building life cycle. It defines stages as a transition of responsibility from a design team to construction team and
operation / management team (PRS 2010). Pearl Design Stage Rating starts from pre design and
valid only until construction is completed, and all specifications and supporting documents of
the operations and the used materials required to be kept and submitted upon the request of
final Pearl certificate.
Pearl Construction Rating Stage approves the achievement of design stage requirements submitted upon construction completion; it requires the same design stage requirements that identify

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the project as a Pearl Construction Rated project. Pearl Operational Rating ensures the existing
building performance and operates sustainably; it can be achieved only with a minimum occupancy of 80% and two years after construction completion (Pearl Operational Rating is currently
under development).
The Certification Process starts with appointing Pearl Qualified Professional (PQP) and Registration followed by Preparing and Submitting the application to Urban Planning Center(UPC) or Abu
Dhabi Municipality (ADM) for reviewing. UPC/ADM assessor is appointed to review the project
first for the documents completion, the 2 days process results acceptance of documents or a notification of incompleteness. The PQP is responsible to proceed with documents completion, upon
documents completion, reviewing process by PQP starts; it takes from 5to 15 days (5 for1 pearl and
15 days for 2-5 pearls) (PRS v.1 2011). Finally, the Certification as Notification of Pearl Compliance
(NOPC) will be issued as approval of completion with Pearls Design Stage requirements, another
submission for Pearl Stage certification with same procedure is required for construction stage
(Estidama 2010).
Dubai Green Building Guide and Specifications
As an alternative to the Rating System, Dubai Green Building Guide and Regulations is a Regulatory Framework through which to achieve a sustainable city. It is founded in 2011,no credits or
points awarded towards a certification level of achievement. Dubai Municipality obligate all developers, consultants, designers and all industry stakeholders to follow the Green Building Regulations and Specifications as a condition for Building Permit, the implementation of (Regulatory
Framework) will serve the emirate long term goal of having a leadership in building performance
and sustainability. Dubai Practice Guide is organized according to the main categories of sustainable design; Ecology & Planning, Building Vitality, Resource Effectiveness: Energy, Resource
Effectiveness: Water and Resource Effectiveness: Materials & Waste.
Jordan Green Building Guide
The Jordanian Green Building Guide (JGBG) shares other codes the same target of increasing
buildings and resources efficiency, enhancing occupants productivity and reducing environmental impact. The code designed by Ministry of Public Work and Housing (MPWH) and covered most
of building types except factories, warehouses, hospitals and health centers. The green requirements divided in to three types of credits; obligate, mandatory and optional in order to assure
a minimum level of buildings sustainability and give the same importance for both design and
construction stages.
The guide depends on the main categories that common between other systems and regulations
with different weight for each category depending on local priorities, these categories are; Building Management, Sustainable Site, Water Efficiency, Energy Efficiency, Materials& Resources(Fig.2). The number of points collected for each type of buildings indicates the degree of building
sustainability which is divided into four levels; A, B, C, and D(JGBG 2010).
The number of points required for each level;
50-59 Points for level D
60-69 Points for level C
70-79 Points for level B
80 Points for level A

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For each category requirements, indicators, documents and plans required to be submitted as
an improvement of complying with the detailed and required specifications. The certification or
green declaration and the process of the green building guide are in process.
The Jordanian Developed Tool -SABA Green Building Rating System
The study published in 2008 by Hikmat and Saba stated that the Jordanian developed tool - SABA
is a computer based program providing a rating tool for green buildings taking the Jordanian local
content in to consideration. It is directed to the Residential Buildings only and based on some of
famous and widely used international Green Building Rating Systems like; LEED, BREEAM, GB Tool,
CASBEE.SABA covers the common categories: Site Selection, Water Efficiency, Energy Efficiency,
Materials & Resources, Indoor Environmental Quality, Waste & Pollution and Economics(Fig.2).

Figure 2: Green Building Rating Systems categories and weights

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This system assigning points to classify the sustainability of buildings, and the scale ranging
among three levels: fully satisfied, not fully satisfied, and not satisfied. Although there is a similarity in categories between different systems, including developed and developing countries, there
are differences in weighting of each category depending on local contents and priorities. For
SABA, a maximum of 100 points is available, the collected points is multiplied by the weighting
coefficient developed according to Analytic Hierarchy Process (AHP)(a mathematical technique
for decision making) for each category, the certification of greenness according to percentage
results is within these ranges:
Very Green (100-80%);
Green (79-50%);
Not Green (less than 50%);
No official certification requirements or process are available for this tool.

Methodology
Comparing the international and local systems, a literature review method was used in addition to reviewing official documents and published studies. The comparison of the international
systems and local green building systems focused on the general aspects; Vision and Structure,
Categories, Weightings, Levels and Certification Process. LEED and BREEAM, the mostly used systems around the world, have been chosen in this study for comparison with the other three local
Middle East systems; ESTIDAMA Pearl Rating System of Abu Dhabi, Dubai Green Building Guide
and Regulations, Jordan Green Building Guide, and SABA. It should be noted that since LEED and
other codes have deferent versions for all building types, the one used in this study is the New
Construction (NC) code for residential buildings.

Results and Discussion

Generally, all of the outlined systems are seeking one target; Sustainability, which could be
achieved mainly through recourses efficiency (Energy, Water, and Materials).In addition to reducing or eliminating environmental impact and carbon emissions, enhancing human health, productivity and efficiency, develop and drive up economy are some of the green system objectives.
The comparison conducted between the illustrated systems from different aspects as listed below.
Vision and Structure
Some differences between all the mentioned systems could be noticed, while LEED and BREEAM
are voluntary systems of the developed countries. Dubais government decided to apply the
green tool and regulation as a (Regularity Framework) which is mandatory for all governmental
and public buildings in the emirates in order to comply with Dubais vision of seeking uniqueness
and leadership in sustainable developments and communities.
Furthermore, Abu Dhabis vision of being one of the Word Sustainable Capitals (WSC) by 2030,
inspire Urban Planning Centre (UPC)of Abu Dhabi to find the local characterized system Pearl
Rating System (PRS)to be implemented in all developments in Abu Dhabi. Although all the systems shared most of their aims and main sustainable categories, there are some differences in
categories weighting according to the local requirements, properties and characteristics of their
countries and regions, some categories have slight differences in the covered indicators as well.

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Figures (Fig.3 and Fig.4)show the disparity in categories between the five systems. LEED, PRS,
JGBG, and SABA consist of seven categories, but BREEAM has ten categories as Management,
Transport, Pollution and Waste are individual categories, while it is grouped under main categories in other systems .In all systems energy efficiency appreciated highly with more than 20%, it is
the major category in LEED, Jordan Green Building Guide, BREEAM and Pearl, while SABAs major
category is water according to Jordan local contents and priority. With respect to points allocated
for total score; LEED and BREEAM assign 110 points while Jordan Green Building Guide assigns
higher number of (253) points, on the other hand, Pearl and Saba limited the total score with 100
points.
Categories and Weights
Sustainable Sites
The five systems compared varies in the total number of points that allocated, comparison between the systems shows that LEED allocates more than Jordan Guide, BREEAM (PRS) and SABAs.
Furthermore, the coefficient weight of each category is various as well, Sustainable Site in LEED,
Jordan Guide and Saba represented by 23.6%, 12.65%, and 10.3% respectively, while it is 10% in
BREEAM and 9% in Pearl for site selection category. The variation is obvious within this category, this deference between LEED and the other systems related to the individual sub categories
which are grouped under this category in LEED (Fig.3 and Fig.4).
Water
Among the studied systems, SABA assigns the majority to water category, as Jordan suffer from
limitation of water recourses, water represents 27.7% of the total, while it is 24% in Pearls, 15.81%
in Jordan Guide, 9.1% in LEED and 6% in BREEAM. This low reprehensive of water in LEED and
BREEAM reflects the fact that water is not concerned as a major issue in UK and US as in the Middle East where Emirates ranks third in the world in terms of sea desalinated water (Fig.3 and Fig.4).
Energy
In all systems, Energy Efficiency occupies the major representativeness, this category represented
in the highest level in Jordan Green Building Guide, LEED, BREEAM and Pearl with 38.73%, 31.9%,
19% and 24% respectively, and it is 23% in Saba as a second major category (Fig.3 and Fig.4).
Materials
BREEAM and LEED dedicate almost the same percentage for this category 12.7%, 12.5% respectively and it is higher in Pearls and Jordan Guide with 16%, 14.23 and the lowest in SABA with 10.8%
(Fig.3 and Fig.4).
Indoor Environmental Quality (IEQ)
The highest weight for this category could be observed in Pearl with 21% of the total, while LEED,
BREEAM and SABA dedicate different percentages 13.6%, 15% and 11.8% respectively, Jordan Guide
allocates the lowest percentage of 8.70%for (IEO) category (Fig.3 and Fig.4).
Innovation
The highest percentage for this category assigned in BREEAM with 10%, while it is 5.5% in LEED.
Pearl added this category as a buns category; on the other hand the Jordan Green Building Guide
and SABA didnt give this category any credit.

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In addition to the basic and common categories, each system has it is individual categories like;
Regional Priority (3.6%) in LEED, Building Management (9.88%) in Jordan Green Building Guide,
Integrated Design Process (6%) in Pearl. BREEAM has more four separated categories that are covered within the other systems main categories like; waste (7.5%), pollution (10%), transportation
(8%) and management (12%), SABA tool merges waste and pollution in one category with (6.4%)
and economics (10%) is represented as one more separated and additional category(Fig.3 and
Fig.4).
Certification Levels
Comparison in Certification Rating Levels between the systems shows that the certification criteria for all studied systems based on the collecting of points under a number of general categories. These credits are divided into mandatory requirements and optional credits; the mandatory
requirements insure that the project in compliance with sustainable and green building requirements, while LEED and PRS award any point to the prerequisite requirements, BREEAM and Jordan Green Building Guide award points for both mandatory and optional credits, optional credits
calculated by project team according to the desire level of certification.
Collected points lead to the final rating level, in LEED they are four levels (Certified, Silver, Gold
and Platinum) comparing with five levels in PRS (One to Five Pearls), BREEAM has also five levels (Pass. Good, Very Good, Excellent, and Outstanding), while it is four in Jordan Green Building
Guide (A, B, C and D), and it is limited to three levels in Saba (very green, green, not green) (Fig.5).
Certification Process
Some differences indicated in the Certification Submission Process of the rating systems, while
LEED submitted directly online for review without any oral discussions, BREEAM and PRS required
assigning an assessor to enhance sustainable targets achievements and proceed easily with certificate submission.
When it is related to Dubai Municipality, the submission for green certificate coincides with the
building permit submission and completion certificate, no certificate awarded, as all buildings
should follow the Green Building Regulations as a condition for obtaining the Building Permit
and the Completion Certificate, a green building regulation declaration should be submitted at
each submission stage, an alternative documentation or international certification may be accepted relating to the authority satisfaction of complying with green building standards. On the
other hand, the green building guide in Jordan is in process, certification process submission and
details for each category requirements will be organized and published in two appendices A and
B attached to this guide.

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Figure3: Systems comparisons with respect to the number of allocated points

Figure 4: Systems comparison with respect to the categories weight

Figure 5: System comparisons with respect to the rating levels

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Figure 6:Comparison between the five systems according to categories weight

Conclusions
The summarize, developing a Local Green building Code, System or Regulation is mandatory for
each country to achieve the desired degree of greenness according to the local priorities, and
implementation (Regulatory Framework) for sustainable practices that will serve more in building
performance and sustainability and expected to perform much better when using local regulations. However, main categories for sustainable design are common between all systems; each
local code or system should address these categories and indicators accordingly and in line with
the local content. In addition to the local green regulations required, green regulation for existing
buildings with minimum renovations and practices to be implemented is also required in order to
integrate the total image towards sustainability. Furthermore, concentrating on both design and
construction stages is one of the important aspects to reach the sustainability goals.
Obligating some green practices toward energy and water efficiency (water irrigation system,
insulation materials, rainwater collection, materials separation for recycling) as part of building
permit conditions would ensure achieving some of sustainable practices and requirements. Many
research and studies addressed that to enhance building thermal performance in Jordan towards
energy efficiency, still the strict regulations followed by regular construction inspection required
to implement the efficient practices recommended by these studies.
Based on the review and analyses undertaken in this study, through comparison and evaluation
of both the international rating and local systems, the following more specific conclusions can be
drawn:
Each one of the compared systems assigns the majority to the local priorities. Energy efficiency
has the highest percentage in categories weight of the fourth systems (LEED, BREEAM, PEARL and
Jordan Green Building Guide), while SABA tool gives the majority to water efficiency tacking in to
consideration that Jordan is one of the world poorest countries with respect to water resources.
In contrast, Jordan Green Building Guide assigns (38.73%) to energy efficiency comparing with

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(15.81%) to water efficiency. In spite of the fact that this percentage indicates the importance of
energy resources in this code , the discrepancy in majority with respect to category between this
code and SABA should be investigated in deep, as SABA tool gives the majority to water category and assigns (27.7%) and (23%) for water and energy efficiency respectively (Fig.3 and Fig.4).
The Jordan Green Building Guide is distinct from the rest of the codes that divides the sustainable
and green requirements into three types; oblige, mandatory and optional requirements, the obligate requirements is to insure the minimum achievement of sustainable design.
Although LEED is the most followed and used system all over the world and it is the base that
the local systems depends on, it is not totally suited our region properties and requirements, and
it could not be the perfect standard that comply with local content in terms of some indicators,
credits, details and categories weight.
The two other local systems; Pearl Rating System (PRS) and the (Green Building Regulations and
Specifications) of Dubai Municipality, are more proper systems than LEED to be followed for sustainable performance in buildings and constructions sector in the UAE as it is in line with our
region characteristics.
Pearl rating system promoting the sustainability in two directions; firstly its the most balanced
system in terms of indicators, categories and weight of each category with respect to the region
content. On the other direction, it ensures sustainability through the mandatory of implementing
the minimum sustainable requirements on all buildings in the city by providing the (One Pearl
Building Consultant Guide) to be followed by designers and consultants as a reference guide
towards sustainable design and practices.
Pearl Rating System is the only system that added Culture as a fourth pole of sustainability and
dedicated points complying with specific requirements within this matter. Further to certifying
all new buildings with Green Building Certificate, which is important if there is a tendency in any
city to be one of the World Sustainable Capitals -WSC, and seeking a positive impact on market
and economy.
Although no official or international document awarded for green and sustainable buildings, Dubai has a strict and detailed specifications and regulations guide with the respect of sustainable
developments.
The detailed practice guide of Dubai Municipality could be a good example in aspects of some
categories like; (Ecology and Planning) with regards to the (Enabled) access and services as it provides the (Responsibility Matrix) for each compliance and an Environmental Building Assessment
(EBA)which is mandatory for design approval and building permit submission.
This research had some limitations; one of which is the number of investigated systems, as only
three systems in the Middle East region were examined. Increasing the number of the explored
systems or including more Middle East countries in this research would provide a wider picture
and indicate new facts and figures about the sustainability goals in both construction and building sectors for sustainable development in the region.

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EDWARD, N., 2010, Designing High-Density Cities for Social and Environmental Sustainability, Earth scan, Sterling VA,
London.
ELGENDY,K., 2010, Comparing Estidama Pearls Rating System to LEED and BREEAM. [online] retrieved from: http://
www. Carboun.com.
ENVIRONMENTAL PROTECTION AGENCY (EPA),2012,United States. [online] retrieved from: http://www.epa.gov/sustainability/basicinfo.htm.
HIKMAT, A.H., and SABA, A.N.F.,2009, Developing a Green Building Assessment Tool for Developing Countries Case of
Jordan, Journal of Building and Environment, 44, pp. 1053-1064.
JORDAN GREEN BUILDING GUIDE, 2012, Amman ,Jordan.
KIBERT, J.,2009, Sustainable Construction, Green Building Design and Delivery, John Wiley & Sons, Inc.
MINISTRY OF PUBLIC WORK AND HOUSING (MPWH),2012, Jordan, Amman . [online] retrieved from: http://mpwh.gov.
jo/English/Pages/default.aspx.
PEARL RATING SYSTEM (PRS), 2010, PRS Reference Book (v.1, 2011), Abu Dhabi, UAE
RODERICK, Y., MCEWAN, D., WHEATLEY, C., and ALONSO, C., 2009,Comparative Study of Building Energy Performance
Assessment between LEED, BREEAM and Green Star, Integrated Environmental Solutions Limited. Kelvin Campus,
West of Scotland Science Park, Glasgow, G20 0SP, UK.
US DEPARTMENT OF ENERGY (USDOE), 2012, National Laboratory Operated by the University of California.
US GREEN BUILDING COUNCIL (USGBC),2012. [online] retrieved from: http://www.usgbc.org/about/leed/future-versions.
US GREEN BUILDING COUNCIL (USGBC), 2015. [online] retrieved from: http://www.usgbc.org/leed/rating-systems
US GREEN BUILDING COUNCIL (USGBC), 2009, LEED for New Constructing (NC) . [online] retrieved from: http://new.
usgbc.org/leed/rating-systems/new-construction.
US GREEN BUILDING COUNCIL (USGBC), 2009. [online] retrieved from: http://www.usgbc.org/leed/rating-systems/
existing-buildings.
WORLD SUSTAINABLE CAPITALS (WSC) OBJECTIVES, 2010. [online] retrieved from: http://www.upc.gov.ae/wsc/objectives.html
YIN, R.K., 2003, Case Study Research: Design and Method (3rd edition), Sage Publications, Inc, California.

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International Conference | Bari - Lecce, Italy

Session IV

SOFTWARE FOR THE HEAT FLOW EVALUATION OF

THE NEARLY-ZERO HOUSES
Antonio De Vecchi1, Simona Colajanni1, Elsa Sanfilippo1,
Luigi Alessandro Licalsi1, Angela DAraio1, Marianna Di Salvo1
1PADesign srl Spin-off Accademico dellUniversit degli Studi di Palermo Italy

[email protected], [email protected], [email protected], [email protected]

[email protected], [email protected]

Abstract
The windows in a building are the weakest part for energy saving and reduced consumption.
In particular, the choice of window frames and glazing systems directly influences the amount
of heat loss through a houses envelope. The paper will show the results of a work developed
by PADesign srl company (Accademic Spin off of the Universit degli Studi di Palermo). This
is a software tool that allows a rapid comparison about the windows thermal performances,
by calculating the global thermal transmittance and by showing the trend of the heat flow.
The tool has a simple graphical interface that allows the users to select the climate data, the
window typologies, the geometric features and the materials of window frames and glazing
system. The tool calculates the global thermal transmittance and checks the compatibility
with the limits set by Italian law. The possibility of immediately view the heat flow through an
envelope of the selected combination allows you to identify the possible thermal bridges. It
also allows to try out other combinations of the envelope stratigraphy, in order to optimize
the choice of components providing the most suitable thermal performance.
The tool can be implemented for all typologies of frames and glazing systems. Moreover, the
software tools for evaluating energy efficiency and sustainability in buildings are very important to meet the restrictive requirements of thermal transmittance, provided by national and
international regulations, and according to the Europa 2020 goals. It was developed in Java
language to ensure portability across platforms. It uses a software library split that implements a self-contained, server less transactional SQL database engine. To generate outputs,
the tool uses data and results provided by LBNL WINDOW and LBNL THERM software, for
which we hold the commercial license. The software is aimed at a wide audience cause it does
not require specific technical skills.

Keywords
Energy-efficiency, sustainability, U-value, heat flow, energy savings, envelope.

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Introduction
To achieve energy efficient buildings for a low-carbon energy system, is essential that the structures that mark its volume are properly insulated. The shell is the most sensitive part of the building in order to calculate the heat load and can be thought of as a dynamic system that, separates
and connects the interior from the exterior. The efficiency of the building envelope is given by the
ability to react flexibly to the variability of environmental conditions and the choice of its components - frames and coating systems - affects the energy performance of the construction and the
internal environmental comfort.
In order to reduce heat loss and increase the efficiency of the building-service system, it is necessary to have instruments which are support to the optimal choices of the construction elements
to be used in new buildings and in existing ones to improve thermal insulation. To choose the
window frames and glazing systems its important to evaluate some features on the thermal behavior as the global transmittance of both individual elements and of the window system, as the
thermal transmittance and the heat flow, which shows the energy performance in specific points.
Currently there are software that allow you to make the rigorous calculation of isotherms, but the
use needs technical skills and the processing time is not short. PADesign srl Company has developed a tool that could allow the easy calculation of the thermal transmittance, showing the heat
flow in order to facilitate the choice between several possible technological solutions.
This tool will appeal to a wide audience, because it does not require specific professional skills. It
is an user-friendly tool that can be useful for designers, customers, employees to view the thermal
behavior and take advantage of the incentives provided by the law.

Innovation of the system

To accurately assess the effect of thermal bridges in the vertical window frames, there are commonly in use specific software for finite element calculations. This involves the application of specific skills, as well as long times for the computation and for the changing, from time to time, of
the flow diagram of the selected combination.
The proposed solution, however, is able to quickly view and compare the values of thermal transmittance and the isotherms of the heat flow of the chosen solutions, to compare the output data
and to change the combinations so as to facilitate the choice of the best combination even by
those who not have high skills in the use of specific software (Fig.1).

Figure 1: Demonstrative image of the flows calculated by the tool in the perimeter and in the central
node of two-wing window

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Many industries that produce windows systems provide tools that allow users to determine the
overall transmittance of the selected component. Our tool, in addition to the above, displays the
heat flow and the isothermal diagram, providing a tool that measures the transmittance with a
certain rigor to assess the quality of the different choices unresectable, by using the best way to
mitigate the effects of the thermal bridges.
The software, through a simple graphical interface, enables to select the climate data, the external frame typologies, the geometric features, the materials and the glass typologies. By starting
the calculation, the instrument determines the thermal transmittance and checks the compatibility with the national regulations. The originality of this tool is that you can view the status of
progress of the characteristics of the heat flow in a specific section, and immediately identify the
possible points of heat loss (thermal bridges). In this way, the user can change the parameters to
generate another solution that implements the overall performance of the exterior frame.

User interface
This tool is designed to be used by wide specialized users. After implementing the features of
frame, the tool automatically generates the overall thermal transmittance and heat flow through
THERM, a calculation software developed by the Lawrence Berkeley National Laboratory (LBNL),
which analyzes the two-dimensional heat flows through different building components.
A mesh automatic generator, processing the calculations according to the Finite Element Method,
defines the section. The results obtained are consistent with the evaluation process developed by
the NFRC (National Fenestration Rating Council), a non-profit organization that manages the consistency of assessment and labeling system for the energy performance of building components.
The transmittance of the window is then calculated according to the following formula:

Uc, Ac: Thermal transmittance and projection of central glass area

Ufr, Afr: Thermal transmittance and projection of frame area
Ue, Ae: Thermal transmittance and projection of glass edge area
Ud, Ad: Thermal transmittance and projection of divider area
Ude, Ade: Thermal transmittance and projection of divider edge area
This method of calculation is considerably more detailed than the requirements of the UNI 100772, because are considered the mode of transfer of edge effects from the glass to the frame without
resorting to tabulated values, often overestimated (Fig.2). As shown by the following formula (UNI
10077-2), in fact, the thermal transmittance of the glass edge is identified with the parameter ,
the linear thermal transmittance, whose value, provided by the same law, is selected from a limited
number of examples not always representing the real situation to be evaluated.

Climate data are set through a first drop-down menu that allows you to choose the region and a
second one in which to select the city. The information is downloaded directly from the database
file insqllite.

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Figure 2: In the diagram a) are highlighted various portions of the window (area frame, edge of glass,
centre of glass and divider edge) that are considered in the calculation of the overall thermal transmittance, unlike the format b) in which are considered only the frame and glass portions and the edge
line of the glass
The width and height of the window system are required by law to verify compliance with the
limits of Uw for the standard frame. The setting is made through the required fields where to set
the width and height of the compartment of the window (Fig.3).

Figure 3: In the a) screen are set climatic and dimensional parameters while in b) are set the type of
frame and glass

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Through the next screen (Fig.4), you can check your input and start the calculation of transmittance, withdrawing from the database the information necessary to display the heat flow developed through the program THERM.

Figure 4: The screen c) shows a summary of the input. The screen d) shows the heat flow and the
thermal transmittance value
Subsequently appears the image of the heat flow with the relative temperature data. It also appears a red or green field depending on the compatibility of transmittance value achievable with
the requirements of European legislation for the limit values of the transparent elements.

Figure 5: Comparison between two combinations where the second provides better performance
than the other one

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Is possible also allows a larger view of the profile and of the heat flow to provide better detail
understanding of the temperature values obtainable.
To make a new search, or if the transmittance values are unsatisfied, you can reselect the main
window, leaving open the output window previously generated, and change the combination of
one or more elements rerunning CALCULATE THE TRANSMISSION.
In this way, the tool will open a new output window and you can compare the results generated
by combinations selected (Fig.5).

System operation
The tool has been designed using the software LBNL WINDOW and LBNL THERM. It was acquired
authorization for the use of such software by asking the acceptance of their license by the user.
This option was included in the startup screen of the program. The tool can be downloaded to
your computer from the www.padesignsrl.com website.
The application was developed in Java and uses the Swing library to create graphical components
(windows, panels, frames, buttons, labels, text boxes etc.) which are used in the GUIs. UpadMain
is the class that contains the main method that starts the application and instantiates the class
InfoLicenzaJFrame (which extends the superclass JFrame) .This class creates a window that displays the text of the license terms and the buttons to accept (I Agree) or refuse (I Disagree)
such conditions in order to be able to perform or not the application. If you accept the terms, it is
instantiated class StartJFrame. This class has the task to display the main program window.
The default constructor StartJFrame first initializes the GUI components. Later calls initDatiTabelle
that takes care of instantiating the class DBManager. DBManager manages the database containing the data used by the software. A SQLite library is used to integrate a relational database within
the application.
A SQLite file contains the data of climatic zones, profiles of frames, glasses and the type of fixtures
(Fig.6).

Figure 6: Profiles_glasses table datastored in thedatabase (SQLite file)

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The database consists of the following tables:

profili (id, nome, descrizione, spessore_up, spessore_fc);
profili_vetri(id, nodo_sigla, id_tipologia, id_profilo, id_vetro, ue, uf, ufc, nodo_img, nodo_img_
base, nodo_img_flusso);
regioni(id, regione);
tipologie(id, nome, img_tipologia, numero_sezioni);
vetri(id, nome, descrizione, spessore, tipo, gas, ug);
zone_climatiche(id, codice_regione, codice_provincia, codice_comune, sigla_provincia, comune, altitudine_slm, gradi-giorni, zona_climatica, uw);

Figure 7: Profiles_glasses table data stored in the database (SQLite file)

The class DBManager then manages the connections and queries to the SQLite database file.
When you start the program the method initDatiTabelle instantiates DBManager to call the get
methods needed populate the tables displayed in the main GUI StartJFrame. Tables are populated
in the following order: Climatic Zones, Regions, Type of the frame, Frame profiles, Glazing.
It is also populated the table Nodes, not visible in the GUI, containing the data of the sections of
interest for the combination calculation is currently selected. Table rows Nodes are obtained by
querying the frames_glasses table stored in the SQLite file.
At startup it will already be selected all the elements needed to define a complete combination
of calculation: climate data, type and size of the fixture, type of frame profile, glazing. A check is
made to see whether the selected combination is allowable.
This check is also made during the selection phase of the elements (eg. glass selected may have a
thickness greater than that allowed by the profile).
If the combination is possible, it is retrieved the list of the sections of interest in relation to the
selected fixture type.
Each list item is associated with a pair of images: an image with the elements seen in cross-section
and an image showing the evolution of heat flow.
This element is represented by an object from the class NodoInfisso. This is characterized by the
attributes related to the constituent components of the selected combination.
For example in the case of two-wing window, the constructor for the class NodoInfisso has the

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following list of parameters:

String nodo_sigla, // alphanumeric code assigned to the node
int id_tipologia, // id of the selected type
int id_profilo, //id of the selected profile
int id_vetro,// id of the selected glazing
double ue, // transmittance of the edge
double uf, // transmittance of the side frame
double ufc, // transmittance of the side frame
String nodo_img, // name of the 3D preview section image
String nodo_img_base, // name of the 2D section image
String nodo_img_flusso // name of the 2D flow image
The panels of the main GUI are grouped so as to allow you to select items without necessarily
follow a fixed order.
The event of the mouse click on this button executes the instruction sequence according to
the following order:
performs the query necessary to retrieve the data of building elements selected (profile frame,
glazing);
these data are stored in objects instantiated from classes Profilo_Infisso and Vetro_Infisso;
depending on the type of the frame selected (one door window or two doors window) it is
retrieved the list of nodes that represent the characteristic sections of calculation for the type
of frames associated;
the following values are calculated: the overall transmittance Uw of the frame built with the
selected items and the total standard transmittance of the corresponding fixture UwStandard
(current legislation assigns the values of standard width equal to 1230 mm and standard height
of 1480 mm);
an output window displays processing results.
The object of InfissoCalcolo class calculates the transmission value. In the case of window with
one door , it is used the formula:
trasmittanza_totale=
((frame_trasmittanza*frame_area)+
(edge_trasmittanza*edge_area)+
(glass_trasmittanza*glass_area))/
(frame_area+
edge_area+
glass_area);
While in the case of window with two doors it is taken into account the presence of the middle
frame and its contribution transmittance:
trasmittanza_totale=
((frame_trasmittanza*frame_area)+
(frame_centrale_area*frame_centrale_trasmittanza)+
(edge_trasmittanza*edge_area)+
(glass_trasmittanza*glass_area))/
(frame_area+
frame_centrale_area+
edge_area+
glass_area);

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At the end of the calculations, the window displays OutputJFrame:

a summary of the values of
the selected items (type, size, frame profile, glass, climate zone) in
the main GUI StartJFrame;
the value of the global transmittance for the selected geometric dimensions;
the value of the global transmittance for the standard geometric dimensions;
a message shows if you respect the limit of transmittance depending on the climatic zone
selected;preview of 2D images of the sections of interest to the selected type of frame;
a button to show the heat flow in sections of interest;
a button that lets you adjust the zoom feature images;
The controls in the window object OutputJFrame and layout of the output window are managed
using the class ImageControls.
Changing several times the combination of the selected items in the main GUI and starting the
calculation again with the button JButton calcola_UwActionPerformed, you can simultaneously
view OutputJFrame windows corresponding to different combinations in order to allow a comparison of the results of processing.

Conclusion: future developments

This tool has been currently developed for some types of door and window frames in combination with different types of glass.
Furthermore, the tool is designed to provide to the manufacturers of window frames an useful
tool for the choice of the most effective components.
The research is still under development, to extend the processing of the heat flow to parts of shell
containing also opaque elements.
To better understand the energy performance of a building the first step consists in the assessment of the features of the building envelope, both transparent and opaque, in order to obtain
the global energy needs, useful to the choice of the action to carry out on the construction.
Another important result could be the development of a plugin that allows to evaluate the economic advantages associated to the better choice, through a cost-benefit analysis that takes into
account both the initial costs and the obtainable energy savings.

References
ALLEN, E., and LANO, J., 2009, Fundamentals of Building Construction: materials and methods. Hoboken, NJ: John
Wiley & Sons.
ATZENI, P., CERI, S., PARABOSCHI, S., TORLONE, R., 2009, Basi di dati: modelli e linguaggi di interrogazione, McGrawHill Italia, terza edizione.
BINGGELI, C., 2010, Building Systems for Interior Designers. Hoboken, NJ: John Wiley & Sons.
BRUEGGE, B., DUTOIT, A.H., 2009, Object-Oriented Software Engineering: Using UML, Patterns and Java. Terza
edizione, Prentice Hall.
CHRISTOPHER, A., and JOHNSTON, D., 2012, Thermal bridge, Oxford Dictionary of Construction, Surveying, and Civil
Engineering. 3rd ed. Oxford: Oxford UP.
CHU, R.C., 1982, Conduction Cooling for an LSI Package: A One-Dimensional Approach. IBM Journal of Research and
Development.
ECKEL, B., 2006, Thinking in Java, Prentice Hall, quarta edizione.
HARVEY, M., DEITEL, P.J., 2006, Java -. Tecniche avanzate di programmazione, Apogeo, terza edizione.

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KREIBICH, J.A., 2010, USING SQLITE, OReilly Media.

THEODOSIOU, T.G.; PAPADOPOULOS, A.M., 2008. The impact of thermal bridges on the energy demand of buildings
with double brick wall constructions. Energy and Buildings.
TOTTEN, P.E.; OBRIEN S.M., 2008, The Effects of Thermal Bridging at Interface Conditions. Building Enclosure Science
& Technology.
URMA, R.G., FUSCO, M., MYCROFT, A., 2014, Java 8 in Action: Lambdas, Streams, and functional-style programming,
Manning Publications.

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International Conference | Bari - Lecce, Italy

Session IV

USING 4D BIM IN THE RETROFIT PROCESS OF

SOCIAL HOUSING
Fernanda J. Chaves1, Patrcia Tzortzopoulos2,
Carlos T. Formoso3 & Jeferson Shigaki4
1 NORIE, School of Engineering, University Federal of Rio Grande Sul, Brazil, [email protected]
2 Department of Architecture and 3D Design, School of Art, Design and Architecture, University of Huddersfield,
United Kingdom, [email protected]
3 NORIE, School of Engineering, University Federal of Rio Grande Sul, Brazil, [email protected]
4 NORIE, School of Engineering, University Federal of Rio Grande Sul, Brazil, [email protected]

Abstract
There is a large stock of solid wall homes in the UK presenting poor thermal insulation and
low energy performance. Although the UK Government has supported improvement efforts
in the area, the identification of appropriate technical solutions that effectively improve the
existing stock remains a challenge. BIM offers opportunities for building performance optimisation, through improved design and simulation. This research investigates how BIM could
improve the retrofit process for social housing. This paper describes a research project looking
into the use of BIM to develop what-if scenarios for retrofitting existing no-fines solid wall
homes. The scenarios enable the analysis of alternative solutions considering costs, energy
performance and user disruption. More specifically, this paper focuses on the use of 4D models to evaluate disruption for end users. The research process includes simulations, meetings,
interviews, documents, and observations. Results indicate that the development of 4D BIM
models supports a better understanding of the retrofitting process on site, enabling the definition of production processes with as minimal disruption as possible for users, whilst still
delivering energy-oriented and cost effective solutions.

Keywords
BIM, 4D, retrofit, social housing.

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Introduction
The UK has one of the oldest housing stocks in Europe, which has a strong identity and cultural significance. Such housing stock has approximately 13 million homes built before 1960 (RIBA
2013). These houses were built when the issue of greenhouse gases and climate changes were
not a global concern. Thus, their design was not conceived to ensure energy efficiency or thermal
comfort for its occupants. As a result, such housing requires high-energy input to achieve thermal
comfort levels, which in the context of social housing may lead to fuel poverty.
The UK government is committed to reduce emissions of greenhouse gases by 80% by 2050. The
DECC (Department of Energy and Climate Change), responsible for implementing actions to ensure the achievement of the aforementioned goals, conducted extensive research and identified
that the existing homes are responsible for 27% out of the total of carbon dioxide emissions in the
UK (TBS 2014). Furthermore, it is known that three quarters of the existing houses will still stand
in 2050. Therefore, quality improvements are needed on the existing housing stock (HM Government 2010).
The work presented in this paper is part of a wider research project entitled Solid Wall Innovative Insulation and Monitoring Processes using Lean Energy Efficient Retrofit (S-IMPLER), funded
through Innovate UK (http://www.s-impler.com). S-IMPLER aims to investigate the retrofit of solid
wall housing, to achieve a 60% reduction in monitored energy costs, with less disruption, at least
10% faster, without reductions in quality & safety. The research is a joint initiative with a housing
association, two SMEs, a contractor, academic institutions, a lean consultant, and a construction
organisation. Several innovations derived from S-IMPLER project will be combined into a single
proposition:
an innovative surveying tool;
a Building Information Modelling tool to allow client modelling of different retrofit options considering costs and benefits;
a whole house monitoring system to assess real energy performance;
a new solid wall retrofit Certification scheme to transfer knowledge and assure quality
The outcomes of S-IMPLER will be relevant to many of 6.9m UKs solid walled homes. BIM is one
element of the SIMPLER collaborative research project, and the University of Huddersfield leads
its development, which involves a team of researchers. The BIM work package aims to devise a
BIM Retrofit Protocol, which incorporates the use of what if scenario testing for retrofit solutions,
addressing the complexity of solid wall housing. BIM is therefore utilised for predictive and evaluative energy analysis, 4D BIM scheduling, and BIM cost analysis. The what-if retrofit scenarios
will deliver an integrated solution that deals with the issues of high energy consumption due to
poor thermal performance; reductions in the carbon footprint; internal mould and condensation
issues, using constructive solutions that offer reduced disruption to the housing occupier. This paper focuses on the utilisation of 4D BIM models to create what-if scenarios based on minimizing
disruption for tenants, which is part of the BIM element in S-IMPLER. The investigation explores
the utilisation of 4D BIM models to support the decision-making process when analysing alternative retrofit scenarios for solid wall homes with the aim of reducing occupiers disruption.

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BIM in Retrofit
In recent years, an increasing number of studies indicate the importance of retrofitting the existing housing stock in order to improve sustainability. Retrofit has received greater attention within
the current research agenda given that it has a crucial role to meet sustainable targets (Kemmer;
Koskela 2012). Given that a large share of the buildings that influence climate currently and in
the future have already been built, efficient actions regarding retrofitting and renovation are demanded. Gholami et al. (2013) state that one of the challenging issues during the retrofit process
is to find an approach that improves collaboration and integration during works.
Building Information Modelling (BIM) is an approach for managing construction project information, which includes functions needed to model the lifecycle of a building. BIM provides the basis
for new designs and construction capabilities, and changes roles and relationships in the project
team (Eastman et al. 2011). BIM tools enable stakeholders to manage project information across its
several stages in a virtual environment and can be used for many purposes in new construction
or in retrofits (Sheth et al. 2010). Thus, there is a potential to use BIM tools to assist the process of
retrofitting, such as 4D BIM.
According to Kymmell (2008), 4D BIM simulates the construction process in a virtual environment.
The main benefit of having the project in its virtual form is the possibility of experimenting construction activities and making appropriate adjustments before execution. Graphical simulations
can reveal potential problems in their origins, and opportunities for their improvement in terms
of construction works, equipment involved, spatial conflicts (logistics), security issues, among
others (Eastman et al. 2011). Thus, simulation supports decision-making from the very early construction stages and facilitates the development of solutions (Capeluto; Ochoa 2014).
The simulation of constructions sequence is based on a preliminary programme, schedule of
works and a BIM model. What-if scenarios can be visualized in 4D sequences to help communicate the advantages and disadvantages of various scheduling options (Kymmell 2008). Early 4D
BIM simulation can provide to stakeholders a better understanding of the related processes and
constraints that can affect construction operations.
Ultimately, 4D BIM simulation enables the understanding of potential disruption to occupants,
which supports a better decision-process and mitigates the impact of construction activities on
home environment. The 4D BIM simulations can be used as a visual management tool, given that
images representing the different stages of the construction process can be displayed on site to
workers. Dave et al. (2013) argue that collaborative planning can be enhanced with the support of
4D BIM, where the team visually gains deeper understanding of the project when compared to
traditional approaches (i.e. meetings discussing the schedule of works).
In the context of project delivery in the retrofit of existing housing, an optimal solution is the
one with the capacity to cope with compressed lead-times and to cause minimum disruption to
occupiers. Site layout, temporary accommodations, site facilities and storage, logistics and the
construction programme and time-scales might affect not only the residing family but also the
neighbourhood. The effects on occupiers depend on the family profile and on the need for temporary relocation of the family for the duration of the works. In order to determine appropriate
scenarios that are effective for saving cost and time, early stage simulation methods are likely to
be helpful to overcome uncertainty, to evaluate the performance of different design strategies,

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and to and aid decision-making. One of the key elements highlighted by Sacks et al. (2009) about
BIM is the rapid generation and evaluation of multiple construction plan alternatives through 4D
visualization of construction schedules.

Research approach
The research approach adopted in this study is constructive research, also known as design science research. This approach aims to build an innovative solution, or an artefact, to solve a real
problem. Such problem should be relevant to current practice, and the solution should provide
theoretical contributions (Lukka 2003; Van Aken 2004; Holmstrm et al. 2009). Van Aken (2004) explains design science research as an approach used to develop valid and reliable research, which
creatively solves a construction problem.
This study encompasses three sequential and interdependent stages: understanding the problem, development of a solution, and consolidation. This paper reports on partial results of a masters study, focusing on the development of a method to create, analyse, and select what-if scenarios for housing refurbishment focused on disruption for tenants. It is noteworthy that this
masters research is inserted into the context of S-IMPLER project.
The S-IMPLER project includes the retrofit of 7 houses. House 6 is the prototype house and is void.
In addition, all houses are two-story, except the house 50 which is a bungalow. Figure 1 shows
houses 44 and 45 before retrofit work started.

Figure 1: House 44-45 before retrofit works

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These houses are located in Northern Ireland, and require a number of interventions for improving their energy performance with minimal disruption through cost oriented solutions. The retrofit work will be carried out in 4 different phases to enable analysis, learning and improvement
between phases: Phase 1-A (House 6), Phase 1-B (houses 44 e 45), Phase 2 (houses 46 e 47), Phase 3
(houses 49 e 50), and Phase 4 (house 48), as illustrated in Figure 2.

Figure 2: Planned retrofit construction sequence

The retrofit work consists of:
replacing the old external windows and doors made of wood and single glass by openings
made of PVC and double glass;
strengthening of the existing loft insulation layer, and
insulation of external walls using insulation dynamic boards and rendering;
This paper reports the use of 4D modelling in Phase 1A (House 6), which started on February 2015
and were completed by April 2015, and cycle 1, which corresponds to the period between the
completion of Phase 1A and the end of July 2015.

Development and Results

House 6 (Phase 1A)
Initially, a 3D model was developed for each house typology, based on existing plans (i.e. *.dwg
files) and site visits. In addition, new insulation elements were modelled and added to the initial
3D model for House 6 (i.e. insulation boards, first-base coat, fibre glass reinforcing mesh) according to the building technology defined as part of the overall S-IMPLER project. By having these
elements in 3D, the task of cross-referencing information from the 3D model and the schedule of
retrofit works prior to 4D simulation was facilitated. Synchro Pro was used to simulate the construction phases. The inputs required for this simulation were the 3D model, construction schedule, list of equipment to be used, and location of inventory of materials. Some of this information
was based on the experience of practitioners involved in the project. The different trades were
organised into task groups and identified by colour coding in the 4D model, so that their tasks
were easily visualised in the simulation.

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Collaborative planning meetings were carried out with the participation of the research team and
project stakeholders to create an execution plan for each phase. The aim of those weekly meetings was to review and update the schedule of the retrofit process. Figure 3 illustrates a visual plan
that was collaboratively produced at the site office.

Figure 3: High-level construction schedule

Three 4D models were devised in Phase 1A. The first model was developed as a starting point for
the execution of Phase 1A and was based on initial collaborative planning meetings and on guidelines provided by suppliers. The original plan was affected by restrictions found on site, such as
delays in the delivery of the windows and absence of design details. As changes in the construction schedule occurred, these were incorporated and simulated in the second 4D model, taking
into consideration the constraints and interferences found in the execution of House 6 (Phase 1A).
Screenshots were generated from the second 4D model of House 6, were presented to site manager, and were displayed as a panel on site, as presented in Figure 4.

Figure 4: Retrofit work plan produced from screenshots of a 4D model

The role of those visual devices was to support the site manager to devise and update production
plans at the collaborative planning meetings. Later, the third 4D model was developed considering the how the retrofit process was effectively undertaken in practice.

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Cycle 1 (between Phase 1A and Phase 1B)

Cycle 1 has produced four main outcomes: (a) a set of categories of disruption for tenants, based
on the literature review, (b) 4D models of the Phase 1B, (c) characterization of disruption for tenants from the perspective of stakeholders, and (d) a method for creating what-if scenarios focused on disruption for tenants using 4D BIM.
a. A set of categories of disruption extracted from the literature
A literature review about disruption for tenants was conducted and a set of categories of disruption was identified. Figure 5 summarizes the types of disruption found in the literature review.
Factors affecting end users

References

Disruption of gas provision: it happens when retrofit

works affect the continuity of gas supply

(Whiteman and Irwig 1988; Wallace 1986)

Disruption of electricity provision: it happens when

retrofit works affect the continuity of electricity supply

(Whitema and Irwig 1988; Wallace 1986)

Disruption of water provision: it happens when retrofit

works affect the continuity of water supply

(Whitemanand Irwig 1988; Wallace 1986)

Disruption of access to the building: it happens when

retrofit works block or limit the access of dwellers in their
homes

(Whiteman and Irwig 1988; Jones 2013)

Disruption of everyday life: it happens when retrofit

works disrupt the daily activities of residents, such as
studying, cooking, taking a nap, etc., because spaces are
being shared between dwellers and workers

(Wallace 1986; Vadodaria 2010; Ho 2009; Haines and Mitchell

2014; Fawcett 2014; Lee 2011)

Move out of home: it happens when retrofit works

induce the dwellers to move out of their homes to avoid any
inconvenient

(Wallace 1986; Vadodaria 2010; Ho 2009; Haines and Mitchell

2014; Fawcett 2014; Lee 2011)

Disruption by noise: it happens when retrofit works

generate different levels of noise pollution provided by the
use of tools such as hammers, mallets, etc.

(Whiteman and Irwig 1988; Miller and Buys 2011; Jones 2009)

Disruption by dirt: it happens when retrofit works generate (Whiteman and Irwig 1988; Miller and Buys 2011)
different levels of physical waste such as dust, debris, etc.

Figure 5: Table with factors affecting end users

b. 4D models of Phase 1B
The first 4D model of houses 44 and 45 in Phase 1B was developed based on a previous schedule
of the retrofit process, on the set of categories of disruption, and on the third version of the 4D
model of House 6 in Phase 1A. For example, the tasks located at the front entrance and at the back
entrance were not scheduled at the same time, in order to maintain access to the households. This
4D model was presented to client, site manager, foreman, designer, and suppliers of insulation of
external wall. Considering the feedback from these stakeholders and the new schedule for Phase
1B, which was devised by the site manager and foreman, the 4D model was updated. The second
version of the model was then developed and will be compared with future models at the end of
this phase.
c. Characterization of disruption for tenants from the perspective of stakeholders
Furthermore, the proposed set of categories of disruption for tenants was submitted to criticism
by a client representative, project manager, site manager, foreman, designer, and suppliers of
insulation of external wall, through a questionnaire which was sent by email. From the question-

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naire, the set of categories of disruption was revised and extended, and an assessment of their
importance was made from the stakeholders perspective. Based on those categories, disruptions
for tenants can be highlighted and characterized in 4D simulations to assist the creation of scenarios and to facilitate the comparison between them. At this stage, new factors of disruption
were added: disruption of external environment (e.g., when the tenant performs some improvement out in the backyard such as a wood deck and it needs to be removed); and disruption in the
parking spaces (e.g., when there is a reduction in parking facilities for residents by skips, vehicles
of tradespeople and storage facilities for works). In order to obtain a deeper understanding of
disruption for tenants, a new questionnaire was developed, and this will be applied to tenants.
d. Method for creating what-if scenarios focused on disruption for tenants using 4D BIM
Considering the outcomes from the empirical study Phase 1A and cycle 1 - a method for creating
what-if scenarios with minimal disruption for tenants in social housing retrofit projects was developed. This method uses 4D BIM simulation to create what-if scenarios and seeks to understand
how the disruption for occupiers can be minimized and avoided while the retrofit process is carried out. Also, this method enables the choice of an appropriate execution process to be used in
further retrofits.
This method provides a wide support to the user when understanding, visualizing, and improving
the production process in social housing retrofit projects, as well as in identifying and minimizing
disruption for tenants. A schematic representation of the proposed method is shown in Figure 7.

Figure 7: Method for creating what-if scenarios focused on disruption for tenants using 4D BIM
The method is divided into two main stages: developing what-if scenarios and decision-making.
The stages comprise the following steps:
1. Development of a 3D BIM model of existing building: What-if scenarios are developed from 4D
BIM models, therefore it is essential to have the 3D BIM model of the existing building. In most
cases, the building that will be refurbished does not have an up to date documentation. Thus,

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it is necessary to make a detailed survey of the building comprising current measurements,

and to identify technologies and construction materials used. This information is important
for generating 3D BIM models.
2. Identification and capture of requirements: As this study refers to social housing, there are
two main clients: the dwellings owner and the dwellings user. By knowing the main clients,
relevant requirements for both of them are used in the development of the final product (refurbished building).
3. Identification and characterization of disruption: A characterization of disruption for tenants
has been developed, and it comprises a set of factors. In this step, the types of disruption
affecting tenants and the intensity in which they occur are investigated. This step influences
directly step 5.
4. Definition of the construction technology: A set of alternatives in technology for executing
works in the existing building should be investigated and defined. The client may consider
other factors in the selection of these technologies, such as experience, time, cost, among
others.
5. Definition of tasks sequence: This step depends exclusively on the previously selected execution process. Each process might have a set of basic execution guidelines (e.g. items need to
be installed before the insulation boards in the external walls in order to avoid future rework).
Each execution process could generate several tasks sequences. The number of sequences
must be defined by the client who must consider minimizing disruption to tenants during
retrofit works. This input is considered in the 4D BIM modelling.
6. Construction of a 3D BIM model LOD 300/350: Considering that the 3D BIM model of existing
building has been developed, the type of execution process has been set, and clients requirements have been understood, a 3D BIM model with the level of detail 300/350 must be developed. Also, in this step, several 3D BIM models could be modelled according to the defined
process in step 4. This input should now be considered in the 4D BIM modelling.
7. Development of 4D BIM models: Each execution sequence added to its respective 3D BIM
model, which has elements of the existing building and the building to be refurbished, will
generate a 4D BIM model. In addition, each 4D model can create a what-if scenario. As changes
in the sequence of activities occur, a new simulation scenario is created.
8. Creation of what-if scenarios: This step corresponds to creating several potential alternatives
of retrofitting for a specific execution process. The number of what-if scenarios should be established by the client in order to proceed to the next step.
9. Elaboration of a scenarios matrix: After the number of what-if scenarios has been defined,
they should be compared against each other through a scenarios matrix. A set of parameters
should be used to assist the process of analysing and selecting the best scenario as part of the
decision-making process performed by the client.
10. Analysis of what-if scenarios by the client: Based on the abovementioned matrix, the client is
able to choose the best scenario for conducting retrofitting works.
11. Execution of the best scenario: After the best scenario has been chosen by client, a contractor,
which has been defined by client, should execute it. The information derived from the execution of the chosen scenario will provide feedback the process and should be considered as an
input for further developments. As an example, a survey with tenants can be performed to
investigate whether the foreseen disruptions at the beginning of the process happened or if
new disruptions emerged.
12. Comparison between scenarios: a comparison between the simulated and performed scenarios is recommended, in order to obtain additional information as a feedback for the process.

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Discussion
The study developed in Phase 1A was important to explore 4D modeling and simulation, especially when presenting the retrofit planning process to the site manager and to the foreman. Furthermore, this stage reinforced the needed of creating what-if scenarios in order to minimize
disruption for end users.
Currently, the retrofit execution plan on the S-IMPLER is performed by using stick notes on a
board. This is relatively fast and straight-forward, but it can hide some execution issues, bringing
possible rework and increased costs during the project. The retrofit execution plan requires the
support of management and visualization tools to assist in carrying out the work. So there is a
great potential for use of BIM 4D tool in this project. Although a visual device containing screenshots has been used on site in Phase 1A, its applicability has not achieved its central objective.
A new attempt will be made in Phase 1B, as previous studies have proven that in new buildings
the use of visual devices facilitates the application of the model 4D on sites (Sacks; Treckmann;
Rozenfeld 2009; Bortolini 2015).
There are opportunities in terms of training in 4D modelling and simulation, as the site manager
and foreman had limited knowledge about the topic. It was agreed with participants that it is
more difficult to visualize the 4D simulation in retrofit projects than in new construction because
some elements are already existing parts of the building.
The study developed in Cycle 1 was important to understand what disruption for tenants is, and
how the use of 4D BIM models can minimize it. Some studies point to the difficulty to conduct
refurbishment in buildings where users remain in the site during works, but very few of them indicate what are the disruptions that can be found in these works. Thus, it was important to create
a set of categories of disruption based on literature review.
Although the method was devised, steps 1 to 7 have been partially used. So far, the critical points
of the method are: to identify and capture clients requirements, to assess the influence of a dwellings owner and/or a dwellings user as main clients, and to define the construction technology
without clients support. Consequently, it is necessary to collect more information with external
suppliers in order to fine tune the tasks sequencing.

Conclusion
This paper described how 4D models are explored in the improvement of construction planning,
particularly in the reduction of occupiers disruption in retrofit projects. The findings presented in
this paper are part of an ongoing study.
First main finding of this paper is the identification and characterization of disruption for tenants
when the retrofit works are carried out. It is highlighted the need to identify and to characterize
disruption for tenants using three sources of evidence: literature review, stakeholders perspective, and tenants point of view. Thus, a survey assessing tenants perception about disruption can
gather relevant inputs to refine and build what-if scenarios. An accurate definition of disruption
would enable the creation of alternatives for executing works on site.
Second main finding is the method for creating what-if scenarios using BIM 4D. This proposed

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method was devised to guide public or private companies retrofitting social housing. This method will support the decision making process when choosing the most appropriate solution from
a users disruption perspective.
In the retrofit context, 4D modelling should be increasingly used by contractors and subcontractors to make collaborative decisions concerning occupiers and neighbours disruption. As different scenarios considering a wide range of factors affecting tenants (i.e. noise, pollution) will be
simulated, it is expected that reduced disruption is achieved.

Acknowledgments
The authors would like to thank Innovate UK, CAPES/Brazil and CNPq/Brazil for the financial support received. In addition, they would like to thank the wider S-IMPLER project team for their
direct contributions in this investigation.

References
BORTOLINI, R., 2015, Modelo para planejamento e controle logstico de obras de sistemas pr-fabricados do tipo engineer-to-order com o uso de BIM 4D, Masters dissertation, Federal University of Rio Grande do Sul, Porto Alegre,
Brazil.
CAPELUTO, I. G., OCHOA, C.E., 2014, Simulation-based method to determine climatic energy strategies of an adaptable
building retrofit faade system, Energy, vol. 76, pp. 375-384.
DAVE, B., KOSKELA, L., KIVINIEMIM A., TZORTZOPOULOS, P., OWEN, R., 2013, Implementing Lean in construction - Lean
construction and BIM, CIRIA, London.
EASTMAN, C., TEICHOLZ, P., SACKS, R., LISTON, K., 2011, BIM Handbook A Guide to Building Information Modeling for
Owners, Managers, Designers, Engineers, and Contractors, 2nd Ed., John Wiley & Sons, Inc., Hoboken, New Jersey,
USA.
FAWCETT, T., MAYNE, R., 2012 Exploring an Over Ttime Model of Eco-Renovation, Retrofit 2012, Salford, Manchester,
24-26 January 2012.
GHOLAMI, E., SHARPLES, S., SHOKOOH, J. A., KOCATURK, T., 2013, Exploiting BIM in Energy Efficient Refurbishment A
paradigm of future opportunities, in Proceedings of PLEA 2013 - 29th Conference, Sustainable Architecture for a
Renewable Future, Munich, Germany.
HAINES, V., VAL, M., 2014, A Persona-Based Approach to Domestic Energy Retrofit, Building Research & Information,
42:4, 462-476.
HM GOVERNMENT., 2010, Final Report. Low Carbon Construction Innovation and Growth Team, Autumn, United
Kingdom.
HO YEE, P., 2009, An Automated Method to identify Occupant interactions in Renovations of Occupied Buildings, CIFE
Technical Report #TR185, Stanford University, Stanford.
HOLMSTRM, J., KETOKIVI, M., HAMERI, A., 2009, Bridging Practice and Theory: A Design Science Approach, 40(1), pp.
6588, 2009.
JONES, A., 2013, Investigating Deep Retrofits for Torontos Financial District Office Towers, Journal of Sustainable Real
Estate, vol. 5, no. 1, pp. 209-241, 2013.
KEMMER, S., KOSKELA, L., 2012, Developing a lean model for production management of refurbishment projects, in
Proceedings for the 20th Annual Conference of the International Group for Lean Construction, San Diego, CA, USA.
KYMMELL, W., 2008, Building Information Modeling Planning and managing construction projects with 4D CAD and
simulations, The McGraw-Hill Companies, Inc..
LEE, H.-Y., 2012, Renovation Scheduling to Minimize User Impact of a Building that Remains in Operation, Automation
in Construction, vol. 22, pp. 398405.
LUKKA, K., 2003, The Constructive Research Approach, In Ojala, L. & Hilmola, O-P, Case study research in logistics. Publications of the Turku School of Economics and Business Administration: Serie B1, pp. 83-101.

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MILLER, E., BUYS, L., 2011, Retrofitting Commercial Office Buildings for Sustainability: Tenants expectations and
experiences, Management and Innovation for a Sustainable Built Environment, 20 23 June 2011, Amsterdam, The
Netherlands
RIBA - ROYAL INSTITUTE OF BRITISH ARCHITECTS., 2013, Residential Retrofit: 20 Case studies, London.
SACKS, R., DAVE, B., KOSKELA, L., OWEN, R., 2009, Analysis framework for the interaction between Lean Construction
and Building Information Modelling, Proceedings for the 17th Annual Conference of the International Group for
Lean Construction.
SACKS, R., TRECKMANN, M., ROZENFELD, O., 2009, Visualization of work flow to support lean construction, Journal of
Construction Engineering and Management, v. 135, n. 12, pp.1307-1315.
SHETH, A., PRICE, A., GLASS, J., 2010, BIM and refurbishment of existing healthcare facilities, In: Procs 26th Annual ARCOM Conference, Association of Researchers in Construction Management, pp. 1497-1506, Leeds, United Kingdom.
TSB - TECHNOLOGY STRATEGY BOARD., 2014, Retrofit for the future: analysis of cost data, Swindon: Technology Strategy Board. <https://www.innovateuk.org/documents/1524978/1866952/Retrofit%20for%20the%20Future%20-%20
analysis%20of%20cost%20data%20report%202014> Retrieved on November 15, 2014.
VADODARIA, K., LOVEDAY, D., HAINES, V., MITCHELL, V., MALLABAND, B., BAYER, S., 2010, UK solid-wall dwellings
thermal comfort, energy efficiency refurbishment and the user perspective some preliminary analysis from the
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Windsor, UK, 9-11 April 2010, London: Network for Comfort and Energy Use in Buildings.
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and Grounded Techonology Rules, Journal of Management Studies, v. 41, n. 2, pp. 219-246.
WALLACE, P., 1986, Tenanted Refurbishment: The Community Way, Property Management, Vol. 4 Iss 2, pp. 99 109.
WHITEMAN, W., IRWIG, H., 1988, Disturbance Scheduling Technique for Managing Renovation Work, Journal of Construction Engineering and Management, vol. 114, pp. 191-213.
WILKINSON, S., 2012, Analysing Sustainable Retrofit Potential in Premium Office Buildings, Structural Survey, Vol. 30 Iss
5 pp. 398 410.

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International Conference | Bari - Lecce, Italy

Session IV

EXPLORATION OF THE ZEMCH WORKSHOP

USP 2015
Karin Chvatal1, Kelen Dornelles1, Bruno Damineli1, Akemi Ino1, Lcia Shimbo1 &
Masa Noguchi2
1 Institute of Architecture and Urbanism, University of So Paulo, Brazil, [email protected]
2 EDBI Research Group, Faculty of Architecture, Building and Planning, The University of Melbourne, Australia,
[email protected]

Abstract
This paper addresses a discussion on architectural design development methods, mass customization and energy efficiency in the production of housing. More specifically, it evaluates
the experience of the Zero Energy Mass Custom Home (ZEMCH) Workshop held in 2015 at
the University of So Paulo (USP), in Brazil. The workshop was organized for the acquisition
of enough knowledge in a short period of time (5 days) and obtaining of a zero energy mass
custom social home in the Brazilian context. It included five main phases: 1) Theoretical Basis,
2) Function Analysis, 3) Design Development and Energy Analysis, 4) Final Presentation Finalization, and 5) Final Individual Presentation (with the development of the final product, i.e., a
zero energy mass custom social home). They were divided into Pre-workshop, Workshop and
Post-workshop activities. Its structure and content are analysed regarding the four final projects and the way the main goals were achieved. Based on the concept of flexibility, all groups
proposed housing units that would attend a diversity of family compositions and their life
dynamics. The project solutions included renovation, extra bedrooms or commercial space
and options of facade with different colours, materials and design. The experience of ZEMCH
workshop USP held in So Carlos was successful and contributed to the introduction of the
ZEMCH concept to the social housing Brazilian context, according to climate conditions of
the city. Suggestions for future ZEMCH Workshops are proposed, so that continuous improvement is guaranteed.

Keywords
Mass customisation, social housing, zero energy buildings, workshop, design education.

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1 Introduction
Due to the new carbon dioxide (CO2) constraints and regulations caused by the global warming
increase, the development of zero energy and CO2 emission sustainable houses has become crucial for the future of the building construction (Noguchi 2013). However, the common concept
of social housing is usually linked to mass production for the achievement of low cost on a large
scale, which disregards important social issues.
Some Latin American countries have followed the tendency of mass-produced housing since the
1990s, based on public investment with the decisive participation of the private sector. In Brazil,
a series of regulatory, institutional and productive mechanisms might favour and expand the
role of private actors in the housing policy. The private sector participation empirically outlines
a blurred boundary between production forms for the construction of social housing and those
destined to the housing market, creating a hybrid intermediate zone the social housing market (Shimbo 2012).
Based on this new arrangement market, institutional mechanisms, investment funds and sources Brazil has taken on the large-scale production housing, specifically with the My House, My
Life Program (Programa Minha Casa, Minha Vida - PMCMV), producing 3.4 million housing units in
only five years (2009-2014). The Program, still in operation, is organized in Tracks defined according to household income ranges. Track 1 is applied to social housing for low-income households
(monthly incomes of up to R$ 1,600.00 or approximately 700 USD - January / 2014), whereas the
other two tracks (Track 2, up to R$ 3,100.00 or 1,300 USD and Track 3, up to R$ 5,000.00 or 2,000
USD) refer to the housing market destined for middle-income families.
Track 1 absorbs the social housing programs that have operated in Brazil since President Lulas first
term (2003-2006), with some significant changes, especially regarding the amount of resources
and role of promoter agents. Tracks 2 and 3 clearly evidence the encouragement of public authorities to the housing production by private actors for low-income and middle-income sectors. In
both cases, construction companies gain relevance because they are actors of the program no
longer restricted to government biddings and quotation requisitions, and real estate agents who
intermediate landowners, fiscal agents and consumers.
The production of the PMCMV is characterized by a large scale and standardization of the housing product, which is mostly large housing estates composed of three basic patterns: vertical
buildings (most of them with up to five floors and no elevator), horizontal developments (single
houses and often double-houses) and a combination of both in the same land. The low architectural and urban planning quality is a frequent criticism of the housing development of PMCMV
(Ferreira 2012, Cardoso 2013). Recent studies have clearly pointed the design of such houses does
not take thermal comfort and energy efficiency into consideration (Lopes & Shimbo 2015).
As a critical perspective, the concept of mass customization could improve the housing quality
in the Brazilian context considering the large scale and individual dynamic needs and desires with
no increase in costs. Such a concept dates from 1950s, explicated in the book Scope of Total Architecture (Gropius 1956), where the author emphasizes the need of standardizing and mass-producing not entire houses, but only some components to be disposed in a customized way, considering not only the decrease in operational cost and time (by mass-producing elements), but
also quality (customization).

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Despite the apparent paradox and opposite relation between mass and customization, the term
Mass customization appeared in the books entitled Future Shock (Toffler 1970), Future Perfect
(Davis 1987), Mass Customization (Pine II 1993) and Handbook of Research in Mass Customization
and Personalization (Piller & Tseng 2009). The latter includes one of the practical mass customization approaches and is applied to the housing industryi.e. modularization of building components (Noguchi & Hadjri 2009).
Noguchi and Friedman (2002) developed a mathematical model that quantifies the possible ordered pairs (or combinations) made from given standard housing components. The model also
enables the integration of fundamental design service factors (location, personnel and tool), as
well as the three different building components (volume, exterior and interior). Volume components configure the internal space that determines the size and location of each room, whereas
interior and exterior components determine the decorative and functional elements that customize the building. Optional features, such as security systems and renewable energy technologies are also available. Ventilation and heat losses are associated with the building volume and
envelope exposures, while thermal transmittance is associated with materials applied to the components.
This paper addresses a discussion on architectural design development methods, mass customization and energy efficiency in the housing production. More specifically, it evaluates the experience of the Zero Energy Mass Custom Homes (ZEMCH) Workshop held in 2015 at the University
of So Paulo (USP) in Brazil.

2 Principles, foundation and workshops of ZEMCH Network

The achievement of individuals dynamic needs and demands in social housing design developments is considered a challenge of social and economic sustainability for improvements in
the product quality with no sacrifice to production costs. Moreover, the prolongation of global
warming issues should be avoided in any housing development today for the achievement of
environmental sustainability.
Accordingly, a zero energy mass custom home research group, called ZEMCH Network, was established in 2010 to accelerate both research and development of socially, economically and environmentally sustainable homes in global contexts. The emerging concept of mass customization
has been reviewed and regarded as an essential element of ZEMCH delivery, which requires a
strategic balance between optional and standard design features (Noguchi, 2003). Presently, the
network consists of 450 partners from over 40 countries.
In 2006, the ZEMCH Mission to Japan initiative was carried out in Canada to provide Canadian
construction companies with opportunities to explore the state-of-the-art production and sales
facilities of the net zero energy cost housing manufacturers in Japan. The event was successful,
therefore it was reorganized in the following years. In 2010, it welcomed 20 international delegates
invited to join a panel of discussions held at the Renewable Energy 2010 International Conference
in Japan. The event also helped form the ZEMCH Networks ambition. In 2012 the first academic
conference was organized by the ZEMCH Network for continuous information exchange and discussion, and since then it has been organized annually.
Moreover, a ZEMCH design workshop was organized to complement ZEMCH 2014 International

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Conference held in Londrina, Brazil. The 4-day technical design knowledge transfer event was
called ZEMCH Workshop UEL 2014. It welcomed 20 participants and encompassed a series of essential learning and demonstration activities run by 5 international academics from Australia, Brazil and the United Arab Emirates. In 2015, the design workshop was resumed and hosted by the
University of So Paulo (USP), So Carlos, Brazil. The ZEMCH Workshop USP 2015 extended the
operation time to 5 days (13 to 17 April, 2015). Nineteen postgraduate students from several universities (UniMelb, USP, UEL and UNICAMP) participated, while 6 tutors (Akemi Ino, Karin Chvatal,
Kelen Dornelles, Lucia Shimbo, and Bruno Damineli from USP and Masa Noguchi from UniMelb)
steered the teaching operation.

3 Workshop Methods
Overall scheme
The ZEMCH Workshop at USP was designed to transfer technical design knowledge required
for the delivery of zero energy mass custom social homes in developing countries. It included
five main phases (Figure 1): 1) Theoretical Basis, 2) Function Analysis, 3) Design Development and
Energy Analysis, 4) Final Presentation Finalization, and 5) Final Individual Presentation (with the
development of the final product, i.e., a zero energy mass custom social home). They were divided into Pre-workshop, Workshop and Post-workshop activities and aimed at providing enough
knowledge in a short period of time (5 days) for the obtaining of a final product considering the
aspects of a ZEMCH.

Figure 1: Main phases and corresponding activities of the workshop.

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Theoretical basis
The theoretical basis included several activities before and during the workshop. Preparation
classes were conducted as Pre-workshop activities, with classes in Melbourne for the UniMelb students and in So Carlos for the students from Brazil. In Melbourne, students attended six classes
with Prof. Masa Noguchi, which included a ZEMCH introductory lecture, the Code for Sustainable
Homes (UK Code, BRE Global, 2010) lecture and exercises, and the demonstration and training of
simulation tools for energy analyses. In Brazil, a preparation class was given by tutors Akemi Ino,
Karin Chvatal, Kelen Dornelles and Lucia Shimbo to Brazilian students. The classes comprehended
an introduction about the ZEMCH subject and the energy analysis programs.
The first day of the workshop included an introduction as part of the Theoretical Basis. The main
subjects discussed were ZEMCH concept, Social housing production system in Brazil (PMCMV),
and different construction systems for social housing in Brazil. The students from UniMelb presented the Code for Sustainable Homes (CSH) and Prof. Noguchi explained the environmental
simulation tools for the energy analysis.
The second day was devoted to the Site and Function Analysis. The Site analysis was based on a
site visit in So Carlos, as part of the Theoretical Basis. Students and tutors visited the Abdelnur
Residential, with 1032 houses constructed with Cast-in-place concrete walls (Figures 2 and 3). The
visit was part of the theoretical knowledge for the identification of needs and lacks regarding the
housing design development adapted to the Brazilian reality.

Figure 2: Visit to Abdelnur Residential in So Carlos.

Figure 3: Site analysis from group D.

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Function analysis
The function analysis was based on aspects observed during the site visit and the way of achieving the ZEMCH concepts adapted to the Brazilian reality. The Functional Analysis System Technique (FAST) creates a graphical representation to show the logical relationships between the
functions of a project, product, process or service based on the questions How and Why. It
enables participants to think about the problem objectively, identify both the scope of the project, by showing the logical relationships between functions, and all the required functions and
verify if a proposed solution has achieved the design needs. It also enables the identification of
unnecessary, duplicated or missing functions.
The following questions should be approached for the creation of a FAST Diagram: How can this
function be obtained?, Why have you adopted this function? and What other functions should
you adopt? (Fig. 4).

Figure 4: Function Analysis.

The FAST Diagram was developed in two hours and according to aspects of social housing production observed by the students during the site visit, the ZEMCH concepts and some categories
of sustainable design from the CSH. An example of a FAST diagram, developed by group A, is
showed in Figure 5.

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Figure 5: Example of a FAST Diagram - Group A.

After the FAST diagram creation, the most important criteria were established and punctuated
according to levels of importance. This procedure was conducted with an evaluation criteria scoring matrix. Each evaluation criterion was compared to each other and punctuated, as showed
in figure 6. The scoring matrix was constructed according to the criteria indicated by the FAST
diagram, with the following order of importance: 3-High; 2-Average; 1-Low. The total score and
equivalent weight were calculated for each function. This phase of the workshop lasted approximately 2 hours.

Figure 6: Example of an Evaluation Criteria Score Matrix - Group A.

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Design development and Energy analysis

The next two days were dedicated to the design development and energy analysis, and the students considered both the mass customization concepts and the main priorities of each group.
They selected a construction system, developed a new master plan and designed solutions to
achieve the ZEMCH concepts. The design development was based on the priorities established by
the FAST Diagram and the scoring matrix. The energy analysis helped the students to achieve the
best solutions with lower building energy consumptions through 3 programs, namely Ecotect,
Hot 2000 and RetScreen, explained in the afternoon of the first day. However, both Brazilian and
Australian students had a short contact with them during the preparation classes.
Ecotect is a Sustainable Building Design Software, which is actually being integrated in the Revit
family. It shows an iterative display where the building can be designed since the early stage, and
several analyses can be performed, including energy and day lighting, among others. It was the
first tool used by the participants for their evaluation of only daylighting and the necessary complement from artificial lighting. Hot2000 was developed by CanmetENERGY, Canada, and used
for the energy consumption calculation. It is based on a steady-state algorithm, which considers
monthly external and internal temperatures are constant. Its input data includes envelope construction and its thermal properties, information about thermal bridges, internal gains, characteristics of heating and cooling systems and building air tightness. RetScreen was also developed
by CanmetENERGY and other collaborators from Canada. It evaluates the energy production and
savings, costs, emission reductions, financial viability and risk for various types of Renewable-energy and Energy-efficient Technologies. However, the focus of its use in the workshop was on the
calculation of the solar panel area for the supply of hot water.
Final presentation finalization
The last day of the workshop included the Design Portfolio Development, with ZEMCH design
finalization and presentation of the material developed during the workshop. Each group prepared a poster and an oral presentation on the ZEMCH proposed for So Carlos, according to
theoretical basis input and function analysis exercises. The poster included the main scope of the
project with details about Site Analysis, Function Analysis and Score Matrix, Design Process, Energy Analysis, and Mass Customization, and other details (Fig. 7). Groups A, B, C and D presented the
scope of the project orally and were evaluated by the tutors from USP and UniMelb.

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Figure 7: Final posters with design development - groups A, B, C and D.

Final individual presentation
After the workshop, the students were evaluated individually through a final individual presentation to be developed in approximately 40 days. Students from Brazil prepared a Monograph and
presented it orally for the USP tutors. It should concern a subject of interest related to the ZEMCH
design concepts. The students from UniMelb produced a research paper on a subject of their
choice related to the low-incoming social housing developments in Brazilian contexts. The outcomes were assessed locally.

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4 Workshop discussion
Nineteen students (seven from Australia and thirteen from Brazil) participated of the workshop.
The Brazilian students were enrolled on Masters or PhD Architecture and Urbanism programs
at USP, UNICAMP and UEL. The Australian students were cross-cultural postgraduates mostly of
Urban Planning or Design backgrounds (only one student was enrolled on the Architecture program). They were divided into four groups: one with four students (named group A) and three
with five students (B, C and D). The sole criterion for the group formation was the mingling between Brazilian and Australian students. Each group had three students from Brazil and two from
Australia, except the smallest group, which had only one student from UniMelb. The groups were
formed on the second day of the workshop, before the site visit. Students were freely allowed to
decide on which group to participate. On the one hand, this decision enabled them to choose
their same-country-colleagues of affinity, which improved their communication during the quick
phase of designing. On the other hand, Brazilian students grouped themselves according to the
same supervisor/main research subject, which made their final product inadequate regarding
aspects they usually do not deal with. Figure 8 shows the final results for the main house design
of all groups.

Group A

Group B

Group C
Figure 8 - House design overview - Groups A, B, C and D.

Group D

Theoretical basis
The phase of theoretical basis included several activities, as previously explained in the Methods.
Considerations about some of those activities and their positive and negative aspects are addressed below.
The UK Code for Sustainable Homes was presented for the students learning activities and considered an important parameter of aspects that influence the building energy efficiency (and
sustainability as a whole). However, as Brazilian climates are quite different than those of the UK,
it did not bring any special design ideas to be used in the project.

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A visit to the project site was one of the activities conducted prior to the design development. It
was very profitable, mainly to the UniMelb students, as it provided them with the reality of the
project and production of the PMCMV. The participants were in contact with My Home My Life
Program production site, where they could observe some negative aspects, such as monotony
of the implantation, same pattern of house units, long blocks, insufficient public infrastructure,
few connections to the city, no commercial service, little interaction between residential lots and
green area and no public transportation in the vicinity. The negative aspects were significantly
reflected on their project proposal, as observed in the result of 4 projects developed. All groups
implemented solutions in the project for the negative aspects pointed out in the site visit, such
as green areas among the blocks, small dimension of blocks, area of public gathering and entertainment with nursery, hospital, elementary school and public greening space. Regarding the
mobility system, they proposed different modalities considering low-income people, as priority
to pedestrians and bicycles rather than to public transportation and automobiles. Another suggestion was a green common area among lots destined to food production without pesticides
(fruits and vegetables). This idea would provide healthy food and may also be a commercial activity for families. All projects considered some lots for mixed functions (living and commercial)
and the housing unit was proposed to be flexible with enough space for working and commercial
activities. As an example, the mass plan of Group A is shown in Figure 9.

Figure 9 - Mass plan of Group A.

Four different constructive systems were proposed for the workshop activities: Wood-Light-Frame
(group A), Structural Masonry (B), Cast-in-place Concrete Walls (C) and CLT - Cross Laminated Timber (D). Such systems were adopted for comparison of costs involved, CO2 emission impacts and
energy levels incorporated in each material, as well as possibilities of constructive solutions. Indeed, a five-day-workshop is a very short time for the design of affordable social housing with the
ZEMCH concept and technical specifications of each system in the Brazilian context. The result
of 4 projects did not highlight the technical aspects involved in the production chain of each
system. Likewise, environmental impact indicators associated with construction materials and
systems may not be considered.

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Group A, formed by Brazilian students who had already worked with constructive systems in their
Master or PhD research, brought a better solution to the definition of the constructive system
they worked with (Fig. 10).

Figure 10 - Group A - prefabricated system components.

Function analysis
The time devoted to the function analysis was enough for each group to brainstorm their ideas,
structure the diagram, construct the evaluation criteria scoring matrix and present the results.
During the brainstorming process, the tutors and assistants visited each group to encourage them
and clarify doubts. The function analysis guided the students during the design stage and helped
them to be more efficient during this process. The priorities established were clearly reflected in
their final design (an example is shown in Fig. 11). As one of the priorities was reductions in the
house purchase costs, they performed a cost analysis of roof solutions that led to the cheapest
solution without compromising energy efficiency.

Figure 11 - Analysis of the cost of different roof solutions (group B).

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Energy analysis
Energy analysis programs Ecotect, Hot2000 and RetScreen were used by the students for the calculation of the indicators mentioned in the Methods. Due to the short period for their learning
and complexity of input data (even in simpler programs, like those), some problems were raised.
The calculation of building energy consumption and its systems is not an easy task (the achievement of zero or net zero energy buildings is even more challenging). The students faced difficulties and did not understand the connection between them in the design process completely.
They could not compare distinct design alternatives. The main energy program (HOT 2000) was
developed for Canada, where energy demands and design strategies for zero energy buildings
are completely different from those in Brazil. In Brazilian climates, the main issue is the avoidance
of heat loss during winter through the use of a highly insulated and air tightened envelope. In
So Carlos, (and most Brazilian cities), operable windows and natural ventilation, at least during
summer, are important strategies for the achievement of thermal comfort. Most houses (social
housing or not) do not use air conditioning and the electric shower is the main contributor to
the energy consumption. Chvatal; Corvacho, 2009; and Chvatal, 2014 discussed whether a highly
insulated envelope would impact on the thermal performance in less cold climates, with warm
summers. Moreover, evaluating the impact of natural ventilation on the building thermal consumption is much more complex than using the steady-state programs mentioned and unviable
during a workshop. Figure 12 shows the thermal comfort analysis of Group C. This group included
students that addressed building energy efficiency as their research topic, therefore, their thermal comfort analysis was conducted in a more detailed way.

Figure 12 Group C - thermal comfort analysis

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Mass Customisation
Based on the concept of flexibility, all groups proposed housing units that would attend a diversity of family compositions and their life dynamics. The project solutions included renovation, extra
bedrooms or commercial space and options of facade with different colors, materials and design. Despite the limited scale and time, some groups considered the concept and provided mass
custom design options to accommodate the social demographical challenges of social housing
developments (Figure 13).

Figure 13 - Mass customization options presented by Group D

5 Conclusions
The experience of ZEMCH workshop USP held in So Carlos was successful and contributed to the
introduction of the ZEMCH concept to the social housing Brazilian context, according to climate
conditions of the city. The 5-day workshop program was also very productive.
The first step of the workshop, which consisted in the presentation of theoretical data and software training, was well conducted. However, it would have been better if pre-workshop activities
focused on ZEMCH concept for social housing in the Brazilian context had been included. Another suggestion for future workshops is the introduction of Brazilian Thermal and Energy Efficiency
codes for helping the students to find more appropriate design solutions to the local climate.
The number of constructive systems to be considered in the house design could have been reduced, for a better preparation of in-depth preparatory classes on the constructive systems chosen and more detailed specifications.
The site could have been visited at the end of the first day and some extra time devoted to discussions on the students impressions. Regarding group formation, students with the same supervisor/research subject should not be placed in the same group.
The Function analysis proved important to help and guide the participants to develop the designs in such a short period of time. More time should be reserved for the design development (at
least three entire days) for the obtaining of better solutions to the project and more possibilities
for mass customization.

Acknowledgements
The authors acknowledge the universities involved in the organization of ZEMCH Workshop USP
2015 for their financial and facility support, as well as their encouragement of students in this new
ZEMCH design education initiative carried out at global levels.

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References
BRE GLOBAL, 2010, Code for Sustainable Homes: Technical Guide. http://www.planningportal.gov.uk/uploads/code_
for_sustainable_homes_techguide.pdf
CARDOSO, A. L., 2013, O Programa Minha Casa, Minha Vida e seus efeitos territoriais. Rio de Janeiro: Letra Capital (in
Portuguese).
CHVATAL, K. M. S., CORVACHO, M. H. P., 2009, The impact of increasing the building envelope insulation upon the risk
of overheating in summer and an increased energy consumption. Journal of Building Performance Simulation, v.
2, p. 267-282.
CHVATAL, K. M. S., 2014, Avaliao do procedimento simplificado da NBR 15575 para determinao do nvel de desempenho trmico de habitaes. Ambiente Construdo (Online), v. 14, p. 119-134 (in Portuguese).
DAVIS, M. S., 1987, Future Perfect, New York: Addison-Wesley.
FERREIRA, J. S. W. (coord.), 2012, Produzir casas ou construir cidades? Desafios para um novo Brasil urbano. Parmetros
de qualidade para a implementao de projetos habitacionais e urbanos. So Paulo: LABHAB ; FUPAM (in Portuguese).
GROUPIUS, W., 1956, Scope of Total Architecture, London: George Allen & Unwin.
LOPES, J. M. A., SHIMBO, L. Z., 2015, Projeto e produo da habitao na regio central do estado de So Paulo: condies e contradies do PMCMV. In: Caio Santo Amores; Lucia Zanin Shimbo; Maria Beatriz Cruz Rufino. (Org.).
Minha casa... e a cidade? Avaliao do programa minha casa minha vida em seis estados brasileiros. 1ed.Rio de
Janeiro: Letra Capital, v. 1, p. 229-254 (in Portuguese).
NOGUCHI, M., 2003, The Effect of the Quality-Oriented Production Approach for the Delivery of Prefabricated Housing
in Japan, Journal of Housing and the Built Environment, Vol. 18, No. 4: pp. 353-364.
NOGUCHI, M., 2013, Editorial, Open House International, Vol. 38, No. 3: pp. 5-6.
NOGUCHI, M., FRIEDMAN, A., 2002, Mass Custom Design System Model for the Delivery of Quality Homes-Learning
from Japans Prefabricated Housing Industry, Proceedings of the International Council for Research and Innovation in Building and Construction W060-096 Syllabus Joint Conference: Measurement and Management of
Architectural Value in Performance-Based Building. Hong Kong, pp. 229-243.
NOGUCHI, M., HADJRI, K, 2009, Mass Custom Design for Sustainable Housing Development, In: Piller, F. T. and Tseng,
M. M., Research Handbook in Mass Customization and Personalization, Hackensack: World Scientific Publishing,
pp. 892 - 910.
PILLER, F. T., TSENG, M. M., 2009, Handbook of research in Mass Customization and Personalization, New Jersey: World
Scientific Publishing.
PINE II, B. J., 1993, Mass Customization: the New Frontier in Business Competition. Massachusetts: Harvard Business
School.
SHIMBO, L. Z., 2012, Habitao social de mercado: a confluncia entre Estado, empresas construtoras e capital financeiro. 1. ed. Belo Horizonte: C/Arte, 224p (in Portuguese).
TOFFLER, A., 1970, Future Shock. New York: Random House.

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International Conference | Bari - Lecce, Italy

Session IV

THE GREEN SPACE EXPLORED IN DIFFERENT

INDIVIDUAL HOUSING TYPOLOGY, ALGERIA
Kheira A. Tabet Aoul1, Wessal Keddah2
1 Architectural Engineering Department, United Arab Emirates University, UAE, [email protected]
2 Universit des Sciences et de la Technologie dOran, Dpartement dArchitecture, Oran, Algeria

Abstract
It is widely recognized that vegetation carries many benefits with environmental and aesthetic contributions to the built environment as well as to peoples comfort and well-being.
However, the contemporary built environment of many Algerian cities, in both city center and
suburban housing developments in particular, is characterized by a shyly represented if not
totally absent vegetation, creating barren urban landscapes. The scarce vegetation, particularly in individual homes, leads to a number of interrogations, including the impact of houses plot size, typology and occupants attitudes and practices towards greenery in the open
space of the house and its perceived role and value in everyday environment. This paper presents parts of a broader investigation that explores the spatial configuration and vegetation
content within the open space of residential dwellings of different typologies, namely the
detached, semi-detached and attached house in a representative neighborhood in the city
of Oran, Algeria. A qualitative exploratory approach using site observations, architectural surveys, photographic repertory and semi-structured interviews with occupants were the basis
of the research methodology. The results revealed that the spatial configuration of the green
space is presented in a stereotypical model, in a rectilinear form along the property walls,
independently of the housing typology considered. Furthermore, the size of the plot in the
range considered was also found to yield no impact on the degree of presence of vegetation
in the open space.

Keywords
Green space, Individual housing, Housing typology, Vegetation, Spatial configuration,
Algeria

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Introduction
A large body of literature corroborates the multidimensional contribution of vegetation, in its
various scales, to the environment, human health and well-being. The environmental and ecological benefits of vegetation in urban settings include urban heat island and soil erosion mitigation as well as air and water purification (US EPA 2013; Hudson 2000; Nuruzzaman 2015), and
a recognised contribution of private gardens to the urban biodiversity (Rudd 2002; Gaston et al.
2007; Riboulot-Chetrit 2015). In a rapidly urbanising world, opportunities for interaction with nature may be limited despite the credible evidences demonstrating human health and well-being
promoting qualities of natural environments rich in vegetation content (Berman et al. 2008; De
Vries et al. 2003; Van den Berg et al. 2010, Bowler et al. 2010; Irvine & Warber 2013; Pretty 2004).
Increasing empirical indications assert that interaction with nature contributes to human quality
of life (Fuller & Irvine 2010; Irvine et al. 2010), including positive effects on physical health (Ulrich,
1984; Maas et al, 2006), psychological well-being (Kaplan 2001; Fuller et al. 2007; Shin et al. 2010),
cognitive ability (Han 2009) and societal benefits such as social cohesion and interaction (Shinew
et al. 2004; Mitchell & Popham 2008; Sullivan et al. 2004), reductions in health spending (Hansem
et al. 2009) or crime rates (Kuo & Sullivan 2001).
Despite the well-recognized benefits of vegetation in urban settings, the contemporary built environment in Algerian towns in general, and in suburban housing developments in particular, is
characterized by a shyly represented or almost totally absent greenery, thus contributing to the
creation of a barren and hostile urban landscape. Although required by regulation, the public
green space (squares, plazas, planted streets, parks, etc.) hardly materializes, and remains often
limited to simple design projections on paper. In the last four decades, Algeria has witnessed
a proliferation of residential developments that lacked public spaces. Areas allocated to green
space in particular, have often been diverted to respond to an ever-increasing demand in residential programs, unchallenged by inadequate central government policies. These urban forms
are the most widespread in the composite landscape of current Algerian cities and occupy large
tracks of urban land, a large share of which is taken by individual housing developments with
varying plot sizes. Although residential developments are controlled by strict building codes and
regulations, in setting the building layout, footprint and height to maintain a harmonious urban
setting, there are no specific provisions for the green space within individual plots (ONCTC 2013).
In theory, everything suggests that private properties and individual homes design in particular,
should be more receptive to vegetation than the public spaces. The inhospitality of the residential
neighborhoods suggests the occupants withdrawal to the interior of their homes to compensate
and recreate the comfort and pleasure naturally derived from vegetation. An individual house
with a garden is often preferred to the apartment as it allows both the outdoor extension of the
domestic space and the much sought intimate contact with nature through the private garden
(Dubost 1997; Frileux 2013). However, a visit to most residential areas in Oran, the second largest
city in Algeria, quickly reveals their poverty in vegetation, engendering a cause to effect interrogations on the impact of houses plot size, typology and occupants attitudes and practices towards
vegetation and its perceived role and value in everyday environment. In this regard, a broad investigation was initiated to explore the situation and relied on two complementary objectives.
On the one hand, it aimed to document the physical and spatial materialization of vegetation in
individual housing, assessing the impact of plot size, housing typology and building extension
on the green space. On the other hand, it explored the occupants attitude and behavior towards
greenery through their practical and symbolic representations of vegetation in their own house

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and their usage of the outdoor space.

This paper presents the first part of the field investigation, namely the materialization of greenery
within the open space of three different individual housing typologies; detached, semi-attached
and attached, detailing its spatial configurations (size, layout, proportion to the mineral space
and location within the plot) and content (vegetation types and location) as well as assessed the
impact on greenery of various plot sizes and building extension over time.

Objectives, Methodology and Context of Study

The detailed objectives addressed in this paper aim to:
document and compare the size, proportion, form, location and the treatment of the vegetation within the open space of the house in the three common housing typologies i.e. detached, semi-detached and attached,
record the type of plants, location and density of the existing vegetation,
evaluate the impact over time of the built areas alterations (extension, addition, modification)
on the original green spaces; and
examine the impact of the plot size on the size of greenery.
A qualitative exploratory approach was used to investigate the stated objectives through field
observations in the form of architectural surveys of the current building footprint and greenery
layout, while photographic surveys documented the type of vegetation and treatment of the
open space. Prior to the field work, the original plans of the considered homes were retrieved
from the archives of the municipal town planning department. These plans served to compare
the current building with its original layout and evaluate the extent of alterations, if any, and their
potential impact on green spaces.
The Es-Senia municipality was chosen as the study context for two reasons; first, because of the
various typologies of individual dwellings it contains, second, it is the residence of one of the
authors, which facilitated interactions with householders. Located at the southern outskirts of
the main western city of Algeria, Oran, Es-Senia is particularly vital in urban research as it was
among its first municipalities to experience the building of large individual residential areas since
the French occupation (1830-1962), a residential growth tendency maintained after the 1962 independence. The current study covered three housing developments built in the 80s and 90s. This
period is considered sufficiently old enough to allow mature vegetation growth and building
transformations to take place and subsequently allowing a good analysis of their impact on the
green space over time.
Three main models of implementation on the plot based on existing urban housing typology,
namely the detached, semi-attached and attached house, were considered. Each type generates
a different open space configuration which in turn may affect the areas allocated to green spaces.
The detached house sitting away from the plots limits creates a square or rectangular open space
ring around the house. The semi-attached unit, with one side attached to the adjacent unit presents a U-shaped open space, while the attached house adjoined on lateral sides allows two but
separate open space areas (Fig. 1). The three developments considered in this study, consisted of
the Marhaba Cooperative, with detached houses on a typical 400m2 plot sizes. The second, named
CNEP Cooperative, has plots of 300m2 and contains semi-detached houses, while the third, located
further to the east, named Amar-Bahi includes attached houses with plot sizes varying between
240 and 250m2. Each development consisted of the same respective plot sizes. These ranges of
plot sizes are representative of most housing developments in the city of Oran as well as other Al-

The green space explored in different individual housing typology, Algeria

309

gerian cities. It is important to indicate that all of the three developments are originally designed
using a standard unit type.

Figure 1: Housing typology: detached, semi-attached and attached units and their resulting open
space (relative scale).

Study Procedure
A pilot study was first carried out within six houses in order to test the adequacy and pertinence
of the research tools and highlighted a number of non-exploitable parameters. First, non-owners occupants were excluded as their interaction with the open space and vegetation is often
limited to basic maintenance. Second, houses undergoing any form of construction (completion
or extension), where the open space is often used as construction materials storage, were also
omitted from the study. Finally, optimum visit and interview time was found to be between 4:00
and 5:00pm on weekdays, when occupants are home and willing to participate. The latter limited
the field investigation to one unit per day.
The main study was conducted from April to June, corresponding to the spring season where
vegetation density and quality may be assessed at its optimal bloom condition. Thirty five homes
out of the fifty targeted were accessible, but only thirty units had a complete evaluation including
architectural surveys, pictures taken and interviews with the owners. The final corpus consisted
of ten houses for each spatial layout typology. The house footprint, the open space and the green
space were accurately measured, pictures of the green spaces and the open space were taken
and annotated on the original site layout. Each surveyed unit was fully documented on a pre-prepared form that included the original house layout as retrieved from the municipal archives, the
surveyed house footprint, thus highlighting any building addition as well as the green space and
its vegetation content. Figure 2 illustrates the documented format of each surveyed unit.

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Figure 2: Detailed sample survey of a detached house (D2) with the initial house layout and the current status of the building and greenery

Results and Discussion

The greenery within the open space of the house was investigated in terms of its physical and
spatial characteristics. The spatial distribution of the green space in relation to the paved or mineral space and to the building footprint was checked, alongside the intrinsic quality of the forms,
content and treatment of the green and mineral spaces. The analysis of the results was threefold;
first the green and open space is assessed and compared between the three different typologies
in terms of its spatial and physical characteristics. Second, the impact of any building extension
on the green space is evaluated and finally, the impact of the plot size on the amount of greenery
is checked.

Green space design in the different typologies

The first general observation relative to the spatial organization of greenery is that the green
spaces form and location present striking similarities in all three housing typologies. However, the
dimensions and the type of plants differ from one unit to another. The green space is exclusively
rectilinear, located along the property walls and is sometimes punctuated by trees as illustrated
in Table 1, presenting a sample of five units per typology. The setback width does not appear to
impact the green space design. It should be noted that all units have at least a 1.5 meter-high
perimeter wall regardless of the building layout, and may ultimately have influenced the linearity
of the green spaces.

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Table1: Form, location and size of green areas in the different houses typology

Green space is most of the time designed by the occupants. However, even when specialists intervened to design the open areas (Units S3 and S5), the result was not different than the rest in
terms of forms, location, design and finishing materials. Probably facing the same issue of limited
space to work with, the specialists also reverted to rectilinear forms in their design.

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Figure 3: Similar green spaces form and location across the three typologies; rectilinear, following the
property walls and predominance of a mineral outdoor space over greenery
In terms of dimensions and proportion of dedicated green space in relation to the total outdoor
space, in each of the three house typologies, the surveyed green spaces vary depending on the
unit, but remain modest by comparison to the paved areas (Tab. 2 & Fig. 3), indicating a dominant
residents preference for a mineral outdoor space.
Table 2: Area and ratios of greenery in the three housing typology
Plot Size

Detached

Semi-attached

Attached

400m2

300m2

240m2

Built
Regulatory areas 120m2

Initial areas

Outdoor

Built

Outdoor

Built

Outdoor

280m2

150m2

150m2

144 m2

96 m2

30%

70%

50%

50%

60%

40%

Built

Outdoor

Built

Outdoor

Built

Outdoor

174m2

Paved

Green

150m2

Paved

Green

155m2

Paved

Green

153m2

73m2

96m2

52m2

57m2

28m2

42%

38%

18%

50%

32%

18%

64%

24%

12%

Built

Outdoor

Built

Outdoor

Built

Outdoor

176m2

Paved

Green

161m2

Paved

Green

85m2

39m2

55m2

24m2

28%

13%

23%

10%

Current areas

Paved

Green

210m2

130 m2

60 m2

53%

32%

15%

59%

67%

The content and composition of the green spaces were evaluated in spring (April to June), a favourable season to witness the existing vegetation in full bloom. Characteristically, fruit trees
and vines like plants emerge as dominant types of plant materials, followed by decorative plants.
Without exception, all residents planted one or more fruit trees, the most common being lemon,
then orange, apricot, pomegranate and fig tree. The trees are usually planted in large numbers at
the back and side of the house for detached and semi-attached units, but few can be found at the
front of the unit, with a depth of up to two trees depending on the unit front setback. The vegetable garden on the other hand is almost virtually absent, encountered in only one house out
of the thirty units surveyed, and was only maintained during the fasting month of Ramadan, to
provide fresh herbs. The survey showed that almost 90% of residents prefer scattered plants to a
vegetable garden regardless of their social origin as best expressed by one resident (Unit D3) My
wife loves flowers, when we moved in this house, she insisted on having the garden filled with
flowers and not vegetables. It is a little rural (Fig. 4). This attitude is probably related to peoples
perception in the assumed dichotomy between rural and urban realms.

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Figure 4: Flowers and ornamental plants are typically at the front of the house
Another general observation found in all units, is that the green areas are delineated around the
paved areas. The scattered vegetation leaves a large area of uncovered ground, which was systematically demarcated from the clean and well maintained paved area. The treatment of the
green space physical delineation is strongly connected to the personal aesthetic appreciation of
the residents. Some use wrought iron or erected low decorated walls, but the majority installed
either a brick border or more commonly a low concrete curb (Fig. 5).

Maison type isol MI6

Figure 5: Delimitation of the green and paved spaces with decorative elements
This aesthetic interest was not limited to the green spaces border and did extend to the open
space, including addition of attractive elements such as fountains, pergolas for shade and privacy, and more commonly decorative treatment of the floor and walls. The floors are covered with
terrazzo or with the more expensive ceramic slab tiles. The walls, meanwhile, are covered in some
cases with colorful mosaics faience, a distinct sign of financial affluence. These elements are most
likely reminiscent of the traditional houses in North Africa where most of the residents grew up. A
female resident (Unit D8) resumes the general sentiment I think that every Muslim needs a courtyard in his home. We do use a lot of water in our daily life and rituals and the courtyard is well indicated
for these functions. If we would like a bit of visual and emotional pleasure, we just have to remember
our traditional homes, where the courtyard was beautifully covered with ceramics and ornamented
with a fountain in the center. I think it was a pleasant space to live in.

Figure 6: Treatment of the open space with an added fountain, tiles or a pergola

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Historical Evolution of the house and impact on greenery

A detailed examination of the current units footprint compared to the specified building area
to plot area ratios reveals non-conformity, indicating substantial modifications and violation of
standards. The research exposed that the ring open space originally intended for the detached
and U-shaped open space envisioned for the semi-attached units in particular, have been severely transformed. For instance, in the case of the Marhaba Cooperative, the detached units indicate
an average of 43% with a range of 35 to 52% lot coverage ratio, whereas the standards set it at
30% (Table 2). This was done in spite of an existing standard plan prepared by an architectural
firm using the prescribed standards. This phenomenon is most likely due to the dissolution of the
cooperative housing association, leaving each owner in charge of the construction of his house
and and the total absence of control by governing regulatory agencies. Comparatively, in the
semi-attached typology, the 50% building footprint standard was largely respected at construction because this development was owned by a government entity, thus explaining the initial full
respect of the building norms. The conformity however was not sustained over time as it reached
an average of building to lot ratio of 59%. A similar tendency was found in the attached units in
Bahi-Amar Cooperative with an average range of 67% (varying from 64 to 74%) of building area to
plot area while the prescribed sets it at maximum of 60%. The house extension observed in most
cases stress above all the manifest need of residents to optimize habitable areas on their lot and
the negative consequences of the absence of regulatory control.
In terms of evolution over time, examination of Figure 7, presenting the initial and current status
of the house area and green space areas in the detached units, highlights the substantial and
almost systematic increase of the building area with the impression that the green spaces were
not altered much by building extensions. This is explained by the fact that green spaces were already relatively small when the units were first built and that their own location, far from potential
building sites, resulted in lesser impacts than the paved areas.

Figure 7: Initial and current status of the detached homes built area and green spaces areas

Lot Size and Impact on Green Space

Examination of the data in Figure 8, presenting the distribution of the different areas (house,
paved and green space) indicates first that the green areas are disproportionate to the plot size
and second, that the paved areas remain the dominant form of outdoor space. Additionally, the
larger lot sizes do not typically translate into a larger green area as the ratio of greenery to lot size
remain within a close range (10 to 15%) for the three typologies (Fig. 8).

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Figure 8: Ratio of paved and green area in the three typologies

This allows suggesting that the size of the plot appears to be more favourable to extensions than
planting. However, the small change observed in green areas at the two historical periods (at
initial design stage and presently) as seen in Figure 7 and 8, helps conclude that plot size has no
major influence on the surface reserved to vegetation. More crucially, the historic evolution of the
homes shows that plot size is more conducive to building extension than planting.

Conclusion
This study explored the spatial and physical characteristics of green spaces in different individual housing typology as commonly found in Algeria. The study shed some light in greenery and
open space design in individual housing in Oran, a city of Algeria, and owners general attitude
to vegetation.
The main and consistent finding highlights the exclusive rectilinear configuration of green areas
in all three unit typologies. They are generally located along property walls, demarcated from the
paved spaces and their dimensions vary depending on the plot size, but are of a lesser size than
the mineral or paved areas. Fruit trees and vine like plants dominate the landscaping, while grass
is inexistent. The high-maintenance ornamental plants do occur but are not common, while the
vegetable garden is virtually inexistent and is socially disregarded. The aesthetic treatment of
the outdoor space materializes mainly through ceramics-covered walls with sometimes added
features such as a fountain or a pergola.
Building extensions affected the existing open space. However, the extent of the impacts on the
vegetation depended on one side on both the scale of the extensions, their shape either horizontal or vertical and on the other side, on the location of green areas. The plot size was not retained
as a predominant factor on the degree of presence of vegetation, since the ratio of green areas
remained in a close range regardless of the plots size.

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Finally, the study highlighted that the open space of individual housing including its greenery
is solely governed by the personal choice and preferences of the residents. There are no regulatory guidelines specifying a particular arrangement of the open areas, much less a proportion
or a coefficient assigned to the green space, a situation favouring unlimited freedom of action
without any normative guidance. These findings however, remain partly unexplained unless the
occupants perception, preferences and constraints are further explored.

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International Conference | Bari - Lecce, Italy

Session IV

AN EXAMINATION OF THE RELATIONSHIP

BETWEEN BUILDING INTELLIGENCE AND
SUSTAINABILITY USING LEED AND BREEAM
CERTIFIED CASE STUDIES IN THE UK AND EUROPE
Tulika Gadakari1, Karim Hadjri2 & Sabah Mushatat3
1 Grenfell-Baines Institute of Architecture, School of Art, Design and Fashion, University of Central Lancashire, UK,
[email protected]
2 Grenfell-Baines Institute of Architecture, School of Art, Design and Fashion, University of Central Lancashire, UK,
[email protected]
3 School of Energy, Geoscience, Infrastructure and Society, Heriot-Watt University, UK [email protected]

Abstract
Green Building Rating Systems are certifying a number of buildings worldwide by awarding
a Sustainability Score that judges their sustainability value. It is evident that these buildings
employ a wide range of intelligent building technologies to varying degrees. In order to find
a relationship it was strategized that the intelligent building technologies used in these certified Green buildings need to be analysed to assess their impact on the Sustainability Scores
achieved. This paper hypothesizes that both building intelligence and sustainability are multi-dimensional entities measured using different parameters. The paper aims to determine
the relationship between building intelligence and sustainability through case study analysis.
Forty LEED (10) and BREEAM (30) certified buildings were chosen from the UK and Europe. The
data collected from these buildings was subjected to quantitative and qualitative analysis
(case study research) methods. Further to qualitative analysis: bi-variate correlation, regression analysis and 5 fold cross validation provided a best-fit logarithmic model that predicts
the sustainability score of a building based on the number of intelligent building technologies used. Two over-arching themes emerged from the data: how the number and type of
intelligent building technologies used affect the LEED/BREEAM score and how there needs to
be an optimisation between the users needs, buildings functionality, core intelligence function of the technology used versus the prescriptive parameters imposed by rating systems
such as LEED/BREEAM. A positive correlation was observed between the two variables noting that intelligent buildings do promote environmental sustainability. It was also found that
buildings from the UK and Europe reported: 41% reduction in energy consumption, 39% reduction in water consumption and 36% reduction in CO2 emissions. Additionally, the analysis
revealed significant benefits on the economic and social front such as improved productivity,
reduced absenteeism, and safer and convenient spaces.

Keywords
BREEAM, Intelligent buildings, LEED, Statistical Modelling, Sustainability.

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Introduction
1.1 Background
An intelligent building can be defined as a dynamic and responsive infrastructure that integrates
disparate building systems such as lighting, HVAC, security, facilities management, etc. to effectively manage resources, provide high performance benefits and optimise processes, comfort,
energy costs and environmental benefits. (Clements-Croome, 1997; Harrison et al., 1998; Sharples
et al., 1999; Wacks, 2002; Clarke, 2008) Over the past 35 years, intelligent buildings have evolved,
owing to technological maturity, web-enabled integration platforms, solid industry standards
and increased market demand to become mainstream, practical and economically viable. (Ehrlich, 2007) The current scenario and speculation of advances in the fields of AI, robotics and architecture, confirm that intelligence in buildings is a sign of technological progress and it has been
foreseen that by 2020, most of the buildings around the world will be increasingly intelligent.
(Nikolaou et al., 2004; Kurzweil, 2005)
Buildings are responsible for at least 40% of energy consumption in most countries. It has been
highlighted that all buildings in the UK accounted for 45% of all energy use and 43% of all the carbon emissions. (Garner, 1996; Harris, 2004; Pitts, 2004; Kinver, 2011) As energy prices climb and the
focus on environmental performance intensifies, buildings will have to make extra efforts to steer
towards the sustainable way. With the advent of building intelligence, in the times when sustainable development is a rising concern, it is quite necessary to determine the relationship that exists
between these two multi-dimensional entities so as to help the agenda of comfort, safety, energy
efficiency, and monetary savings. (Gadakari et al., 2013)
1.2 Underlying approach
This paper proposes that both sustainability and intelligence are multi-dimensional entities that
are defined by and measure different things. It aims to find the true relationship between them
and the nature of correlation i.e. if building intelligence would aid sustainability or not.
Currently there are a number of Green Building Rating Systems that are helping in designing and
certifying an ever-increasing number of buildings worldwide. The sustainability value of these
buildings is judged based on various parameters such as energy performance, water efficiency,
materials, air quality, etc. to ultimately obtain a Sustainability Score. It is evident that most of the
current stock of buildings employed intelligent building technologies (IBTs) to varying degrees. In
order to find a relationship between the intelligence and sustainability in buildings it was strategized that the IBTs used in these certified Green buildings need to be analysed so as to assess
their impact on the Sustainability Scores achieved. It was hypothesized that if IBTs enhanced the
sustainability of a building then as the number of IBTs used in a building increased their LEED/
BREEAM score would also increase. 40 LEED and BREEAM certified commercial buildings were
chosen from all over the UK and Europe as study subjects.
BREEAM and LEED were chosen for this research as they are the two most widely used rating systems around the world. Currently nearly 9 billion square feet of building space participates in a
variety of LEED of rating systems and around 1.6 million square feet is certified per day around the
world. BREEAM has certified over 200,000 buildings and over a million are registered for assessment since it was launched. (BRE, 2015; Roderick et al., 2012; USGBC, 2015)

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Data Collection and Analysis Strategy

2.1 Data Collected
Of the 40 buildings selected, 10 were certified by LEED and 30 by BREEAM. A variety of case study
buildings were chosen such that the final data set contains a mix of all the possible ratings that
are achievable on the LEED and BREEAM rating systems. All of the chosen buildings were commercial (office, retail, mixed use) in nature to maintain uniformity in the typology. The buildings
were distributed in different countries in the following way: UK (22), France (6), Belgium (2), Poland
(2), Sweden (2), Germany (1), Spain (1), Luxembourg (1), Greece (1), Bulgaria (1) and Romania (1).
Mainly three kinds of data was collected:
Type of intelligent building technologies used
Sustainability score achieved
Other environmental features used in the buildings that are not intelligent (to test the internal
validity and explain the outliers)
2.2 Analysis Strategy
A mixed method research strategy using an embedded case study design was employed. The data
collected from the case study buildings was mainly qualitative. All of the case studies were split in
groups based on the rating achieved and analysed within these groups as well as inter group so
as to observe patterns, make relevant observations and detect any anomalies. The findings were
then aggregated across a series of individual case studies so as to strengthen the quality of the
research. (Yin, 2009) This qualitative data was then inspected so as to identify the IBTs used and
segregate them in the respective sub-categories of intelligent building systems. The IBTs were
then enumerated for further statistical analysis. Bivariate Correlation Analysis was carried out first
to help determine if the two variables i.e. building intelligence and sustainability are correlated
and to ascertain a trend in the pattern. After considering the results from the correlation analysis,
as a means of further exploring the complex relationship of the two variables, Regression Analysis
and 5-Fold Cross Validation was carried out.
2.3 Example Case Study
The Hollywood House in Woking, UK has been awarded the highest ever LEED PLATINUM score in
the UK and also has the highest number of IBTs recorded. This particular case study has been chosen as an example to demonstrate the procedure used. The same procedure was followed with
the rest of the case studies and each of their IBTs were identified, compartmentalised and enumerated. It is an intelligently refurbished office space that uses less energy & water and reduced
its CO2 emissions & operational costs, as compared to before the refurbishment. The refurbished
office floors annually use 56% less electricity than prior to the refurbishment and 46% less than
the energy benchmark for the building. (Skanska, 2012; Hollywood House, 2013)

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Table 1: Intelligent Building Technologies found in the Case Study of Rashleigh Weatherfoil divisional head office at Hollywood House, Woking, UK
Intelligent Building System Categories

Intelligent Building Systems Present in the Analysed Building

Building Management Systems (BMS)

Building Management System

Energy Management System (EMS)

Energy management system

Centralised automatic Power Off function

Facilities Management System (FMS)

Green Building Management System

Thermal monitoring system
Water monitoring system
CO2 emissions monitoring system

Integrated Communications System (ICS)

Complete integration of all systems

Lighting System

Intelligent Lighting System

Digital Addressable Lighting Interface (DALI)

HVAC Control System

Zoned HVAC System

Ventilation on demand
Ventilation system with night time purging
HVAC with Heat recovery system

Water Management System

Taps and toilets with occupant sensors

Traffic Light System

Warning Display if any system exceeded set benchmarks

Daylight Sensors
Occupancy Sensors
Temperature Sensors
Carbon dioxide Sensors

Security System
Fire and Life Safety System
Monitoring System
AV Control System
Feedback and Display System
Building/Tenant Scheduling System
Elevator & Escalator System
Sensors and Sensor Networks

Correlation Analysis
3.1 Cross Case Analysis
Standards for BREEAM awards are set at: GOOD, VERY GOOD, EXCELLENT and OUTSTANDING
whereas standards for LEED awards are set at: CERTIFIED, SILVER, GOLD and PLATINUM. Following
the procedure described for the example case study in section 2.2 the number of IBTs present in
every case study of every group are statistically depicted in the figures below.
It was observed (Refer to Figure 1) that the number of IBTs in the GOOD buildings ranged from
0 to 2; VERY GOOD buildings ranged from 3 to 6; EXCELLENT buildings ranged from 4 to 16; and
OUTSTANDING buildings ranged from 9 to 10.

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Figure 1: Range of the Number of Intelligent Building Technologies found in the analysed Case Studies
certified by BREEAM
It was also observed (Refer to Figure 2) that the number of IBTs in the CERTIFIED buildings ranged
from 0 to 2; SILVER buildings ranged from 2 to 3; GOLD buildings ranged from 6 to 16; and PLATINUM buildings ranged from 8 to 21.

Figure 2: Range of the Number of Intelligent Building Technologies found in the analysed Case Studies
certified by LEED
Figure 3 highlights a definitive trend that the buildings that have achieved a better Sustainability
Rating, have a higher number of IBTs used in them.
BREEAM

LEED

Figure 3: Average number of Intelligent Building Technologies present in each Rating Category of
BREEAM and LEED

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3.1.1 GOOD and CERTIFIED Buildings

Buildings G1-19 and G1-18 (both from France), had a total of 2 IBTs used and it should be noted
that the higher scoring building (G1-18) employed the use of a full-fledged BMS while the lower
scoring building (G1-19) only used stand-alone monitoring and detection system.
Of the two buildings G1-37 (France) and G1-38 (Bulgaria) that were rated as CERTIFIED by LEED,
both made use of intelligent lighting management systems with daylight and occupancy sensors
but the slightly higher scoring building (G1-38) among the two, additionally utilised a carbon dioxide monitoring system that improved the ventilation and air quality.
3.1.2 VERY GOOD and SILVER Buildings
The comparison of these cases, G1-33 (UK) and G1-36 (UK), reveal how IBTs, which promote resource efficiency help a building score more points. Both these buildings have used the same
number of IBTs but the systems used in G1-33 promote building intelligence in the network, connectivity and AV control arena while G1-36 uses IBTs that promote resource efficiency in terms of
intelligent lighting and self-controlling eco-power units that power down plug loads when not in
use. It was observed that G1-36 scores better on the LEED scale than G1-33.
3.1.3 EXCELLENT and GOLD Buildings
Buildings G1-4 and G1-6 (both from UK) have used a total number of 4 IBTs and similar non-intelligent environmental features in them. In spite of which it was observed that G1-4 surpasses
building G1-6s BREEAM score by quite a high margin. On closer scrutiny of the type of IBTs used,
it was noted that G1-4 made use of an intelligent zoned HVAC system with heat recovery features
and monitoring systems for water and CO2 emissions while G1-6 utilised an intelligent lighting
system with occupancy and daylight sensors and a monitoring system for energy and water. It
was inferred that an intelligent HVAC system has a larger impact on the sustainability score than
an intelligent lighting system.
Buildings G1-28 (Germany) and G1-30 (Luxembourg) both have used a total number of 5 IBTs in
them, though G1-28 scores considerably more BREEAM points than G1-30. Both the buildings have
used systems that help with energy efficiency, though the systems used in G1-30 predominantly
lean towards providing occupant comfort. These include centrally monitored climate control zones
with an automatically resetting HVAC system along with automatically operable windows, facades
and sun shading devices. In contrast, building G1-28 uses a BMS for complete control of the building, individually sub-metered energy zones, a lighting management system and intelligent escalators & elevators with energy saving controls. Another example, of lack of BMS affecting scores drastically is noticed in buildings G1-3 and G1-5 (both from UK) which have used a total of 8 IBTs in them.
The Herman Miller International Headquarters, UK (G1-34) is one of a kind as it has been rated
by both LEED and BREEAM rating systems to obtain GOLD and EXCELLENT ratings respectively.
This building exhibits a large number of IBTs but scores relatively low on both the systems. This
building has made use of a lighting management system, a demand controlled ventilation system, operable windows with fanlight openings that are automated using temperature and CO2
sensors, sensors for water leak detection and water monitoring. But all of these automations are
stand alone and not integrated via a BMS. It should be noted that case studies G1-35 (UK) and G140 (Sweden), which also belong to this group and have scored the same points as G1-34, using a
considerably lesser number of IBTs. Closer scrutiny of both these cases reveals that there is more
emphasis on energy monitoring and Facilities management systems. In contrast the G1-34 lays
more emphasis on comfort and convenience rather than energy usage.

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3.1.4 OUTSTANDING and PLATINUM Buildings

All the buildings in this group utilise the largest number of IBTs and also score the highest on
both the rating systems, thus following the trend that as the number of IBTs used in the building
increases so does its BREEAM/LEED score.
3.2 Bivariate Correlation Analysis
To inspect the correlation between the two variables, scatterplots (Figure 4 & 5) were requested
using the SPSS analytics software. The scatterplots helped assess whether the two variables being
investigated are closely related to one another and how closely the data conforms to a trend line.
The percentage BREEAM and LEED scores are the dependant variables on the x-axis while the
number of IBTs are the independent variables on the y-axis. Each of the plotted point denotes a
single case study.

Figure 4: Bivariate Correlation between the Number of Intelligent Building Technologies and BREEAM
Scores

Figure 5: Bivariate Correlation between the Number of Intelligent Building Technologies and LEED
Scores

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The strength of the relationship between the number of IBTs used in a building and the percentage BREEAM/LEED score obtained by the building can be summarised by the coefficient R.
According to Cohen (1988) magnitudes 0.10, 0.30 and 0.50 correspond roughly to relations that
are considered small, medium and large respectively. An R value (Pearson Correlation) of 0.759
(Table 2) and 0.748 (Table 3) signals a very strong correlation between the variables, one that is
highly significant. The fact that the sign of R is positive indicates that as the number of IBTs used
in a building increases, the value of the BREEAM and LEED score increases as well. The R2 value is
a standardised coefficient, which ranges from 0 to 1; 1 indicates a perfect fit of the data points to a
straight line and 0 indicates the worst possible fit. An R2 value of 0.576 (Table 2) and 0.559 (Table 3)
suggests a high number of data points that fit the trend line.
Table 2: Model Summary BREEAM Case Studies (refer to Figure 4)
Model

R Value

R2 Value

Adjusted R2 Value

Std. Error of the Estimate

.759a

.576

.562

8.51692

Table 3: Model Summary LEED Case Studies (refer to Figure 5)

Model

R Value

R2 Value

Adjusted R2 Value

Std. Error of the Estimate

.748a

.559

.497

12.06162

Additionally an ANOVA test of significance was carried out to show whether the R2 value for the
relation between the two variables is significant. Since in this case the value of Significance is
0.000 (Table 4) and 0.020 (Table 5), which is less than 0.05, the relation between the two variables
is significantly different than zero, meaning the R2 value is highly significant.
Table 4: ANOVA Test of Statistical Significance (BREEAM) (refer to Figure 4)
Model
1

Sum of Squares

df

Mean Square

Sig.

39.452

.000b

Regression

2861.747

2861.747

Residual

2103.600

29

72.538

Total

4965.347

30

Table 5: ANOVA Test of Statistical Significance (LEED) (refer to Figure 5)

Model
1

Sum of Squares

df

Mean Square

Sig.

Regression

1293.211

1293.211

8.889

.020b

Residual

1018.378

145.483

Total

2311.589

a. Predictors: (Constant), No. of Intelligent Building Technologies

b. Dependent Variable: Percentage BREEAM Score
3.3 Overview
After the analysis it was observed that the number of IBTs in a building positively affects its
sustainability rating. Some related findings about the impact different type of IBTs have on the
BREEAM/LEED Scores are as follows:
Highly integrated and interactive IBTs such as building management, energy management
and facility management systems were predominantly found in buildings with a high Sustainability Rating (EXCELLENT, OUTSTANDING, GOLD and PLATINUM).
Case studies with BMS and integrated systems, which shared data and interacted with other

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building systems scored better than those with stand-alone systems.

Buildings that made use of Facilities Management systems, building commissioning and energy & economic modelling scored better.
Case studies with an intelligent HVAC control system scored better than those with intelligent
lighting systems.
IBTs that laid more emphasis on energy and cost efficiency scored better than those which
emphasised comfort and convenience; network connectivity and AV control; and water saving
features.

Relationship Development
4.1 Regression Analysis and 5-Fold Cross Validation
The BREEAM and LEED certified buildings were separately, randomly partitioned into 5 equal size
subsamples but care was taken such that each set contained a mix of all the rating categories. At
every fold: of the 5 subsamples, a single subsample was retained as the validation data for testing
the model, and the remaining 4 subsamples were used as training data. The cross-validation process was then repeated 5 times, with each of the 5 subsamples used exactly once as the validation
data. The training sets helped obtain the best-fit model and the corresponding test set helped
validate the accuracy of that model.
The models were developed using percentage BREEAM/LEED scores as the dependant variables
and the number of IBTs as the independent variables. The regression models obtained at every
fold (linear, logarithmic, quadratic and cubic) were tested on the corresponding test sets so as to
obtain an insight on how the models would generalise to an unknown data set. This procedure
estimated how accurately the predictive model would perform in practice i.e. accurately predict
the BREEAM/LEED scores of buildings depending on the IBTs used. Also the standardised errors
of each of the models were calculated by using the Predicted versus Actual BREEAM/LEED scores,
and reported at every fold so as to identify the best-fit predictive model. Also the R and R2 values
of each model were reported and an Anova and T-test of significance were conducted.
After reviewing the R and R2 values and the average standardised error of all the models across
every test set, the logarithmic model was considered as the best fit predictive model for both
LEED and BREEAM. It was observed that though the R and R2 values were significantly high and
positive in value in all cases, suggesting a strong positive correlation between the two variables,
the logarithmic model performed very highly in comparison with the other models.
To describe the behaviour of the logarithmic model in detail a test set of BREEAM certified buildings has been displayed below (Figure 6):
All of the buildings that have used 0 to 5 numbers of IBTs in them and have scored either a
GOOD or a VERY GOOD rating have caused the graph to rise exponentially in almost a linear
manner at the start.
The buildings in the curved portion of the graph have used 6 to 9 numbers of IBTs in them and
scored an EXCELLENT rating. It can be observed that in these buildings the relative rise in the
BREEAM score with the number of technologies used is not as drastic as observed in the earlier
set of buildings causing the linear graph to slowly start to curve.
Buildings G1-1, 3, 11, 12 and 21 follow a stabilising rise along the curvilinear path. All of these
buildings have used 10 to 16 numbers of IBTs in them and only scored an EXCELLENT rating. It
can be observed that though these buildings have a higher number of IBTs used in them their
BREEAM scores have not drastically increased, as has occurred with the buildings with lower

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numbers of IBTs. This behaviour was attributed to the type of IBTs used and the core functions
they perform.

Figure 6: Logarithmic Model for BREEAM certified buildings using a Test Set as an example
4.2 Common Observations
The overall trends highlighted in Figure 6 were observed in the study of both BREEAM and LEED
certified buildings. To discuss in detail the kind of influence the types of IBTs had on the sustainability scores, two sets were formed: one containing all the common intelligent building technologies found in buildings with 0 to 5 number of IBTs and the second with 10 and over number of IBTs.

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Table 6: Common Set of Intelligent Building Technologies found in all Case Studies
Set 1

Set 2 (Set 2 comprises of Set 1 + the IBTs below)

Lighting Management System

Intelligent Security system- integration of CCTV, entry control

devices, alarms and emergency security lighting

Occupancy, Daylight sensors and Programmed timers for

lighting

Surveillance system with real time security feeds

Operable windows and sun-shades with night-time air flush

Computerised Smartcard access control system with proximity

and contact cards

Intelligent HVAC system with zoning and heat recovery

Intelligent Visitor Access System

Demand controlled ventilation system with CO2 monitoring

Fire Protection System incorporating fire detection and

Automatic sprinkler system

Space temperature sensors

Fire Protection system integrated with HVAC system to

automatically cut off zones where smoke is detected

Occupancy sensors for plug loads

Addressable fire safety detectors to continuously take air

samples and detect unusual fog

Sub-metering

CCTVs all over the building for fire monitoring

PIR taps

Smoke exhaust system that activates during a fire

Water leak detection system

IAQ management plan with temperature & humidity sensors

and UV emitters

Water usage monitoring

Refrigerant leak detection system

Energy usage monitoring

Automated Destination-controlled lift system

CO2 emissions monitoring

Elevators with Smart Card access system

IT networks for data transfer, integration and

telecommunication (ICS)

Guard Tour System to track security inspections

Simulation tools for energy, light and economic modelling

Multiple communications risers

Building Management System (BMS)

Intelligent AV control systems

Energy Management System (EMS)

Intelligent Document management system

Facilities Management System (FMS)

Soil moisture sensors

Solar tracking devices for PV panels
Simulation tools for airflow and temperature modelling

It can be observed that almost all of the IBTs in Set1 contribute towards resource efficiency. These
IBTs help with energy and water savings as well as CO2 reductions, hence leading to a linear rise in
the graph. This led them to follow a linear path such that as intelligence increased, sustainability
also increased. On the other hand, the buildings with a high number of IBTs usually had a larger
variety of technologies in terms of their core intelligence function- resource efficiency, interaction, safety, comfort, etc. The IBTs in Set2 also contributed towards resource efficiency but at the
same time there were a number of other IBTs used that primarily aided with other things such as
convenience, comfort, security, increased connectivity, etc. This caused their sustainability scores
to increase but not in a drastic one-to-one linear fashion but in a gradually rising curve. It can be
inferred that the score increased due to the resource efficient IBTs present, but the score was adversely affected by some of the other IBTs. Though many of the technologies in Set2 are of higher
intelligence, and continue to improve the overall intelligence of the building, they may not necessarily contribute towards the sustainability of the building in terms of the prescriptive parameters
set by LEED and BREEAM rating systems.
For example, lighting systems with occupancy and daylight sensors were created to improve energy efficiency. They were specifically designed to make energy saving smarter, while there are
other systems:
Intelligent Security and access control system whose role is to make buildings safe.

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 Intelligent Fire Safety system whose intelligence lies in implementing smart ways to detect
and extinguish fires.
Indoor Air Quality management system whose task is to self-monitor temperature, humidity
and freshness of air for comfort and protection from diseases.
Refrigerant leak detection system which smartly discovers leaks to prevent accidents.
Integrated Communications Systems, AV systems and document management systems, which
improve productivity in the workplace.

Discussion
This research has highlighted that achieving sustainability is one of the many features of building
intelligence and by using the predictive model developed by this research one can add building
intelligence as one of the prescriptive parameters of LEED and BREEAM rating systems, making
intelligence one of the many features of sustainability.
Predicted BREEAM/LEED Score = a + b log x
(where x = number of intelligent building technologies)
Both BREEAM and LEED rating systems calculate the sustainability value of a building based on
various set parameters such as energy performance, CO2 emissions, water efficiency, materials,
waste management, land ecology, site selection, air quality, etc. Though LEED and BREEAM are
both well-established rating systems, there has been a growing chorus of critics which have taken
issue with the point-based systems. The most commonly cited example being, developers get
the same number of points for installing a bike rack as they do for a complex water recycling system (Leonard, 2010). One can argue that the introduction of LEED and BREEAM have stimulated
research into the building sciences though there is a lot to be done to perfect them, this research
being a step towards the same. (BSRIA, 2009; Inbuilt, 2010) The findings from this research also
substantiate that sole reliability on prescriptive parameters is not a good idea. While developing a
Rating System for evaluating a buildings cumulative intelligence and sustainability, one will have
to take into consideration a more holistic approach so that the tool is more than just a measurement device.
Building intelligence is multi-dimensional, just like BREEAM and LEED, and can be categorised
according to parameters such as resource efficient, dynamically responsive, self-monitoring, interactive within themselves and with people, comfort, safety and security, etc. Thus it was inferred
from this study that intelligent buildings could also be defined in terms of the core intelligence
functions of their systems based on what aspect of the building they made smarter. From the
analysis one can clearly observe that ensuring a building is resource efficient is just one part of
its being intelligent. If resource efficiency were the only definitive trait of intelligent buildings
then a linear model would best describe the relation between the two variables in question. For
example, the use of multiple LCD screens as part of an intelligent Security System. These screens
require additional energy but if the function of the building were to protect highly classified data,
then having a building, which ensures high standards of security would be of much more relevance than energy efficiency. This highlights that building functionality is a defining factor and
by consequence of inter-relatability, so are the occupants needs. Following on with the example, the users of the building require a highly secure facility with state-of-art intelligent security
equipment for the hypothetical business to flourish and in turn increase their productivity and
job satisfaction.

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Hence it can be inferred that to have an Intelligently-Sustainable building, the level of building
intelligence and sustainability has to be optimised taking into consideration the core function of
the building and subsequently the occupants immediate needs. This research has proved that
one can achieve an intelligent and sustainable building but there is an optimisation level where
one of the two will gain priority. This priority or the weighting value can be ultimately decided by
the users needs and the buildings functionality. In a building rating system every parameter has
a weighted value which decides its relative importance among its peer parameters. Along with
individual weighted values the Intelligently-Sustainable building rating system can have an overall weighting system that determines which branch deserves priority so as to have an optimised
level of intelligence and sustainability based on the users needs and buildings function.
Thus the predictive model developed through this research will need to be further worked upon
such that it not only includes the number and type of intelligent building technologies to determine the BREEAM or LEED score but also considers the users needs and the buildings function.
This will ensure that the final rating output by this system will be an optimised building that is
optimally sustainable and intelligent. The new rating system with its consideration to users and
functions will thus overcome the limitations of LEED and BREEAM that have attracted criticism.

Conclusions
The cross analysis of the qualitative data highlights the various benefits IBTs can provide in terms
of energy savings; water savings; CO2 emissions; improved productivity, reduced absenteeism,
and safer & convenient spaces. The bivariate correlation analysis suggested that there is a strong
positive correlation between the number of IBTs used in a building and the BREEAM and LEED
score achieved by the building. The regression analysis and the 5-fold cross validation process has
proved through multiple iterations that the logarithmic model is the best-fit model that describes
the true relationship between the multi-dimensional entities- intelligent building technologies
and sustainability scores. With the aid of this Predictive Model, this paper wants to introduce intelligence as a new kind of sustainability feature, and would argue that it needs to be added to
the list of factors in Green Building Rating Systems that help calculate the sustainability value of
a building.
The logarithmic model also helped infer the effect, different kinds of intelligent building technologies have on the sustainability value of a building. The findings from these led to a discussion
about the importance of optimisation between building intelligence and sustainability based on
factors such as user needs and buildings core function. This discussion along with the Predictive
model generated through this paper will pave the way for a new building rating system that will
cumulatively evaluate Building Intelligence and Sustainability.

References
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CRESWELL, J., 2009, Research Design: Qualitative, Quantitative and Mixed Methods Approaches (3rd edition), London:
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GARNER, R., 1996, Environmental Politics, Hertfordshire: Harvester Wheatsheaf.
HARRIS, F., 2004, Human-Environment Interactions in Harris, F. edited Global Environmental Issues, West Sussex: John
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HARRISON, A., LOE, E. AND READ, J., 1998, Intelligent Buildings in South East Asia, London: Taylor & Francis Routledge.
HOLLYWOOD HOUSE, 2013, Hollywood House Woking <http://www.hollywoodhousewoking.co.uk/green/index.
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need-to-know/culture/architect-frank-gehry-talks-leed-and-the-future-of-green-building/1458/> retrieved on July
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NIKOLAOU, T., KOLOKOTSA, D. and STAVRAKAKIS, G., 2004, Introduction to Intelligent Buildings in A Handbook for
Intelligent Buildings, Athens: SMART Accelerate.
PITTS, A., 2004, Planning and Design Strategies for Sustainability and Profit: Pragmatic sustainable design on building
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RODERICK, Y., MCEWAN, D., WHEATLEY, C. and ALONSO, C., 2012, A comparative study of building energy performance
assessment between LEED, BREEAM and Green Star schemes, Glasgow: IESVE.
SHARPLES, S., CALLAGHAN, V. and CLARKE, G., 1999, A Multi-Agent Architecture for Intelligent building sensing and
control, Sensor Review, 19(2), pp.135-140.
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WACKS, K.P., 2002, Best-Practices Guide for Evaluating Intelligent Building Technologies, Ottawa: CABA North Americas Home & Building Automation Association.
YIN, R.K., 2009, Case Study Research: Design and Methods (4th edition), California: Sage Publications Inc.

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International Conference | Bari - Lecce, Italy

Session V - VI

DESIGN DECISIONS AIMED AT REDUCING WASTE

IN THE CONSTRUCTION OF LIGHT WOOD FRAME
LOW-INCOME HOUSING
Carina F. Barros Nogueira1, Fernanda A. Saffaro2, Sidnei J. Guadanhim3 & Erclia
H. Hirota4
1ZEMCH Brazil, Technology and Urbanism Centre, State University of Londrina, Brazil, [email protected]
2ZEMCH Brazil, Technology and Urbanism Centre, State University of Londrina, Brazil, [email protected]
3ZEMCH Brazil, Technology and Urbanism Centre, State University of Londrina, Brazil, [email protected]
4ZEMCH Brazil, Technology and Urbanism Centre, State University of Londrina, Brazil, [email protected]

Abstract
Managers of the construction sector are being urged to provide solutions to reduce the housing
deficit in the low-income segment. The use of prefabricated building systems is a potentially
successful alternative for this purpose, however, it is imperative to define early solutions in the
product design phase that meet the rationalisation avoiding waste of high-value materials and
low productivity of manpower. The Light Wood Frame (LWF) system is one of the alternatives of
prefabricated building systems, however, its use in this segment needs to be further explored in
Brazil. This research has been studying the decision-making in the product development in social
house-building aimed at reducing waste in the LWF construction system. The study was carried
out during the product design phase of a social housing, and the decisions established were
registered by a team of researchers and students of Architecture. The data collection allowed the
team to review design decisions that would result in material waste, considering mass production. Subsequently, a survey of the waste due to the solutions suggested enabled the assessment
of the decisions impact. The main decisions were related to waste reduction through the dimensional coordination between the standardised components of the building system, especially at
the interface between the boards that comprise the wall panels and at the windows and doors
openings. The proposed solution ensures the dimensional coordination that reduces the waste
of sheathing components.

Keywords
Waste, dimensional coordination, rationalisation, social housing, light wood frame.

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Introduction
The material waste has been recognized as a major problem in the construction industry and has
important implications for industry efficiency and environmental impact of projects (Formoso
2002).
However, the early stages of product development process have been failing in defining product
solutions that meet the rationalisation of production aimed at avoiding waste of high-value materials and low productivity of manpower. This gap is more harmful to the social housing projects
where the reduction of costs and time is significantly important.
There are two variations of the industrialized construction system approached in this research:
Light Wood Frame (LWF) or Light Steel Frame (LSF). Both of them prove to be an alternative technology with potential for the rationalisation of the construction process, especially for low-income housing projects. The main benefits to the production process are: (1) the possibility of
a significant reduction in the lead time, which is an important issue in social housing; (2) the
opportunity to simplify the tasks carried out in the construction site; and (3) the reduction of
material waste if the design takes account of the components connections; and (4) the insertion
of the pipe building facilities (electrical, water and sewage) in the empty space between two
wood structural panels (OSB - Oriented Strand Board). This last benefit has implications also in the
elimination of the interdependence between production tasks and the reduction of waste, since
it eliminates the need to demolish walls for the insertion of building facilities and for the maintenance in the use phase.
In this research, LWF is the construction system studied. Its main characteristic is the walls configuration which is composed of a continuous sheathing made of wood structural panels (OSB - OrientedStrand Board) nailed on a light wood frame. The exterior and internal finishes are attached
on the OSB. This system is suitable for the construction of buildings up to five floors (LPBRASIL
2011).
Both construction systems, the light steel frame and light wood frame, can be performed using
three construction methods: stick, panels or modular (Freitas and Crasto 2012). In the stick method, all stages of production are carried out on site, since the assembly of framing until the sheathing with the wood structural panel, finishing, and the passage of installations.
In the panels method, the production of walls, slabs and roofs is performed at the factory and
assembled on the construction site. The use of this method increases the dimensional precision
and reduces the tasks carried out on the site, allowing a higher production speed.
The modular method corresponds to units completely pre-manufactured that are delivered on
site with all the finishes, insulations, windows, bathroom components (toilet, sink, and shower)
and piping. The possibility of rationalisation, especially the reduction of lead time, increases as
the steps of the production process are transferred from site to the factory.
These industrialized construction systems enable the designers to achieve minimum levels of material waste. However, the effective rationalisation depends on the quality of design and planning,
which should ensure the best utilization of high-value materials. A wide variety of components
may impair the rationalisation of the construction process. Thus, there should be a concern in the
definition of the wall panels to reduce the material waste (OSB and finishing boards), in addition
to maintaining a low variation of panels to be produced in the factory. This aspect should be intensively considered in mass production.
It was not possible to find scientific papers discussing design solutions for reducing material
waste of panels. Therefore, the aim of the present study is to present design solutions for reducing material waste of the wall panels. The study was carried out during the development of
the product design. The data of material waste and its causes allowed the analysis of the design

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solutions that better satisfy the requirements of reducing waste and the components variety. This
investigation is part of a broader research with the objective of searching for suitable design to
sustainable low-income housing in developing countries.

Rationalisation and Material Waste in the Construction Industry

The design phase plays an important role in both the product quality and the production process
(Franco and Agopyan 1994). Most of the rationalisation measures to reduce cost and time and to
improve the product quality depend on the design phase (OConnor and Davies 1988). Although
the importance of this phase is recognised, the design decisions are usually taken without considering production aspects. The high level of material waste in construction sites is partially due
to this situation.
Formoso et al. (2002) argue that measuring waste is an effective way to assess the performance
of the production process, since it allows identifying causes of inefficiency and opportunities
for improvement. In this context, waste must be understood in a broader sense. Skoyles (1974)
and Formoso et al. (1996) classified material waste in two categories: direct and indirect material
waste. Direct waste is a kind of actual material loss and the wastage generated usually must be
removed from the site. In the indirect waste, materials are not lost physically but a monetary loss
occurs. Examples of indirect waste are: substitution of material and the use of a greater amount
of material caused by the inefficiency of the production process. In this case, the waste remains
incorporated to the product, although it does not add value to the client.
According to Whitt1, 1974 apud Soilbelman, 1993, decisions during the product design aimed at
reducing the variety of components, improving the dimensional coordination and facilitating
the production process contribute to constructability and, consequently, to enhance productivity and to eliminate materials waste. In industrialized building systems, the dimensional coordination of the components is even more necessary because of the higher value of the material
in comparison to conventional building systems. These issues are the key to producing a large
amount of affordable low-income housing.
The empirical study presented in this paper focuses on the description of the decisions taken in
the product design phase with the objective to reduce material waste of an industrialized building system to be adopted in low-income housing projects. The decisions here described are restricted to waste reduction of the wall components.

Industrialized Building System Light Wood Frame

There are two variations of the building system discussed in this paper: Light Wood Frame (LWF)
and Light Steel Frame (LSF). In these systems, the walls consist of a light frame with a sheathing
(Oriented Strand Board - OSB) nailed to each side of the framing which provides strength, rigidity,
a space for piping and insulation and also a framework for supporting interior finishing and exterior components (Canada Mortgage and Housing Corporation 2014).
Two kinds of wall panels are possible: (1) bearing walls are those supporting loads of the building
(can be external or internal wall); (2) non-bearing walls are internal partitions or external walls
supporting no load. The framing is comprised of horizontal (bottom and top plate) and vertical
(stud) components. The plate distributes the weight of the building to the foundation. In bearing
walls, top plates are double, but a single top plate may be used where roof rafters or trusses bear
directly above wall studs (AWC 2001). In order to suit the size of the OSB, the spacing of vertical
1

WHITT, K.J. Materials management in the construction industry. Department of Civil Engineering. 1974. 235p.Thesis Ledds University.

Reducing waste in the construction of light wood frame low-income housing

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components (stud) is 400 or 600mm on centre, depending on the load the wall supports. According to AWC (2001), studs in bearing walls are nominal 50x100 millimetres with the 100 millimetres
dimension forming the basic wall thickness. Studs in a non-bearing wall are nominal 50x75 millimetres or 50x100 millimetres. However, the wall insulation may be the major factor in stud dimensions and wall thickness.
Studs are arranged in multiples at corners and partitions intersections to allow rigid attachment
of the sheathing (OSB) in the both sides of framing, the exterior and interior wall finish materials
(Figure 1). This arrangement of studs also contributes to the wall resistance to lateral loads (Freitas
and Crasto 2012).

Figure 1: Wall framing at intersecting partitions. Source: adapted from American Wood Council, 2001
Exterior finishes include a wide variety of cladding materials: wood or vinyl siding and ceramic
tiles or painting applied over the cementitious board. The last variety is the most used one in
Brazil due to its similar appearance to the finishing of traditional building systems. In this case,
cracking in the exterior finishing can be prevented by using sealed joints between the cementitious boards. Omitted (invisible) joints can also be used in accordance with the procedures recommended by the cementitious boards supplier. Regardless of the exterior finishing adopted,
the use of a water repellent membrane is mandatory between the OSB and the exterior finish in
order to assure the insulation and the durability of the OSB.
In Brazil, the gypsum board (drywall) is the most common interior finish in this building system.
In addition to providing a smooth, paintable surface, the gypsum board can assure a good performance in terms of fire resistance to lightweight structural framing (Canada Mortgage and Housing Corporation 2014).
A harder of adequate size is required at window or door openings to carry vertical loads across
the opening. Headers may be supported by double studs or, where the span does not exceed
90 centimetres, framing anchors may be used with single supporting stud (Figure 2). Where the
opening width exceeds 180 centimetres, triple studs are used with each end of the header bearing
on two studs (AWC 2001).

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Figure 2: Wall framing at openings. Source: adapted from American Wood Council, 2001.
According to the manual of good practices, such as LPBrasil (2011) and Freitas and Castro (2012),
the end of the OSB board, cannot coincide with the vertices of window and door openings. In this
part of the wall, the board should be cut in C (window) or L (door) shape (Figure 3). This recommendation causes waste of OSB but provides rigidity to the wall.

Figure 3: Installation of OSB boards on panels with openings. Source: adapted from Freitas and Castro 2012

Research Method
The methodological approach adopted for this research was the case study. Two main reasons
justify the choice of this methodological approach: (1) the question to be answered was how to
reduce material waste in the design phase of a low-income housing adopting LWF construction

Reducing waste in the construction of light wood frame low-income housing

337

system? According to Yin (1994), case study should be usually adopted in researchers with how
or why questions; (2) the data collection happens in a real world situation. Real world conditions imply little or no control over the events during the design phase.
The product design was developed by a team of researchers2 from the Architecture and Civil Engineering areas of the State University of Londrina. The analysis of material waste and the components variety focused only on the components of wall panels: the studs, the sheathing (OSB), the
exterior finishing (cementitious board) and the interior finishing (gypsum board).
The percentage of material waste has been calculated as the long division of the material volume
not applied in the wall panel by the material volume applied. In turn, the material volume not
applied in the wall panel has been calculated as the subtraction of the material volume applied
in the wall panel from the material volume acquired. Besides the percentage of waste, the other
indicator evaluated was the variety of components formats; this indicator was simply the number
of variations of a component.
The tools for the data collection used in this research were: (a) manual of good practices for design and implementation of buildings in the LWF system (Details for conventional wood frame
construction - 2001; Canadian wood frame house construction - 2013; and Arauco - Ingeniera y
Construccin en Madera). These manuals were used to guide the decisions to reduce material
waste considering the best practices to ensure the adequate performance of the system (i.e., the
format of the boards in the openings areas of the panels); (b) design documents and architectural drawings, since the data to quantify waste were derived from it; (c) spreadsheet to record the
material consumption and waste resulting from the decisions taken by the team throughout the
product design development (Table 1); and (d) the researcher notebook in which the decisions
taken by the team and their justifications were recorded. These records were registered in order
to enable analysis of new decisions that were contrary to those already established.
Table 1 Protocol for the calculation of waste

Components

Entire
plates

Consumption
Total
Applied
Format
volume
volume
variations
(m)
(m)

Waste
Total
Entire
volume
plates
(m)

Results
The case study was developed along the product design process of a social housing in LWF building system, by a multidisciplinary team. The author of this research focused on the on production process. The analysis purpose in this case study was to register and quantify the wall panels
material waste, as a result of the product design. The analysis of this research enabled to identify
quantitatively the material waste, its causes and to suggest solutions to prevent them. The data
collected refer to the initials studies of product design, when were held six team meetings, before
the beginning of the executive design development. The case study tools for data collection reg2 Architect and urbanist, associate professor, with 29 years of experience; architect and urbanist, associate professor,
with 19 years of experience; civil engineer, associate professor, with 17 years of experience and 12 years of professional
experience; architect and urbanist with 5 years of professional experience; architect and urbanist, with 2 years of
professional experience.

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istered the material consumption and waste for the decisions taken by the design team regarding
the wall panels modulation, in order to propose strategies for the reduction of material waste.
The product developed is a low-income dwelling in LWF building system that consists in a standard layout and three customization options for future expansions (Figure 4): (a) standard layout
(two bedrooms, living/ dining room, kitchen, bathroom and laundry ); (b) one room addition; (c)
one bathroom addition; (d) garage.

Figure 4: Basic layout of housing and customization options

The product design was developed considering the wall panels modulation according the dimensions of the sheathing boards. Thus, the walls feature multiple dimensions of the sheathing
boards, which are applied in the vertical orientation (120 centimetres wide by 300 centimetres
high). This decision considered the concept of panels modulation, also compatible with the structural modulation (studs to each 60 centimetres). From this definition, the areas of the rooms were
restricted to the panels modulation. For composition and division of the house internal spaces
were considered the 60 centimetres modulation, according the land dimensions (7,30 x 20,55 meters) and the requirements of minimum front distance (5 meters) and minimum lateral distance
(1,5 meters) of the boundary wall.
Following this modulation, the spacing of the studs on centre (wood profiles with 38 x 89 centimetres nominal dimension) was a 60 centimetre due to the 120 centimetre board size. The finished panels were composed of a light wood frame with an OSB sheathing nailed to each side of
the framing, gypsum boards for interior finishing, and cementitious boards for exterior finishing.

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339

All panels followed the boards dimensions with variations of 120 and 60 centimetres in width, and
fixed height of 300 centimetres. The standard board size of 300 centimetres was defined considering the ceiling height.
Indirect connections (metallic profiles) were proposed to avoid changes in modulation caused by
the sheathing of the corners and intersecting partitions of panels. These changes are caused by
the added width dimensions that increase the final size of the finishing boards. The connection
proposed creates a decoupling between the panels and the width of the walls no longer influence the boards dimensional modulation (Figure 5).

Figure 5: Connections at intersecting partitions

An important point was the configuration of panels with openings, as they require the cutout of
the sheathing and finishing boards. This cutoff must occur to prevent the union of consecutive
boards in coincidence with the vertices of an opening, in order to maintain the wall panel rigidity
(FREITAS, 2012). In this case, the boards must be cut in the shape of a C (window) or L (door). Furthermore, a minimum displacement of 15 centimetres between the OSB sheets and the cementitious boards are necessary in the panels composition. These boards must have mismatched joints
to provide the rigidity of the panels (LPBrasil, 2011). However, a modulation problem is created
by the displacement, as the difference of at least 15 centimetres can be variable and is deducted
or added to cementitious boards. This difference does not follow the modulation of 60 and 120
centimetres defined in the product design, which results in the cutout and the waste of boards
(Figure 6).

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Figure 6: Finishing on the OSB boards

As a solution were proposed windows and doors with the same dimensions of the boards, in the
variation of 60 or 120 centimetres wide by 300 centimetres high. Thus, the panel areas that include
openings were replaced by windows and door panels (Figure 7). The tying of this system can be
performed through bolted connections, by the union of the metallic profiles from the windows
and doors with the studs of the wall panels.

Figure 7: Modulated panels and frames

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341

Although the presented proposals of indirect connections between the panels with the metallic
profiles and the establishment of a window/door panel were consistent and possibly viable, it
would be necessary the development of a constructive technique different from that used by specialized construction companies in this constructive system in Brazil. The constructive techniques
used by these construction companies for the production of dwellings in LWF were recognized by
the responsible authority of projects approval from Brazil, through a legal process. Any different
technique needs official recognition of its use viability in the production of houses in the country.
In the present study context, the proposal would demand human, material and financial resources for its recognition, which could hamper the continuity of the project.
Thus, it was defined as a guideline the use of the constructive practices adopted by construction
companies specialising in the LWF building system in the country. Windows in commercial dimensions started being considered in product design instead of window panels. Arrangements
of studs as recommended in the manuals consulted for constructions in the LWF were adopted
for tying the wall panels at corners and partitions intersections.
The three-dimensional virtual modelling of the product, with all the panels components, showed
other significant problems of the system relative to the high waste rate. The panel sheathing
boards cutoff in the opening areas, create a wide variety of boards formats. This happens due to
the need of displacement that creates different cuts in each of the openings of the dwelling due
to its positioning (Figure 8).

Figure 8: Variations of panels shapes and dimensions

From the virtual prototype it was possible to quantify a number of entire and cut boards, which
enable to quantify the amount of material waste. The material applied in the walls panels was
calculated considering the cutoffs of each board variation. The waste resulted from the difference

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of material acquired from the material applied. The waste was divided by the unit volume of the
board to get the number of entire boards wasted (Table 2). Furthermore, it was possible to identify and quantify the variations of the boards used for each kind of material.
Table 2: The data of the consumption and material waste - Case Study
Consumption
Components
OSB boards
(9,5x120x300 mm)
Cementitious boards
(8x120x300 mm)
Gypsum boards
(12,5x120x300 mm)
Studs (38x89x300 mm)

Waste

Applied
Total
Total
Format
Entire
Total
Entire
volume
volume
volume
variations
boards
waste
boards
(m)
(m)
(m)
99

3,386

10

3,000

11

0,386

11%

41

1,181

18

1,040

0,141

12%

65

2,925

16

2,400

12

0,525

18%

145

1,421

1,420

0,000

0%

From these results, were identified savings opportunities through a revision in the boards modulation (sheathing and finishing). In order to reduce the variation in the formats of the boards
applied in panels with an opening, a standard setting was adopted for the installation of external finishing boards. The focus for the application of such standardization was the cementitious
board since it corresponds to the higher-value material of the system. This standard setting is
particularly important when considering the scale economies since social housing projects involve the production of a lot of units. The three-dimensional modelling showed that the panels
connections were also responsible for the wide amount of finishing boards formats variations
and waste. The use of a finishing board in the corner connections for the external panels was the
standardized solution to eliminate this kind of waste. A finishing (cimentitious board) of 15 x 300
centimetres was adopted in the corner connections (Figure 9).

Figure 9: Standard setting of finishing boards on panels with openings

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Therefore, the instalation of the finishing boards and the sheathing (OSB) can start at the same
point of the wall panel. The use of the 15x300 centimetres section of cementitious boards required
adjustments in the original panel thickness (13 centimetres). The adjustment resulted in a increase
of the cross section of the studs (initially with 4,4 x 8,9 centimetres) to 4,4 x 11 centimetres. This decision caused an increase in the volume of wood consumed in the system. However, this increase
in consumption of studs volume compensate for the reduction of finishing boards waste that
represents the highest cost in the system.
In the panels with openings (windows and doors), the solution was to apply two cementitious
board sections in submultiples of 300 centimetres to be installed in the areas under (120 x 100
cm) and above (120 x 50 cm) the openings. The use of these boards sections enables to fully use
one board for finishing two areas with openings without resulting in material waste. The boards
installed at the opening sides must receive an apparent seal, as technical manufacturer specifications, for absorption of tensions caused by thermal and hygroscopic movements, and the effect
of loads. The proposed solutions (Figure 5) prevent random cut-offs and reduce the variety of
boards formats.
However, the application of this solution resulted in a mismatch in the positioning of the studs
in relation to the sheathing boards since the studs would be visible in the openings areas. TA
change in the positions of structural components (studs and cripple studs) and in the dimensions
of support structural components (headers and double headers) were necessary to allow the adjustment of the boards within the proposed modulation (Figure 10).

Figure 10: Adjusting the dimensions of the panels components

To attend the modulation, the dimensions of opening areas are restricted to variations of 60 and
120 centimetres. However, the commercial windows have these same finished dimensions, which
generate another dimension mismatch due to the space needed for installation. The use of windows with custom dimensions that meet the proposed modulation allow an area increase in the
vertical direction, for lighting and ventilation.
A new quantitative survey was carried aiming at comparing the materials waste in two situations:
the initial and the suggested proposal. The analysis of consumption and materials waste is shown
in Table 3.

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Table 3: The data of the consumption and material waste (based on suggested changes)
Consumption

Waste

Applied
Total
Total
Format
Entire
Total
Entire
volume
volume
volume
variations
boards
waste
boards
(m)
(m)
(m)

Components
OSB boards
(9,5x120x300 mm)
Cementitious boards
(8x120x300 mm)
Gypsum boards
(12,5x120x300 mm)
Studs (38x89x300 mm)

95

3,249

2,980

87

0,269

8%

37

1,066

1,030

36

0,036

3%

65

2,925

2,400

53

0,525

18%

141

1,692

1,690

0,000

0%

A reduction in consumption and material waste was identified, especially regarding cementitious
and OSB boards. The consumption of cementitious boards showed a reduction of almost 10%,
while the waste was reduced by 25% (Table 4). These results indicate that the adopted solutions
allowed a better use of the boards, which resulted in a significant material saving in the production of a housing unit. The reduction of consumption and material waste corresponds to an
advantage even greater when considered the economies of scale in the production of a greater
number of dwellings. In addition, there was a significant reduction in the formats variations of
cementitious and gypsum boards. The reduction of component variance is a prerequisite for the
reduction of costs, since the rationalisation of the board cutting process reduces the time of labor
and/or use of machinery.
Table 4: Summary of the case study results

Components
OSB boards
(9,5x120x300 mm)
Cementitious boards
(8x120x300 mm)
Gypsum boards
(12,5x120x300 mm)
Studs (38x89x300 mm)

Material waste
Material waste
(based on sugested changes)
Total
Total
Total
Format Entire
Total
Format Entire
volume
volume
waste
waste variations boards
variations boards
(m)
(m)
10

11

0,039

11%

0,269

8%

18

0,141

12%

0,030

3%

16

12

0,525

18%

12

0,525

18%

0%

0%

It is possible to observe that there was no change in gypsum boards waste. However, there was a
reduction in the boards variety formats, which did not cause impacts in the material waste. Once
an analysis of these boards use has not been done, the next step in the product design development is to combine the reduction of waste of both components (OSB and cementitious boards).
As both boards are on the opposite sides of the wall panels, a detailed analysis must be done for
the gypsum board. The amount of wood waste also remained unchanged. Since the studs are
fully used in the panels composition, there is no material waste.

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Conclusions
This paper discusses the main results of a research study aimed at measuring the waste of materials in low-income housing designs and at proposing general solutions for reducing waste. The
material consumption and waste were analyzed during the development of the product design
to evaluate the impact of design decisions on material waste. The data collection allowed the
team to review design decisions that would result in material waste, considering mass production. The analysis of the material consumption and waste during the product design made possible to identify its causes and to suggest solutions to prevent them. Subsequently, a survey of the
waste due to the solutions suggested enabled the assessment of the decisions impact.
During development of product design, also the materials applied should be considered and
quantified to reducing the variety of the boards formats.
The material waste main cause was the need to cut-off the boards in panels with openings. The
need of a mismatch between the OSB and the finishing board aggravates the possibility of waste
and the increase of boards variety. The proposed solution ensures the dimensional compatibilization that reduces the waste of sheathing components.
The OSB boards waste is fully due to the cut-off in the panels with openings, and the volume of
waste difference identified in the survey correspond to the changes in the size of openings for the
proposed standardization of cementitious boards. The remaining waste of OSB boards is derived
from the technical recommendation that the end of the OSB board should not coincide with the
openings corners. Further studies needs to be undertaken in order to support other design alternatives for this situation.

Acknowledgements
The authors would like to thank Jorge Daniel de Melo Moura from the State University of Londrina
for supporting the development of this research.

References
AWC, 2001, Details for Conventional Wood frame Construction, American Forest & Paper Association, Washington,
USA.
CANADA MORTGAGE AND HOUSING CORPORATION, 2014, Canadian wood-frame housing construction, Canada.
FORMOSO, C. T., DE CESARE, C. M., LANTELME, E. M. V., and SOIBELMAN, L., 1996, As perdas na construo civil: conceitos, classificaes e seu papel na melhoria do setor, Universidade Federal do Rio Grande do Sul, Porto Alegre,
Brazil.
FORMOSO, C. T., SOIBELMAN, L., DE CESARE, C. M., and ISATTO, E. L., 2002, Material Waste in Building Industry: Main
Causes and Prevention, Journal of Construction Engineering and Management, 128, pp. 316-325.
FRANCO, L. S., and AGOPYAN, V., 1994, Racionalizao dos processos construtivos em alvenaria estrutural no armada,
Proceedings of the 5th International Seminar on Structural Mansory for Developing Countries, Florianpolis,
Brazil, pp. 497-508.
FREITAS, A. M. S., and CRASTO, R. C. M., 2012, Steel Framing: Arquitetura, Srie Manual de Construo em Ao (2nd
edition), Instituto Ao Brasil/CBCA, Rio de Janeiro, Brazil.
LPBRASIL. 2011, Manual CES - Construo Energitrmica Sustentvel, Curitiba, Brazil.
OCONNOR, J. T., and DAVIES, V. S., 1988, Constructability improvement during field operations, Journal od Construction Engineering and Management, 114, pp. 548-64.
SKOYLES, E. R., and HUSSEY, H.J., 1974, Wastage of materials on building sites, Building, 226, pp. 95-100.

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SOILBELMAN, L., 1993, As perdas de materiais na construo de edificaes: sua incidncia e seu controle, Dissertao
(mestrado), Curso de Ps-graduao em Engenharia Civil, Universidade Federal do Rio Grande do Sul, Porto Alegre, Brazil.
YIN, R. K., 1994, Case study research: design and methods (2nd edition), Applied Social Research Methods Series (volume 5), Sage Publications, London.

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International Conference | Bari - Lecce, Italy

Session V - VI

POST-CONFLICT SUSTAINABLE DEVELOPMENT OF

BAMIYAN CITY IN AFGHANISTAN
Farah Al Amin1 & Hasim Altan1
1 Sustainable Design of the Built Environment, Faculty of Engineering & IT, British University in Dubai, UAE, farah@
farahalamin.com / [email protected]

Abstract
Post-war recovery and development is a great challenge that many countries faced throughout history. Involvement in armed-conflicts is the extreme opposite of sustainable development, since wars have a negative impact on the environment and eco-systems, natural resources, countries economies, infrastructure, human health, and the social fabric. This paper
addresses the dual challenges of peace building and sustainable development in Bamiyan
city in Afghanistan, and provides guidelines on how to approach environmental, economic
and social development in the city. Qualitative research is utilized to carry out this investigation. Data obtained through intensive literature review is analyzed to identify the strengths
and weaknesses of the current practices in Bamiyan and to propose new strategies based on
post-conflict sustainable development strategies suggested by international organizations.
The study shows that Bamiyan city has a great potential for development due to its rich culture, unique landscapes, world heritage sites and relatively advanced state in terms of peace
and progression. Results of the study show that strategies covering all aspects of sustainability; environmental, social, and economic, should be applied simultaneously. Moreover, it is
found that sequencing and prioritization of strategies is a key factor for successful post-conflict development to respond to both humanitarian and long-term development needs which
might sometimes be contradictory. The study resulted in a comprehensive set of both generic
and specific solutions and recommendations. Although the solutions are presented in different sets, they are in many cases intertwined due to the connectivity of the problems and the
fact that the solution to one problem can lead to partially solving other problems, which have
been presented in this paper.

Keywords
Sustainable Development, Post-conflict Reconstruction, Afghanistan, Bamiyan,
Sustainability.

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Introduction
Being an interconnection between three geographical zones (Fig.1), Afghanistan is characterized
by ethnic diversity, rich culture, beautiful landscapes and mountainous nature (Barfield 2010). After thirty years of political conflicts, both internally and internationally, Afghanistan experienced
a huge decline and deterioration. During these years, the country witnessed the absence of governmental bodies and authorities, extreme poverty, low living conditions, destruction of around
60% of the its infrastructure, and deterioration of most of its natural treasures that are now in a
critical situation. According to the United Nations Environment Program (2009), one million people died during the years of conflict and around five million left their homes looking for shelter in
safer places.
After signing the Bonn agreement in 2001, Afghanistan entered a reconstruction and renewal
phase. There were many attempts by both the transitional governments and the UN to assess the
environmental, social and economic situation in the country trying to overcome the serious deterioration. Afghanistan currently is one of the poorest and less developed countries in the world,
making the rebirth process even more challenging (UNEP 2009).

Figure 1: Afghanistan map (Barfield 2010)

Overview of Bamiyan
Bamiyan city is the capital of Bamiyan Province that is located in central Afghanistan, northwest
Kabul, strategically located as an interconnection between the different cultures traveling along
the Silk Road, as shown in Figure 1. Bamiyan is a rural area, where most of the population depends
on agriculture for living, mainly wheat and potatoes. Bamiyan was largely affected by the years

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of conflict and the deforestation that is happening in Afghanistan, and is now one of the least
productive and poorest cities in the country, making living conditions very harsh for the 60,000
inhabitants estimated to be living there.
The climate in Bamiyan is dry and temperatures fluctuate between a maximum of 30C in summer
and a minimum of -20C in winter. One of the most important features of the city is the Bamiyan
Cliff, in which two niches were carved placing two giant Buddha statues (38 and 55 meters high)
dating back to the 6th century, which were exploded by the Taliban regime in 2001. In 2003, the
UNESCO listed the area as a world heritage site. (UNESCO 2014)

Figure 2: Bamiyan City (UNESCO 2014)

Post-war recovery and development is a great challenge that many countries faced throughout
history. Involvement in armed-conflicts is the extreme opposite of sustainable development,
since wars have a negative impact on the environment and eco-systems, natural resources, countries economies, infrastructure, human health, and the social fabric. Although there are many attempts to establish guidelines for sustainable development in post-war countries, they are often
criticized for being unrealistic (Clark 2008). More than a decade after the fall of Taliban regime in
Afghanistan and the beginning of the reconstruction phase, the country still suffers from extreme
poverty, poor health and education. A recent study argues that the reconstruction phase can be
described as a failure (Vana 2012).
This study aims at establishing a sustainability guideline and laying a base for sustainable development in Bamiyan city following a realistic approach, and taking into consideration the obstacles that are slowing down development, and the opportunities that can eventually lift the
standards of living in the city.

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Methodology
The methodology suitable for the research question at hand is the qualitative method. Intensive
literature review has been carried out to identify two sets of data:
1. Strengths and weaknesses of the current practices in Bamiyan. This part of literature review
helped identifying potential areas of improvement and setting priorities.
2. Post-conflict sustainable development strategies suggested by international organizations,
such as the United Nations Environment Programme (UNEP), Group for the Environment, Renewable Energy and Solidarity (GERES), World Health Organization (WHO), and the United
Nations Department of Economic and Social Affairs (UNDESA) Division for Sustainable Development (DSD).
Based on these two sets, a sustainability package for Bamiyan city is proposed. The study is divided into three sections: (1) the environmental, economic, and social aspects of Afghanistan in
general, and Bamiyan specifically, will be assessed; (2) the current attempts for sustainable development in the study area will be reviewed; and (3) a number of recommendations and strategies
for sustainable development will be discussed.

Literature Review of the Challenges

Literature review of the challenges that are facing sustainable development in both, Afghanistan
in general and in Bamiyan city more specifically was conducted. It is worth mentioning that it is
difficult to classify the issues into categories, since they are strongly intertwined, and each problem affects the others. Although the research aims at focusing on the case of Bamiyan city, it is of
a great importance to understand the general situation in Afghanistan as a country first. It was
found that the main issues in Afghanistan are the following:
Water
Afghanistan is a deserted land, where the only source of water is rivers that depend on snow melt
and rain at the Hindu Kush Mountains. The area have witnessed years of drought that has shaken
the water security. Moreover, theres a high level of water pollution, lack of sanitation and poor
waste management strategies that have made this problem worse with time. (UNEP 2009).
Deforestation
Throughout the history of Afghanistan, forests covered around 5% of the land. However, due to
many factor, such as illegal logging and dependence on timber for heating purposes, the percentage dropped to 2%. According to UNEP, if no measures are taken to prevent this from happening,
the forests will disappear from Afghanistan in few decades. (UNEP 2009)
Pollution
During the past decade, Afghanistan witnessed an explosive population growth in urban center.
The years of conflict and the extreme poverty pushed people to move from rural areas to the
urban centers. Also, people who fled away from cities during wartime started returning. This has
caused pressure on the already insufficient solid waste disposal facilities. (UNEP 2009). A recent
study (2012) investigated Afghanistan residents exposure to polycyclic aromatic hydrocarbon
(PAH) by testing urine samples from 42 adults and 13 children. Results of the investigation shows
that people living in rural areas in Afghanistan are at risk of increased PAH exposure, mainly due
to the use of open fire for heating and cooking purposes.

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Energy
Afghanistan is one of the lowest countries in the world when it comes to electricity consumption
per capita, and around two thirds of the population does not have access to stable power. Bamiyan City is one of the areas that suffer harshly from the absence of a stable and reliable source
of power. This issue, according to the United Nations Development Program, is the biggest challenge that is slowing down its development (NPR 2015).

Current Attempts Toward Sustainable Development

United Nations Environmental Programme (UNEP)
UNEP, through the sub-program Disasters and Conflict, focuses on areas that go through natural
and human-made disasters, wars and conflicts. The role of UNEP is to provide post-crisis assessment and recovery plan by proposing recommendations. It also collaborates with local authorities and governments to enhance resource management and reduce risks, provide them with
training services and technical assistance when needed.
During the past decade, UNEP successfully formed Afghanistans National Environmental Protection Agency (NEPA), developed an Environmental Impact Assessment sector and strengthened
planning for Climate Change adaptation (United Nations Environment Program 2015).
Group for the Environment, Renewable Energy and Solidarity (GERES)
GERES is a non-governmental organization that focuses on clean and sustainable energy and
preservation of natural resources by developing technologies and providing services that help
reduce fuel poverty issues in the world. GERES have been working on a number of projects to
enhance the energy efficiency levels of homes and public buildings in different cities in Afghanistan. In 2014, GERES started working on a new project in Bamiyan, aims at improving the energy
efficiency of houses and provide affordable solutions to heat spaces during harsh winters. The
project also attempts to spread awareness at the community level (GERES 2015).

Strategies for Sustainable Development in Bamiyan City

In this section, a comprehensive set of solutions and recommendations have been proposed to
lay the foundation of a sustainable development in Bamiyan City. The recommendations will be
divided into two sections:
1. Provides generic guidelines for sustainable development is post-conflict areas adopted from
Developed Guidance Notes on National Sustainable Development Strategies in Post-conflict
Countries published by the UNDESA, Division for Sustainable Development.
2. Provides specific and more detailed solutions for the challenges that are standing in the way
of development in Bamiyan.

Generic Strategies
According to the UNDESA Division for Sustainable Development, the following must be taken
into consideration:
Effort must be put into establishing a comprehensive understanding of the nature of the
conflict in Afghanistan in general and in Bamiyan City more specifically. It is imperative that
planning for a sustainable development in a post-conflict country addresses conflict relapse
prevention, which is highly possible in many cases. One of the important facts to be taken into
consideration in Bamiyan is that the population is mainly composed of Hazara people, current-

Post-conflict sustainable development of Bamiyan city in Afghanistan

353

ly a religious minority in Afghanistan. Hazara people previously constituted around 67% of the
total population of Afghanistan. However, during the late-1800s, 60% of the Hazara population
were wiped out and suffered extreme discrimination. Although attempts were made during
mid-1990s to unite Hazara and give them a voice at the United Nations, the situation got worse
with the Taliban seizing power and declaring war on Shia (MRG 2015).
Sustainable development must take into consideration peace building as a key component of
the process.
Sustainable development management must focus on three principles: Participation and inclusion rather than centralized planning, meeting short term requirements without compromising long-term strategies, and the inclusion of a feedback loop for all development plans
rather than having fixed ones to ensure flexibility and give room for constant improvements.
Establishment of a body responsible for collecting and analyzing data that feeds the policy
making process must be considered a priority.
Ensure information sharing between different institutions and organizations by creating incentives to encourage cooperation and increase the cost of non-cooperative processes.
Aid management. The overflow of aid can trigger unjust distribution of resources and might
encourage corruption and create tension between different social sectors.
It is critical to propose a gradual recovery plan that takes into consideration both the immediate needs of the city and the critical humanitarian cases and long term planning. Neglecting
one of the two will cause the development plan to fail. This point will be clearly demonstrated
in the specific development strategies by suggesting gradual reform.

Specific Strategies
Environmental Sustainable Development Strategies
This section focuses on solving the problem of pollution, deforestation, accessibility to clean water, energy efficiency in buildings and clean energy production.
a. Energy
One of the biggest challenges that is standing in the way of the Bamiyan population to extract
itself from extreme poverty is the lack of a reliable source of power. Bamiyan is one of the areas
in Afghanistan that still lives off the grid, and something as simple as lighting houses at night is
still a dream for Bamiyan. The following strategies can be adopted to tackle the energy problem
in the short term:
Establishment of a retrofitting program that aims at using local skills and local materials to enhance the energy efficiency of existing buildings and therefore reduce the demand for energy.
Simple and low-cost measures can be applied on residential and public buildings to enhance
passive heating and cooling such as adding a south facing veranda that will act as a solar
collector reducing the need for burning fossil fuel to heat houses. Consequently, Indoor Air
Pollution (IAP) will be reduced. A successful implementation of a similar program was carried
out by GERES (2015).
Encourage the use of Solar Water Heating (SWH) for domestic uses since Bamiyan enjoys a lot
of sunny days during the year and the use of solar power is already being successfully implemented in some areas. It is argued that SWH has a great potential in enhancing the quality
of life in poor rural areas, eliminating the need for burning fossil fuel for heating water, and
offering employment opportunities (GNESD 2006).
Establish a micro-credit approach that enables villagers to form an organization and take a
loan from the banks to invest in renewable technologies and sell the energy to pay back the
loan (Biswas et al. 2001).

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 The use of Micro-grids, which are small and modern versions of centralized electricity grid systems. They are autonomous and cost effective which makes them a suitable option for isolated
communities. They can run on fuel cells, solar, and wind. They help generate clean energy for
domestic and public use, diversify energy sources and reduce carbon emissions resulting from
conventional energy production methods.
In the long term, on the other hand, large off-grid PV systems carry a great potential in solving
the energy problem in Bamiyan. In 2014, a 1 MW off-grid PV system started operating in Bamiyan province financed by two companies from New Zealand, providing electricity to around
2500 buildings in Bamiyan province (PV Magazine 2015).
b. Water
Short term solutions focus on reducing the demand and the efficient use of water resource as
follows:
Promoting public awareness of efficient water consumption methods through education and
community campaigns.
Providing knowledge and technical assistance to the farmers and introducing modern and efficient irrigation systems such as sprinkler and drip irrigation as a replacement to conventional
irrigation methods. (UNEP 2015)
Prioritization of rehabilitation of existing hydrometric network rather than starting new ones.
Such projects can also provide local employment opportunities.
For the long term, the following strategies are recommended:
Launching small-scale community-based projects such as digging irrigation canals, cleaning
water resources, digging wells and water collection structures. A successful strategy that has
been adopted by Global Partners is Food for Work projects, which uses food as a compensation for work on infrastructure and road projects. This strategy can be applied for water related
projects especially if these projects have a direct positive impact on farms that can help by
compensating the workers with food to enable them to be feed their families. (Global Partners
2015)
Help farmers determine the water needs for each plant to avoid excess irrigation, which is a
common problem in Afghanistan (Mahmoodi 2011).
Encourage the use of drought-resistant crops.
c. Reforestation
A recent study assessing the reforestation programs in Afghanistan argues that reforestation programs are challenging in areas where people are not dependent on forest for their living. Fortunately, people in Bamiyan are strongly dependent on the forest in their city for earning cash and
improving their standards of living. For this reason, theres a great potential in Bamiyan to collaborate with the local people who are genuinely willing to improve the situation of the forests in the
city (Groninger 2012). The study reviews a number of strategies that can be adopted in Bamiyan
as follow:
In the short term, it is recommended to focus on re-planting fast growing trees that will help
the people who depend on trees for heating purposes during the harsh winters.
Enhancing the energy efficiency of buildings reduces the need for conventional heating methods and consequently reduces peoples dependence on forest wood for heating.
Larger scale reforestation projects can be carried out during the next phase, which may also
involve enhancing the accessibility and roads infrastructure to these areas.
Indoor Air Pollution (IAP) remains one of the most critical health threats that many developing
countries suffer from. A study conducted by Duflo, Greenstone and Hanna (2008) proposes
three main strategies to fight the problem of IAP which are considered suitable for the case of

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Bamiyan.
For the short term, it is recommended to promote and subsidize improved cooking stoves.
In the long term, it is advised to subsidize cleaner fuel types such as electricity and kerosene.
However, this solution is less cost effective and its applicability is limited to a certain part of the
population who can afford the change. Strategies proposed to solve the problem of energy
contribute largely to solving this issue.
Social Sustainable Development Strategies
Afghanistan is known for its cultural and ethnic diversity. Being the interconnection between
many different cultures since the beginning of its foundation, it has been described as The
Roundabout of Asia (UNESCO 2014). Bamiyan city is located at the Hazarajat, the homeland of
Hazara people, a religious minority in Afghanistan, who represent the majority of Bamiyan population besides that Tajiks (UNESCO 2014).
Strategies proposed under this section aim to ensure provision of essential social services required for the wellbeing of Bamiyan population, revive and celebrate the rich culture of Bamiyan
city, and establish a sense of belonging among individuals. Recommendations cover three main
aspects: health, education, and promoting the culture of peace.
a. Health and Educational Facilities
According to the UNDESA Division for Sustainable Development (2011), provision of basic education and healthcare facilities must be prioritized to economic growth and infrastructure rehabilitation projects. The following strategies are proposed to enhance education and health care
facilities in Bamiyan:
Short Term Solutions
Prioritize and focus on provision of primary education since it requires fewer resources, yet has
a great impact on the community (UNDESA DSD 2011).
Establishment of community-based primary learning facilities to meet the needs of the villages that lack schools or suffer from the problem of inaccessibility to nearby schools due to
distance, harsh climate, mountain terrain, and unavailability of adequate connecting roads.
A successful example is the Let Us Learn initiative by the UNICEF, which involves creating local community-based learning centers that provides basic education for children who are deprived of it. Such centers can provide informal education to the children and are considered
only as temporary solutions, however, they enable them to join formal education when the
opportunity comes up and protect them from being left behind (UNICEF 2015).
Building capacities for both education and health sectors and provide training opportunities.
Collaboration with other major cities in Afghanistan to arrange for medical residency programs in Bamiyan (WHO 2013).
Arrange clinical rotation between urban and rural areas to fight the maldistribution of workers
in health disciplines (WHO 2013).
Long Term Solutions
Development of the roads network in Bamiyan city to ensure better connectivity for the villagers and the social services. This aspect also contributes to the economic development of the
city.
Facilitate the enrolment of Bamiyan youth in health discipline programs and subsidize education for return of service (WHO 2013).
Development of tertiary education to help build the human capacity needed to support the

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health and education sector in Bamiyan. After its reconstruction, Bamiyan University currently
supports four faculties: Agriculture and Animal Husbandry, Social Sciences, Education, and
geology. 358 students graduated from Bamiyan University in 2013 (Hazara 2014).
b. Promoting the Culture of Peace
Inspired by the UNESCO Culture of Peace program (UNESCO 2015), the following strategies are
proposed:
Short Term Strategies
Promoting the culture of peace through education is a very effective tool since most of the
conflicts that are caused by hatred and discrimination are a symptom of ignorance. Through
the educational curriculum, Culture of Peace principles such as freedom, human rights, solidarity, and tolerance can be taught and promoted.
Celebrating cultural and ethnic diversity of Bamiyan and develop a sense of belonging through
organizing community events focusing on the tangible and intangible heritage culture of
Bamiyan.
Fostering creativity in primary education is considered essential to peace building and laying
the foundation for a coherent society.
Long Term Strategies
Festivals are a very important factor contributing to social and economic development of any
country. There is often a misconception that festival and events are only relevant in developed
countries. However, a report published by the UNESCO suggests that festivals are of a great
importance in developing countries, and that such local events have a great influence on the
hosting societies on different levels. Currently, theres one annual festival that takes place in
Bamiyan, The Silk Road Festival where traditional sports and music are celebrated.
Economic Sustainable Development Strategies
Proposed strategies in this section present solutions towards cultural and eco-tourism revivalism.
a. Agriculture
Bamiyan is a rural area, and its people are highly dependent on agriculture as a source for food
and income. According to the Food and Agriculture Organization of the United Nations (FAO),
investing in agriculture is one of the, if not the most, effective solutions to fight poverty in rural
areas similar to Bamiyan. FAO developed strategies to promote such investments, which can be
adopted in Bamiyan to enhance agricultural investments in terms of quantity of production and
secured management of the process as follows:
Short Term Strategies
The focus of the first development phase of agriculture should focus on farmers since most of
the investment in agriculture comes from farmers rather than governments or private sector
investors (FAO 2015).
The use of agricultural products to enhance the nutrition of the people and strengthen food
security must be considered a priority..
Support farmers to gradually improve their irrigation systems and replace old technologies
with newer more efficient ones. This solution also contributes to water resource management.
Long Term Strategies
Secured legislation and policies must be revised to encourage public and private investment.
Authorities are advised to recognize the right of land prior to any negotiation process with

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investors to ensure local communities empowerment.

Establishment of an independent regulatory body responsible for monitoring the investment
climate.
Establishment of a representation committee for every village within Bamiyan City, which represents the local stakeholders.

b. Employment
Focusing on the individual who were directly affected by the war and create temporary jobs
for them.
Strengthen the local skills of the individuals to create temporary job opportunities such as
sewing, embroidery work, ceramics, and carpet weaving. These skills help boost the local production of goods and help people gain income on the short term. This strategy also contributes to social sustainability since revivalism of traditional skills and crafts helps create a sense
of identity among the people.
Utilize the local skills in the reconstruction phase by focusing on the available building technologies, and encourage the use of local labor to accomplish these tasks.
c. Developing Tourism in Bamiyan
Agritourism
Agritourism is a form of recreational activity that takes place in farms, where the farm management would provide the tourists with a stay, food and various agriculture-related activities such
as crops picking and feeding animals (Sznajder et al. 2008). This type of tourism has a big potential
in Bamiyan city, since it requires less infrastructure than cultural tourism.
Cultural Tourism
One of the most prominent features of Bamiyan city is the Bamiyan Valley that is enclosed between the Hindu Kush Mountains. The area of the Bamiyan Valley carry archaeological remains
that reveal the artistic and cultural valuable developments in the area dating back to the period
between the 1st and the 13th century C.E. After the cultural tragedy that took place in 2003 when
the Taliban regime destructed the two giant Buddha statues, these sites were listed as a world
heritage site by the UNESCO and there had been many attempts to restore and rebuild these
sites. Cultural tourism is a long-term goal since it requires creating the adequate infrastructure
to support it. However, the following strategies are proposed to prepare Bamiyan to become an
attraction for cultural tourism in the future:
Promote awareness of the significance of the archaeological remains in Bamiyan through education, events, campaigns and festivals. This will also contribute to social sustainability.
Training of individuals for preservation and conservation to ensure sustainable management
body for these sites.
Provide incentives to the people of Bamiyan to participate in the protection of their heritage.
(Asia Times Online 2006).
Provide alternative housing solutions to the cave dwellers, which are the Hazara families that
are currently occupying the caves of the World Heritage Site because of extreme poverty and
lack of other housing solutions (BBC 2015).

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Conclusions
The study shows that Bamiyan city has a great potential for development due to its rich culture,
unique landscapes, world heritage sites and relatively advanced state in terms of peace and progression. Results of the study showed that strategies covering all aspects of sustainability; environmental, social, and economic, should be applied simultaneously. Moreover, it is found that sequencing and prioritization of strategies is a key factor for successful post-conflict development
to respond to both humanitarian and long-term development needs which might sometimes be
contradictory. The study resulted in a comprehensive set of both generic and specific solutions
and recommendations.
Although the solutions are presented in different sets, they are in many cases intertwined due to
the connectivity of the problems and the fact that the solution to one problem can lead to partially solving other problems, which have been presented in this paper. Within each set, solutions are
divided into phases to ensure gradual and sequential reform, taking into consideration that these
phases may overlap. Environmental solutions address issues of pollution, deforestation, accessibility to clean water, energy efficiency in buildings and energy production. Meanwhile, Economic
Solutions focus on the enhancement of the agriculture in Bamiyan city, which is the main income
source for its people, cultural and agritourism revivalism and employment. Social solutions on
the other hand, aims at providing social services to the people, revivalism of the rich culture of
Bamiyan city, and celebrating its ethnic diversity.

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International Conference | Bari - Lecce, Italy

Session V - VI

CORPORATE SOCIAL RESPONSIBILITY PRACTICES:

A CASE STUDY OF A CONSTRUCTION COMPANY IN
UNITED ARAB EMIRATES
Godwin Francis1, Nada El Bana2 & Hasim Altan2
1 Faculty of Business, British University in Dubai, UAE, [email protected]
2 Faculty of Engineering & IT, British University in Dubai, UAE, [email protected] /
[email protected]

Abstract
Striking a balance between the economic, environmental, and social imperatives while keeping in mind the expectations of the shareholders, they bring out the evolvement of Corporate
Social Responsibility. Corporate Social Responsibility has helped for bringing sustainability
and sustainable development values into core strategies and operations of the organisations,
particularly in the construction sectors across the world. The impact of Corporate Social Responsibility in construction industry is massive as they help building a society which leads to
a more environmental friendly structures and also focuses on occupational health, security,
and safety. The Corporate Social Responsibility practices in the United Arab Emirates construction industry is growing as the country is witnessing a huge sustainable construction
projects intermittently. In this study, Corporate Social Responsibility practices and activities of
a global construction company operating in the United Arab Emirates are being investigated
as a case study. The aim of the study is to analyse the impact of Corporate Social Responsibility in the organisation looking at strategic approaches and its successful integration within the
organisation functioning. This research was coordinated into segments and the methodology
included the qualitative analysis involving interviews with key members of the organisation
and reviewing the companys Corporate Social Responsibility polices and activities with enlightenments of the integration of Corporate Social Responsibility into the companys polices
and the personnel involved in the process. Resulting of full view of the undertaking policies
and plan of action of the illustrated company for further development and recommendations
has been presented in this paper. After carrying out in-depth qualitative analysis, the research
revealed many interesting findings including that there is a strong Corporate Social Responsibility practices followed with the impact rate into overall business activities. As a final remark,
whilst this paper mainly focuses on United Arab Emirates construction management, it could
be argued that many of the research outcomes are relevant to several countries especially
those with similar social and extreme environmental and organisational behaviour conditions
as the United Arab Emirates.

Keywords
Corporate Social Responsibility, Construction Management, Sustainability, Sustainable
Development, United Arab Emirates

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Introduction
BAM group is a leading European company focussing mainly in construction, mechanical, electrical services, civil engineering, properties, and public-private partnership. However, the company
is concentrating more in the construction and engineering fields which form 93% of its total revenue as illustrated in Figures 1 and 2.
BAM group is operating mainly in Europe within five main countries Netherlands, Germany, Belgium, United Kingdom, and Republic of Ireland while keeping its headquarter in Gouda in Netherlands. The company is ranked among the top twenty international contractors worldwide in
revenue as per the engineering news records 2013, (Engineering News Records 2014), where its
total revenue for the year ending 2013 has reached 7.041 billion $, and the total number of employees is 23,000 (Royal BAM Group 2013).

Figure 1: Revenue by sector year-end 2013

Figure 2: Revenue by Sector year-end 2013

The company has achieved several awards in terms of sustainability and it is ranked among the
top companies to work for. In 2011, the company was placed 14th on the Sunday Times Best Green
companies list. The company was also ranked on Sunday Times in 2013 and 2011 as one of the top
companies to work for and it is the only major construction company in the list. Recently, BAM International, the operating company of the Royal BAM group outside Europe, has won The health
and Safety Initiative award for the year 2014 awarded by the Construction Week Awards 2014
for its initiative related to the health and safety of its labours. All these awards can be considered

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as an indication for BAMs performance in terms of Corporate Social Responsibility (Royal BAM
Group 2013).
The theory of Corporate Social Responsibility is tracked back to 1950s, which manifested as the
modernity of Corporate Social Responsibility era. (Carroll 1999). From 1960s up to 1970s, Corporate Social Response and Corporate Social Responsibility were the theories cited. Taking in consideration that the four spheres of Corporate Social Responsibility were represented as the key
elements of the theoretical research at the time (Carroll, 1979). As such definitions included the
economic, legal, ethical, and discretionary expectations. At 1979, he explained the classifications
and diverse descriptions of Corporate Social Responsibility, quoting In my view, Corporate Social
Responsibility involves the conduct of a business so that it is economically profitable, law abiding,
ethical and socially supportive. Thus, Corporate Social Responsibility is composed of four parts:
economic, legal, ethical, and voluntary or philanthropic (Carroll, 1983).
During 1970s to the 1990s, the second stage took place. The theory of CSP short for Corporate
Social Performance was revisited by Wood (1991) and later progressed by (Carroll, 1999) followed
by Wartick and Cochrans (1985) characterisations of CSP which made Wood look forward and redesign the Corporate Social Performance aspects stating a business organisations configuration
of principles of social responsibility, process of social responsiveness, and policies, programs, and
observable outcomes as they relate to the firms societal relationships(Wood 1991).
Thanks to Wood refurbishing of the CSP where he managed to link the three components consist
of principles, processes, and outcomes as per demonstrated in below Figure 3.

Figure 3: The Corporate Social Performance (Model Wood, 1991, pp: 694)

Lastly in the 1990s till nowadays, the third stage of development that included the stakeholders
theory manifestation. The stakeholder approach was witness to be operative and of high importance in sustaining the developments in strategies, framework and outcomes in the enterprises
(Freeman 1984). The definition Freeman provided for the stakeholder goes as follows any group
or individual that can affect or is affected by the achievement of a corporations purpose (Freeman 2004).

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The considerable expectation for good companies is to sustain a quality relation with its local
community. When performing any kind of activities, plans, programmes or events, the community should be considered and the impact of the stated elements should be measured.
In the study, both stakeholder engagement and Corporate Social Responsibility strategic framework have been discussed as part of the approach adopted in this research.

Approach and Methodology

This research intends to explain the importance of Corporate Social Responsibility in the context
of business organisations. The research will be based on a case study of the BAM Group. The main
objectives comprise as follow:
1. To appraise BAM group Corporate Social Responsibility strategy and activities that has been
adopted for application of the strategy.
2. To assess the adequacy of BAM Corporate Social Responsibility strategy.
3. To recommend ways to improve the BAM Corporate Social Responsibility strategies and practices.
The following are the main research questions in order to cover the above objectives:
What are the Corporate Social Responsibility activities and strategies carried out by BAM?
How effective are those Corporate Social Responsibility strategies and practices followed by
BAM?
How can BAM improve its Corporate Social Responsibilities?
In terms of stakeholder engagement, companies have elevated their systems to have effective
communication with stakeholders relations. Firms that believe in the necessity of Corporate Social Responsibility proficient completion needs to have the Corporate Social Responsibility actions executed by qualified personals specialised for the performance and do not convey on the
theoretical basis only and effectively structure a plan along with qualified personnel for the mission (Figure 4).

Figure 4: Reconstructed Stakeholder Model (Freeman, 2003)

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Figure 5: The adapted version of the stakeholder model (Freeman 2003)

The compliance of such action evidence on the fact of Corporate Social Responsibility existence
in the core of the firms business rather than a residual kind of an activity that does not comply
with their business strategies (Kotler and Lee 2005; Porter and Kramer 2006).
With regards to Corporate Social Responsibility strategic framework, the idea is to introduce
Corporate Social Responsibility as one of their fundamental framework and strategic action by
redefining their action plan, systems, and policies accordingly for the Corporate Social Responsibility integration to be effective. This procedure is becoming a part of contemporary efficient
movement of implementation of Corporate Social Responsibility by new class of professionals, i.e.
the Corporate Social Responsibility officers. This considered one of the filling gabs of Corporate
Social Responsibility efficient processing and executions for adequate results. Even though this
approach of Corporate Social Responsibility application is not highly implemented in firms, this
research intends to add enhancements to the Corporate Social Responsibility implementations
strategies in current companies in the United Arab Emirates (Jackson and Nelson 2004).
Various companies are holding the path of Corporate Social Responsibility, unfortunately the
possibility of effective implementations tactics of Corporate Social Responsibility is yet to be explored, developed and fulfilled. Khoo and Tan (2002) illustrates that taking the Corporate Social
Responsibility path starts from refining the companies framework, elaborating on the four stages
required to be implemented at the firm (preparation, transformation, implementation, sustainable business results). Using these methods helps to envelop companys employees and the quality of work improvement along with production enhancement. Another illustration by Panapanaan et al. (2003), exhibited another process based on the social environmental aspects listed in
five stages (organisation and structure, planning, implementation, monitoring and evaluating,
communication and reporting). As was pointed out by the previously recorded studies, the integration of Corporate Social Responsibility is gradual processes that have deep impact on the
company framework. The three other elements to be looked at accordingly are vision, strategic
plan, strategic measurement system and compensation system while keeping in mind the social
environmental dimensions in the strategic process, which considered crucial matter.
Furthermore, it is almost impossible to ensure the Corporate Social Responsibility objectives if
they are not measured and processed efficiently. The personnel in charge must set guidelines
for the social environmental aspects that can co-work with the firm set objectives and to have it
continually monitored for proficient productions. Internal motivations by key personnel to their
employers are to be highly considered for strategic alignments efficiency (Reynolds et al. 2006).

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Currently, the firms are reforming their policies and commencing programmes and newly developed strategies in Corporate Social Responsibility by modifying their procedures, arrangements,
and positioning what is called Corporate Social Responsibility officers (Wood and Logsdon 2002;
Hambrick and Chen 2008). Moreover, examinations of the Corporate Social Responsibility officers
duties applications verified their integration of Corporate Social Responsibility into the framework and activities of the company is capitalised upon their presence. It is appropriate from this
literature to conclude on how crucial the role of Corporate Social Responsibility officers in an
organisation and their efficiency influencing solving the social environmental issues.
With the Corporate Social Responsibility implementation conceptual model, it is meant to simplify the enterprises cooperation with their stakeholders and to analyse the various engagements
the companies have with the surrounding elements. Likewise, it can be seen as an evaluation
method to assess the central elements of Corporate Social Responsibility framework effectiveness. This model takes an emphasis on the implementation verge of Corporate Social Responsibility, placing aside theoretical and philosophical aspects. The model features are shown in Figure 6.

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Figure 6: Example Indices for the Corporate Social Responsibility Conceptual Model (Freeman 2003)
Business strategies became central part of Corporate Social Responsibility nowadays, demanding
companies to establish nonstop consideration of the environment and social issues and conclude
them in their business strategies establishing the systemise policies of Corporate Social Responsibility in their business and their social responsibility to the community as a main part of companies commitments.
The aim of this study is to analyse the Corporate Social Responsibility strategies and practices
followed by BAM organisation. In order to attain this, a qualitative method has been used with interviews together with extensive literature review of Corporate Social Responsibility frameworks
and concepts.

Analysis and Discussion

The analysis on BAM Corporate Social Responsibility is carried out based on both internal and
external environment. Business strategy as stated by Katavic & Kovacevic (2011) in relation between the internal skills of the company with the external situation. Internal Corporate Social

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Responsibility strategies are used in promoting internal stakeholders and for the well-being of
the employees to the betterment of environment they are working in (Wells 2013).
Employee Learning and Development
As per BAMs sustainability report 2013, BAM encourages their own employees to develop themselves by offering educational courses. BAM has built good relationships with various universities
in order to provide professional educational access to its employees. In addition, BAM has developed its own training centres like BAM Business School, which is based in Netherlands and BAM
Nuttall Academy, based in the United Kingdom. The following figure illustrates number of people
who are getting the advantage of BAMs educational programmes (Figure 7).

Figure 7: Attendances of BAM Business School / BAM Vocational School

Besides offering courses and training to its employees, BAM has developed a process in order to
evaluate, track, record, and improve the performance of its employees through the performance
management process, where the employees will discuss with their respective managers on annual basis a specific plan and targets in order to develop their personal performance.
Gender Diversity
Like any other construction company, BAM group is dominated by the male gender. Therefore,
the group has encouraged the presence of female in different departments in order to maintain
the female representation in the company. The Female Capital BAM was formed by group of
women as the main female association. The board meets with the Female Capital BAM periodically in order to discuss any obstacle encountered by the association and solve any challenge. In
Figure 8, the percentage distribution of male versus female at BAM is presented, while the percentage of female per level per country working for BAM is demonstrated. It is implied from the
two diagrams, despite that small proportion of female working in the company compared to the
male gender, there is good representation of female in the management level within BAM.

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Figure 8: Percentage of female per level per country working for BAM
External Corporate Social Responsibility Strategy
The external Corporate Social Responsibility strategy involved in the external environment such
as social, environmental and social community (Wells, 2013).
1. Construction Waste
BAM is considered as one of the leading construction companies in terms of construction waste
recycling. In 2013, the group has successfully diverted 89.2% of the construction waste from landfill as demonstrated in the figure below obtained from BAM sustainability report 2013.

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Figure 9: BAM Waste Production per destination category, BAM CSR report 2012-13
The waste statistics are collected and reported in quarterly basis in order to monitor the recycling
process. The group has targeted to reduce the amount of waste resulted from offices and construction sites as one of their man Corporate Social Responsibility objective. BAM has succeeded
in achieving this objective in 2012 where the generated construction and office waste was reduced by 15%. The excavation and demolishing waste were no included in the target since they
are not controlled by BAM and they are more related to the projects nature.

Figure 10: Waste production per source (in kilotons), BAM CSR Report 12-13

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2. CO2 Emissions
Similar to the construction waste, the company is reporting the CO2 emissions for each project
in quarterly basis as part of Corporate Social Responsibility monitoring. Reducing CO2 emissions
is one of the targeted Corporate Social Responsibility performances in BAM. Figure 11 summarises the CO2 emissions resulted by each source and sector per year. It also demonstrates that the
company has succeeded in monitoring CO2 for the offices, whereas further improvement is still
required in order to avoid the yearly increase in the CO2 emissions for the construction sites. One
of the strategies the company has followed to reduce CO2 emissions is by using renewable sources of electricity for the construction sites, site offices and asphalt plants. In the Netherlands, this
strategy has helped the company to avoid 17.7 kilotons of CO2 emissions.
Most of the CO2 emissions are generated from the construction sites due to the excessive use of
transportation to transport materials, staff, and labours in addition to the use of the construction
equipment. BAM aims to reduce the emissions associated with transportation by using more sustainable lease agreement for vehicles, using more electric vehicles whenever is possible, replacing the old vehicles with more fuel efficient ones. In addition, BAM has developed a professional
CO2 emission calculator which could transfer the kilometres travelled to tones of CO2 emission in
order to assess their projects worldwide in relation to CO2 emissions.

Figure 11: BAM CO2 Emissions, CSR report 12-13

3. Corporate Social Responsibility and Supply Chain
Most of the construction materials are supplied through supply chain process. BAMs objective
is to ensure that BAMs values and sustainability plans are adopted by the supply chain companies. These values are related to ethics, human rights, achieving zero harm, reducing water and
energy consumption. Therefore, during selection and procurement of materials, BAM assess the
suppliers and the supply chain management (Figure 12) in order to evaluate whether the process
complies with BAMs overall Corporate Social Responsibility policies and requirements.

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Figure 12: BAM Supply, CSR report 12-13

In addition, BAM hold several meeting periodically with their supply chain partners to ensure the
compliance of the supply chain process with BAMs Corporate Social Responsibility and sustainability plans. In general, this is a big challenge for BAM due to the cost consideration, where most
of the supply chain companies focus in reducing their production cost by using non-sustainable
materials in some cases and will not look at the lifecycle costing in order to maximise their profits.
On the other hand, BAMs objective is to raise the sustainability awareness and to notify the supply companies about the effect of sustainability in the reputation of their products.
4. Social Community
BAMs Corporate Social Responsibility towards the social local communities considered as one of
the leading examples. For instance, BAM International team working in Al Ain stadium has conducted various Corporate Social Responsibility activities targeting the local community. These activities were led by the most senior management working in the project. In addition, these activities had no significant cost compared to the benefits that they provided to the local community.
Interviews with Corporate Social Responsibility Representative for Al Ain Stadium Project
An interview was conducted with Project Deputy Manager (PDM) for Al Ain stadium construction
project, phase 2. PDM was assigned as the Corporate Social Responsibility manager in the project
looking after the implementation of Corporate Social Responsibility. He has extensive experience
in the construction field. The following are the interview questions which are addressing each
research question at the same time:
1. What are the Corporate Social Responsibility activities implemented by BAM in the previous
year and what are the planned Corporate Social Responsibility this year in your project?
2. How do you find BAMs performance in Corporate Social Responsibility towards the following
aspects?
Their own employee;
Suppliers and subcontractors;
Environment;

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 Clients; and
Social community;
Their own employee.
3. What are the challenges BAM is facing when applying Corporate Social Responsibility?
4. What do you suggest to encounter these challenges and enhance Corporate Social Responsibility within the company?
5. Do you believe there is enough support from the management to the Corporate Social Responsibility initiatives?
The answers to the interview questions discussed and explained in the recommendations and
conclusion.

Recommendations and Conclusion

BAM is one of the leading companies in developing Corporate Social Responsibility policies and
regulations. This was concluded from the awards that the company has achieved, where it was
listed by Sunday Times as one of the best companies to work for in 2011 and placed 14th in the list
of best green companies for the years 2011and 2013. BAMs Corporate Social Responsibility performance is also explained clearly and transparently in the BAM sustainability reports produced annually. In general, BAMs sustainability report covers all the necessary aspects of Corporate Social
Responsibility and shows that the company has a well advanced Corporate Social Responsibility
plans and policies. However, when investigating the implementation of the Corporate Social Responsibility policies as described in the annual sustainability report, it was concluded that the
company still need further improvement in the implementation of Corporate Social Responsibility. This means although the company has developed advanced Corporate Social Responsibility
policies and procedures, the company is not 100% implementing these policies as implied from
the interview conducted with one of the Corporate Social Responsibility senior officers in Al Ain
stadium project, PDM. In summary, PDM believes that there are lot of challenges that the team
has to encounter in order to implement Corporate Social Responsibility plans more properly.
These challenges are as following;
The busy nature of the construction site.
Full commitment from the senior management.
Lack of knowledge in Corporate Social Responsibility especially in the supply chain side.
Employees attitude towards Corporate Social Responsibility, as Corporate Social Responsibility is still not valued enough to be taken seriously.
The nature of employment in the construction sites, where a new team will be hired at the
beginning of the project and will be transferred to other projects once the construction is
completed.
Lack of effective Corporate Social Responsibility measurable targets except for CO2 emissions
and waste recycling where the company has developed an effective plan to measure and set
targets.
One of the good examples to look at when evaluating Corporate Social Responsibility is the learning and development plan for employees which are described clearly in BAMs sustainability report (BAM report, 2013). The report demonstrates that the company provides continuous learning
and training programs to their employees. However, investing on the employees education and
training is subject to the BAMs financial performance, where in 2014, the company has issued a
memo from the top senior management asking to stop all kind of training in order to cap up the
financial loss the company has made in one of its projects.

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Katavic & Kovacevic (2011) has clearly pointed out that when the motivated managers are really
committed and behave ethically towards the Corporate Social Responsibility strategic planning
there were long term advantages to the Corporate Social Responsibility strategic achievements.
Therefore, the serious commitment from senior management towards Corporate Social Responsibility is the main key to improve Corporate Social Responsibility implementation and encounter
the challenges listed above.
There are also other recommendations to improve the overall Corporate Social Responsibility
within BAM as explained by PDM and listed below;
Develop specific method to track and measure companys Corporate Social Responsibility performance and monitor the supply chain process;
Raise awareness among the employees in order to highlight the importance of Corporate Social Responsibility;
Allocate Corporate Social Responsibility officers in the projects sites to monitor the process,
educate and advise the other staff about Corporate Social Responsibility, so that eventually
the whole project team will have a better understanding of Corporate Social Responsibility. It
is also the responsibility of the Corporate Social Responsibility officers to report directly to the
senior management periodically to ensure that Corporate Social Responsibility is implemented strictly on site;
Set clear and measurable targets for Corporate Social Responsibility; and
Develop a supply chain ranking procedure to evaluate and rank the supply companies performance in terms of sustainability.

Acknowledgements
We would like to acknowledge the support received from BAM members for this research especially PDM on conducting interview.

References
BAM plc., 2013, Sustainability Practices, Available at: http://www.bam.eu/documents/sustainability-report-2013 (Accessed 2nd Dec 2014).
DUBBINK, W, GRAAFLAND, & LIEDEKERKE, L 2008, Corporate Social Responsibility, Transparency and the Role of
Intermediate Organisations,Journal Of Business Ethics, 82, 2, pp. 391-406, Business Source Complete, EBSCOhost,
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November 2014.
KATAVIC, I, & KOVACEVIC, A 2011, Integrating Corporate Social Responsibility (CSR) into Business Strategies and Practice, Proceedings of the International Scientific Conference, Juraj Dobrila University of Pula, Department of Economics & Tourism Dr. MIJO MIRKOVIC, pp. 1451-1472, Business Source Complete, EBSCOhost, viewed 26 November
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MILLIMAN, J, FERGUSON, J, & SYLVESTER, K 2008, Implementation of Michael Porters Strategic Corporate Social Responsibility Model, Journal of Global Business Issues, 2, pp. 29-33, Business Source Complete, EBSCOhost, viewed 2
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ZHAO, M 2012, SR-Based Political Legitimacy Strategy: Managing the State by Doing Good in China and Russia,Journal Of Business Ethics, 111, 4, pp. 439-460, Business Source Complete, EBSCOhost, viewed 26 November 2014.
LUCIAN SIRB 2013, The Prediction of Successful Probability of CSR and Sustainable Development Strategy Implementation within Roia Montan Project using Fuzzy Logic.Informatica Economic. 17 (2), 130-147.
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International Conference | Bari - Lecce, Italy

Session V - VI

ISTANBUL TOWARDS SOCIAL SUSTAINABILITY:

A REVIEW ON ISTANBULS SOCIAL CONDITIONS
AND DEVELOPMENTS
Lama A. Mouileq1 & Hasim Altan1
1 Sustainable Design of the Built Environment, Faculty of Engineering & IT, British University in Dubai, UAE,
[email protected] / [email protected]

Abstract
A study of sustainability needs to consider the role of all forms of capitalnatural, biological, social, technological, financial, culturaland the complex ways in which they interact.
All forms of capital derive their value, utility and application from human mental awareness,
creativity and social innovation. That makes a human feature, including social, the vital determinant of resource efficiency and sustainability. The human mind and social modernization
provided these factors their values, and utility to apply their applications. Humanitys achievements in solving the fundamental challenge of sustainability in the physical stage propelled
the evolution to the critical stage. Humanity is presently in the process of solving these issues
by the evolution of more general social formations that extends freedom, opportunity, and
security to all. The main purpose of this paper is to investigate and explore the recent and
the future sustainable developments related to the situation of human behavior and social
knowledge in the city of Istanbul; Turkeys largest city, by collecting and investigating the sustainable development challenges, strategies, and practices in parallel with the human capital.
The focus of this paper is to assess the actions, which Istanbul has realized during its sustainable development. Moreover, in this process, to reveal the policies, which will apply in the future, to determine its vision, and to evaluate the possible contribution of the city of Istanbul
to solve its social problems by reaching for that high level of sustainability for the social factor.
In conclusion, the paper demonstrates the way to sustainable development passes through
powerful strategies and recommendations. However, without the awareness of restrictions
to such development and knowledge of international models proactive approach cannot be
applied.

Keywords
Social Factors, Sustainable Development, Istanbul Sustainability, Human Capital, Social
Knowledge, Healthcare, Education.

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Introduction
Istanbul believes in a human centered development. Sustaining the existence of human beings
in a strengthened way is only possible by realizing the principles of equity and sustainability.
According to Istanbul Metropolitan Municipality Environmental Protection and Control Department,a sustainable social life can only be a meaningful part of national and international agenda
if it presents a more honored life to people. In other words, an economic structure which places
more emphasis on environmental values can only be acceptable and applicable to the extent that
it contributes increasingly to human development for present and future generations.
The nature of Istanbul has changed over time by the human, and all the impacts of those changes have led to something called Unsustainable Growth. If we take a close look of the human
and environment relationships. Glacken (1967) mentions that the cities are examples of nature
conquered by humans. The spirit of the city includes the connection of all the capital forms, and
environmental characteristics have changed over the last 3 years.
Rapid development under the definition of urbanization leads to ignoring the environmental
concerns and break the natural cycle to some extent (Hotta 2004). Istanbul the heartbeat of Turkey is one of the most dynamic and largest cities of Turkey, with around 15 million dwellers, and
it is the best-known example of transcontinental cities that covers parts of Asia and Europe geographically.
To put all of the following data and articles into broader perspective, first needs to be mentioned
as the main driving forces of any society, such as Rapidly Population, Refugees, Education, Healthcare, and Employment; these are considered in view of critical transitions in the evolution of human society. Second, inspired by a group of reports and articles which concetrate on the sustainble social conditions, problems and develompent in the city of Istanbul; for this, it is approached
to set and summirize the social challenges with thiers develompents plans and statigises towards
a sustianble society and human capital. Finally, to conclude that by demonstrating this, the way
to sustainable development passes through powerful strategies and recommendations. However, without the awareness of restrictions to such development and knowledge of international
models proactive approach cannot be applied.
The aim of this paper is to assess the actions which Istanbul has realized during its sustainable
development process, in order to reveal the policies which will apply in the future, to determine
its vision and to evaluate the possible contribution of Istanbul to solve their social problems
reaching by that a hight level of sustainability for the social factor.

Methodology
The motivation for selecting Istanbul as a case study for this study is that, Istanbul shows a highly
sincere, solution-based, law and justice-oriented approach to both regional and global issues.
Its approaching to international issues, global and regional matters with human-centered, conscience-oriented principles, are advocating the supremacy of law, not the law of the superiors.
Besides prevention of ongoing war and conflicts, and establishment of peace, Istanbul attaches
equal importance to sustainable development, equitable distribution and particularly the alliance of civilizations and believes wholeheartedly that a different world could be built with a belief
in the richness of the differences.

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Figure 1: Conceptual framework

Social Forces
Rapid Population Growth
Istanbul has grown very quickly over the past one hundred years, although it has always had a
large population. In 500AD, Istanbul had a population between 400k and 500k superior in Rome
as the leading ever capital in the world at the time. In 2014, the population of Istanbul has an
estimated of 14.2 million. High rates of urbanization had led to main problems of urban disease,
insufficient housing, traffic blocking and inadequate infrastructure, with broken footpaths and
narrow roads. Evidence of messy urban planning and redevelopment appears piecemeal because
of the pattern of ownership of land (Fig.1).

Figure 2: Istanbul population growth from (1927-2007) (PRB 2013)

Refugees
The first Syrian refugees began to cross into Turkey in April 2011. The number of Syrian refugees
in camps and residing in the city of Kilis has, for example, almost surpassed the population of the
city itself with all the challenges that come with it. Major cities of Western Turkey such as Ankara,
Antalya, Izmir, Istanbul, Konya and Mersin have also attracted large numbers of Syrian refugees
(Fig.3).

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Figure 3: The numbers of the UN-registered Syrian refugees in Turkey (UNHCR 2014)
According to data collected by Support to Life (STL) team in Istanbul, there are up to 15,000 Syrian
families in Istanbul, most of them having arrived since the second quarter of this year. The main
concentration of Syrian refugees in Istanbul is in Fatih, Zeytinburnu, Bayrampasa and Esenler 5
districts, with Syrians families having settled in Gaziosmanpasa, Bagcilar, Basaksehir and Kucukcekmece. The primary reason for the choice of location for settlement is linked to the existence
of support mechanisms as well as income opportunities. Community networks among Syrians is
an important factor for the decision to settle in a particular location once families have arrived in
Istanbul. Syrian families choosing to settle in Istanbul have explained increased rents in the border provinces and a lack of opportunities for income as the two main reasons for their decision.
The United Nations High Commissioner for Refugees (UNHCR) Turkey Syrian Refugee Daily Sitrep
mentioned in its 2014 report that, Syria and Turkey are very different countries with significant
cultural, societal, and historical differences that are as anticipated reflected in their educational
systems and curricula. For example, while older girls and boys learn in sex-segregated governmental schools in Syria, boys and girls study together in Turkey. Thus, kids who receive an education based on the Syrian curriculum are less possible to adapt quickly and function in a Turkish
environment. There are different classes of Syrians currently settled in Istanbul, ranging from the
relatively better off families to Syrian Roma groups whose children are begging on the streets of
Istanbul, particularly in the Eminonu neighborhood.
Education
Education in Turkey has been developed over the last 25 years, but there is still a difference between females and males, as well as countryside and urban areas. Istanbul has a more educated
labor force compared to the rest part of the turkey as there is better availability of higher educational facilities, such as Universities.
Children between the 7 and 12 years old are obligatory by law to go to the school. Vocational education is for free as well as specialized schools for the deaf, blind, mentally retarded, orphans and
destitute. Important progress has been achieved in the quality and quantity of education services
in order to improve human capital, which is one of the most important concerns of sustainable
development. Due to the improvements in the education and literacy levels of women, active
labor programs and employment incentives for women, the participation of women in labor has
been increased from 23.3 percent to 28.8 percent between 2004 and 2011.

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Healthcare
The health of the population had improved over time in Istanbul, with a noticeable an increased
life expectancy and decrease in Infant Mortality Rate (IMR).Nowadays, health problems have been
raised by smoking and polluted environment. Medical services are well developed throughout
the city. Government run hospitals and clinics are operated by the (Red Cross), with the cheap
cost of services. As a result of making access to health services easier, initiation of general health
insurance system and improving the social and physical infrastructure, the number of applications to doctors reached 7.7 as of 2011 which were 3 in 2002.
Employment
As mention in Turkey 2014 report by (Karakas et al. 2014). A chain of regulations known as employment packages have been enact between 2006 and 2011 in order to raise employment and
reduce unemployment. According to these regulations, actions to decrease labor costs, raise the
employment of young population, women and disabled people, develop energetic labor programs, increase unemployment expenses, build up the relation between education and employment, decrease informal economy, assemble subcontractor relations and reduce the formalities
of preliminary a business enacted. Positive possessions of these reforms on employment are anticipated to increasingly continue in the forthcoming periods. Unemployment speed was 10.2 %
in 2006 reached to 14 % in 2009 as a outcome of the global economic crisis (Fig.4).

Figure 4: Unemployment rate between 1996-2011 (Karakas et al. 2014)

For effective and efficient implementation of active labor programs, job and vocational counseling was initiated for every unemployed person. In this context, 2,817 counselors started to work
in 2011. Labor participation rate, which was 53.9 % in 1992 decreased to 47.9 %until 2009, and started to raise in 2010 and reached 49.9 % in 2011. With the constitutional alteration in 2010, Economic
and Social Council was recognized and collective with community employees were enabled. This
provides an important opportunity for improving social dialogue and built up social consent for
labor peace.
Sustainability Package
Challenges
Sustainable social development is a complex concept (Weingartner and Barber 2010) made even
more so by the fact that there is no commonly agreed definition of sustainability. Istanbul is going throughout a process, in which international problems need international solutions. Today,
countries problems cannot be set aside within the limits; getting further than the boundaries,

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they change the region, and even the world. Nowadays, in our globe, the Social problems attract
more interest as poverty, hunger, lake of education, population growth, are waiting for worldwide
solutions with an international perception. obviously, all countries are undergoing an analysis
of humanity, where the globalization of principles and conscientious tasks have become vital
requirements besides principal.
Turkey especially Istanbul shows an extremely genuine, resolution-based, regulation and justice-oriented move toward to both local and international issues. It is approaching worldwide
issues, worldwide and local matter with mankind being-centered, conscience-oriented values
advocates the domination of law, not the law of the superior. Istanbul attaches equivalent importance to sustainable development, fair division and mostly the union of civilization and believe
enthusiastically that a diverse humankind could be built with an idea in the wealth of the difference.
Strategies and Actions
It has been a 25-years past since sustainable growth was distinct by the Brundtland Report and
two years since that humankind leaders reached an agreement on a more responsive approach
to environment and growth. Within this era, while positive developments were achieved in many
fields such as:
Fighting poverty by creating employment opportunities.
Sustainable apply of natural resources.
Improving the excellence of education and health services and rising ease of access to these
services.
Increasing the accessibility to clean water, safe energy sources and food.
Supporting the disadvantaged segments of the society, especially women and youth, for a
grateful life.
It is not possible to say that global, international and local improvements are sufficient enough.
It is a fact that sustainable development schedule created by world leaders in 1992 is still valid
for the needs of todays world. Nevertheless, developments and changes in the world in last two
decades point out the need to strengthen and support this agenda. Ng, M (2005 ) mentioned
that with the impact of globalization, any problem in a corner of the world affects lives in other
geographies easily; the benefits of globalization can spread rapidly if right policies are developed
regarding the opportunities of globalization. The problems like economic crises, environmental
problems, natural disasters and infectious diseases are not local anymore. Advanced transportation and communication technologies affected social and economic life deeply; knowledge and
experience can be shared easily; and it is possible to increase the quality of many services, prevent accidents or take precautions earlier with the help of these technologies. Advancements in
science and technology have served to increase the quality of life. On the other hand, despite the
precautions taken until today ecological boundaries of the world, which are degraded by human
activities, still face serious threats. These improvements did not change the rationale of the sustainable development attempt accepted in 1992; on the contrary they necessitated determining
new methods and instruments for fighting against the problems.
Social Strategies and Developments
Social policies have been regarded as a reverberation approach to promoting human values
and improving environmental quality (Adams and Hastings 2001). In this context, considerable
achievements regarding poverty eradication, better income distribution, extension of social protection measures and services for disadvantaged, provision of equal opportunities to access basic

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services such as education and health were recorded through implementation of project and
policies.
Significant developments have been registered in the institutional structure, social services, and
financial sustainability to improve the social security system. By means of the social security reform, primary aim of which is to reach an equitable, accessible, fiscally sustainable social security system, a substantially comprehensive reform was realized by introducing one pension and
healthcare system encompassing the whole population, incorporating the social security institutions and providing unity in standards and norms (Oner and Saritas, 2005; Ercet 2012; Kuruoglu
and Ergen 2000). Hence, a significant contribution is provided with regards to better income distribution and poverty reduction (Morse and McNamara 2009).
In Istanbul, an important model was created which regards human development, along with economic development, as the fundamental dynamic of medium and long-term development in the
last 10 years. This model has been realized through 3 channels:
With macroeconomic policies, implementations have been realized in many fields such as inflation, tax, social security and aids.
With sectoral policies, equal opportunities were provided for poor and disadvantaged people
with applications in education, health, housing, energy, and infrastructure.
With direct social aids programs for the poor, basic daily needs are covered as well as skill acquisition and business development programs were applied.
Social Support Program:
Social Support Program (SODES) has been initiated in underdeveloped regions of Turkey as a
people oriented program which activates local dynamics, regards individuals as a value and offers
opportunities, with which they can express themselves, improve their abilities and exhibit their
skills. This incentive attempts to prevent poverty culture with the aim of enabling sustainable
human development of the poor.
The aim of SODES which was initiated in 28 with the motto Tiny Touches, Realizing Dreams is to;
Share prosperity among different parts of the society in an equal way.
Enable the participation of different parts of the society into development.
improve social capital.
provide social integration.
SODES which was initiated in 9 cities in 2008 and is extended to 3 cities in 2012. During 2008-2011,
20 projects have been applied in order to increase participation in social life and employment
opportunities with the projects created by local actors on local level and to help children, young
people and women express themselves better with cultural, art and sports activities. Within the
scope of SODES, occupational education and guidance programs for children, young, women,
disabled and poor people who have difficulty in participating in social life are supported, microloan applications and social utility programs have been developed. With the study centers and
courses which were formed in order to provide equal opportunities in education, the educational success of tens of thousands students has been increased. Within the frame of this program,
courses in the fields of culture, arts and sports, culture and art centers, libraries, movie theaters
and sports fields have been built and sports tournaments, festivals, and activities have been organized. Especially the children, women, and the young people had the chance to exhibit their
abilities, their self-confidence was strengthened and they acquired habits both good for themselves and the society.

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During 23-2011, important progress has been made in health services. The number of intensive
care beds has been increased to 2,977 from 2,214, and the number of full-time beds has been increased to 38,272 from 6,839. With only public investments, 544 hospitals and new buildings and
1,467 first step health facilities have been established. While the accessibility to health services
and medication was improved, costs were decreased considerably and in this period the number
of people who pay their medicine and health expenses themselves decreased to 11.1 percent from
32.1 percent.
Protective and fundamental health services were improved considerably during 23-2011. In this
period, infant mortality rate was decreased to 0.9 percent from 0.29 percent and mother mortality
rate was decreased to 15 per thousand from 61 per thousand. The rate of births at hospitals has
been increased to 94 percent from 69 percent; infant monitoring has been increased to 99 percent from 62 percent, and vaccination rate has been increased to 97 percent from 78 percent. As a
result of these improvements in health indicators, expected life span at birth has increased to 75
years from 7 years (Fig.5).

Figure 5: Infant mortality rate (per thousands) (Morse and McNamara 2009)
Health Transformation Program:
Health Transformation Program was initiated in 2003 for effective, productive and reasonable
health services and to allow financial sustainability for a health organization. Within some of
these points;
Family Doctor application was initiated.
The scope of the vaccination program was broadened.
Free mobile health services became available in all country areas.
The scope of newborn screening and support programs were extended.
Free nutrition supplements support for pregnant women and babies were provided.
Education Actions and Strategies
Important progress has been achieved in the quality and quantity of education sector to improve
human funds which is one of the most important concerns of sustainability. Within this border,
the proportion of the financial plan allocated from public resources for all stages of education to
GDP was 2.25 percent in 2001, this rate enlarged to 3.56 percent in 2011. The biggest distribute in
the public budget has been allocated to the education sector for past four years. Moreover, a system was developed which enable side and upright transfers upon on lifelong education standard
according to the common and occupational education preferences after major education (Chan
and Lee 2008).

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Important progress has been achieved in terms of access and enrollment rates in higher education level. In addition to the existing ones, 50 public universities and 39 foundation universities
were founded during 2003-2011. Total number of universities reached to 165; in which 103 are public and 62 are foundation universities. In 2001-2011, the seat capacity of formal higher education
was increased by 110 percent. Following these developments, formal enrollment rate in high education reached 38 percent in 2010-2011 educational year which was 12 percent in 2001. If open
higher education is added, the same rate is 72.5 percent.
FATlH Project:
In this context, FATlH Project aims to provide every learner with a tablet PC and each school with
a board type interactive smart board with limitless broadband internet admission will allow fairness in opportunity for the effectual utilize of information and communication technologies in
school. One of the main decision taken in order to raise the superiority and productivity of the
mankind capital, which is one of the most major basics of sustainable development, is the create
of FATIH Project.
T.R. Ministry of Development (2012), highlighted that the major objective of this project is to improve the quality of education system and teaching and to provide equivalent opportunities. In
this context, it is embattled to make information and communication technologies one of the
most important tools of the educational process. Hence, students are being acquainted with the
technology and its perform early as well as making them use these technologies efficiently (TRMOD 2012). FATIH project is not only an education project. This project will also speed up the
process of transformation into the information society. In the long run, it will help the transition
to elevated value-additional elements.
Critical review
No one can deny the truth of that the numbers of refugees is increasing every day and the Turkish
government and associations should work hard together to put more practical and sustainable
solutions to reach its sustainable plan by the next coming years.
According to the education situation ministry of education should put a better plan to reach the
best situation in sustainable education, by building more schools and universities on the city side
will increased the percentage of the educated people and will save the Turkish youths time and
money, trying to find schools and universities on the central Istanbul which lead to the case of the
un sustainable growth (Refer to table 1).
On the other hand the health and care problems might be improve more by:
The number of public health employees must be increased and adapt it to the employee quality systems to insure the employee qualifications.
Quality of patient room and hygienic services should be increased in all private and public
hospitals.
Medicine and medical equipments supports should be provided for hospital patients for free.
Sustainable development in Istanbul city is experiencing its very initial decade compared to globally grown businesses. So, before the maturation there is a suitable environment for proactive
approaches to the market. Exponentially expanding human settlement in metropolitan Istanbul
already makes sustainable solutions essential.
Finally, the fundamental philosophy of sustainable development is to ensure equitable oppor-

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tunities regarding development benefits for current and future generations by evaluation of the
interactions between environmental, economic and social issues in an integrated manner (Refer
to table1).
Table 1: Public institutions and their duties regarding sustainable development (TRMOD 2012)

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Conclusions
To conclude, this paper demonstrates that the way to sustainable development passes through
powerful strategies and developments plans. However, without the awareness of restrictions to
such development and knowledge of international models proactive approach cannot be applied. In recent decades, humanity has recorded remarkable successes while placing raising the
load on our environment. The main challenge now facing humanity is to find solutions to strap
up all available forms of principal in a manner that support human well-being and sustainable
growth for Turkish citizen.
The study and analysis summarize that the re-development of human capital is the critical determinant of long-term sustainability and that efforts to accelerate the evolution of human consciousness and emergence of mentally self-conscious individuals will be the most effective approach for ensuring a sustainable future. Education is the primary lever and the human choice
matters.
The main challenge now facing humanity is to find solutions to strap up all available forms of
principal in a manner that support human well-being and sustainable growth for Turkish citizen.
Istanbul, as a developing city, will maintain its growth by increasing social benefits of sustainable
development and by establishing an economic base to support the sustainable life style with respecting the social policies and justices. Sustainable development in Istanbul city is experiencing
its very initial decade compared to globally grown businesses. Thus, before the maturation there
is a suitable environment for proactive approaches to the market. Exponentially expanding human settlement in metropolitan Istanbul already makes sustainable solutions essential.
Furthermore, in this case study, Istanbul sustainability plans provide equal opportunities for
whole society and cultural diversities are regarded by protecting basic rights. Policies and approaches that encourage the equitable, safe, healthy, inclusive and democratic social structure
are realized. Thus, considerable progress and strategies was made towards social inclusion and
equity as shown in below table (Fig.6).

References
ADAMS, D., and HASTINGS, E.M., 2001, Urban renewal in Hong Kong: Transition from Development Corporation to
renewal authority. Land use Policy, 18(3), pp. 245-258. doi: 10.1016/S0264-8377(01)00019-9.
CHAN, E.H.W., and LEE, G.K.L., 2008, Critical factors for improving the social sustainability of urban renewal projects.
Social Indicators Research, 85(2), pp. 243-256. doi: 10.1007/s11205-007-9089-3.
DINCER, O.B., FEDERICI, V., FERRIS, E., KARACA, S., KIRISCI, K., and CARMIKLI, E.O., 2013, Turkey and Syrian Refugees: The
Limits of Hospitality, Brookings, Washington DC.
ERCET, C., 2012, Strategic Plan and Environment Plan (Cevre Duzeni Plani) in Turkey in the Context of a Question: Can
Environment Plan be combined to Strategic Plan in terms of Preparation and Practice to Get a New Planning
Type that is Strategic Spatial Planning, AESOP Conference 2012.
FERRIS, E., KIRISCI, K., and SHAIKH, S., 2013, Syrian Crisis: Massive Displacement, Dire Needs and a Shortage of Solutions, Brookings, Washington DC.
HOTTA, Y., 2004, The Transnational Politics of Ecological Modernisation: An analysis of the formation of transnational
authority in global environmental and industrial governance, with special reference to the Zero Emissions Initiative in Japan. Sussex, UK: University of Sussex.
ISTANBUL METROPOLITAN MUNICIPALITY (IMM), 2009, Istanbul Air Quality Strategy, Istanbul Metropolitan Municipality Environmental Protection and Control Department. Bornova / Izmir.

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KARAKAS, C., GENCKAYA, O., LOGAN, S., and KARADAG, R., 2014, Turkey 2014 Sustainable Report.
KIRISCI, K., 1996, Coerced Immigrants: Refugees of Turkish Origins since 1945, International Migration, 34(3).
TR MINISTRY OF DEVELOPMENT (TRMOD), 2012, Turkeys Sustainable Development Report: Claiming the Future, Ministry of Development, June 2012, Ankara.
MORSE, S., and MCNAMARA, N., 2009, The Universal Common Good: Faith-based partnerships and sustainable development. Sustainable Development, 17(1), pp. 30-48. doi: 1o.1002/sd.368.
NG, M., 2005, Quality of life perceptions and directions for urban regeneration in Hong Kong. Social Indicators Research, 71(1-3), pp. 441-465.
ONER, M.A., and SARITAS, O., 2005. A systems approach to policy analysis and development planning: Construction
sector in the Turkish 5-year development plans. Technological Forecasting and Social Change, 72.
PRB, 2013, 2013 World Population Data Sheet, [Accessed 18 April 2014]. Available at: http://www.prb.org/pdf13/2013-population-data-sheet_eng.pdf.
UNITED NATIONS HIGH COMMISSIONER FOR REFUGEES (UNHCR), 2014, Turkey Syrian Refugee Daily Sitrep, Support to
Life / Hayata Destek Dernei.
WINSTON, N., 2010, Regeneration for sustainable communities? Barriers to implementing sustainable housing in urban
areas. Sustainable Development, 18(6), pp. 319-330.

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International Conference | Bari - Lecce, Italy

Session V - VI

SUSTAINABILITY PROPOSAL FOR

ENVIRONMENTAL IMPACT OF POPULATION,
AFFLUENCE AND DEVELOPMENT ON INDONESIA
Mahbouba M. Karima1 & Hasim Altan1
1 Sustainable Design of the Built Environment, Faculty of Engineering & IT, British University in Dubai, UAE,
[email protected] / [email protected]

Abstract
The growth of a country depends on political factors, economic activity, and natural resources. Countries with rich natural resources such as fossil fuel, gold, forests, land are fortunate
to have natural resources supporting the countrys economy. Maintaining these natural resources need good strategic planning to preserve and manage its growth. Growing economy
raise living standards for people nonetheless pollution and exploration took on new dimension leading to massive population growth worldwide and economic expansion, Hoewever,
this sadly also brought all the environmental problems with it. This paper aims to look into
the environmental impacts caused by population, affluence and development in Indonesia.
A sustainable package has been proposed in an attempt to solve the key problem of poverty,
which has a direct impact on Indonesias environmental degradation. The proposed sustainability package targets three key factors of the countrys sustainable development: (1) Stable
number of population (2) Stable resource consumption (3) Stewardship. In order to better
tackle the issue and to provide better solutions, a systematic review and analysis was carried
out looking at this as a recurring cycle that starts with high fertility rates and ends with environmental degradation, which is also determined to be the root of the problem. The paper
highlights the importance of stewardship and its role in promoting recourse management
that leads to control the consumption pattern. Moreover, the study will present a series of
case studies as a reference to the sustainable package.

Keywords
Social and Economic Sustainability, Sustainable Cycle, Population Growth, Sustainable
Stewardship, Environmental Degradation.

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1. Introduction and Background

The use of natural resources was introduced by the burst of industrial revolution, inventions and
technology in the 1700s, using coal as the energy source and economic growth. Growing economy raised living standards for people but on the other hand, pollution and exploration took on
new dimensions. Leading to massive population growth worldwide and economic expansion,
but this sadly also brought all the environmental problems with it (Fig.1).

Figure 1: Sustainable development (Vallance et al. 2001)

Indonesias geographic location among other countries and continents, created two bio geographic regions (Indomalayan and Australasian) supporting biodiversity of animal and plant life
in inner rain forest areas and coastal areas. However, the critical location is responsible of many
natural disasters, such as earthquakes, floods and forest fires. For example; Indonesia was one
of the countries which were greatly affected by the enormous earthquake struck in the Indian
Ocean in December 26th of 2004, which generated a large tsunami that devastated many Indonesian islands (Fig.2).

Figure 2: Tsunami effect in Gleebruk city, Indonesia 2004 (Audio Visual Services 2006)

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Indonesia is considered the worlds third fastest growing country after China and India. World
Bank data stated that in 2012, population in Indonesia was 256.9 million, GDP of 878 billion US
dollar. As a developing country, Indonesias economy is centred on agriculture and industry. Unfortunately, the expense of development had negative impacts on the environment such as air
pollution, deforestation and the depletion of peat land, making Indonesia worlds third largest
emitter of green house gases. The average income rate in Indonesia is lower middle. In a developing country high population is considered an obstacle for the countrys economy, making it
harder for the income, therefore income gaps are reflected on both urban and rural areas of the
country.
This paper draws attention to the long-term consequences of population density in Indonesia
and its relation to the current environmental problems. Indonesias economy is gradually progressing, and this has created a gap between the rural and urban areas, causing the low-income
rural areas to fall closer to the poverty line. According to (Rural Poverty Portal 2014), the International Fund for Agricultural Development (IFAD) states that half the population in Indonesia live
above national poverty line, which puts this category exposed to be massively affected by food
price increase, environmental hazards, health risk, which can drive them to poverty.
As mentioned earlier, high fertility rate is an important part of the cycle, which has a huge impact
on the environmental degradation. In the cycle this not only increases poverty, but also at the
same time increases the burden on the economy and the environment with more people to feed
and a higher environmental footprint. Indonesia as an Island is rich with natural resources, which
has the capability to achieve great agriculture efficiency and incorporate that into its economy
through its people and government in the form of stewardships. For example, people can be encouraged to make better use of the land with the help of government aid in terms of rebuilding
environment degradation and use of sustainable business practices. This would in turn also help
the global impact of greenhouse gas emission.

2. Methodology
Data was collected from various sources of literature review and updated resources (such as
World Bank) for accurate details of Indonesias economy and environmental resources. The main
objective of this paper is to first identify the consequences of rapid urbanization in Indonesia.
Stewardship strategies and planning will be presented based on case studies from developed
and developing countries with similar environmental concerns.

3. Problem
Being the third largest country in population, Indonesian not only suffers from over population,
but also due to the instability of the economy and low income, many Indonesian had to choose
work than education. Lack of stable job opportunities and good income forced many Indonesian
to immigrate to other neighbouring countries. Moreover, children quit school and work to support their families. Population density in urban and rural areas and income difference between
the people living in urban developed parts of the country and rural area. World Bank stated that
in 2009, 14.2% of citizens in Indonesia are living in poverty.
By far, the most human caused disaster in Indonesia is deforestation. As mentioned earlier, Indonesias most important natural resource is forests. 463,000 square miles of forests covers Indone-

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sia. Recent reports state that 40 to 55 % of Indonesias timber is collected illegally from protected
areas. In 1960s, around 82 percent of Indonesia was forested, however, with deforestation taking
place as the country starts to develop; forest cover reduces to 52%. Following the deforestation
rate, it is expected that by 2022, 98% of lowland forests will be demolished (Fig.4).

4. Causes and Challenges

Development and economy of Indonesia was under pressure to adapt strategic politics related
to the wealth of the country and the preservation of the islands natural resources, especially with
the raise of population density during 1970s and 1980s and other natural disasters like soil erosion, floods and other concerns. The main challenge facing Indonesia is the increasing pressure
of population demand associating with inadequate environmental management that affects the
economy and the underprivileged communities in Indonesia.
Furthermore, the rules to protect natural resources and environmental policies was inadequately
implemented, this could be due to the common ideology of preferring income increase; by expanding the urban cities and produced capital. Another challenge is to reduce the footprint of the
country and green house gas effect, by taking serious steps and applying penalty on those who
commend violations against environmental law, such as illegal logging.
Although some of the environmental disasters are done by nature such as earthquake, flood and
volcano, nonetheless human activities have a role in causing these hazards. World Bank estimated
the CO2 emissions in Indonesia (metric tons per capita = 1.8) in 2012, as a result, Indonesia is a large
greenhouse gas emitter, 80 percent of sources are from deforestation, logging and forest fires. As
such, other natural disasters accrue; soil erosion, river-bed siltation, water pollution caused by agricultural pesticides, off-shore oil drilling, marine pollution caused by plant fertilizers, Air pollution
caused by forest fires and industrial outcome.

5. Sustainability Package for Population Growth in Indonesia

Three power capitals measure the wealth of a nation: (1) The produced capital; (2) The natural capital; (3) The intangible capital. The sustainable package presents solutions that address the major
problems of population growth in Indonesia. This section will elaborate in details on demographic transition, food security and sustainable stewardship. However, the focus will be on sustainable
stewardship, promoting recourse management and control the consumption pattern.
Demographic Transition
Demographic transition is referred to the transition of human population from high fertility rates
and high death rates to the condition of a low birth rate and low death rate. This transition may
accrue under the influence of economic or social development, developed countries (Fig.3).
Demonstrates the demography transition chart in developed and developing countries, it is evident that in developed countries birth rates and death rates decline together resulting in a low
stable rate. On the contrary, in the developing countries both rates are in a constant high speed
(level) until mid 1900s, where birth rates decline as a result of medical breakthrough, while birth
rate remained high resulting in rapid population growth.

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Figure 3: Demography transition in the developed and developing countries (Wright and Boorse
2014)
According to the World Bank between the years 2000 to 2010 economies which are referred to
as high income have grown at the rate of 1.8% on a yearly average while the countries that are
known as low income have had a much quicker growth of 6.8% on a yearly average. Therefore, the
recent trends support the fact that developing countries are starting to gain a higher share of the
global economy in comparison to the lower growth rate of developed countries.
Thus, it is apparent that population growth in developing countries such as Indonesia is a huge
obstacle in the governments struggle to improve the economy power. Population growth must
be dealt with in order to achieve progress in reducing poverty and promoting economic development (Fig.4).

Figure 4: Projecting future population in Indodesia. (Wright, R. & Boorse, D. 2014)

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This section will present some solutions to the rapid growth of population in Indonesia focusing
on below aspects:
1. Emphasis on family planning and population policies.
2. Educating women: Allowing women rights to health care, education and employment.
3. Create an economic and social climate in which people of their own volition, will desire to have
fewer children.
To accomplish demographic change that picks up the economic development and lowers the
population growth, it is vital to first provide convenient solutions to poverty. Although Indonesia
has witnessed major movement towards development and enlarging the urban areas, due to
the instable or slow raising economy, people living in the urban areas still suffer from high living
standards that draw them closer to the poverty line. In a developing country, poverty is the consequence of low productivity, corrupted and inefficient government and at an unfair distribution
(gap between the rich and the poor members).
World Bank claimed that Indonesias land area consist of forestlands for more than 70%. Recent
studies confirmed that around a quarter of Indonesian (50-60 million) 80% of them live in rural
parts of the islands, 20% live under poverty line. Poorer household in these rural areas are deprived from certain property rights, placing them in a constant pressure to relocate to banished
land. Thus, it is essential to highlight rural poverty. United Nations (2010) published a study about
overcoming population growth, among successful countries; Bangladesh witnessed the most
drastic change in population. Fertility rates in Bangladesh dropped 60% from (1970 to 1975), from
6.9 to 2.4 in (2005 to 2010) children per woman.
Agriculture (Food Insecurity)
Establishing the serious impact of poverty, Indonesia must create wide range of employment opportunities for the various categories of its society. This section prompts a main factor for the new
cycle (sustainable package). Targeting the poorer societies in rural areas, agriculture profession
needs to be viewed in a new perspective that will lead to specialization of labour as long-term
settlements.
The following factors establish the importance of agriculture:
Rehabilitation of the land which is not new to the society as Indonesia depends on agriculture
and development, however due to miss guidance of consumption people used the land inefficiently led to environmental degradation. Therefore, agriculture is the best way to rehabilitate the
damage caused to the land. This can be achieved through going back to employing the available
natural resources such as forests, grasslands, fisheries, reefs and waterway resources. Eventually,
this will push the locals to set these resources as a priority and take firmer action towards improving these resources and protecting it from further depletion. The use of soil and water ground will
prevent soil erosion by planting the appropriate type of farming for the areas that are vulnerable
to soil erosion. Moreover, Indonesia is considered to have a tropical climate, which creates a suitable environment for certain types of food production such as rice, coffee, tea, rubber, palm oil and
tropical fruits. Thus, agriculture can fit perfectly in the available climate and individuals can use
this unique tropical condition in favour of rebuilding the land.
Another factor is the restoration of the forest areas through planting trees that grow quickly and
provide income through the sale of its production. At the same time, this increases the welfare
of the communities around the forest by other activities, such as tourist destinations and recreational areas for locals. Furthermore, it creates long-term settlement for the inhabitants of the rural

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areas and a great storage of food along a chance to develop food preservation methods that save
them from food insecurity and continues source of income. Additionally, rebuilding the agricultural land and forest area will result in rehabilitation of biodiversity, which was harmed from the
start by the inefficient use of natural resources (Fig.5).

Figure 5: Deforestation (Green Peace 2011)

The following are the advantages of agricultural efficiency:

1. Reducing the impact of legal and illegal logging, urging land uses, re classification of the land
and harmonizing with the current conditions (climate change).
2. Increase in employment rate and various specialization of labor along with a higher demand
for manpower. The profession of farming is relevant to the locals and accepted culturally leading to cultural rehabilitation. It also embraces the awareness of the current and past natural
resource scarcity.
3. Encouraging business partnerships locally and globally creating a sustainable market for environmental services.
4. Promoting educational, awareness programs.
5. Accomplishing agriculture efficiency can lead Indonesia to be self-sufficient and hopefully increase their level of exports.
6. Through establishing the importance of agriculture people will seek this profession as an attractive source of income.

6. Stewardship
The stewardship theory is very important in this context and is related to not only the sustainable use of resources in the country but also to the government and individuals. The government
plays a key role in the society through implementing policies that can support the individuals in
reaching the ultimate goal of having a sustainable environment with a strong economy. Every
individual who is able and has the will to make a change has to get the support and incentive to
work towards sustainable resource management. As an example, the government could encourage locals to find sustainable agriculture solutions instead of excess use of pesticides while for

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other individuals the support could be laws and regulations that support small local businesses.
Similarly, the government can promote local production of goods and at the same time make
the people realize that buying local products instead of imported goods is more beneficial to the
countrys economy and ultimately their own future.
If we were to look closer into how these projects would be put to action in both urban and rural
areas it will again be the governments support that needs to reach each individual. A farmer in
a rural area needs the logistics to be able to sell his produce and the government can assist in
such case by facilitating the transportation of goods to the market. On another level and mostly
within urban areas and places with younger population the government can place loans, grants
and competitions for those who have the idea to start up a sustainable project or practice. Involvement is the key here as individuals at all levels need to feel that they are supported and
that whatever action they take is going to benefit them and their nation. In terms of other kinds
of resource planning such as urban area planning, we have to keep in mind that Indonesia is a
group of islands and it has a sort of limitation when it comes to land. Usually, urban areas such
as big cities are usually developed in a way that the buildings are built horizontally. Whereas as
mentioned earlier Indonesia is a series of islands and what would be more sustainable is to invest
in building the city vertically while integrating smart sustainable urban designing within the city.
Finally, sustainable stewardship will support sustainable development in creating key actions for
demographic crisis. The country will increase its investment in young generation, allowing access
to contraception, developing different types of financial systems to suit all types of society and
finally, more employment opportunities will be created.
Employment Opportunities
Following the sequence of the cycle, agriculture efficiency is going to lead to employment and
automatically reaches to control the consumption pattern (sustainable awareness). This awareness should be targeted towards different people both in terms of life style and standards. For
example, those living in the urban areas would have to follow a different pattern of consumption
than those who live in more rural areas of the country. One of the main goals is the development
of appropriate policies that the government to strictly monitor in regards to the consumption
patterns and the use of natural resources such as land. In the context of land use we know that
much of the forests that is part of the rural areas have been victim to illegal logging. It might be
difficult to stop such illegal activities, which might provide short-term income for people, but also
in the long run not only does the source of income get extinct, but also the ecosystem as a whole
is harmed. Therefore, the use or in other words the consumption pattern has to be changed and
it is the role of the government to make sure there are better and more sustainable options available. People have to be educated about the alternatives of land use such as for food production
or preservation of certain sites for recreational activities or tourism.
When the level of awareness is reached along with appropriate policy development, we would
expect for the nation to achieve the self-sufficiency through a sustainable consumption pattern.
This would without a doubt impact the economy with better governmental planning and use
of resources more job opportunities would be created that would have long-term security. As a
result, employment would increase and so would the level of income along with spending power.
However, what remains crucial is for the nation to adapt the culture of sustainable consumption
and for the economy to rise along the resource growth and not against it.

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7. Sustainable Cycle / Discussion

As mentioned earlier in the paper, the proposed sustainable package presents solutions in a matter of a cycle, where solutions of each factor automatically leads to the other factor (other solution). The proposed sustainability package was centred on population growth, affluence and consumption patterns, in which rapid growth of population triggered the poverty that was massively
effecting the environment. The below cycle illustrates the sustainable cycle (Fig.6).

Figure 6: Sustainability package

Uncontrollable population growth will lead to devastating damages to the environment, energy
sources / natural recourses will be scarce and heard to extract. As such the increasing relationship
is connected with inequality and poverty.
Taken together, these findings suggest the role of creating employment opportunities to meet
the need of the society with the emphasis on education, specially educating the female force and
empowering them. Moreover, encouraging youth to open local businesses that can help supporting the resilience of Indonesias natural resources; spreading awareness through environmental
stewardship about preserving forests and opposing illegal logging in order for Indonesia, like
other developing countries with rich natural recourses, to become self-sufficient nation.

9. Conclusions
The wealth of nation is measured by three power capitals; the produced capital, which is the
human made structure resulting from development and technology reach. The natural capital
which defines the goods and services, natural capital is supplied by the natural ecosystem. The
intangible capital; is the value and quality of institutions. Economy in Indonesia like other resourceful countries relies on natural resources, as the economy grows, the natural capital of the
country continues to shrink, and as the population needs of producing capital increase, the waste
and pollution also upsurge. A continually growing population is unsustainable as is a continually

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consumption of natural resources. Population pressure has significant effect on environmental

degradation and therefore, it is vital to provide a good strategic sustainable practice to enhance
the economy of Indonesia without pushing the envelope of environmental issues. In summary;
achieving sustainable development, is a development that meets the needs of the present without compromising the ability of future generations to meet their own needs. Youth education,
employment opportunities and empowerment are the key factors to the future development.

10. References
JOHNSON, T., 2009, Deforestation and Greenhouse Gas Emissions. Council on Foreign Relations. <http://www.cfr.org/
forests-and-land-management/deforestation-greenhouse-gas-emissions/p14919> Retrieved on 17 August 2014.
INDONESIAINVESTMENTS.COM, 2014. Poverty in Indonesia - Indonesian Urban and Rural Poverty - GINI | Indonesia
Investments. <http://www.indonesiainvestments.com/finance/macroeconomic-indicators/poverty/item301>
Retrieved on 22 August 2014.
WORLD BANK, 2014, East Asia & Pacific - World Bank and Environment in Indonesia. <http://web.worldbank.
org/WBSITE/EXTERNAL/COUNTRIES/EASTASIAPACIFICEXT/0,,contentMDK:23190529~pagePK:146736~piPK:146830~theSitePK:226301,00.html> retrieved on 30 April 2014.
BRINEY, A., 2014, Geography of Indonesia - Learn Geographic Facts About Indonesia. About.com Geography. <http://
geography.about.com/od/indonesiamaps/a/indonesiageography.htm> retrieved on 1 May 2014.
JOHNSON, T., 2009, Deforestation and Greenhouse Gas Emissions. Council on Foreign Relations. <http://www.cfr.org/
forests-and-land-management/deforestation-greenhouse-gas-emissions/p14919 > retrieved on 17 August 2014.
KNUDSON, T., 2014, The Cost of the Biofuel Boom: Destroying Indonesias Forests: Yale Environment 360 < http://e360.yale.
edu/feature/the_cost_of_the_biofuel_boom_destroying_indonesias_forests/2112> retrieved on 5 May 2014.
SUNARYO, T., 1992, Environmental problems in Indonesia: A review. International Trends in Crime. East Meets West, pp.
47-52.
WRIGHT, R., and BOORSE, D., 2014, Environmental science: Toward a Sustainable Future (12th ed.). Upper Saddle River,
NJ: Pearson Education.
YALE ENVIRONMENT 360, 2014, Illegal Logging in Indonesia Undermines Sustainable Market [online]. [Accessed 5 May
2014].
VALLANCE, S., PERKINS, H., and DIXON, J., 2011, What is social sustainability? A clarification of concepts. Geoforum,
42(3), pp. 342-348.
UNITED NATIONS, 2010, Population Facts: Accelerating Achievement of the MDGs by Lowering Fertility.

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International Conference | Bari - Lecce, Italy

Session V - VI

SUSTAINABILITY IN NATURE: LESSONS FOR YAS

ISLAND HOUSING COMMUNITY IN ABU DHABI
Nada El Bana1, Marwa Yousuf1 & Hasim Altan1
1 Sustainable Design of the Built Environment, Faculty of Engineering & IT, The British University in Dubai, Dubai, UAE,
[email protected] / [email protected] / [email protected]

Abstract
While the United Arab Emirates is leading in urbanization, Abu Dhabi is growing exceptionally
faster. With the increase of developments, sustainable measures are the most neglected when
it comes to design and procurement of building projects. Yas Island housing community is
a mass development consisting of 488 villas in Abu Dhabi. Considering the summer season
temperatures reaching around 35 degrees Celsius, the project failed in tackling problems that
could improve the residents thermal comfort both indoors and outdoors. However, in order to
come up with a creative solution, yet a functioning design, mimicking nature, e.g. a group of
insects, and how they adapt according to environmental conditions, could well be the key to
innovation and well-founded solutions. Termite Mounds, i.e. mound-building termites, have
a fascinating yet complicated structure that brings all the termites into mounds that could
be referred to as a city in nature. The main advantages of studying termite mounds are their
structure, materials, strategies, ventilation system, orientation, and lighting tactics that could
lead to energy savings, if implemented correctly. In the paper, a community housing scheme
has been studied and its performance is assessed through computer simulations in terms of
daylighting and ventilation strategies. The aim of this study is to assess a natural living organism and to mimic its greatest mechanism for improving a selection of 14 villas within a sustainable community that could be carried out on a mass scale for the future developments. Whilst
this paper mainly focuses on sustainable developments in the UAE, it could be also argued
that many of its outcome is of relevance to several countries and regions, especially those of
the same social and harsh environmental conditions like the UAEs.

Keywords
Sustainable Development, Biomimicry, Termite Mound, Ventilation, Daylighting, Shading
System

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Introduction
Biomimicry is the act of copying from nature, and as such, product designs inspired by nature
means in the design process, where designers referred to nature for solutions. It has been around
for some time now as highlighted by the hook and loop fastener/Velcro, which was inspired by
the bur plant and invented in 1948 (Petur 2011). Globally, there a number of inventions inspired
by nature, they included the flying squirrel wing-suit and the bullet train. Biomimicry is a field of
study and research that studies precise ideas, processes and models of nature and takes inspiration from them to tackle challenges facing human kind.
Biomimicry is derived from a combination of two words mainly bios meaning life and mimesis
meaning to mimic. Internationally, there is a transformational wave in the discipline of architecture and design, which reminds us that we are part of the larger ecosystem of the earth. Therefore,
this means that nature is an important component that allows us to solve some of our problems,
and as such, should be conserved (Turner and Soar 2008). This study will take the nature as its
mentor and as a model. It will mimic termite mounds, which are oriented to minimize sun exposure, and designed with chimneys for airflow.
The purpose of this research is to demonstrate a thread within the UAE and especially Abu Dhabis development, which over time evolved different ideas about sustainability. Investments in
design, construction, labor and materials always involved some cost benefit analysis of the built
environment and its sustainability. This study thus takes a realistic approach of a case study analysis of an existing housing community (Emirati Housing, Yas Island) and its existing site (Raza
2014). It was divided into three stages: Understanding (the natural concept); Exploring (the relation
between the natural concept and the redesigning of the project); Deciding (the restructuring of
the project).

Methodology
The study focuses on the complex and dynamic interrelations between ecosystems, society, and
economy at different spatial scale and developing place-based responses and solutions. Sustainability in this context considers the whole relationships of connections between natural and human communities as well as between nature and culture (Wheeler 2013). The study is based on
sustainable architecture that describes an energy and ecologically conscious approach to the
design of the built environment. The built environment is human-made spaces in which people
live, work, and recreate on a day-to-day basis (Izzi Deen 1990).
The main aim of the study is to look into the sustainability aspects within the context and to
recommend a suitable solution for Yas Island Housing Community in Abu Dhabi. The focus is
on the technical functionality of the natural concept and incorporating its structure, mechanism
of its external and internal functions, and the environmental advantages it conveys in adapting
to its surroundings, which will guide to mimic the natural concept by adapting and strategically
planning a design that is a breathable and a living building in the case study setting.

Termite Mounds
Structure and Material
Termite mounds are structured differently according to region, location, and weather. The loca-

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tion and the weather also determine the mounds shape. There are termites built underground
and others above ground. There are also different shapes of termite mounds. Each has a unique
structure and a reason for its shape. What they share in common is the materials used for building
such magnificent and well-constructed mounds. The termites use their mouth to transfer a mixture of soil and their spit. The muddy soil has great advantages, which is dried by the air movement. It acts as breather or a lung that absorbs the air outside of the mound through its cavities
and small holes and transfers it into the mound as a ventilation system (Haifig 2014).
Magnetic Termite Mounds
The magnetic termite nests located in Australia and the word magnetic meaning it vertically
faces North and South. The reason why it is oriented in this direction is outstanding. The mounds
capture the evening sun by its flat surface facing East to West. Hansell (2007) explained that the
rising sun warms the flat surface while the western surface captured the sun set arrays. This ensures that the mounds keep a stable temperature of 33 to 34 degree Celsius until evening (Hansell
2007:45). However, this type of mounds are well known only for its shape.

Figure 1: Magnetic termite nests casting its long shadow on the land while capturing the sun to regulate its temperature (AT 2014)
Macrotermes Jeanneli Mounds
This selected termite mound in this study is the winner among multiple structures. It became as
our guide as a natural concept for its sustainability and creativity. The vertical African termites
could be considered as a small city divided into smaller communities within its mound. The colony is compacted with about million termites. There are multiple usages for every chamber and
there are reasons for every corner. All are guarded and protected by the massive walls from harsh
weathers. The mounds of the ants can reach a height of 3 or 4 meters (Hansell 2007:95). The Macrotermes Jeanneli is composed of as can be seen in Fig.2:

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a.
b.
c.
d.
e.
f.

Royal Cell
Nursery Zone
Chamber containing Fungus Comb
Central Air Vent
Empty Terminal Chamber
Underground foraging Passage

Figure 3: Vertical section shown the termite mound structure (Leuthold et al. 2003)
As shown in Figure 3, the royal cell is where the queen termite resigns. Workers are always assisting
her considering her size comparing to the termites. The queen role is laying eggs and establishing
a populated colony. The nursery zone is where eggs are transferred to be kept and taking care of
by sterile worker termites. The chamber containing the fungus comb is where Macrotermitinae
nurture fungus. In other words, fungus is the termites garden that acts as a digestive system. It
stores forage the ants bring and transform and stores the content in the fungi. Margonelli (2014)
also explained the process of the termites digesting by quoting Turner, intestines full of chewed
grass and wood, which they defecate upon their return and other workers, assemble these pseudo-feces into several mazelike fungus combs (Margonelli 2014; Turner 2007:24). The central area
acts as a ventilation passage for the mound to bring in oxygen and take away carbon dioxide
trapped in the mound interiors. Moreover, the termites use the passage to transport its food to
the nest after it is collected from the surface (Leuthold et al. 2003:27).
Ventilation System
The second important key feature is the system of ventilation used or built by small creatures to
ensure entrance of air and oxygen within their kingdom. It works by air transportation through
the chamber joined by gaps in the mound and short corridors to bring in oxygen into its chambers and its mound material and take away carbon dioxide. As Hansell (2007:94) stated; the ventilation system comes from one of two possible sources. One is pressure difference within the
mound; the other is temperature differences. Macrotermes Jeanneli mounds are driven by pressure difference because of the chimney opening allowing air enter and exit through one opening.
Figure 4 shows the corridors and the tunnels are important to connect termites from one area to
another but it is used for ventilation flow for the entire mound. The channels are integrated within
the termites by their massive size and innovative design bringing in great flow of oxygen while
carrying out carbon dioxide (Hansell 2007:95).

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Figure 4: (a) Termites before pouring plaster into the mound; (b) Termites channels and tunnels becoming sculptured to its natural shape; (c) Connection of the top of the nest to the chimney; (d) Cross
section of the channels (Hansell 2007)
In the process of the release of the carbon dioxide, the mound is embedded with high and low
CO2 isobar. The pressure defers in the nest according to the chambers and the tunnels location in
the mound. This sheds light on the process of building the mound itself. After the queen mates
and produces its egg in a small whole underground, the workers who are the first patch of eggs
start to remove the soil to create a chamber. As Turner (2007) explained that the upward growth
of the spire arise from the isobars being squeezed together above the nest by the upward push
of the heated nest air (Turner 2007:24). The pores and the channels are a cause of the termites
movement to alter and build their colony. It creates pores and cavities in the mound to release the
high CO2 isobars but places the soil to create a barrier in areas that is low in CO2 isobars.

Figure 5: Open chimney mounds (Turner and Soar 2008:3)

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The termites have an induced system that relies on an obvious opening in the structure. The central chimney captures the wind from all directions as it flows into a lower wind velocity area as
shown in Figure 5 above (Turner and Soar 2008:5).
Case Study - Yas Island Housing Community
The National Housing project is the chosen case study, which is located in Yas Island, Abu Dhabi.
It is located at 24 degrees North and 54 degrees East of Abu Dhabi. The project is developed in Yas
Island, which is well known for its famous Ferrari World and Yas Waterworld. The project is under
the Urban Planning Council and Abu Dhabi government. Both the location and the boundaries
are shown in Figure 6 below. The residential project totals 488 villas and is under the Abu Dhabi
Vision 2030 initiative in providing Emiratis luxurious communities (UPC 2011).

Figure 6: Area image of Yas Island in Abu Dhabi and the location of the case study (Google Maps
2014)
Abu Dhabi Climate
Characterized for its arid, dry, and hot weather, Abu Dhabis unbearable temperature can be overwhelming. The temperature ranges between summer and winter seasons but it stays relatively
hot throughout the year. Abu Dhabis annual temperature range is shown below (Fig.7), from its
highest to its lowest temperature. The regions comfort zone is between 68 to 75 degrees Fahrenheit.

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Figure 7: Abu Dhabi temperature range (Climate Consultant 9 2014)

As shown below (Fig.8), Abu Dhabis daily radiation range will help us design by considering the
suns access and its indirect and direct radiation. The charts show that the direct normal radiation
in June reaches around 2450 Btu/(sq. foot) while in November it drops to 2200 Btu/(sq. foot) per
day.

Figure 8: Abu Dhabi radiation range (Climate Consultant 9 2014)

Wind velocity is very important to consider since the case study chosen will aim at providing solutions using the natural concept and studying the chart below (Fig.9). The average highest wind
velocity in May is 19.5 mph while in November it decreased to 13 mph.

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Figure 9: Abu Dhabi wind velocity (Climate Consultant 9 2014)

Approach and Strategies
The project aim was to balance between modern living amenities and traditional cultural values (Raza 2014). The Emirati traditional themes and values were incorporated within the site as
a whole by having open connections known as Sikkas throughout the project. It fuses all blocks
into a healthy neighborhood to promote walkability and human interaction among the residences. Each block as shown in Figure 10 has a central open space; some have playgrounds and others
are landscaped as plazas.

Figure 10: A zoomed out map image of multiple blocks in the case study
Cultural values are embedded within each villa. The initial design was to create a sustainable city
of its own and to incorporate all the techniques and strategies. The villas have two artificial design
concepts that could have been categorized under sustainability. Each villa has a central courtyard
that allows air movement, which becomes as a ventilation system. It has also function as a private
open space for the family to gather. The second feature is a non-functional wind tower above the

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stairs known as Burjeel. It is located on top of the stairways. What is unique about the site that it
has an Eastern cool wind velocity coming from the Persian Gulf. This is considered strength when
it comes to develop and make use of the non-functional wind tower to capture and act as natural
ventilation throughout the villa. The photos below in Figures 11 and 12 show the house exterior
and interior structure.

Figure 11: Compound Villas (left); lost open spaces between villas (middle); walkways (Sikkas) (right)

Figure 12: The house exterior (left); the central courtyard (middle); non-functional wind tower (right)
In order to come up with an environmentally efficient design, several analyses were undertaken considering the sites strength and weaknesses. As mentioned before (Fig13), each villa/house
has a central exposed open courtyard that supposed to allow air movement, which becomes
as ventilation system and function as a private open space for the families to gather. It also has
a non-functional wind tower to promote cultural values. The area totals (Fig.14) 12,585 m2, the
central courtyard is 1,710 m2, and the surface coverage of the prototype villa is 480 m2. The design
objectives were to redesign the block by using all the possible techniques used by the termites
to construct their colony.

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Figure 13: Google map image shown the chosen block (Google Map 2014)

Figure 14: Site analysis of the block (left); redesign of sustainable termite block (middle); insulation of
shading in courtyard (right)
The main advantages of studying and adopting the mounds are their structure and material, ventilation system, orientation and lighting (Fig.15). The location of the termites determines the sun
movement and it reflects on the termites scientific approach in constructing the mound on an
eastern to western direction, considering wind, sunrise and sunset directions. The following three
chosen strategies are the most successful in mimicking the natural concept but also successfully
transforming the case study into a sustainable, comfortable, and well-designed project.

Figure 15: Strategies shown in a termite mound

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Daylight Factors and Shading:

Daylighting has been incorporated in all building designs and was evaluated using Autodesk Ecotect Analysis. Daylighting is considered important factor when it comes to environmental design.
However, in the selected case study, sunlight can be excessive, and therefore, the design should
be evaluated carefully considering most site analysis, since Abu Dhabi average temperature can
reach above 38 degrees Celsius in summer. Daylight factor is affected by the size of the window
and the placement in the facade and its direction.
According to Brown and Dekay (2001:30), there are two approaches into solving daylighting in
clear skies; either by decreasing the size of the window or using a modest size of a window but
shaded from direct sunlight. Proper shading was installed according to the location and the function of the space to prevent direct solar heat gains during summer and reducing cooling loads
throughout the year. As stated by Brown (1985:72), daylighting in hot climates during clear sky
conditions and bright sun involve finding ways to use the light while excluding as much solar
heat gains as possible from the building and open spaces.
The first strategy was to analyze the daylight factors and shading. The evaluation was carried out
using one of the prime villas that has an optimal location being on the tip end of the block facing
the direct radiation of the sun path. The courtyard in the villa and the open spaces in the pocket
blocks are not utilized sustainably. Brown (1985:79) proposed that buildings and open spaces can
be organized in a way to preserve each buildings access to breeze and act as shading using its
building height. Benefiting from the central location to bring in natural ventilation is a key strategy. The first analysis was on the courtyard showing the direct sun in summer season. The daylight
factor range reached 63-83 percent before the courtyard was shaded. The bright yellowish color
in the legend (Fig.16) indicates that the daylight factor is beyond exposed and need to be examined for better insulation or a shading mechanism. To shade the entire courtyard would defeat its
purpose.
The courtyard is a private area where the family can unwind inside of their house, exposed to the
sky without worrying about clothing, and activity. Semi-covering the courtyard is more efficient
and can allow access to diffused sunlight and natural ventilation through the designated area.
After the shading, the value range dropped significantly to 54-74 percent. Figure 16 shows the
colored area drop to a maroon shade amplifying success.

Figure 16: Courtyard before and after shading

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The second strategy was to run analysis on the Majlis with exposed large windows toward the
sun. The surface directed and exposed to the sun was enhanced with decorative passive solar
walls that are semi-integrated with the facade. These will act as a shading, buffer, and design. The
passive walls were created according to the overhead of the window and the depth of the room.
It had to be greater in length in contrast to the windows to minimize any direct solar radiation for
entering the interior of the house specifically for the chosen zone, Al Majlis. The passive wall, as
shown below in Figure 17, is made out of wood, emphasizing the cultural values, which will reduce
the direct sun arrays from heating the house surface and punctuating through the windows and
doors causing temperature increase.

Figure 17: Before and after sketch placement of wall

When the daylight analysis was conducted on the selected zone in summer, the temperature
reached 43C. After placing the passive walls to diffuse the direct sunlight exposure, the temperature dropped to 25C. This result indicated that because of the location of the house and windows
considering the sun path movement during summer, there will be increased cooling loads due
to the heat gained through the sun. Having a wall that allows entrance of both wind and sun
through its small openings will satisfy the need for light and the need to have the same view access to the neighboring houses as shown below in Figure 18.

Figure 18: Al Majlis before and after wall placement

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Orientation:
Thus, smaller open spaces, evenly distributed will have a greater cooling effect than a few large
parks. Streets should be oriented to carry cooler air away from parks (Brown and Dekay 2001:122).
The second important key feature is the system of ventilation used or built by small creatures to
ensure entrance of air and oxygen within their kingdom. It works by air transportation through
the chamber joined by gaps in the mound and short corridors to bring in oxygen into its chambers and its mound material, and to take away carbon dioxide (CO2). As described earlier, the termites orient their mounds to capture the evening sun arrays and the fresh air that passes through.
One of the design objectives was to orientate the block to 30 degrees on the eastern to western
direction. A study has shown that 20-30 degree is optimal and beneficial for summer wind capture
and sun in hot-arid temperature regions. This strategy will become as the leading solution into
solving trapped hot air by the enhancement and by the cool evening air velocity coming from the
Persian Gulf as shown in Figure 19 and as described in Table 1 (Brown and Dekay 2001).

Figure 19: Alternate rotation for hot-arid temperature (Brown and Dekay 2001)

Table 1: Description of rotation effect (Brown and Dekay 2001)

Building Type

Response

Internal Load Buildings

Skin Loaded Buildings

Priority

Priority

Temperature Arid

Hot-Arid

Summer Wind

Summer & Winter shades

The rotated block will provide more shades to streets and sidewalks. The streets directed to the
prevailing winds, while the system of linear sidewalks and courtyard cut through the block allowing night drainage.
Ventilation:
Flow Design is built through a wind tunnel simulator that allows envisioning how wind interrelates with a building or assembly of buildings. It allows engineers to swiftly see how air flow and
wind interrelate with their mockups at numerous wind speeds and directions. Thus, it delivers
evaluations for wind velocities. The following simulation provides preliminary results for validation of the undertaking study to demonstrate its performance. Validation of Flow Design will
show where wind flows, penetrates, circulates and where it is high and low. Moreover, it shows
approximately where recirculation occurs. The wind airflow is represented as the colored lines
running through.

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Figure 20: Flow Design analysis simulation demonstration. The lines in the figure shows wind flow,
color of lines represents speed and pressure as per the legend on the upper left side. The values on
the right represent the preset values, which are the same in both before and after design

Existing Site Analysis:

In the existing site analysis, Flow Design demonstrates the wind functions that are completely
ignored in the original site design. As can be seen in the existing site model below (Fig.21), the
wind is simply flowing on top of the buildings and not reaching the urban community main central courtyard plaza and also the rest of the urban multiple courtyards are not exposed to wind
ventilation. Furthermore, the wind is essentially interrupted by the unproductive building initial
orientation, building mass and the inefficient building arrangements. As a result, the existing urban community is not entirely utilized by any method or passively used or proficiently directed
in which the flow design simulation below demonstrated as seen by the wind entering the courtyard, which is vertically none (almost zero).

Figure 21: Flow design analysis where the wind airflow is running above the urban zone and passing
above the central zone courtyard without penetrating

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Remodeling Analysis:
In the Urban community redesign, the tunnel based notion placed at the top as a coverage that
launched from the site entrance to the site exit and placed comprehensively in the middle of the
site in which directed the wind airflow to increase its velocity and to engage to follow in the same
course of the design with an estimated wind velocity speed between 11 to 13 m/s as shown below
in Figure 22 (left).

Figure 22: Wind flow is running and intensively penetrating the central courtyard with variable wind
velocity speed between 11 to 13 m/s (left); flow design simulation demonstrating wind circulation
throughout the site (right)
As a result, the remolding design passively captured the wind, directing the wind flow in the site
and circulating the air in and out of the urban community as shown above in Figure 22 (right).
Additionally, captivating a focus on the central courtyard and providing with bounded amounts
of air circulation (Fig.23 -left), which also resulted in repeatedly ventilating the existing courtyards
aligned in the urban community (Fig.23 -right).

Figure 23: Flow design simulation demonstrating concentrated wind circulation in the central courtyard with variable speed between 11 to 13 m/s (left); flow Design simulation demonstrating wind
circulation throughout the site (right)

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Recommendations and Discussion

Throughout a series of simulations and further analyses incorporating before and after analysis,
the following are some suggestions for improvements:
1. The reorientation advantages in which allows the wind flow through the middle passage towards the center courtyard as this is directly aligned towards the direction of wind airflow, in
contrast with the before analysis where the corner buildings blocking most of the wind.
2. The shades, due to their shape, redirecting air towards each small courtyard below it compare
to the before analysis when it was not provided, where wind just passes through the top of
the buildings.
3. The canopies at the main two entries and in the residential courtyards, redirecting the wind
speed and while passing among them allowing winds to gently pass through.
Directing the wind and efficiently ventilating the plaza and the existing courtyards within an urban community is a way forward for sustainability. Moreover, utilizing the wind passively and
using it efficiently for ventilation and air circulation in the required spaces (Sucher 1995; Graham
and Booth 2010).
The central area includes the royal cell where the queen termite resides. The nursery zone is
where eggs are transferred to be kept and taken care of by sterile worker termites. The chamber
contains the nurture fungus but most importantly acts as a ventilation passage for the mound to
bring in oxygen and take away carbon dioxide that is trapped. In other words, this is the mounds
most optimal and sensitive area when it comes to thermal comfort. This is where the third notion
comes in. The central areas vegetation could act as respiration with the flow of air. As Chandler
stated planted areas can be a much as 10-15 degrees Fahrenheit (5.6-8.3 degree Celsius) cooler
than built-up areas due to a combination of evapotranspiration, reflection, shading, and storage
of cold (Brown and Dekay 2001:132).
Vegetation is a simple aspect of life and being close to nature. It plays a key role in thermal comfort and reducing thermal loads on a building and its surroundings. As designers, we choose trees
symbolizing and identifying the UAE heritage and cultural history. Nevertheless, there are numerous influences on the microclimate around the building social, mental and environment benefits
(Lobeck 1939), yet again below are some of the benefits listed:
One of the Greenhouse gases that are trapped in the atmosphere is carbon dioxide where vegetation can take in carbon dioxide and exchange it with oxygen.
Vegetation acts as a barrier to block direct sun radiation.
It absorbs the humidity from the air, such as the case study housing community setting and its
area that has amounts of high humidity ratio. The trees absorb the moisture during the day and
release back during night.
Vegetation gives the sense of privacy as it encloses spaces in public areas creating a comfortable
zone.
Natural shading eliminates heat gains when the direct sun, which results in heat gains, is blocked,
the temperature below is definitely lower when compared to the temperature above and/or exposed areas.
Palm trees are a simple of growth, life, and tradition in the UAE. In the early days, houses that had
palm trees symbolized that the house is owned by a sheikh or a person who is established and
brought wealth to his family. Palm trees are also mentioned in al Quran as a source of nutritious
food and for its shading (Bradshaw 2006:61)

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Vegetation analysis using SketchUp for thermal efficiency in redesigning, while mimicking the
natural concept by adapting and strategically planning a breathable design and a living community, has been undertaken within the selected case study (Fig.24). Natural shading can be used
to create shading within the surrounding of the buildings. Palm trees, Proscopis cineraria (Ghaf
tree), Zizyphus spina-christi (Sidr tree), and Cordial sebestena with lively yellow flowers planted
throughout the site. The housing blocks lack shading as they are joined by long and wide walkways. The shading and vegetation improved the thermal comfort for pedestrians and produced
oxygen in return. The walkways are designed to be pedestrian friendly with shading devices that
allow the light to enter through the designed louver.

Figure 24: Final SketchUp redesign

Water surfaces have the ability to absorb the heat from the air. It takes the warm temperature,
stores it, and releases a cool breeze instead. The water features are located with the houses and
one big central fountain with vegetation surrounding it in the courtyard (Fig.24). Within the house,
the fountain is placed in the courtyard under the semi-covered retractable awning positioned on
the roof to allow passage of air to the fountain as shown in Figure 25. This resulted in a reduction
of heat gain and the reduced temperature can be directed through the interior of the house for
natural ventilation. Pedestrian walkways are uncomfortable for exercising or utilized as a mean of
transportation through the neighborhood (Ferwati 2012). The overhead louvers can create a social
magnetic that attracts residents to exercise and interact with others throughout the day and year.

Figure 25: Isometric view of SketchUp redesigned block

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The other perception of maximizing the environmental efficacy was on the technical functionality of the natural concept and incorporating its structure, mechanism of its external and internal
functions, which are successfully completed. Termite chimney can be illustrated by constructing
a brise-soleil.
A brise-soleil is an architectural element incorporated with/in the building to reduce direct sunrays that cause heat gains. A glimpse down into one of them not only reveals the public realm, but
also provides a pleasant powerful blast of fresh air. It consists of multiple levels emphasizing the
termites latitude growth and the Islamic designs embedded. It optimizes the shape by allowing
minimum sun exposure and enabling the wind to pass through. It is a strategy to use of airflows
to break the temperature.

Figure 28: Side view of SketchUp redesign

Conclusions
In the UAE, harsh environments forced people to innovate building techniques and materials in
the traditional Dubai. Environment and climate influenced community design and layout of settlements to create shade, wind protection, and privacy, as traditional Dubai settlements and architecture. However, everything changed with modernization, greater wealth, and global access
to resources. With the study, the paper is attempting to merge the sustainability, modernizations,
and manners with the innovative urban and building practices, taking the passive course to find
the thread that connects the preceding with the contemporary.
Furthermore, the innovative conceptual design has shown that nature has its solutions and as a
result, adopting ideas from termites as architects and engineers, we managed to address some
of the issues for many years. This is the key approach scheme used for fulfilling todays passive
intake. It encourages stimulating the social dynamics where the life values, ideals, and visions
visualized. Its concept now became as a tactic that succeeded to operate the sustainable passive
notion in accordance with the functional needs for this environment, 24 hours a day, and 365 days
of the year.

References
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FERWATI, M.S., 2012, Beautiful Things That We Miss in Space Syntax. Arts and Design Studies 4.
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International Conference | Bari - Lecce, Italy

Session V - VI

DEPLOYMENT OF SUSTAINABLE PRACTICES ON

CONSTRUCTION SITES
Natasha Ilse Rothbucher Thomas1 & Dayana Bastos Costa2
1 School of Engineering, Department of Structural and Construction Engineering Federal University of Bahia, Brazil,
[email protected]
2 Post Graduation Program in Environmental Urban Engineering, School of Engineering, Department of Structural and
Construction Engineering Federal University of Bahia, Brazil; [email protected]

Abstract
The construction phase of the life cycle of a building is responsible for a significant part of the
environmental impacts caused by the industry. Large quantities of materials, water and energy among other resources of various types and origins are consumed on construction sites
during the production activities and by the temporary facilities. This paper aims at presenting
the deployment of sustainable practices on construction sites aiming at mitigating environmental impacts produced during the construction. A case study on the new building of the
Construction Chamber for the state of Bahia was carried out. The research method consisted
of a literature review to identify good practices, solutions and technologies, interferences and
legislations in place. Also identification of different environmental impacts for each construction activity specific to the construction site studied and an economic feasibility study of each
solution were performed. Data was collected through checklists, indicators and periodic project management meetings. Participant observation, documents analysis and photographs
were also used as sources of evidence. The main findings refer to the identification of solutions, main difficulties in adopting such solutions, and the development of a set of indicators
for monitoring low environmental impact on construction sites.

Keywords
sustainable construction, sustainability indicators, environmental impacts, and
sustainable best practice.

419

Introduction
On a global scale, the construction industry is responsible for about 50% of CO2 emitted into the
atmosphere, 20-50% of all natural resources consumed and 50% of all solid waste produced most
of which occurs during the construction phase of the buildings life cycle, causing many environmental impacts (Pulaski, 2004, Khasreen, 2009, Probert, 2010). The growth of the construction
industry and its subsequent environmental impacts highlight the importance of the need for
sustainable construction processes and actual ways to manage measures of sustainability (Amor,
2012).
The construction process itself also causes different environmental impacts (Chelma, 1997, Kilbert, 2005, USEPA 2006, Gangolells et al., 2009, Gangolells et al., 2011). Bulk materials, water and
electricity among other resources of various types and origins are consumed on construction
sites during the different production activities and by the temporary facilities. These activities
generate solid waste and particle emissions causing a concern with soil contamination, air and
water pollution and soil erosion. Noise emission is also an important issue, as the construction
site activities temporarily increase noise pollution, and are often set in the urban environment
(Ballesteros et al., 2010).
Therefore, the environmental impact of construction has become a relevant issue. However, the
identification and monitoring of these environmental impacts have to date received little attention. It is very important to predict what the environmental impacts of construction are and identify how they can be prevented before starting an activity (Amor, 2012). Furthermore, many of the
impacts can be controlled and mitigated by the project management team during the design and
pre-construction of a building (Kilbert, 2005) thus improving the sustainability of the construction
phase of a building.
By adopting good practices, many of the environmental aspects and their associated impacts
can be reduced or almost completely mitigated. Those related to resource consumption can be
reduced through rational resource use, adopting practices that reduce material losses and selecting materials, products and construction systems with low environmental impacts and low
embodied energy considering its whole life cycle process (Berge, 2009). The generation of waste
products during the different site production activities can be reduced through adequate planning and management and can potentially be valorized as a raw material or energy source (Rao
et al., 2007).
Best practices and technologies aimed at controlling particle emissions during the different construction site activities can be adopted to minimize risks from air pollution caused upon the occupational health of site workers and the neighborhood (Kukadia 2003, USEPA 2006, Council London
2010, Arajo et al. 2014). Wastewater produced during site activities can also cause groundwater
contamination and natural watercourse pollution, and therefore requires wastewater management plans that control infiltration and surface run-off (Netregs, 2012). Wastewater and effluents
can also cause a loss of the fertile top soil due to erosion which consequently reduces the soils
capacity to sustain local fauna and flora as well as compromising water drainage which can lead
to flooding. Best practices are therefore required to minimize such risks (Pulaski, 2004).
It is also important to control the impacts caused on the health, safety and welfare of the local
neighborhood (Hinze, 2013), such as the distress and annoyances resulting from site traffic and

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machinery causing visual and noise pollution directly or indirectly arising from the production
activities (Gehlen, 2008). The impacts caused on the health, safety and welfare of site workers
must also be considered by installing appropriate collective and individual protections during
the different activities (Pulaski, 2004). Improvements on the comfort and environmental performance of temporary facilities may also be required (Arajo, 2008). Innovative technologies can
provide significant improvements on the performance of site equipment and temporary facilities.
Different environmental assessment methods for sustainable buildings present a series of good
practice guidelines to be applied during the construction phase. Table 1 presents the contribution
from BREEAM (Building Research Establishment Environmental Assessment Methodology 2009),
LEED (Leadership in Energy and Environmental Design, 2009), AQUA process, an environmental assessment method derived from the French HQE method adapted by the Alberto Vanzolini
Foundation for Brazil, (FCAV, 2010), and Selo Casa Azul, which was developed by the Brazilian Government owned bank, the CAIXA Econmica Federal, being a social-environmental classification
instrument used for residential building projects (John and Prado, 2010).
Table 1: Contributions towards sustainable construction sites by EAM (Thomas et al. 2013)
Generic Topics

Resource Consumption

Emissions and Solid Waste

Interface with External

Environment
Intrinsic Quality of the
Construction Site

Environmental Aspects

Environmental Assessment Methods (EAM)

AQUA
Process

BREEAM

LEED

SELO CASA
AZUL

Material Resources

Energy Efficiency

Water Management

Waste

Air Pollution

Water and Soil Pollution

Urban / Environment Quality

Noise Pollution

Visual Pollution

Health and Safety

Temporary Installations
Innovation

X
X

Although all assessment methods show differences within their methods of criteria evaluation
and their categories, it can be seen that all criteria fall under similar themes, forming a flow system
related to inputs and outputs (consumptions and emissions) within the physical, biotic and anthropic context of the construction enterprise, and its relationship with the external and internal
environment, according to Deganis (2003) classification.
However, there is a lack of knowledge on the available solutions, technologies and procedures
involved with their employment on construction sites. It is also necessary to know the minimum
conditions, legislations and resources required to deploy solutions after performing a technical
and economic feasibility study based on the particularities of the construction site, specific production activities, logistics, financial constraints and human resources.
Therefore, the objective of this paper is to present the deployment of sustainable practices aimed
at mitigating the environmental impacts produced during the construction process, based on a
case study on the New Headquarters of the Construction Chamber for the state of Bahia (Sindus-

Deployment of sustainable practices on construction sites

421

con-Ba), Brazil. In order to propose this implementation, information obtained from a literature
review on the guidelines suggested by the environmental assessment methods and from a previous work (Guimares, 2013, Thomas et al., 2013), which aimed to identify priority needs for sustainable solutions for construction site developments were taking as a basis.

Research Method
This work was developed using the case study strategy, which was conducted on the construction
site of the New Sinduscon-Ba Headquarters. The aim was to adopt best practices for deploying
a low environmental impact jobsite which involved the following three stages: (a) Identification
and selection of best practices, (b) Implementation of best practices, (c) Monitoring, Learning and
Remedial Actions. From this, a generic methodology for implementation of sustainable construction jobsites was developed through applying the concepts of continuous improvement whilst
implanting and monitoring best practices, which is however, not the focus of this paper.
Identification and selection of best practices
The identification of possible best practices to be implemented was based on the literature review
related to the environmental assessment methods, previously presented at Table 1, and from the
findings of a survey about sustainable best practices on construction sites applied in Brazil by Guimares (2013) and Thomas et al. (2013). Specifically, good practices on solid waste were based on
the National Environment Council (CONAMA) Resolution 307, which establishes directives, criteria
and procedures for the management of waste from building construction in Brazil (CONAMA,
2002). Good practices on Health and Safety were based on NR-18 standards (Regulatory Standard
-18 - Working conditions and the environment in the Construction Industry in Brazil) (Ministry of
Labor and Employment MTE, 2013). Air pollution practices were based on the London Council
publication (2010).
The selection of good practices and solutions to mitigate the environmental impacts of the
Sinduscon-Ba Building was carried out through weekly progress meetings during the first six
months of the project with the project team, including the project engineer, general contractor,
the project and environmental manager and the owners (Chamber CEO and Project Director),
and afterwards through monthly meetings and video conferences with the AQUA consultancy
company to validate the practices selected. The following evaluation criteria were adopted to
assist in the selection of practices and solutions: (a) Costs, including resources needed, acquisition
costs, maintenance costs, supplier diversity, deadlines, ease of acquisition, import dependence
and lifetime guarantee of performance, (b) Efficiency, including user safety, durability, productivity, observance of deadlines and integration with other subsystems, (c) Ease of deployment,
such as physical space, constructability, dependence on equipment, manpower dependence and
interference with schedules. The practices selected for implementation in this case study are presented in Table 2. It is important to note that despite the effort to be comprehensive in the selection of the practices, due to the characteristics of the project, a limited number of practices were
implemented.
Implementation of best practices
To determine how and when to implement the practices, spreadsheets were used for defining the
Best Practice Deployment Plan according to the construction schedule, setting goals and responsibilities for implementation and indicators for monitoring and control. Another spreadsheet was
developed to assist in determining how to deploy each solution, the conditions for deployment,
necessary resources and current legislation. It was then possible to define policies to be included

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into the general contractors quality management system; best practices into the operational
and management training program and adjust the construction site projects accordingly. The implementation of the good practices was carried out through training workers at daily health and
safety meetings and appointing the safety manager to monitor the implementation progress. In
addition, a visual communication program demonstrating good practices was provided.
Monitoring, Learning and Remedial of the best practices
To monitor the implementation, an operational checklist was developed aimed at assessing the
main good practices previously selected and implemented for each topic - consumption, solid
waste, emissions, temporary facilities, health and safety and outdoor quality. Table 2 presents the
indicators, the main good practices evaluated and the formula for each indicator.
Table 2 - Indicators and Good Practices
Indicator

Good Practice Evaluated

Material, Water and 1.

Energy Consumption 2.
Index
3.
4.
5.
6.

Correct storage of materials

Materials identified in the warehouse
Dissemination of monthly control of water consumption
Daily shutdown of hydraulic devices
Dissemination of monthly control of energy bill
Daily power disconnection of electrical devices

Solid Waste Index

Segregation of aggregates in the correct location

No mixed waste in disposal drums
Conduits and material remains in correct boxes
Correct waste disposal with transport, and final destination
tracking and control
Separation of hazardous waste and storage in confined area
with protected floor

1.
2.
3.
4.
5.

Water, Soil and Air

Pollution Index

1.
2.
3.
4.
5.

Temporary Facilities 1.
Index
2.
3.
4.
5.
6.
Health and Safety
Index

1.
2.
3.
4.
5.
6.

Use of circular saw and bench with waste collection

Wetting of areas during production activities and when
sweeping
Wetting of materials when cutting with circular saw
Use of plastic construction safety nets
Effluent control during concreting and other production
activities
Visual communication signs in good condition and correctly
located on jobsite
Use and respect of construction site project
Daily washing, sanitation and fumigation of internal areas,
cloakroom and dining areas
Cleaning, organizing and sweeping of internal areas
Tools in specific boxes
Nuts and bolts in the boxes

Formula

Consumption items completed x 1

Consumption items evaluated

Waste items completed x 100

Waste items evaluated

Pollution items completed x 100

Pollution items evaluated

T.Facility items completed x 100

T.Facility items evaluated

Use of Individual Safety Equipment: hearing protectors, helmet,

footwear, glasses, safety strap
Use of delimitation of areas
H.Safety items completed x 100
Guardrails in good condition
Rackand pinionelevators operated by qualified professional
H.Safety items evaluated
Use of trays and safety protection screens against falls
Suspended scaffolding correctly used

Deployment of sustainable practices on construction sites

423

Outdoor Quality
Index

1.
2.
3.
4.
5.

Access and material flow management Isolation of loading

and unloading areas and Obedience of loading and unloading
times
Maintenance and cleaning of the surroundings - routine
O.Quality items completed x 100
cleaning around construction site with daily sweeping of the
pavements and Use of canvas during concrete discharge
O.Quality items evaluated
Good Neighbor Relationship - use of signs on jobsite facade
with e-mail for complaints and Book of occurrences in the
jobsite entrance
Noise pollution - Definition of strategic locations for noisy
equipment
Visual pollution - The fences are well maintained and around
the material storage deposits, and other obstacles belonging to
jobsite

Low-impact
Overall Evaluation
Environmental Good
Practice Index

Items completed x 100

All items evaluated

Checklist criterion was evaluated via a 01 Scale (1 for compliance and 0 for noncompliance). The
checklist was applied on a weekly basis for 13 weeks from July to October 2013 to ensure effective
implementation of practices. From the checklist, 7 indicators were calculated, as presented at Table 2, allowing for a quantitative analysis of actions for continuous improvement, using previously
raised indicators as a basis of comparison.
At operational level, a weekly report was presented at the daily health and safety meetings conducted by the Safety Technician with site workers, in which the performance of the week was
presented showing photos illustrating sensitive points and opportunities of improvement which
were also discussed with the aim of improving worker education and increasing involvement. At
tactical project level, a monthly environmental balance was elaborated containing a critical analysis of the practices implemented and the results of the indicators. This was discussed with the
project team, construction waste consultancy team and the AQUA consultancy company via videoconferences and internal audits. As part of the learning process, reflecting loops were carried
out aimed at identifying difficulties encountered, barriers, gaps, and opportunities for improvement of the methodology applied during the whole project development.
Sinduscon-Ba Project Description
The Sinduscon-Ba Headquarters is located in the city of Salvador-Bahia-Brazil and built where the
former headquarters once stood. The 10-story commercial building occupies an area of 594.70 m2
with a built area of 2449.06 m2, consisting of 5 office floors, an auditorium, a flexible corporate
space with meeting rooms for seminars, lectures and events, a roof top with garden and 2 floors
for car parking. The construction process lasted 16 months, from July 2012 to November 2013. It
was built with a reinforced and prestressed concrete structural system, double concrete block
cavity walls and steel column foundations with reinforced concrete blocks.
The Sinduscon-BA Headquarters was built under the AQUA-HQE sustainability certification criteria incorporating technologies and sustainable solutions throughout the design concept stage,
construction stage and during its operation and use stage. Building solutions include: solar panels, wind turbines, elevated floors, building management systems, bioclimatic facades, Dali system for natural light optimization, LEDs, light sensors, green roofs, green walls, natural gas central
air conditioning system, enthalpic wheel, CO2 control for indoor air quality, electric vehicle charging points, showers for cyclists and cycle racks, rainwater harvesting and greywater reuse, water

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and energy economizing gadgets, real time energy monitoring, centralized vacuum system and
use of ventilated facades with high performance glass.
The AQUA-HQE Certification for Sustainable Buildings, granted by the Vanzolini Foundation evaluates the environmental quality of a building in 14 categories. Performance in each category is
classified as good (minimum acceptable level), superior (corresponding to best practices level)
and excellent (based on the maximum performances found in Sustainable Developments). The
building was certified in the execution phase achieving excellent performance in six categories,
superior in six and good in two categories. Two AQUA categories are concerned with the construction phase, Category 2 - Integrated selection of Products, Systems and Construction Processes and Category 3 - Low Environmental Impact Construction Sites.
Implementation, Monitoring and Learning of Sustainable Practice on Jobsite
Initially, a selective deconstruction plan in order to remove the former headquarters and guarantee optimal valorization of materials and minimization of impacts was elaborated. All electrical
and air conditioning equipment, frames, railings, removable liners, lamps and lighting fixtures,
switches / sockets, etc. were donated to employees and NGOS. The remaining wood was sent to
a ceramic industry for heat energy generation, plastic and glass was recycled by cooperatives. The
waste masonry, slabs, mortar, blocks, floors, etc. went to a recycling company for the production
of aggregates. 24.4% of the construction waste aggregate was used in the basement floor of the
building, replacing natural aggregates thus preventing the need to extract new resources and
reducing waste disposal in landfills.
From the viewpoint of consumption, a materials selection policy was adopted based on performance criteria guaranteed through appropriate certification, durability, life cycle concepts, distance (privileging materials produced within a 300 km radius) and ease of maintenance, which
was monitored by a spreadsheet. Training of the materials procurement staff and workers on respective policies was required. Practices to reduce energy and water consumption were implanted such as using energy and water efficient equipment and appliances, insertion of procedures
for switching off gadgets as well as the energy and water supply at the end of each day, and
monthly monitoring of energy and water consumption. These guidelines were also passed on to
the subcontractors and suppliers of equipment. Figure 1 presents water and energy consumption
indicators, showing that despite the high progress of construction from June to September 2013,
the relation between water and energy consumption and Man-hour maintained quite stable.
These consumption practices were implemented at the beginning and therefore inserted as a
policy in the contractors management system.

Deployment of sustainable practices on construction sites

425

Figure 1: Water and Energy consumption per man-hour associated with the construction progress
During the construction, a waste management plan was implemented. A spreadsheet was used,
discriminating waste type and quantity for each month allowing comparisons between previously established indicators. New reduced production targets were created each month. Costs with
transportation and disposal as well as income with sales were also monitored to determine the
critical waste type in terms of quantity and cost. Results showed that 83.7% of all waste generated
during construction was reused or valorized as raw material in the studied project.
Best practices aimed at controlling particle emissions and minimizing their risks were implanted
such as using water during earthworks, irrigation of soils, wetting objects while sweeping and
before cutting with a saw to avoid dust. Groundwater levels were controlled, surface runoff and
rainwater collection with adequate drainage systems were implanted with the provision of effluent treatment systems before directing it to the public network, thus avoiding soil and water
pollution and minimizing risks of contamination on the construction site. During unloading of
materials and concrete, plastic sheets were placed on roads under the truck to collect the remains
of materials allowing for its reuse, or referral to the effluent box, avoiding obstruction of public
drainage systems. Greywater was reused, such as water from the mortar mixer and from cleansing
of equipment and concreting. Water from sinks was reused in the urinals.
Training of workers conducted by the safety manager occurred on a daily basis in order to ensure
the implementation of the practices. Topics included health and safety programs, environmental
care, and rational use of water, energy, waste material, waste management and risk prevention.
A digital inclusion program was offered to the workers, families and the neighborhood car valets,
with an Employee of the Month Program awarding one worker per month for exemplary behavior
based on set criteria. Regular jobsite inspections were performed by the safety personnel to ensure effective implementation of good practices. Integration trainings were carried out with new
teams and subcontractors.
Temporary facilities designs were elaborated for each construction phase, defining strategic positions for noisy equipment and acoustic treatments thereby reducing the impacts on the neighborhood. Delivery times were agreed with neighbors banning noisy work at weekends. Sound
levels were monitored during concreting as well as ensuring that equipment was in good condition, favoring equipment with lower noise and vibration emissions. The production of onsite mortars was minimized, using prefabricated and industrialized materials. Site access and pedestrian
flows were managed with daily cleaning and maintenance of roads and sidewalks. A good neighborhood policy was implemented promoting transparency through signs with contact details for

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complaints and suggestions. Neighborhood buildings were regularly visited. Notification letters
were sent out 48 hours prior the concreting and other noisy activities. Complaints were registered
and monitored with corrective actions implemented. Table 3 shows that the critical period of the
project concerned to claims was in November and December 2012, during superstructure works
with a total of 7 claims related to neighborhood house damages, cleanness and particulate matter
emissions.
Table 3: Neighborhood feedback during the construction
Neighborhood positive
feedback or claims
Positive feedback

Nov/12

Dec/12

Jan/13

Feb/13

Mar/13

Apr/13

May/13

Total

Noisy claims

Particulate emission claims

Neighbour house damages

Dirty claims

6
3

Table 4 shows the findings for the monitoring of low impact environmental good practices from
July to October 2013, according to the indicators, good practices and criteria aforementioned at
Table 2.
Table 4: Monitoring of low-impact environmental good practice indicators per month
Indicators

Jul/13

Aug/13

Sep/13

Oct/13

Average

Material, Water and Energy Consumption Index

71%

54%

89%

80%

80%

73%

Water, Soil and Air Pollution Index

80%

85%

93%

Temporary Facilities Index

73%

86%

67%

Health and Safety Index

75%

86%

71%

Outdoor Quality Index

78%

84%

89%

50%
80%
60%
91%
79%
89%

66%

Solid Waste Index

Low-impact Environmental Good Practice Index

76%

79%

80%

75%

78%

78%
80%
79%
78%
85%

Difficulty in meeting the consumption items criteria was found. Despite data on water and energy
consumption having been collected on a monthly basis, the dissemination of these onto workers
was not a routine. Often the storage of materials was also not appropriate. From the material
purchase viewpoint, the project team faced difficulties in finding material factories near to the
city of Salvador, such as high flag ash cement, ceramic tiles, aluminum composites and glass. It is
therefore necessary to incentivize local industries.
Due to a structured waste program under an external consulting, almost 80% of the practices
were systematically implemented during the study. One of the difficulties was concerned with
plaster waste, as despite the obligation imposed by CONAMA Resolution N. 307 (CONAMA 2002),
there is to date, no industry to receive plaster residue in Salvador, so it is was sent to a dangerous waste landfill. Another important consideration is that waste management requires continual
monitoring and training in order to ensure correct segregation. Often waste was found mixed
together therefore requiring more bins located in strategic work areas to promote reuse within
the jobsite. At times subcontractors showed a resistance in adapting to the contractor sustainable construction policies. Even with daily training on waste management and other practices
emphasizing importance, the construction site had some difficulties in making the workers participate, due to the high employee turnover. Contact was made with the subcontractor managers

Deployment of sustainable practices on construction sites

427

to enforce employee commitment, thus confirming the need to determine measures and include
previously agreed contract terms guaranteeing adherence to best practices and project policies
when hiring subcontractors.
Concerning pollution, an evolution in the implementation of good practices until September 2013
was noted. The recurrent problems identified were the non use of plastic construction safety nets
and often the production team did not wet areas during production activities and when sweeping. Despite the intense and greater concern with health and safety training enforced by the Brazilian Regulatory NR 18 standards (MTE 2013), this indicator showed a fall in September 2013 for
different reasons, such as not using individual safety equipment (Hearing Protectors, Footwear,
Glasses) and also equipment for delimitation of areas and guardrails in bad conditions. In terms of
the Low- impact Environmental Good Practice Index (LIEGPI), performance increase was noticed,
despite a drop in October 2013, which might be attributed to the amount of work in progress in
the last two months of the construction and the focus of the project team on meeting the construction schedule rather than the environmental issues.

Conclusion and Recommendations

The main contribution of this paper is the establishment of conditions, criteria, and metrics to
evaluate the implementation process of practices for low environmental impact construction
sites and also the effect of a comprehensive on-site sustainable practice program. Despite the
limitation of implementation of these criteria and metrics in a single project, this technique can
be tested to evaluate different implementations that involve various levels of training and incentives.
Through this case study, it was observed that construction site projects should be developed
redeeming design solutions and management practices adopted for permanent buildings and
exploiting them in the design of temporary facilities, with assigned technical responsibility in
order to assist in achieving sustainability on construction sites.
In addition, the implantation of sustainable construction sites also depends on an entire supply chain that must also be engaged with achieving sustainable development, requiring a commitment from all parties involved. It is necessary to encourage enterprises to develop training
programs and use local labor, training engineers and architects and creating new public policy
agendas, promoting forums aimed at strengthening the link between the construction industry,
academia and government.
Incentives are required for the development of industrialized materials and technologies decentralizing factories as a whole in Brazil. Subsidies should be created in order to make innovative
technologies that promote energy efficiency and rational resource use more economically feasible. It is important to develop certification systems and other methods to ensure compliance and
quality of materials, products and systems.
From this study a methodology for deploying low environmental impact construction sites was
developed. However, further studies should be carried out for its validation. A best practices manual is under development in alignment with national and international protocols on reducing
environmental impacts on construction sites.

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International Conference | Bari - Lecce, Italy

Session V - VI

ENVIRONMENTAL BEHAVIORS OF MODULAR

NEIGHBORHOODS THROUGH CURRENT
REGULATIONS ESTIDAMA, UAE
Oraib K.A.M. Al Abbadi1 & Hasim Altan1
1 Sustainable Design of the Built Environment, Faculty of Engineering & IT, British University in Dubai, UAE,
[email protected] / [email protected]

Abstract
An adequate framework that sets basic implementation strategies of environmental methods
and relevant legislations is essential for developing the sustainably environmental coefficient
of current industries and big cities that are not strangers to environmental setbacks despite
their industrial rapid developments and advancements. This study aims to deliver an initiative
model that is based on capturing the difference of sustainable behavior of current neighborhoods in Abu Dhabi before and after adopting local policies regulated by Estidama pearl
rating systems in order to deliver a modular sustainable bundle that can be implemented
in future community developments. A typical community in Abu Dhabi consists mainly of a
neighborhood that is repetitive in its main functional components rather than its physical or
structural perception. The Estidama community pearl rating system is established to set and
evaluate the mutual coexistence of current and future communities with the environment
from a sustainable point of view that is basically diverted from the LEED rating system. Moreover, this study will adopt numerical values directed strategies, addressed within the green
rating systems adopted in Abu Dhabi, to form a sustainable bundle to upcoming community
projects based on repetitive neighborhood forms. These strategies will be chosen based on
their anticipated environmental influence on the overall sustainability behavior of the neighborhood in hands, as well as their easiness of implementation actively or passively, according
to Abu Dhabis unique urban, climatic, industrial and environmental different settings. This
studys importance lays in capturing the essence of difference taking place when applying environmental green methods to neighborhood communities. It also presents the investigation
of success of the currently implemented Estidama rating system through a basic and simple
comparison of implementation results through analysis and evaluation of a case study via the
software tool of CityCAD; a program that can evaluate the effect reading of the environmental
aspects of a given community form.

Keywords
Environmental Sustainability, Neighborhood Form, Abu Dhabi, Estidama, CityCAD, UAE.

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Introduction
The lack of integration between the natural and engineered systems is perceived as an environmental setback, highlighting misplaced priorities that address current environmental neglect in
followed regulations and relevant legislations on the main governmental authorities that play
the prime role in city and urban planning terms. This misplacement is unfortunately self-claimed
as a common feature in the current cities development and growth progress. Sustainable regeneration can be considered as a derivative of the wider area of sustainable development. This is
because sustainable development as an emerging concern in the 90s began to gain recognition in government policy and consequently permeated into regeneration thinking and policy
(Couch et al. 2011). Sustainable regeneration can therefore be considered as a path towards which
sustainable development may be achieved. In essence, sustainable regeneration contributes to
sustainable development.
In the United Arab Emirates (UAE), a sustainable implementation initiative has come to life, known
as Estidama; a green rating system, that has been applied by the construction industry to mostly
buildings and some communities. The environmental conductance of applying the many methods that Estidama draws within buildings will be attempted to be measured in this study and presented as tangible outcomes that tackle the range of successful green methods implementations
in current communities.

Approach and Methodology

The purpose of the research is to make an overall assessment, a direct adaptation as well as delivery of a sustainable package that is designed to enhance the sustainable behaviors of modular
neighborhoods through evaluation of the current regulation and strategies of the communities
that are in the UAE. In this research, both approaches of qualitative as well as quantitative methods had been applied in the study. This study will adopt numerical values directed strategies,
addressed within the green rating systems adopted in Abu Dhabi, to form a sustainable bundle to
upcoming community projects based on repetitive neighborhood forms. The research will comprise technical, environmental assessment components and attempt to document its potential in
hot climate through investigation and analysis. Moreover, the following are the objectives of the
study:
Find results to the process of changing the environmental measures to basic neighborhood
parameters relative to the well-being of a community.
Highlight the recent researchers efforts in tackling the specific issue developing and evaluating sustainable communities through an intensive literature review, reflected within an upcoming section.
Conduct an analysis of a current neighborhood, within the emirate of Abu Dhabi, as to serve as
a case study model to evaluate occurring trends and strategies adopted in local communities.
Demonstrate the neighborhoods simulation model using CityCad to assess and capture the
effect of applying sustainably environmental strategies through software controlled parameters.
This aspect thrives to form a sustainable modular package that can be adopted in different community developments as a basis model as a concluding extensive statement.

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UAE and Sustainability Status

The UAE plays host to two of the worlds fastest-growing urban centers Abu Dhabi and Dubai.
These cities are emblematic of urban-centered growth and according to (Bassens 2012) the two
cities continued to experience prosperity despite the 2009 debt crisis experienced in Dubai.
Moreover, both cities experienced exponential growth in their populations spurred initially by
the discovery of oil. Recent times however saw the sanctioning of development of cities with an
aim to shift away from oil-dependency. These cities are designed as business trade and servicing centers (Bassens 2012). As part of the wider gulf region, the UAE plays an important role as a
source of global capital.
In the study of urbanization in the UAE, it is of paramount pertinence to consider Abu Dhabi
and Dubai. The two cities also serve as states and are part of the large unity of Arab Emirates.
They are hallmark city-states of the emirates, with (Bassens, 2012) indicating that they possess a
history of rivalry. Abu Dhabi serves as the federations capital and also provides the president, a
position secured owing to its oil wealth. Dubai on the other hand, was able to secure veto power
in the supreme council. The themes of urban regeneration are explicated in the design of urban
centers in the emirates. Bassens (2012) indicates that the city-building projects operationalized in
the emirates mirror those of successful urban economies oriented towards service. The role of the
royal family in the development of these modernized urban centers has been a significant one.
According to (Bassens 2012), this has been through the facilitation of international investment
from a supply-side perspective. Moreover, there has also been a relaxation of the fiscal and juridical environments with an aim of attracting regional as well as global investors. The endeavors of
the royal family in creating a favorable environment for urban development is an exemplification
of the role of government envisioned in the local strategic partnerships phase of the urban regeneration evolution process.
While the tremendous growth of the emirates urban centers is quite remarkable, it raises important sustainability questions. This is because according to (Bassens 2012); Dubai was able to
build its dream using large amounts of borrowed money. This is through the construal of Dubai
as a prime destination for property development, tourism, real estate and other service related
opportunities. However, the property bubble of 2008 led to a financial crisis in Dubai towards the
end of 2009 due to the collapse of the property market and the emirates consequent inability to
reclaim issued revenue. The Dubai debt crisis of 2009 highlights issues on economic sustainability of the emirates (Bassens 2012). In terms of figures, Dubai had an ambitiously laid out master
plan designed to make it the economic hub of the world. Samarai and Qudah, (2007) indicate
that part of Dubais ambitious aims were to play host to 6 of the worlds top ten tallest buildings.
Moreover, it also aspired to play host to the worlds largest airport. All this projects require heavy
capital expenditure not only during construction, but also during maintenance. The economic
sustainability problem is compounded by the current construction methods. According to Samarai and Qudah (2007), the current methods lead to heavy energy consumption of the buildings
not only during construction, but also during their day-to-day operations. The sheer magnitude
and size of Dubais constructions and projects therefore bring into focus the questions of energy
consumption.
The consequence of continual growth in energy consumption would be shortage of housing and
food supply. The UAE is said to be five times more unsustainable than any other country globally
(Samarai and Qudah 2007). This brings into stark focus the extent of the unsustainability of the
UAE, which is rather expected going by the magnitude of its overly ambitious projects.

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Estidama Pearl Community Rating System

Estidama is an Arab word that is the Arab equivalent of sustainability. As such, the Estidama Pearl
Community rating systems can also be translated to read the Sustainability Pearl community rating system. Launched in 2008, Estidama was an initiative of Abu Dhabi in its urban growth plan
for Abu Dhabi 2030 aimed at promoting sustainable growth (Madden 2010). In its vision, the government established that sustainability lay at the heart of any development in Abu Dhabi both in
the short-run and in the long-run (Salmi et al. 2013). Consequently, the Pearl Rating System arose,
as an initiative of the Estidama vision. Essentially, Estidama targets to create guidelines and regulations to ensure sustainable design operating and maintenance of all types of buildings and
communities within the Emirate (Salmi et al. 2013:1105). It is built upon four pillars: environmental,
economic, cultural and social.
The Pearl rating system targets all types of buildings and communities. In line with this end, the
rating system is tri-faceted. It has a community rating system, a building rating system and a villa
rating system (Salmi et al. 2013). Each of these levels has its own criteria as well as its own rating
system. There are three levels of certification: design, construction and operational. In the first, the
proposed designs are evaluated to determine whether they are consisted with Estidama goals.
The pearl system does not only address the assessment of buildings. Rather, it takes an integrated
approach whereby it addresses sustainable design at the planning, design, construction and operation levels. Moreover, the system has seven key categories. Each of these categories addresses
a particular performance or design metric, and has been referred to in other literature as sustainable development indicators (Singh et al. 2009). These categories are: natural ecosystems, livable
communities, resourceful energy, precious water, stewarding materials, innovative practice and
integrated development process.
While the Estidama system is a very good one conceptually, it has broken down at the implementation stage. As noted, the system is not applied or rather, has not begun being applied to existing buildings. This is despite the fact that Abu Dhabi consumes well above the world average of
electricity and water. Another concern for Estidama is that after a mere 6 month of its application,
the Pearls rating system was suspended (Salmi et al. 2013). This was for residential buildings and
villas and resulted from difficulties in the application of the system. The implication is that while
the Pearls rating system had the best intentions for sustainable development in Abu Dhabi, lack
of proper planning led to a breakdown. A more tangible outcome of the failure of the Pearl rating
system is the foregone opportunity costs. This is because the implementation of Pearls rating
system could potentially have led to savings of roughly 11,000GWh in residential sector alone. Yet,
this was one of the specific areas in which the implementation of the Pearls rating system failed
(Madden 2010).
Applicable Case Study
The case study that has been chosen for the purpose of evaluation of this study meets the definition of a modular community by the values established within Abu Dhabi 2030. Within the coordinates of 2427 North, is Al Bateen area in the emirate of Abu Dhabi, on a micro scale lays the
specific neighborhood community chosen as a study object (Fig.1).

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Figure 1: Ariel view of community case study (Google Earth)

In terms of connectivity, the neighborhood is close to all basic amenities within a diameter of
450m as shown in Figure 2 followed by images in Figure 3.

Figure 2: Ariel view of community case study (Google Earth)

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Figure 3: Images of the case study neighborhood

Main Characteristics
Type: residential
Urban form: Cul de Sac
Number of buildings: 6
Floors: 3- 4 floors for each building
Flats: 2 flats for each floor, total of: 48 flats.
Number of residents: 190
Total Area: 5300 m2
Environmental Readings
The environmental assessment of the given community basically revolved around four pillars:
The annual CO2 emissions of a single household unit are equivalent to 10 tons of CO2, per year.
The waste generation meets the ceiling of 1000 Kg a year of each household.
Water usage ranges around 160000 liters on a yearly basis.
Estimated energy consumption is delivered through 3000 Kw/h, of each unit.
Implemented Scenario - Technical Aspect
Taking the environmental Estidama integrated credits and reflecting them into on-site simulated
implementation has been based upon the following credit categories:
NS-3 INTENT: Demonstrate enhancement of the ecological value of the site by planting native
or adaptive species. If 50% of the plants specified for planting are native and adaptive drought
and/or saline tolerant species, including a minimum of 5 different types of species, a total of 1
point will be rewarded. This is translated into the model by increasing the number of planted
trees within the neighborhood, around the main cul de sac entrance and through a central green
area that is to be implemented instead of the car parking. It is expected to positively affect the
CO2 emissions of the community, using a native and adaptive planting methodology will help
maintain the irrigation water demand at the lowest levels, thus increasing the plantation can be a
win/win solution without burdening the water consumption aspect in a negative way.
LC-R4- INTENT: Demonstrate an outdoor thermal comfort strategy has been employed to identify priority areas for shading and improve the outdoor microclimate for the community. The strategy is to consider the following as appropriate within the projects specific context: Orientation;
Shading; Selection of high-albedo surfaces; Ventilation; Evaporative cooling; Radiative cooling;
and Thermal mass. Out of all the mentioned methods, this study will adopt the shading approach,
as it is found to be the only solution that can be amended upon the case study without having
a fundamental change, of which CityCAD can assess and evaluate. The mentioned solution, addressing the shade relation to the community is foreseen to affect the energy consumption of
all integrated households as one unit, nevertheless enhancing the personnel experience of residents within their place of daily living and activities. This will be implemented within the proposal
by adjusting the shade percentage within CityCAD to optimal levels, by using the shade option
of buildings, shade elements and all the planted trees that are to be installed within the proposal.

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LC-7- INTENT: Demonstrate that outdoor spaces have been provided and programmed to encourage activity, including sport and recreation. The spaces must be specifically developed for
any of, or any combination of, the following; Landscaped areas for recreation; Playground areas;
and/or Sports field areas. The latter credit is highlighted as a crucial method to be adopted within
the future sustainable communities, as it does not only affect the environmental behavior within
the sustainable bundle, but it also directly tackles the social aspect of a sustainable community, a
whole another important level of study that is to be discussed in upcoming papers, yet essential
enough to be mentioned within this study, and this credit specifically. The anticipated effect of
applying this approach is a direct influence on the CO2 emissions, due to replacing the central
parking lot of the community with a central open green area as previously shown (Fig.2).
PW-3 - INTENT: Demonstrate that the average Water Reduction Target achieves the following
improvement compared to the baseline building performance, from efficiency measures only:
1 Credit Point: Wbldg 16% improvement compared to the baseline building
2 Credit Points: Wbldg 22% improvement compared to the baseline building
3 Credit Points: Wbldg 28% improvement compared to the baseline building
4 Credit Points: Wbldg 34% improvement compared to the baseline building
5 Credit Points: Wbldg 40% improvement compared to the baseline building
Set targets for the average landscape irrigation demand, IBL, of all building plots within the community as follows:
2 Credit Point: IBL < 4 liters/m2/day
3 Credit Point: IBL < 2 liters/m2/day
The water consumption levels in the proposed community will be adjusted within CityCAD to
comply with the highest set-up value according to the above Estidama listed credit, which is
equivalent to 40% cut down of the basic water consumption reported in the preliminary community assessment.
RE-4.1- INTENT: Demonstrate that a percentage of the communitys total energy consumption is
supplied through renewable energy generated within the community site boundary. Renewable
energy may be supplied by developer-funded and owned systems or through third-party onsite
renewable energy hosting and purchase agreements (with a purchase agreement of at least 5
years). Demonstrate that an onsite renewable energy feasibility study has been undertaken, and
that one or more appropriate technologies have been selected from the study; and 1-8 Credit Points: Demonstrate that a percentage of the communitys energy consumption is supplied
through onsite renewable energy. Points are awarded as follows:
Table 1: 1-8 Credit Points
Points Achieved

Required Percentage

1%

3%

5%

7%

10%

15%

20%

25%

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RE-5- INTENT: To promote the reduction of energy consumption of buildings within the community to help decrease the carbon emissions associated with the development as well as limit the
size and burden on the community infrastructure.
Credit Requirements: GENERAL - Buildings (except Villas): Demonstrate that the average energy
performance target (as defined within the Calculations and Methodology section), achieves the
following:
1 Credit Points: Cbldg 15% improvement compared to the baseline building energy consumption.
2 Credit Points: Cbldg 20% improvement compared to the baseline building energy consumption.
3 Credit Points: Cbldg 25% improvement compared to the baseline building energy consumption.
4 Credit Points: Cbldg 30% improvement compared to the baseline building energy consumption.
The above mentioned Estidama extracted credits will be addressed throughout this studys proposal by adopting a renewable energy via CityCAD. The renewable energy parameters are to be
set as to target the highest ceiling of point of the credit, which is 25% share of the total energy
generation. The energy consumption specified values of the proposed modular sustainable community are to consist of a 30% cut off the main preliminary energy consumption of the original
case study community.
SM-R3/ SM 6 INTENT: Demonstrate that Operational Waste Management has been addressed
from the concept stage. As a minimum, the following must be addressed by the design and development team: Annual estimates of Operational waste (in buildings and public realm); Summary
review of existing and planned waste management infrastructure and programs available from
the appropriate authority; Proposed options for diverting waste from landfills and incineration
with a minimum targeted diversion rate of 40% by weight or volume of the total operational
waste generated at full occupancy; Provision of adequately sized waste management facilities
including:
Collection and storage facilities for recyclables, general waste and hazardous waste, and
Treatment facilities (e.g. composting, anaerobic digestion energy from waste) where appropriate; and
Adequate vehicular access for waste handling vehicles.
Develop and implement an Operational Waste Management Plan (OWMP) that includes measures for diverting waste from landfills and incineration to meet the following minimum targeted
diversion rates: 2 Credit Points: 60% of the total operational waste generated at full occupancy (by
weight or volume).
These figures exclude all hazardous waste that must undergo specialized treatment.
The waste management related credits of SM-R1 and SM-6 are translated within the CityCAD
model through specifying the percentage of the recycling of the previously set up value of waste
generation of the community unit. A 60% recycling value will be targeted within the CityCAD
produced proposal, the highest value achievable through Estidama established levels.

Direct Implementation and Relevant Results

Environmental Aspect 1: CO2 Readings
What is noted at first glance is the reduction in the CO2 emissions value produced within the

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community units. From an annual amount of 10 tons of CO2, the household unit registers a good
reduction of 6.3% resulting in the production of 9.37 tons of each unit. A relevant rounded number, as compared to what Doug McKenzie-Mohr mentioned in his book; Fostering Sustainable
Behavior: An Introduction to Community-Based Social marketing, which highlighted the fact that
7.4% is the estimated reduction in CO2 emission within programs targeting residential sustainable
energy use within the residential communities.

Figure 4: Screenshot showing post properties of case study community (CityCAD)

Figure 5: 6.3% reduction in CO2 emissions

Environmental Aspect 2: Waste Generation
Applying the 60% recycling in the waste generation value, the proposed neighborhood will be
left with only 400 Kg as an annual waste that is to be landfilled. 600 Kg of waste is to be recycled;
this is achieved by placing recycling collecting bins in the proposed neighborhood, backed up by
applying a proper bin referenced segregation strategy within each building of the community.
This is managed by Abu Dhabi municipality in providing the local community with the special
recycling bins, and by integrating a proper design system for waste segregation to each building
as foreseen by their individual designer teams.

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Figure 6: Results of achieving 60% annual operational recycling rate

Figure 7: Screenshot showing post properties of case study community (CityCAD)

Figure 8: Screenshot showing post properties of case study community (CityCAD)

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Environmental aspect 3: Water Consumption

As to water consumptions, addressed by all mentioned PW credits, the simulation process of the
proposed community reported the award of 3 credit points of Estidama. This is due to pre-specifying the irrigation needs of all planted trees to native and adaptive irrigation measures which is
equivalent to IBL < 2 liters/m2/day as a set target.

Figure 9: 40% reduction in water yearly consumption

Environmental Aspect 4: Energy
Finally, running the second simulation procedure throughout a renewable energy source within
the production of the proposed communitys energy system was implemented. Results revealed
that the energy consumption of an electricity source was reduced by a percentage of 19.6 which
does not achieve the highest ceiling of 25% set by Estidama (RE-4.1) but rewards the proposed
community with a good score of 6 points for this credit.

Figure 10: 19% reduction in daily energy consumption

Other passive strategies regarding RE-R3 did not participate in the above mentioned energy consumption reduction rate. This is mainly due to the extent of amendments this study is targeting
towards the proposed community layout. The focus of this study is to apply changes upon the
original case study within a proper logical framework and specified limits, as to offer the ability
to utilize such measures within futuristic considerations rather than changing the fundamental
basis of the case study like the orientation or implementing new construction materials which is
impossible to apply in existing communities buildings without having to start from scratch.

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Discussion
The following chart (Fig.11) demonstrates the output of all found results; shown are the four environmental parameters that had been under study of this researchs aim to figure the behavior of
the environmental setting of the modified presented case study community. It is concluded that
the effect of applying the environmental oriented credits of Estidama was most influential on the
landfill waste generation aspect. A great increase in recycling on terms of waste management is
to be achieved by integrating the waste management methods highlighted within the Estidama
manual and mentioned early within this study.

Figure 11: Environmental parameters behavior (concluded)

On a scale from 0 to 40%, referring to the fundamental results of the integration of all four analyzed environmental parameters grounded at zero, and after the 31% rewarded value of the landfill
waste generation reduction, water consumption achieves a value of 26%. It is important to note
that indoor water methods have not been recorded throughout this papers measurements, as it
is assumed to be of individual house hold decisions, and are not included in the overall community environmental framework that is foreseen as a general package for the whole community
without referring or jeopardizing the individual freedom of choice, which will hopefully be oriented towards more sustainable levels after applying the mentioned methods due to increasing the
awareness of the importance of a sustainable community concept.
Using a renewable energy is the most direct way to integrate a sustainable concept within any
community. The impact of such approach can achieve more than the recorded 21% enhancement
in the energy consumption levels. This specific percentage basically refers to the inability, within
this studys specified setting, to modify the elements of neither the studied buildings envelopes
nor their orientation. Modifying these two parameters can significantly increase the impact of
the energy consumption reduction, while adding a renewable/ green source of energy that can
provide for the consumption at optimal sustainable levels.

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Redefining the central open area to a green area, and transferring it from the previous function as
a central car parking participated in recording a significant reduction in the CO2 production levels,
recording a 15%, grounded according the 4 environmental aspects behaviors as a whole. This is
mainly due to the other sources of CO2 emissions of individual household activities, as previously
discussed within this paper. A very important issue that has to be stated within this studys scope,
is the fact that CityCAD cannot measure the additional enhancement status of a sustainable environmental improvement within the community that can be achieved by the individual residents
efforts in increasing all appropriate behavior that maintain the optimal level of a sustained environmental setting.
As this studys main subject has been dealing with a community, the awareness of the sustainable
environmental status of the neighborhood and having ways to enhance should be a main target
for any future community developments. The human is at centre of any sustainable development
and increasing the sustainable awareness leads to a noticeable progress in peoples behavior and
consumption patterns within a community of a responsible reference.

Conclusions
This section bundles up the most direct methodologies that encountered a recognizable change
in the sustainable environmental behavior of the analyzed case study community. The approaches that are to be clarified below are extracted from the mentioned processes, connecting all dots
of this study. It is important to re-emphasize on the fact that this studys virtual technical implementation process has been done by an existing framework under the current regulations
of Estidama, moreover this was applied on a case study community that is formed by futuristic
parameters and onwards vision specification for the upcoming Abu Dhabi 2030. This draws a true
authentic dimension towards the feasibility of future efforts to adopt this studys results and its
produced sustainable environmental bundle to be applied on existing communities in order to
behave their most archival optimal sustainable level, hence opposed to minimal amendments
possible as not to jeopardize the current form, design and layout of any community outside the
logical and realistic measures.
This study also puts in consideration, in establishing the sustainable environmental package,
the ability to be implemented within any communal development of the futuristic vision of Abu
Dhabi 2030. Although the provided solutions are extracted from one specific neighborhood case
study and by using one specific environmental evaluation software, that should not mean that the
to be established modular solution bundle cannot be implemented in any community forming
projects. A very important approach is to increase the planted trees among the neighborhood.
A good way to do this is to establish a central open green area that can also host some social exercises, strengthening the social aspect of a sustainable community as well as its environmental
face. Environmentally, this approach is achievable and within logical limits of implementations.
Not only CO2 levels are reduced due to the plantation but also the underneath shades provide a
very good outdoor quality. Building on the above approach, through the specification of native
and adaptive trees, develops into the second methodology approach of this studys sustainable
environmental package.
The use of native and adaptive trees is linked directly with the irrigation needs by not burdening
the water consumption with the suggested increase in plantation. The study actually showed that
the watering needs of planting 20 trees can still be maintained by a value of less than 2 liters/m2/
day which is Estidamas highest set target. Installing domestically water controlling equipment,

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such as basin taps, BD flushes, shower heads that runs on a minimized flow is guaranteed to reduce furthermore the water consumption levels to up to 40%, a percentage that is targeted within Estidama for building rating system. Setting ways and equipment for waste management such
as segregation waste containers, waste management brochures and proper waste segregation
related signage, forms an important approach drawn by this studys aim of achieving a modular
sustainable package. Establishing a proper waste management plan for the community assures
high values in operational recycling, thus improving the environmental level and the social responsibility towards a better community quality.
As for the final basic methodology, a renewable energy source of production has to adopted in
upcoming design considerations, in the UAE solar energy, by adapting a PV panel system, is highlighted among numerous existing projects and is prevailed as the best relevantly easily applicable approach as to reduce the burden on producing energy in traditional ways, that depend on
non-renewable resources. Adapting the above sustainable environmental package can positively
affect the behavior of any given community in terms of achieving a proper environmental quality
and an ambitious sustainable output.

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International Conference | Bari - Lecce, Italy

Session V - VI

DESIGN DECISION-MAKING PROCESS OF

AFFORDABLE LOW ENERGY HOMES IN LATIN
AMERICA
Pablo Jimnez Moreno1 and Masa Noguchi2
1 MEARU (ZEMCH R&D Group), Mackintosh School of Architecture, The Glasgow School of Art, UK,
[email protected]
2 Faculty of Architecture, Building and Planning, The University of Melbourne, [email protected]

Abstract
The current unmeasured energy consumption is the main reason why the world is suffering
from fuel poverty and it is generating greenhouse and carbon dioxide (CO2) emissions that
contribute to increase environmental issues, such as global warming. The United States Environmental Protection Agency estimates that the residential sector is responsible for 9.9% of
the worlds total greenhouse gas emissions, where developing countries 143.5 kg of CO2 emissions per capita could be considered relatively low compared with 967 kg of CO2 per capita of
developed countries. However, the population in developing countries is far larger and rapidly
expanding, which has generated that Brazils and Mxicos percentage of CO2 emissions contributed by the residential sector is above the global average. Therefore, there is an imminent
necessity to shift the Latin American housing design methods in order to achieve sustainable
and affordable energy efficient housing developments. This study explores a methodology to
support the design decision making-process in order to achieve affordable energy efficient
homes inside the Latin American context. With the aim of achieving these principles, the proposed methodology is based on mass customisation design theory and suggests a collaborative design process between users, housing designers and Energy Simulation Tools (ESTs). To
demonstrate its applicability and to clarify its process, the methodology was tested to assess
the design of a typical Brazilian social house. Thus, this study suggests a method that aims to
synthesise mass custom housing design with an energy efficient design.

Keywords
Housing design decision-making process, Latin America, mass customisation, affordable
housing, energy efficiency.

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Introduction
The aim of this study is to develop a methodology to achieve energy efficient homes by applying
a developed method in a selected study case. To clarify the presented methodology this paper
presents resumed diagrams where the methodology stages are explained on detail. Then, a Latin
American social house project is described and considered as a demonstration model.

Background
Low Energy housing could be seen as a practical solution to tackle the environmental issues (Williams 2012). Low Energy Homes are contemplated to be more expensive. In Latin America, most
of the housing developers opt for mass production systems and even though they achieve low
constructive prices, but the mid and long-term affordability is questioned. This study instead aims
to develop a methodology that social housing designers could use to select design techniques
and construction systems that help them to approach a more energy efficient home design and
lower construction and maintenance costs.
A methodology is a system used in a particular area of study or activity (Oxford English Dictionary,
2013). So, methodologies comprise principles, guidelines, best practices and methods relating to a
particular discipline such as interaction design or user research (Gabriel-Petit, 2010). However, it is
general agreed that design is a process rather than a method, while a process is holistic in nature
and is devised with a specific goal in mind (Pressman, 2012). Therefore, this study aims to create a
methodology that supports the design process based on the Latin American climatic, cultural and
economic context; therefore, its applicability in other regions could be questioned.

Proposed methodology definition

This methodology should be used during the decision-making process, which is consider to be an
explorative phase where a significant modifications can be done (Xu, et al., 2006). Not only energy
aspects are considered to be enhanced with this methodology.
The proposed methodology is divided in the following 5 consecutive stages: custom design approach, standardisation, energy efficiency upgrading, selecting the accurate choice and post-occupancy customisation, which respond to a specific objective. Each stage is characterised for a
different interaction between users, designers and ESTs. The methodology procedure is summarised in the following diagram and each stage is further explained in following sections of this
study (Fig. 1).

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Figure 1: Methodology proposed condensed diagram.

Custom design approach

One of the main issues that contemporary housing developments have is; how to develop sustainable low-cost solutions for houses that aim to be customised to specific individual needs
(Mandolesi & Cesaris, 2013). The authors suggests the use of surveys to measure stage the user
clarify his wants, needs and economic solvency in an analytic expression. During this stage the
designer can provide with different base design options to try to fulfil the market heterogeneity
generating a basic architectural proposal (Fig. 2).

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Figure 2: Custom design approach stage diagram.

This stage outcome is the presentation of ideal design prototypes, where the variety of these will
depend on the users specific context and number of inhabitants. Therefore, the following formulas D(n)A and D(n+1)A can be defragmented as follows:
D: design
n: prototype version
A: this letter represents that the design is in the custom design approach stage.
If number of prototypes is variable they must be identified with consecutive numbers, which allow all prototypes to pass through the stages independently, e.g. D1A, D2A and D3A, where D1A is
a house for 4 inhabitants, D2A for 6 inhabitants and D3A is for 6 inhabitants but 1 has the necessity
of wheelchair facilities.

Standardisation
This stage has the aim of economise the prototypes. First, the prototype is simplified by taking off
of the design all the features that can be easily own-constructed by users after occupancy, trying
to visualise the presented design DnA as an utopic design that will be achieved with the passage
of time not only as the product that will be delivered; otherwise, there is the risk that the product
will be replaced by one better or be simply disused (Tony Fry 2009).
Then it has to be modularised, which means defragment it into components and sub-compo-

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nents to simplify the home production and construction, having the module as the smaller subdivision. (Dahmus, et al., 2001) (Fig. 3).

Figure 3: Standardisation stage diagram.

The modularisation process could be done by selecting any of the steps of the simplification process (DnA, DnA, DnA or DnA) depending on the users economic solvency. Then, the outcome is
named DnB, where B means that that the design has already been divided in standard modules.
The module division is decided by the designer or constructor trying to increase standardisation
and to find the simplest way the components could be produced (Noguchi & Hadjri, 2010). It is
worth to remark that if more quantity of modules are conceived, more is the customisation potential and the user have more control over the design, always considering all the modules should
be properly linked one to each other (Hois, et al., 2009). However, if fewer modules are conceived
the designer have more control over the design and less design time is consumed on the energy
simulations.

Energy efficiency upgrading

The main aim of this stage is ascertain that the proposed design achieve passive house standards,
which assure that the dwelling will generate low CO2 emissions. This stage is composed by consecutive modification loops based on bioclimatic and passive design strategies. Every time the
prototype suffers a modification, the design must be tested in an EST selected to check if it fulfil
the requirements needed. The implementation of these improvements will result in an increase
of cost, but will reduce its maintenances costs (Fig. 4).

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Figure 4: Energy efficiency upgrading stage diagram.

When the prototype DnB fulfils the energy requirements it will be named DnBx. This new prototype can be improved so it can continue flowing through the energy efficiency loop creating new
eligible options DnB(x+1). Therefore, x is a number given to identify the different options generated by the loop process. E.g. If a design prototype called D2B its implemented to the energy efficiency loop and after some modifications it achieve the energy standards, it turns its name into
D2B1 and continue improving it energy efficiency. After each modification the design progress
should be recorded and named differently (D2B2, D2B3) for further affordability calculations.
This process can be repeated as many times as wanted.

Selecting the accurate choice

This stage is characterised by the evaluation of the options resulted from the energy efficiency
upgrading stage. Then, the different options are ranked in a comparative table to assess the user

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to select the option that is more suitable for its economic solvency. The design options can be
expanded by combining and interchanging the eligible options components and modules, then
they should be rendered. Rendering is defined as the act of provide or give, but in the modern
architectural language it can be referred as the process of generating a pre-visualisation from a
model that more closely resembles the possible reality (Oxford English Dictionary, 2013). Therefore, for purpose of this study the methodology focuses on rendering the energy and economic
aspects of the project. This choice will be named DnC, which is the design project that would be
delivered to the user (Fig. 5).

Figure 5: Selecting the accurate choice stage diagram.

Post occupancy customisation

This is a speculative stage that depends totally on the interaction of the constructed project
and the user, which is uncontrolled in time and technique. The given project DnC aims to evolve
approaching to the first design proposed DnA. However, the users necessities and wants could
change during the time; consequently, this model presents a high level of adaptability against
unpredictable future contexts (Fig. 6).

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Figure 6: Post-occupancy customisation stage diagram.

This stage adapts to the Latin American pattern of self-construction. The designer participation in
the process finish when the design DnC is concreted.

Demonstration
The selected project is a typical low income home used in Brazil. This project was selected because the international company LP1 and the University of Londrina are making efforts to apply
the LP materials into this prototype in order to improve their thermal performance and promote
lower energy consumption; therefore, the authors decided appropriate to use it.

Project scenario
The project is a one storey home for a 4 member family with a floor area of 36 m2 conceived to be
constructed with traditional materials such as concrete bricks, wood and ceramic tiles. Windows
and doors are proposed to be single glazing with metal frames (Figs. 7,8).

LP building products: is a leading manufacturer of high quality building materials. It is based on Canada, EUA, Europe,
Chile and Brazil.

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Figure 7: Original house plan to be constructed.

Figure 8: Section A and west side faade.

As already mentioned above, the designers contemplate that the user will have more necessities
in the future so they anticipate the following modifications (Fig. 9).

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Figure 9: Post-occupancy modifications proposed, Option 1 (left) and option 2 (right).

For the purpose of this study option 1 will be conceived as the study case. This model contemplates more spaces to be able to fulfil the necessities of the Latin American market. Consequently,
the methodology will be developed as follows.

Custom design approach stage

This stage is defined by the outcome of an ideal custom project. Therefore, this study will take the
aforementioned option 2 as DA, completing the stage one of the methodology. The conception
of the design and its architectural quality should not be analysed in this study, which is only used
to demonstrate the methodology applicability

Standardisation stage
During this stage the prototype DA is simplified and compacted in order to reduce its footprint.
The strategy followed by the authors was to consider the expected dwelling expansions in a vertical instead of in a horizontal way, which allow the design to justify to the first design constructed
area of 36 m2. Moreover the windows and doors were only displayed facing only north and south,
which allow the east and west walls to work as partition walls against the next door home (Fig. 10).

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Figure 10: DnA design options.

This study will consider D5A as a model to simplify and standardise and the simplification process
is showed below (Fig. 11).

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Figure 11: Simplification process during the standardisation stage.

Once the model has been simplified into DA, it has to be modularised into components and
sub-components. It is worth to mention that even though the prototype has been simplified into
just one level it keeps the double height for allowing later modifications that do not affect the
initial thermal envelope.

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Figure 12: Modularisation process and generation of DB model.

Once the prototype is modularised it is in the DnB step, which represents that the modules and
sub-components are standardised and the model can continue to the next methodology stage.

Energy efficiency upgrading stage

During this stage the selected EST (PHPP for this case) is used. Each step of the energy efficiency
upgrading stage is presented with a plan and a section where the bioclimatic features can be
represented. Moreover a graphic and a table show the building parameters.

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DA simulation
First, the original plan DA is simulated in order to have a base parameter for the further simulations. The initial design is conceived to be made with traditional construction systems such as
concrete bricks, reason why the fabric U-values are deficient. (Table 1) (Figs. 13,14).
Table 1: DA building parameters.
Building
parameters

Site

DA

Londrina, Brazil

Treated floor External wall

area TFA
U-value
(m2)
(W/m2K)

54.40

2.172

Windows
(including
frames)
U-value
(W/m2K)

Roof surface
U-value
(W/m2K)

Floor slab
U-value
(W/m2K)

Average
thermal
envelope

6.38

3.81

2.548

3.088

Figure 13: DA plan, section and heat sources.

Figure 14: Monthly cooling demand (left) and annual heating demand (right).
As it is seen, the Londrina, Brazil climatic conditions allow that the heating demand is almost
unappreciable. However, there is a high mechanical cooling demand during the whole year, es-

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pecially on summer2. One of the main reasons of having such a high level of cooling demand is
the fabric thermal heat transfer and the lack of cross ventilation. The heat transfer through the
materials and through the thermal bridges can be observed in the following diagrams obtained
from the Thermo software (Fig. 15).

Figure 15: Thermal bridge ambient figures. Flux vectors (left), colour infrared (centre) and colour flux
magnitude (right).
The DA simulation results and the achievement of the Passive house requirements are clarified in
the following table (Table 2).
Table 2: DA energy consumption parameters and Passive house requirements.
DA

Heating

Cooling

Energy

Annual heating
demand
(kWh/m2a)

Heating load
(W/m2)

Overall space
cooling demand
(kWh/m2a)

Cooling load
(W/m2)

Consumption
parameters

98

52

76

Fulfil Passive
house
requirements

Primary Energy Energy reduction

(kWh/m2a)
through
renewables
(kWh/m2a)
349

DB simulation
To start the energy efficient stage process, first the simplified design DB has to be tested to see
where the bioclimatic principals should be applied; therefore the DB model is rendered. Even
though in the standardisation process the kitchen furniture and the first floor slab were taken off,
they will be consider for the simulation process to approach to a more real simulation. (Table 3)
(Figs. 16,17).

2 As Brazil is in the southern global hemisphere the seasons are switched in time, so the summer season is during the
months from December to March.

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Table 3: DB building parameters.

Building
parameters

Site

DB

Londrina, Brazil

Treated floor External wall

area TFA
U-value
(m2)
(W/m2K)

66.67

2.172

Windows
(including
frames)
U-value
(W/m2K)

Roof surface
U-value
(W/m2K)

Floor slab
U-value
(W/m2K)

Average
thermal
envelope

6.38

3.704

2.548

3.184

Figure 16: DB plan, section and heat sources.

The process of reducing the project footprint by supressing the east and west apertures to transform those walls into partition walls generate thermal and energetic improvements. It can be observed that the cross ventilation with a height difference between the widows drastically reduce
the cooling demand. (Fig. 16).

Figure 17: Monthly cooling demand (left) and annual heating demand (right).
The DA simulation results and the achievement of the Passive house requirements are clarified in
the following table (Table 4).

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Table 4: DB energy consumption parameters and Passive house requirements.

DB

Heating*

Cooling*

Energy

Annual heating Heating load (W/ Overall space Cooling load (W/ Primary Energy Energy reduction
demand
m2)
cooling demand
m2)
(kWh/m2a)
through
(kWh/m2a)
(kWh/m2a)
renewables
(kWh/m2a)
Consumption
parameters

Fulfil Passive
house
requirements

54

65

65

295

*It is enough when only one of the parameters is fulfilled.

In the DB simulation results, it is observed that the cooling demand got higher due to the solar direct penetration and less heat is lost because of the east and west walls transformed into partition
walls. However, the cooling loads considerably decrease and therefore the primary energy consumption as well. After this process the bioclimatic features should be applied in the next steps.

DB1 simulation
The first step during the energy efficiency upgrading stage consists on improving the thermal
characteristics of the fabric materials by reducing their U-values and thermal bridges. If the modifications made during this step do not achieve the passive house requirements this model should
not be consider as a design option. This study will name the prototype as DB1 in order to examine
the full method and be able to generate a comparison table that shows all the modifications
made. The prototype will be conceived with the sustainable materials provided by the LP Company (Table 12) (Figs. 18,19).
Table 5: DB1 building parameters.
Building
parameters

Site

DB1

Londrina, Brazil

Treated floor External wall

area TFA
U-value
(m2)
(W/m2K)

66.67

0.369

Windows
(including
frames)
U-value
(W/m2K)

Roof surface
U-value
(W/m2K)

Floor slab
U-value
(W/m2K)

Average
thermal
envelope

2.556

0.400

1.200

0.886

Figure 18: DB1 plan, section and heat sources.

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463

The quality of these proposed materials allow obtaining a better thermal isolation and consequently, the building receive less heat gains and the cooling demand low down.

Figure 19: DB1 Thermal bridging ambient figures. Colour infrared (centre) flux vectors (right).
These upgrading characteristic allow the prototype DB1 to obtain the following cooling and heating loads (Fig. 20).

Figure 20: DB1 monthly cooling demand (left) and annual heating demand (right).
The DB1 simulation results and the achievement of the Passive house requirements are clarified in
the following table (Table 6).
Table 6: DB1 energy consumption parameters and Passive house requirements.
DB1

Heating*

Cooling*

Energy

Annual heating
demand
(kWh/m2a)

Heating load
(W/m2)

Overall space
cooling demand
(kWh/m2a)

Cooling load
(W/m2)

Consumption
parameters

12

58

37

Fulfil Passive
house
requirements

Primary Energy Energy reduction

(kWh/m2a)
through
renewables
(kWh/m2a)
279

*It is enough when only one of the parameters is fulfilled.

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The DB1 simulation results showed an impressive improvement on reducing the heating load,
while the cooling demand is also improved. However, as the cooling load and demands are still
quite elevated the energy consumption kept high. Therefore, it could be understood that the
prototype is lacking of good ventilation or window shading.

DB2 simulation
The next step consists on applying bioclimatic strategies such as the modification of window sizes or their orientation, the application of shading systems over the windows and allowing fluent
cross ventilation. During this step the model will be called DB2 (Table 7).
Table 7: DB2 building parameters.
Building
parameters

Site

DB2

Londrina, Brazil

Treated floor External wall

area TFA
U-value
(m2)
(W/m2K)

66.67

Windows
(including
frames)
U-value
(W/m2K)

Roof surface
U-value
(W/m2K)

Floor slab
U-value
(W/m2K)

Average
thermal
envelope

2.343

0.400

1.200

0.863

0.369

Due any materials are improved during this stage the fabric U-values do not suffer significant
changes. However a reduction in the windows U-value can be observed, which was accomplished
by redesigning their form and frame. (Figs. 21,22).

Figure 21: DB2 plan, section and bioclimatic strategies.

These implemented bioclimatic design strategies allow the DB2 prototype to considerable reduce
its cooling demand in comparison to the DB1 model. The heating demand is omitted because it
did not suffer any changes from the previous model (Fig. 22).

Figure 22: DB2 monthly cooling demand.

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The DB2 simulation results and the achievement of the Passive house requirements are clarified
in the following table (Table 8).
Table 8: DB2 energy consumption parameters and Passive house requirements.
DB2

Heating*

Cooling*

Energy

Annual heating
demand
(kWh/m2a)

Heating load
(W/m2)

Overall space
cooling demand
(kWh/m2a)

Cooling load
(W/m2)

Consumption
parameters

14

15

11

Fulfil Passive
house
requirements

Primary Energy Energy reduction

(kWh/m2a)
through
renewables
(kWh/m2a)
223

*It is enough when only one of the parameters is fulfilled.

The DB2 simulation results showed a remarkable reduction on the cooling demand and load;
however, the primary energy consumption is kept high due to the inefficient mechanical systems
of domestic hot water and air conditioning. Therefore, during the next step these systems should
be upgraded.

DB3 simulation
The next step consists on improving the mechanical and electrical systems to obtain a higher
energy performance. During this step the model will be called DB3 (Table 9) (Fig. 23).
Table 9: DB3 building parameters.
Building
parameters

Site

DB3

Londrina, Brazil

Treated floor External wall

area TFA
U-value
(m2)
(W/m2K)

66.67

0.369

Windows
(including
frames)
U-value
(W/m2K)

Roof surface
U-value
(W/m2K)

Floor slab
U-value
(W/m2K)

Average
thermal
envelope

2.343

0.400

1.200

0.863

Figure 23: DB3 plan, section and domestic hot water heating system.
In addition to the solar domestic hot water production, other systems were improved such as the
insulation of the water pipes, the gas boiler efficiency and the lighting system is contemplated
with 100% of compact fluorescent lamps (Table 10).

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Table 10: DB3 energy consumption parameters and Passive house requirements.
DB3

Heating*

Cooling*

Energy

Annual heating
demand
(kWh/m2a)

Heating load
(W/m2)

Overall space
cooling demand
(kWh/m2a)

Cooling load
(W/m2)

Consumption
parameters

14

14

11

Fulfil Passive
house
requirements

Primary Energy Energy reduction

(kWh/m2a)
through
renewables
(kWh/m2a)
112

*It is enough when only one of the parameters is fulfilled.

The DB3 simulation results showed that this model has the potential to fulfil the requirements
needed to be considered a Passive House, the only parameter missing is the pressurisation test to
check its airtightness. Even though the prototype has achieved the energy efficiency goal, more
steps can be made to improve its performance.

DB4 simulation
The next step consists on implementing renewable energy strategies and consequently reduce
the CO2 emissions. During this step the model will be called DB4, the same building parameters
will be considered (Figs. 24).

Figure 24: DB4 plan, section and renewables specifications.

For purpose of this study only PVs are contemplated in this stage. The PV selected are conceived to
produce 2,900 Kwh/a, which generate 82.6 Kwh/(m2 a) saving 18.7 kg/(m2 a) of CO2 emissions (Table 11).
Table 11: DB4 energy consumption parameters and Passive house requirements.
DB4

Heating*

Cooling*

Energy

Annual heating Heating load (W/ Overall space Cooling load (W/ Primary Energy Energy reduction
demand
m2)
cooling demand
m2)
(kWh/m2a)
through
(kWh/m2a)
(kWh/m2a)
renewables
(kWh/m2a)
Consumption
parameters

Fulfil Passive
house
requirements

14

14
X

11

112

83

*It is enough when only one of the parameters is fulfilled.

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The DB4 simulation results showed that this model has the potential to reduce its energy consumption almost to cero with the help of renewable source of energy. With this step one complete loop of the energy efficiency stage is completed and two models already fulfil the passive
house standards. Moreover, the model can still be improved by taking it again through some
steps of the loop process if more options are needed or wanted.

DB5 simulation
This simulation will work as an example of how the design can be improved by the same looping
system. Therefore, the model will pass through the step of improving its fabric envelope again
trying to improve its thermal performance. Materials with lower U-values than 0.15 will be contemplated for the procedure of this simulation. (Table 12).
Table 12: DB5 building parameters.
Building
parameters

Site

Treated floor External wall

area TFA
U-value
(m2)
(W/m2K)

DB5

Londrina, Brazil

66.67

0.140

Windows
(including
frames)
U-value
(W/m2K)

Roof surface
U-value
(W/m2K)

Floor slab
U-value
(W/m2K)

Average
thermal
envelope

1.15

0.130

0.150

0.264

The DB5 simulation results and the achievement of the Passive house requirements are clarified
in the following table (Table 13).
Table 13: DB5 energy consumption parameters and Passive house requirements.
DB5

Heating*

Cooling*

Energy

Annual heating
demand
(kWh/m2a)

Heating load
(W/m2)

Overall space
cooling demand
(kWh/m2a)

Cooling load
(W/m2)

Consumption
parameters

17

Fulfil Passive
house
requirements

Primary Energy Energy reduction

(kWh/m2a)
through
renewables
(kWh/m2a)
113

83

*It is enough when only one of the parameters is fulfilled.

The DB5 simulation results showed that even the thermal materials have been improved and the
heating load reduced, the primary energy consumption kept almost still. Therefore, this model
does not represent a real environmental improvement. However, if the designer wants to keep
improving the project energy efficiency towards a zero energy house the next steps should be
followed. For purpose of this study only the 5 aforementioned models will be compared as eligible options during the next methodology stage.

Selecting the accurate choice

During this stage all the design options (DBx) are evaluated in order to obtain the economic,
energetic and CO2 emissions values that can be compared against each other to assess the user
and designer to select the most appropriate design option choice. Due to the characteristic of this

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theoretical study some concepts such as: the total construction cost, delivery, future economical
savings will not be analysed. However, some constructive aspects are presented to show how
the standardisation and simplification process could lead to achieve a lower price production.
Moreover, it is noticed that there is more potential living area in the simplified models than in the
original one, which correspond with the necessity of more space.
The following table also make prognosis of each models annual energy cost, which was based on
the 2013 AMPLAs3 electrical cost of 0.10 for each kWh for dwellings that consume more than 220
kWh and 0.09 for the ones who consume less that 220 according to the ANEEL4.
Furthermore, the authors highlighted the options that seem to be as the best options according
to the comparative analysis between the design options generated during the methodology (Table 14).
Table 14: Select the accurate choice stage comparative table for the Londrina project.

In this study case DB3 and DB4 are showed as the most feasible models to fulfil the methodology
goals in a long-term affordability. To clarify their differences the following resume table can be developed in order to observe the saving that can be done compared to the original project or against
the other design option (Table 15).

AMPLA: Brazilian private power distributor.

ANEEL: is the Brazilian Electricity Regulatory Agency (in Portuguese, Agncia Nacional de Energia Eltrica).

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Table 15: Subtraction comparative table

DA

DB3

DB3

12.27

1,151.86

58.3

DB4

12.27

1,705.22

77.0

553.36

18.7

Treated floor
area TFA

Total
Estimated
annual emissions CO2
kg/(ma)
energy
consumption
costs
()

Treated floor
area TFA

Total
Estimated
annual emissions CO2
kg/(ma)
energy
consumption
costs
()

While the DB4 option seems to be the most adequate project to be erected. After the choice is
made, some other interchangeable attachments should be chosen by the user to adequate the
project to some immediate needs. This stage finish when the project is delivered to the user and
erected on site, in that moment the project DB4 shift its name to DC. It is also observed that the
area is amplified without increasing the dwelling footprint.

Post occupancy modifications

This stage cannot be tested in this study due to its intuitive nature and the users mandatory participation. (Fig. 25).

Figure 25: Transformation from DB (left) to DC (centre) and expected post-occupancy modifications
for DC (right).

Conclusions
The methodology presented in this study, not only tackle the home energy qualities, it also contributes to the modularisation and standardisation of the home components in order to achieve
lower costs. It is also presented as a practical way to assess the users and designer to choose and
design the most energy efficient option. This method follows different stages giving specific role
to the designer and user in order to streamline the process. The EST plays an important role during
the energy efficiency upgrade stage helping the designer to generate different design options.
Then, the comparison made in the select the accurate choice stage is fundamental to realise

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the efficiency and potential of this method. Finally, the author concludes that the methodology
for assessing the design of affordable low energy homes in Latin America proposed in this study
can function effectively as a practical decision-making support tool (or system) and can open the
door for users and designers to opt for housing design that generate lower CO2 emissions. In addition, the model helps to achieve more affordable dwelling during and after their construction,
which could economically benefit their users.

Bibliography
DAHMUS, JEFFREY B., JAVIER P. GONZALEZ-ZUGASTI AND KEVIN N. OTTO., 2001, Modular product architecture. Design
Studies 22: 409424.
FRY, TONY., 2009, Design Futuring: Sustainability, Ethics and New Practice. Oxford, UK: Breg.
GABRIEL-PETIT, P., 2010, Design Is a Process, Not a Methodology. The essentials of interaction design
HOIS, JOANA, MEHUL BHATT AND OLIVER KUTZ., 2009, Modular Ontologies for Architectural Design, Proceedings of
the 2009 conference on Formal Ontologies Meet Industry. Amsterdam: IOS Press, 66-77 .
MANDOLESI, DOMIZIA AND ALESSANDRA DE CESARIS., 2013, Modular, sustainable and Customized: Projects for Contemporary home. ZEMCH International Conference. Ed. Masa Noguchi. Glasgow: ZEMCH Network, 729-738.
NOGUCHI, MASA AND KARIM HADJRI., 2010, Mass Custom Design for Sustainable Housing Development, Handbook
of Research in Mass customization and Personalization. Ed. Frank T. Miller and Mitchell M. Tseng. Singapore: World
Scientific Publishing, 892-910.
Oxford English Dictionary, 2013, Oxford University Press.
PRESSMAN, A., 2012 Designing Architecture: The elements of process, Glasgow: Routledge.
WILLIAMS, JO., 2012, Zero Carbon Homes: A road-map, Oxon, UK: Earthscan.
XU, LIHUA; HENDRICKSON, SCOTT A.; HETTWER, ERIC; ZIV, HADAR; HOEK, ANDR VAN DER; RICHARDSON, DEBRA J.,
2006, Towards Supporting the Architecture Design Process Through Evaluation of Design Alternatives, Irvine,
USA: University of California.
ZEMCH Network, 2013, ZEMCH

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International Conference | Bari - Lecce, Italy

Session V - VI

THE PAVILIONS OF EXPO 2015 IN MILAN,

AS A PRIVILEGED OBSERVATORY ABOUT THE
CONCEPT OF SUSTAINABLE CONSTRUCTION
IN ALL LANGUAGES OF THE WORLD
Alberto La Tegola1
1 Department of Innovation Engineering, University of Salento, Italy, [email protected]

Abstract
The organization of EXPO 2015 in the city of Milan has prompted massive organizational efforts to set up a new fair district in one of the largest Italian cities. The urban layout of the
metropolitan city has been redesigned in a part thereof to connect the exhibition grounds
to the network of infrastructures of Milan city. The urban design of the headquarters of the
world expo will accommodate all participating nations event in two different ways. One of
these allows you to self build a pavilion on the areas provided by EXPO 2015. In particular, as
part of the tools that regulate participation in the Event, the Special Regulations envisage the
acceptance of a series of environmental commitments, including the adoption of measures
for the prevention of pollution and proper management of any environmental impacts associated with the construction and setting up of the pavilions and exhibition structures. The
provisions contained in the Special Regulations are accompanied by a series of environmental criteria added by Expo 2015 such as the Guidelines for the construction and dismantling
of self-built pavilions for the Official Participants. Expo 2015 has also drawn up two Specific guidelines aimed at stimulating and promoting the active involvement of Participants in
achieving the objective of Sustainability of the Exposition: the Guidelines Green Procurement
and Guidelines Sustainable Solutions. The guidelines for the adoption of sustainable solutions in the design, construction, dismantling and reuse of structures to be built for the event
were a mandatory and necessary manual for all the designers of the pavilions for different
countries. Through this paper you can see how the concepts of sustainability and recyclability
have been interpreted in the language of forty designers from different countries, all animated, at the same time, for the challenge of representing their countries through their state of
the art of architecture technology, of their national culture.

Keywords
Holistic concept of sustainability in architecture, Expo 2015, eco-sustainable materials
and building technologies, eco-sustainable concept.

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Introduction
The great expositions have always been characterized by new architectures and technologies.
Feeding the planet, energy for life is the main theme of Milano Expo 2015 and the organization
encouraged the participants to join the topic in every aspects of the event, even in the design of
the pavilions. The energy for life represents one of the most discussed topics of this century since,
as Global Footprint stated we are in a global ecological overshoot. In other words we are using
more resources than the earth can provide and new environmental approaches to processes that
consume energy is becoming increasingly an absolutely priority.
To ensure the effort of all participants to adopt eco-sustainable measurements, Milano Expo 2015
established a series of environmental criteria collected in guidelines. The green procurement
guidelines, for example, offers some criteria which permit to make the sustainability not just an
objective but part of the event itself. All these criteria are based on services and technologies already available in Europe, such as food recovery, use of renewable materials, waste recovery, etc.
In addition the guidelines suggest some tips to integrate the environmental criteria in the phase
of the contractor awarding process (e.g. environmental goals in the contract, selection of candidates with environmental certifications or certifications in materials quality and production).
Anyway sustainable building could be a big part of the solution to energy problem, since the
building sector is responsible for the 40 percent of the worlds energy consumption. For this reason the construction of sustainable pavilions has been considered one of the most important
starting points of the exhibition.
The document Guidelines Sustainable Solutions lists the solutions, which are organized in four
sections representing the three phases of the work that will be done on the pavilions: design, construction, dismantling and reuse. Each participant may adopt voluntary one or more solutions,
depending on its strategy for the exhibition plan, architectural language, technology know-how
and culture.

Guidelines sustainable solutions

The aim of sustainable solutions is to gain the comfort and the efficiency using as few resources
as possible and ensuring the resources used are ecological, renewable and workable with low
energy emissions.
The first section of the guidelines sets the design criteria. This part concern with the functional layout and the technologies used to provide thermal inertia, reduce overheating, improve
day-lighting and maximize the use of alternatives energy. The period of the exhibition is from May
to October, so the biggest challenge to face is minimize the demand for cooling. The employed
layout must provide thermal inertia, natural ventilation, shadows (but also day-lighting) and if
necessary smart control system.
The second section deals with the design materials and construction technologies. The material
should be natural, renewable, locally available, non-toxic and with minimal chemical emission.
Sometimes the adoption of an alternative green material is easier of what it seems, because a
traditional material like masonry can be swapped with a block made from glued board offcuts of
softwood or a panel with pre-selected waste. Other interesting solutions are offered by materials
like bamboo (one of the strongest plant-based building material), laminates, Wood Plastic Composite and ceiling tiles. In the construction technologies management is required the attention to
some simple and well-known aspects as salvaging materials, reduce in waste production, adoption of prefabricated elements, use of natural surface and reduce of off-cutting on site.
The third section contains the principle useful to plan the dismantling and reuse of the pavilions.

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The simple principle is to minimize the landfill waste, designing the structures for deconstruction
and dismantling without demolition. Its essential the choosing of a resistant and durable material, once chosen the structures must be designed in some way they can be easily disassembled
and moved away.

Research methodology
Research was carried out collecting all data available for each of the 40 pavilions listed in table 1.
These pavilions are not all the structures of the exhibition, but they represent 75% of participating
nations and the area they occupy is 71% of exhibition total area.
Data about structures, claddings, area assigned and area built for each nation is available on the
information papers of the exposition, on the site of the event and on the sites of every pavilion.
In a second moment with sections and project plan it has been possible to estimate the quantity
of each material used in structures and cladding, in order to compare the utilization of natural
material, sustainable resources or, at least, reusable and renewable solutions.
Therefore first part of the paper deals with the holistic conception of architecture and the review
of the technological solutions adopted during the construction phase of Expo 2015, while the
second part is the analysis of the quantities as a mean to establish the impact of the pavilions and
how much sustainability guidelines have been followed.

3D map Expo 2015

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Table 1 Exposition area, Building area, structure type and cladding type of the examined pavilions

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Architecture of national pavilions

As already mentioned all nations listed in table 1 have been required to build a temporary building for Expo 2015, which is going to last from May to October 2015. At the end of the event structures must be dismantled and moved away in six months. This request is surely the reason why
the most important aspect in designing is to ensure an easy construction and a fast dismantling.
Palazzo Italia represents an exception: this construction with the Tree of life is going to remain on
the site, so they are designed to be permanently where they actually are.
Regardless of this issue, this sections goal is to observe how nations interpreted the guidelines
and what they preferred to communicate through the pavilion. In fact some nations used the
pavilion to evocate the theme of Expo, other preferred to evocate their national symbols, developing the architectural elements that show a specific know-how or building technology.
Italian pavilion includes Palazzo Italia and a series of temporary buildings onto the Cardo. This
construction is the occasion to develop the theme of sustainability through a new technology: for
the construction it has been adopted innovative and sustainable materials: the external faade
of Palazzo Italia is composed of 900 biodynamic concrete panels with TX Active Technology (Italcementis patent). This dynamic material permits the creation of complex shapes and helps in air
pollution reduction furthermore it is made of 80 % recycled aggregates (marble, cement).

Figure 1 Palazzo Italia (expo2015.org)

Japan pavilion represents another symbolic architecture, since it provides a three-dimensional
self-supporting faade made out of laminated wood with a technique typical of Japan building
culture. This construction embeds simple elements in a complex grid made using a compressive
strain method in which joints consists only of carved wood, without metal couplers, for support.
Japanese designers have been able to fuse the ancient techniques of their tradition with the technology to reach the goal of sustainability. In fact the elements of the faade help maintain the
comfort generating a shaded environment with natural day-light.

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Figure 2 Detail of Japan faade (expo2015.org)

Another interesting technological solution is adopted in the roof of Chinese pavilion. The structure of the roof is composed of laminated wood beams joined with steel elements. A complex
work has been made to design a roof so big and six steel beams were added to increase the
construction stiffness. Furthermore the roof is covered by a layout made of translucent textile
membranes and bamboo panels. The texture of this layout is designed to make the day-light pass
ensuring a cool environment in the hottest days. The shape of the building has been designed to
permit the reinstallation of the pavilion in an already chosen site in China. Due to the materials
and the techniques employed in the building, China pavilion is one of the most interesting architectural and engineering attractions of the exhibition.
Even Russian designers worried about the re-installation of the pavilion in their nation. In fact the
most impressive element of the pavilion is surely the 30 meter long cantilever, which is a metaphor referencing the soft lines of the Russian landscape. Russia also tried to respect all the way
the sustainability guidelines, improving a structure of steel beams covered by different types of
wood. Wood is the principal cladding element: floor and insulation elements are of wood and the
faade is in Oak Lamella.
Bamboo represents an interesting new cladding solution. As already mentioned Chinese designers adopted bamboo panels for the roof, but also Indonesian pavilion is made with a massive use
of this material. The most interesting use of bamboo is shown in the pavilion of Vietnam: in this
building the water is theme developed, thats why lotus flowers have been built. The lotus pods
are made of a steel frame surrounded lined with bamboo, the plant is a typical symbol of Vietnam.

Figure 3 - Vietnam pavilion (expo2015.org)

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Austrian pavilion places the focus on the countrys natural and technological expertise, since its
a forest planted on the Expo site. The structure is very simple: the perimeter is enclosed by 180
meters of 6 meters-high plywood walls. For sure a girder wood system helps in the loads support and some plastic materials are used to improve the insulation power. The principal theme
of the Austrian exposition is the breathe: the forest produce oxygen and absorb CO2, moreover it
guarantees the production of cool air thanks to evapotranspiration of the plants. This is how the
theme of sustainability and environment protection has been developed.
The aim of the United Kingdom was to raise global awareness and stimulate discussion about the
impact of food production and consumption. The pavilion represents a big beehive, one of the
most important natural elements in agriculture. The beehive has been machined and fabricated
in York with 169300 aluminium and steel components, assembled in 32 horizontal layers. Led light
fittings into aluminium node components glow and pulsate to represent the activity of a real
beehive.
Some nations have considered mainly the developing of the theme through architecture. United
States of America and Israel, for example, built a vertical green field. Israel pavilion has a green
wall 70 meters long and 12 meters high made of modular tiles for cultivating crops supported by
a steel frame elevated above the ground. The field is irrigated by an electronic system and this
is one of the many innovations in the field of agricultural techniques shown in the pavilion. The
distinguishing feature of the USA pavilion is the presence in the long side faade of a vertical farm
that will be harvested everyday.

Figure 4 - USA and Israel pavilions (expo2015.org)

The French building is inspired to the traditional indoor market, symbol of alimentary culture of
France, and it features a reversed landscape: a landscaped roof covering a huge space supported
by several giant pillars. The pavilion is entirely realized with French wood: the load bearing structure is made of laminated wood, a reticular system of curved beams and cladded with larch wood.
The entire Czech Republican project is based on water, on of the main theme of the exhibition
and the element that has shaped countrys regions and cities.

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The building is made out of modular 3x3 and 3x9 meter sections composed of zinc-plated steel
frame, covered with aluminium and glass. There are a garden on the roof and a pool outside the
pavilion. The modular steel architecture employed is minimal and simple, so it makes the construction on of the easiest to build and dismount.
The first example of pavilion representing a national symbol is Thailand pavilion: its inspired by
the Ngob, the rice farmers traditional hat, that has been used since ancient times, symbolizing
an understanding of the land and local wisdom.

Figure 5 - Thailand pavilion (expo2015.org)

The United Arab Emirates pavilion is an obvius reference to dunes, since the most evident elements are big wall that seem to be made of sand. The functional layout has been designed to
act well in Milano and in the emirates, moreover a rainwater harvesting system and a photovoltaic system are present. Due to these reasons and to the transport of materials by zero-emission
means, the project reached a gold LEED certificate.
Its interesting also the choice of Chile designers, since the pavilion looks like a massive wooden bridge, inspired by the traditional roofed bridges that offer shelter from rain. The suspended
structure is a frame of crossed laminated wood beams supported by six steel pillars, the wood
used is been ship from Chile and laminated in Italy.
The architecture of Moroccos pavilion is one of the most distinctive and represents all the diversity of the country. The pavilion is a Kasbah, the symbol that characterises the architectural style
of Southern Morocco. The materials employed are wood and clay. Morocco has a long tradition in
architectures that face the challenge of hot climate, the pavilion is a simple transposition of this
millenary know-how.
Qatar pavilion evocates the traditional Arabian market: on a large central space, a circular structure soars, symbolizing a traditional food basket. The central body is realized with steel elements,
the other parts are prefabricated columns and beams.

Figure 6 - Qatar pavilion (expo2015.org)

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Brazilian designers decided to promote the great agro-industrial activity of the nation also with
the architecture of the pavilion. The structure appears as a big factory with a net that invites
visitors to venture into the heart of pavilion. A big girder system of corten steel forms a closed
volume, enclosed by cork slabs.
Argentina feeds you is the theme of the South-American nation and the will of describe the
fertility of its Land, that feeds people all over the world through a massive exportation, aimed
the design of the pavilion. The construction represents a series of silos joined together, to show
Argentina is much more than a repository of raw materials. These decisions made the pavilion
looks like an industrial construction as such it is built with steel frame supporting the metallic
silos. In this way it will not be difficult to dismantle the pavilion and ship structural elements to
Argentina.

Figure 7 - Argentina pavilion (expo2015.org)

Mexico built a structure that evocates the most typical Mexican food: corn. The series of overlapping corn husks is made of a core steel structure and a cover in curved PVC membrane, which
provide shade while streaming natural light into the interior. Slovakia is a dynamic country with
many natural resources and a great energy potential. The theme is evocated by a mill powered by
water emerging from the faade. The gears of the mill are made in polycarbonate.

Figure 8 - Aereal view (expo2015.org)

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Material quantities analysis

The structure and cladding type of every pavilion has been already listed in table 1. As its easily
noticeable the most widespread structure in the exposition is steel frame, followed by wood-steel
frame and wood frame. Just two nations adopted concrete frame, probably because it was an
easy solution to carry out the project in a fast way with a well-known prefabrication system.

Table 2 - Structures used in the exhibition

The results of material quantities estimation are reported in table 3. Data shows that 86% of structural material weight is related to steel, while just 9% is related to concrete and 5% to wood.
Surely the big percentage of steel is linked to its widespread adoption, but also to the specific
weight of the material (the highest in the material analysed). Its more interesting to observe that,
even if just two structures are made of concrete, 9% of material weight is of concrete. This isnt
related just to the specific weight of this material, but also to the need of big volumes to ensure
the structural safety.
Otherwise, wood is rather widespread but it represents just 5% of weight. That means that wood
has a small specific weight, but also that it ensures a good performance with a small amount of
volume.

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Table 3 - Quantities percentage of structure weight

Data collected in table 4 reveals a big adoption in weight of artificial material, a strange data if
related to a contest where the use of natural material was encouraged all the ways.

Table 4 - Natural materials in structure weight

A similar analysis was carried out for cladding materials, in this case many more materials have
been adopted, but the most used is wood. In fact wood is a light material with exceptional thermal and acoustic properties of insulation. Also in this case other interesting solutions are report-

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ed, like bamboo and biodynamic concrete. Bamboo in particular is a material that requires little
processing and can easily be mounted to make a cover that makes the day-light pass.
Glass is not a good material to insulate, especially in summertime, but its widespread adopted
not only for architectural reasons but also to improve the use of natural light.

Table 5 - Cladding types used in exhibition

Even in this case its noticeable that though its widespread adopted the woods weight is small in
percentage, while glass weight is high in percentage, because of its specific weight.

Table 6 - Quantities percentage of cladding weight

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Also in this case the percentage in weight of artificial material is higher than the percentage of
natural materials, as shown in table 7.

Table 7 - Natural materials in cladding weight

Reusable materials
The concept of reusable material is controversial and still much discussed. At the end of the cycle of use of a material the scenery can be very different, depending on the material itself.
Concrete can be recycled, but just an amount of about 20%, but the biggest part of concrete is
down-cycled at the end of life into new products. A small amount is destined directly to the
landfill. There is no way to re-use a concrete frame or a part of it, this is the reason why is not convenient to use concrete in a temporary building.
Wood is subject also to some other end-of-life scenarios: it could be incinerated or re-used. A
big percentage of used wood must be moved to landfill, but the reuse and the recycle process
required a small amount of energy, making the wood one of the material most suitable to support
sustainability.
Steel can be recycled with a very high percentage and a good part of the not-recycled part can be
reused. In this way just a percentage of about 1 % must be moved to the landfill, even if the recycle
process requires a lot of energy.
The reuse and the recycle processes should reduce or eliminate waste and the request for primary
resources. Its possible to obtain these goals with all materials, but while designing a temporary
structure is surely attention-worth an analysis of the end-of-life scenarios of materials employed
in the project. Depending on the size of structural elements, the architectural boundaries and the
properties of available materials a choice must be made: for example steel is 93% recyclable but
with a big amount of energy and is very heavyweight, so if its not available near the construction

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it could be a bad choose. Otherwise wood is recyclable or reusable with a smaller percentage but,
if the construction is designed to be easily moved, can be the most sustainable choice.

Figure 9 - End of life scenarios (steelconstruction.info)

Conclusions
As a matter of fact there are plenty to carry out the theme, not only the architectural one, in
summary there is a container of the theme (the pavilion) and content (everything in the pavilion).
Even if the guidelines encouraged the nations to develop the theme through architecture and
engineering, its a choice to focus the majority part of the attention on the container.
As already discussed the analysis made on the architecture of the pavilions showed that the most
used structure type is the steel frame, but the main cladding material is wood. Many of the pavilions made out with a steel frame that is a structure composed of a material produced with a lot
of embodied energy, even if its recycled steel. The request of the guidelines was to use the knowhow to reduce as much as possible the environmental impact of the construction site. Surely a
huge cantilever (e.g. Russian pavilion) requires steel beams to bear loads, but probably not all the
structures needed the adoption of steel or concrete. It must be considered also the high specific
weight of steel that made the transport very expensive.
An example of great work has been made by China and Japan. The former made a big coverage
using a wood frame reinforced with just the strictly necessary amount of steel (joinery and reinforcing beams) and the latter inserted freestanding wood wall to reduce the necessity of beam
frames.
Make a green roof, a big field or a factory on the faade is not enough to ensure the reduction of
environmental impact of a building, because the biggest part of energy used in building is used
during the construction phase. The use of green energy and the attention to architectural details
that made the building more efficient are surely praiseworthy and represent a key to success
in the zero emission goal, but the primary focus of the designers must be put on the emissions
produced on the construction sites and during the production of the materials. In this event, for
example, a light material permits to drastically reduce the emissions in the material transport that
must be made twice (in the mounting phase and after the dismantling).
The realized buildings give a strong perception of green construction and sustainability, evocating these concepts, but perceived architecture and real architecture are deeply different. The

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realization of a perceived architecture that communicates the importance of eco-sustainability is

surely important, but it doesnt guarantee the achievement of guidelines goals.
It feels like someway the lack of time for designing and the necessity to improve a way to make to
construction fast and easy to dismount made some designers forget the principal theme of Expo
2015. Data showed the massive use of artificial and heavyweight materials, while the opposite was
required.
The introduction of a new way of thinking and designing worrying about eco-sustainability is a
revolution and, as a revolution, it needs a radical change in the approach to design itself.
The nations spoke of sustainable constructions in a common language but this language
must grow up and reach a new awareness and sensibleness to the topics it discuss about. This
EXPO 2015 should have been a great chance to start speaking in this aware and sensible language, but actually it looks just like a lost opportunity to fully explore this theme, although at the
same time probably Expo has successfully transmit to the public of non-experts the concept of
Sustainable Architecture.

References
MILFORD R., Re-use without melting: scrap re-use potential and emissions savings, 2010
SANSOM M. and AVERY N., Reuse and recycling rates of UK steel demolition arisings. Proceedings of the ICE - Engineering Sustainability, Volume 167, Issue 3, 2014.
LEY J., An environmental and material flow analysis of the UK steel construction sector, DEng thesis submitted to the
University of Wales, 2003
Figure 1: Palazzo Italia, expo2015.org , 2015
Figure 2: Detail of Japan faade, expo2015.org , 2015
Figure 3: Vietnam pavilion, expo2015.org , 2015
Figure 4: USA and Israel pavilions, expo2015.org , 2015
Figure 5: Thailand pavilion, expo2015.org , 2015
Figure 6: Qatar pavilion, expo2015.org , 2015
Figure 7: Argentina pavilion, expo2015.org , 2015
Figure 8: End of life scenarios, steelconstruction.info , 2015

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International Conference | Bari - Lecce, Italy

Session VII

PERSONALISATION STRATEGIES AND

RESIDENTIAL SATISFACTION IN CHILEAN SOCIAL
HOUSING
Victor Bunster1, Masa Noguchi1 Rodrigo Garca-Alvarado2 & Tom Kvan1
1 Faculty of Architecture, Building and Planning, The University of Melbourne, Australia
[email protected], [email protected], [email protected]
2 Faculty of Architecture, Building and Design, Universidad del Bo-Bo, Chile, [email protected]

Abstract
Recent initiatives towards improving residential conditions of Chilean social housing largely
depend on self-help personalisation as means to facilitate greater coherence between the
needs of different households and the characteristics of their dwellings. Although self-construction is widespread among these mass housing developments, there is still limited information regarding the potential impacts that different personalisation strategies may have on
residential satisfaction. This study uses a survey data and statistical analysis to assess existing
relationships between demographic characteristics, personalisation strategies and residential
satisfaction in four recently occupied housing complexes located in Concepcin, southern
Chile. The results of this study suggest that different personalisation strategies may be a response to different residential quality problems and that management of expectations before
occupancy can significantly impact overall levels of satisfaction.

Keywords
Personalisation, self-help, satisfaction, social housing, Chile.

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Introduction
Chile has made substantial efforts in order to ensure the provision of adequate housing solutions
to people in social vulnerability. The countrys low-income housing policystrongly reliant on
private enterprise whilst financed through savings and demand-side subsidiesis often regarded as an example of successful governance for its capacity to cope with a growing demand for
units whilst reducing the accumulated deficit to an historic minimum (Held 2000; Chamorro 2013).
This success, nonetheless, is increasingly being challenged by significant qualitative problems in
neighbourhoods and dwellings as well as by high levels of dissatisfaction among their residents
(Arriagada and Seplveda 2001; INVI 2002; Sugranyes 2005). In this context, a number of public and non-governmental initiatives are currently exploring alternative approaches to housing
design and development aiming to enhance residential quality through active community interventions, participatory design and incremental housing (e.g. Atria 2007; Naranjo and Purcell
2010). The outcomes of these initiatives have been extensively reported and discussed; however,
understanding the impacts of self-help personalisation on residential satisfaction is a problem
that may need further analysis.
Residential satisfaction is considered to be a fundamental component of life quality and general
wellbeing (Sirgy and Cornwell 2002; Balestra and Sultan 2013), hence its significance for housing
policies aimed to assist people in social vulnerability (Kahana et al. 2003). Most of the literature
acknowledges the complexity of this phenomenon as involving diverse social, physical and psychological factors; nonetheless, there is a degree of consensus when defining residential satisfaction as a measure of the difference between actual and expected residential conditions (Lu 1999).
Galster and Hesser (1981), for example, assume that individuals undergo constant evaluation of
their housing conditions based on their own needs and expectations in a process that ultimately defines their residential satisfaction levels. Similarly, Morris and Winter (1975) explain residential satisfaction as a result of the relationship between culturally derived norms and perceived
characteristics of a neighbourhood and dwelling. According to both theories, lack of adequacy
between residential environment and household needs results in misfits that can motivate different forms of housing adjustment such as modifications or extensions to the dwelling, relocation,
or even adaptations at the household structure level. In the context of social housing, self-help
personalisation becomes a fundamental strategy for low-income households aiming to improve
their own residential conditions (Ibem and Amole 2012).
Chiles extensive experience with self-help housing dates back to the 1950s (Haramoto 1983; Hidalgo 2005; Garca et al. 2009); however, over the past decades the countrys housing policy has
progressively reduced the space for self-help action and privileged the economic advantages of
close to finished industrialised products (Sugrayes 2005). Nonetheless, self-construction is still a
ubiquitous phenomenon in these developments and may be harnessed towards enhanced residential quality without breaching the limits of affordable production (Greene and Rojas 2008;
Aravena and Iacobelli 2012). This study uses survey data and statistical analysis to explore existing
links between different personalisation strategies and satisfaction levels during early stages of occupancy in Chilean social housing to explore potential impacts that initiatives relying on self-help
action may have on residential wellbeing within current normative constraints.

Methods
A residential satisfaction survey was conducted on four housing complexes located in Concep-

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cin, southern Chile. These complexes were selected aiming for variety in dwelling types and
materials but also in terms of the strategies and orientation of their developers, covering both
mid-rise apartments and semi-terraced units developed by a non-profit NGO that uses participatory design and incremental housing and a for-profit real estate company that provides close to
finished units. Only recently occupied complexes (1 to 4 years) were included in the study aiming
to gather information on early stages of the personalisation process (Figure 1).

Figure 1. Case study housing complexes developed by a non-profit NGO (left) and a for-profit company (right), both located in Concepcin, southern Chile
The survey covered three main topics: general demographic characteristics, satisfaction levels,
and modifications to the dwellings. The demographics characteristics module gathered information on the number of users of each dwelling, number of family nuclei, age segments (0 to 5
as child, 6 to 17 as young, 18 to 35 as young adult, 36 to 59 as adult, and 60+ as elder), gender,
relationship to the head of household, former residential situation (non-renter, informal dweller, renter, or other), educational level (no formal education, basic, secondary, or tertiary education), mean household autonomous income (national decile), and occupation (housekeeping,
employee, self-employed, informal worker, unemployed, unoccupied, pensioner, or student). The
overcrowding index of each dwelling was calculated dividing the number of bedrooms per the
number of dwellers, where households with indexes between 2.5 to 3.4 were considered as overcrowded, 3.5 to 4.9 as highly overcrowded, and 5.0+ as critically overcrowded. Further architectural variables such as orientation, materials, number of floors, types, and surface areas were also
coded and included in the analyses.
The residential satisfaction module ranked current levels of fulfilment of the interviewees with general characteristics of their dwellings, were 1 was considered as very low, 2 as low, 3 as neutral, 4 as
good, and 5 as very good. This scale was used to assess number of bedrooms, extension possibilities, internal modification capabilities, lot size, kitchen size, finishing works, bathroom location,
and dwelling size (i.e. architectural variables); and also moisture levels, natural light, ventilation,
safety, acoustic and visual privacy, and winter and summer temperatures (i.e. environmental variables). In parallel, the interviewees were asked to rank their former expectations regarding both
general architectural and environmental variables (i.e. before occupancy).

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Then, the personalisation strategies module assessed any modifications to the dwellings including size (surface area) and materials for extensions (wood, masonry or concrete), finishing works
(paint, paint with primer, ceramic tiling, paper, vinyl, carpet, wood tilling, and wood panels), date
of construction, builder (self-construction, informal or formal contractor) and final use. The interviewees were also asked to identify the modification they considered to be the most important
and the motivations behind it through open questions, whilst in parallel a photographic survey
was used to collect detailed information on qualitative aspects of these modifications. The information was later coded and only permanent to semi-permanent modifications were included in
the analyses. The extent to which each dwelling was modified was classified as scarcely modified
when only cosmetic modifications were found, averagely modified when they included anchored
furniture or minor changes to internal partitions, and highly modified when they included extensions or significant changes to the layouts. The workmanship quality of these modifications was
coded as high-end when the results were close to professional, average when the results were
sub-standard and low-end when they evidenced significant qualitative problems or use of scarp
materials.
The dwellings were randomly selected before the fieldwork, and the sample size was determined
for a confidence of 99% and an interval of 15% for each housing complex for a total of 130 cases
(Table 1). The survey was conducted on site between the months of August and September 2014,
and only heads of household and/or their partners were approached and asked to voluntarily
answer a questionnaire whose results were anonymised before the analyses.
After descriptive statistics and preliminary analyses through visual methods, Spearmans Rank
Order Correlation was used to identify statistically significant relationships between ranked
variables where rs=0.00 to 0.19 was considered as negligible, rs=0.20 to 0.29 as weak, rs=0.30 to
0.39 as moderate, rs=0.40 to 0.59 as strong, and rs=0.60 to 1.00 as very strong correlations. Then,
Kruskal-Wallis H test was used to determine the statistical significance of observed differences
in satisfaction and personalisation strategies among groups (i.e. dwelling types, developers, and
general household characteristics). All the analyses were conducted using IBM SPSS Statistics v22.
Table 1. General characteristics of the sample population by case study housing complex
developer

case 1

case 2

case 3

case 4

non-profit

non-profit

for-profit

for-profit

2011

2012

2013

2013

dwelling type

house

Apartment

house

apartment

surface area

58 m2

57 m2

45 m2

55 m2

date of construction

number of bedrooms
number of units

32

64

46

104

surveyed cases

23

35

29

43

Results
Demographic Characteristics
The mean household size was close to the national average with 3.79 users per dwelling, whilst
single-resident units comprised only 1.4% of the total and 2.1% of the dwellings were unoccupied
at the moment of the survey. 21.51% of the total households had more than one family nucleus,
and the mean number of workers per household was 1.27, with 56.5% of the total having a single worker per dwelling, 29.6% two workers, 3.7% three workers, and 10.2% no active worker at

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the moment of the survey. The mean overcrowding index was 1.3 (i.e. no overcrowding), while 7
households were overcrowded (2.5 to 3.4) and only 1 was highly overcrowded (4.5). No critically
overcrowded households were found through the survey.
Table 2 summarizes the main demographic characteristics of the surveyed heads of household.
The former residential situation of most of the dwellers was as non-renters (i.e. allegados) with
50.9% of the total, 42.4% used to rent, while 26.6% used to live in informal settlements (i.e. campamentos). Most of the declared heads of household were female adults with 32.0% of the total,
followed by male adults with 26.4%, female and male young adults shared 19.8% and 16.0% the
total, while elder heads of household were 3.7% male and 1.8% females. 25.9% of the female heads
of household declared housekeeping as their main occupation, while 14.8% were employed and
10.1% were either self-employed or informal workers. 24.0% of the male heads of household were
either self-employed or informal workers, while 12.9% were employees and 5.5% pensioners. 4.6%
of the heads of household were unemployed at the moment of the survey. 17.3% of the surveyed
heads of household had no formal education, while only 5.2% attended tertiary education.
Table 2. General demographic characteristics of the heads of household
valid %
AGE SEGMENT

OCCUPATION

GENDER
FORMER SITUATION

EDUCATIONAL LEVEL

18 to 35

35.8%

36 to 59

58.4%

60+

5.6%

housekeeping

28.4%

employee

27.7%

self-employed

22.6%

informal worker

9.3%

unemployed

4.9%

pensioner

6.1%

student

0.7%

male

48.0%

female

51.9%

non-renter

50.9%

informal dweller

26.6%

renter

42.4%

other

19.3%

no formal education

17.3%

primary

45.9%

secondary

31.3%

tertiary

5.2%

Personalisation Strategies
Figure 2 illustrates different personalisation levels as registered through the photographic survey. Regardless of being recently occupied only 12.5% of the dwellings were not modified, 32.2%
of them were highly modified, and the largest number of interventions was of average quality
(37.4%) (Table 3). Significantly, the workmanship quality tended to increase with the extent of personalisation. 77.2% of the modifications were self-built, while only 11.5% and 11.1% of the changes
were built by either informal or formally paid contractors respectively. Most of the modifications

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493

were built the 12 months prior to the survey (52.5%), 32.5% between 24 and 12 months, and 15.0%
earlier.

Figure 2. Sample cases of the photographic survey showing high (top row) and low-end (bottom row)
modifications in highly to scarcely personalised dwellings (left to right columns)
Table 3. Relationship between quantitative and qualitative aspects of the dwellings modifications
PERSONALISATION EXTENT (QUANTITY)
n/a

Scarce

Average

high

12.5%

low end

16.6%

2.0%

9.3%

average

10.4%

18.7%

8.3%

high end

1.0%

6.2%

14.5%

WORKMANSHIP QUALITY n/a

Figures 3 and 4 summarize some of the most frequent modifications found in the case study
dwellings. Wall and floor finishing works were the most frequent internal modifications with 75.1%
and 68.1% of the total, then kitchen furniture with 55.8%, anchored artefacts with 45.5%, and anchored furniture and built in closets with 27.9% and 22.7% of the total. The most common external
modifications were door changes and the construction of fences with 19.1% and 18.6% respectively, then external roofs with 17.4% and external pavements with 15.1% of the total. Extensions using
backyard space accounted for 12.3% of the total, while window protections and gardens were less
common with 6.4% and 5.2% respectively.

Figure 3. Most frequent internal (left) and external (right) modifications

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Figure 4. Example of common personalisation strategies found in different households

When asked to describe the most significant modification to their dwellings (n=42), 51.8% of
the respondents mentioned finishing works and detailing for either aesthetic (57.1%) or comfort
(42.9%) purposes. Then, 18.5% of the interviewees mentioned extension works after either functional (60.2%) or comfort (20.4%) problems, whilst the rest mentioned lack of space as their main
motivation. 11.1% of the respondents mentioned changes to internal partitions after either functional (66.7%) or comfort (33.3%) problems, and then external works such as fences, pavements
and roofs (3.7%) all for functional purposes. Interestingly, regardless of their significant share in
the total, none of the participants mentioned either kitchen furniture nor built in closets.
With regards to the end use given to extensions or modifications to the layouts through altering
or addition of internal partitions, 18.3% of the total declared building them to increase the size
of the kitchen, 14.7% as simple extensions for common areas, and only 6.0% for a new bedroom.
The mean surface area of the external extensions in houses was 22.06 m2 with a minimum of 10.0
m2 and maximum of 65.5 m2. 31.2% of the extensions and layout modifications were built using
timber framing, while 3.7% with masonry and only 1.8% with scrap materials.
The main materials used for finishing works are summarized in Table 4. The most common materials for dry zones were paint with primer for walls and ceilings, ceramics for living rooms, and
carpet for bedrooms. In wet zones, most of the floors and bathrooms walls were finished using
ceramic tiling, while most of the ceilings and kitchen walls were not finished. Significantly, close
to one third of the walls and ceilings of bedrooms and kitchens, and halve of the bathrooms ceilings were untouched at the moment of the survey.

Personalisation strategies and residential satisfaction in chilean social housing

495

Table 4. Interior finishing works per surface and room type

WALLS

living room

bedrooms

kitchen

Bathroom

paint

29.4%

25.5%

26.2%

35.2%

paint w/primer

46.0%

40.0%

17.4%

3.5%

ceramic tiling

16.5%

45.8%

vinyl

0.9%

1.1%

8.8%

2.2%

3.8%

3.5%

wood panels
paper
FLOORINGS

CEILINGS

0.9%

no finishing

14.7%

32.2%

34.9%

10.5%

ceramic tiling

53.4%

7.7%

87.3%

87.0%

wood tiling

15.5%

26.6%

0.9%

carpet

21.3%

53.3%

1.1%

vinyl

0.9%

1.9%

no finishing

8.7%

12.2%

9.7%

11.7%

paint

26.4%

30.4%

29.4%

27.2%

paint w/primer

53.9%

41.3%

27.4%

20.7%

6.8%

19.6%

28.2%

36.2%

51.9%

wood boards
no finishing

Residential Satisfaction
The residential satisfaction levels of the interviewees are summarized in Figure 5. In terms of the
environmental conditions, the mean satisfaction was close to neutral with 3.26 in total, while expectations ranked 3.71 with a minimum of 3.00. Satisfaction levels regarding access to natural light
and ventilation were consistently high with mean values of 4.31 and 4.07 respectively. Visual privacy, safety, and acoustic privacy were lower but still above neutral with 3.91, 3.69, and 3.44 respectively. The lowest ranks were consistently assigned to both summer and winter temperatures with
2.55 and 2.12 respectively, while moisture was the lowest of the series with 2.00 as mean value.
In terms of architectural conditions, the mean satisfaction was higher with 3.81 in total, while
expectations were also high with 3.87 and a minimum of 3.00. Bathroom location, number of bedrooms, and dwelling size were consistently high with 4.51, 4.42, and 4.32 respectively. Extension
possibilities and lot size (only applicable to houses) ranked 4.21 and 3.81 respectively, while modification capabilities remained high with 3.89 as mean value. The lowest ranks were consistently
assigned to the current state of the finishing works with 2.91 and to the size of the kitchens with
2.83.

Figure 5. Mean satisfaction with general environmental (left) and architectural (right) conditions

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Correlations and Comparative Analyses

Spearmans correlation analysis evidenced that income decile, age, and occupation of the heads
of household were the strongest demographic indicators for self-help personalisation works (Table 5). Income was moderately correlated to floor finishing works and construction of external
roofs, whilst weakly correlated to wall finishing works and builder type. The age of the head of
household was strongly correlated to size of the extensions, whilst moderately correlated to the
construction of exterior fences and sheds, and weakly correlated to finishing works. In parallel,
the occupation of the heads of household were moderately correlated to the construction of
external pavements, whist weakly correlated to the presence of anchored furniture, wall finishing
works, and to the absence of any modifications. Besides, number of household nuclei was weakly
correlated to the type furniture used to store clothing (rs=-0.218, n=89, p=.041), while the number
of workers per household was moderately correlated to the presence of exterior fences (rs=-0.362,
n=40, p=.022).
Table 5. Spearmans Correlation results between demographic and personalisation variables
Independent Variable

Dependent Variable

household income decile floor finishing works

Coef.

Sig.

+0.359

<.001

98

external roofs

-0.320

=.045

38

wall finishing works

+0.280

=.005

100

builder type

+0.221

=.026

102

extension size

+0.449

=.017

28

exterior fences

-0.386

=.027

33

exterior shed

-0.318

=.049

39

wall finishing works

+0.299

=.002

106

occupation h. household exterior pavements

+0.334

=.008

43

anchored furniture

+0.273

=.008

94

wall finishing works

+0.241

=.013

105

no modifications

-0.229

=.021

102

age h. household

The results of correlation analysis between satisfaction levels and personalisation strategies are
summarized in Table 6. In terms of satisfaction with the current architectural conditions of the
dwellings, the measured surface area of the built extensions was positively correlated to the interviewees perception of the lot size and extension possibilities for their dwelling but negatively
correlated to their appraisal on bathroom location and number of bedrooms. The presence of
modifications to kitchen partitions was positively correlated to the users perception of current
kitchen size and modification capabilities of their dwelling while complete absence of modifications was negatively correlated to the users perception of the current finishing works of their
dwellings. No significant correlations were found between personalisation strategies and satisfaction levels regarding the size of the dwellings. Nonetheless, demographic variables such as
number of users and number of nuclei were correlated to satisfaction levels with dwelling size
(rs=-0.291, n=108, p=.002 and rs=0.223, n=108, p=.018 respectively), while number of users and income decile were correlated to number of bedrooms satisfaction levels (rs=-0.525, n=108, p<.001
and rs=-0.231, n=104, p=.018 respectively).
In terms of satisfaction with the current environmental conditions of the dwellings, the development of extensions for kitchen purposes was negatively correlated to satisfaction on moisture

Personalisation strategies and residential satisfaction in chilean social housing

497

levels. Both the size of the extensions and the presence of changes to internal partitions were
strongly correlated to satisfaction with acoustic privacy levels, while the presence of self-built
external roofs was positively correlated to results on natural light perception. No statistically significant correlations were found between personalisation strategies and winter or summer temperatures, safety, ventilation, neither with visual privacy satisfaction levels. However, income decile was correlated to satisfaction levels with natural light (rs=-0.366, n=699, p=.002) and moisture
conditions (rs=-0.218, n=96, p=.002), while the users former residential situation was correlated to
satisfaction with summer temperatures (rs=-0.228, n=105, p=.019).
Table 6. Spearmans Correlation results between satisfaction and personalisation variables
Independent Variable

Dependent Variable

Coef.

Sig.

n bedrooms

extension size

-0.783

<.001

16

lot size

extension size

+0.660

=.005

16

extension possibilities

extension size

+0.510

=.044

16

modification capabilities

kitchen partitions

+0.213

=.035

98

kitchen size

kitchen partitions

+0.249

=.012

101

finishing works

no modification

-0.449

<.001

94

bathroom location

extension size

-0.475

=.063

16

moisture levels

extension end use

-0.202

=.065

84

acoustic privacy

extension size

-0.703

=.002

16

change partitions

+0.200

=.044

102

natural light

external roofs

-0.389

<.001

109

After segmentation by dwelling type, developer, personalisation levels, and general demographic characteristics, Kuskal-Wallis H test evidenced that the largest number of significant differences
in satisfaction levels resulted from the two first grouping variables (Figure 6). As shown in Table 7, when dwelling type was used as segmenting variable, satisfaction ranks for dwelling size,
modification capabilities, kitchen size, bathroom location, moisture levels, visual privacy, safety,
and winter temperatures were significantly different. When segmented by developer, differences in satisfaction ranks for number of bedrooms, modification capabilities, bathroom location,
and acoustic privacy were also significant. In contrast, when these satisfaction levels were segmented by income decile, age of the oldest female and number of users, only satisfaction with
current number of bedrooms showed significant differences among groups (H=12.275, p<.001),
whilst when segmented by personalisation extent and workmanship quality only differences in
finishing works were significant (H=71.163, p<.001). Although no significant differences were found
in finishing works when segmented by developer or by dwelling type, the differences were significant when segmented by income decile (e.g. H=17.270, p=.008 for floors and H=13.001, p=.043 for
wall finishing works).

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Figure 6. Mean satisfaction levels for environmental (left column) and architectural (right column)
conditions segmented by dwelling type (upper row) and developers orientation (lower row)

Table 7. Kuskal-Wallis H test for significance on differences in residential satisfaction

Segmenting Variable

Dependent Variable

Coef.

Sig.

7.398

=.007

5.642

=.018

20.885

<.001

bathroom location

5.285

=.022

moisture levels

5.388

=.002

visual privacy

5.397

=.020

safety

4.303

=.038

winter temperatures

8.129

=.004

12.055

=.001

7.775

=.005

19.279

<.001

3.061

=.008

dwelling type (house-apartment)dwelling size

modification capabilities
kitchen size

developer (NGO-private)

n. of bedrooms
modification capabilities
bathroom location
acoustic privacy

Interestingly, when expectation levels were segmented by developer, architectural quality expectations were significantly higher for the NGO group (H=42.516, p<.001) whilst no significant
differences were found in terms of environmental quality expectations. Nonetheless, when environmental quality expectations were used as segmenting variable, satisfaction levels with both
moisture (H=11.773, p=.003) and winter temperatures (H=8.958, p=.011) were significantly different,
whilst differences in satisfaction with kitchen sizes (H=12.750, p=.002) were only significant when
segmented by expected architectural quality.

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499

Discussion
The results presented by this study suggest that self-help personalisation can have a strong impact on overall levels of residential satisfaction in social housing. The analyses have shown that
personalisation tends to be a response to household needs not been addressed by the dwellings in their original state, suggesting that self-construction may enable low-income households
to gain control over their current residential conditions. Furthermore, expectations developed
before occupancy had a significant impact over residential satisfaction levels, suggesting that
active management of this variable may be critical for the overall success of the housing delivery
process.
Regardless of being recently occupied, more than three quarters of the surveyed dwellings presented at least some degree of self-help personalisation whilst almost one third of the houses
were substantially extended, confirming the pervasiveness of this phenomenon in Chilean social housing (Greene and Rojas 2008; Sugranyes 2005). Households living in dwellings that have
undergone major structural modifications manifested higher levels of satisfaction when asked
about the architectural properties of their dwellings, whilst the number of occupants directly
impacted satisfaction with both dwelling size and number of bedrooms. In contrast, satisfaction
with detailing and finishing works was consistently low across the sample and non-structural
personalisation was mostly correlated to household income. This contrast was also present in the
results obtained through open questions, which showed that external works and structural modifications were mostly motivated by functional concerns while minor modifications tended to be
a result of subjective perceptions of comfort or aesthetic preferences. Overall, this suggests that
major structural modifications can be a consequence of significant misfits between the needs
of a household and the properties of their dwelling, which can motivate self-construction from
early stages of occupancy regardless of the economic efforts that may be involved. Although
these observations are consistent to general theories on housing adjustment (Morris and Winter
1975; Galster and Hesser 1981), in the Chilean case certain demographic characteristics seemed to
determine the capacity of the households to materialise self-help plans and therefore to achieve
desired states of satisfaction.
Beyond the personalisation strategies of different households, perceptions of residential quality were strongly influenced by subjective expectations (Lu 1999). Although satisfaction levels
were consistently lower than declared expectations across the sample, comparative analyses evidenced that these results were influenced by variables that may not related to the properties of
the dwellings but rather to social factors such as the former residential conditions of the beneficiaries and strategies of the developer. Furthermore, the analyses have shown that satisfaction to
environmental conditions (whose rankings were consistently low across the sample) were significantly influenced household expectations, suggesting that eventual contrasts between expected
and actual residential conditions may have impacted the participants responses.

Conclusion
This study evaluates existing relationships between personalisation strategies and satisfaction
levels among beneficiaries of the Chilean social housing program. Overall, the results suggest
that active involvement of the beneficiaries at different stages of the housing delivery process
may result in enhanced residential satisfaction, supporting current initiatives that target the
households self-help capabilities instead of providing close to finished end products. Further re-

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search may focus on understanding the conditions that influence expectation formation among
dwellers, as well as the impacts that different personalisation strategies may have on comfort and
households budget.

Acknowledgements
The results of this study are part of a doctoral research currently under development by Victor
Bunster under the supervision of Prof. Tom Kvan, A/Prof. Masa Noguchi, and Dr. Stanislav Roudavski at the Faculty of Architecture, Building and Planning, The University of Melbourne with the
financial support of CONICYT Chile (R.E. No. 2033/2012). The survey was conducted with the support of the Faculty of Architecture, Construction and Design of the Universidad del Bo-Bo, Techo
Foundation, and the University of Melbournes Abroad Travelling Scholarship (MATS).

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International Conference | Bari - Lecce, Italy

Session VII

OPPORTUNITIES AND CHALLENGES TO MASS

CUSTOMIZE LOW-INCOME HOUSING IN BRAZIL
Patrcia A. Tillmann1, Carlos T. Formoso2, Patrcia Tzortzopoulos3
1 NORIE, School of Engineering, Federal University of Rio Grande Sul, Brazil, [email protected]
2 NORIE, School of Engineering, Federal University of Rio Grande Sul, Brazil, [email protected]
3 Department of Architecture and 3D Design, School of Art, Design and Architecture, University of Huddersfield,
United Kingdom, [email protected]

Abstract
Mass Customization (MC) stands for the ability to develop high value-added products within
short time frames and at relatively low costs. Although this strategy has been successfully
applied in several industries, in construction it has been mostly limited to a few companies
that produce factory-built and manufactured homes. In Brazil, where traditional construction techniques are majorly adopted in low-income housing programs, there have been many
critics regarding the excessive standardization and thus, non-consideration of the increasing
diversity of households and their specific needs. Such standardization is mainly due to the use
of mass production core ideas as a way to achieve low costs. The aim of this paper was then to
explore the possibilities of adopting mass customization in this context. Two existing low-income housing programs in Brazil were investigated. The discussion on the opportunities and
challenges to introduce mass customization ideas in these programs are based on the analysis
of the product development process, as well as an analysis of household profiles and needs.
The results indicated that the household profile is very diverse in low-income housing. Thus,
demand for customization is high, as well as attributed to different products characteristics.
However, the product development process in this context was found to be very different
from a process of mass customized products. Despite the need to modify such process, it was
identified that mass customization can be achieved in a variety of ways, and does not necessarily imply on the modernization of construction techniques. However, a major challenge for
achieving higher customization in this context seems to be related to the programs rules and
how it restraints innovation and diversity.

Keywords
product development process, low-income housing, mass customization, value
management

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Introduction
In manufacturing, the need for more flexible products has been addressed through the delivery
of mass customized products. In fact, mass customization has been pointed out as an effective
way to achieve high-value added products within short time frames and at relatively low costs
(Davis, 1987; Pine II, 1994). Davis (1987) was one of the pioneers in defining such term, referring to
the strategy of reaching a large number of customers, as in mass production, while providing the
individual treatment of craft production. Nowadays, such strategy may be viewed as a natural
follow up for processes that have become increasingly flexible and optimized regarding quality
and costs (Silveira et al., 2001).
Although mass customization has been widely used for competitive advantage in several industries, evidence of successful examples in the construction sector is restricted to markets of factory-built homes (e.g. Barlow et al., 2002; Barlow and Ozaki, 2003; Noguchi, 2005). Those authors
pointed out that homebuilders rely partly on modularization, pre-fabrication, and on site assembly to achieve mass customization. However, in Brazil, house building is still heavily based on
traditional construction techniques. Moreover, a study identified that Brazilian companies using
such techniques have difficulties to deal with the diversity of customers needs and efficiently
provide flexible homes (Brando, 1997). According to that author, problems are not only related
to the use of traditional techniques, but also to a poor management of customers requirements
throughout the construction process.
In Brazilian low-income housing programs, difficulties for considering customers` needs are far
beyond technical issues, as a wide range of stakeholders are involved in the provision process.
Since 1988 there has been major changes in governmental policies concerning housing. Nowadays, there is a range of housing programs, each focused on different social segments. Main
rules and decisions are still taken by the government, but such programs are now constituted by
a complex multi-stakeholder environment, brought together to develop, produce, deliver and
sometimes even manage the use of low-income housing schemes. Therefore, to consider and
manage costumers requirements in such complex environment is very challenging (Leite, et al.,
2011), mainly due to conflicting interests among stakeholders.
The importance of considering social and cultural diversity in low-income housing provision has
been brought since 1992 as a major challenge for supporting sustainable development through
public policies (Agenda 21). However, a study on a major existing housing program in Brazil has
identified that project flexibility tends to be very limited due to the adoption of mass production
core ideas in their conception as a way of reducing costs (Leite et al., 2011).
Therefore, the aim of this research was to identify opportunities and challenges for the adoption
of mass customization in low-income housing in Brazil. Firstly, a conceptual framework regarding the operational issues that are necessary for implementing mass customization is proposed.
Then, empirical data from two case studies are discussed. The studies were carried out in existing
low-income housing programs, and comprehended two main phases: understanding the product development process (PDP) and mapping customization requirements.

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Mass Customization
Mass customization is an approach that involves the entire value chain, from sourcing to final
distribution (Piller, 2003; Duray et al., 2002). According to Pine II (1994), companies moving towards
mass customization usually begin by implementing one approach, or a combination of approaches that requires less modification on their existing processes. Also, the selection of the approach
will depend on how the value chain is configured and when the customization process will take
place (Pine, 1994; Duray et al., 2000). Thus, the moment when costumers are involved in the process may determine the degree of customization and the most appropriate practical approach
(Duray et al., 2000). However, Pine II (1999) argues that some approaches may allow costumers to
adapt the product by themselves, during the use phase, not needing to be involved in the product development process. Figure 1 presents four main approaches to achieve mass customization.
In this spectrum, practical approaches to mass customization are displayed according to the moment that customers are involved in the process, and how the value chain is organized to provide
the customized product. In Custom-tailored products, costumers are involved in early phases of
product development. The product may follow a modular architecture, but the costumer can interfere in the design phase (Duray et al., 2000). Achieving customization through a Combination of
standard components implies that design decisions have already been made and cannot be modified. This combination may involve standard designs or standard components that have already
been produced (Pine II, 1999; Duray et al., 2000). Product customization can also be postponed
to the sales point, and realized through Additional work (Pine II, 1999). Finally, customization can
be achieved by Enabling customization during use (Pine II, 1999; Duray et al., 2000) or customized
services can be delivered with standard products (Pine II, 1999).

Figure 1: Practical approaches for mass customization in manufacturing

Depending on the practical approach for mass customization, different issues regarding the product development process need to be considered, regarding products design, the production system and the supply chain design. Most approaches require a product with modular architecture,
allowing the combination of components in different ways to generate a variety of solutions (Collina, 2004). Thus, economy of scale can be achieved through the production of standard elements,
while variety is provided by combining those elements in different ways (Pine II, 1999).

Opportunities and challenges to mass customize low-income housing in Brazil

505

Regarding the management of production systems, Pine II (1999) argues that the development of
just-in-time production, lean manufacturing, time-based competition and other advantages that
come along with the lean production philosophy, were the main enablers of increased product
variety at relatively low costs. Flexible production systems allow companies to explore what has
been named as economy of scope. This means that the same system is able to produce a wide
variety of products, in a production line that is easy to be reconfigured while still exploring the
economy of scale (Szwarcfiter and Dalcol, 1997).

Mass customization in the construction industry

In the construction sector, mass customization has been adopted mostly for industrialized housing production. Factory built homes can be delivered within short time frames and at relatively
low costs, while maintaining products quality (Noguchi, 2005). In that context, the customization
process happens in three stages (Noguchi, 2005). Firstly, the company offers a catalogue with
different types of house design for their clients. Options vary from different styles, technology
and constructive elements. Such elements can be structural, defining the housing spatial characteristics, external, defining the housing appearance and internal, defining functionality and interior appearance. In addition to that, it is also offered air conditioning, security systems and other
accessories. Clients can combine those components in different ways, and a virtual image shows
the final result with an estimated price.
According to Barlow et al. (2002), Japanese companies adopt different practical approaches for
mass customization, which depends on how the supply chain is organized. Some companies customize through Additional work through simple and complementary production process close to
the delivery point. Others involve their costumers in the assembly process, customizing through
the Combination of standard components, while there are still some that have a Custom-tailored
approach, involving costumers in the design phase and letting them request changes on modules. Thus, the Japanese industry can efficiently deliver mass customized homes by pulling production, using standard and pre-fabricated components and managing the supply chain.
However, in places where traditional construction techniques are widely used, it is more difficult
to achieve such efficiency (Barlow and Ozaki, 2003). Hence, these authors suggest a transformation from a predominantly sequential, manual and fragmented process into the use of modular
design, pre-fabrication and assembly of components, as well as an integrated process of design
and production supported by efficient communication and coordination. In addition to the difficulties related to technical issues, Barlow et al. (2002) highlights the limitations imposed by urban
policies; the long development cycles, which makes it more difficult to introduce customization;
the constructors conservative attitudes towards innovative projects; as well as the attitude to
consider only construction related activities, not considering the quality of supporting services
to customers.

Research method
Case study was the research strategy used in this investigation. Two case studies were carried out
in existing low-income housing programs in Brazil: the Associative Credit Program (CCA) and the
Residential Leasing Program (PAR). In both cases, houses are acquired through low-interest loans
from the government. The former aims at low-income families earning up to 10 minimum wage
salaries, while the later is focused on families earning up to 6 minimum wage salaries. Those programs were chosen for being representative on the government efforts for delivering low-income

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housing. Moreover, in the CCA program, companies were aiming at a more costumer-centric approach, offering some flexibility in their products, this was seen as an opportunity to test the real
possibilities of adopting mass customization on a real life context. Regarding the PAR program,
previous researchers have done a considerable effort to understand the PDP and to map clients
needs, which was an opportunity to carry on a comparative analysis. The case studies were conducted in two phases: (a) analysis of the product development process, and mapping customization requirements
In phase 1, data for the CCA was collected through a set of interviews with the companys teams
responsible for the product development process, and with the production manager, foreman
and an intern at the construction site. Other sources of evidence were also important, such as the
analysis of legal documents concerning the rules that have to be followed to develop a product
for this type of housing program; direct observation at the construction site; participation on
meetings between the company and the costumers; and the analysis of architectural drawings,
users manual, and other internal documents concerning the companys procedures. For the PAR
program, secondary data was obtained from an existing database and research reports that have
been produced by UFRGS. Data from a previous investigation on the assessment of projects delivered by three small sized local companies (Leite 2005) was also analysed.
In phase 2, the main source of evidence was previously collected data of the CCA program (figure
2). The company had a close contact with clients throughout the PDP, which makes it possible to
collect clients profile, requests for change in the dwelling plan and post-occupancy evaluation.
Data from three housing projects were analysed. All of them consist in low-rise buildings with a
similar architectural typology but with different dwelling sizes (2 and 3 bedrooms). Other important source of evidence was a survey carried out in one of these housing schemes to evaluate
adaptations in dwellings (sample size - 60%). During the application of the survey, data was also
collected through direct observation and photos of the adaptations were taken under dwellers
permit.
Figure 2: Secondary data available in the companys database

Data available and sample size

Housing Schemes

Clients profile

Clients requests for change in Post occupancy evaluation

dwelling plan

SL

63%

60%

45%

SC

75%

80%

61%

SJ

50%

93%

not available

Data analysed for the PAR case has being previously collected through a post occupancy evaluation carried out in a sample size of 20% (for each housing scheme). The questionnaire consisted
of three main blocks: users profile, satisfaction and modifications in dwellings. Three different
projects were analysed, all of them consisted of 2 bedroom dwellings, however they present different architectural typologies: in the first ones, dwellings are distributed in a four store building
(schemes OR and RD); in the second one, dwellings are distributed in a five store building and
delivered without finishing materials (scheme MR); and the third is a low rise housing project
(scheme SR), similar to those analysed in the CCA case. In both cases, the scope of data analysis
was levels of satisfaction and changes made on the dwelling interior spaces and the private open
space (back yard and front entrance, when existing). Also, household profiles were analysed using
a hierarchical cluster analysis technique.

Opportunities and challenges to mass customize low-income housing in Brazil

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CCA Program
In the CCA program, most activities are performed by a construction company, which is responsible for developing, building and delivering the housing schemes to final consumers, as well as
monitoring the products use after its occupancy. It is also the companys responsibility to gather
potential costumers and develop a social work project to assist them on the legal issues regarding
the acquisition and the definition of condominium rules. The city council and the financial institution have a secondary role on the process. The financial institution evaluates companys performance according to the programs rules, evaluates the product that is being developed, checking
if it is in accordance with the citys urban legislation, as well as checks if prospective costumers
have enough credit to obtain the loan.
Housing schemes developed by the company generally consist of a hundred of role dwellings.
Usually, the highest possible occupancy ratio is considered, due to the high costs of land in Brazil.
Although housing units were repetitive, the product design cannot be characterized as modular.
From the point of view of product architecture the project is considered to be integral, consisting
of load-bearing block walls, with hydraulic and electrical systems close attached to it. After walls
are built, they cannot be modified because of their load bearing properties. Therefore, changes in
those systems must be planned well in advance, as extra features to allow flexibility in the block
walls need to be pre-defined and then placed in the construction phase. Once the architecture
and building services design have been finished, they have to be approved by the financial institution and the city council. The approved plan cannot be modified during the construction
process, as there is another evaluation process before the product delivery, in which this issue is
considered.
After receiving approval, the company can advertise and start building the housing scheme. Interested costumers are registered to apply for a loan contract with the financial institution. Since
dwellings are commercialized at the beginning of the construction phase, costumers are allowed
to request some changes to better suit their needs. The company offers a list of options that can
be modified in the dwelling plan, giving a period of 30 days for costumers to request changes.
The options are mainly some small changes on electrical and hydraulic systems, such as adding
outlets and relocating the kitchen sink, or changes in finishing materials.
Flexibility is also limited due to legal restrictions. If costumers do not want the standard finishing
materials in wet surfaces, they will receive them in boxes to exchange for another, as the company
is not allowed to deliver the houses without such materials. Moreover, requests concerning spatial modifications are very difficult to be fulfilled since local authorities have previously approved
that plan. Sometimes, the company receives requests for change after the 30 days period. In this
case, there is a need to check in what stage is the construction, and if it is still possible to realize
the request.
In the production stage each block of houses was built at a time. A block consists of two production batches of 3 to 5 units, and it takes around 4 months to build an entire block. After the completion of a batch of units and the necessary infrastructure, they are delivered to final costumers and the company starts to build the next batch. Building materials are normally bought for
each block of houses, and the negotiation with suppliers start at the beginning of the production
phase. The company has some steady local suppliers for most materials. Though, for ceramic tiles
and bathroom accessories, the suppliers are located far away and they typically deliver standard

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materials in large batches, which enable the company to buy at a relatively low price.
Finally, dwellings are delivered in blocks and a monitoring phase starts. Besides maintenance services, the company also gets feedback from costumers in the point of delivery and with post-occupancy evaluation carried out at least after one year of products use. Collected data is then analysed by the companys quality management staff, but it is not usually processed and analysed in
time to feedback the next cycle of product development. Improvements are made based mainly
on costumers complaints and lessons learned through the direct contact with final users.
In the analysis of costumers profile, the strongest variable distinguishing them was the income.
Customers from housing schemes 1 and 2 have a similar income, while costumers from the third
scheme have a higher income. Thus, five different household groups were identified (figure 3). In
schemes 1 and 2 three main groups were: a large group of households with an average income,
mostly young couples (43%), families with children (23%) and single parents (16%); households
of mature couples with a higher income (8%); and young couples with lower income (9%). In
scheme 3, three groups were found: a large group of young couples and single parents with higher income (61%) and another group of young couples with an average income (39%).

Figure 3: Cluster analysis of CCA households

Regarding requests for change, a high percentage of households opted to modify dwellings, besides the restricted flexibility offered (figure 4). The majority of changes are requested to change
ceramic tiles. Also, changing the layout of electrical and plumbing systems is also quite requested,
since it cannot be modified after it has been built. Some small modifications are also requested
on brick walls, such as separating the kitchen space from the living room, and the least requested
change is to modify direction of doors openings.
Regarding costumers satisfaction, high levels of satisfaction were found. Issues that cause less
satisfaction are the laundry room and kitchen space, as well as the quality of finishing materials
(including the materials of doors and windows) (figure 5).

Percentage (%)

Percentage of modified dwelling plans

84%

61%

74%

0%
SL

SC

SJ

Figure 4: Modified dwelling plans on the CCA case

Opportunities and challenges to mass customize low-income housing in Brazil

509

Figure 5: Levels of consumer satisfaction in the CCA program

CCA Levels of
Satisfacion

Dwelling interior spaces

Dwelling components

Living
Room

Kitchen

Laundry
room

Bedrooms Bathroom Doors and Eletrical

Windows System

Plumbing Finishing
System
Materials

Very Satisfied

10%

6%

5%

11%

7%

3%

11%

2%

1%

Satisfied

64%

56%

49%

80%

66%

59%

67%

61%

49%

Neither Satisfied
Nor Dissatisfied

16%

15%

14%

7%

12%

10%

8%

18%

13%

Dissatisfied

8%

20%

24%

2%

10%

16%

10%

14%

18%

Very Dissatisfied

3%

4%

8%

0%

5%

8%

4%

6%

8%

Even though changes in plans are allowed, modifications after occupancy are common (figure
6). 96% of the interviewees have already added or is planning to add one more room in the back
yard for leisure porpoise, with a barbecue place. Changing finishing materials, such as ceramic
tiles, wall painting and bathroom metals; are the second most frequent type of modification after
occupancy. Other changes such as adding air conditioning and security elements, such as fences,
were also observed.

Figure 6: Most common modifications in dwellings after occupancy CCA program

PAR program
In the PAR program, there were four main stakeholders participating on the provision process. In
this case, the government has a greater influence on the configuration of final product, since it
establishes some design restrictions to be followed by the construction companies (e.g. the price
has to be the same for all dwellings, there are minimum areas to be followed). Different from the
CCA program, in this context it is not the company that advertises the product and gathers potential costumers, instead, the government advertises the possibility to participate in this program in
a given city, registering the interested families. Another peculiarity is that after dwellings are built
the government is responsible for distributing dwellings to final users. The bank also has some
other additional activities rather then just evaluate and approve the product. In this case it is the
financial institution that develops the social work (rather than the construction company) with
the families throughout the entire process, including post occupancy phase. This is also a leasing
program, in which dwellings remain as government property for 15 years. Throughout this period,
a facility management company is hired to supply administrative services such as collect users
complaints and assure monthly payment.

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When the company starts developing the housing schemes the scope of the solution has already
been narrowed by the some pre-established design specifications. There are three types of housing that can be built: new and simplified dwellings with no finishing materials for a lower price,
new and complete dwellings, or dwellings in a refurbished building. For each category, dwelling
units within the same scheme need to have the same price. The design of the housing is based on
minimum requirements previous established by the government. Previous studies identified that
companies use a concept of generic and specific product design (Leite et al., 2005).
The city government opens the period of application for interested families. A demand of 4 families for each unit is necessary for the housing scheme to start to be built. Credit conditions of
these households are then analysed. Once the families are qualified, social workers contact them
to collect information and provide some advice about the leasing process and on how to live in
a condominium.
Housing construction is clearly mass production oriented. Repetitiveness is used to reduce overall
costs of production, large batches of materials are bought and dwellings are produced sequentially. Although the houses are repetitive, the product design cannot be characterized as modular.
As in the CCA program, the product has an integral architecture, consisted of load-bearing block
walls, with hydraulic and electrical systems closed attached to it.
The construction process has to follow a bar chart that is proposed by the company and approved
by the financial institution. During the construction period the financial institution visits the construction site periodically to check if the chronogram is being followed. When construction is
done, the construction company delivers it to the financial institution, which will distribute dwellings among selected families at random.
After dwellings are delivered, a facilities management company is hired to take care of managing
the condominium, so that that the housing estate is properly managed. Units are not supposed to
be modified during the leasing period. Only after 15 years, when leasers can become homeowners
it is possible to realize changes on the dwelling space.
In the PAR case, three main groups were identified (figure 7). Since data about income were not
available, it was used the variable level of education instead. In this case, the variable that most
distinguished households was the level of education. Also, differently from the previous case, a
larger amount of mature households were identified. Interestingly, lower levels of education were
found among older households, while higher levels of education were found among the young
ones. The largest cluster is formed by families with children and secondary education. There are
also a group of households with higher education composed by single parents and young couples, and a group with primary education composed by mature couples and mature couples with
children living at home.

Opportunities and challenges to mass customize low-income housing in Brazil

511

Figure 7: Cluster analysis of PAR households

Results regarding costumers satisfaction were very similar from the CCA case. High levels of satisfaction were found, although the laundry room and kitchen space, as well as the quality of finishing materials were the main causes of dissatisfaction among interviewees (figure 8).
Figure 8: Levels of consumer satisfaction in the PAR program
PAR Levels of
Satisfacion

Dwelling interior spaces

Dwelling components

Living
Room

Kitchen

Laundry Bedrooms Bathroom Doors

room

Windows Eletrical
System

Plumbing Finishing
System Materials

Very Satisfied

10%

7%

6%

9%

12%

4%

10%

11%

10%

4%

Satisfied

72%

63%

43%

76%

80%

59%

74%

70%

77%

54%

Neither Satisfied
Nor Dissatisfied

6%

4%

8%

4%

1%

3%

3%

3%

3%

6%

Dissatisfied

11%

23%

33%

10%

7%

17%

12%

13%

13%

20%

Very Dissatisfied

1%

3%

14%

1%

0%

1%

0%

3%

3%

7%

Not only satisfaction levels, but also post-occupancy modifications in the PAR program were very
similar from the CCA case. Most common modification was the addition of a barbecue place or
leisure space (figure 9). Changing the walls painting and finishing materials were also very common. It is worthwhile to mention that even though dwellers are not allowed to modify the building structure, it was identified the addition of air conditioning and modifications in the electrical
system.

Figure 9: Most common modifications in dwellings after occupancy PAR case

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Discussion and conclusions

Despite of the fact that these housing schemes are designed for a standard household of a couple with children, a great diversity was found in household profile. Moreover, even though these
housing programs are conceived to fulfil the needs of low-income families, usually treated as a
homogeneous demand, variables representing income and level of education were found to be
dramatically different among households in both programs. This may represent a diversity of life
styles, which is not being considered. Hence, with such diversity, incremental costs to achieve differentiation may not imply in costumer dissatisfaction. The nature of customization requirements
was found to be similar in both programs. Common modifications after occupancy are the extension of dwelling for a barbecue place or other leisure purposes, as well as the personalization of
finishing materials.
Considering the findings on major customization requirements, as well as the different practical approaches found in the literature, it was found that mass customization could be adopted
through three different approaches: (a) Custom tailor or combination of components to provide
more adequate spaces for the diversity of life styles; (b) Customization through additional work,
in which the companies could offer personalized finishing materials or the addition of complementary elements, such as barbecues of safety systems; (c) Enable customization during use by
delivering houses without finishing materials and/or providing instructions to add or change elements in the future.
However, by analysing the programs developing processes, it was observed that in spite of the
opportunities to adopt mass customization in this context, there are many barriers to overcome.
Regarding general aspects, it was observed that the CCA context provides better supporting elements: (a) most activities are performed by the construction company; (b) there is high competition among companies in this market segment, thus high susceptibility to demand risks; (c) the
company that develops the product has a close contact with costumers; (b) the company has a
system for capturing costumers information to feedback the development process; (c) dwellings
can be priced differently, according to size and number of bedrooms; (d) dwellings are produced
in small batches and delivered to costumers; (e) there is a major concern to compete in the market
and to develop attractive products.
Conversely, in the PAR program, the development process is highly fragmented and mainly driven
by governmental rules. In this context, a larger number of stakeholders perform activities in a less
integrated manner. For instance, the company that develops the product does not have any contact with final users. It is the city government and the financial institution that selects and gives
support to households throughout the process.
Along with the fragmentation, the activities are also heavily based on rules. Thus, Companies that
are developing the housing schemes tend to limit themselves on following those rules and aim
at lower costs rather than focusing on costumers expectations. A major distinction between the
two programs also contributes for this fact. Differently from the CCA case, companies in the PAR
program are not as susceptible to demand variations, as such demand is previously analysed by
the government, which takes the responsibility of it. Further findings regarding the opportunities
and challenges are summarized in figure 10.

Opportunities and challenges to mass customize low-income housing in Brazil

513

Figure 10: Main opportunities and challenges for introducing mass customization
CCA

PAR
Costumers are involved early in the PDP

GENERAL ASPECTS

Custom-tailor
or comb.
Components

Process focused mainly on one stakeholder

Fragmented process, governed by rules

Close contact costumers and product

developers

No contact costumers and product developers

Design driven by market analysis (high

competition)

Design driven by prescriptive rules

Dwelling prices can be diverse

All dwellings need to have same price

Production is carried out in small batches

Production is carried out on one large batch

Concern to develop attractive products

Concern to meet government specifications at low

costs

Use of techniques that allow some flexibility

Flexibility is not taken into consideration

No changes allowed on plan after approval

High occupancy ratio to achieve lower costs
Use of an integral product architecture

Additional work

Costumers in close contact during the production

process

No contact costumers during production

Adding elements is possible due to const.

techniques

Changes in plan are not considered

Obligation to deliver house with approved finishing materials (kitchen/bathroom)

Materials are bought in large batches at low costs
Enable
customization
in use

Ownership is passed to costumers on the delivery

point

Changes in houses are prohibited for 15 years

Used const. techniques can provide later

flexibility

Need for changes are not considered in design

Dry areas can be left without floor covering

Some schemes can be left without finishing

materials

Wet areas delivered with some previous

defined finishes

Use of integral architecture structural restrictions

Legal restrictions concerning site occupancy
Condominium regulations
Challenges

Opportunities

Considering a Custom-tailor or a Combination of components approach, one of the major barriers

is the high costs of land, which limits design to achieve a high occupancy ratio, thus inhibiting
the development of different solutions. Moreover, the need for early approval of plans restricts
further changes. As a consequence, an integral architecture has been adopted to reduce costs,
providing very limited flexibility on systems in which changes are allowed.
Program rules should stimulate design variety, allowing dwellings with different prices and focusing the evaluation and approval of products platforms instead of crystallized solutions. In both
programs the early involvement of costumers is an opportunity for product co-development. A
product with a modular architecture would enable standardization, repetitiveness and economy
of scale while also providing variety (Duray et al. 2000; Collina, 2004). Along with that, the production system has to be designed to support flexibility. In this sense, the CCA case provides a more
supporting system as the production is carried on in small batches.

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Barriers related to the programs regulations could partially restrain an Additional work approach,
as well, as dwellings need to be built as planned and delivered with previously specified materials. However, in the CCA program, the close contact with costumers during the production phase
in addition to the use of techniques that allow some flexibility is an opportunity to adopt such
approach. Having in mind the high demand for materials finishing customization, an alternative
could be to build standard dwelling units and postpone the customization of finishing materials
as suggested by Stalk and Hoult (1990) and Child et al. (1991). In this sense, a flexible and more
integrated supply chain is desirable. Products should be co-developed with materials suppliers,
which in fact, could work with more flexible lead times, prices and order sizes.
Also, regulations are the main hinder to adopt an Enable customization in use approach. During
the products use, consumers should be stimulated to modify the space according to their needs,
and for that, guidance should be provided. Spatial requirements could also be anticipated in design stage and a plan for future expansion could be delivered to households along with dwelling
units. In the PAR program, rules concerning the products use may be a hinder to customization,
as costumers are not allowed to make any changes for a period of 15 years. Moreover, in both
programs, urban legislation regarding site occupancy would also be a barrier, along with further condominium rules in the CCA case, through which rules for modifying dwellings should be
agreed by all. Only by overcoming those regulations it would be possible to think about a modular design that could support further adaptations during use.

References
BARLOW, J. et al., 2002, Choice and delivery in housebuilding: lessons from Japan for UK housebuilders. Building
Research & Information, Londres, v. 31, n. 2, p. 134-145, jan. 2002.
BARLOW, J. and OZAKI, R., 2003, Achieving Customer Focus in Private Housebuilding: current practice and lessons
from other industries. Housing Studies, Bristol, v. 18, n. 1, pp. 87101, jan. 2003.
BRANDO, D. Q., 1997, Flexibilidade, variabilidade e participao do cliente em projetos residenciais multifamiliares:
conceitos e formas de aplicao em incorporaes Msc. Diss., Civil Engrg., Federal Univ. of Santa Catarina, Florianpolis, Brazil. 235 pp.
CHILD, P. et al. 1991, The management of complexity. Sloan Management Review, Fall, pp. 73-80.
CHRISTOPHER, M., 2000. The Agile Supply Chain: Competing in Volatile Markets. Industrial Marketing Management,
20, pp. 37-44.
COLLINA, L., 2004. System Architecture. In: MANZINI, E., COLLINA, L. and EVANS, S. (eds.). Solution Oriented Partnership: how to design industrialized sustainable solutions. Cranfield University, Cranfield, 171 p.
DAVIS, S., 1987, Future Perfect. Addison-Wesley, Reading, 243 p.
DURAY, R. et al., 2002, Mass customization origins: mass or custom manufacturing? International Journal of Operations and Production Management, Bradford 22, (3), 314-328.
DURAY, R. et al., 2000, Approaches to Mass Customization: Configurations and Empirical Validation. Journal of Operations Management, 18, (6), 605-625.
LEITE, F. L. et al., 2011, Client Requirements Management in Social Housing: A Case Study on the Residential Leasing
Program in Brazil. Journal of Construction in Developing Countries, v. 16, p. 47-67, 2011.
NOGUCHI, M., 2005, Japanese Manufacturers Cost-Performance Marketing Strategy for the Delivery of Solar Photovoltaic Homes. Proceedings of Solar World Congress ISES 2005, Orlando, U.S., 6-12.
PILLER, F., 2003, What is Mass Customization? A focused view on the term. Mass Customization News (Newsletter),
Munique, DE, 6, (1), 16 p.
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SILVEIRA, G., et al., 2001. Mass customization: Literature Review and Research Directions. International Journal of
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STALK, G. and HOUT, T., 1990, Competing Against Time: How Time-based Competition is Reshaping Global Markets,
Free Press.
SZWARCFITER C. and DALCOL, P. R. T., 1997. Economias de Escala e de Escopo: Desmistificando alguns Aspectos da
Transio. Revista Produo, Belo Horizonte, 7, (2), 117-129.

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International Conference | Bari - Lecce, Italy

Session VII

STUDY OF MODULAR, FLEXIBLE, CUSTOMIZABLE

HOUSING MODELS FOR MASS PRODUCTION,
WITH LOW ENERGY CONSUMPTION
Domizia Mandolesi1, Ilaria De Marco1, Ilaria Vergori1
1 Housing Lab, Dipartimento di Architettura e Progetto (DiAP) Sapienza University of Rome, Italy,
[email protected]

Abstract
The transformation of the family, the immigration of new inhabitants and the increasing age
of the population, together with new dynamics in the world of employment such as job insecurity and nomadism of youth, are changing the needs for dwelling in Italy, as in other
countries.
Moreover, sustainability changes the conception of the home and the city, moving towards
three different dimensions: environmental, social and economic. We think that only an integrated approach to these themes can change the way to organise spaces and functions inside
contemporary houses.
One of the main issues of contemporary housing projects is to develop sustainable and lowcost solutions for houses with formal and environmental qualities that can be customized and
tailored to individual needs. To meet the demands of a large and heterogeneous public, these
projects must refer to processes regulating the production of goods for mass consumption
similar to those used for airplanes, cars, and other objects of design. Among the limits of prefabrication on the one hand we find the standardization of form resulting from the application of these systems to the construction of mass dwellings; on the other hand is the spread of
vernacular single-family dwellings, serially produced to respond to current tastes without any
experimentation or research into their architectural language. The work we intend to present
pursues the objective of overcoming these limits and demonstrating that can exist a poetic
of domestic space based on the standardization, modularity and repetition of building elements, as has occurred in the past. In particular, we will present two design experiences that,
beginning with the definition of a prototype for a detached home offering a series of dimensional and typological variations, possesses the capacity to generate urban systems and, in
any case, to be integrated within existing contexts.

Keywords
customization, housing prefabrication and mass production, flexibility, low energy
consumption, environmental issues.

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The demand for housing and environmental issues

The house, considered as a primary asset, closely linked to issues of urban renewal, energy saving
and economic and environmental sustainability, raises today increasingly complex questions related to changes in lifestyle and composition of family units. Italy, in comparison to other European and non-European countries, has fallen behind in providing adequate response to housing demands, that are increasingly influenced by phenomena associated with immigration and growing
low-income social groups who are unable to access the free housing market. A contribution to
improving this situation can be offered by the use of advanced pre-fabrication processes in the
housing sector. Recent international experiences (see for example the exhibitions held in 2008
Home Delivery: Fabricating the Modern Dwelling at the MOMA in New York and Housing for all.
Inhabiting the global city at the Triennale in Milan), combined with recurring annual events and
numerous publications on the subject, have indeed made prefabrication in building and experimental results in the field the center of interest for the housing industry.
The reasons for this renewed attention to mass production in housing seem to depend not only
on economic grounds and reduced construction time but, more particularly, on environmental
pressures and production efficiency, which, thanks to new digital tools, encourage industrial approaches borrowed from other production sectors. The PLM (Product Life Cycle Management)
software, for example, by providing a collaborative environment between various interdisciplinary teams (structural, engineering, electrical analysis etc.), make it possible to conduct and evaluate simulations to support development of both product and process before construction is
initiated (KIERAN, TIMBERLAKE 2004). In addition, in factories, production reduces waste of raw
materials because it is possible to plan exactly how much material is needed, while recycling is
easier than on construction sites and the constant effort to improve the quality of components
guarantees the buildings performance from the point of view of statics and energy. Finally, producing a building in a factory and then assembling it on site in a short period of time reduces the
impact of building yards, and the well known risks related to noise and environmental pollution
and hazardous construction machinery (GERSHENFELD 2007:109).

The advantages of prefabrication and mass production

Since ancient times mankind has been engaged in the transformation of the living environment,
striving to organize and streamline the operations necessary for realizing this objective. The use
of the module goes back to the very origins of architecture (MANDOLESI 1978:199-216). The module concept has multiple implications: a unit of measure to rationalize and compare design items;
a repeatable element which facilitates the products construction; a spatial and aesthetic control
system in accordance with a logic of proportions and harmony of all building parts (Leon Battista
Alberti, De re aedificatoria). It is with the advent of industrialization in the construction industry, between the late XIX and the early XX century that the concept of module, associated with
prefabrication and mass production of building components, assumed a technical connotation
related to the idea of system.
The idea of buildings as systems, composed of parts, completed by assembling the mass produced elements in a factory, with considerable savings in time and construction costs, represents
the basis for experimentation on housing as an industrial product; experimentation that started
with Le Corbusier, Gropius (GROPIUS 2004) and other masters of the Modern Movement, continued with research developed by American housing builders, the utopian experiments of Buckminster Fuller, the mass housing designed by Jean Prouv (PROUV 1971), and housing modules
designed to also reduce energy consumption, proposed by Richard Rogers in the Seventies, all

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the way up to the present day.

Through prefabrication and mass production, the tendency is towards optimization of the process
of industrial production in order to create assembly lines similar to those utilized to build ships,
airplanes, cars, motorbikes and design objects. While in many countries of the world such as the
Netherlands (where the One project of the construction company Heijmans realizes movable
prefabricated housing, mounted in just 24 hours and easily moved from one place to the other),
Denmark, United States (ANDERSON 2007:112), the mass produced prefabricated modular house,
thanks to the extreme versatility and flexibility of the systems employed, allows a wide use on
different occasions, also in response to emergency situations, such as temporary dwellings to be
used during restructuring or long-term emergencies following the occurrence of a natural disaster (as happened for example in New Orleans or in New Jersey after the extensive damage caused
by hurricanes). In Italy traditional construction continues to prevail, with certain distrust, due to
cultural reasons, towards the use of current prefabrication systems and the diffusion of catalogs
for houses on the order. Yet the advantages of a prefabricated house are numerous: starting with
the materials that are used, which can be optimized and certified, and the greater attention to detail, down to the very short assembly and finish schedule and the many options for customizing
architectural details (ZAMBELLI 2011:4-29). In addition, as mentioned above, two more important
factors should be taken into account: the economy and ecology of the production process.
This paper would like to offer its contribution to the described line of research, which identifies
in the limited use of basic industrialized components not only technical and economic advantages but also the opportunity for experimentation with typologies and space in housing, which
started in the early XX century and continues today. Our approach is based on two fundamental
principles:
Technical and construction systems are not indifferent to the shape and quality of the domestic space; every building system with its own internal rules does not create an infinite number
of formal configurations but only those consistent with such rules, therefore a certain spatial
structure should be associated with the most suitable structural system;
Modularity and standardization of components, essential for the development of flexible systems (BATTISTACCI 2006:113-138), must not result in the homogenization and in the serial repetition of building types, but should aim, according to a systemic logic, to achieve unique results
that are the outcome of combining recognizable elements in ever-changing configurations.
The house, the domestic space, forms the ideal setting for experimentation in this direction.
The house, in fact, in the history of architecture and the city can be read as the expression of
two opposing aspirations: the desire of the inhabitants to represent their inner world and the
desire for recognition within a community. This translates into a dualism between uniqueness
and repetition of housing types characteristic of urban structures, allowing us to identify the
linguistic code to which they belong.

Objectives and research method

In relation to what has been mentioned so far, and in reference to the experience of the HousingLab Research Lab - DiAP Sapienza University in Rome on matters of modularity and flexibility
(CALZOLARETTI 2009:11-43), sustainability and customization (MANDOLESI, DE CESARIS 2013:3947), the aim of this paper is to present a summary of studies regarding the project of two housing
prototypes. The purpose is to identify housing models for mass production based on a small number of building components capable of generating a wide range of volumetric solutions, while
meeting the taste of the prospective inhabitant without falling into homogenization and the repetition of building types. The goal is to create a catalog including a system with a limited number
of easy-to-assemble, standardized and prefabricated components that can generate controlled,

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519

but extremely varied and flexible, configurations of domestic space, in order to accommodate
different needs in relation to individual taste and different locations.
In particular there are two main issues:
The search for architectural quality corresponding to the need for customization and modification of the house in time;
Technological experimentation related to the issue of low energy consumption houses, during
the entire cycle spanning from its construction to its eventual dismantling, and the recycling
of components and materials.
The research has investigated the expressive possibilities of two prototypes of modular prefabricated houses to be mass produced allowing customization, in terms of the shape and size of the
individual parts and the high quality of the design, materials and construction systems employed.
All this taking into account the geographical location in terms of energy saving and language
choices, based on an underlying conviction: modularity and mass production of the house-asset
cannot be neutral with regards to the physical location it will become a part of, reflecting climate
and environmental differences and established social and cultural factors. This is why two different locations were hypothesized - in a Northern and in a Southern region of Italy - so that the
two prototypes could embody the specific climate conditions and domestic traditions both in
the tectonic and morphological structure of the house. Moreover, during the planning stage, collaboration was sought with production companies that provided the necessary information regarding building components, construction details, material performance and costs. In particular,
contacts were initiated with Polifar srl of Mogliano Veneto (Treviso) in regards to the application
of the construction system for the residential housing Idea 108 (DE MARCO- MANDOLESI 2014)
and with Rubner Haus AG, Chienes (Bolzano) for the wooden prefabrication system Dadomus
(VERGORI- MANDOLESI 2014).

Projects
Regardless of the different spatial concepts, of distribution and formal features, the design of the
two prototypes originates from the following common programmatic choices:
Type and size, enabling variations in interior space and dimensions;
Long-term flexibility, allowing the recombination and division of dwelling units;
A system to accommodate small volumetric increases in order to respond to changes in family
composition;
The possibility of accommodating different tastes and lifestyles.
In relation to the choice of building systems and of mass production, what we have in both cases
are hybrid systems, whose purpose is to obtain versatility of the open system starting from a set
of predetermined components (bearing panels, steel skeleton, curtain walls, roofing) similar to
Lego parts, to which functional finished and furnished kitchens and bathrooms can be added,
which complement the structural dimensions. According to preference, materials and external
finishes come in a wide range of solutions. This approach allows very satisfactory levels of customization, in particular in terms of plan distribution, housing dimensions, extension or reduction over time and formal characterization. In both cases the individual building units can be positioned independently or can form aggregations of multiple structures in natural environments
or in consolidated urban fabrics, reaching a height of three stores. Light and dry technologies are
favored, with on site stages of assembly and considerable savings on building sites and construction time, allowing construction components to be dismantled and reused and the recycling of
parts produced with raw materials and manufactured where possible with low pollution impact.

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This is why the prevalent material in the two structures is wood, used in planks along with a
skeleton of steel posts or load-bearing panels, supported by curtain walls and completed with
finishes utilizing whenever possible plant fibers and dyes that are not hazardous to health and
that respect the environment.
In terms of energy and environmental compatibility wood indeed has optimal characteristics in
all phases of its life cycle, from production of raw materials, to processing, disposal and recycling.
(Figs. 1, 2)
Idea108 housing prototype
The house is inspired by the essential volumes of typical rural residences in Veneto, based on
rectangular buildings with pitched roofs. This option is well suited to the logic of the constructive
system for idea 108, since it offers a good flexibility of use and the possibility of expansion over
time. The supporting structure, realized according to Idea 108s modular dry construction system
and devised to meet seismic criteria, is formed by:
- structural steel pillars; - infill panels consisting of a wooden lamellar frame braced with OSB/3
boards, covered by insulating material with a layer of plaster, used for walls and roofing. The panels integrate an air chamber with constant ventilation to improve comfort and health in the building. The size of each wall module is 108 cm in width and 432 cm in height. This allows for the creation of a single full-height space that can be organized on two levels. The particular arrangement
of the bracing elements guarantees the presence of a continuous ventilation chamber along the
perimeter walls and the passage of air from foundations to covering, thus realizing an organism
with a controlled microclimate (European Patent No. 07,866,756). The other elements are casing,
customizable on the basis of the buildings location and the taste of the owner, and functional
facility blocks.
The cost of rough construction (foundations + structural elevations + facade insulation + exterior
casing and plaster) in Italy varies between 140 and 200 /sqm, about half of a building constructed
with traditional systems. The assembly time for rough construction of a 100 square meters building is estimated at about 2 working weeks with the use of a team of three persons. This housing
prototype lends itself to the realization of single- and two-family houses and to the completion of
small and medium-sized urban fabrics. (Figs. 3, 4, 5)
Dadomus Housing Prototype
The project develops the idea of the
Mediterranean house consisting of a summation of rooms
that can compose complex structures with infinite configurations, suitable for expansion over
time. The basic element of the system is a cube (base m. 4.46; height 4.20) interspersed with connecting elements made of wood and glass that make the structure of the house particularly reversible and permeable, promoting interaction between the home environment and the exterior
space, which benefits natural ventilation and interior comfort. The repetition of simple geometric
forms and the alternation of full and void spaces (paths, patios, gardens), generates well-ordered
organisms that can be combined with each other with a certain freedom and exploit the different
available views.
The main structure of the house is composed of:
Portals (frames) and wood studs;
Wall panels of spruce wood of the SOLIGNO (180mm thick) type, formed by two layers of solid
finger-jointed wood planks, suitably dimensioned and ready for complete assembly of door
and window openings;
Bearing panels for ceilings and coverings in solid spruce.
The insulation panels and the exterior finish, as in all the components of the system, rule out all
synthetic materials in favor of natural fibers and wood fiber panels made with untreated waste

Housing models for mass production, with low energy consumption

521

wood or fiber plaster obtained with a mixture of pure gypsum, recycled paper fiber and water. In
the prototype, the outside finish is in lime hemp. The materials used the technological solutions
(roof covering with integrated photovoltaic cells) and the proper plant design involving the use
of heat pumps bring the building up to the A+ energy class. This prototype lends itself to the formation of urban fabrics based on complex and varied aggregations, highly adaptable to change
over time and tailored to the need of the inhabitants. (Figs. 6,7,8,9,10)

Conclusions
The study of these two prototypes in different climatic conditions and locations showed that the
idea of the house as an industrial product, as opposed to cars, bikes and other everyday objects,
can only work if mass production is limited to the basic elements of the system and not to the
configuration of the final product. The latter in fact cannot disregard the factors of uniqueness
that affect at least three aspects:
- The location, including the climate and dwelling culture in the various geographical areas the
house will become a part of;
- The morphological structure and space of the house in relation to the culture and attitudes of
the inhabitants;
- Flexibility, to be viewed as a degree of open-endedness necessary for the project to achieve
customization of the house.
Therefore, while construction can be better accomplished with industrialized prefabrication than
with traditional methods, by relating to the environment in a responsible and less invasive fashion, and reducing costs and assembly time, what should not be overlooked, however, is the added
value each project can offer the final product in terms of spatial and architectural quality. Among
all tangible assets the house is, in fact, perceived as a safe haven, lasting and stable, especially
in Italy. To suit such feelings and avoid falling into homogenization, mass production applied to
residential building must therefore focus on the project as a process, which, starting from a finite
recognizable number of elements, is able to ensure the uniqueness of the final solution.

References
KIERAN S., TIMBERLAKE J., 2004, Refabricating Architecture. How Manufacturing Methodologies Are
Poised to Transform Building Construction, Mc Grow Hill, New York.
GERSHENFELD N., 2007, The Coming Revolution on Your Desktop From Personal Computers to Personal Fabrication, Basic Book, New York, p. 109
MANDOLESI E., 1978, Il modulo misura, in Edilizia 1, UTET, Torino 1978, p. 199-216
GROPIUS W., 2004 La nuova architettura e il Bauhaus, Abscondita, Milano
PROUV J.1971, Une Architecture par lIndustrie, Architektur Artemis, Zurich.
ANDERSON M., PETER ANDERSON P., 2007, Prefab Prototypes. Site-specific Design for Offsite construction, Princeton Architectural Press, New York, p. 112.
ZAMBELLI M. 2011, Prefabrication in residential construction, in LIndustria delle costruzioni n. 418
marzo/aprile, pp. 4-29.
BATTISTACCI R., 2006, Flex house: la flessibilit nella residenza in CALZOLARETTI, M. Abitare in citt. Questioni architettoniche, sociali, ambientali, pp.113-138.

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CALZOLARETTI M. (a cura di), Molteplice Modulare Flessibile. Tre progetti per la Casa, Gangemi,
Roma, pp. 11-43.
MANDOLESI D., DE CESARIS A., 2013, Modular, sustainable and customized: projects for contemporary home, in: Open house international vol. 38 - n.3, pp. 39-47.
DE MARCO I. - MANDOLESI D., 2014, Final dissertation by Ilaria De Marco, Sapienza University of
Rome.
VERGORI I. - MANDOLESI D., 2014, Final dissertation by Ilaria Vergori, Sapienza University of Rome.

Fig.1 Idea108 prototype. The application of the construction system Idea 108 by Polifar srl of Mogliano Veneto (Treviso) for the residential housing. The basic concept of the house.

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Fig.2 Dadomus prototype. The application of the construction system Dadomus by Rubner Haus AG,
Chienes (Bolzano) for the residential housing. The basic concept of the house.

Fig. 3 Idea108 housing prototype. The supporting structure of the system. The house is inspired by
the essential volumes of typical rural residences in Veneto and offers a good flexibility of use and the
possibility of expansion over time.

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Fig.4 Idea108 housing prototype. The basic element and the logic of the construction system.

Fig.5 Idea108 housing prototype. The application of the construction system Idea 108 for a six people house with different organizations to respond to changes in family composition.

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Fig.6 Dadomus prototype. The project develops the idea of the

Mediterranean house promoting interaction between the home environment and the exterior space, which benefits natural ventilation
and interior comfort.

Fig.7a,7b Dadomus prototype. The main structure of the house with the basic elements and their
combinations.

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Fig.8 Dadomus prototype. The housing model consisting of a summation of rooms that can compose complex structures with infinite configurations, suitable for expansion over time.

Fig.9 Dadomus prototype. The energy performance of the housing model.

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Fig.10 Dadomus prototype. The different application of housing model. It can be positioned independently or can
form aggregations of multiple structures in natural environments or in consolidated urban fabrics, reaching a
height of three stores.

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International Conference | Bari - Lecce, Italy

Session VII

BPM AND LSS AS ENABLERS OF MASS

CUSTOMIZATION IN CONSTRUCTION
Mara Dolores Andjar-Montoya1, Virgilio Gilart-Iglesias2, Andrs Montoyo3 &
Diego Marcos-Jorquera2
1 Department of Building and Urbanism, Polytechnic University College, University of Alicante, Carretera de San
Vicente del Raspeig, s/n, 03690, Alicante, Spain, [email protected]
2 Department of Computer Science and Technologies, Polytechnic University College, University of Alicante, Carretera
de San Vicente del Raspeig, s/n, 03690, Alicante, Spain, [email protected], [email protected]
3 Department of Software and Computing Systems, Polytechnic University College, University of Alicante, Carretera de
San Vicente del Raspeig, s/n, 03690, Alicante, Spain, [email protected]

Abstract
Mass customisation (MC) is a potential marketing strategy to ensure a competitive advantage in the current business environment that is characterized by global competition, market
fragmentation and demanding customers with a tendency in most cases to differentiation
and uniqueness. To translate this competitive edge also to the reality of the building construction, the present paper proposes the application of Business Process Management (BPM)
strategies and Lean Six Sigma (LSS) philosophy for managing construction sites. The main
challenge is to get through the integration and synergy of both an efficient and sustainable
management of the construction works by improving performance, and thus, making possible MC in construction projects. With the implementation of tools and principles based on
LSS philosophies is intended to reduce the variability derived from the variety of options that
involves MC and which directly affects quality and time delivery. All this supported by BPM
strategy and its associated technology that will enable the automation of processes, its control and the management of potential changes, and giving the agility to an organisation to
adapt itself to the changing environment and responding to unforeseen. Being this agility a
key aspect to achieve mass customisation.

Keywords
BPM, Business Process Management, Lean Six Sigma, Mass customisation, Construction
management

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MC as a competitive strategy
The recent economic crisis has affected considerably to the construction sector, especially in the
residential market where the abrupt stoppage of sales led to a sharp drop in sector activity. To
ensure future competitiveness of the sector there are some factors that may influence, among
others, closer relationships with customers, process innovation, new technologies or coordination across actors to achieve lean construction, (Ecorys, 2008). In this regard, a customer closer
relationship is to offer them value-added in order to increase clients satisfaction ensuring a competitive advantage in the current business environment. This fact has positioned Mass Customisation (hereinafter MC) as a potential marketing strategy to create value ensuring competitiveness
in a customer-oriented market (Bernard, Daaboul, Laroche, & Da Cunha, 2012:18-25).
MC has been recurrently defined as an increasing product variety to satisfy customer needs while
maintaining near mass production efficiency (Du, Jiao, & Tseng, 2001; Tseng, Jiao, & Merchant,
1996), opening up to diverse market niches (Du et al., 2001: 309-325). This means to satisfy more
closely the individual wants of the customers providing a wide variety of options and individual
customisation at prices comparable to standard goods (Pine, 1999), integrating customer into the
process. So a new agile and flexible approach is needed not only to satisfy the initial customers
requirements, but also to provide a greater ability to adapt to their needs as they evolve (Barlow,
1998).

State of the Art: MC in Construction Industry

Currently, there are different approaches to implementing MC in the sector. Some of them are
centred on the design phase, such as the proposal presented by Dr Noguchi, one of the most significant authors in the field, that is based on an online support system for decision making in customizing prefabricated homes (Noguchi, 2003: 353-364). Similarly introduces the implementation
of MC in traditional construction projects through the application of a communication system
that allows users to take part in the customisation of their homes (Noguchi & Hernndez-Velasco,
2005: 325-336). Likewise in the design phase is presented in (Lee & Ha, 2013: 424-430) a solution
based on interactive 3D models and 2D draws through the use of Building Information Modelling
technologies (hereinafter BIM) to get better integration of data, fewer mistakes and inconsistencies in the projects due to changes from project modifications. About the approaches founded for
the construction phase, in (Benros & Duarte, 2009: 310-320) is shown the implementation of a production model for prefabricated building systems that includes a design system, a construction
system and a computer system, the integration of the three systems is achieved through a tool to
visualize solutions and the automatic generation of the required information in the production
phase.
Other authors (Shin, An, Cho, Kim, & Kang, 2008: 831-838) present a solution for MC implantation
focused on the use of information technology (hereinafter IT) through a system called Finishing
Information System to overcome some disadvantages arising from the implementation related
to increased cost and time and reduction in product quality. So through this system an improved
communication between providers and consumers is achieved, giving speed to the process, accessibility and exchange of information.
Despite all the benefits of the literature reviewed for MC applied to construction, the mostly analysed solutions focus their interest only on the design phase and not in the execution phase.
Furthermore some proposals are oriented to prefabrication business model and not in traditional
construction. Very few are centred on a technological solution, and the ones that take advantage
of ICTs do not offer an integral management system to allow better efficiency in operations and

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participants. Moreover they are not focused on process management or the continuous improvement processes.

Barriers in the implementation of MC as a competitive strategy

After literature review is deduced that to take full advantage of MC as a competitive strategy offering customers added value without increasing costs and deadlines, it is necessary to deal with
some implementing barriers such as the increase in uncertainty, complexity, cost and time. Likewise, the implementation of MC in residential house building magnify even more the frequently
existing problems in the site management. Usually these problems are caused by low levels of
efficiency and productivity of works, due mainly to some causes that have their origin in the business organization such us obsolete management models, lack of business integration, improvisation in decisions or search for short-term benefit. (ISEA, 2007: 1-2). Other existing common problem is the professional fragmentation on site, i.e., the large number of different organisations with
different conflicting objectives, skills and interests, creating fragmentation and adversarial relationship between project participants (Othman & Ahmed, 2011: 333-347). Also the frequent lack of
formation together with the lack of a systematic procedure leads to a tendency to improvisation
(Arcudia Abad, Sols Carcao, & Baeza Pereyra, 2004: 145-154). Finally, another important aspect
which affects the efficiency and productivity is the heavy dependence of the building sector on
human resources rather than adopting advanced or automated technology (Chiang & Tang, 2003:
1-17). It is well known in the sector the low usage of technologies in construction companies (Choo
& Tommelein, 2001; Hosseini, Chileshe, Zou, & Baroudi, 2013: 1-12.; Segerstedt, Olofsson, Hadaya,
& Pellerin, 2010: 371-384), characterized by the lack of integration of software diversity used in
isolation (Forcada Matheu, 2005) and low implantation of Enterprise Resource Planning systems
(hereinafter ERP)(ONTSI, 2013), and those that have done often express a technological wastage
due to their manufacturing origin that does not meet the needs of the construction industry (Shi
& Halpin, 2003: 214-221; Yang, Wu, & Tsai, 2007: 787-796). This fact promotes the tightness of information, impeding information being transferred from one stage to another (Alshawi & Faraj, 2002:
33-51), and fosters the existence of errors due to the inadequate, incomplete and outdated information that usually lead to delays and extra costs during the execution of a construction project
(Hong-Minh, Barker, & Naim, 2001: 49-59).
Therefore, to reach the paradigm of MC in residential house building it is necessary to achieve
a comprehensive model which allow eliminate or decrease the current productivity problems
on site, facilitating an efficient construction management of the variability derived from each
customer options. Then, competitive essential actions such as a change of mind, a shift toward
process orientation and improved communications (Hong-Minh et al., 2001: 49-59) are necessary
to eliminate the adversity and competition atmosphere (Martn, Fras, & Romero, 2008) becoming
the adversity tendency between parties into adaptations and collaborations for mutual success.
Also to implement security and training oriented programs for all the workers, or systematized
procedures (Arcudia Abad et al., 2004: 145-154).

Model proposal
Currently within the construction field there are some new emerging trends to manage barriers
previously specified against the efficiency in construction, like lean construction, six sigma and
ICTs solutions among others. Despite the constantly demonstrated benefits of these emerging
approaches and tools (Koskela, 1992, 1997) (Abdelhamid, 2003; Desale, 2013:1-8; Howell, 1999; Shan
& Li, 2013: 245-252), all of them offer independent and partial solutions, thus not an integral solution (Table 1). For that reason, in this work is proposed a general and integral model to achieve

BPM and LSS as enablers of mass customization in construction

531

MC paradigm through the efficient management of work processes and their participants. The
proposal is based on the integration of the new emerging philosophies and tools, which offer
partial solutions to the considered problems that impede nowadays the efficient management of
the MC diversity of options, together with other proposals that have proven successful in other
sectors such as the application of Business Process Management (hereinafter BPM) paradigm and
the use of emerging technologies, as wearables, mobile devices or smart sensors such as Internet
of Things (hereinafter IoT) (Fig.1).

Figure 1. Approaches and paradigms that integrate the model

Accordingly, Lean helps the firm to define customer value focusing on activities that add value,
through standardizing the types of waste and offering best practices to remove waste, achieving
among other things to reduce inventory and waiting times (Howell, 1999). In addition, other main
focus of Lean Construction (Koskela, 1992, 1997) is to increase output value through systematic
consideration of customer requirements, reduce the cycle time, simplify by minimizing the number of steps, parts and linkages, increase output flexibility, increase process transparency, focus
control on the complete process, build continuous improvement into the process, balance flow
improvement with conversion improvement and benchmark, and reduce variability.
About eliminating variations and create workflow in a process is widely recognized the use of the
LSS method (Oguz, Kim, Hutchison, & Han, 2012). Six Sigma is a statistical-based methodology
that provides a structured framework to organize and implement strategic process improvement
initiatives to attain reductions in process variability (Abdelhamid, 2003). Within the construction
industry, Six Sigma has been applied independently to improve the overall performance by reducing process variability in current construction operations (Han, Chae, Im, & Ryu, 2008: 21-31),
also as a quality initiative in traditional construction (Pheng & Hui, 2004: 482-489) to increase customer satisfaction and profitability (Tutesigensi & Pleim, 2008). Lean principles and Six Sigma has
been used by working in unison as an integrated model (Shan & Li, 2013: 245-252), also applied in
traditional construction where each methodology complements the other (Banawi & Bilec, 2014:
58-71; Desale, 2013:1-8) in the sense that Lean does not possess tools to reduce variation and bring
a process under statistical control, and in the same way, despite Six Sigma offers a lot of gains

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alone, the process would be slow and its costs will be too high. More specifically, lean benefit Six
Sigma in the identification of waste providing the powerful value stream map tool that highlight
waste and delays, while improve process speed or cycle time (George & George, 2003).
Despite the LSS benefits, (Visser, 2009) (Chiarini, 2012: 47-51), it is not resolved the gap in terms of
technological integration, availability and flow of information and data. To fill this gap it is necessary to join all these partial solutions because with a properly integration individual benefits will
be increased (Banawi & Bilec, 2014: 58-71; Morris & Field, 2008; Shan & Li, 2013). Then, as the main
novelty of this work it is proposed the BPM strategy (Jeston & Nelis, 2014) to support the model which will allow an integrated management while enhancing the benefits of the individual
proposals to get efficiency, productivity and agility to face the variability derived from different
options of MC implantation.
BPM is a process-oriented business strategy focused on continuous improvement which includes
IT as a fundamental element, unlike other strategies, filling the gap between business needs and
IT capabilities (Woodley & Gagnon, 2005: 679-688), managing the complexity of the diverse inherited technology portfolio, creating transparency in the business environment and creating
the agile link between business strategy and its execution (Kirchmer, 2009). All this is achieved in
form of a continuous process management lifecycle (zur Muehlen & Ho, 2006), consisting of discovery, design, implementation, deployment, execution, interaction, control monitoring, analysis
and optimization phases (Fig. 2).

Figure 2. BPM lifecycle

This BPM lifecycle is supported by an associated BPM software solution denominated Business
Process Management System (hereinafter BPMS), where processes are discovered, modelled and
designed. through a standard BPM notation (hereinafter BPMN) for process modelling based on
flowcharts, specifying in each process or task how to calculate the key performance indicators
(hereinafter KPI) relations and associations of data and actors. Here can be also modelled the

BPM and LSS as enablers of mass customization in construction

533

management process of the new philosophies and lean tools, such as, Six Sigma, LSS or other
processes of the different techniques and principles associated with these disciplines, such as
Kaizen, Last planner system, statistical techniques or any other analysis technique for continuous
improvement. BPMS includes process execution engines and incorporates task managers that
show the work to be done by each actor according to the running of the process flow, storing the
relevant information and disposing of it in real time anytime and anywhere. Not only will this help
to accelerate the process but also to know what to do, how, when, and how long (standardization
of Lean) to each participant, both in terms of production processes and to apply continuous improvement techniques for the government of such processes. The proposed model will include
the variability among its principles to avoid fixed and inflexible processes, allowing in an agile way
to adapt the processes to the specific objectives of the organization and its continuous change
through composition techniques included in BPM and related technologies like Service-Oriented
Architecture (hereinafter SOA) and Web Services (Erl, 2005, 2008; Marks & Bell, 2006).
Furthermore, the use of ontologies and semantic reasoners to streamline the generation of process modelling for the work execution directly will affect the customisation efficiency. This means
that depending on customers choices, the appropriate processes to build the custom home will
be generated connecting sub processes as if it were a puzzle, guiding the work of other staff to
avoid errors. These processes will be executed over the process engine or BPMS workflow, but to
execute certain tasks or sub processes they must interact with external information systems that
were presented as functional isolated islands within an organization, performing functions inside
the process of the work execution. These systems will be exposed following the principles of SOA
paradigm using Web Services technologies or Enterprise Service Bus infrastructures (hereinafter ESB), removing the stiffness of these systems and their functionalities, and providing aspects
such as reusability, interoperability and alignment with business processes that increase the efficiency of the model. Finally, the technological components linked to BPMS report benefits such
as cost reduction by automating and improving processes in real time, agility in the processes
for adaptation to changes, immediate deployment of process-centric applications and the use
of the existing legacy technology in the enterprise, and the monitoring and control of the KPIs
process information., In our case is where can be used Lean Construction techniques that imply
an improvement of the process. These indicators can be analysed manually by the responsible
person, and this imply to throw one of the continuous improvement processes or may generate
the execution of other processes to correct automatically possible deviations, as the application
of material required. Another example would indicate when certain tasks are being diverted from
planned takt time. Likewise, indicators generated using Six Sigma statistical methods to locate
deviations in the result of processes, such as e.g., the execution of the interior woodwork. If abnormalities were detected, process would be launched immediately to analyse the causes and
propose possible solutions. Moreover, the benefits of the solutions presented individually will
increase (Abdelhamid, 2003; Morris & Field, 2008; Shan & Li, 2013: 245-252). Also some problems
associated to the application of Lean and Six Sigma in the construction environment, like the
difficulty to assimilate the implementation of these philosophies due to their high cultural dependence (Shin et al., 2008: 831-838) are solved with its automation while BPM help to facilitate
their inclusion.

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Table 1. Model proposal against MC implementation barriers

Mc
Implementation
Barriers

Causes

Variability
Increase
Uncertainty,
Complexity, Cost
and Time in the
Obsolete management
Building Execution methods
Lack of business integration
Improvisation in strategic
decision
Search for short-term
benefit
Fragmentation of
participants

Lack of formation
Heavy dependence on
human resources rather
than technologies
Technological Islands and
technological wastage

Solutions

Standardization and
agility and change
management
Alignment of goals
Maximize customer
value
Continuous
improvement
Agility and flexibility
Collaboration, trust
and commitment
Transparency
Availability and access
to information
Systematic procedure
and Standardization
Automated
technology
Technology as a key
element
Integration and
Management of
legacy technology

Approaches and paradigms that integrate

the model
New philosophies and Emerging
BPM
tools
technologies
Lean
Six
construction- sigma
LPS

Use case
Therefore, in the present work it has been developed a specific use case applied to the flooring
works where the use of BPM as a management strategy has integrated other solution, specifically,
the Last Planner system that is one of the Lean Construction tools for planning and managing
variability on site (Ballard, 1994, 1997:13-26; Ballard & Howell, 2003; Koskela & Howell, 2002).
It has been modelled the most common floors (ceramic, marble and wood laminate), to offer customers various options to customize their homes, together with the process of Weekly Work Plan
(hereinafter WWP) which implements the phase of the short-term planning of the Last Planner
System.
This case study aims to validate the use of the BPM strategy along with the IoT technological
approach to improve the management, monitoring and traceability of the works, to achieve an
efficient management of the individual options selected by customers. To carry out this case of
study we have used the BPMS open source platform Bonita BPM version 6.3.8, together with a
SmartWatch Samsumg Gear S model and a Nokia Lumia 910 Smartphone.
In first place was made the processes modelling of the different flooring processes (ceramic, marble and wood laminate) using standard BPMN modelling (Fig. 3), and WWP processes (Fig. 4).
Then, the implementation of each of the tasks that compose the process has been done, with
particular emphasis on the needs of usability and accessibility in the built environment.

BPM and LSS as enablers of mass customization in construction

535

Figure 3. Flooring process BPMN model

Figure 4. WWP BPMN model

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At that time it has been developed a very flexible software tool that implements the WWP Process, till now performed manually. The entry point of this process is an event that is automatically
launched every week, notifying everyone involved that must be met for the weekly schedule.
The environment implements a canvas and stickys metaphor and includes a panel which allows
using a simple drag and drop process to distribute tasks during the week, assign actors and specify the location where it must be carried out. The user can visualize the state of the task at any
time and each task has an associated BPM process that establishes how to be executed and marks
the execution time of the task from the takt time. Once planning is closed, the site manager can
launch the process associated to each task, allowing the beginning of the execution of construction processes. In the tool these activities shall include a mark on the image that represents the
task, enabling visualization at any time and from any location and device. As it is shown in the
Fig. 5, for the same day of the week, Monday, it has been planned different types of floor to be
executed.

Figure 5. Screenshot of WWP application embedded in Bonita BPM Planning phase

The execution of each process starts a series of events that would notify to the responsible of the
tasks what to do together with the additional information for its management. These are human
tasks so to integrate the workers with the system, devices have been used to facilitate interaction,
offering a friendly, usable and simple interface. Specifically we used platforms, such as, smartwatch and smartphone (Fig. 6).

BPM and LSS as enablers of mass customization in construction

537

Figure 6. User agent for system interaction. Smartwatch and smartphone versions and interface
screenshots.
When the closure of a task involves the completion of a process will be reflected in the WWP application with a cross over the task, then the system notifies the next task to the appropriate participant. Before starting a task, an operator can validate that the above task has been completely
finished, in the terminology of the weekly work plan this involves a double strikethrough on the
visual representation of the task and updating the Percent Plan Completed (Fig. 7).

Figure 7. Screenshot of WWP application embedded in Bonita BPM. Traceability phase.

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Conclusions
In this paper we have presented a theoretical model for the management of the variability that
carries MC on the building execution in traditional construction. We have implemented a prototype model which has allowed showing its viability and has highlighted how the implementation
of a representative set of techniques achieve the application of MC with efficiency, productivity,
agility and change management integration.
The main contributions of this work are that is the first time that BPM is applied to the field of construction in general, and in particular in the building execution phase; achieving the principles of
standardization, automation, agility, flexibility and integration through an integral management
model for MC in traditional construction. Also the integration of Lean and BPM paradigms; in particular, WWP of the Last Planner process, that until now only some theoretical proposals offered
the synergy benefits of them, but none of them are focused on the specific area of construction.
Furthermore, everyday items based on the paradigm IoT, such as wearables, have been incorporated to facilitate the integration participants-processes-technology, giving transparency, usability, flexibility and accessibility features. Finally is presented a redesign and standardization of the
flooring process through the BPMN.

Acknowledgments
This work was supported by Vicerrectorado de Investigacin, Desarrollo e Innovacin, University
of Alicante and by Conselleria dEducaci, Cultura i Esport, Generalitat Valenciana. Also, the present paper has been validated thanks to the involvement of the construction companies Acciona,
Urbana de Exteriores, 3AG Gestin y Construccin y Aglodelta, Tecnicalia 24 and Moa, S.L.

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International Conference | Bari - Lecce, Italy

Session VII

A DESIGN PROCESS PROPOSAL TO BRAZILIAN

GOVERNMENTS SOCIAL HOUSING PROGRAM
Sidnei Jr. Guadanhim1, Jorge Daniel de Melo Moura2, Erclia Hitomi Hirota3,
Hana Beatriz Cardoso El Ghoz4 & Fernanda Aranha Saffaro5
1 Zemch Brazil, Dept. Architecture and Urbanism, Londrina State University, Brazil, [email protected]
2 Zemch Brazil, Dept. Architecture and Urbanism, Londrina State University, Brazil, [email protected]
3 Zemch Brazil, Dept. CivilEngineering, Londrina State University, Brazil, [email protected]
4 Zemch Brazil, Graduate Student, PPU, Londrina State University, Brazil, [email protected]
5 Zemch Brazil, Dept. CivilEngineering, Londrina State University, Brazil, [email protected]

Abstract
The production of social housing in Brazil is characterized by mass construction with government funding. The most common types are the small flat buildings and the semi-detached or
detached houses. A major feature is the standard designs, mostly built with post and beam
structural system and masonry. Invariably residential developments result in urban monotony
and the reproduction of patterns in spite of the diversity of the resident profiles. The research
reported in this paper assumes that the use of technological solutions for mass customization
can bring significant improvement in the quality of housing. The research problem is how to
meet the families requirements and budget of government programs, rather restrictive. The
objective is to develop a design for an isolated social house unit based on architecture quality,
controlled budget, waste reduction during production, building energy efficiency, and mass
customization. The approach of the design process began with a series of procedures to check
the conditions and establish as well as prioritize requirements: a post-occupancy evaluation
of an existing residential development, application of target costing principles, workshops
with experts, virtual and physical prototyping and thermal performance simulation. As a contribution, we present the scope of decisions and the timing of the design process in which
they were made, allowing to establish design guidelines in the described context. Another
contribution refers to the design solutions for housing construction.

Keywords
Mass customisation, low incoming housing, user participation, target costing,
prefabrication, Brazil.

543

1. Introduction
In the last decade, there was a significant theoretical and conceptual evolution of mass customization applied in design. Although there are reports of success in various sectors of the economy,
experiences in building construction are still rare and partial. (Fogliatto et al 2012; Rocha 2011).
Mass customization means a strategy for the production of goods and services in highly competitive contexts. Although paradoxical, the term introduced in 1987 by Davis can be understood
as the production of individually customized goods and services, at low cost in a short term and
in large volumes, involving flexible production and integration of the entire chain in a very agile
product development process (Noguchi 2003; Frutos et al 2004).
To Fredriksson and Gadde (2005) the term has been used for a variety of approaches and strategies for industrial production with several attention degrees to the client-user individual needs,
ranging from the on-demand production, fully customized, to slight preset variations on standards in the mass production. The authors find, however, a convergence to search for the best way
to meet the user needs without neglecting the mass production efficiency. From their observations, to different settings, different degrees of mass customization can be defined.
The study presented in this paper is being developed as part of the Brazilian research group linked
to ZEMCH Network, which is focused on the design process management of social housing projects. That study started from the assumption that the use of building prefabrication technology
combined with a strategic approach for product development based on Mass Customization can
bring significant improvements in the quality of low-income housing production, in the Brazilian
context. This peculiar context is well known for the predominance of small construction companies with low managerial capacity, most of them using building technologies, highly based on
labors handcraft abilities, and a poor attention to the design development stage. The challenge
for mass customization in social housing projects is to take this diversity into consideration for
adding value at the design stage.
The production of social housing in Brazil is funded by government subsidized programs. A large
portion of the programs target population consists in low-income families. Many of those are
often removed from illegal settlements or come from precarious and improvised dwellings. At
2009, the Brazilian housing deficit was estimated at 7.2 million homes. 90% of those families have
income up to US$ 760.00 per month (3 minimum national wage). Currently, the Brazilian government has a program, called Programa Minha Casa Minha Vida - PMCMV (My Home My Life),
aimed at deficit reduction, income distribution, social inclusion, boosting the construction sector
and create jobs and generate income. The PMCMV also establishes a housing policy for land
acquisition, execution urban infrastructure and construction of housing projects with public subsidies and finance (Brazil 2009 2011).
In order to tackle that huge deficit, the Brazilian government set production targets for PMCMV: 1
million homes in 2009-2010, 2 million in 2011-2014 and 3 million in 2015-18.
Table 1: Production targets for PMCMV
PMCMV

Forecast units

Contracted units

Delivered units

PHASE 1 (2009-10)

1 million

1.005.128

1.005.128

PHASE 2 (2011-14)

2 million

2.911.229

1.283.738

PHASE 3 (2015-18)

3 million

Source: Adapted by the authors from Caixa Econmica Federal (Caixa 2015)
Low income housing (LIH) is characterized by massive construction, that whatever the building
system and typology, almost always results in monotonous sets marked by mere repetition re-

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gardless of the profile of the residents. The most common types are the small flat buildings and
the semi-detached or detached houses.

Figure 1: Aerial view housing complex

Source: Google Maps 2014

Figure 2: Dull aspect of the complex

Source: Jornal Unio 2011

Outside the big cities, where the cost of land is very high, the most common type is one-story
houses with two bedrooms, living room, kitchen and bathroom (not including walls nor laundry)
of 36,00m floor area with accessibility for wheelchair users in all rooms, and possibility of future
extension.
A major feature is the standard designs, mostly built with post and beam structural system, masonry and clay tile roofing. Some contractors still choose the system of concrete walls cast on
the construction site. Only recently that the wood frame system has been certificated, several
hundred units have been built. The PMCMV plans to build only a few thousand units in the next
phase.
Thus, the expected improvement in the customization is limited, but may be achievable thanks
to the productivity gains through mass production. Obviously, due to the continuous shrinking
of living area in low-cost houses currently, one of the needs is to get more space, larger area or
more rooms.
The purpose of this paper is to present and discuss the experience of developing an isolated social
housing design for mass production, which meets the PMCMV requirements, and, on the other
hand, incorporates the ZEMCH principles such as quality, waste reduction, energy efficiency and
the possibility of customization. The research problem was to integrate the use of target-costing
and collaborative strategies to add more value to social housing funded by the PMCMV. As the
project is on course, the focus of the work is its development, its methodology, to show the solutions and the difficulties found in an academic environment within an integrated and collaborative process.

2. Theoretical Foundation
2.1 Collaborative design process
The methodological strategy adopted in this research is the Design Science Research, which involves a sequence of design steps, construction and evaluation of objects, ending with a critical analysis of the process and a theory to consolidate the scientific foundation on the subject
(Vaishnavi and Kuechler Jr 2008). This paper describes a series of experiments conducted in an
academic environment involving design exercises and a series of procedures to check the conditions to establish and prioritize requirements, among which one can mention; the completion

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of a post-occupancy evaluation (POE) on an existing housing complex, the application of target-costing principles, workshops with experts, among others.
The product design process has undergone in the past decade a conceptual and organizational
change: from an individual and poorly organized activity to a systematic activity carried out by a
multidisciplinary team (Kleinsmann 2006). This totally new approach of the product development
is called Integrated Design (Cooper; Kleinschmidt 1994).
The collaboration has been identified both in scientific research concerned with the management
of the design as well as by important companies in the sector, as a means of promoting the development of integrated product design processes (Valkenburg and Dorst, 1998). The complexity
and iteration of different disciplines make the commitment of designers and other professionals
involved, fundamental. The complexity and uncertainty of design problems make collaboration
an important element in the thinking of the projects. The collaborative design process facilitates the integration of a product projects because it aims: (01) the creation and integration of
knowledge among participants from different disciplines and functions (02) the communication
between participants on both the content and the design process, and (03) promotes a shared
understanding of the content and the design process (Kleinsmann 2006). We sought in this work
to implement a collaborative process for developing the ZEMCH housing design, in which we
seek to integrate fundamentally two concepts: customization in mass production and maximum
energy efficiency.
2.2 Target Costing
In the last 30 years, Japanese companies have developed profit management strategies, from
the principles of Value Engineering. Ansari, Bell and Target Cost Core Group (1997 cited Nicolini et
al 2000) define Target Costing (TC), as a planning system of profit and cost focused on the final
price, on the client, on the design and its functionality One of the main feature of TC is its application from the earliest stages of product design.
There are different approaches to the definition of Target-Cost. Cokins (2002), for example, defines
it as a cost-modeling technique that identifies the price that consumers are willing to pay for a
product, to then determine profit margins and allowable costs. It is applied early in the product
life cycle during the phase of concept and design. Similarly, Monden (1999) defines Target-Cost as
a system that incorporates the profit management during the product development stage, which,
in general, needs to achieve the goals of reducing the cost of new products, ensuring the required
profit and meeting the quality levels demanded by the market while motivating the entire chain
to achieve the profit target in the development of new products, making the target cost a profit
management activity. Ansari (1997) refers to Target Costing as a profit and cost planning system.
From this point of view, the product development process is preceded by determining the target
cost, which is based on reference data from the market and the knowledge of the desired product
to make possible to assign costs to its functions and components. For Gaiser (1997), the concept
of target costing involves the same components of the traditional management cost: cost of the
product, final price and profit. However, the Target-cost focuses on the price the consumer is willing to pay, and from an acceptable profit margin, one works in the opposite direction, seeking an
acceptable cost. Simply put, more resources will be invested in the attributes most valued by the
end customer. This strategy is therefore oriented to the market, i.e. in the customer expectations
and LIH payment willingness.
The Civil Construction is associated, worldwide, to high levels of waste of the most different kinds,
which result in unnecessary costs, i.e. costs that are not associated with any function that represents value to the user. The elimination of these costs is the Target-cost goal. Recent studies
indicate that although it is a very specific scenario, there are opportunities for application of the
Target-costing concepts to the production of social low-cost housing as a way of reducing costs

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and adding value. (Granja et al 2011; Guadanhim, Hirota and Leal 2011; Arago 2014). The design
process of this work is a partial application of TC.
Particularly in the PMCMV, the same contractor can develop the housing project having control
over the constructive variables, productivity and cost data. The high level of competition in this
program may trigger a search for optimization of the construction costs and competitive advantages, allowing the customer to make choices that best suit LIH needs. Government funding and
the offer of significant subsidies have attracted big contractor companies to the program. The use
of prefabricated parts is being singled out as a trend for the sector. The environment of continuous product improvement focused on the consumer, in the context of a meritorious competition
for the supply of social housing, can find in the TC principles the basis for promoting this new
scenario. (Granja et al 2011).

3. Methodology
3.1 Strategy, characterization of the team, partnerships, workshops
The strategy adopted to implement a collaborative design process was to hold weekly work
meetings and workshops. The coordination was under the responsibility of researchers, involving
teachers and graduate students. The work was conducted by the interaction of specific research
groups, organized according to the specialties of each researcher (Table 2). During the design
process, there was a collaboration of invited professionals from different specialties who work in
the social housing sector, including builders, social workers, engineers, architects and suppliers.
3.2 Customer requirements
Many attempts to understand and / or prescribe the design process in architecture were developed mainly from the 1960s. The review of such studies shows the difficulties and the complexity of the designing task. Despite the development of numerous strategies and methods, such
research is permeated by the recognition that the design problems have not only one single or
optimal solution; just the opposite, the partial solutions of design problems create new problems,
a continuous spiral that will be interrupted at any given time either by the understanding that
solution is acceptable or even by the depletion of time. Such complex problems were defined by
Herbert Simon as wicked problems - treacherous problems, ill-defined, incomplete, contradictory
and changing requirements - for which finding appropriate solutions is very difficult, because
every solution generates a new problem (Bayazit 2004).
Admitting the lack of full understanding of the problem to be solved, methodologies involving
client/customer participation are valid alternatives to reduce the uncertainties (Kowaltowski et al,
2006). The PMCMV establishes a very detailed basic architectural program with minimum requirements of habitability. However, in order to improve the living quality, rather than simply answer
the program, the design process should reevaluate it, taking into account the future resident
needs and desires.

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Table 2: Researchers and staff involved in the design process ZEMCH Brazil
Researchers
and
Collaborators
Group

Researchers/Collaborators Gradation

Responsibility within the design process

Research
coordination

Civil Engineering, PhD in Civil Engineering with

academic experience in Construction Management;

Responsible for coordinating teams

Architectural
Project

Architect and Urbanist, Civil Engineering master

student, professional experience in Architecture and
Urbanism;

Development of Social Housing Unit design.

Constructive
Techniques

Professor, PhD, Architect and Urbanist, expert in wood Collaboration on specific studies on wood,
buildings;
especially in the product design phase.

Energy Efficiency Architect and Urbanist, PhD in Architecture and

Urbanism with academic experience in the area
of energy efficiency, graduate and undergraduate
students;

Development of specific studies for product

improvement in terms of environmental comfort,
as well as studies for inclusion of sustainable
equipment.

Urban Planning Architect and Urbanist, and Master in Architecture and

Urbanism with experience in urban planning;

Collaboration in the development of urban

improvements, focused on low income housing
projects.

Cost and Value

Architect and Urbanist, PhD in Architecture and

Urbanism, with academic and professional experience
in the areas of social housing and Post-Occupancy
Evaluation and Participatory Project;

Development of value evaluation analysis,

considering the view of the end-user and cost
issues as restrictions from PMCMV.

Constructive
System

Civil Engineering, PhD in Civil Engineering with

academic and professional experience in Production
Management, Standardization and prototyping;

Collaboration with technical information and

development of new building systems focused
on lean production concepts.

Legal and
Technical
(external
collaborators)

Local Builders
Assistance with technical and legal marketing
Civil Engineer, Thecnical Director of a private company information on social housing to the city of
from the building sector, active in the program PMCMV; Londrina. The local builder also shared difficulties
and suggestions for possible improvements to
the delivery of the low income houses.
Professionals from the local Housing Council
(COHAB)
Civil Engineer, responsible for design; Social Worker.

Sharing information of technical and legal nature

with regard to PMCMV

Source: Yokota 2015

The first stage of the design process aimed at identifying the profile of families living in social
houses and the greatest needs and desires of the dwellers, raising the value perceptions of
end-users. A first exploratory study was carried out in order to evaluate a PMCMV housing complex composed of 1272 semi-detached houses and 1228 apartments. In this study, 93 houses were
randomly selected.
The value requirements of the Social housing users were obtained from a Post Occupancy Evaluation (POE) and the application of a data collection instrument, based on an analogy of a card
game, first developed by Kowaltowski and Granja (2011)1. The purpose was to identify and to analyze the demand as well as to capture the value perceptions of end-users. The APO and Card Deck
tools are detailed in Table 3. Instead of capturing only the levels of satisfaction, we sought to
understand the desired values and their importance ranking.
Table 3: Tools used in the demand identification and capture the user perceptions

Research instrument in the form of a card game with 5 suits and 26 cards (in Portuguese) representing desired
values for residential design in the context of social housing. The suits represents the value system, divided into five
attributes: (1) financial aspects, (2) socio-cultural perceptions, (3) cultural values, (4) indoor environment quality and (5)
spatial qualities.

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Post Occupancy Evaluation (POE)

POE questionnaire identifies the profile of families living in social housing case
study, recognizing factors such as family size, age of the residents, profession,
education, use of transportation facilities and level of satisfaction with the house.

Research instrument in the form of

a card game (Kowaltowski; Granja,
2011)

27 items analysis (playing cards) divided into 5 groups. The application is

performed by the classification in order of importance of the decks of each group,
in a first round. The most important cards are selected, and again ranked in order
of importance in a second round. The result is validated by statistical analysis
with 95.5% confidence interval, and an error margin of 10%.

Source: Yokota 2015

The users classified the cards submitted during the interviews according to their relevance. From
POE was obtained as a result the Index of General Significance (IGS) which, objectively, rank the
items shown on the cards, according to the priorities identified by the users (Arago 2014; Yokota
2015).
The demands and perceptions of value of the end-users identified were transformed into design
attributes, recognized as opportunities for significant design improvements. The opportunities
were cross-checked in a matrix, each one being weighed by the result of IGS. The intervention
opportunities were organized as shown in Table 4.
Table 4: Hierarchy of design requirements from POE in Low-Income Housing (LIH)
DESIGN REQUIREMENTS

Relative IGS %

Closing the Housing unit with wall

14,19

Expansion project of housing unit

11,02

Housing unit independent (not detached)

9,84

Laundry area covered

6,72

Plot size appropriate for new spaces

6,64

Additional room (e.g. 3rd bedroom)

6,31

Minimizing the circulation area within the unit

5,68

Capacity / efficiency of solar heating systems

5,60

Additional room (area for little shop/office)

5,23

Cross ventilation in rooms

4,85

Complementary building (garage)

4,61

Blocking the visual side openings (between neighbouring units)

4,45

Technical solutions for future expansions

3,57

Complementary construction (balcony)

3,16

Facade diversification

3,02

Piping system concentrated in the same wall

2,75

Appropriate plot width

Total

2,37
100,00

Source: Adapted from Arago 2014

3.3 Wood frame
Light Wood Frame is an industrialized building system whose use is expanding in Brazil. Although,
this building system is an alternative technology with potential for the rationalization of construction process, especially for low-income housing, it is not widely adopted in this kind of projects.
The main benefits to the production process are: (1) the possibility of a significant reduction in
the lead time, which is an important issue in low-income housing projects; (2) the opportunity to
simplify the tasks carried out in the construction site; and (3) the reduction of material waste if the
design takes account of the components connections; and (4) the insertion of the pipe building
facilities (electrical, water and sewage) in the empty space between two wood structural panels

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(OSB - OrientedStrand Board). This last benefit has implications also in the elimination of the interdependence between production tasks and in the reduction of waste, since it eliminates the
need to demolish walls for the insertion of building facilities and for the maintenance in the use
phase.
In this system, the walls consist of a light frame with a sheathing (Oriented Strand Board - OSB)
nailed to each side of the framing which provides strength, rigidity, a space for piping and insulation and also a framework for supporting interior finishing and exterior components (Canada
Mortgage and Housing Coorporation 2014).
3.4 Thermal comfort and energy efficiency
In 2010, the energy crisis has triggered a labeling methodology for evaluating the level of energy
efficiency in residential buildings. This initiative generated the RTQ-R (Technical Regulation of
Quality for Energy Efficiency in Residential Buildings) (Galindo 2014). In order to meet the energy
efficiency principles proposed by ZEMCH Network, some thermal simulations were applied to the
unit on focus in this study.
Using the 8.1.0 release of EnergyPlus software, more than 90 simulations were conducted to understand the behavior of the building, according to the materials used and the weather (Galindo 2014). The design analyzed was the initial preliminary draft proposed by the multidisciplinary
team of ZEMCH: a dwelling unit with 42,48m of floor area and 47,70m of total area comprising:
two bedrooms, living room, kitchen and bathroom. The simulations considered the standard
plan, without the options for customization. Despite the limitation of the analysis (simulation), it
was possible to define important guidelines for the product design.

4. Discussion and results

The Collaborative Design implies that the team shares a specific perspective of their knowledge,
including aspects related to the process and to the design content. The purpose of this iterative
practice of sharing experiences is to create a common understanding, enabling to integrate and
exploit the accumulated knowledge of the team to achieve the ultimate goal: the new product
to be designed.
In addition to the working meetings, there were formal meetings to understand the purpose of
the ZEMCH research in Brazil and to share specific information about each of the disciplines involved in the design process.
The definition of project scope, the survey of conditions and requirements as well as the definition of action strategies and design decisions are the result of the collaboration of several agents,
within an academic environment.
By hypothesis, the incorporation of rational solutions, the prefabrication of components and the
mass production, reduce construction costs. In a conventional process of product development
in construction, costs are estimated only when the design is quite advanced or even completed.
Adopting a Target Costing-based approach is an alternative to manage costs during the design
development.

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Table 5: Summary of preliminary meetings held by the ZEMCH Brazil research group
Focus

Research Groups

Scope

Date

First Charrette

All Researchers from ZEMCH

Brazil

Establishment of goals and targets to be met for the

process design of housing units, developed by the
research ZEMCH Brazil.

Aug/2013

Design

Project Coordination
Presentation of the preliminary study (initial version)
Researchers from ZEMCH Brazil and first considerations of options for customization
proposal, based on the POE (preliminary results).

Oct/2013

Builder

Collaborator builder

Guidance on Housing Projects in Londrina, from the

design phase to the post-occupation.

Nov/2013

Housing
Company

Professionals in the Project Area General guidelines for the development of social
from COHAB-LD
housing in the region of Londrina-PR, considering
regulatory standards, available subsidies, projective
restrictions, regional demands, among others.

Nov/2013

Cost

Researchers - Team Cost ZEMCH Preliminary Results of the cost analysis based on the
Brazil
case study of mass customization - Case Study of Arago
(2014).

Nov/2013

Energy Efficiency Expert in the field of Energy

Efficiency

Presentation of profiles of case study families regarding

Solar Heating System use (SAS) and instructions for use.

Nov/2013

Value

Professional Social Assistant of

COHAB-LD

Presentation of cultural profile of the families benefiting

from the PMCMV, the research focus.

Nov/2013

Value

Researchers - Team Value

ZEMCH Brazil

Results of profiles of Families - POE, and results of the

application of Card Game

Nov/2013

Source: Yokota 2015

In this sense, from the first preliminary draft, it was assumed that a house built in partially prefabricated wood framing system could contain a third 8,50m2 bedroom and maintain the same cost
as a conventional construction.
The preliminary draft aimed to assess the feasibility of the product and provide guidance to the
design, based on the demands identified in the phase of capture of the user value perceptions.
Multidisciplinary teams of designers from all disciplines carried out in this phase. The cooperation
the experience and expertise of the professionals (a builder operating in the PMCMV context and
of the Local Housing Council (COHAB-LD) was key to share technical knowledge.
The cost analysis of a PMCMV indicated that from a total of US $ 21,000.00 unit cost, about 48%
is used for urban infrastructure, leaving approximately US$ 10,900.00 for the construction of the
housing unit itself, which constitutes the allowable cost (Arago 2014).
From the preliminary draft, including the third bedroom, we have come up with a budget of US$
11.850,00 using the references provided by the wood frame partner company. This figure about
US$ 1,000.00 above the allowable cost was considered promising, indicating a strong possibility
to keep the target costing to PMCMV through the adoption of rational solutions to economy and
efficiency. These initial data show that while a conventional construction costs US $ 279.00 / m2,
a pre-fab wood frame paneled home can be constructed for US $ 227.00 / m2, which represents a
18% reduction cost. On the other hand, the floor area increases almost 20%.
4.1 Building system
From the beginning, the choice of wood-frame prefab building system was guided by the following main reasons: (1) The technology is already approved by the government agencies responsible for social housing provision in Brazil and meets the technical requirements, including
the performance ones; (2) a partnership with a company with know-how of wood-frame homes,
including Low-income housing (LIH) was established; (3) the walls do not differ aesthetically from
conventional masonry, both externally and internally, facilitating adaptation to culture and Bra-

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zilian perception of value; (4) there are no restrictions of use compared to conventional masonry
(fixing shelves, using water to wash the house, internal and external cladding); (5) potential for
cost reduction due: to the gain in scale and rate of construction, allowing an execution time much
smaller than the conventional building system; to the prefabricated walls provided by the plant,
including electrical systems, hydraulics and windows; to the less likely delays due to weather; and
to the greater control of labor; (6) the system has a lower environmental impact, adopts renewable materials and causes a 85% waste reduction on the site construction. (Tecverde 2015)
The partner company built on the university campus one pilot HU (Housing Unit). Some important conclusions were drawn: (1) despite the panel erection speed (6 hours), the finishing proved
to be much slower, because of the traditional techniques applied, especially the ceramic tile wall
and floor finishing; (2) although the trusses were prefabricated, roofing was considerably slow
because ceramic tile laying was also made handcrafted. Because of the mentioned observations,
it was decided that the design would be developed from two premises: (1) to establish a precast
sanitary module that includes hydraulic-structured wall for the kitchen; (2) a prefab and quick
assembling alternative for roofing. These guidelines became the directives to the architectural
design. (Figure 3)

Figure 3: Generating lines to the architectural design

4.2 Plot dimensions and land division
In the earlier workshops, important guidelines regarding implementation have been established.
The instruments to capture the user perception were a key point for the development of the design: the preference for detached homes rather than semi-detached ones. Factors such as greater
privacy and sound insulation were important as well as the desire for identity. Residents had a
perception that a detached unit is equivalent to half house. In addition, during the workshop
with experts, it was found that, particularly in terms of fire security, semi-detached homes would
be advisable.
The workshop with the local housing council team was fundamental to the definition of the land
configuration. Brazilian law establishes 125.00m2 as a minimum plot of land for LIH. Based on
POE, it was found that this area has been insufficient to allow future expansion and to ensure the
desired of privacy, especially when the plot is narrow. At the workshop, the team announced that
the future policy would be to broaden the minimum land area of 150.00m2 This area was adopted
as a reference to the design in this research.

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Figure 4: Existing (125 m2) and proposed (150 m2) land division
In order to provide privacy, according to the user requirements, the best solution would be parallel houses, with one side on the land boundary. The solution, while minimizing the extent of walls
and fences, ensures visual privacy on the side windows, as they face a windowless facade of the
next door house. Depending on the solar orientation, the plant can be mirrored in order to ensure
optimum sunstroke.

Figure 5: Variations resulting from different customization options

Studies indicate that when the front setback is bigger than usual, the general aspect of the neighborhood changes quickly with different facades and morphological variation, due to the various possibilities of expansions. (Magalhes 1995). Those expansions towards the front of the land
could be either a new room, either balconies or car shelter. Thus, 8.00 meters for front setback was
adopted as an important guideline (Figure 5).
4.3 Plan and customization possibilities
Since the design faced such numerous constraints, it was inevitable that discussions begin with
the plan design. In addition to compliance with all legal and regulatory requirements - from the
PMCMV rules and other regulations, such as municipal legislation (building codes, municipal director plan, local housing council guidelines, etc.), accessibility standards and performance - the

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aim was to achieve a clean, modular design.

Considering the recommended 40 to 60 centimeters spacing between studs, an initial modulation of 60 centimeters was adopted as a dimension suitable to the small size of the HU and a better use of wall panel components, especially OSB panels, fiber cement panels and aluminum profiles of the window frames. Since the first working meetings, involving several researchers with
different experience levels, new guidelines have been established in order to guide the project.
For example, the first proposal for the walls consisted of interchangeable sub modulated panels
(60 centimeters) instead of complete panels.
The intention was to achieve standardization of components and flexibility of use. Thus, the first
drawings indicated walls composed of modular panels with a limited number of variations: Blind
panel, window panel and door panel.
Concomitantly, the main alternatives for customization were established based on POE results.
In the order of importance, the most striking issues for the definition of the plants were: (1) incorporation of new rooms beyond the basics of the PMCMV program, namely, the third bedroom,
covered laundry, vehicle shelter, a deposit and second toilet room; (2) larger kitchen than the
usual either isolated or integrated to the living room and porch on the main access; (3) preference
for living improvement such as furniture for instance instead of area expansions; and (4) mirroring possibility - to improve and change the position of some openings in search for better solar
orientation.

Figure 6: Plan variations

Different alternatives have been generated by the design team, comprising the basic premises
previously established. An extended workshop with several teams to review the alternatives and
determine the basic plan was carried out. Some management tools were used, such as Quality
Function Deployment (QFD), Mudge Technique, Value Analysis, Function Analysis System Technique (FAST) and workshops.
Two requirements influenced the design decisions at this stage: meet the Brazilian accessibility
standard and concentrate piping in a single wall. The small plan size requires a large proportion
of the bathroom area, which has always generated much discussion among the staff, because
it inevitably incurs area reduction to other rooms. On the other hand, the second requirement
implies that the kitchen shall be contiguous to the bathroom. Paradoxically, the teams preferred
plan configuration had the kitchen opened to the rear of the plot, but this alternative was discarded in favor of a rational plan, avoiding a second piping wall.
The defined version had some positive features, such as: meeting the key requirements; allowing
customization and future expansion; including variations of facades and roofs (Figure 6). This version was the basis for the estimative of the cost and for the economic feasibility analysis of adding
an extra room to the original program: the third bedroom or laundry area with a larger kitchen, for
example - keeping the target cost.

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4.4 Wood frame panels: modulation and constructive solutions

The initial idea of interchangeable sub panels was modeled in 3D and it was evaluated through
workshops and meetings with the researchers and experts. It was concluded that although the
proposal was consistent and viable, the technical premises would differ greatly from the system
adopted by the partners. Such a development would require a physical prototyping and measures for recertification by the official agencies. Thus, it was defined as a guideline the application
of the partner company technology.
Initially, wall panels have been conceived: 120 and 60 centimeters wide by 300 centimeters high,
which correspond to the dimensions of the envelope boards. Thus, board cutting would be eliminated, since each would be formed by integral or half sectioned module. However, to provide
better bracing system, the boards must be so arranged that the joints are staggered. From the
definition of the above modules, we saw the need for a minimum of 15cm staggering between
OSB and cementitious boards. Because of the impossibility to develop standards that were not
compatible with partner technology, we chose to adopt the use of the full board (for sealing area),
following a 60 centimeters multiple modulation.
The design development through the 3D modeling of all wall components showed a significant
problem of the system; a high rate of waste due to cuts of OSB and cementititous boards. On the
other hand, a review of the modulation and overlapping of the wall layers allowed material saving
opportunities. This is particularly important when considering the scale of economy. 3D studies
were undertaken to reduce waste in cementituous board due different dimensions between the
outer and inner sides of the panels.
The main issues addressed in the search for the panel modulation were the dimensions compatibility of the cementitious and OSB boards, aiming at the reduction of waste and the diversity of
boards dimensions, besides favoring the production process.

Figure 7: Panel composition

Figure 8: Panel layers

Figure 9: Panels modulation

The study of the panel modulation also provides the possibility of future expansion. Thus, a search
is underway aiming to create expansion kits for specific rooms. These kits would be offered as
customization options to be attached to the basic house without any damage to the structure or
the existing modulation.

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Figure 10: Downgraded panel + frame

Source: Tumelero and Moura 2015

Figure 11: Frame + panel

Figure 12: Window

In addition to the panels modulation, another component that greatly influences the construction system in wood frame are the aluminum windows and their fixation mode. Aimed at solving
the leaks between the panel and the window, it was developed a frame perimeter, as connecting
element, which enables the joining of the two building elements into a single component (Tumelero and Moura 2015).
The authors also point out that around the perimeter of the window, this frame covers the areas
of exposed wood on the outside. The component was designed to enable customization and may
receive other types of windows (Figures 10-12).
4.5 Envelope treatment
The best alternative for the basic two-bedroom plan in terms of HU energy efficiency was established through simulations with EnergyPlus software. The simulation evaluated different configurations for the components of the houses envelope.
Taking into account the local climate in which HU is settled, it is important to remember that when
it comes to tropical climate, full insulation envelope is not the most important factor, though in
the winter months, the heat conservation in the domestic environment is welcome. However, the
most important factors in this context are the promotion of natural ventilation, the use of shading
elements for the openings and employment of external materials capable of reflecting sunlight
that may cause heating inside the unit.
The hardest room to suit the temperature is the living room. Two factors are most responsible for
this: the lack of cross ventilation (when the other doors and windows of the house are closed) and
the high side wall that, while receiving direct sunlight, tend to transmit heat to the interior. After
the simulations, it was possible to highlight some conditioning factors for better performance of
housing in the study. They are: shaded openings, panel walls with high thermal resistance, light
painting in clay roof tiles, reflective sheet insertion on the roof and the walls (Galindo 2014). The
results of the simulations pointed out the need to seek for different composition of the walls in
order to obtain the highest efficiency within allowable costs. Two others critical factors were identified in the initial design proposal: (1) the adoption of a single sloped roof. The consequence was
a very high lateral blind wall that depending on their orientation may impair the thermal performance; and (2) the placement of the house on the land boundary. This caused the impossibility to
install eaves or other shading element. These findings become design constraints and have direct
impact on volumetric studies, roof customization and facade.
Looking for the best alternatives for the wall composition in order to obtain the highest efficiency

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within allowable costs, the simulations reveal a critical aspect of the initial proposed solutions:
the settlement in the plot boundary and the single sloped roof created a very high lateral blind
wall. Depending on their orientation, it may impair the thermal performance, if it receives excess
sunstroke. On the border of the plot, the installation of eaves or other shading elements is not
possible. These findings become design constraints and have direct impact on volumetric studies, roof customization and facade.
4.6 Solar heating
In agreement to the National Plan on Climate Change and to meet the energy efficiency targets of
the National Energy Plan (PNE 2030) the use of solar energy for water heating became mandatory
in PMCMV. According to estimates by the federal bank responsible for managing the PMCMV, this
measure can reduce by 30% the amount of energy bill. Acquisition and installation costs of the
equipment are limited to $ 650.00 per housing unit. Beneficiaries receive a booklet with recommendations for maintenance and to save water and energy (Caixa 2013).
Although research indicates satisfaction of the residents with the system (Caixa 2014), through the
POE, there were some problems resulting from misuse, poor maintenance and leaks. . Furthermore, in Brazil the provision of a cold water tank is required, which results in some limitations to
the equipment position.

Figure 13: Initial proposal for Solar Heating System

Therefore, design team initiated studies to identify opportunities for improving the solar heating
system, for example, proposing an industrial equipment combining shells, plates and connections to simplify the installation (Figure 13). There are similar solutions in other countries and may
serve as a basis for developing an appropriate solution in the Brazilian context.
The basic idea is a set that can be installed on a horizontal basis and in accordance with the solar
orientation, with quality control, reliability, low maintenance and cost - possible in case of mass
production. Studies are still in early stages and its development depends on partnerships with
industry.
4.7 Roof and facades
The first roof version was developed privileging the manufacturing conditions and set up on the
construction site. As the building is implanted with one side on the border, it was established as
a guideline the elimination of gutters and/or solutions that resulted in higher maintenance. The
natural solution was to adopt single sloped roofing in the opposite direction of the border and
eaves. Were designed three prefab modules that could be quickly assembled on site using the
same crane used in the assembly of the walls (Figure 14).

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Figure 14: Initial proposal to single sloped roofing

The modules consist of a metal thermo-acoustic sheet roof, wood frame and ceiling, with minimum slope and have advantages such as light weight, ease of storage, transportation, assembly
and storm water runoff. On the other hand, the resulting formal aspect was judged by the investigators as very simple and can convey the false idea of something with low quality or temporally. This perception, checked in work meetings, reinforces the needs of a physical prototype that
could be evaluated by prospective users.
Thus, looking for more speed, lower cost and mass customization, a survey dedicated to alternative solutions for roofing that take into account symbolic aspects, should be carried out. Within
the design team, a case study is in progress. It is guided both by the understanding the symbolic
aspects of the roof system and aiming ways of implementing these systems taking into account
the prefab factors.

Figure 15: Facade options

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Concurrent with the design of alternatives for roofing, studies of facades were taken. This research
is still in early stages, but initial studies indicate the possibility of alternatives, providing a diversity
of types and volumetric solutions (Figure 15). The literature on LIH in Brazil often points repetition,
monotony and problems with regard the quality of architectural and urban design (Reis and Lay
2003, 2010). For sure the ability to customize the volume and the facades is a valid alternative to
face this issue.

5. Conclusions
This work focuses on the feasibility discussion of the integration of different requirements
throughout the design process. At this stage of research there are clear indications of the validity
of the assumption that the use of building prefabrication technology combined with a strategic
approach for product development based on mass customization can bring significant improvements in the quality of low-income housing production in the Brazilian context. The results described in this paper are partial, as they present an uncompleted design. As shown, the scenario
in which occurs the production of LIH in Brazil has some favorable conditions for the implementation of recent strategies developed in research and already applied in other contexts.
The complexity of the set of requirements for such a design requires a systematic approach that
cannot be focused on one or a few agents, requiring a multidisciplinary team. Due to the interaction of different disciplines, is fundamental the commitment of designers and other professionals
involved. The experience of this work indicates that despite the natural difficulties, the design
decisions taken in an integrated way and in a collaborative environment have consistency and reduce uncertainty. The use of tools for simulation, both spatially and thermal performance proved
to be useful.
Although partially applied in this work, the inferences obtained so far indicate good potential
for the adoption of Target Costing for companies operating in PMCMV, allowing greater control
over the constructive variables, aspects of constructability, productivity data and costs. (Granja et
al, 2011). In cases with budget constraints, Target Costing allows that the decisions can be taken
based on user needs and value delivered, maintaining cost control and ensuring compliance with
requirements. Also, the adoption of Mass customization strategy keeps the design focus on the
needs of customers.
The PMCMV features allow envision a growing development and application of new construction
techniques that lower the costs and increase execution speed through industrial processes. The
use of wood frame prefabricated panels is as a viable alternative from an economic standpoint
and performance as well as favorable to mass production and customization.
As future challenges, the following can be pointed out (1) the need to conduct full-scale physical
prototypes and (2) the submission of prototypes, preferably with different customized solutions,
to the use and evaluation by potential users. A collaborative environment and the construction
and consolidation of partnerships with public and private organizations are keys for that.

6. Acknowledgements
To the partner companies that provide technology (Tecverde Engineering, through the AINTEC
/ UEL) and material resources (LP Brazil); to Post Graduate Program in Architecture and Urban
Design (UEM-UEL); to Zero Energy Mass Custom Home Network; to the Research Group in Management and Economics of Building, NORIE / UFRGS; to the Brazilian funding agencies, CAPES
and CNPq.

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KOWALTOWSKI, D. C. C. K. and GRANJA, A. D., 2011, The concept of desired value as a stimulus for change in social
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International Conference | Bari - Lecce, Italy

Session VIII

INTEGRATION OF SOLAR ENERGY SYSTEMS TO

REDUCE ENVIRONMENTAL IMPACTS IN KUWAIT
Mohammed Bou-Rabee1, MagdySaadSaleh2, Suhaila Marafi3
1 PAAET, Dept. of Electrical Eng. College of Technological Studies Kuwait, [email protected]
2 PAAET, Science Department, College of Basic Education, Kuwait, [email protected]
3 Dept. of Studies & Research, Ministry of Electricity & Water, Kuwait, [email protected]

Abstract
Kuwait is one of the largest economies of the world with the leading crude oil suppliers.
Therefore, the primary source for the generation of electricity is fossil fuel. The production
of electricity with fossil fuels is leading to disastrous effects such as air pollution, greenhouse
effect. In todays rapidly changing economic scenario, the intrusion of new power generation
technologies has become a necessity. Among the benefits of these innovative technologies
is that they have been found to be both cost effective and sustainable. As a result, the use of
renewable energy sources for the generation of electricity is currently the preferred choice. To
be specific, this research study has evaluated certain photovoltaic (PV) systems that convert
solar energy into electricity and it has considered their efficiency as it applies to optimized
power generation. On the basis of the findings of this study, it can be concluded that the
use of photovoltaic systems is highly significant due to their ability to reduce costs, maintain
optimized power generation, and eliminate the associated environmental hazards caused by
CO2 emissions. However, the results of this research also suggest that certain properties of PV
systems should be kept in mind when it comes to achieving an optimal power output at a
reduced cost of production. In particular, it can be argued that the PV array slope and shading
are the two primary factors that should be given special consideration when approaching the
creation of any future designs, or implementation, of PV systems.

Keywords
Photovoltaic, solar radiation, electrical grid, solar electricity generation, avoided CO2
emissions

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Introduction
In the 21st century, desalination of water has become a dire necessity to overcome the growing
demand of water. Hence, desalination of water has increased up to 22 folds in the last century
and the trend of desalination plants around the world has been expected to impose a cost of
97.5 million m3 in a day in 2015. It is important to note that the desalination practice is associated
with environmental pollution as the disposal of hot concentrated brine and burning fossil fuels
pollutes the atmosphere. Hence, it could be observed that the process desalination is associated
with a very low degree of renewable energy. It is therefore recommended to shift towards renewable energy sources such as solar energy to achieve sustainability and to reduce environmental
pollution (Ullah 2013).
Sun has a total energy output of 1020 MW, out of which 1014 kW is intercepted by the Earth. This
amount of heat intercepted by the Earth is more than enough in meeting the global energy demands of the planet. The thermonuclear processes occurring in the Sun produces electromagnetic radiations that could be easily converted heat, electricity and mechanical energy to cater
the ever-increasing demands of energy. Solar energy is clean and available on majority of places
on the planet; however, variations in intensity could be an issue. However, Kuwait is self-sufficient
in terms of solar energy and could easily use this natural resource for the purpose of electricity
generation (Cipollina 2009).
On the other hand, the conventional methods of generating energy such as through fossil fuels
have become problematic due to their high cost and decline in their global reserves. The rising
energy prices due to difficulty in relying on the present methods of generating energy have obstructed the social and economic development of many middle-income countries. This realization of depleting energy resources has generated the need to introduce major changes in the energy supply methods. Hence, the use of renewable resources for generating energy has incredibly
increased in the last few years (Bazilian 2013).
The use of solar power in generating energy has been used as a vast resource for converting light
to electricity and then to heat. The use of solar thermal energy is evident to meet the need for
producing low-carbon power and is more cost-effective. Hence, this method is found to be more
competitive with the generation of power through saline water and fossil fuels. The technique of
using solar energy to cater the power needs of the country are more evident in developing world
where the solar resource is very high such as in middle eastern companies (Fig. 1).

Figure 1: Global demand for renewable energy sources (Yinghao 2011)

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In these countries, storage of solar power is easily accessible and is a more cost-effective option
as compared to use of diesel generators. In order to maintain a low-carbon generation of energy,
the challenge is to manage the variability in the supply and the capacity of the energy system
(Breeze 2014).
Solar panels that are made from photovoltaic technology have known to cause minimum cost
and maximum efficiency in the generation and storage of solar energy. The crystalline silicon
(c-Si) have been toppled upon the solar panels so that these panels makeup electricity and solar energy at a minor cost. The use of concentrated solar energy power for meeting the cost of
electricity generation has been found to be more costly as compared to c-Si panels. However, the
concentrated solar thermal power technology has a built-in capacity to be integrated into the
electric grid, which increases its flexibility for use. On the other hand, solar hot water is capable of
producing enormous amounts of hot water globally (Bazilian 2013). The aim of this paper is to assess the cost-effectiveness of solar energy in the optimized generation of electricity. Further, the
paper will address the potential advantages of PV systems over the use of conventional system of
power generation.

Environmental Impacts of Energy

Previously, the economic impact of energy generation methods was the only concern for the developing countries. However, the oil crisis and its rising cost is not the only concern in the field of
solar energy development. The risk of environmental degradation has also become apparent due
to an increase in the human population globally. Hence, long-term preventive actions are needed to reduce environmental pollution due to solar energy, which is mandatory for sustainable
growth and economic development. Acid rain (Also called acid precipitation or acid deposition)
is a form of pollution caused by the combustion of fossil fuels producing CO2 (Fig. 2). This pollution also causes the depletion of the stratospheric ozone layer and can excessively increase the
amount of UV radiations reaching the ground (Cipollina 2009).

Figure 2: Carbon Dioxide (Total 4.2 Million Tons) deferent location in Kuwait
The impact of solar energy on the climatic pollution can be evaluated by its carbon emission
intensity. Apart from CO2 emission, CO2 equivalent gases such as methane and nitrous oxide are
also released from fossil fuel extraction and agriculture. The use of solar energy as a renewable
source is environmentally safe, as it does not generate carbon dioxide. Instead, solar energy is
generated through use of photovoltaic panel that uses silicon. It is therefore suggested that renewable energy sources could be a competitive option to cope up with the increasing demand

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565

in Kuwait. It is assumed that renewable energy sources could reach its full potential in the next 20
years and has the capability to replace the fossil fuels up to 20% by 2030. Renewable sources could
also curb the global CO2 emission rates up to one-third by the year 2050 (Cipollina 2009).

Solar Energy Sources and Technologies

Kuwait is found to be rich in the acquisition of solar energy as it receives ample amounts of sunlight
hours ranging between 7 hours per day in winters and more than 11 hours per day in mid-summers. There are six kinds of renewable energy categories and 12 technology options available
for the easy production of electricity from solar energy. These renewable sources include solar
thermal technologies, Photovoltaic power plant technology, Photovoltaic grid-connected distributed technology, solar water desalination technology, wind energy technology and solar cooling
technology (Mathieson 2009).
The technologies that could be applied for the generation of the renewable energy included solar thermal technology. This includes the use of parabolic trough; Gas combined cycle parabolic
trough hybrid, power towers, parabolic dish stirling engine and Fresnel panels.
Another technique of power generation is through Photovoltaic power plants technology and
these include Land-based Utility scale PV. The use of photovoltaic Grid connected distributed
technology consisted of commercial roof-top systems, residential roof-top systems. The solar
cooling technology includes the use of compound parabolic collectors and Absorption Chiller
system. Wind Energy technology is based on Class 4 wind speeds. Solar assisted water desalination technology consisted of compound parabolic collectors with MSF desalination system and
solar thermal powers and RO system (Mathieson 2009).
The Ministry of Electricity and Water (MEW) in Kuwait reported that the energy demands of
the nation will be tripled till 2030 and the previously employed methods of generating energy
i.e. through fossil fuels and water desalination will be insufficient to meet the high demand of
energy. Hence, Kuwait has established various pilot projects to raise their capacity of building
cost-effective energy from a renewable energy source. A 100 kwp photovoltaic test platform has
been developed that features panels and inverters and a Salmi Mini-wind Farm was established
to measure the performance of small-sized wind turbines on and off-grid and a multi-technology Shagaya Renewable Energy Park is also established with an expected energy output of 70
megawatt. A hydrogen plant is also designed using photovoltaic panels of 10 kilowatts and wind
turbines of 6 kilowatts for producing and storing hydrogen. This plant is being used to develop
energy management technologies for cost-reduction and increasing the reliability of renewable
sources (Pregger 2009).

Methodology
A Qualitative research study was conducted and secondary content analysis was performed to assess the efficiency of solar panels in power generation. A detailed analysis of the selected research
studies have been performed to find out the benefits associated with the use of solar photovoltaic cells in generating electricity. Only those studies were included in this literature review, which
were performed within the last five years. Moreover, those studies were included, which focused
on analysing the efficiency of solar panels apart from other solar technologies.

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Results and Discussions

The measurement data obtained covered hourly irradiance for 365 days in 2009. (Fig. 3) shows a
typical hourly variation of irradiance throughout the day on July 2009. In the figure, solar irradiance was measureable as early as 4.00 am during sunrise, which occurred early in summer time.
The measured irradiation increased at about 240 kW/m per hour. The peak irradiation, of 1171 kW/
m, was reached at 10.00 am. After 12 noon, the irradiation decreased at a rate of about 250kW/m
per hour. The irradiation diminished after sunset at about 5.00 pm. In general, there was about
continuous 7 hours of irradiation that exceeded 800 kW/m on that day, which could be regarded
the ratio of surface reflection to solar incidence, could be determined from the measurement
system. It was reported in an earlier work (Bou-Rabee 2015).
1,200

Daily Irradiance, kWh/m

1,000
800
600
400
200
0
0

12

16

20

24

Time (hour)

Figure 3. Typical hourly variation of irradiation throughout the day on July 2009
Shown in (Fig. 4) is comparison of the average hourly variations of irradiation for January, April,
July and October. It is clearly shown that the highest irradiation occurred in July and the lowest
being in January (winter). In April and October, the amounts of irradiation are shown to be identical. However, the level is slightly higher in April despite the large fluctuations, as elaborated,
suggested to be caused by sand storm as suggested by a meteorological report (Kuwait Institute
of Scientific Research 2012). Noting that the amount of energy received through sun irradiation is
the area under the curve, it is clear from (Fig. 4) that the most energy available is in the summer
and vice versa during the winter.
1200

January
April
July
October

Irradiation (W/m)

1000
800
600
400
200
0
4

10

12

14

16

Time

Figure 4. Comparison of average hourly variations of irradiation for January, April, July and October
It is interesting to note that the distribution in (Fig. 5) is not symmetrical, for which greater amount
of irradiation is displayed during the first half of the year as compared to the second half.

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567

The average monthly irradiation energy is shown in (Fig. 5) to be 170.4 kWh/m. The standard deviation is 61.3 kWh/m (36.0%), which is very large and in agreement with the findings presented
in an earlier work (Bou-Rabee 2015). The histogram in (Fig. 5) supports the suggestion that solar
irradiation in Kuwait is reduced quite significantly during winter and would therefore affect the
performance of power generation (both electricity and thermal power). Due to large fluctuations,
the amount of solar energy that can be harvested in the winter is less than that in the summer.
Consequently, the backup power system would be required during winter.
300

Average: 170.4 kWh/m

Std. Dev.: 61.3 kWh/m

Irradiation Energy (kWh/m)

250
200
150
100
50
0
1

10

11

12

Month

Figure 5. Distribution of monthly irradiation energy throughout the year

Another study was conducted to prove the effectiveness of grid connected photovoltaic systems
in Kuwait and proposed that PV systems have minimized the load of electricity generation in Kuwait. The findings of the study suggested that photovoltaic systems have successfully delivered
as per the load demand and the simulated PV output was correlated with the load on an hourly
basis. It is evident from the study findings that the PV output never exceeds the load and has
significantly reduced the wastage of electricity. On the other hand, the PV system can efficiently
reduce the peak loads. The study conducted to assess the environmental impacts of PV system
implementation in Kuwait revealed the fact that these systems are efficient in satisfying the needs
of the normal Kuwait household. This system is significant in covering the household needs of
domestic hot water load and electricity consumption in the area. As per the calculation, a fixed PV
system has the capability to reduce the peak load by 21%. It is suggested that the grid-connected array system should be at a slope of 26 and should be facing south i.e. the angle of azimuth
should be 0. Moreover, optimum climatic conditions are maintained through the use of PV systems and CO2 emission is found to be 1.2 t/y (Ghoneim 2012).
A research was conducted on the power generation system of a village where diesel generated
electricity is used. It is attempted to use PV-diesel hybrid power system in which a part of the diesel amount is replaced by solar energy. The hourly load was then measured after mounting the PV
modules on fixed foundations along with four generators of different powers. The diesel prices at
the time of study was 0.0603- 0.362 KWD/liter. It was deduced that a PV-diesel hybrid was effective in generating electricity at a reduced cost. The tendency of this hybrid was to produce 0.066
KWD kWh of electricity by using 21% solar penetration. The sensitivity analysis of both the applied
methods suggested that a hybrid generates almost the same amount of electricity as produced

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through diesel use. However, the hybrid system is more economical as compared to the diesel
system. The study conducted on a hybrid system revealed that a hybrid of PV system and diesel
is more economical in the generation of electricity. Moreover, this system is optimal in satisfying
the needs of different energy generation systems with different load factors and only requires the
use of batteries and PV arrays with different frequencies (Rehman 2010).
A research was conducted in Kuwait on the installation of building integrated photovoltaic modules (BIPV) by using transparent silicon solar cells. A long-term monitoring of this implanted design was performed over a period of two years to determine its effectiveness. It is observed that
the energy generation per unit power output of this plant is found to be 48.4 kWh in a month and
around 580.5 kWh/ year. However, the silicon solar cells were also replaced with azimuth, which
reported that azimuth allows better solar radiation for power generation in PV modules. The use
of BIPV system was helpful in maximizing the output but needs to be used with care for receiving
optimal output. It is suggested that azimuth of BIPV system should be placed at an inclination
of 50 towards south. The use of self-shade was evident to reduce the efficiency of energy generation and hence inclination of the PV array is necessary. It is further evaluated that the energy
production efficiency could be increased up to 47% by changing the azimuth and shading characteristics (Yoon 2011).

Conclusions
A study was conducted to investigate the trends of solar irradiance in Kuwait throughout a year.
The following conclusions could be drawn from the results:
The day-to-day variation of irradiance in the season of spring was found to be high. This was
suggested to be due to sand storm activities as reported by the meteorology office. On the other
hand, the variation was small in difference season.
The highest irradiation occurred during the summer. As expected, the lowest irradiation occurred
during the winter. The difference between irradiations in summer and winter was about three
times. The average monthly irradiation energy is 170.4 kWh/m and the standard deviation was
relatively high at 61.3 kWh/m, implying that there would be months during which the irradiation
would be far below the average value. Consequently, if a solar harvesting system is designed
based on the average value, there will be shortage of power supply from January to March and
from October to December. As a result, a backup power system would be required in order to
make up for the electrical power load demand.
It is evident from the literature analysis that PV system is extremely significant in reducing the cost
and maximizing the efficiency of power generation in Kuwait and in other countries globally. The
properties of the solar panels have been discussed in detail to develop consensus on the fact that
these systems if used appropriately are significant in optimizing the power generation capacity
and reducing the load.
The findings fact that Photovoltaic solar panels are the most appropriate method of producing
electricity in Kuwait. It should be noted that the geographical location of Kuwait is the biggest
advantage for the implementation of solar technology. Kuwait has a sunny and warm climate and
is self-sufficient in solar energy. Hence, the storage of solar energy and its persistent availability
makes solar panel a cost-effective solution.

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Acknowledgements
We are thankful to PAAET for their financial and support and for providing necessary guidance
concerning projects implementation. Grateful to Dr. Nabil Ahmad for provision of expertise, and
technical support in the implementation. Express our sincere thanks towards Mohammad Karam,
Director of Kuwait Meteorology Department and Dr. Hassan Al-Dashti, Climatology Super-intendent for their supports.

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Cipollina, A., Micale, G., and Rizzuti, L., 2009, Seawater desalination: conventional and renewable energy processes.
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Bazilian, M., Onyeji, I., Liebreich, M., MacGill, I., Chase, J., Shah, J., and Zhengrong, S., (2013). Re-considering the
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in the State of Kuwait, http://www.kisr.edu.kw/en/ Retrieved on 11 November 2014.
Ghoneim, A.A., 2012, Environmental impacts of grid connected photovoltaic system adapted for peak load reduction
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International Conference | Bari - Lecce, Italy

Session VIII

TOWARDS NZEBS: INNOVATIVE MATERIALS

AND TECHNOLOGIES FOR NEW SUSTAINABLE
ENVELOPE
Cecilia Mazzoli1, Nicola Bartolini2, Riccardo Gulli3
1 PhD, DA - Department of Architecture, ALMA MATER STUDIORUM University of Bologna, Italy,
[email protected]
2 PhD candidate, DA - Department of Architecture, ALMA MATER STUDIORUM University of Bologna, Italy,
[email protected]
3 Full Professor, DA - Department of Architecture, ALMA MATER STUDIORUM University of Bologna, Italy,
[email protected]

Abstract
Renovation of existing recent buildings indicates a key factor for sustainability, contributing
both to reduce the consumption of resources and raw materials, which often have reached
only half of their life cycle, and to extend the buildings long-term functionality. Furthermore,
these interventions would offer an alternative to the high costs for demolition and reconstruction, according to wants and needs of the different customers in the construction sector.
The research seeks to investigate a new energy efficient architectural strategy for the refurbishment of the existing building stock (i.e. housing, schools, offices) towards nZEBs, by proposing new envelope solutions based on process by-products concept and bio-mimetic approach. The project aims at optimizing the exploitation of innovative sustainable materials
and technologies to develop a continuous and adaptive faade system that could guarantee
high performance, by using a new class of materials from renewable sources (AAM - Alkali Activated Material). This AAM is obtained through the alkali-activation process of ceramic
industrial waste, combined with an activator solution containing a glass siliceous material,
dried at room temperature, with low production of CO2 emissions. The final product presents
excellent mechanical and thermal properties.
The project identifies a sustainable strategy for managing the design and production process
of active dry assembled envelope components, supported by geometrical survey, connected to parametric programming software for modelling the surfaces adaptable to the existing
building morphology. These computerized CAD-CAM tools are connected to CNC machines
for the mass customized industrialized production of different envelope solutions, according
to the principles of sustainability, meant as modularity, speed of setup, reversibility and recycling of materials with low environmental impact.
Hence, the research presents a new integrated approach to support operators during the refurbishment interventions, through the use of innovative continuous envelope solutions that
could guarantee high performance and good quality of final products.

Keywords
Sustainable refurbishment, integrated design process, bio-mimetic approach, adaptive
envelope system, AAM - Alkali Activated Materials.

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1. Introduction
Sustainable refurbishment of existing building stock plays a key role in the energy-efficiency sector, in terms of substantial increase of performance level and real estate value, through significant energy and architectural transformations aimed at achieving nearly Zero-Energy Buildings
(nZEBs).
Indeed, EU energy policies, EPBD and EED supply wide provisions aimed to increase the energy
performance of the existing building stock and to encourage Member States to transform buildings through the development of renovation interventions. At EU level, the energy efficiency and
the deep renovation of the building sector is mainly regulated by two Directives.
The Energy Performance of Buildings Directive 2010/31/EU on the energy performance of buildings (EPBD Recast) has significantly affected the redevelopment of legislative aspects for all EU
countries. In particular, Article 2 of the EPBD Recast introduces and defines nearly Zero-Energy
Building as a building that has a very high energy performance. The nearly zero or very low amount
of energy required should be covered to a very significant extent by energy from renewable sources,
including energy from renewable sources produced on-site or nearby.
The other important Directive is the Energy Efficiency Directive 2012/27/EU on energy efficiency
(EED), which requires Member States to develop long-term renovation strategies for their national
building stocks, mainly constituted by houses, schools and offices. In particular, Article 1 of the
mentioned EED sets out that the requirements laid down in this Directive are minimum requirements and shall not prevent any Member State from maintaining or introducing more stringent measures tailored to the different target Regions profiles.
For the specific Mediterranean context, Nearly-Zero Energy houses should be designed taking
into account local climatic factors and technologies able to work effectively both in winter (heating) and - most importantly - in summertime (cooling). Air, sun, water and other climatic factors
become essential for the design of a building with high-energy performance, preferably based on
the use of local materials and bio-architectural sustainable principles.
For the whole Italian building stock, analysis shows that the national annual consumption per
unit area (about 250 kWh/m2) is higher than the average amount of other European countries
(Energy Efficiency Financial Institutions Group 2015). More than 75% of the buildings belonging to
the Italian real estate asset have been designed before 1976, when specific regulations on energy
efficiency did not exist yet. It is estimated that for the management of these buildings with inadequate envelopes and very high-energy consumption, a significant reduction up to 50% could be
achieved through appropriate redevelopment1.
Indeed, refurbishment of the existing building stock represents one of most frequent and complex problems tackled by the construction sector, not only from the functional and architectural
point of view, but also for the purpose of energy efficiency. It is always more urgent to outline
and disseminate new strategies to tackle the problem of refurbishment of existing stock towards
nZEBs, combining innovative materials and technologies, tailored to local building types and to
different social/cultural/economic in Italy and in a broader international context.
Within the member countries of the European Union, the construction sector contributes on average about 21% to the GDP, creating a high consumption of non-renewable resources and high
environmental impact. When viewing the total consumption of these resources, the construction
sector annually accounts for the use of more than 40% of non-metal mineral, over 25% of timber,
1

The Green Paper Towards a European strategy for the security of energy supply (COM (2002) 321 final) states that
at least 22% of energy used in buildings can be saved by intervening on energy efficiency. Further important results
are considered achievable with the develop - ment of renewable energy, including its integration into buildings, as
shown in White Paper Energy for the future renewable sources of energy (COM (1997) 599 final).

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slightly less than 20% of water and about 40% of burned energy resources. The use of renewable
non-petroleum-based materials, derived from the reusing and recycling of production waste, has
enormous potential to contribute to the reduction of CO2 consumption, and to serve as the primary energy in the production of new construction materials (European Commission 2013).
Hence, reuse and renovation of the pre-existing buildings indicates a key factor for sustainability,
contributing both to reduce the consumption of resources and raw materials, which in most cases have reached only half of their life cycle, and to extend the buildings long-term functionality.
Furthermore, these interventions would offer an alternative to the high costs and consumption
inflicted by the demolition and the reconstruction.
Unfortunately in most 20-50 years old buildings, especially those utilising reinforced concrete
and masonry construction, discontinuities are frequently found in the envelope insulation and
air barrier systems. The overall heat loss from a building is due to transmission, ventilation and
infiltration through the envelope, assessed by measuring thermophysical properties (stationary
and dynamic), e.g. U-values for external walls, which in the last 20 years have been reduced by
two thirds, approximately from 0.9 W.m-2.K, to less than 0.3 W.m-2.K (Mazzoli et al. 2013). Indeed,
this issue must nowadays be correlated to new requirements for the adaptation to performance
standards and must be addressed within the domain of technique, through the contribution offered by scientific innovation.
The on-going research carried out by the DA - Department of Architecture of the University of
Bologna aims to investigate, optimize and promote new construction materials and technologies
to face the problem of energy retrofitting for existing building stock towards nZEBs, by an innovative solution, customised on different building typologies.

2. Objectives
In the domain of refurbishment interventions aimed to deeply renovate the existing buildings
up to nZEBs, one of the primary objectives concerns the energy efficiency of the faade solutions,
which are composed of surfaces that could be vertical, horizontal or inclined, opaque or transparent. A key element of this renovation design strategy involves the juxtaposition of a second skin
to the existing building envelope, with the aim of controlling energy consumption during cold
season.
The goal of the research is to supply methods and tools for designers operating in the construction
sector, based on the implementation of eco-sustainable solutions for the improvement of the
energy performance by volume increasing.
With this aim, the project develops a new methodology to manage the whole design process of an
active envelope system, supported by geometric survey systems and computational tools. The
active i.e., adaptive and efficient faade system is conceived as construction element able to
interact with the internal and external environment, through the interoperability of its components, in relation with the variability of required performances.
In order to illustrate and demonstrate the potentiality of this innovative strategy, this work presents a specific integrated sustainable solution for the building envelope tailored to the different
specificities, thus adaptable to the morphology of the existing building block, according to requirements imposed by current regulations and architectural decrees.
The need of continuity for the new technological envelope systems is one of the main purpose
of the research, in terms of reduction of the geometric discontinuities of the faade and thus
of the heat loss bridge. According to this demand, the study presented herein for developing
new materials and technologies investigates the possibilities offered by recycled waste yielded
by brick production, to be used for creating a new class of geopolymer-based materials, named
AAM Alkali Activated Materials.

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3. Research methods
The specific faade solution proposed in this paper is developed according to the scientific protocol constituting the innovative design process represented by the following four phases, where
theory is indissolubly related to practice.
1. Firstly the study necessarily requires the acquisition of a selected repertory of typological and
constructive envelope systems, as a starting point for the development of design solutions
to be used for renovation of recent buildings, built after the Second World War, in reinforced
concrete or in masonry.
2. After the analysis of the actual envelope systems, the design of an innovative active faade
solution is conduced, according to research paradigms and current regulations, in order to
obtain a new envelope with energy efficient properties and architectural-aesthetic qualities.
Parametric programming software (e.g. Rhinoceros+Grasshopper) are used during the integrated process to fetch input data from the geometric survey of the existing building and then to
model a new envelope surface adaptable to its morphology.
3. Once conceived, the mechanical and thermal analysis of the solution proposed is envisaged,
through the implementation of tests and simulations on virtual models obtained by the use
of specific parametric software, mostly based on the finite element method (e.g. Cast3M 2000,
Wolfram Mathematica, DesignBuilder+EnergyPlus, etc). The characteristics of the innovative
material constituting the new envelope are defined through the direct exploitation of AAM
products (plasters and panels) with different chemical formulations.
4. Finally, the research project is completed by the constructive experimentation finalized to reproduce to scale prototypes on which to perform tests to verify installation techniques and
performance requirements. Only comparison between theoretical and experimental results
could lead to the validation of the construction system proposed.

4. State of the art

The research aims to present a new integrated approach to support operators and designers during the whole design process in the refurbishment interventions of the recent existing building
stock, through the use of innovative and sustainable continuous envelope solutions that could
guarantee high-energy performance.
The project identifies a sustainable design process to direct the renovation interventions as a
whole, with the support of 3D Laser Scanner for geometry documentation, connected to parametric programming software for modelling surfaces, which can be adapted to the morphology
of existing buildings. These computerized CAD-CAM tools are connected to CNC machines for the
customized industrialized production.
The result of this innovative approach consists in a model of building envelope solution, designed
coherently with the research paradigms and the principles of sustainability, meant as modularity,
speed of setup, reversibility and recycling of materials with low environmental impact. Among
the generable solutions in line with this model, the paper presents a specific innovative solution
based on the dry assembly technique of prefabricated components, the adoption of hexagonal
patterns for the tessellation of new faade surface and the use of a new plastic and inorganic,
recycled and sustainable, thermal insulation material2 (Mazzoli 2015).
2 The design solution was developed within the PhD work thesis carried out by Cecilia Mazzoli, directed by Professor
Riccardo Gulli, at the University of Bologna (Italy) in co-direction with the University of Paris-East (France), presented
in June 2015. In this field, the proposed envelope system is tackled according to the same scientific protocol: design of

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The bio-mimetic approach, based on the observation of the natural elements, is an essential
source of inspiration for the formulation of the specific envelope solution proposed, both for the
geometry of the faade components and for the physical properties of the employed materials.
The term biomimetics comes from the Greek word bio mimesis and to this day it means the observation of the biological kingdom, the investigation of the nature as a source of knowledge
and inspiration, and then the mimicking of the biology. This expression was coined in 1957 as the
combination between biology and technology, applied to the engineering sector (Chiesa 2010).
4. 1 Innovative envelope system
The renovation interventions tackled in the research are related to the improvement of the energetic performances of the existing recent buildings, through the increase of the thermal insulation properties and the reduction of the thermal bridges for the envelope.
In this framework, it is important to conceive a design strategy for controlling and reducing heat
loss during the cold season and for guaranteeing high level of thermal comfort and indoor air
quality, through the juxtaposition of a second skin to the existing envelope building. Technological evolution within the domains of building construction and materials technology allows
designers to reassess the traditional concept of envelope as a rigid separation barrier between
inside and outside, with the aim to conceive it like an adaptive and efficient diaphragm, according
to internal and external solicitations.
Thus, the research investigates the possibility of creating a continuous envelope system (Herzog 2004), meaning a second skin tailored to the existing shape, constituted of the assembly of
prefabricated panels, linked to the existing faade by mechanical punctual fixing system, in order
to create an integrated envelope system possessing efficient thermal performances. The achievement of a continuous envelope system, constituted by a close-fitting integrated skin attached to
the existing faade, leads to the maximum reduction of the heat loss bridges in relation to the
discontinuity points of the buildings.
The faade system proposed herein is conceived as a three-dimensional structure in polymer-matrix composite material, obtained through the 3D Printing process, constituting the rigid and resistant frame for containing the innovative thermal insulation material. The prefabricated panel
thus obtained is anchored to the existing wall through a mechanical punctual fixing system, in
order to upgrade the energetic performance of the existing buildings up to nZEBs.
The creation of customized faade components is based on the use of computational control
tools for managing the phases of analysis, design, fabrication and implementation of the tailored
architectural solutions, adaptable to the different morphologic and constructive characteristics of
the building. The process of information transfer from the early design phase to on site construction could be significantly simplified by the implementation of metric survey, interfaced with
parametric software and CAD-CAM technology for the digital model design, associated with CNC
machines and 3D Printers for the industrialized production of building components.
This innovative integrated approach permits to overtake the widespread use of design criteria
based on a strong formal simplification of the architectural faade solutions, leading to the development of more complex forms able to fit in with the spatial typological configuration. This
design methodology represents an advanced approach for architecture, founded on the concept
of generative component, related to the possibility of creating models operating directly on the
geometry, through the input of forms and algorithms.
The dynamism concerns the variability of the constructive system proposed, according to outbuilding system, mechanical and thermal analysis, constructive experimentation, test of installation techniques and
performance requirements. The exploitation of the innovative recycled insulation material (AAM) was supported by
the Research Centre CIRI Building and Construction of the University of Bologna.

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door and indoor parameters: the panels change the geometric characteristics and the thermal
insulating layers in relation to orientation and internal distribution of the building, to best meet
performance requirements. Hence, this new parametric architectural design allows to control all
the factors to be taken in account, offering a greater freedom of form generation in the production process into industry and design world.
The research conducted in the field of tessellation of the faade surface led to the design of a grid
structure composed of hexagonal cells. This geometric shape, widely present in nature, reveals
a great potential for the modulation of the faade surfaces: it allows to obtain a surface tiling
corresponding to the geometric optimization of the space, according to the principle of the closest packing (Gauss 1831). The creation process of natural structures is governed by this principle
representing the requirements of minimum energy, consisting in partitioning a space with the
optimized subdivision and combination of complementary geometries.
Considering the infinite partitioning systems, circle and sphere represent the most economical
geometrical shapes for the optimization of the two-dimensional and three-dimensional space,
but do not correspond to the best closest packing configuration. The closest packing with the
highest density is found in the partitioning of a surface into regular array of repeated identical
hexagons (Conway, Sloane 1993). The most common and sublime example of closest packing
appears in the honeycomb produced by bees: this system, a plan of regular hexagons, permits
to stock the greatest amount of honey with the least amount of beeswax, with the minimum
amount of necessary energy exerted in construction (Pearce 1990).

Figure 1: Examples of hexagonal shapes in nature: structure of the pollen grains, flies eye tissue, reptiles skin and honeycomb produced by the bees
Indeed, a hexagonal mesh allows for the modelling of surfaces with a higher degree of deformability and curvature, in order to reach an innovative envelope adaptable to the existing building
geometry. The innumerable formal possibilities offered by the proposed hexagonal texture for
the tessellation of the second skin can also be explored from the analytical point of view, through
the creation of mechanical and thermal digital models.
The computer is used to search the best state within a model and to define the optimized architectural solution in relation to the simulation of the models response to strains and performances. The final geometrical pattern of the innovative envelope system is achieved through the
experimentation of different optimization methods, in order to minimize the size of structural
members and to resolve the perfect thinness of the thermal insulation layer (Burry, Burry 2010).
4. 2 Innovative materials
Based on the above-mentioned bio-mimetic approach, the project aims optimizing the exploitation of innovative sustainable materials and technologies to develop a continuous envelope system with high performances, by using a new class of materials (AAM), obtained through the reuse
of industrial ceramic waste. In particular, the innovative solution is characterized by the use of

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innovative materials with high energetic properties, in relation to the solar radiation, and environmental sustainability qualities. These materials are highly regarded for their excellent physical,
mechanical and thermal properties.
Concerning the new insulating material proposed by the project, called AAM - Alkali Activated Materials, the most relevant innovation consists in the use of ceramic waste as row material, instead
of metakaolin, normally obtained by calcined natural kaolin, in order to obtain sustainable final
products. Furthermore, one of the primary conditions for the successful outcome was to ensure
that the alkali activation process will occur at T-room temperature, thus limiting energy consumption and reducing environmental impact (Fusco 2013).
Different formulations have been designed by modifying the molar ratio of the most important
oxides (SiO2, Al2O3, Na2O) directly involved in the alkali-activation process and varying the foaming agent solutions, thus controlling workability and density of the final product. In this way, the
investigated material could be implemented for a large array of uses: spread on wall surfaces, applied as traditional cement based mortar and concrete or cast in special moulds for prefabricated
panels (e.g. solution proposed herein).
The versatility of the investigated geopolymeric paste serves to introduce an innovative family group of materials with the potential for great sustainable qualities. Future research will be
focused on the chemical, thermal and mechanical study of the faade components, by using
recycled materials with high thermal resistance properties, according to research paradigms. A
thermal model of the insulation system, whose morphology has been previously designed with
parametric computational tools, was created in order to simulate and study the thermal behaviour of the innovative faade system by using energetic analysis software.
The research project demonstrates the efficacy of the application of this solution to a traditional
recent building (1960-80) in reinforced concrete: the installation of a second skin, composed by
panels of 10 cm of AAM ( = 0,045 W.m-1.K-1), could confer good U-values and high energetic properties in terms of thermal insulation and indoor comfort, according to the range imposed by the
actual regulations.
Relating to the innovative material used for the external finishing system, a new thermochromic
coating for outdoor use is proposed for the optimization of the adaptability and flexibility of the
efficient and sustainable faade components.

Figure 2: Axonometric exploded view of the prefabricated panel proposed by the project (image by
Cecilia Mazzoli)

Towards nZEBs: innovative materials and technologies for new sustainable envelope

577

The innovative bio-inspired approach presented - far from the traditional human attitude to dominate and improving it - seeks to solve the architectural problems by learning from the sustainable
parallel solutions in nature. This contemporary philosophy states that is it possible to improve the
quality of the architectural elements through the examination of nature and its systems, structures and shapes, in order to get inspiration for the design of the architectural models.
As the living beings are protected by their skin, which is an intelligent organ able to perform
multiple functions, the buildings are externally defined by the building envelope, which regulates
the relation between the habitants and the external environment. The approach proposed by the
research project aims to promote the architectural design of a new dynamic envelope building
able to interact with the variable climatic context, like the animal skin.
Some animals can change their body colour both to protect themselves from the external environment and to mask their position and movement. Indeed, the octopus is able to use its dark
ink to attack and defence itself, as well as to change colour, texture and shape, to become colour-blind to completely camouflage its location (Bar-Cohen 2011). The chameleon can rapidly disguise itself by using its cells chromatophores, which contain basic yellow and red pigments, the
layer reflecting blue and white light, and the melanophores containing the black to dark brown
pigment melanin, which darkens its colour (Kalauni, Gupta, Bharti 2014). The side-blotched lizard
is a reptile that lives in the desert, being able to survive to the climate thanks to the thermoregulation of its intelligent skin: the skin pattern is typically dark on the back of the lizard for sunlight
absorption and light on the abdomen for reflecting heat from the ground (Mazzoleni 2010).

Figure 3: Animals able to change their body colour: chameleon (photo by Will Stanley), side-blotched
lizard (photo by Rob Schell), octopus (photo by Shlomit Ouziel)
In order to imitate these natural properties and to implement them in architectural design, the
research project proposes an innovative approach for the building envelope generation process.
Moreover, several cases during the last years opened new perspectives for the development of
potential technical solutions for the building envelope, in order to promote an innovative bio-inspired approach to the architectural design.
Focused on the optimization of the faade component, the project introduces a new layer constituted by a thermochromic paint to be applied on the external side of buildings exterior thermal
insulation composite system (ETICS). This architectural solution for the refurbishment interventions could decisively increase energy efficiency of the envelope, conferring a large and controlled variability during day/night and summer/winter cycles.
In particular, the project suggests the installation of the previously mentioned prefabricated
panels on the faade of the existing buildings, combined with a thermochromic coating applied
directly on the planar external surface of the disposable formwork containing the thermal insulation material. Due to their dynamic optical properties, the thermochromic materials are able to
change their colour thanks to the variability of their physical characteristics depending on the
temperature variation, during the different hours of the day and the different seasons of the year.

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During the summer period and the hottest hours the thermochromic coatings could exhibit a
lighter colour and therefore reflect the most of the solar radiation, in order to contribute to the
role of the thermal insulation and heating protection. During the winter season and the coldest
hours, the same coatings could change in a darker colour and then contribute to the absorption
of the radiation and the increasing of the solar gains to be transferred to the existing wall, which
could work as thermal accumulator. Ultimately, the research project proposes an architectural
system inspired by the biological behaviour of the animals that, like the side-blotched lizard, is
able to thermoregulate the internal comfort depending on the external environment.

Figure 4: Scheme explaining the dynamic optical properties of the thermochromic coating, depending on the variability of solar radiation and temperature, during the cycle day/night and summer/
winter (image by Cecilia Mazzoli)
The researches thus far conducted by the Universities and the Research Institutes and their comparative results demonstrate that the use of thermochromic coatings can contribute to energy
savings in buildings, providing a thermally comfortable indoor environment (Karlessi et al. 2009).
Actually the thermochromic paints experimented for the application to the existing faade specifically provide the control of the absorption or reflection of the solar radiation and can contribute to improve the thermal performances of the faade. The technology advancements let
perceive a real potential in the use of thermochromic paints and coatings, in order to create an
innovative product, responsive and adaptive, to be used for controlling the thermal behaviour of
the building faade.
The next stages of the research will include the realization of further prototypes and measurement tests on this new industrial product, which are essential in order to validate the new bio-mimetic faade system aimed to optimize energy efficiency through the use of innovative materials
in the creative building industry sector.

5. Conclusions
It is nowadays necessary to stimulate the excellence in energy performance up to the ambitious
nZEBs targets, technically achievable in the most inefficient buildings of the modernity, which represent the majority in EU. A new culture of sustainability in the construction sector must involve
the use of environmentally friendly materials for thermal insulation systems, the minimization of
the consumption of embodied energy and the flexibility according to the consumers needs. In
this framework, the progresses made through the interventions inspired by sustainability principles are easily recognizable in the field of energy efficiency and materials technology, in terms of

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the energy saving achieved thanks to smart management of demolition waste and hence recycle
and reuse of materials.
The project seeks at investigating, developing and testing a sustainable retrofitting strategy, based
on an innovative integrated design process of new energy-efficient building envelope solutions
for the existing building stock towards nZEBs.
With this aim, the research develops an innovative methodology to manage the whole design and
production process of active components, thanks to the connection between the metric survey
technologies, the parametric computerized CAD-CAM tools for modelling the new surface adaptable to existing morphology, and the CNC machines for the mass customized industrialized
production of different envelope solutions.
The final result of this integrated design process consists in the creation of a continuous envelope
system model, meaning a second skin tailored to the existing shape, constituted of prefabricated panels, linked to the existing faade. This new building envelope model is mainly based on
the dry assembly of prefabricated faade components and on the use of an innovative thermal
insulating material obtained by recycling industrial waste (AAM Alkali Activated Materials), by
following an architectural bio-mimetic approach.
In order to illustrate the potentiality of the proposed approach, the process is applied to several
case studies united by their typological and constructive envelope solutions, belonging to the
scholastic building stock built after the Second World War, in reinforced concrete and mostly prefabricated.
To demonstrate the effectiveness of the envelope model proposed herein, the paper presents a
specific solution selected among the generable ones in line with it, according to the research
paradigms and the principles of sustainability, meant as modularity, speed of setup, reversibility,
recycling and reuse of materials with low environmental impact.
In particular, the specific innovative solution presented in the paper is characterized by the adoption of prefabricated hexagonal-shaped panels for the tessellation of the new surface, with the
double role of resistant light frame in polymeric composite and stay-in-place structural formwork
for the cast of thermal insulation material.
As demonstrated by the conducted geometrical analysis, the shape of this frame structure composed of hexagonal cells - widely present in nature, e.g. honeycomb (Pearce 1990) - presents a
great potential for the modulation of the faade surfaces: it allows to obtain a surface tiling corresponding to the geometric optimization, according to the principle of the closest packing, and
it permits to reduce both the mechanical connectors to the existent faade and the heat loss
bridges in relation to the discontinuity points.
Regarding the AAM to be used as thermal insulating material for this envelope model, it is produced by using brick waste, combined with an activator solution containing a glass siliceous material (conductivity value = 0,045 W.m-1.K-1), therefore obtaining a final product with excellent
thermal properties. It presents a high resistance to chemical agents and good mechanical properties, and it has a great additional value compared to the traditional materials, since it is composed
mainly of raw waste materials, dried at room temperature, with low production of CO2 emissions
(Mazzoli et al. 2013). Further researches are in progress to optimize the investigated AAM in terms
of mechanical and physical properties.
About the chromogenic materials to be used as finishing external coating, tests and measurements demonstrate that photodegradation is a major problem for thermochromic paints when
exposed to outdoor environments (Karlessi et al. 2009). Further prototypes will explore and test
different methods by applying UV absorbers in the coatings, in order to prevent photodegradation and photostabilize the colour-changing effect of the material, according to outdoor temperature and solar radiation levels.
The physical and mechanical properties of these innovative materials have been verified by con-

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ducting measurements and monitoring on minor scale prototypes, which highlighted good qualities with relation to their expected roles in the faade layers composition. The next stages of the
research will explore on major scale prototypes the variability of the final characteristics of the innovative materials presented, aiming to improve their formulation, according to specific requirements and to constructive and architectural needs. The integration of these new materials within
the whole design process presented herein for envelope systems could effectually open up new
design methods in the field of sustainable refurbishment of recently constructed buildings.

References
ABDULLAH, M. M. A., HUSSIN, K., BNHUSSAIN, M., ISMAIL, K. N., and IBRAHIM, W. M. W., 2011, Mechanism and Chemical
Reaction of Fly Ash Geopolymer Cement - A Review, International Journal of Pure & Applied Sciences & Technology, Vol. 6, Issue 1, p. 35.
BURRY, J., and BURRY, M., 2010, The new mathematics of Architecture, Thames & Hudson, New York.
CONWAY, J. H., and SLOANE, N. J. A., 1993, Sphere packing, Lattices and groups, Springer-Verlag, New York.
FERNANDEZ, J., 2006, Material Architecture. Emergent materials for innovative buildings and ecological construction,
Elsevier, Oxford.
HENSEL, M., MENGES, A., and WEINSTOCK, M., 2010, Emergent Technologies and Design. Toward a biological paradigm
for architecture, Routledge, London.
HERZOG, T., KRIPPNER, R., and LANG, W., 2004, Faade Construction Manual, Birkhuser Edition Detail, Basel.
HODKOV, J., LUPEK, A., MANK, ., VOCHOC, L., and RA, T., 2011, Online database of environmental profiles of
building materials and structures, IFIP Advances in Information and Communication Technology, Vol. 2011, n. 359,
pp. 272-279.
KARLESSI, T., SANTAMOURIS, M., APOSTOLAKIS, K., SYNNEFA, A., and LIVADA, I., 2009, Development and testing of
thermochromic coatings for buildings and urban structures, Solar Energy, 83, pp. 538-551.
MAZZOLI, C., 2015, Sistemi tecnologici innovativi di involucro per il recupero del patrimonio edilizio recente. Ledilizia
scolastica nel Comune di Bologna / Systmes technologiques de faade innovants pour la rnovation du patrimoine bti contemporain. Les btiments scolaires Bologne, PhD Thesis, University of Bologna, in co-direction
with University of Paris-East.
MAZZOLI, C., FUSCO, O., GUARDIGLI, L., and GULLI R., 2013, Innovative materials and technologies for a new envelope
system in the sustainable refurbishment of existing building stock, Proceedings of the CESB13 - Central Europe
towards Sustainable Building 2013. Prague, Czech Republic, pp. 405-408.
OTI, J. E., KINUTHIS, and J. M., BAI, J., 2010, Design thermal values for unfired clay bricks, Elsevier - Materials & Design,
Vol. 31, Issue 1, pp. 104-112.
PEARCE, P., 1990, Structure in nature is a strategy for Design, The MIT Press, Cambridge, Massachusetts.
TYWONIAK, J., 2000, Energy-related properties of building envelopes in environmental optimization, Proceedings of
Sustainable Building 2000. Maastricht, the Netherlands, pp. 180-182.
VAOU, V., and PANIAS, D., 2010, Thermal insulating foamy geopolymers from perlite, Elsevier Science - Minerals Engineering, Vol. 23, Issue 14, pp. 1146-1151.

Towards nZEBs: innovative materials and technologies for new sustainable envelope

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International Conference | Bari - Lecce, Italy

Session VIII

ECO-FRIENDLY MATERIALS FOR THE ENERGY

RETROFIT OF EXISTING BUILDINGS
Antonio De Vecchi1, Antonino Valenza2, Simona Colajanni1, Elsa Sanfilippo1
1 Dipartimento di Architettura, Universit di Palermo, Viale delle Scienze, 90128 Palermo, Italy, antonio.devecchi@
unipa.it; [email protected]; [email protected]
2 DICAM, Universit di Palermo, Viale delle Scienze, 90128 Palermo, Italy, [email protected]

Abstract
Today is widely recognized that the main cause of CO2 production and of non-renewable
energy consumptions in Europe is due to the building field. For this reason, to improve the energy performance of existing houses through an energy retrofit action (adapting their performances to those required by regulations) is an important strategy to reduce energy consumptions since they are much more than new ones, also representing an economic opportunity.
In particular, an important approach in the reducing energy needs consists in the thermal
insulation of the envelope, through the application of innovative technologies and materials.
The paper will present the result of a research about the possibility to carry out different energy retrofit measurements, with different economic implications: it can be possible to evaluate
the effectiveness of strategies proposed by examining a typical house of Palermo and measuring the improvements obtainable through the application of a new eco-friendly panel on
the external walls.
The new panel, made with scraps of pruning of prickly pear crops, has been patented (n.
1402131) by using the cladodes of Opuntia Ficus-Indica, a widespread plant in the Mediterranean Basin, according to the principles of sustainable and eco-friendly development.
The eco-friendly panel has shown thermal performance that can be considered satisfying and
competitive with those of other commercially available panels, helping, at the same time, to
the waste disposal: the nature of the plant makes the material highly recyclable and easily
disposable.
The study has been carried out by comparing the thermal and dynamics improvements obtainable adding different panels on the external walls of the house.
The final output will show the results, by assessing the energy and economic savings after the
retrofit interventions.

Keywords
Cost-benefits analysis, Energy retrofit, Housing, Insulating materials, Sustainable design.

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Introduction
The introduction of new standards for the levels of indoor comfort required the adaptation of existing buildings. These, in most cases, do not satisfy the required value of thermal transmittance.
This has resulted in the development of new strategies for the adaptation of the building envelope, beginning in northern Europe and concerned the adjustment of the energy performance in
the case of cold climates.
Later on, also for Mediterranean areas, and then in the case of hot climates it became an important strategy to introduce thermal insulation systems for the building envelope.
The need to improve the thermal insulation of the building envelope determine a growth of the
industrial field based on the production of insulating materials of different origins, for example,
the cheaper, but less sustainable, are the synthetic ones.
At the same time, it has developed the production of eco-friendly insulating materials.
This new materials field could contribute, as well as the use of renewable resources of energy,
also to economic development in those countries where, at the present time, these resources are
found in abundance but they and are not well used.

The energy retrofit

The energy retrofit consists of all the actions aimed to renovate the existing buildings stock, by
adapting their performances to the ones required by current laws.
To act on existing buildings means the possibility to choose between different strategies, each
that cannot however dispense with proper thermal insulation of the building envelope, the main
regulator of the heat exchange between external and internal environment.
Among the most common retrofits we can find the following ones:
Insulation of the building envelope;
thermal inertia increasing;
replacement of windows with innovative systems;
introduction of solar shading devices;
replacement of air-conditioning systems;
replacement of lighting systems;
use of natural sources of thermal energy;
introduction of renewable energy.
Among the systems above, there are methods of intervention that allow to work directly on the
building structure increasing its thermal performance, by reducing therefore the use of mechanical systems of air-conditioning.
These passive actions, provide above all initials contained expenses, easily amortizable over the
short term, thanks to the considerable reduction in energy bills due to their implementation.
In recent years, the research and experimentation on the building envelope have spread different
kind of materials and technologies, ever more efficient, able to significantly increase the energy
efficiency.
To insulate the opaque envelope, in fact, allows to contain the main heat losses and to ensure
adequate levels of interior comfort for extended periods of time.
The choice between the insulating materials changes depending on the case, not only relating to
the level of thermal conductivity of each panel, but also to the geographical context and, therefore, the needs which must be meet.
Furthermore, such a choice implies that the requirements ever more restrictive than the law now
imposes in each climate zone (Italian Law no. 10 of 1991 Regulations on the rational energy use,

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energy saving and development of renewable energy, as amended).

Before implementing any retrofit action, it is appropriate to evaluate it through a detailed analysis
of the cost-effectiveness ratio, in order to estimate, since the phase of the project, the possibility
of not only saving energy but also economic, and time return of the investment.
The research presents a typical case of energy retrofit of a residential apartment located in the
city of Palermo, where outdated construction techniques and uncontrolled economic speculation have produced low-quality buildings with very poor energy performance.
The case of study is exemplary because it allows to demonstrate how it is possible to get a clear
energy saving through simple interventions on the building such as, the thermal insulation of the
external vertical walls.
It was finally compared the result obtainable in different stratification configurations of the wall,
each through different insulation panel, so as to demonstrate the functionality and efficacy of
the innovative panel realized with the waste material of Opuntia ficus-indica plant, compared to
other materials already present in the market since many years.

Innovative materials to the envelope insulation

Insulating the building envelope is the first action to carry out on an existing building. The old
building systems and sometimes the lack of attention to the environmental conditions, determine the increase of the thermal energy demand and the use of air conditioning mechanics in
order to ensure suitable levels of indoor comfort.

Most common insulating materials in the market

Today available in the market there are a lot of different insulating materials. They can be divided
on the basis of the following key requirements:
1. physical-technical: density, thermal conductivity, resistance to water and compression, resistance to fire, etc .;
2. Environmental: impact on human health and on the environment, possibility of recycling, low
(or zero) CO2 emissions;
3. Economic: cost per unit (/mq);
4. conformity: CE label (for certifying the conformity of the product with the declared performance, but without imposing performance limits) and certification testing laboratory.
On their choice also influence: the shape (panels, foams, etc.), the origin (animal, mineral or synthetic), the hygroscopicity level, the fire resistence and the capacity of heat protection during the
summer.
In the building applications, moreover, it is necessary to classify the insulating materials according to the following scheme:
1. Rigid panels, with the possibility to associate them with other layers of different materials
(wood, plasterboard, laminate, etc.) that confer a greater resistance to the whole system and
that can also serve as finishing;
2. Soft panels (rolls, mats, etc.) which are mostly used in interspaces playing, therefore, the only
function of insulation;
3. Bulk materials (fibers, granules and flakes) for the dry-filling of walls and roofs cavities.
The most common natural insulating materials used in buildings are the wood fiber panels. However, there are other natural products on the market: cotton, cork, lime expanded, cellulose and
even sheeps wool. The main synthetic insulation materials are the expanded polystyrene or EPS,
the extruded polystyrene, and the polyurethane. The insulation of mineral origin, is mainly con-

Eco-friendly materials for the energy retrofit of existing buildings

585

stituted by rock wool and glass wool.

Figure 1: Materials commonly used for the insulation of the opaque envelope. From left to right: polystyrene foam (synthetic), rock wool (mineral) and wood wool (natural).
Also the air ( = 0.026 W/mK) is often used as insulating element, by the apposition of an empty
cavity between two layers, allowing good levels of thermal insulation, with low cost of implementation.

The new eco-friendly panel in Opuntia ficus-indica

The proposed innovative panel comes from the pruning of Opuntia ficus-indica plant used for the
cultivation of the table fruit (Figure 2). The original plant is native to the American continent and
has spread in all hot and arid climate areas. It is currently present in spontaneous forms or grown
in many countries, including Mexico, the United States, Chile, Brazil, Italy, North Africa, South Africa, Middle East and Turkey.

Figures 2 - 3: Cultivation of Opuntia ficus-indica plants and table fruit

It is a plant belonging to the Cactaceae family which can reach 3-5 m in height. The stem is composed of cladodes. The cladodes, of flattened form and ovaliforme, from 30 to 40 cm long, from 15
to 25 cm wide and about 1.5-3.0 cm thick, formed of the branches. The fruit is a fleshy berry with
numerous seeds, very appreciated in the food industry. The waste material of the plant is not yet
fully used and its disposal often causes problems.
In Italy the cultivation of prickly pear are located in particular in Sicily, Calabria, Puglia and Sardinia regions. The most recent statistics attribute to only the Sicily about 90% of the area cultivated
with about 2,500 hectares of cultivation. The pruning is performed in spring or late summer, in order to prevent the contact between the cladodes and to eliminate those malformed or damaged.
For the realization of the prototype of the panel were selected cladodes from one to ten years old
(Figure 4).

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Figure 4: Cladodes of Opuntia ficus-indica

In order to realize a prototype of a rigid panel, suitable to the building envelope insulation, the
mixture obtained was tied using as adhesive a polyester resin so as to obtain a compact layer
resistant (Figure 5) having specific weight of about 450 kg/m3.

Figure 5: Final product: the Opuntia ficus-indica rigid panel

Application of the insulating panels into an existing dwelling

In order to evaluate the thermal efficiency of new panels Opuntia ficus-indica, it is necessary to
verify the possibilities of use, by comparing the benefits achievable through other panels most
common on the market.
The comparison was made on a selected case study, simulating their individual application to the
building envelope. the case study is an exemplar dwelling of the city of Palermo, in need of an
intervention to increase its energy performance, starting from the opaque external walls.

Methodology of action
The analysis takes into account the main thermal and dynamic characteristics of the envelope
that affect its energy performance, both during the cold and the warm seasons.
The improvement of the energy efficiency of the opaque walls, by the application of insulating
panels from the inside, means not only better U-value and lower conductivity of the walls, but
also it affects the analysis of the energy demand and, therefore, the annual energy costs of the
dwelling.

Eco-friendly materials for the energy retrofit of existing buildings

587

Each material is then, from time to time, assessed through the linear thermal transmittance U
achievable in the related final system, consisting of the initial stratigraphy with the addition of
the insulating panel.
This analysis must be conducted according to the current regulations on the thermal requirements of the building envelope, such as the UNI EN ISO 6946:2008 Building components and
building elements - Thermal resistance and thermal transmittance - Calculation method.

Cases of study
In the case of residential buildings, it must act in order to respect of the common rules, such as the
planning instruments or the regulations inside the apartment building of belonging. This case it is
problematic in the case of an intervention that acts on the exterior, which could deface or modify
the original shape of the envelope. In these conditions, the most suitable solution, especially in
the case of an energy retrofit of individual building units and not of the whole apartment building, provides for the intervention from the inside, by acting through the affixing of insulating
panels placed on the inner face of the wall.
The dwelling being examined has a floor area of 170 square meters and is used as private residence. (Figure 6).
The building was built according to a common technique in the construction of the 60s-70s in
Palermo, through a frame system in reinforced concrete, and vertical closures in pumice concrete
blocks.

Figure 6: Plan of the dwelling chosen as object of analysis.

The initial stratigraphy, having a total thickness of 25 cm, is as follows (Table 1):
- Outer surface layer: plaster type Li Vigni, 3 cm;
- Concrete blocks of pumice stone, 25 cm thick;
- Inner layer of civil plaster and gypsum, total thickness of 2 cm.
Each layer, taken with the relative values of thermal conductivity and of the thickness (cm),
allows to understand the total resistance Rtot, which is in turn equal to the inverse of the transmittance U.

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Table 1: Layers and transmittance value of the vertical walls in the current state
STRATIGRAPHY

CONDUCTIVITY

THICKNESS

THERMAL RESISTANCE

0.13

Civil plaster and gypsum

0.70

0.02

0.03

Concrete blocks of pumice

stone

0.20

0.25

1.25

Plaster type Li Vigni

0.64

0.03

0.05

0.04

Liminal inner layer

Liminal outer layer

THERMAL TRASMITTANCE U

0.67 W/m2K

The current value of the transmittance of the opaque envelope is U = 0.67 W/m2K, which happens
to be a value greater than the transmittance limit imposed by the law for the climatic area B, in
which lies the city of Palermo (Italian Decree n. 192/2005) that is, instead, equal to 0.48 W/m2K.
In addition, a further verification was performed on the other characteristics of the dwelling that
determine behavior in summer mode: surface mass (Ms) and periodic thermal transmittance (Yie).
These results, when compared with the respective limits, require adequate interventions of
opaque envelope insulation, such as to adapt their characteristics to those prescribed by current
laws.
The table 2 shows the main thermal and dynamics characteristics of the opaque wall, in the current state:
Table 2: Comparison between the key thermal characteristics and with the limits established by law
Law requirements

Current state

Thermal transmittance
U [W/m2K]

0.48

0.67

Surface mass
Ms [kg/m2]

230

255

Dynamic transmittance
Yie [W/m2K]

0.12

1.51

Thermal and dynamic characteristics

Results by adding different insulating panels

Once analyzed the current state of the dwelling envelope, and understood the low energy performance of the opaque walls, it is necessary to compare some actions that could be possible to
applied as energy retrofits.

Eco-friendly materials for the energy retrofit of existing buildings

589

Figure 7: Scheme of application of the insulating panel from the inner face of the wall.
The most appropriate strategies, planning to act from the internal part of the walls with the application the insulating material, take into account the following panels, selected as the most
common on the building market:
Rock wool: = 0.040 W/m2K;
EPS (Expanded Polystyrene Sintered) with conductivity value equal to = 0.033 W/m2K);
Wood fiber panel ( = 0.041 W/m2K);
Opuntia ficus-indica panel ( = 0.071 W/m2K);
Air cavity ( = 0.026 W/m2K).
Assuming, for each case, the application of a rigid panel of insulating material of 60 mm, it is possible to get the following values, as in Table 3:
Table 3: Thermal characteristic allowed by each strategy of thermal insulation.
CHARACTERISTICS:

CURRENT
STATE

AIR

ROCK WOOL EPS PANEL WOOD FIBER OPUNTIA

LIMIT VALPANEL
PANEL
FICUS-INDICA
UES
PANEL
FOR LAW

Wall thickness [mm]

250

250

310

310

310

310

Thermal trasmittance
U [W/m2K]

0.67

0.20

0.23

0.22

0.24

0.30

<0.48

Surface mass
Ms [kg/m2]

255

255

282

268

315

293

>230

Periodic thermal
transmittance
Yie [W/m2K]

1,51

0,07

0,02

0,02

0,01

0,03

<0.12

The panel of Opuntia ficus-indica, as reported in the table, has met all the legal limit values for
each characteristic indicative of the thermal performance of the envelope. The comparison of
these results with those obtained with other typologies of insulation panels, shows how the pan-

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els have almost homogeneous requirements and how it is highly competitive with the other ones
on the market.
Furthermore, also the evaluation of the dynamic parameters, fundamental in the assessment of
the system answer in warmer cities, as the case of Palermo, confirms the possibility to use the new
panel with good results.

Conclusions
To determine the convenience of an insulating material, as in the exsaminated case study, depends on the ability to achieve certain benefits, for a given mass in each case. However, the choice
of the most suitable material strongly influences the degree of sustainability.
For example, to determine how a material is ecological, it is necessary to take in account several
factors, such as the production steps, the way from the manufacturing and all that makes the
material ready for marketing: thus carrying out an energy balance of the life of the insulating
material - emissions for the production, emissions for the transport, lower emissions due to the
isolation of the material - could result that a material of chemical origin, such as EPS, in addition
to having one of the greatest values of insulating capacity, it is more ecological of some natural
materials requiring little energy for the production, but that may be subject to warping for thermal expansion in the process of its implementation.
Even in the case of materials of mineral origin it could be possible to present disadvantages as in
the case of rock wool, for which is required a fusion of the raw material at elevated temperatures
(about 1400 C) and, if not properly applied and protected from moisture, the thermal performance is drastically reduced.
Furthermore, to obtain a certain stability of the panel shape, the fibers are mixed with the binder
bakelite, a phenolic resin that releases formaldehyde.
Similarly, the wood fiber must be subjected to very onerous treatments before they can be used.
It means that a cost-benefits analysis is the key strategy to assess the most suitable solution, case
by case, and that a natural and innovative panel, such us the Opuntia ficus-indica, may reach very
high energy performance with low cost of implementation, and the possibility to exploit a natural
material, usually wasted (Figure 8).

Figure 8: Waste materials

Eco-friendly materials for the energy retrofit of existing buildings

591

References
AMERIO, C., CANNAVESIO, G., 1999, Materiali per ledilizia. Strumenti per la tecnologia delle costruzioni e la progettazione edilizia. Societ Editrice Internazionale, Torino.
ANDERSON, E.F., 2001, The cactus family, Timber Press, Portland, Oregon, USA. ISBN 0881924989
BARBERA, G.; INGLESE, P., 2001, Ficodindia, Parma, LEpos, ISBN 8883021657.
DE VECCHI, A., VALENZA, A., COLAJANNI, S., SANFILIPPO, E., FIORE, V., LANZA VOLPE, A., 2015, Evaluation and application of Opuntia ficus-indica insulation panel, in First International Conference on Bio-based Building Materials
ICBBM 2015 Clemont-Ferrand, France, ISBN 978-2-35158-154-4.
FASSI, A., MAINA, L., 2009, Lisolamento eco-efficiente, guida alluso dei materiali naturali, Edizioni Ambiente, Milano,
ISBN 978-88-89014-99-8.
IMPREZZABILE, G., 1992, Opuntia Ficus Indica, Miller, Djemme, Milano.
MALAININE, M.E., DUFRESNE, A., DUPEYRE, D., MAHROUZ, M., VUONG, R., VIGNON, M.R., 2002, Structure and morphology of cladodes and spines of Opuntia ficus indica. Cellulose extraction and characterization, Elsevier, Grenoble.
OLEOTTO, E. (a cura di), 2007, Guida agli isolanti naturali, prodotti, caratteristiche, tipologie dimpiego, Edicom edizioni, Monfalcone (Gorizia), ISBN 978-88-86729-71-0.
PREMIER, A, (a cura di), 2014, Innovazione sostenibile per larchitettura. Materiali, tecnologie e prodotti, Maggioli
Editore, Milano, ISBN 978-88-916-0907-6.
SPADA, C., 2007, Isolanti di origine vegetale, tetto e pareti, C Zorzi edizioni, Forl.
VIGNON, M. R., HEUX, L., MALAININE, E., MAHROUZ, M., 2007, Arabian-cellulose composite in Opuntia ficus indica
prickly pears spines, Elsevier, Grenoble.

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International Conference | Bari - Lecce, Italy

Session VIII

ENVIRONMENTAL PERFORMANCE AND SOLAR

ENERGY POTENTIAL OF CHILEAN MASS HOUSING
Rodrigo Garca Alvarado1
1 Depto. Diseo y Teora de la Arquitectura, Universidad del Bo-Bo, Chile, [email protected]

Abstract
In development countries, Chile has a pioneer situation in housing provision, due last decades
has carried out several state programs and private initiatives. Nowadays, the country meet the
regular housing demand through massive real estate developments, based on individual and
public funding. However, it presents a growth of energy consumption and environmental
challenges in dwellings. This issue is been faced with regulations for energy-efficiency and
several actions to promote sustainable building and renewable sources. Although this initiatives are yet incipient and lack enough information about local condition and procedures.
This work reports studies aimed to the rehabilitation of existing dwellings, through comprehensive assessment of environmental situation in a sample of houses in the most populated
zone of the country, as well as exploration of new designs and solar energy integration. The
first part was developed with a physical monitoring and extensive analysis of occupancy in
ten homes, and environmental simulation models and a procedure to define retrofit solutions with financial estimation and participation of residents, tested at the end in three of
the cases. Then, it reports experiences to review design of current housings with reduced
energy consumption, and analysis to integrate solar energy with a test-bed of different systems and urban map of solar potentials, as well as evaluation of integrated devices in houses
and design proposals. Those activities has revealed that most of existing homes can improve
substantially theirs environmental performance with a partial retrofit or design modifications,
with a reduction about a third of fuel demand and increase their thermal condition. Besides,
that single homes can accommodate solar systems to supply domestic demand and provide
surplus energy.

Keywords
Environmental Performance, Retrofit, Solar Energy Potential, Chile.

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Introduction
To provide massive housing is necessary for the growing urban population, particularly in developing countries. In addition, building and urban conditions must be improved to reduce increasing environmental impact and energy consumption (CARASSUS, 2013). Sustainable building
actions have tended to focus on single high-cost examples and must now extend to large-scale
construction initiatives. Existing capacities for mass building and public acceptance of such designs must be targeted to higher environmental performance. This paper analyses the dwelling
situation in Chile, focusing on housing developments in the largest city in the countrys southern
zone and the possibilities to improve their behaviour and reduce energy consumption. It is based
on the review of existing houses, encompassing both retrofits and installations of solar energy
systems,
summarizing experiences of research projects led by the author.

Housing in Chile
The approach to housing provision in Chile sets an example in Latin America (DOSAL, 2013). Both
state and private mass housing initiatives enjoyed early implementation at the beginning of the
twentieth century. This was followed by consolidation of a variety of public housing programmes
and private housing enterprises throughout the national territory and across different socio-economic sectors, ensuring dwelling provision even in the face of diverse natural disasters (CHAMORRO, 2013). However, although there have been notable examples of high quality architecture in
housing design, there has also been considerable debate questioning the quality of housing and
scarce industrialisation (CELIS et al, 2012).
Housing conditions in the country show certain trends: the predominance of detached and
semi-detached single-family homes; and the growth of multi-family high-rise buildings, particularly in urban centres. Houses have mainly reinforced brick or concrete building systems with
timber structures above ground level, while reinforced concrete is used for larger multi-family
buildings and high-income homes (CHCC, 2011).
In recent years, the drive to improve housing quality and reduce energy consumption has led
to the implementation of thermal regulations for building elements in the different geographical zones. Diverse programmes were set up to encourage energy efficiency. National studies
identified both shortfalls in existing comfort levels and construction techniques and excessive
energy consumption and urban pollution (AC, 2007; CNE, 2009; BUSTAMANTE, 2009; CDT 2010).
Initiatives have included; thermal refurbishment subsidies for existing low-income housing; government funding for installing solar panels; and more recently, voluntary environmental certification schemes and legislation for electricity co-generation to encourage implementation of
photovoltaic systems. Additionally, private environmental performance certification schemes are
slowly beginning to gain ground and industrial supply of products with higher environmental
performance. Professional training is being updated towards more sustainable building practice,
accompanied by public and private sector promotions.

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Fig. 1. Location of the metropolitan area of Concepcion and weather conditions by month.

Environmental Performance
In order to review the environmental conditions of the main residential typology (single homes)
in the south of the country which has mild weather and most part of the population, a thorough
study was carried out on ten homes located in the metropolitan area of Concepcin (Fig.1), using physical monitoring and occupant surveys over a two-year period. The houses were selected
from an initial sample of fifty homes voluntarily put forward by university students in the zone.
Eight of these were selected according to availability and diversity criteria, and two more were
added to ensure due representation for families with young children, according demographic
statics (Fig. 2). Two periods of monitoring were carried out in the homes in the study, one week
in summer and another in winter, with sensors installed to measure: exterior air and surface temperatures on two walls, interior air and surface temperatures in four rooms, humidity and CO2
levels and daylighting. Thermal flow meters, building envelope thermographies and blower-door
tests were also used. Comparisons were made with seasonal meteorological records. The results
showed relevant daily temperature oscillations that were slightly lessened inside the homes, but
with long periods of inadequate indoor comfort conditions in winter and only slight differences
between rooms according to solar orientation. Monitoring also revealed periods in the day with
high CO2 saturation and poor daylighting in some rooms. The performance of the different building elements was acceptable according to regulations, but frequent thermal bridges were found
at joints between elements. Air thingness and heat transmittance levels were poor compared to
international standards, as well as expenses in fuels for domestic services (GARCIA et al, 2013).

Fig.2. Sample of houses analysed.

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Fig.3. Measurements of Indoor Temperatures in one week of winter (left) and leakage of building
trough blower-door test (right) in the case 6.
On the other hand, adults occupants of each home were questioned about room use and a standard survey was applied to determine thermal satisfaction levels. More in-depth interviews were
also carried out as well as daily following over the summer and winter periods to review occupation patterns and comfort perception and expectations. Firstly, this revealed diverse degrees
of conformity amongst the family groups, with significant generational differences in habits and
perceptions. Younger residents displayed a greater need for privacy and adequate thermal conditions. Overall, comfort levels in the homes were considered adequate but there was substantial
disparity depending on the summer and winter seasons, the different rooms and storeys involved
solar orientation and the activities taking place. Layout also proved important to comfort levels.
Specific structured heating routines were identified (GARCIA et al, 2013).

Retrofit Studies
In the homes studied, the possibility of retrofitting to improve thermal performance was also
assessed, using a strategy analysing solutions through dynamic simulation (GARCIA et al, 2014a).
This was based on a baseline simulation with adjustments to the air change rate (to 1.6ACH) and
adaptive comfort temperatures (18C-24C with 70% RH) and occupancy rates (40W/m2). These
figures match regular conditions for the typology of the zone according the monitoring and
surveys done, taking into account fuel costs for space heating in winter (the main domestic expense) converted to energy demand. The amount of total energy demand for heating in winter
(May to October) in the homes studied was between 30 kwh/m2 to 80 kwh/m2, according age
of construction (higher is older houses), that corresponds around 40% of total energy demand
per house. In line with recommendations from general studies and previous local experiences,
the improvement alternatives that were considered by this study focused on increase air tightness and thermal insulation of the building envelope. Measures included sealing doors, windows
and wall perforations, putting additional exterior protection on walls and ceilings and replacing
existing single-glass windows with double-glazing. Other modifications, such as increasing or
reducing window openings according to orientation, incorporating skylights or greenhouse and
improving floor ventilation or insulation did not offer better performance results.
The budget of the solutions was calculated for each home according to market prices for materials and labour costs. An efficiency value was then determined in relation to the total cost
versus equivalent saving in fuel expenses. General limit budget were then established for retrofitting, corresponding to 5%, 10% and 15% of the commercial value of each home in order to
offer different alternatives (10% corresponds to the state subsidy for this activity). The solutions

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were grouped according to their efficiency until each total was lower than each limit (excluding
certain measures that proved incompatible) to make up retrofit packages. These packages were
then simulated and were found to offer reductions of around 35%, 50% and 65% of total heating
energy demand by each package. This corresponds to increases of between 2C and 4C in indoor
winter temperatures and a rise in the commercial value of the home of between 2% and 8%, according to the lifecycle financial assessment based on ASTM E-917. Investment return estimates
depend on the type of fuel used and the interest rates on loans, which varies greatly depending
on whether interventions are funded by government subsidy, bank loan or personal savings.

Fig.4. Presentation of retrofit packages to residents (left), execution of thermal rehabilitation (center)
and computer platform developed (right).
A graphic presentation was then developed of the three packages for each home to explain options to residents and installers (Fig.4 left). A survey subsequently assessed whether residents
were able to understand the presentation, appreciate the options available to them and whether they were willing to carry out the suggested measures. In three of the cases, retrofitting was
carried out funded by the house owners and in one low-income home (and its neighbour) financed by donations of private companies, such was arranged by the students collaborating in
the research project (Fig.4 center). This last case was monitored after the retrofit and was seen
to achieve the predicted performance improvements and meet the satisfaction of the owners,
although there were some construction difficulties during installation.
The analysis strategy was also developed into a computer implementation tool (Fig.4 right). This
could be used to help professionals record simulation results and calculate retrofitting packages.
This programme could also calculate estimates, according to demand levels proportional to the
floor area of the home and average percentages of energy use reductions for each solution. These
could be used to project possible solutions that may be useful to the general public.

New Designs
In order to review general design aspects (shape and location of the houses) that might affect the
environmental performance of dwellings in the zone, comparative simulations were carried out
on a hundred models with similar constructive and functional conditions but different geometric configurations and solar orientations (GARCIA, GONZALEZ; 2014). These configurations were
determined according to the main differences in form found in the records of existing houses
in the Concepcin zone with the same floor area and typical layout and material specifications.
The house models selected were all one or two storeys high, with compact, extended or irregular
shapes. A selection of detached, semi-detached and terraced houses was chosen with models
representing orientation towards all four cardinal directions (which generated certain symmetrical layouts). All the models had similar numbers of window openings (about 20% of outside wall
area) and higher heat transmittance in walls than roofs, as indicated in Chilean building standards
in place since 2007. The parametric analysis revealed few differences of comfort levels between

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the geographic position, which coincides with results from the homes in our study (in contrast
to general references and peoples perceptions). The one-storey house models gave better environmental performance results than the two-storey models (apparently due to have fewer wall
surface). Likewise, homes with party walls with neighbourhoods on one or both sides and simpler
geometric shapes enjoyed better comfort levels. When organised according to geometric characteristics, it was found that the greater the total outside wall length of the house models, the
higher the domestic energy demand. Hence, a two-storey, detached and irregular-shaped house
(most common in middle to high income sectors) would require almost three times more energy
than a one-storey terraced home with the same surface area and construction materials. This result reveals the influence of the urban typology and the overall architectural design decisions on
sustainable behaviour, without taking into account construction costs. In other words, with the
same budget, a more compactly designed home will offer much better energy performance and
comfort levels.

Fig.5. Examples of new designs of houses with better environmental performance (terraced, vertical
and extended models).
Additionally, a design experiment was carried out, based on the previously studied cases to improve energy performance, but using alternative house shapes that could offer enhanced performance and public acceptance. Three young architects with experience in house design and
simulation techniques were invited to design alternative projects for one of the real-estate mass
housing developments with good quality materials but high energy consumption rates. The proposals were made for a similar site, with the same number of rooms and construction specifications (Fig. 5). During this design process, the proposals were submitted for blind review on three
consecutive sessions by a panel of experts and another one with potential buyers from the general
public who gave graded assessments and recommendations to guide design development. Two
proposals achieved a high level of acceptance, but with medium performance improvements, using vertical or extended house forms. A third proposal received average acceptance from the panels while achieving considerable improvements in performance, with a more horizontal terraced
housing design. In all three cases, the designs were developed through individualised working
processes that integrated three-dimensional modelling, floor plan design and energy simulation.
For example, panel members repeatedly requested more visual relationships between different
rooms and with outside spaces. In all three cases, the designs were developed through individualised working processes that integrated three-dimensional modelling, floor plan design and
energy simulation. Overall, this process led to changes in the house designs that offered relevant
reductions in energy expenses and good acceptance by potential future buyers without any increase in building costs.

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Solar Energy Integration

The incorporation of solar energy into housing in Chile is still incipient, despite the good potential offered by solar irradiation received in the country (between 1.800 to 1.500 kwh/m2 annually
in the most populated zone). State programmes are beginning to be put in place to install solar
technology in new-build homes and foster electricity co-generation for privately-owned initiatives, usually involving adding rooftop equipment to the home or industrial installations. Urban
surveys carried out in some Chilean cities, such as Calama, Vitacura (in Santiago), Valparaso and
Concepcin, have detected significant potential contributions to domestic energy supply if integrated solar capture systems were to be installed in roofs (ARAYA et al, 2014; GARCIA et al, 2014b).
Although the energy collection and demand have seasonal and daily disparities that requires
storage or share. Some on-line maps (like msc.ubiobio.cl) are motivating solar systems installation in homes, providing specific recommendations according building features and estimated
demands (Fig.6).

Fig.6. Solar Map of Concepcion and information provided for a house.

In the city of Concepcin, in a review of housing models in developments built in the central commune since 2006 (representing 90% of total housing built over this period), a clear similarity in designs was detected (ZALAMEA, GARCIA; 2014), arising from the combination of public acceptance
and local building capacities. Estimates were then calculated for installing integrated equipment
on the largest and best-orientated roof section (covering approximately one quarter of total roof
area) using a couple of thermal and a dozen photovoltaic panels (or alternatively a number of hybrid thermal-photovoltaic panels). Dynamic simulations and standard calculations revealed that
average energy collected in each house could fully cover domestic electricity needs and supply
two-thirds of hot water and one-third of heating demands (according to domestic consumption
statistics verified on-site). However, there are substantial differences in roof design since some
house models are highly fragmented (with over five roof sections per home) and roof angles vary
between 25 and 50 (apparently due to cost factors and local customs). Thus, more regular roof
designs permit better system integration and achieve up to five times more solar energy capture
potential than less regular models. The available technology offers a range of possibilities that
can be combined to best respond to the range of patterns of domestic demand (Fig.7). However,
the considerable excess thermal heat and electricity production in summer periods would ideally
need to be fed into the urban supply grid. Daily variations in production would also require considerable storage capacity, either in tanks or batteries, which would increase system costs. In contrast, estimated winter supply is insufficient to cover demand. On the other hand, any investment
takes between five and twenty years to recuperate under current legislation and financial rates, a
factor that reduces the likelihood of implementing this technology.

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Fig.7: Comparison in a typical day of summer, spring/autumn and winter between hourly energy demand (red) and supply (blue) with different integrated solar systems in a roofs house.
Multi-family residential buildings have more limited roof capacity, so individual thermal energy
equipment was preferred that could be integrated into the hot water supply system and offer
more rapid investment returns with minimal visual impact (Fig.8 right). However, these roof-installed systems often suffer from inadequate maintenance care and are not really perceived by
users. The possibility of integrating solar capture systems into building facades is variable by solar
orientation, shape and material conditions, but there is capability for incorporating lightweight
photovoltaic panels. According initial surveys, this technology could be particularly relevant in
low-income sectors located on the peripheries of cities, where residents would most appreciate
the reduction in electricity costs and come to value alteration of building expressions by technological innovation and environmental awareness. However, residents would require collective
financial and technical support to implement such installations.

Fig.8. Test-bed of domestic solar technologies (left) and example of multi-family building with thermal
panels (right).
In order to evaluate installation and performance of different domestic technologies for solar energy collection and production, a test-bed has been implemented in a roof of university building
connected to storage tanks and batteries with a central monitoring station (Fig. 8 - left). Initial
results demonstrate efficiency close to literature and technical standards, even in cloudy days.
Besides, to provide examples of the possibilities offered by integrated solar energy capture with
good environmental performance in mass housing, one model was selected from the recent
real-estate developments that had both a functional layout and suitable passive strategies; although a partial change was necessary in the roof design. A dynamic simulation was carried out
to determine comfort within the home using typical construction materials and weather conditions of the zone. Integrated thermal and photovoltaic roof collection panels were modelled

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combined with air-cooling systems (to dissipate excess summer production) and heat-pump to
provide space heating. Preliminary estimations indicated that solar energy could supply all domestic energy demands and even produce enough additional electricity to supply a second home
with similar characteristics. Total costs would be about 10% of the house value, mainly involving
building modification and equipment, including provision of a new space for storage equipment,
batteries and heating system. These results suggest a real possibility for homes in the zone to be
both autonomous in their energy needs and could even produce surplus energy for other urban
activities. The designs were acceptable to the general public, required low maintenance costs and
offered potential for sustainable massive housing.

Conclusions
This study reviews the general conditions for housing in Chile. It highlights the development of
diverse public programmes and private housing initiatives and incipient concern on sustainable
building. Private developers have enjoyed sizeable participation in the housing market, providing
a significant proportion of homes for the countrys growing population and burgeoning economy. Geographical and social differences are visible in the country, with differences in single-family
housing types built with mixed materials (brick or concrete and timber) and residential blocks or
high-rise department buildings in concrete. Recent state regulations and environmental improvement programmes, including those involving renewable energy systems, are also mentioned. The
study then reviews data on the environmental performance of housing in Chile according to the
monitoring and resident consultation of ten homes in Concepcin. These proved to suffer from
high energy consumption rates with variable to poor thermal comfort levels in winter due to high
permeability and thermal transmittance through the building envelope. The common and unregulated use of firewood for space heating also leads to urban pollution problems in the south of
the country. A strategy is then presented for simulating energy performance and formulating retrofit packages. These measures are then implemented in three of the case studies with relatively
low financial investments providing substantial savings in energy demand and enhanced comfort
levels that were perceived positively by residents and increased the value of the property. A parametric modelling and design exercise is then presented for one housing development model,
showing the incidence of the morphology and terraced design on environmental performance.
This allows more sustainable home designs to be proposed without any cost increase. Lastly, the
possibility of inserting active solar collection systems on the roofs of housing developments and
facades of multi-family buildings is explored. This confirms that solar technology can provide a
significant contribution to home energy demand in middle latitude cities, notwithstanding the
technological and financial limitations.
This review of housing in Chile, as an example of a developing country, gives evidence of progress
being made through both private programmes for mass housing and state regulation. However, it
also reveals environmental weaknesses. There is significant possibility for improvement through
retrofitting and new designs, using more compact shapes, more insulated building envelopes
and integrating solar equipment, all of which could be used to come close to net-zero energy
use in mass housing. However, this perspective requires extensive participation from professional
sectors, the state and private developers. This could be achieved with measures including professional support, information and assistance to the public and model homes where the recommendations have been put into practice. Such actions could achieve better social awareness and
working knowledge and skills that would lead to more sustainable homes with suitable levels of
performance for most of the countrys population.

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Acknowledgements
This work has been carried out with support of research projects FONDECYT 112015 and AKA-ERNC
007, and participation of co-researchers, graduate students and residents of the houses studied.

References
AMBIENTE CONSULTORES LTDA. (AC) 2007, Programa de Inversin Pblica para Fomentar el Reacondicionamiento
Trmico del Parque Construido de Viviendas, 587-368-LE06, Santiago, Chile.
Araya D.; Carvajal D.; Saez-Carreno A.; Bensaid S.; Soto E, 2014, Assessing the solar potential of roofs in Valparaso
(Chile). Energy and Buildings 69, 6273.
American Society for Testing and Materials (ASTM), 2010, Standard Practice for Measuring Life-Cycle Costs of Buildings
and Building Systems, ASTM E917, American Society for Testing and Materials, USA.
BUSTAMANTE, W. 2009, Gua de Diseo para la Eficiencia Energtica de la Vivienda Social, Ministerio de Vivienda y Urbanismo, Divisin Tcnica de Estudio y Fomento Habitacional y Programa Pas de Eficiencia Energtica, Santiago,
Chile.
Cmara Chilena de la Construccin (CCHC), 2011, Balance de la Vivienda en Chile, Cmara Chilena de la Construccin,
Santiago, Chile.
CELIS, F. GARCIA R. TREBILCOCK, M. ESCORCIA, O. BRUSCATO, U. and DIAZ, M., 2012, Anlisis Energtico de las Viviendas
del Centro-Sur de Chile. Arquiteturarevista, 8:1, 62-75.
Corporacin de Desarrollo Tecnolgico (CDT), 2010, Estudio de Usos Finales y Curva de Oferta de Conservacin de la
Energa en el Sector Residencial, Corporacin de Desarrollo Tecnolgico, Santiago, Chile.
CHAMORRO, C., 2013, Poltica habitacional en Chile: Historia, resultados y desafos, Cmara Chilena de la Construccin,
Working Paper No. 72, Santiago, Chile.
CARASSUS, J., 2013, The implementation of energy efficient buildings policies: an international comparison, International Council for Research and Innovation in Building and Construction, Paris, France.
Comision Nacional de Energia (CNE), 2009, Antecedentes sobre la matriz energtica en Chile y sus desafos futuros,
Comision Nacional de Energia, Santiago, Chile.
DOSAL C. 2013, Eficiencia Energtica y Ambiental en el Sector Vivienda, revisin de Prcticas Nacionales e Internacionales, Fundacin Idea y Embajada Britnica, Mxico.
Garcia R; Herrera R.; Soto J: 2013, Dispersion del Comportamiento Energtico Residencial; Revisin de Casos en el
Centro-Sur de Chile; Architecture, City and Environment 8, 165-192.
Garcia R. and Gonzalez A, 2014, Condiciones de forma y desempeo energtico de viviendas unifamiliares en el centro-sur de Chile, Revista INVI Vol.29 N80, 111-141
Garca, R., Soto, J., Muoz J., Bobadilla, y Bustamante, W., 2014, Analysis of Energy-Efficiency improvements in Single-Familly Dwellings in Concepcin, Chile. Open House international. Vol 38 N2, 57-68
Garcia R., Wegertseder P., Baeriswyl S., Trebilcock M., 2014; A map of solar-energy in Concepcion: urban cartography of
energy consumption and solar capture for residential buildings in Concepcion, Chile, Norte Grande 59, 123-143
Zalamea E. and Garca R., 2014, Roof characteristics for integrated solar collection in dwellings of Real-Estate developments in Concepcion, Chile. Revista de la Construccin, vol.13, n.3, 36-44.

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International Conference | Bari - Lecce, Italy

Session VIII

A STUDY ON THE SIMULATION PERFORMANCE

OF PV DOUBLE SKIN FACADE (PV DSF)
JiSuk Yu1, SangMyung Kim2, JinHee Kim3 & JunTae Kim4
1 Dept. of Energy System Engineering, Kongju National University, Korea, [email protected]
2 Dept. of Architecture Engineering, Kongju National University, Korea, [email protected]
3 Green Energy Technology Research Center, Kongju National University, Korea, [email protected]
4 Dept. of Energy System Engineering, Kongju National University, Korea, [email protected]

Abstract
Recently, efforts to reduce cooling and heating loads in buildings are increasing globally. One
of methods to reduce cooling and heating loads is DSF (double skin faade). Double skin
faade provides thermal buffer zone which prevent outside air from reaching surface of building directly due to extra skin to external wall. Also, stack effect by natural ventilation occurs in
air-space between double skin and building; thus reducing the buildings cooling load by this
effect which decreases temperature inside double skin. Generally double skin consists of clear
glass. If PV is applied in spandrel portion of extra wall, air temperature inside the double skin
is increased by heat from the backside of PV. Consequently, cooling air flow occurs easily by
opening top and bottom vents of double skin. This air circulation promotes release of heated
air inside double skin; improving cooling and temperature reduction effects in buildings. In
addition, PV power generation will be increased. With this background, the purpose of this
study was to investigate the thermal performance and PV power generation of double skin
faade integrated with PV; using TRNSYS transient energy simulation program.
As a result, temperatures of both the external wall and cavity for the PV DSF, compared to the
DSF, were lower by 2C or less. This indicates that the integration of PV in building facades
allows greater gain of solar radiation and reduces the PV temperature rise.

Keywords
Double skin faade, PV, stack effect, TRNSYS, Building energy

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Introduction
A Building-Integrated Photovoltaic (BIPV) system is a renewable energy system that replaces conventional building materials with photovoltaic materials. It not only reduces material and construction costs, but also enhances building aesthetics. Another advantage is the more efficient
use of space since no installation area is required by the PV system.
Power generation by the BIPV system tends to increase the module temperature. In general, a
temperature increase of 1C in the PV module results in 0.5% reduced efficiency (Jin Hee Kim
2005:130). This leads to weaker BIPV performance and affects the amount of power generation in
the summer. To prevent the PV temperature from rising, ventilation is necessary for the back of
the PV.
A Double Skin Facade (DSF), one of the building envelope technologies, is a passive technology
that saves building energy and improves the internal environment. The facade acts as a thermal
buffer zone to minimize facade thermal loss during winter, and improves air quality and indoor
comfort for occupants through natural ventilation during summer.
A PV DSF can prevent the PV temperature from increasing by blocking solar radiation and introducing ventilation to the enclosed air space. PV power generation can be used to save electrical
energy for cooling/heating loads.
This study analysed the thermal characteristics of a PV DSF through simulation modelling and
compared the results with an existing DSF.

DSF and PV DSF

Model Design
For simulation performance analysis of PV DSF simulations, two models were designed, as shown
in Fig. 1. Clear glass was used as the facade for the existing DSF. On the other hand, for PV DSF,
clear glass was employed in the vision part and PV for the spandrel facade.
The PV facade of the vision part was located 0.5 m from the external wall, and the external wall
facing the cavity was composed of the vision part (clear glass) and the spandrel part (external
wall).
The internal office space was 226.8m3, and the cavity space in the double skin facade zone was
15.12 m3. The system was modelled as an open double skin facade subject to natural ventilation
conditions. To ensure natural ventilation, natural convection conditions were assumed by number of air change in the cavity space zone.
Based on adiabatic conditions specified under Korean Industrial Standards (KS), U-values were set
as listed in Table 1.

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Figure 1: Glass DSF and PV DSF concept

Table 1: Zone specifications
ZONE

Name
DSF
OFFICE

Wall type

Window type

Volume [m3]

Capacitance [KJ/K]

15.12

18.14

226.8

272.16

Thickness [m]

U-value [W/m2K]

External Wall

0.253

0.242

Ground Floor

0.35

1.805

Ceiling

0.29

1.547

Internal Wall

0.15

2.528

Internal Floor

0.046

3.169

DSF

0.0024

2.83

Part

Modelling conditions & methodology

This study used TRNSYS 17, unsteady analysis software, for a simulation analysis of DSF and PV
DSF. Thermal properties and building energy were compared under the same conditions.
The DSF and PV DSF building models were simulated using a Type 56 building component and a
Type 567 BIPV component, and climate data for Daejeon, South Korea was used.
In TRNSYS, the key BIPV parameters and input values were as listed in Table 2. The PV installation
area was 10.08m2, and 15% (1.5kWp) efficiency was assumed. The indoor cooling/heating temperature was set as 22C and 26C for winter and summer, respectively. The cavity space zone, subject
to natural convection conditions, had an air flow of 78 CMH (Ji Hye Lim 2010), and the number of
ventilations was 5/h in the cavity space zone.
Table 2: BIPV Parameter & Input value
Name

Value

Collector length

1.2m

Collector width

8.4m

PV efficient

15%

Incidence angle

90

Collector slope

90

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Analysis of Simulation Results

Temperature characteristic
Figs. 2 and 3 show temperature characteristics from the simulation results for the DSF model without PV.
As shown in Fig. 2, the maximum solar radiation in summer is 391.85W/m2 with outdoor temperature of 28.4C. In the DSF model, the external wall had a peak temperature of 41.63C, followed by
the cavity at 34.34C, approximately 6C higher than the outdoor temperature.
For the winter, as shown in Fig. 3, the highest external temperature is 5.8C. The solar radiation
rose to 770.66W/m2.
In winter, Glass.inside had the highest temperature of 17.4C, followed by External Wall, Cavity, and
Glass.outside. The maximum temperature of the cavity was 13.71C, or 8C higher than the external
temperature.
The analysis revealed more concerns for increased load caused by heat insulation during the
summer, when the cavity temperature rises significantly by solar radiation. In winter, however,
the cavity temperature is higher than the outdoor temperature, which is considered to be more
beneficial in terms of heating load.

Figure 2: Daily Temperature characteristics of Glass DSF (summer)

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Figure 3: Daily Temperature characteristics of Glass DSF (winter)

Figs. 4 and 5 show the daily temperature characteristics of the PV DSF model in summer and winter, respectively. From the results for the PV DSF model in Fig. 4, the external wall has the highest
temperature at 41.54C, followed by the cavity at 34.38C, which is 6C higher than the external
temperature.
In Fig. 5, the maximum temperature of the cavity is 13.79C, or 8C higher than the external temperature. Temperatures of both the external wall and cavity for the PV DSF, compared to the DSF,
were lower by 2C or less.
Despite the low solar radiation in summer, the back insulation conditions caused the PV temperature to rise to approximately 40C. In winter, the PV temperature was similar to that of the summer
even with the significantly higher amount of solar radiation.
This indicates that the integration of PV in building facades allows greater gain of solar radiation
and reduces the PV temperature rise.

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Figure 4: Daily Temperature characteristics of PV DSF (summer)

Figure 5: Daily Temperature characteristics of PV DSF (winter)

Temperature characteristics comparison
Figs. 6 and 7 present temperature comparisons for the cavity and the external wall of the two
models for three specific days in summer and winter. For both seasons, the PV DSF model had
a lower cavity temperature than the Glass DSF model. From the simulation results, it was found
that a maximum difference in cavity temperature of 1.51C in summer and 1.17C in winter, which
translates to the DSF model having slightly higher temperatures. This is because the reduced so-

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lar radiation in the PV DSF leads to less thermal energy being transferred from the facade to the
cavity It was means that the reduced cavity temperature of the PV DSF lessens the indoor cooling
load in summer, whereas the heating load were increased by reducing solar radiation in winter.
Therefore, in case of building with greater cooling load the PV DSF is more effective than the glass
DSF in load reduction.

Figure 6: Cavity & External Wall temperature comparison (summer)

Figure 7: Cavity & External Wall temperature comparison (winter)

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Cooling and heating load

Fig. 8 shows the annual indoor cooling and heating loads for the glass DSF and the PV DSF. In
winter, the heating load of the PV DSF was, on average 5.6%, higher than that of the glass DSF.
In summer, on the other hand, the cooling load of PV DSF was lower than that of glass DSF by
5.4% on average.
While the DSF transfers all of the solar radiation energy from the facade to the building, the PV
DSF generates electricity using solar power generation and only transfers the remainder to the
building. The temperature of the cavity, acting as a thermal buffer zone, is thus lower for the PV
DSF than the glass DSF. Therefore, the PV DSF is depended on the cavity temperature. That is disadvantageous in terms of heating load, but the reduced solar radiation in summer contributes to
a reduced cooling load.
The annual cooling/heating load of the PV DSF and the DSF was 8018.53kWh and 7801.42kWh,
respectively, which translates to the PV DSF model having a 217.12kWh higher load than the DSF.
However, the PV power generation in the PV DSF amounts annually to 1438.02kWh, corresponding to 18% of the cooling/heating load.
Finally, it was found that PV DSF can be saved building energy of 15% compared with existing DSF
through PV generation and reduced cooling load.

Figure 8: Monthly Load & PV Power

Conclusions
This study analysed the thermal characteristics and building energy performance of a PV DSF
through simulation modelling. It was found that the PV DSF model maintains lower cavity temperatures during both seasons compared to the DSF model due to solar-induced generation of
electricity. This model is thus more effective for the cooling load in summer, but not in terms of
the heating load in winter. The total annual energy was higher for the PV DSF model by a small
difference of 3%. It is considered that integration of PV into general DSF does not have a significant impact on building load.
The cooling load is greater than the heating load, in which building PV DSF is a better solution in
terms of preventing an increase of the cooling load by double skin, and may be more influential
when it comes to the cooling load. In particular, for PV power generation and prevention of PV

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temperature increase, DSF can be good installation site which provide advantage of solar radiation gain and PV back ventilation.
It was concluded that the integration of PV in building with DSF is useful in terms of the building
energy performance by blocking solar radiation in cooling season and contributing to PV power
generation.
As future work, in the context of the building energy performance of PV DSF buildings, in addition
to influence of load and change of thermal characteristics in relation to cavity space, length, and
PV type, PV power generation also should be considered.

Acknowledgements
Human Resources Program in Energy Technology of the Korea Institute of Energy Technology
Evaluation and Planning (KETEP) granted financial resources from the Ministry of Trade, Industry
& Energy, Republic of Korea (No. 20134010200540) and This research was supported by the New &
Renewable Energy Core Technology Program of the Korea Institute of Energy Technology Evaluation and Planning(KETEP) granted financial resource from the Ministry of Trade, Industry & Energy,
Republic of Korea (No. 20143010011910).

References
Dong-Su Kim, Jong-Ho Yoon, Kwang-Ho Lee, 2012, A Energy Performance Evaluation of Double Skin Faade system
with Transparent BIPV, KIAEBS, 10, pp. 145-150
Harris Poirazis, 2004, Double Skin Facades for Office Buildings, Division of Energy and Building Design Department of
Construction and Architecture Lund Institute of Technology Lund University, Report EBD-R04/3
Hassan Radhi, 2010, Energy analysis of faade-integrated photovoltaic systems applied to UAE commercial buildings
solar Energy, 84, pp. 2009-2021
Ji Hye Lim, Jang Yeul Sohn, 2010, Theoretical Review and Experiment on Applicability of Double Skin Faade Ventilated by Fans, SAREK, 10, pp. 605-613
Jinqing Peng, Lin Lu, Hongxing Yang, 2013, An experimental study of the thermal performance of a novel photovoltaic
double-skin faade in Hong Kong, Solar Energy, 97, pp. 293-304
Jin Hee Kim, Kang Rock Lee, Jun Tae Kim, 2005, Effects of Ventilation on the performance of Building Integrated PV
Solar Roof, KSES, 11, pp. 129-134
Jin Woo Moon, Ji Hyun Lee, Soo Young Kim, 2014, Application of control logic for optimum indoor thermal environment in buildings with double skin envelope systems, Energy and Buildings, 85, pp. 59-71
M.A.Shameri, M.A. Alghoul, K. Sopian, M. Fauzi M.Zain, Omkalthum Elayeb, 2011, Perspectives of double skin faade
systems in buildings and energy saving, Renewable and Sustainable Energy Reviews, 15, pp. 1468-1475
Wang PC, PhD Thesis, 2008, Natural Ventilation in Double-Skin Facade Design for Office Buildings in Hot and Humid
Climate, University of New South Wales, Australia
Wei Liao, Shen Xu, 2015, Energy performance comparison among see-through amorphous-silicon PV (photovoltaic)
glazings and traditional glazings under different architectural conditions in China, Energy, 83, pp. 267-275

A study on the Simulation Performance of PV Double Skin Facade (PV DSF)

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International Conference | Bari - Lecce, Italy

Session IX

IMPROVING THERMAL COMFORT IN LOW-INCOME

TROPICAL HOUSING: THE CASE OF UGANDA
Arman Hashemi1, Heather Cruickshank2, Ali Cheshmehzangi3
1 Centre for Sustainable Development, Department of Engineering, University of Cambridge, Cambridge, UK,
Email: [email protected]
2 Centre for Sustainable Development, Department of Engineering, University of Cambridge, Cambridge, UK,
Email: [email protected]
3 The University of Nottingham Ningbo China, Ningbo, China, Email: [email protected]

Abstract
The average temperature in East African countries is estimated to rise by 3-4 C during the
next 70 years due the global warming. Uganda is one of the East African countries which will
be greatly affected by the global warming. Due to their vulnerable living conditions, low-income people will be hit the worst by the consequences of climate changes. Around 38% of
Ugandas population live below the international poverty line of $1.25 a day and more than
60% of the countrys urban population live in slums. On the other hand, due to various social and practical reasons, sustainable locally available construction methods and materials,
such as adobe and thatched roofs are being gradually replaced with environmentally harmful
materials such as concrete and iron sheet roofs. This situation in addition to imminent thermal discomfort caused by the global warming as well as defective design and inappropriate
construction methods may considerably affect the health and wellbeing of low-income people the majority of whom live in substandard overcrowded homes. This paper evaluates the
effects of different construction methods and materials on the risk of thermal discomfort in
low-income houses in Uganda. Dynamic thermal simulations are conducted in EnergyPlus
and adaptive model Category II, defined in BS EN 15251, is used for the thermal comfort evaluations. The results reveal that roof construction methods/materials are the key factor in reducing or increasing the risk of thermal discomfort in low-rise naturally ventilated buildings
in tropical climates. Compared to iron sheet roof, thatched roof provided up to 15 times better
conditions by reducing the number of hours during which internal operative temperature
exceeded the limiting maximum acceptable temperature. Hollow concrete block walls with
iron sheet roof was found to be the worst construction method which dramatically failed all
three thermal comfort criteria defined by CIBSE TM52.

Keywords
Thermal Comfort, Natural Ventilation, Low-income Housing, Tropical Housing, Uganda.

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1. Introduction
Located in East Africa, Uganda occupies an area of 241,038 square kilometres (Byakola 2007) and
has an estimated population of around 39 million (UNDESA 2014). The climatic conditions in
Uganda vary greatly from hot arid climate to tropical equatorial uplands. Local climates also vary
greatly depending on the altitude and rainfall (EMI 2012). Overall, Uganda has a tropical climate,
moderated by an average altitude of 1100 meters above the sea level (ACTwatch Group and PACE/
Uganda 2013), with two rainy seasons and mean annual rainfall of 750-2000mm (Byakola 2007;
UBOS 2006).
The mean annual temperature of the most parts of the country varies between 16 C and 30 C;
however, Northern and Eastern parts of the country may experience temperatures higher than
30 C and the temperature in South Western part may get below 16 C (UBOS 2006). The average
temperature in East African countries is estimated to increase by 3-4 C during the next 70 years
due the global warming (EMI 2012). The current situation has raised concerns over thermal comfort conditions of Ugandan low-income populations the majority of whom live in overcrowded
and poor quality houses with very limited or no access to basic facilities. In fact, due to their vulnerable living conditions, low-income people will be hit the worst by the consequences of climate
changes.
Around 38% of Ugandas population live below the international poverty line of $1.25 a day and
more than 60% of the countrys urban population live in slums (Malik 2014; EPRC 2013). Furthermore, only less than 15% of Ugandan households have access to electricity. The situation is much
more critical in rural areas as only around 5% of rural households have access to electricity compared with around 55% in urban areas (UBOS 2012). This is while around 85% of the population
lives in rural areas (UN-HABITAT 2009).
In fact, considering the negligible operational energy (space heating and cooling) of low-income
housing sector, embodied energy is currently the key factor in evaluating the environmental impacts of low-income houses (Hashemi et al. 2015). However, the gradual replacement of sustainable locally available construction methods and materials, such as adobe, mud and poles (wattle
and daub) and thatched roofs with environmentally harmful and low thermally resistant materials
such as concrete and iron sheet roofs may not only increase the embodied energy but also deteriorate thermal comfort conditions in low-income housing sector.
This situation in addition to imminent thermal discomfort caused by the global warming as well
as defective design, inappropriate construction methods and poor workmanship may considerably affect the health and wellbeing of low-income people. To this end, this paper intends to assess
the effects of various construction methods and materials on the risk and the extent of thermal
discomfort in low-income naturally ventilated tropical housing in Uganda.

2. Housing types, conditions and construction methods

Detached houses are the most common housing type in Uganda (58%) followed by huts (21.5%)
and tenements (18.4%) (Table 1). According to the national surveys in 2002, 27% for Ugandan families lived in room/rooms dwelling types. This figure was 62% in urban and 21% in rural areas of
the country (UBOS 2006). In 2005/06, over 50% of Ugandan families lived in single-roomed houses
(NPA 2010).

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Table 1: Share of dwelling types in Uganda (UBOS 2010).

Dwelling Types

Year 2009/10
Urban (%)

Rural (%)

Uganda (%)

Detached

30.2

64.4

57.9

Huts

6.2

25.1

21.5

Tenements

58

9.2

18.4

Others

5.7

1.4

2.2

Moreover, in 2010, around 62% of urban and 42% of rural families used only one room for sleeping
(UBOS 2012). Considering the average household size of 5 people (3.9 people in urban and 5.2 persons in rural areas) (UBOS 2010), it could be argued that the number of sleeping people in almost
half of Ugandan households is 4 or more people which is considerably more than the international standards. Such conditions could greatly affect the health and wellbeing of the occupants
contributing to issues such as poor indoor air quality and increased risk of infectious and transmissible diseases (UBOS 2012). Table 2 below shows the average household size and the number
of rooms used for sleeping in urban and rural areas of Uganda. According to these data, it could
be argued that there is a tangible transition of material use in Ugandan rural and urban housing,
where the growing demand is towards iron sheet roofs and brick walls for construction of houses.
Table 2: Household size and the number of rooms used for sleeping (UBOS 2010; UBOS 2012).
Indicator

Year 2009/10
Urban (%)

Rural (%)

Uganda (%)

3.9

5.2

One

62.3

42.0

45.8

Two

21.9

30.2

28.7

Three or more

15.1

27.2

24.9

Missing

0.7

0.6

0.6

Average household size

Rooms used for sleeping

Figure 1 below also summarises the most common construction methods and materials used in
housing projects during 2002-2010. In 2010, around 62% of homes in Uganda (84% in urban areas
and 57% in rural areas) were roofed with iron sheets (Figure 2) followed by thatched roof which
took a share of 37%. Around 57% (84% urban and 51% rural) of all dwellings had brick walls and
39% (12% urban and 46% rural) were made out of mud and poles. More than 71% of floors were
made from earth (25% urban and 82% rural) and 27% (71% urban and 17% rural) were covered with
cement (NPA 2010; UBOS 2010).

Improving thermal comfort in low-income tropical housing: the case of Uganda

615

Figure 1: Construction methods and materials (%) (NPA 2010; UBOS 2010).

Figure 2: low-income housing with iron sheet roofing.

3. Research Methodology
Dynamic thermal simulations are conducted in EnergyPlus software programme to assess the
current conditions as well as the effects of material alternations on thermal comfort conditions.
Prevailing walling methods and materials including adobe, burned bricks, stabilised soil blocks,
solid concrete and hollow concrete blocks are simulated for a fixed wall thickness of 200mm. Simulations are also carried out for common roofing types (i.e. iron sheet and thatched). Ten combination scenarios are therefore simulated in total (five walling materials and two roofing systems).
Available information in CIBSE Guide A (CIBSE 2015) and in (Perez 2009) are used to define the
materials properties shown in Table 3. A design air change rate of 10 ACH is considered as the
maximum air infiltration in the building.
Table 3: Material properties used in the simulations.
Thermal Conductivity (W/m.K)

Thickness (m)

0.6

0.200

0.200

Hollow Concrete Block

0.86

0.200

Solid Concrete Block

1.31

0.200

Stabilised Soil Block

1.1

0.200

Iron sheet roof

37

0.003

Thatched roof

0.07

0.150

Concrete floor

1.31

0.100

Material
Adobe
Brick

Based on the statistical information described above, a 3x3x3m single-roomed house with four
occupants was modelled as the representative of low-income housing in urban areas of Uganda.
A 2x1m door and a 1x1m single glazed window with effective opening area of 80% were also considered. The occupancy pattern was defined as fully occupied during 6pm-8am and 1 occupant
during 8am-6pm. The occupants behaviours in terms of opening and closing the windows and
doors were also defined as: windows open 6:30am-6:30pm; doors open 7am-8pm (Olweny 1996).
For the weather data, Kisumu in Kenya was used as the closest city to Kampala and as there are no
available weather data for thermal simulations in Uganda. Similar to Kampala, Kisumu is located

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on the shore of Lake Victoria and its altitude is almost the same as Kampala.
Adaptive model Category II, defined in BS EN 15251 (BSI 2007) was considered for thermal comfort
evaluations in the case study building. The following overheating criteria defined in CIBSE TM52
(CIBSE 2013) were also used to evaluate the risk of thermal discomfort:
1. C
riterion 1: maximum 3% of occupied hours during which indoor operative temperature can
exceed the maximum acceptable temperature by 1 K or more (T= Top - Tmax rounded to the
nearest number).
2. Criterion 2: dailyweighted exceedance(We) in any one day should not be more than 6 (degree-hours).
3. Criterion 3: this criterion set the absolute maximum temperature level (Tupp) where the indoor operative temperature should not at any time exceed 4 K above the maximum acceptable adaptive temperature (T <= 4 K).

4. Results of Simulations
According to the results, an average indoor operative temperature of around 26 C would be the
ideal comfort temperature in free-running, naturally ventilated buildings in Uganda. It should
be noted that due to the rather consistent weather conditions, comfort temperature does not
change dramatically throughout the year. The average maximum acceptable indoor temperature
was also defined as around 29 C. In hotter months of the year, however, a maximum indoor temperature of up to 30.8 C was also found to be acceptable.
Table 4 summarises the results of the simulations. The results reveal that the most critical factor
affecting occupants thermal comfort in naturally ventilated homes in Kampala is the roof construction method/material. The thermal performance of different walling and roofing methods
are explained in detail in the following sections.
Table 4: Summary of thermal comfort conditions for different construction methods and materials.
Criterion 1
(T over 1 K)

Criterion 2
(Daily degree-hours over 6)

Criterion 3
(times T over 4 K)

Adobe & Iron Sheet Roof

8.41%

65

Adobe & Thatched Roof

0.57%

Brick & Iron Sheet Roof

7.95%

56

TM 52 Criteria

Brick & Thatched Roof

0.84%

Hollow Concrete Blocks & Iron Sheet Roof

13.69%

148

39

Hollow Concrete Blocks & Thatched Roof

3.24%

15

Solid Concrete Blocks & Iron Sheet Roof

7.02%

45

Solid Concrete Blocks & Thatched Roof

0.75%

Stabilised Soil Blocks & Iron Sheet Roof

7.51%

49

Stabilised Soil Blocks & Thatched Roof

0.83%

4.1 Adobe walls with iron sheet/thatched roof

Adobe walls with iron sheet roof failed all three TM52 thermal comfort criteria. Regarding the first
criterion, the indoor operative temperature was for 8.4% of the occupied periods by 1 K or more
above the limiting maximum acceptable temperature. The building also failed criterion 2 (the daily weighted exceedance We) as for 65 days (17.8% of occupied days) We exceeded the limit of 6 degree-hours. As to criterion 3 (T exceeding 4 K), the results reveal that there were six hours during
which T exceeded the upper limit temperature (Tupp). The situation considerably improved for

Improving thermal comfort in low-income tropical housing: the case of Uganda

617

adobe walls with thatched roof. The building passed both criterion 1 (0.6%, 1 K or more above the
maximum acceptable temperature) and criterion 3 (T, 0 hours exceeding Tupp) but marginally
failed criterion 2 by only 3 days during which We exceeded the limit. Overall, the building seemed
to be much more thermally comfortable compared to the previous roofing method (iron sheet
roof ). Figure 3 shows the thermal performance of the building during the entire year for thatched
and iron sheet roofs with adobe walls.

Figure 3: Thermal comfort condition for adobe walls with iron sheet (top) and thatched roofs (bottom).
4.2 Brick walls with iron sheet/thatched roof
The results of simulations revealed that adobe and brick walls had similar performances although
brick walls performed marginally better than adobe walls with iron sheet roof and slightly worse
than adobe walls with thatched roof. Similar to adobe, brick walls with iron sheet roof failed in all
three thermal comfort criteria. The building was thermally uncomfortable as the indoor operative
temperature was in 8% of the occupied periods above the maximum acceptable levels. Moreover,
for 56 days, We exceeded the acceptable limit. Regarding the third criterion, there were two days
during which T exceeded the maximum acceptable temperature by more than the 4 K. Similar
to adobe construction, the situation considerably improved for the thatched roof. The building
passed criterion 1 and criterion 3 but failed in criterion 2 as there were 5 days during which We
exceeded the acceptable limit. Figure 4 summarises the results of simulations for brick walls with
iron sheet and thatched roof constructions.

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Figure 4: Thermal comfort condition for brick walls with iron sheet (top) and thatched roofs (bottom).
4.3 Hollow concrete block walls with iron sheet/thatched roof
Hollow concrete block walls had a very poor performance in terms of thermal comfort. This was
despite the fact that the thermal conductivity of hollow concrete blocks (0.86 W/m.K) was lower
than brick walls (1 W/m.K). The results indicated that hollow concrete block walls failed to satisfy thermal comfort criteria regardless of roofing types. The situation, however, was considerably
worse for the iron sheet roof. According to the results, for hollow concrete block walls with iron
sheet roof, the building was thermally uncomfortable for 13.7% of the occupied periods which is
significantly higher than the 3% acceptable level. Moreover, We exceeded the acceptable limit
in 148 days which is around 41% of the entire year. The maximum value for We was reported on
the 24th of January with a value of 35 C.hr (degree-hours). The building also failed criterion 3 as
there were 39 hours/incidents during which T exceeded the upper limit temperature (Tupp).
Figure 5 summarises the results of simulations for hollow concrete block walls with iron sheet and
thatched roof construction methods.

Improving thermal comfort in low-income tropical housing: the case of Uganda

619

Figure 5: Thermal comfort condition for hollow concrete block walls with iron sheet (top) and thatched
roofs (bottom).
4.4 Solid concrete block walls with iron sheet/thatched roof
Solid concrete block walls had a comparable performance with adobe and brick walls. According to the results, the thermal performance of solid concrete block walls was slightly better than
adobe and brick walls with iron sheet roofing system and slightly worse than adobe walls with
thatched roof. Similar to other walling methods, solid concrete block walls with iron sheet roof
failed in all three TM52 thermal comfort criteria; however, thermal performance of the building
improved considerably with the thatched roof. For the iron sheet roof, the building was thermally
uncomfortable during 7% of the occupied periods and We exceeded the acceptable limit for 45
days. Moreover, there were two hours during which T exceeded the 4 K limit. For the thatched
roof construction, the building passed criteria 1 and 3 but failed criterion 2 by five days during
which We exceeded the acceptable limit. Figure 6 summarises the results of simulations for solid
concrete block walls with iron sheet and thatched roofs.

Figure 6: Thermal comfort condition for solid concrete block walls with iron sheet (top) and thatched
roofs (bottom).
4.5 Stabilised soil block walls with iron sheet/thatched roof
Stabilised soil blocks had a similar performance to solid concrete blocks, adobe and brick walls.
Similar to all other walling methods/materials, thatched roof had a considerably better performance compared to iron sheet roof. For the iron sheet roof, the buildings was found to be for 7.5%
of the occupied periods uncomfortable (criterion 1). We was also above the acceptable limit of 6
for 45 days. Regarding criterion 3, T also exceeded the 4 K limit for two days. Criteria 1, 2 and 3
were respectively reduced to 0.8%, 5 days and 0 days for stabilised soil block walls with thatched
roof meaning that the building passed criteria 1 and 3 but failed to meet the requirements for
criterion 2. Figure 7 compares the thermal comfort conditions for stabilised soil block walls with
thatched and iron sheet roofs.

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Figure 7: Thermal comfort condition for stabilised soil block walls with iron sheet (top) and thatched
roofs (bottom).

5. Conclusions
This paper evaluated the effects of various construction methods on thermal comfort in low-income tropical housing in Uganda. Dynamic thermal simulations were conducted in EnergyPlus
and the risk of thermal discomfort in naturally ventilated buildings was assessed for different walling and roofing methods. According to the results, an average internal operative temperature of
26 C would be an ideal comfort temperature in free-running buildings in Kampala. The maximum
average internal temperature was also defined as 29 C. The comfort and maximum temperatures
could however vary by up to 1.8 C depending on the running mean outdoor temperature.
According to the results of the simulations, roofing method/material is the most critical factor
affecting thermal comfort conditions in low-rise free-running buildings in tropical climate of
Kampala. The results reveal that, compared to iron sheet roof, thatched roof improved thermal
comfort conditions by up to 15 times for criterion 1 of CIBSE TM52 guidelines. In other words, the
risk of overheating (frequency of thermal discomfort), was reduced by up to 15 times when iron
sheet roof was replaced with thatched roof. The two other criteria defined by CIBSE TM52 were
also improved considerably for the thatched roof construction. Therefore, it could be argued that,
when it comes to construction materials, improving thermal performance of the roof is key to
improving thermal comfort in naturally ventilated buildings in tropical climates.
Although important, walling materials were found to be less critical compared to roofing methods. The results of this study revealed that the thermal performance of different walling materials, with the exception of hollow concrete blocks, were almost identical. Hollow concrete block
walls performed the worst in terms of providing thermal comfort. This was despite the fact that
the thermal conductivity of hollow concrete blocks was considerably lower than solid concrete
blocks, bricks and stabilised soil blocks. A possible reason for this is the much less thermal mass of
hollow concrete blocks compared to the rest of the walling materials.
In summary, low thermal conductivity of the roof along with high thermal mass proved to be

Improving thermal comfort in low-income tropical housing: the case of Uganda

621

the key factors in reducing the risk of thermal discomfort. The priority, however, should be given
to the roof as it is critical in achieving acceptable thermal performance in tropical climates. This
research concentrated on the thermal performance of common construction methods and materials in Uganda. Further research is required to evaluate the effects of ceilings and insulation
levels as well as emissivity and solar absorptance rates of the roofs on thermal comfort conditions.
A sensitivity analysis is also required to evaluate the effects of various parameters such as occupancy patterns/behaviours, shadings, ventilation rates and strategies and thermal condustivity
values on the thermal performance/comfort in low-income houses in Uganda.

Acknowledgements
This work is funded through an EPSRC research programme, Energy and Low Income Tropical
Housing, grant number: EP/L002604/1.

References
ACTwatch Group, and PACE/Uganda, 2013, Household Survey, Uganda, 2012 Survey Report, Washington, DC, Population Services International.
BSI, 2007, BS EN 15251: 2007: Indoor environmental input parameters for design and assessment of energy performance of buildings addressing indoor air quality, thermal environment, lighting and acoustics, British Standards
Institution, London, UK.
Byakola, T., 2007, Improving Energy Resilience in Uganda, Helio International <http://www.helio-international.org/
Uganda.En.pdf> retrieved on April 7, 2015.
CIBSE, 2013, CIBSE TM52: 2013: The limits of thermal comfort: avoiding overheating in European buildings, Chartered
Institution of Building Services Engineers (CIBSE), London, UK.
CIBSE, 2015, Guide A: Environmental Design, Chartered Institution of Building Services Engineers (CIBSE), London, UK.
EMI, 2012, Architectural Design Guide, Engineering Ministries International East Africa, Kampala, Uganda.
EPRC, 2013, Uganda 2013 FinScope III Survey Report Findings, Unlocking Barriers to Financial Inclusion, Economic
Policy Research Centre, Kampala, Uganda.
Hashemi, A., Cruickshank, H., and Cheshmehzangi, A, 2015, Environmental Impacts and Embodied Energy of Construction Methods and Materials in Low-Income Tropical Housing, Sustainability, 7(6), pp. 7866-7883.
Malik, K., 2014, Human Development Report 2014, Sustaining Human Progress: Reducing Vulnerabilities and Building
Resilience, United Nations Development Programme, New York, USA.
NPA, 2010, National Development Plan (2010/11-2014/15), National Planning Authority, Kampala, Uganda.
Olweny, M. R. O., 1996, Designing a Satisfactory Indoor Environment With Particular Reference to Kampala, Uganda,
MSc Dissertation, The University of Adelaide, Australia.
Perez, A., 2009, Interlocking Stabilised Soil Blocks, Appropriate earth technologies in Uganda, HS/1184/09E, United
Nations Human Settlements Programme, Nairobi, Kenya.
UBOS, 2006, 2002, Uganda Population and Housing Census, Analytical Report, Uganda Bureau of Statistics, Kampala,
Uganda.
UBOS, 2010, Uganda National Household Survey 2009/10, Uganda Bureau of Statistics, Kampala, Uganda.
UBOS, 2012, Uganda Demographic and Health Survey 2011, Uganda Bureau of Statistics, Kampala, Uganda.
UNDESA, 2014, World Urbanization Prospects, The 2014 Revision, United Nations, Department of Economic and Social
Affairs, New York, USA.
UN-HABITAT, 2009, Country Programme Document 2008-2009, Uganda, United Nations Human Settlements Programme (UN-HABITAT), HS Number: HS/1112/09E, United Nations Human Settlements Programme, Nairobi, Kenya.

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International Conference | Bari - Lecce, Italy

Session IX

CLAM LIFE MECHANISM: INSPIRED DESIGN

STRATEGIES FOR BETTER BUILDING
PERFORMANCE
Asma Al Ansari1 & Hasim Altan1
1 Sustainable Design of the Built Environment, Faculty of Engineering & IT, British University in Dubai, UAE,
[email protected] / [email protected]

Abstract
The paper aims at attaining the optimum comfort level for an existing project by employing
several design strategies gained from a natural living concept. These strategies are imitated
from a natural concept through a process called biomimicry. For this study, the ideas and
strategies are derived from the giant clam (Tridacna Gigas) life mechanism. The Tridacna Gigas
(TG) was assigned as the natural concept including features, functions and anatomical parts,
imitating to solve thermal design problems arising in a building space. TG is a large living
bivalve mollusk, consisting of shell, mantle tissue and the zooxanthellae colonies. The clam
mantle tissue consist of Iridophores Cells that acts as solar reflector; non Photosynthetic pigments that acts as sunscreen and UV shields to block the excessive amount of UV radiation;
and Photosynthetic pigments that absorbs the solar energy and converts to chemical energy
to feed the clam. All of these lessons were imitated and implemented as design strategies
in Al Manahil cafe restaurant located in Dubai, UAE. The cafe restaurant is oriented toward
the east, consisting of 19 outdoor and 28 indoor seating, 2 washrooms, 2 dishwasher areas, a
preparation area, and 2 entrances. It was redesigned in order to achieve the maximum thermal comfort levels inside the space. This was possible by implementing strategies derived
from the clam life mechanism lessons, i.e. through iridophores cells reducing the amount of
light entering the space by 48% with the use of light shelves; through non-photosynthetic
pigments achieving reduction on the amount of heat entering the building by 53% with the
use of double glazing; and through photosynthesis pigments reducing the electrical energy
by 4.25% with the use of photovoltaic cells. Moreover, the use of computer simulation helped
to carry out analysis for evaluating thermal performance before and after these strategies
were adopted in the building refurbishment, which has been also presented in this paper.
The design strategies gave rise to light shelves, double glazing, and photovoltaic cells, which
resulted in improving the indoor environmental quality of the space.

Keywords
Biomimicry, Tridacna Clam, Thermal Performance, Design Strategies, Building Simulation,
Sustainable Refurbishment.

623

Introduction
Developing the indoor thermal environment of Dubai Manahil cafe restaurant by implementing
basic strategies derived from the giant clam Tridacna Gigas life mechanism. The aim of this project is to attain the optimum comfort level for an existing project in terms of thermal comfort by
employing several design strategies gained from a natural living concept. The Tridacna Gigas was
assigned as the natural concept for this study; the main features, functions and even the anatomical part of this species were imitated to solve thermal design problems arising at the Manahil
cafe restaurant. The study aims at modifying the existing case study design defaults and improving the quality of the space through thermal performance analysis. Through the thermal analysis
study, we can figure out the thermal quality results for the space before and after the application
of design strategies. Therefore, the paper presents a study to attain the optimum thermal comfort
level for this cafe restaurant by imitating the function of the clams mantle tissue, e.g. by using the
maximum daylighting, reducing the heat flow, and using the natural ventilation. This process is
also called biomimicry.

Figure 1: Biomimicry (Doan 2012)

Biomimicry is defined as the art and science of imitating natures ideas, in order to solve human
problems. Biomimicry is imitating a natural concept life mechanism. It is derived from the Greek
were bios, stands for life and mimesis means to imitate (Vierra 2014). The designers come up with
a natural concept, study the natural concept and they basically derive some strategies and ideas
from this natural concept. The ideas are either derived from the natural concept anatomical or
functional part, these ideas are developed and then applied on the designers case study. The

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main goal behind this process is to achieve the most effective sustainable results. For this report
the ideas and strategies are derived from the Tridacna Gigas life and are applied in Al Manahil cafe
restaurant, located in Dubai. The main purpose for the Tridacna Gigas strategies was to achieve
the thermal comfort in an existing building (cafe restaurant).

Methodology
The research data was collected through an extensive literature review using various journals,
online articles, and existing case studies. Numerical statistics and graphs were used to support
the reports on final results. All the data used are examined by scientists and doctors from various
fields, and reported by journalists, APTMA association and environmental performance index. The
final results were achieved by the use of Autodesk Ecotect Analysis software.

Natural Concept
Tridacna Clam
Tridacna clam is the largest living bivalve mollusk, is very famous for its features, functions and
environmental behavior. Each feature in this clam body has a huge function. According to Cohen (2014), M[m]imicking the micron-scale structures within the clams iridocytes and algal pillars
could lead to new approaches for boosting the efficiency of photovoltaic cells without having to
precisely engineer structures on the nanoscale.
Habitat
Giant clams occupy coral reef habitats, typically within 20 meters of the surface. This clam is found
in shallow lagoons and reef flats. According to Taxonomy (2013), the giant clam feeds through two
ways (i) by filtering water through the incurrent siphon and (ii) by creating symbiotic relationship
with the zooxanthellae algae for the source of food and energy.
Geographic Range
Tridacna Gigas are found throughout the Tropical Indo-Pacific oceanic region Nicobar Islands, Fiji,
China seas and the Australian northern coasts.

Clams Anatomy
The Tridacna Gigas clam consists of visible and invisible body part. When the clam shell opens,
only the mantle, the shell and the siphons can be viewed. The rest of the body parts are not exposed and cannot be viewed. Big Tridacna Gigas cannot close their shell completely; the mantle
tissue is always exposed. The mantle is brownish-yellow in color. The diagram below shows the
clams invisible body parts.
Visible Body Parts
Clam Shell: Under the observable body parts we see clam shell and the mantle tissue. The Tridacna clam consist of two shells, thick and heavy located on the left and on the right side of the
clam, these shells are joined together by a small hinge positioned in the center of the animals upper surface (Shimek 2001). The two valves are partially covered by four to five large inward facing
triangular ribs and outward projected folds. Between these two shells, a tissue can be seen with
the structure called the mantle (Taxonomy 2013).

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The Tridacna Gigas consist of four to five shell folds, this folds distinguish these folds are used
in distinguishing the Tridacna Gigas clam from the rest of the clams. The other clams have six
to seven folds only. The clam shell is composed of calcium carbonate. This calcium carbonate is
produced by the Zooxanthellae. The Zooxanthellae located in the clam are capable of producing
massive calcium carbonate shell.
Clam Siphons: Part of the clam anatomical structure is the clam siphon. Giant clams consist of
two siphons, the exhalent siphon and inhalant siphon Siphons can be found in salt water clams
and in fresh water clams. The siphons are tubular in shape; they are used to draw water in and out
of the clam. The water drawn inside the clam is used for several purposes, e.g. locomotion, feeding, respiration, and reproduction. The inhalant siphon helps the clam to move deep in seawater
and filter the planktonic food. The exhalent siphon helps the clam to draw the filter water out to
the environment (Taxonomy 2013).
Clam Mantle: According to Fatherree (2012) the mantle tissue acts as solar collector, on the day
time the clams spread out their mantle tissue to absorb the maximum sunlight. The light enters
the mantle and penetrates through the ocelli; the ocellis are lens like structure. This light entering
the mantle is either absorbed by the zooxanthella to photosynthesize or reflected back by the
iridophores cells to protect the clam from the excessive UV radiation. Color and pattern of the
Tridacna mantle depends upon the viewing and/or lighting angle (Fatherree 2007).
Iridophores Cells
The clams mantle tissue consist of cells called iridophores. These iridophores cells are distributed
on the outer layer of the mantle tissue, in order to cover and protect the zooxanthellae colony.
These cells are either oval or spherical in shape filled with rows of reflecting platelets and a round
nucleus. The iridophores reflecting platelets are rectangular in shape with a uniform thickness in
each cell. The thickness of these platelets ranges from 80nm to 120nm, and are placed in parallel
rows facing one direction in order to form a broad reflecting plane. The iridophores, monochromatic coloration depends on their anatomical structure (Kamishima 1990).
According to Cohen (2014), the iridophores cells have three main functions. Firstly, these reflective cells protect the clams mantle tissue by acting as sunscreen, reflecting back excessive UV
radiation. Secondly, these cells are used in redirecting the solar photons deep down the mantle
tissue in order to provide uniform lighting for the algae to supply the clam with photosynthesis.
Thirdly and finally, the iridophores cells consist of iridocytes, these iridocytes cells distribute only
the useful light wavelength the mostly in a cone like distribution pointing deeper into the clams
tissue in order, to reach the Zooxanthellae.
Non-photosynthetic Pigments
In Tridacna, bulks of zooxanthellae (single celled algae) are piled on the clams mantle tissue forming thin sheets. The zooxanthellae are formed in pillars and are oriented in the opposite direction
if they want to catch sunlight, the iridocytes cells helps in transmitting sunlight to the algaes.
According to Fatherree (2007), this pigments act as sunscreen and UV shields. They are used to
block the excessive amount of UV radiation and eliminate the light that can decrease the photosynthesize process.
Photosynthetic Pigment
This type of pigment performs photosynthesize, by absorbing the solar energy and converting
this solar energy in to chemical energy to feed the clam, This type of pigments are used to reflect

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the harmful wavelength and are also used in converting the unusable light to usable light (Fatherree 2007). For example, a specific pigment may absorb less-suitable violet light and then give
off (reflect or fluoresce) blue light, which can then be used by the zooxanthellae to produce more
food. Likewise, one pigment may actually absorb unusable near-UV light and emit violet light,
which is then absorbed by another pigment that emits usable blue light (Fatherree 2007:55).

Invisible Body Parts

The diagram below shows the unobservable parts of the clam body. The clam body parts are covered with a shell. This shell protects the clam body part from any harm. The below figure expose
the invisible body part of the clam. The clam body parts are visible only after removing the shells
(Fig.2).

Figure 2: Clam anatomy (Rosemary 2014)

Case Study and Analysis

Al Manahil cafe restaurant is the case study taken for this report. Al Manahil cafe restaurant is
located in Downtown, Dubai, attached to Al Manzil hotel. This cafe restaurant is located in mid of
the town, on a main street, and surrounded by many landmarks e.g. souks and hotels. The cafe
restaurant is occupied by both, the guest hotel and outsiders. This cafe restaurant is occupied
through day and night, without any specific peak hours.
The case study selected for this study is a cafe restaurant building. This cafe restaurant is located
in the United Arab Emirates (UAE), Dubai. Dubai is located within the Northern desert belt, with a

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tropical desert climate. Dubai summers are very hot, humid and sunny, on day time the average
high reaches to 40C (104F) and sometimes even higher than 40C, and at night the temperature
falls to 30C (86F). On the other hand, winter days are short and warm with an average temperature of 23C and overnight falls to 14C. Dubai weather can bring short and irregular rainfall from
December to March (Holiday-Weather 2014). The most comfortable climatic condition period in
Dubai is between Decembers to March. The overall climatic conditions in Dubai are indicated in
Figure 3 below.

Figure 3: Dubai climate (Climate Consultant 5 2014)

As can be seen in above graph (Fig. 3), Dubai temperature ranges throughout the year with August and July the temperature rise above 40C, which is above the comfort zone.
From the below graph (Fig. 4), it can be seen that in May the global horizontal radiation reaches
to 578 wh/sq.m, in October the direct normal reaches to 575 wh/sq.m, and in April the diffused
radiation reaches to 172 wh/sq.m.

Figure 4: Dubai hourly averages (Climate Consultant 5 2014)

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From the below graph (Fig. 5), it can be seen that the highest radiation range takes place in May,
June, July, and August. In these four months, the direct radiation and the global horizontal radiation range to 1000 wh/sq.m.

Figure 5: Dubai radiation (Climate Consultant 5 2014)

From the below graph (Fig.6), it can be seen that in all months of the year the humidity is above
the comfort zone. Moreover, the humidity rises in morning and falls at 12:00 noon then it starts to
rise again.

Figure 6: Dubai dry (bulb)x(relative) humidity (Climate Consultant 5 2014)

Site Analysis
Al Manahil cafe restaurant west elevation is attached to Al Manzil hotel. The cafe restaurant is
oriented toward the east; the east and the south elevation are facing the main street and the
pedestrian walk. The east elevation of the cafe restaurant is oriented towards the east, exposed
directly to the sun.
The folowing figures show the solar stress on the facade. This solar stress study shows the amout

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of radiation received by the zones. The cafe cafe restaurant receives 465w on June 1st at 7:00 am on
its east oriented faade, which means there is an excessive amout of solar radiation and heat inside the building. The amount of solar stress differs with the zone orientation, timing and month.
The following figures below identifies the amount of shading required for the building inorder to
achieve the thermal comfort inside the building. On June 1st at 7:00 am 42% of the east oriented
zone is shaded, which means we need an intensive shading system.
Project Description
Al Manahil cafe restaurant consist of 19 outdoor seating and 28 indoor seating, two washrooms,
dish washer area, and a preparation area. The whole cafe restaurant is 163 meter square, with 9
opening (glazing). Each glazing has a width of 1.960m and a height of 2.600m. There are two entrances for the cafe restaurant, one on the south and the other entrance is on the east.

Figure 7: Cafe restaurant site plan (left) and floor plan (right) (Emaar 2008)
Some sun studies and calculations were conducted on this case study in Autodesk Ecotect Analysis in order to measure the amount of heat and daylight in this cafe restaurant. From these studies,
we realized that the grid color for the cafe restaurant zone turned into yellow and the daylight
factor was 7200 lux. This is an indicator of excessive daylight in to the zone, which results in glare,
heat and incorrect light distribution. This excessive daylight resulted from the number of glazing
(openings), size of glazing, and materials used for the glazing (single glazed windows) in the zone.
These factors led to excessive heat inside the zone, which requires high cooling loads in the zone
in order to achieve the comfort level in the zone.

Simulation Analysis and Results

The analysis and results were derived from lessons learned from the Tridacna clams life mechanism, These lessons were applied as design strategies in the selected case study building (in this
case, in the cafe restaurant building) in order to achieve the required results. The results were
achieved with the help of various simulation methods like the Ecotect analysis, ArchiCAD and
climate consultant.
Strategy 1 Light Shelf
Since the building is oriented towards the east, there is an excessive amount of daylight entering
the building; the light entering results in producing heat gain and glare inside the space, which

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affect the guest visual and thermal comfort.

The light shelf will be placed on the windows in order to control the amount of sunlight entering
the place, to shade the area near the window and also to reduce the window glare. This shelf is
a simple horizontal surface device, installed above the eyelevel with a high reflectance surface
material. The light shelf avoids the direct light entering the space. It redirect the light to the ceiling surface, since ceiling surface is made of reflective material it reflect and distribute maximum
amount of light required in the space (Wulfinghoff 1999).
After applying the light shelf: After applying the light shelf to the cafe restaurant, the amount of
daylight level was reduced inside the space from 88% to 48%. The light shelf provided uniform
light distribution inside the space, reduced the glare level and reduced the heat inside the zone.
As the light level inside the space decreased, the heat inside the place also reduced.
Strategy 2 Glazing
The cafe restaurant widows are oriented towards the east, and the window glazing is exposed
to an enormous amount of ultraviolet and infrared radiation. According to analysis by Autodesk
Ecotect Analysis software, the cafe restaurant glazing absorbs and transmits a huge of heat to the
space, which makes the space lose its thermal quality. The amount of heat gain inside the space
is 54435728 Wh. In order to achieve thermal comfort inside this cafe restaurant, the use of low e
coating and double glazed window have been decided.
Low E Coating - Low-e coatings is a thin transparent coating used to minimize the amount of
ultraviolet and infrared light that transmit through the glazing, without losing the quality of the
visible light. Low e coating reflects long-wave infrared energy (or heat) (Education Center 2014).
Double Glazing - Double glazed windows will be used in additional to the low e coating. This
type of glazing is also known as insulated glazing. Double glazed windows consist of two glazing
panes with an air or gas filled between them, this gas is used to reduce the transfer of heat in to
the building. This glass thickness ranges from 3mm to 10m.
After applying double glazed windows: This double glazed windows has reduced the amount of
heat inside the space to 53%, which resulted in less monthly cooling loads required in the zone
.The cooling load required was reduced from 54435728 Wh to 29377354 Wh.
Strategy 3 Photovoltaic Cells
The use of roof photovoltaic cells has been decided in order to absorb the maximum amount
of suns energy possible by exposing them to the sunlight. These photovoltaic cells are made of
phosphorus-doped (N-type) silicon thin layer and boron-doped (P-type) silicon thick layer.
According to Toothman and Aldous (2014) photovoltaic cells are used to absorb sunlight and convert in to electricity by producing electric field with the help of P-N junction, when the two layers
comes in contact with each other, This process takes place on top surface of the cell, when the
sun light strikes the PV cell. This electric fields produced provide direction and moment to the
light stimulated electrons, which results in flow of current in an electrical load. PVs are made of
electrically connected cells group called module. These modules are then grouped together to
form solar arrays.
There is a heavy load on the cafe restaurant energy. Since the cafe restaurant is oriented towards

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the east there is a huge amount of heat in inside the cafe restaurant, this heat requires a huge
amount of cooling loads in order to escape from the space. These loads requires huge amount of
electricity. According to Dubai Electric and Water Authority Al Manahil cafe restaurant consumes
385.7 MWh of electric energy very month. In order to reduce the amount of electric energy used
inside the space I decided to use photovoltaic cells. The photovoltaic cells will be located on the
roof of the cafe restaurant. Since the cafe restaurant is oriented towards the east, there is enormous amount of sunlight striking the roof of the cafe restaurant. This sunlight can be harvested
and can be used to supply the building with the amount of energy required.
The photovoltaic cells will be located on the roof of the cafe restaurant. Since the cafe restaurant is
oriented towards the east, there is enormous amount of sunlight striking the roof of the cafe restaurant. The sunlight can be harvested and can be used to supply the building with the amount of
energy required. The roof have an area of 64.169 meter square 22.222 meter square is shaded with
the hotel canopies, this area cannot be utilized for the photovoltaic cells since there is no sunlight
striking this part of the roof. The maximum roof area left for the photovoltaic cells is 41.947 meter
square. This area can hold only 18 photovoltaic cells. The roof have an area of 64.169 meter square
22.222 meter square is shaded with the hotel canopies, this area cannot be utilized for the photovoltaic cells since there is no sunlight striking this part of the roof. The maximum roof area left for
the photovoltaic cells is 41.947 meter square. This area can hold only 18 photovoltaic cells.
Area of single photovoltaic module used is 0.9 meter square, the annual average module of each
photovoltaic cell is 2.25225 KW/day, the potential power generation of the 18 module is 0.0404
MW/day the 18 photovoltaic modules installed could cover 4.25% of the total electricity, this photovoltaic cells reduced the amount of electricity consumed from 385.7 MWh to 212.135 MWh .The
photovoltaic modules covers around 25% of the roof.

Fig. 8: Restaurant Plan (Emaar, 2008)

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Table 1: Summary of results

Natural concept anatomy

Lesson learned

Strategy

Iridophores Cells

Redirecting the solar photons deep

down the mantle tissue in order to
provide uniform lighting for the algae.

Light Shelf

This pigments act as sunscreen and

UV shields. They are used to block the
excessive amount of UV radiation and
eliminate the light that can decrease
the photosynthesize process.

Double Glazing

This type of pigment performs

photosynthesize, by absorbing the solar
energy and converting this solar energy
in to chemical energy to feed the clam

Photovoltaic Cells

Non-Photosynthetic Pigments

Photosynthetic Pigments

Distribute maximum amount of light in

a uniform way inside the space

Used to reduce the transfer of heat in to

the building

Photo voltaic cells are used to absorb

sunlight and convert in to electricity

The below diagram shows the lessons derived from the natural concept and the strategies implemented from these lessons (Fig.8).

Figure 9: Natural concept and strategies diagram (Braley 2008)

Conclusions
As a result the thermal performance of the caf was improved leading to occupants thermal comfort . These results were derived from the strategies. These strategies were implemented from the
Tridacna Gigas functions and characteristics. From the Tridacna Gigas anatomy, we focused on
the mantle tissue, and from the mantle tissue we derived three main lessons. The first lesson was
the iridophores, the second was the non -photosynthesis pigments, and the third lesson were the
photosynthesis pigments. The lessons learned were imitated and implemented in al Manahil Cafe

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restaurant, Dubai informing of strategies, i.e. from the iridophores cells were studied imitated and
implemented as a light shelf, from the non-photosynthetic pigments to a double glazed glass and
from the photosynthetic pigments to photovoltaic cells. The reason behind imitating the Tridacna
Gigas life mechanism was to improve the caf thermal performance.
Furthermore, with these lessons learned and strategies derived from, we were able to provide
thermal comfort as well as energy efficiency in the building. The results achieved were with the
help of the lessons learned; the iridophores cells reduced the amount of light entering the space
to 48% on using the light shelf, the non-photosynthetic pigments reduced the amount of heat
entering the building by 53% on using the double glazed glass, and finally the photosynthesis
pigments reduced the electric energy by 4.25% on using the photovoltaic cells.

References
BRALEY, R., 2008, Giant clam videos, photos and facts - Tridacna Gigas | ARKive. [online] Arkive.org. Available at: http://
www.arkive.org/giant-clam/tridacna-gigas/.
DOAN, A., 2014, Biomimetic Architecture: Green Building in Zimbabwe Modeled After Termite Mounds. [online] Inhabitat.com. Available at: http://inhabitat.com/building-modelled-on-termites-eastgate-centre-in-zimbabwe/.
FATHERREE, J.W., 2007, Why Do Tridacnids Look the Way They Look? | Details | Articles | TFH Magazine. [online] Tfhmagazine.com. Available at: http://www.tfhmagazine.com/details/articles/why-do-tridacnids-look-the-way-theylook.htm.
HOLIDAY-WEATHER.COM, (2015). Holiday Weather. [online] Available at: http://www.holiday-weather.com/ [Accessed 9
Aug. 2015].
HOLT, A., VAHIDINIA, S., GAGNON, Y., MORSE, D., and SWEENEY, A., 2014, Photosymbiotic giant clams are transformers
of solar flux. Journal of the Royal Society Interface, [online] 11(101), pp. 20140678-20140678. Available at: http://rsif.
royalsocietypublishing.org/content/11/101/20140678.
KAY, P., WATKINS, B., and SEALE, A., 2014, Fluted clam (Tridacna). [image] Available at: http://www.arkive.org/fluted-clam/tridacna-squamosa/image-G24759.
KAMISHIMA, Y., 1990, Zoological Science, Okayama 700, Japan: Okayama University, 7, pp. 63-72. [online] Available at:
http://biostor.org/reference/106857.text.
KNOP, D., 2014, Giant clam. [online] Wikipedia. Available at: http://en.wikipedia.org/wiki/Giant_clam.
SHIMEK, R.L., 2014, Innovative Marine Aquaculture. [online] Dtplankton.com. Available at: http://www.dtplankton.
com/articles/necessity.html.
REDRAWN, 1992, Biology of giant clams (Tridacnidae). [online] Aitutaki Paua Restoration Project. Available at: http://
pauaproject.wordpress.com/clam-biology.
REEFKEEPING.COM, 2014, Identifying the Tridacnid Clams - by James Fatherree - Reefkeeping.com. [online] Available
at: http://www.reefkeeping.com/issues/2002-07/jf/feature/.
SCHOOLWORKHELPER, 2010, Clam Dissection. [online] Available at: http://schoolworkhelper.net/clam-dissection/.
TAXONOMY, S., 2013, SnowTaxonomy2013 - Giant clam (mollusca). [online] Snowtaxonomy2013.wikispaces.com. Available at: http://snowtaxonomy2013.wikispaces.com/Giant+clam+(mollusca).
TOOTHMAN, J., and ALDOUS, S., 2014, How Solar Cells Work - HowStuffWorks. [online] HowStuffWorks. Available at:
http://science.howstuffworks.com/environmental/energy/solar-cell.htm.
VIERRA, S., 2014, Biomimicry: Designing to Model Nature | Whole Building Design Guide. [online] Wbdg.org. Available
at: http://www.wbdg.org/resources/biomimicry.php?r=sustainable.
WULFINGHOFF, D., 1999, ENERGY EFFICIENCY MANUAL. pp. 1000-1005. [online] Available at: http://www.energybooks.
com/pdf/10001005.pdf.

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International Conference | Bari - Lecce, Italy

Session IX

ATTAINING THERMAL COMFORT THROUGH

BIOMIMICRY IN THE CASE OF EMIRATES TOWERS
METRO STATION IN DUBAI
Dana Aljadaa1 & Hasim Altan1
1Sustainable Design of the Built Environment, Faculty of Engineering & IT, British University in Dubai, UAE,
[email protected] / [email protected]

Abstract
Biomimicry is an innovative practice implemented by engineers and designers in order to
allow man made environment to stimulate the sustainable environment by imitating and inspiring from the art of natural organisms in adapting to its home earth. This paper assesses
and executes biomimicry concept on the Emirates Towers metro station in Dubai in order to
achieve thermal comfort for the occupants. In the study, identifying the benefits and methods
of applying biomimicry concept which was selected critically to enhance performance of the
existing metro station and its impact on the surroundings has been discussed. However, biomimicry can be used effectively when incorporated with technology and new techniques to
solve design challenges. This paper is a review to help out improving the thermal environment
inside the building and with surroundings that are affected by the hot humid climate of UAE
in order to enhance the performance of one of the most important components of the urban
structure of Dubai, which is the Dubai metro. To perform this study and in order to achieve
some relevant results, a several site surveys were conducted at the location of the selected
project, and an intensive study were completed on the project on both a building level and
on an urban level at the neighborhood scale as well as liaising with Roads and Transportation
Authority (RTA) in Dubai. Moreover, computer simulations through Autodesk Ecotect Analysis
software to create a comparison between cases before and after implementing biomimicry
strategies have been presented in this paper.

Keywords:
Thermal Environments, Biomimicry, Metro Station, Thermal Comfort, Performance,
Climate, UAE.

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Introduction
The whole story begins when Dubais Road and Transport Authority (RTA) recognize the need for
a new transportation route needed to be introduced to the transportation network of the city
after the traffic stuffing and necessity of a solution of traffic due to the increase in population and
the expected growth of population. In 2003, SYSTRA was appointed to handle the metro project.
9:09:09 PM, 9 September 2009 metro project started. Metro project and station was designed as
one of the most sustainable rail systems in the world. It is a non-fuel system that works without a
captain, and it is designed to reduce the footprint of CO2, in additional to the main concept of reducing the traffic and depending in the public transportation that will reduce the environmental
pollution in Dubai.
Unfortunately, Dubai metro project produced other problems to the environment and surrounding that was not considered. Focusing on emirates towers metro station that is located in Sheikh
Zayed Road, the location of the metro station that is adjacent to the surrounding building caused
many problems to the occupants of that area including vibration and noise, which produced discomfort to the users of the metro and mostly to the occupants of the adjacent towers and people
using the street. The main aim of this research is to improve the environmental issues related to the
metro station specially the resulting of injecting it to the urban structure of the surrounding area.

Methodology
The study started by selecting a case study and undertaking a site survey for the building and its
surroundings, along with the supporting documents related to the building that was collected
from RTA. An intensive research was completed also the natural concept that was selected which
is the nightjar bird, and all the details which is related to the nightjar is reviewed in the other sections of this research paper. A survey was conducted through questionnaires for the users of the
metro and the occupants of that area to have a clear feedback of the current situation and the
problems that they are facing, strategies achieved from the collecting of data, researching and
surveying that will be used to improve the performance of the building. The applied strategies will
be examined and experimented using Ecotect software to stimulate the building performance.

Biomimicry as an Inspiration
Human beings look to nature to be able to find solutions for things impossible. However, it was
through the diligence and understanding the world through a microscope when all have begun
to see a world beyond the naked eye. We have been able to do the impossible. Today, people are
able to travel half way around the world on wings, create energy from the sun to save on fossil
fuels, and create glue that is not affected by water. Hence, the study of nature and the processes
has been very beneficial as it has allowed people to make profit with using little effort or cost. The
products that are created using the principles from nature are called biomimicry (Benyus, J: 1997)
It is unsustainable ecologically as humans cannot do what nature does. It is beyond our hands,
but humans have been able to reach beyond that making the products from nature work. The
Industrial and Green revolution are examples. Biomimicry provides the foundation for business
innovators to be creative and find alternative solutions and effective processes that can be used
in daily life. Biomimicry is the study of natures course of action which can bring about the understanding of how to reduce consumption, pollution reduction, and provide savings which leads a
greater for of efficiency and improvement of life (Ritu Vasu 2013:15).

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Dubai Emirates Towers Metro Station

During the design and construction of the metro the injected metro station to the urban design
forced to take place on the setbacks of the building, and this made the stations very close to the
towers and created a negative space in between.

Figure 1: Emirates Towers Metro Station

As can be seen in Figure 2, the metro station is completely shaded by high skyscrapers that cast
its shadow on the station and block natural light. The huge structure of the metro station and the
rail blocks the natural wind flow in on UAE that comes from the North West direction as shown
in the figure, specially that the street area between the two rows of skyscrapers on sheikh zayed
road creates a negative area that is hardly ventilated as shown in figure 2. All these factors results
in a dull, unventilated negative space under the station and rail. And between the station and
building, and for the occupants that lives in the lower floors of the tower. When metro passes on
the rail it produces noise and vibration that interrupts the comfort of the users and occupants in
that area causing noise pollution, distraction & headache.

Figure 2: Sun Path. Source: Plan of Sheikh Zayed Road by RTA

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Dubai Local Climate Data

Studying the climate of Dubai will help to achieve a better understanding the climate and natural
factors like radiation, wind velocity, relative humidity, temperature and other factors that may
affect the thermal comfort. And by studying these factors and adapting well designed strategies,
controlling the effects of these factors on thermal comfort is possible. Figure 3 shows a climatic
summary for the city of Dubai, it illustrates weather factors including radiation, temperature and
wind velocity.

Figure 3: Dubai Climate Data. (Autodesk 2010)

Dry Bulb and Wet Bulb Temperature Analysis

The chart in Figure 4 illustrates hourly averages of dry bulb temperature, wet bulb temperature
and radiation for the months of the year. The chart illustrates temperatures are not within the
comfort zone most of the year, and the difference between the dry bulb temperature and wet
bulb temperature is huge especially in the hot summer months of the year and mostly in July
and August. This difference will act perfectly with the concept of evaporative cooling that will be
discussed in another section of this report in details.

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Figure 4: Monthly Diurnal Averages (Climate Consultant 5.5 2014)

Wind Analysis
Figure 5 illustrates the wind velocity in Dubai, during the summer and winter; basically the wind
main direction is from the west north. Wind frequency also increases from the east north in the
winter comparing to the summer.

Figure 5: Wind frequency in summer (left) and in winter (right) (Autodesk 2010)
By controlling the design techniques that will be used in the design and the hour of operations
of the metro station which is 6:00am to 11:00pm during week days and from 12:00pm to 12:00am
during weekends, Figure 6 below illustrates the difference in comfort percentage during different
months of the year, these studies will definitely reduce energy consumption and increases efficiency of the design.

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Figure 7: Comfort percentage (Autodesk 2010)

Relative Humidity Analysis

Figure 8 shows the average monthly percent of relative humidity through the months of the year
in Dubai, reaching to its highest percentage in January and November, and its lowest percentage
in May and June.

Figure 8: Monthly percentage of Relative Humidity (Climate Consultant 5.5 2014)

Figure 9 illustrates the relation between dry bulb temperature which is presented in yellow dots
and relative humidity represented in green dots through the months on the year in Dubai. It
shows a big difference in the pattern during the days of the year between winter and summer;
however relative humidity increases in the early hours of the day reaching its peak by 8:00am and
then dropping down to is lowest percent between 1:00pm and 4:00 pm, and then increases again
reaching to the end of the night.

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Figure 9: Dry Bulb X Relative Humidity (Climate Consultant 5.5 2014)

Biomimicry as Inspiration and Design Strategies

Nightjars are type of medium size birds that comes from the family of Caprimulgiformes that have
the ability to withstand and adjust its body to the harsh weather in hot climate area. The nightjar
lives in the raw, exposes for hours to the direct sun radiation.
Distribution of nightjars in hot climate

Figure 10: Distribution Of Nightjar birds through the world (Wikipedia 2011)

Evaporative Cooling
Strategy Intent
Nightjar protects their bodies and adapts to these circumstances from hyperthermia by conditioning its inside body by moisture using evaporative cooling technique. These birds evaporate
heat by vibrating the gular, at the time their mouths are widely opened, where blood rate becomes higher flowing to the buccal, and the gular area is vibrating quickly (Fowler and Miller
2003:225).

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Figure 11: Nightjar buccal area widely opened (Besgroup2009)

Nightjars starts to increase gular vibration and increases its breathing rate to achieve evaporative
cooling that helps reducing heat caused by the high temperatures and sun exposure in order to
achieve thermal comfort. The mechanism of evaporative cooling happens when the breathing
is increased and the air passes through the moist texture of the buccal due to the wide opening of the mouth, although the rate of gular vibration is constant, the times spent fluttering and
the amount of air that passes through the buccal controls the amount of evaporative cooling
achieved (Lasiewski 1969:1504).

Figure 12: Nightjar main features

Figure 13: Evaporative cooling technique in Nightjars (AskNature 2012)

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Figure 13 shows a detailed mechanism of evaporative cooling in the nightjar, when the gular sac
increases its size and the air that passes through the mouth cavity increases its speed. As the moving air touches the moist surface and the hot blood vessels below, the inner surface temperature
will decrease through convection and leaving the hot air to pass out (AskNature 2012).
Strategy Implementation
From the cooling mechanism that the nightjar uses to adapt to its nature and reach to its comfort,
evaporative cooling technique can be inspired in hot climate by installing a moist mesh in the
building and increase the ventilation rates in order to achieve evaporative cooling and reduce energy conception required for cooling, that will lead to a better building performance. Designing a
double skin ceiling for the metro station with installing a moist skin material for the inner skin, and
creating opening in the upper skin that will allow the natural wind to flow from the west north
direction will create evaporative cooling that will decrease the sun radiation and heat exchange
between the indoor and outdoor space thats is caused by convection & conduction, leading to a
higher efficiency and reducing in the amount of energy required for cooling as shown in figure 16.

Figure 14: Moist material for buildings (Ergodyne 2012)

On the other hand, the air that is cooled out from this system will form natural ventilation for the
area between the towers and metro station which is dull and blocked by the massive structure
of the metro and rail, in this way the environment will be enhanced for the pedestrians that are
using this way leading to their home, office or to the station.

Figure 15: The Narrow Space between the Metro Station and Towers (by author)

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Figure 16: Details for the double skin roofing proposed

Evaporative cooling mechanism have other positive points than reducing air temperatures, it reduces the requirement for ventilation and fresh air where fresh air is already supplied from the
outdoor, it reduces the mechanical cooling cost minimum 25% and up to 65%, decreasing the
load on the mechanical cooling system. Implementing evaporative cooling system will not only
reduce temperatures, but it will increase the life of the compressor and cooling capacity due to
less dependence on it. The performance and operation of evaporative cooling increases when
air temperatures are higher, however it works perfectly where the climate is hot dry and far from
the water bodies where humidity is less as in the case of the selected case study. The Buildings
airtightness is not required in the case of implementing evaporative cooling system; hence it
can be applied easily on the proposed double skin structure where its not completely sealed
structure. Studies and experiments showed that reduction in air temperatures increases when the
difference in dry bulb temperature and wet bulb temperature is bigger. To calculate the reduction in temperatures achieved by the evaporative cooling system using an example that dry bulb
temperature is 90F and wet bulb temperature is 70F where the following equation (1) can be used
(Aoshuang and Xiang 2008:15).
Temperature drop= (DB WB) x (Efficiency of evaporative medium)*

*Efficiency is indicated by the supplier and usually reaches to 90%

Temperature drop= (90 70) x 0.9 = 18 degrees F

(1)

Noise and Vibration Reduction

Strategy Intent
In addition for being a smart creature in adapting to the harsh climate, Nightjar is the only bird in
additional to the owl that have the ability to fly silently in order to catch their food while flying.
The structure of their feathers allows them to fly silently due to the complex design of the wing
that consists of different parts as shown in Figure 17.

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Figure 17: Structure of Nightjar wings

Nightjar primary feathers are toothed like a comb; when wind passes by the wing, it allow the
air to passes through the different parts of the wind from bigger feathers to smaller that breaks
the wind turbulence to tiny turbulence, and this decreases the noise caused by the air passing
through the flipping wings to form a silent flight.

Figure 18: Comparison between Nightjar wings (left) and the toothed structure of the Nightjar wing
(AskNature 2012)

Figure 19: Scanning electron microscope photo of the feather structure (Taranto 2015)

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Strategy Implementation
Redesigning the structure of the rail and installing a rubber structure that performs similar to the
nightjar wing will reduce the noise caused by the movement of metro through the station and
reduce vibration that causes noise.

Figure 20: Metro rail structure (RTA 2014)

Producing Energy by Natural Recourses

Strategy Intent
Thinking passively with by getting the benefit of the direction of the wind that hits the station
and combining it with active techniques is a smart idea to produce energy that can be used for
the metro building of the surrounding neighborhood.

Figure 21: Wind hitting the Metro Station can be used to generate electricity

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Strategy Implementation
Adding wind turbines on the metro rail between the stations along Sheikh Zayed Road, that produces electricity from natural resources.

Figure 22: Wind turbines on Metro rail

Enhancing Daylighting
Strategy intent
Nightjars usually resets at day time and become active at night, during day they keep their wide
eyes closed and protected from sun radiation as shown in Figure 23. On the other hand, during night this large wide eye openings allows for a better vision through allowing the maximum
amount of light to enter during the dark, and helping them to see and attach small insects that
they eat (Fig.23).

Figure 23: Controlling eye opening (AskNature 2014)

Strategy Implementation
As mentioned earlier in this report the metro station is shaded most of the day by the high sky
scrapers near to it, and this created a dark zone around the metro station and within the narrow
space between the station and the towers beside it, in additional to the indoor space of the metro

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station where they depend mostly on artificial lighting. To study the shaded casted by the towers
and its effect on the station, Autodesk Ecotect Analysis software was used to simulate this effect, the
study was done during a complete day, and Figure 24 below illustrates the effect of casted shadows.

Figure 24: Shadows case on Metro Station (Autodesk 2011)

To enhance the daylighting in the metro station light tubes are proposed in order to introduce
defused lighting into the building that does not interrupt the thermal comfort or increase heat
gain, at the same time using light tube to control amount of day lighting entering to the building
and reducing electrical consumption and loads. Light tubes are easy to install and can be directed
to any desired location by its flexible tube. Figure 25 shows a detailed section for the mechanism
of light tubes (Darula et al. 2013:32).

Figure 25: Section through Light Tube (Ecotun 2014)

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Building Envelope and Insulation

Strategy Intent
Nightjars have very light thin skin covered with feathers, during the winter the bird protects his
body and restores heat by saving an amount of fat under its skin, where this fat acts as insulation
layer that reduces heat loss during the cool night, on the other side in summer the bird becomes
more active and get rid of the amount of fat that he gained in winter to prevent heat gain.
Strategy Implementation
Metro station is consisted of three main components; the building itself, the curved structure
covering the station, and the rail that the metro passes on. The rail and foundations are constructed of concrete, where the skin is constructed of steel structure and panels; the metro building is
constructed of concrete walls. The main aim in this strategy is to use materials with lower U-value
in order to reduce cooling loads inside the building and save energy. In the study, using Autodesk
Ecotect Analysis software to simulate the monthly cooling loads according to the current situation of the building envelope. Figure 26 shows the amount of cooling consumed through the
months of the year.

Figure 26: Monthly Heating/Cooling Loads- Saturday 1st September Before (Autodesk 2011)

Figure 27: Hourly Gains- Saturday 1st September Before (Autodesk 2011)

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Figure 27 illustrates the hourly gains in the same zone according the current condition of the
metro zone selected. By changing the material of the building envelope and using a material with
lower U-value results changed and the amount of cooling loads required for the building are less
than before as well as hourly gains as shown in Figure 28 and 29.

Figure 28: Monthly Heating/Cooling Loads- Saturday 1st September After (Autodesk 2011)

Figure 29: Hourly Gains- Saturday 1st September After (Autodesk 2011)
The monthly heating and cooling calculations reference to Figure 26, it shows that the existing
building envelope materials requires 28936 (Wh) to cool the building and after proposing a lower
U-value envelope design the calculations show that 27906 (Wh) is required to cool the building,
which means a saving of 1030 (Wh). Same was demonstrated for hourly gains calculations reference to Figure 27 and after proposing building envelope with lower U-value.

Conclusion
Although metro have a great influence in enhancing the urban fabric of the city, it generated
some environmental and physical problems to the metro station and the surroundings. Aiming
to achieve a better sustainable city and to provide comfort zone and environment for the society
some design problems can be solved my learning from nature and adapting the concept of biomimicry. Learning from the Nightjar bird that have the ability to live in hot dry climate and can
stand its environment, several natural concepts and strategies was inspired and implemented
on the metro design to improve its performance toward the building itself and its effect on the
surrounding.

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From applying the concept of evaporative cooling and reducing noise caused by vibration by
creating a unique structure inspired by the feathers to controlling amount of day light through
light tube system. Other strategies inspired including proposing a building envelope for the station and generating electricity by wind. Using literature review and Autodesk Ecotect Analysis
software to analyze and simulate building performance after applying the selected strategies
have shown a noticeable improvement in building performance and reduction in cooling loads,
in additional to improving the negative effect on the adjacent towers and on the street beneath.

References
ASKNATURE. 2014. Gular fluttering dissipates heat: nightjars - AskNature. [online] Available at: http://www.asknature.
org/strategy/df479edb10713dec0097de25edf20b80 [Accessed: 1 Mar 2014].
AOSHUANG, Z., and XIANG, H. 2008. The study of the design principles and steps of evaporative cooling air-conditioning system. Refrigeration And Air-Conditioning, 2, 006.
Benyus, J. (1997). Biomimicry. New York: Morrow.
Biblioteca digitale di fotografia naturalistica - Nature and wildlife photography Digital LibraryIn-text:(Fotografianaturalistica.org, 2015)
CHANG, R., LI, T., JWO, K., WANG, S., and TSAI, J. 2012. Glareless light-emitting diode lighting tube. Optical Review, 19(2),
pp. 89-97. doi:10.1007/s10043-012-0019-5.
CHEN, X., and AGARWAL, R. 2012. Optimal placement of horizontal - and vertical - axis wind turbines in a wind farm for
maximum power generation using a genetic algorithm. International Journal of Energy & Environment, 3(6), pp.
927-938.
DARULA, S., KOCIFAJ, M., and MOHELNKOV, J. 2013. Hollow light guide efficiency and illuminance distribution on the
light-tube base under overcast and clear sky conditions. Optik - International Journal for Light & Electron Optics,
124(17), pp. 3165-3169. doi:10.1016/j.ijleo.2012.09.052.
DE HAAS, J.M., and DORENBOS, P.P. 2011. Methods for Accurate Measurement of the Response of Photomultiplier Tubes and Intensity of Light Pulses. IEEE Transactions On Nuclear Science, 58(3), pp. 1290-1296. doi:10.1109/
TNS.2011.2141683.
FOWLER, M.E., and MILLER, R.E. 2007. Zoo and Wild Animal Medicine Current Therapy. London: Elsevier Health Sciences.
HELMY, M.A., ELTAWIL, M.A., ABO-SHIESHAA, R. R., and EL-ZAN, N.M. 2013. Enhancing the evaporative cooling performance of fan-pad system using alternative pad materials and water film over the greenhouse roof. Agricultural
Engineering International: CIGR Journal, 15(2), pp. 173-187.
INTHAMOUSSOU, F.A., BIANCHI, F.D., DE BATTISTA, H., and MANTZ, R.J. 2014. LPV Wind Turbine Control with Anti-Windup Features Covering the Complete Wind Speed Range. IEEE Transactions on Energy Conversion, 29(1), pp. 259266. doi:10.1109/TEC.2013.2294212.
INTERNETCONT LTD. 2014. Dubai Metro. [online] Available at: http://dubaimetro.eu/ [Accessed: 1 Mar 2014].
KHONINA, S.N., and USTINOV, A.V. 2013. Thin Light Tube Formation by Tightly Focused Azimuthally Polarized Light
Beams. ISRN Optics, pp. 1-6. doi:10.1155/2013/185495.
KOUCHAKZADEH, A., and BRATI, A. 2013. The evaluation of bulk charcoal as greenhouse evaporative cooling pad.
Agricultural Engineering International: CIGR Journal, 15(2), pp. 188-193.
LASIEWSKI, R.C. 1969. Physiological responses to heat stress in the poorwill. American Journal of Physiology--Legacy
Content, 217(5), pp. 1504-1509.
RITU VASU, P. 2013. Biomimicry: On the Frontiers of Design. Vilakshan: The XIMB Journal of Management, 10(2), pp. 139148.
TAUFIQ, B., MASJUKI, H., MAHLIA, T., AMALINA, M., FAIZUL, M. and SAIDUR, R. 2007. Exergy analysis of evaporative cooling for reducing energy use in a Malaysian building. Journal of Desalination, 209(1-3), pp. 238-243. http://dx.doi.
org/10.1016/j.desal.2007.04.033
ROYAL SOCIETY FOR THE PROTECTION OF BIRDS (RSPB). 2014. Nightjar. [online] Available at: https://www.rspb.org.uk/
wildlife/birdguide/name/n/nightjar/index.aspx [Accessed: 1 Mar 2014].
WEN, M., HO, C., JANG, K., and YEH, C. 2014. Experimental study on the evaporative cooling of an air-cooled condenser

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with humidifying air. Heat & Mass Transfer, 50(2), pp. 225-233. doi:10.1007/s00231-013-1243-7
WHITTOW, G.C. 2000. Sturkies avian physiology. San Diego: Academic Press.

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International Conference | Bari - Lecce, Italy

Session IX

RETROFITTING EXISTING BUILDINGS IN UNITED

ARAB EMIRATES: BARRIERS, OPPORTUNITIES,
AND RECOMMENDATIONS
Enas Alkhateeb1 & Hasim Altan1
1 Sustainable Design of the Built Environment, Faculty of Engineering & IT, British University in Dubai, UAE
[email protected] / [email protected]

Abstract
In 2010, the United Arab Emirates (UAE) has been identified with the highest ecological footprint in the world. Moreover, 80% of this footprint is because of the consumption of carbon
concentrated goods and services, such as water and energy. The UAE government took the
initiative to provide serious steps to mitigate the impact of the built environment, all of which
generally focus on the new constructed buildings. Although Etihad Super Energy Services
Company (ESCO) initiated some major retrofit projects, commercial and residential existing
buildings have been neglected. These two sectors in Abu Dhabi and Dubai form a large portion of the built environment in the country, which account for 43% and 40% of the UAEs
energy consumption. Even though many disjointed small ESCOs are entering the UAE market,
they are faced with many obstacles and challenges. This paper will discuss the barriers that
the refurbishment industry in the UAE is facing today. Moreover, the paper will also shed light
on some successful methods have been applied in the United States and the Europe Union as
well as will demonstrate ways of justifying them to suite the unique case of the UAE. Eventually, the environmental, economical and social benefits of retrofitting the existing buildings in
the UAE will be highlighted.

Keywords
Building Sustainability, Existing Buildings, Refurbishment and Retrofitting, United Arab
Emirates, Sustainable Development.

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1. Introduction
Buildings are essential for human life. The consumed energy for cooling, heating and ventilation
define the characteristics of each building. However, the higher the CO2 emissions, the higher the
energy consumption, and the building is considered to have a poor levels of energy performance.
It is a known fact that around 40% of the total energy consumption in Europe has been consumed
by the built environment, and as a result, the building sector is one of the major consumers of
energy. In 2009, European households consumed 68% of the final energy use in buildings mainly
used for heating purposes. As a result, the poor levels of energy usage in buildings placed the
residential sector as a major CO2 emission source in Europe (BPIE 2011). This problem has been mitigated with new constructed buildings through strict buildings codes and regulations. However,
the new buildings only make up 0.5-2% of the total building stock (Stafford, Gorse & Shao 2007). It
is evident that a key element of this problem relies on the old, existing buildings that represent a
great part of the built environment .This international awareness towards the built environment
and their impact on environment has increased in the last few decades. The United Arab Emirates
(UAE) is one of the Middle Eastern countries that took the initiative to provide serious steps to
mitigate the impact of the built environment. In 2010 warning signs have appeared on the surface showing that the UAE has the highest per capita ecological footprint in the world (Global
Footprint Network 2015). Moreover, 80% of this footprint is due to the consumption of carbon
concentrated goods and services, such as water and energy (EWS-WWF 2015).

Figure1: UAEs ecological footprint in 2012 (WWF 2012)

The UAE government took the initiative to provide serious steps, as a result, many policies and
guidelines have been introduced, such as the UAE Green Economy Initiative, Dubai Municipality
Green Code, Estidama & the Pearl Rating System, Emirates Green Building Council, and Dubai
Supreme Council of Energy, and its affiliated programs designed to facilitate energy efficiency, i.e.
RSB, DCCE, and Etihad Super ESCO. Thus, an improvement has been achieved and eventually the
UAE was able to come down from topping the list for the most environmentally wasteful country
on the planet (GOUMBOOK 2012). However, all the efforts mentioned focused on new constructed
buildings. It is evident that this action will not provide a great impact on its own. Since the existing
buildings form the biggest portion of the built environment in the UAE, the practical and fastest
way to reduce the CO2 emissions is to include them in retrofitting program (Sunikka & Boon 2003;

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Petersdorff et al. 2006). Although Etihad Super Energy Services Company (ESCO) initiated some
major retrofit projects, commercial and residential existing buildings have been neglected. These
two sectors in Abu Dhabi and Dubai form a large portion of the built environment in the UAE,
which account for 43% & 40% of the UAEs energy consumption (EGBC 2014). Even though many
disjointed small ESCOs are entering the UAE market and hungry for businesses, they are faced
with many obstacles and barriers. A recent research about the UAE mentioned that applying serious policies and regulations to tackle the built environments energy consumption issues as well
as replacing fossil fuels with clean energy sources will reduce the emission of CO2 emissions by
50% (Radhi 2010).
Energy efficiency is prominent in Abu Dhabi and Dubai emirates, and their energy strategies
when retrofitting of the existing federal buildings are concerned. However, there are many obstacles facing other building sectors, most importantly because of the lack of regulations and
policies that promote the commercial and residential buildings refurbishment. Also, it is important to mention that although Abu Dhabi and Dubai are the two most major emirates, the UAE is
actually the federation of seven emirates. These emirates have their own issues and regulations
regarding the overall energy policy. This could slow the progress of buildings refurbishment on a
federal level. In this paper, both challenges and barriers in the retrofit industry will be identified,
and both policies and recommendations will be proposed to overcome these challenges. The
energy efficiency management through retrofitting of the existing buildings could provide great
potentials to maintain good levels of energy performance with less CO2 emissions. In addition, it
provides many social advantages, in all aspects of the words meaning.

2. Overview of the United Arab Emirates

A few decades ago and before the formation of the UAE, many world maps used to refer to this
region differently. In 1971, six of these emirates (Abu Dhabi, Dubai, Sharjah, Ajman, Al Fujayrah and
Umm Al Qaywayn) merged to form the United Arab Emirates (UAE). Ras Al Khaimah joined later
in 1972. Today, the United Arab Emirates is the official term unifying all seven emirates. The UAEs
climate resembles the hot arid and semi arid zones. In general, two seasons can be distinguished
in the UAE. Summers fall around April through October, where the temperature could rise up to
48C with humidity levels that could reach 90%. However, in winter, which lasts from November
to March, the weather is very pleasant and the temperature rarely drops below 6C.

Figure 2: The mean temperature and rainfall in UAE in different periods (Worldbank.org 2015)
With the increment of CO2 emissions, it is important to examine the changes in weather compared to the past. Figure 2 shows some data which was provided by the Climate Research Unit
(CRU) of the University of East Anglia (UEA). The charts below show the mean monthly tempera-

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tures and rainfall levels during two periods; (1) 1900-1930 and (2) 1990-2009 (The World Bank Group
2015). It is clear that there is a rise in the mean temperature value.
2.1 The UAE Built Environment
UAE has been late in providing buildings with energy conservation regulations. It began in 2003
with Decree 66 in Dubai, where the municipality enforced the energy saving practices usage,
such as glazing and thermal insulation materials. In the same year, a similar approach was followed in Sharjah. In Abu n Dhabi, the building regulations were not decreed until 2010. The ESTIDAMA building regulations with several energy requirements have been established. Based on
previous information, it is obvious that the majority of buildings in the UAE lack consideration to
energy saving, or have minimal ones. Those buildings have demanded for high-energy operation
cost. Even federal buildings suffered from this problem until 2012 (AlAwadhi 2013). According to
the UAEs harsh climate, while taking into consideration the poor thermal characteristics in existing buildings, it was suggested that a large portion of energy consumption was related to cooling
purposes (Fig.3).

Figure 3: Electricity end use for commercial sector in Abu Dhabi (EWS-WWF 2015)
A survey in 2012 had been conducted in the UAE in order to collect information regarding the
nature of the construction of existing buildings before the insulation regulations were implemented in 2003. The team admitted that the task was more difficult than anticipated due to the
different used practices that nearly changes every decade (1970s, 1980s, and 1990s). The final data
of this survey showed that around 12.8% and 27% of the residential buildings in Sharjah and Dubai respectively, had been constructed without adhering to any regulations regarding thermal
insulation. Moreover, for Abu Dhabi, available data shows that the first thermal insulation was
provided to buildings before 2011. The rest of the emirates showed the lack of any provided regulations regarding thermal insulations (AlNaqabi et al. 2012). Based on the latest statistics, there are
120,000 Buildings in Dubai, amongst which there are 30,000 buildings identified with high energy
saving potential. Etihad Super ESCO currently focuses on the few thousand buildings related to 28
governmental authorities, the balance buildings remain unexploited (Thomas 2014).

3. Methodology
An extensive review of literature has been utilized to highlight the experience of some developed
countries such as the United States (US) and the European Union (EU) in handling buildings refurbishment issues. Moreover, Polices will be extracted and justified to suit the unique culture and
atmosphere of the UAE.

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4. Literature Review
Extensive research have been tackled the retrofit benefits, as well as the accompanied barriers
and challenges that may appear technically, financially or socially, in order to overcome them
and reveal the maximum potential of the retrofit process. Millerand and Buys (2008) investigated
the social dimensions of these barriers by focusing on the tenants of commercial office buildings.
A case study building in Melbourne, Australia with undergoing retrofit has been chosen for this
study. A small sample size was used for interviews with semi-structured in-depth questions. The
result revealed that tenants of commercial buildings are interested in sustainability initiatives;
however, they have limited understanding of the energy efficiency performance potentials. As a
result, benefits, cost and the process needed to be clearer.
Olgaya and Setruto (2010) presented creative tools that provoke wise decision making by involving the key players and the needed skills. They reviewed some of the barriers such as dealing
with the buildings systems individually, considering the initial cost and the payback period more
than considering the analysis of the life cycle cost, and the split incentive issue. Eventually they
discussed and suggested some options for stakeholders to overcome these barriers. On the other
hand, Chidiac (2010) explained that the effectiveness of any energy retrofit measure relies on many
building-related factors such as location, operation, size, building envelope and the HVAC system.
He found out that the energy consumption reduction, because of implementing different measures, is not the sum of their individual impact. The interactive effects between these measures
play an important role in increasing their efficiency. A simulation of all combined energy saving
measures must be included in order to obtain the complete picture of the energy consumption.
Regarding the environmental and economical impact of retrofitting some big commercial buildings, some successful examples are presented such as the Empire State building (Fluchrer et al.
2010) and the Italian headquarters of a major insurance company in Italy (Aste and Pero 2013). The
Rockefeller report 2012 has shown that in the US alone and, by taking into consideration all the
market segments in the existing buildings, more than $279 billion could be devoted in retrofitting
these existing buildings. This will bring about over $1 trillion over 10 years of energy saving. This
amount of saving is equivalent to 30% of the annual electricity spend. Moreover, if these retrofits
were taken seriously and applied successfully, they could create around 3.3 million cumulative
job years of employment with a broad range of experiences. At the end, if the retrofit approach
was successfully implemented, the US emissions would be reduced by about 10% (The Rockefeller
Foundation 2012).
Moreover, in the UAE, a couple of papers presented different scenarios of upgrading the energy
efficiency of selected existing case studies in Abu Dhabi that had been built during different decades. The energy consumption for the upgraded scenarios were evaluated and compared to the
energy consumption of the as-built case. One paper went beyond presenting the energy saving
and evaluated the economic impact of implementing such energy saving measures (AlAwadhi
2013; Manneh 2014).
4.1 The Barriers
Retrofitting existing buildings has a lot of uncertainties, for instance, the changes in climate, human behavior, services, and government policies all of which have effect on the applied solutions
and hence the success of any retrofit project. The building systems interaction adds to the complexity of this task (Staford et al. 2011). The large amount of unexploited potentials to the energy

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performance buildings cost effect has led some major players and potential clients to lose interest in investing in such energy savings projects. Buildings Performance Institute Europe (BPIE)
2011 has conducted a survey to highlight the main barriers in this field, which are classified into
four categories; financial, administrative and institutional, public awareness and skills, and the
expenditure and benefits separation barrier.
Financial Barriers
Financial aspects are considered among the highest-ranking barriers in most countries. Understanding the related issues to financing is crucial for proposing practical policy alternatives. Figure 4 shows the common barriers in the EU as were published in BPIE report 2011.

Figure 4: Financial barriers (adopted from BPIE 2011)

Moreover, in the Environmental Defense Fund Report (EDF 2011), and through a detailed explanation of the related issues, the importance of having greater involvement of financial organizations
as well as the different investors in the energy saving field was clearly noted; all in which will help
to harness the greater potentials in energy saving in the existing built environment.
Administrative Barriers
According to BPIE survey, this category was the third most important barrier in retrofitting existing buildings, however, it comes second in terms of priority. This category includes several subcategories as shown in Figure 5.

Figure 5: Administrative and institutional barriers (adopted from BPIE 2011)

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Awareness and Skills Barriers

Providing correct and proper information is important for the retrofit market to work efficiently.
Many Consumers tend to lack interest in these energy saving projects for more complex reasons
that was categorized in three areas as BPIE 2011 report stated (Fig.6).

Figure 6: Administrative and Institutional barriers (adopted from BPIE 2011)

Expenditure and Benefits Separation
Expenditure and Benefits Separation is also known as a split incentive barrier (Fig.7).

Figure 7: The split incentive barrier

This is a classic issue between the landlord and the tenant. There are different ways where the
investor in a building may not get the financial return he expects, such as:
Owners invest in a building where the tenants are responsible for paying the bills.
Owners inability to rise rent after building retrofit for any reason.
The renovated building is located in an area where the market price does not mirror the buildings energy performance.
In addition to all the previous barriers, in the US, the Rockefeller Foundation 2012 added that
measurements and verifications were considered difficult to perform until recently. Moreover, the
limited retrofit projects to compare with, is considered another barrier.
4.2 The Challenges
It is noted that not almost all the listed barriers are related to technical or market issues, but the
lack of activity occurs because of the financial as well as the other barriers. These barriers are not
permanent and eventually will be overcome. However, a few challenges need to be considered to
cope with the buildings demand for a more efficient supply chain and delivery scheme. Figure 8
shows these areas:

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Figure 8: The challenges

Regarding the UAE retrofit market, as well as all the previous barriers and challenges, the lack of
extra important issues add to the complexity of the mission, such as:
The Energy Performance Contract (EPC) and the mechanism for payment through M&V are
unlikely to be recognized by a court in the UAE.
Lack of insurance options for EPC contractors. This could be a barrier for financing such a project.
Qualified ESCOs are limited.
Available data is not consistent and limited.
The government subsidies to energy production prices.

5. Polices and Regulations

Integrating energy-related necessities during the retrofit phase is as important as implementing
them during the design phase for new buildings. This step is a key component in providing energy efficient measures, which in turn emphasizes the importance of the building code regarding
energy issues.
5.1 Building Code Requirements for Existing Buildings
Based on the Energy Performance of Buildings Directive (EPBD) (article 5) requirements for existing buildings which only applies to large buildings over 1000m2, the building needs to be functionally, technically and economically feasible. Different approaches have been adapted by countries when buildings have a major renovation. For example, a very progressive approach has been
adapted by Switzerland to improve the existing buildings performance, which focused on the
thermal performance for upgraded buildings must not go beyond 125% of the new building limit.
Other countries have focused on the building elements standards (windows, doors, etc.) through
providing the minimum performance standards, in addition to replacing the energy using plant
with an efficient one. Some countries show a good example by following a completely performance-based requirement in addition to the components requirements that are retrofitted.
5.2 Energy Performance Certificates (EPCs)
EPCs demonstrate the energy performance rating of buildings in some countries. EPCs will motivate individuals and have a great incentive to increase the buildings energy efficiency. Most

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of EPCs have limited timeframe for their validity; for instance, according to EPBD, 10 years is the
maximum period of validity if no major changes happened during this period. These certifications can be obligatory, such as the EUs EPBD. They are required for any type of building whether
newly constructed or previously existing or offered for rent or sale. Also EPCs could be voluntary,
such as the ENERGY STAR, which is an example of positive energy label, which was developed
by the Department of Energy (DOE) in the US. This labelling is provided to new buildings that
show 15% better energy performance than the International Energy Conservation Code (IECC)
2006. Although this scheme is not mandatory, it has been declining. For this reason, it has been
connected with tax exemptions and had played a vital role in elevating the energy market in the
US to a higher level (OECD/IEA 2010). The energy certification of building is very important for the
reasons that summarized in Figure 19.

Figure 9: The benefits of EPCs

Sometimes, financial support is required to boost any wanted action. By focusing on increasing
the impact of the building certificate, the recast of the EPBD demands the member states (EU)
to keep in mind the efficient actions and financing as well as other tools. Financial support will
encourage the market by helping building owners to go for energy efficiency refurbishment that
is recommended alongside with energy performance certificate (OECD/IEA 2010). These incentives have been noticed in some countries such as the Republic of Ireland, which has a national
grant system for energy retrofit, and an extra certificate is provided after the measure is done. In
addition, some countries, in order to get tax exemption for energy saving measures, they set the
certification as a mandatory issue.

6. Financial Models
In the US markets, many new financing structures have emerged. For instance, Property Assessed
Clean Energy (PACE), Energy Service Agreements (ESAs), as well as On-Bill Finance options, all provide extra alternatives beyond ESCOs. PACE is capable as a model to suit all segments; however, it
needs the mortgage industrys support and acceptance. On-Bill options could be used as a tool to
enhance other models for finance in the three building market sectors. Particularly, the US Building Energy Efficiency Retrofit report (The Rockefeller Foundation 2012) believe that the Energy
Service Agreement model (ESA) provides a great potential to evaluate and meet the needs for all
parties involved, without any support from regulations or subsidy (Fig.10).

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Figure 10: The Energy Service Agreement (ESA) (Rockefeller 2012)

The ESCOs Financing
ESCO is a convenient way for project development and installation. Larger ESCOs are able to finance projects under energy savings performance contracts. These can undertake contracts of
shared savings, paid from savings or guaranteed savings (Fig.11). ESCOs can offer their services
without providing financing by using the PACE structure with the accessibility of PACE financial
support. ESCOs can undertake deeper retrofits with bigger savings and longer payback periods
by being attached to the property and not to the owner of the property (H2PC 2012).

Figure 11: The ESCO Financing Structure (Rockefeller 2012)

6.1 Financial Incentives Schemes
In Europe particularly in the UK, many incentive schemes have been proposed by the government:
Feed-in Tariff (FiT)
The FiT is an incentive payment for electricity that could be produced from clean energy sources
such as wind turbines as well as photovoltaic PV systems.
The Renewable Heat Incentive (RHI)
Similar to FiT, this incentive provides payments for heat that are produced from clean energy
sources, such as solar panels, geothermal, etc. Both the FiT and the RHI incentive tariff, which
support the implementation of the renewable energy technologies of low and zero carbon (LZC),
subsidize the local LZC heat or power production. A levy is imposed on all bills to support these

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tariffs.
The Green Deal (GD)
The GD is the UK governments new initiative that was proposed to support home owners and
businesses to integrate more green technologies in their buildings (Fig.12).

Figure 12: Funding mechanisms that involved in retrofit in UK ( GREANDEAL, 2015)

Firstly, the installation for green technologies will be with no upfront capital to implement a retrofit measure or measures, and, secondly, the payback cost will be later through the utility bill
over a period of time. This is different from the conventional loan, since, in this case, if the tenant
moved out of the building, the bill stays with the building where the savings is happening (Green
Deal Initiative 2015). All Buildings that meet the golden rule will be eligible for the GD finance.
The golden rule states that all the estimated savings from the implemented measures need to be
greater or at least equal to the GD cost that is added to the bills. However, the GD could hold some
financial risks due to the overestimated possibility. Fortunately, the government and the Green
Deal stakeholders addressed all these risks in their latest Green Deal proposal. As a result, many
steps have been taken to improve the methodologies underlying the estimated saving and the
various uncertainties (Booth and Choudhary 2013).
Green Deal For UAE?
Although the GD has faced some shortages, at its core, the principles that define the GD are simple and could be used in UAE. As with any new policy, its efficiency rely highly on a number of
issues, for example, making sure the policy does not conflict with other polices and is reliable to
meet its intended task. In the UK, the most benefit of the GD goes to people with very cold and
droughty houses which demand lots of energy. Considering the difference in climate, a matching
policy in UAE would probably give better emphasis towards encouraging home improvements
that give in cost savings through more efficient cooling systems.

7. Renovation with a Vision - Define a Roadmap

To achieve a certain goal, a target needing accomplishment must be set over a period. Considering the retrofit market with the different scenarios potential will increase the outcome and define the priorities. BPIE 2011 has examined many possible scenarios for upgrading the EU existing
buildings by 2050, including business-as-usual case with assumption of the continuity of the

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current rate and desire of renovation. A single measure, such as insulation of the roof, is considered a minor renovation. Implementing one to three of these low cost and easy to implement
measures could provide up to 30% energy savings. On the contrary, the holistic upgrade for all
elements in addition to installation of renewable energy technologies could reach to the optimal
level with more than 90% savings, it is proposed under the name nearly Zero Energy Building
(nZEB). In between the upgrade, measures are two categories. Firstly, Moderate which includes
3-5 measures implemented with expected savings between 30%-60%; however, the second category, Deep renovation, which deals with the whole building as a holistic approach, could provide 60% - 90% savings (BPIE, 2011).
7.1 Prioritizing the Existing Buildings to Capture the Most Energy Savings
Economically, to define the first priority in retrofit the building stock, a thorough study needs to
be conducted on buildings to figure out the most of energy savings. For the same goal, a study in
Europe classified the buildings to four-age band categories; old, modern, recent and new. The research has shown that the older the building stock is, the bigger is the saving, and this is because
of the total lack of any kind of insulation in the old days (pre-1960). The emphasis in renovation
should be on this period up to around 2030, and from 2031 onward, the focus goes to Modern
category and so on.

8. Retrofit of the Existing Buildings in UAE (Sustainability Package)

In the UAE, according to the building survey (Al Naqabi et al. 2012), it is noted that there are great
potentials to achieve positive impact on all sustainable aspects if the retrofit of the existing market overcomes the barriers and challenges. Another study in the UAE has investigated different
saving measures and their feasibility. The study shows the most feasible retrofit measures for
different villas that have been built during 4 different decades, around 1980-2010. However, the
study points out that individual measures are not considered the most efficient regarding energy
savings. As a result of a combination of solutions and following the 1 pearl Estidama, savings in
electricity could reach between 23%-36% (Manneh et al. 2014). Figure 13 shows the expected benefits of retrofitting the existing buildings in UAE

Figure 13: The impact of retrofitting the existing buildings

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9. Recommendations
Based on the UAEs current status and relations to other countries progress in this field, some recommendations are proposed, and the Energy Green Building Council (EGBC) recommendations
were provided through an interview with the engineer Khaled Bushnaq the CEO of Energy Management Services (EMS) in Table 1:

Technical

Strategies

Legislation & Regulation

Table 1: Recommendations
Policy Term

Experienced Gained
from

Facilitate establishing obligatory building codes for retrofitting the existing buildings.

EU

Facilitate establishing an Energy Performance Certificate EPCs.

EU, USA

Mandate all large public buildings over 1000m2 to have Energy performance certificate and
should be displayed to increase the public awareness.

EU

Facilitate the retrofit for all the government public housing to the 1 pearl Estidama regulations UAE
or equivalent local regulations.
research paper
Mandates upgrades of the least efficient existing buildings in Abu Dhabi & Dubai to a higher
level of energy performance, through restrictions on rental or sale of those buildings with low
energy performance.

UAE
research paper

Benchmarking laws.

USA

Provide subsidies and guarantees to risk- free investment.

USA

Encourage continuous communications between involved parties: government and policy

makers, financial institutions, representatives of the building industry, vendors/suppliers.

EGBC
(Emirates Green
Building Council)

Retrofit different market segments: Residential, commercial, institutional.

USA

Establish a forum for all involved stakeholders for consultation, comments on practical matters EGBC
and policy implementation.
Show leadership examples through accelerated ambitious retrofit for public buildings and all
provided with a displayed energy performance certificate EPC.

USA, EU

Increase the public awareness level through media and different ways of communication.

EU, USA

Provide different package measures that can be replicated in similar cases.

EU, USA

Simplification of Monitoring & Verifications protocols to suit the local conditions.

EGBC

Ensure of compliance with building regulations.

EU

Provide measures that are flexible to be enhanced in response to new technological

measures.

EGBC

Provision of access to database or data bank.

EGBC

Fiscal / Financial

Provision of standardized contracts, supported by government agency.

USA

A third institution (DEWA) should be between the client and the ESCO. This institution
should be in charge of collecting the payment from the client and paying the ESCO.

USA

FiT incentive to pay electricity from clean energy like PVs.

USA

Provision of Green Deal / UAE version.

UK

Replace the fossil fuel subsidies with clean energy subsidies.

EU

Provision of local insurance companies for Energy Performance Contactors (EPCs).

EGBC

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10. Conclusions
The building sector has great potentials and can add a significant amount to mitigating climate
change, and also providing many other societal benefits. There are key factors that improve the
progress of the retrofit sector, such as political will, innovation, societal awareness, and investment tools. Governments need to emphasize on applying policies that mandates retrofitting the
existing buildings. Provision of existing building refurbishment code will accelerate the effort in
this sector. Incentives and subsidies will push the retrofits wheel forward. Moreover, all stakeholders in the value chain of buildings should consider any opportunity to support the retrofit market.
Essentially, what is needed is nothing less than a local energy saving renovation revolution.

11. References
ALAWADI, W., ALNAQABI, A., MANNEH, A., AYOUB, K. and ABU-HIJLEH, B., 2013, Energy Saving Potential Due to Refurbishment of Federal Public Housing in the UAE. Engineering, [online]. 5, pp. 132-136. [Accessed 7 September 2014].
Available at: http://www.SciRP.org/journal/eng.
ALNAQABI, A., ALAWADI, W., MANNEH, A., AYOUB, K. and ABU-HIJLEH, B., 2012, Survey of the Existing Residential Buildings Stock in the UAE, International Journal of Environmental Science and Development, 3(5), pp.491-496.
ASTI, N. and PERO, C.P., 2012, Energy retrofit of commercial buildings: case study and applied methodology, Energy
Efficiency, [online]. 6, pp. 407-423. [Accessed 30 January 2015]. Available at: http://link.springer.com.abc.cardiff.
ac.uk/article/10.1007/s12053-012-9168-4
BOOTH, A.T. and CHOUDHARY, R., 2013, Decision making under uncertainty in the retrofit analysis of the UK housing
stock: Implications for the Green Deal, Energy and Buildings, 64, pp. 292-308.
UILDING PERFORMANCE INSTITUTE EUROPE (BPIE), 2011, Europes buildings under the microscope: A country-by-country review of the energy performance of buildings, Buildings Performance Institute Europe.
BUILDING PERFORMANCE INSTITUTE EUROPE (BPIE), 2014, Renovation strategies of selected EU countries, A status
report on compliance with article 4 of the energy efficiency directive, Buildings Performance Institute Europe.
CENTRAL INTELLIGENCE AGENCY (CIA) [US], 2015, The fact book. [online]. [Accessed on 28 Jan 2015]. Available at:
https://www.cia.gov/library/publications/the-world-factbook/geos/ae.html
CHIDIAC, S.E., CATANIA, E.J.C., MOROFSKY, E. and FOO, S., 2010, Effectiveness of single and multiple energy retrofit
measures on the energy consumption of office buildings, Energy, 36, pp. 5037-5052.
EMIRATES GREEN BUILDING COUNCIL (EGBC), 2014, ESCOs mechanisms and principles, Monthly Technical workshop,
14 October 2014.
ENVIRONMENTAL DEFENSE FUND (EDF), 2011, Show Me the Money, Energy Efficiency Financing Barriers and Opportunities, [online] Report, Accessed on 15 January, 2015, Available at: http://www.edf.org/sites/default/files/11860_EnergyEfficiencyFinancingBarriersandOpportunities_July%202011.pdf
EWS-WWF, 2015, The Problem, [Online]. Accessed 25 Jan 2015, Available at: http://business.heroesoftheuae.ae/en/section/the-problem
FLUCHER, C., MAURER, E. and DESHMUKH, A., 2010, Achieving Radically Energy Efficient Retrofits: The Empire State
Building Example, ASHRAE Transactions, 116, part 2.
GLOBAL FOOTPRINT NETWORK (GFN), ADVANCING THE SCIENCE OF SUSTAINABILITY, 2015, United Arab Emirates,
[online], [Accessed on 25 January 2015], Available at: http://www.footprintnetwork.org/en/index.php/GFN/page/
uae_case_story/
GOUMBOOK, 2012, UAE finally reduces it ecological footprint. [online], [Accessed 15 Jan 2015], Available at: http://
goumbook.com/uae-finally-reduces-ecological-footprint
GREENDEAL, 2015, WHATS THE BIG DEAL? A GREEN DEAL RESEARCH PIECE Report, [Online], Accessed on 18 August
2015, Available at: http://www.greendeal.co.uk/whats-big-deal-green-deal-research-piece
GreenDeal INITIATIVE, 2015, About The Green Deal, [online], Accessed on 26 February 2015, Available at: http://www.
greendealinitiative.co.uk/about-the-green-deal/index.html
MANNEH, A., ALNAQABI, A., ALAWADI, W., AYOUB, K. and ABU-HIJLEH, B., 2014, Economic Assessment of Refurbishment of Federal Public Housing in the UAE, World Sustainable Building 14 Conference.

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MILLER, E. and BUYS, L., 2008, Retrofitting Commercial Office Buildings for Sustainability, Tenants Perspective, Journal
of Property Investment & Finance, 26(6), pp.552-568.
OECD/INTERNATIONAL ENERGY AGENCY (IEA), 2010, Energy Performance Certification of Buildings, A policy tool to
improve energy efficiency, The IEA Policy Pathway Series, France: IEA.
OLGYAY, V. and SERUTO, C., 2010, Whole-Building Retrofits: A Gateway to Climate Stabilization, ASHREA Transactions,
116, part 2.
PETERSDORFF, C., BOMRMANS, T. and HARNISCH, J., 2006, Mitigation of CO2 Emission from the Building Stock beyond
the EU Directive on the Energy Performance of Buildings, Environmental Science And Pollution Research, 13(5),
pp.350-358.
RADHI, H., 2010, On the Effect of Global Warming and the UAE Built Environment, Global Warming, Stuart Arthur Harris
(Ed), [online]. Accessed on 25 January 2015, Available at: http://cdn.intechopen.com/pdfs/12173/InTech-On_the_effect_of_global_warming_and_the_uae_built_environment.pdf
THE ROCKEFELLER FOUNDATION, 2012, United States Building Energy Efficiency Retrofits, Market Sizing and Financing
Models, [online] Report. Accessed on 5 January 2015, Available at: http://www.rockefellerfoundation.org.
STAFFORD, A., GORSE, C. and SHAO, L., 2007, The Retrofit Challenge: Delivering Low Carbon Buildings, Report. UK: The
Centre of Low Carbon Future.
STATE OF GREEN ECONOMY, 2015, The UAE- building the blocks of green economy, Dubai: world green economic
summit.
SUNIKKA, M. & BOON, C., 2003, Environmental policies and efforts in social housing: The Netherlands, Building Research & Information, 1, pp. 1-12.
THE WORLD BANK GROUP, 2015, The Climate Change Knowledge Portal, Accessed on; 29 Jan 2015, Available at: http://
sdwebx.worldbank.org/climateportal/index.cfm?page=global_map
THOMAS, A., 2014, Construction week online.com, [Online] Interview, Accessed on December 2014, Available at: http://
www.constructionweekonline.com/article-26287-facilitating-change/1/

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International Conference | Bari - Lecce, Italy

Session IX

USING GAMIFICATION TO ENHANCE

UNDERSTANDING OF BUILDING PERFORMANCE
Panagiotis Patlakas1, Zacharias Maniadis2 & Rokia Raslan3
1 Built Environment Group, Technology School, Southampton Solent University, UK, [email protected]
2 School of Social Sciences, University of Southampton, UK, [email protected]
3 IEDE, The Bartlett, University College London, UK, [email protected]

Abstract
The importance of Post-Occupancy Evaluation (POE) surveys is paramount in understanding building performance and evaluating building technologies. However, only a small percentage of completed buildings go through a POE. A reason is that clients and non-specialist
designers often do not see the value POE can add, and consider it a specialist pursuit. This
paper presents ways developed to address some of these issues. Firstly it presents a software
application that was developed to visualise POE data in a 4D context. It continues by describing its utilisation in a game designed to introduce students to the basic concepts of building
performance and facilities management. The setup and the rules of the game are detailed,
including its optimisation during the process. A pilot study and two standard workshops are
described, and their results presented using both quantitative and qualitative measures. The
advantages and challenges of gamification described in the literature are generally confirmed
by this experiment. The paper concludes by noting the potential of novel ways of presenting
building data, including 4D visualisation, in enabling more stakeholders to engage with the
issue of building performance thus promoting the sustainability agenda.

Keywords
Post-occupancy evaluation, Visualisation, Performance gap.

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Introduction
Sustainability researchers can be confident that their discipline has never enjoyed such widespread attention and been assigned so much importance. The importance of the topic extends
outside the Built Environment scientific and technical community, with a number of leading international policy making bodies, most notably the United Nations, placing it at the forefront
(Lukan et al, 2014). This has been accompanied by a number of subsidies and other policy-making
tools to support environmentally-friendly design and other pro-sustainability solutions. The issue
of altering consumers preferences by educating them on the economic benefits of sustainable
designs has attracted much less attention in the policy debate.
However, despite the generally wide support, the technical community has not always been able
to deliver the intended outcomes. The term credibility gap was first used more than a decade
ago to describe the difference between the design expectations and the actual energy use of a
building (Bordass, 2004). Today this has been established as an accepted reality, with the term
performance gap being the most common term employed to describe this phenomenon.

Issues in Environmental Design

Environmental design is meant to rely on standard iterative processes, variations of which are
used in many engineering disciplines: a theoretical approach, is typically developed by researchers, often accompanied by tests in laboratory conditions; this approach is then applied in a real-world building, which functions as a case study; the building is monitored to gather performance-related data, which is analysed to gauge the effectiveness of the design. This then feeds
back into the theory thus helping to optimise the design and lead to further improvements.
While theoretically sound, this approach has many issues when it comes to practical application.
A fundamental issue arises from modelling the proposed design itself, where the designer might
make assumptions that might not be easily implemented in construction practice and building
use. A further problem is associated with the simulation process itself. Most environmental rating systems, such as the Building Research Establishment Environmental Assessment Method
(BREEAM) and the Leadership in Energy and Environmental Design (LEED), rely on digital Building
Performance Simulation tools (BPS) whose effectiveness and consistency has often shown to be
problematic (Schwartz and Raslan, 2013). The problem here is twofold, on par with standard engineering processes. Firstly, there is the issue of the validity of the model itself, i.e. how accurately
the model represents reality. Secondly, there is the issue of the verification of the, often extensive,
calculation processes applied on the model.
While important, these problems are not insurmountable. Other engineering disciplines have
addressed similar issues in the past: the twin issue of validation and verification appears in the
vast majority of methods employed in civil and mechanical engineering. The iterative process described earlier, with the emphasis of gathering results that feed back into the theoretical analysis,
aims to respond exactly to such challenges. There are, however, two key differences that differentiate environmental design for the built environment from other engineering endeavours.
Firstly there is the issue of user behaviour. Unlike disciplines such as structural engineering, assumptions made by environmental designers during the planning and design stage often differ
widely from how the building is utilised once delivered and put to actual use. The precise reasons

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for that are unclear and often differ from case to case. Possible reasons include unrealistic assumptions of user behaviour, inadequate building performance, or simply users lacking an incentive to conform to the design assumptions (Santos Silva and Ghisi, 2014; Bourgeois et al, 2006; de
Wilde and Tian, 2009; Gill et al, 2010).
A secondary reason is the relative lack of validation of the predicted design performance. While
most buildings today incorporate at least some degree of pro-sustainability technologies, this is
typically done on the design stage via meeting specific requirements set out in the local building
regulations. Only a small percentage of completed buildings is monitored for environmental performance once its been put in use, usually when there is specific research interest. Even then, the
monitoring only happens for small periods of time which might not be representative, or might
be subject to a range of technical problems (Swan et al, 2015).
As such, the importance of Post-Occupancy Evaluation (POE) surveys cannot be understated.
They are fundamental in closing the aforementioned loop. Menezes et al have shown how they
can be used to address the performance gap (2012), while Bordass and Leaman (2005) called for
POEs to become a routine part of project delivery over a decade ago. While the benefits are obvious, a key barrier was identified early in environmental design research: most clients do not see a
direct benefit from a POE thus creating fragmented incentives (Zimmerman and Martin, 2001). It is
not difficult to appreciate why this appears so from a clients perspective: from a strictly business
perspective there is no legal requirement to conduct one and the results might show design flaws
that a developer might prefer hidden.
This, however, does not justify why there is relatively limited take-up amongst architects as well as
big institutional clients who commission and manage buildings for their own use. A possible factor is the relative disconnect between the presentation tools architects use and the format of data
gathered by data loggers, the devices that measure, record, and store parameters related to the
environment for further analysis by environmental specialists. Designers work with highly visual
tools (these days almost exclusively in 3D) while the output of data collected by loggers is typically in a Comma Separated Values (.csv) or variations of this. Similarly, the significant amounts of
data collected by loggers are not always easy to communicate to senior managers, building users,
or other decision makers and stakeholders without built environment expertise.

The EnViz software application

In order to address some of these issues, a prototype software application was developed as part
of a research project. The application is called EnViz (for Environmental Visualisation app)- visualises temperature and relative humidity data in a 4D context of volumetric 3D models over time
(Figure 1). The standard usability process consists of: input of a building model; input of data logger output; selection of timescale and time ratio; (optionally) selection of desired thermal comfort
criteria. The user can then see static (3D) and dynamic (4D) visualisations of the respective data
(Figure 2) based on predefined colour maps.

Using gamification to enhance understanding of building performance

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Figure 1: Sample snapshot of the EnViz application, showing the locations of data loggers

Figure 2: Sample snapshot of the EnViz application, showing temperature of spaces

The application was developed in Java SE 7, utilising the OpenGL programming interface, as implemented in the Lightweight Java Game Library (LWJGL). The model input format is COLLADA,
an open-source text-based format for 3D graphics, while the data logger input can be either via
XML or directly via Comma Separated Values (.csv) and Microsoft Excel (.xlsx) files.

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Validation and Usability Testing

While the benefits of large dataset visualisation, including enhancing comprehension, enabling
multi-scale evaluation, and facilitating hypothesis formation (Ware, 2012) have long been established in principle, there is little guarantee that an individual software application will achieve
these aims. To validate the effectiveness of EnViz, a two-year testing programme was initiated.
Usability testing is generally viewed as an aspect of Human-Computer Interaction (HCI). A major
part involves field testing with non-expert users, ideally with controlled experiments that allow
the collection of both quantitative and qualitative data (Teeni et al., 2007). A typical approach is
to measure parameters such as Response Time, Response Accuracy, and Mental Effort (Huang et
al., 2009).
The EnViz testing programme involved modelling and testing three different examples of different scales and building typologies. The usability testing was in the form of eight workshops with
a total of 89 participants which took place in three venues in the UK and Mexico. The Response
Accuracy of the participants was measured directly while the Mental Effort was gauged indirectly via user self-reporting in questionnaires. In these experiment, participants had increased Response Accuracy when using EnViz compared to the traditional spreadsheet form (despite the
users not having used the application before), while there was a clear preference in using the
application to examine the data, as opposed to using Excel. The results were documented extensively in a journal paper (Patlakas et al, 2014).

Gamification in the Built Environment

Gamification, defined here as using a game-like format to achieve a target outside pure entertainment, diversion, or leisure, has seen a rapid increase in application the past few years. An
extensive survey by Hamari et al (2014) found it being applied in various fields such as commerce,
health/exercise, business, data gathering, and innovation. In the Built Environment, sustainable
energy use has been a focus as described by Gustafsson et al (2009) and Coen et al (2013). Unsurprisingly, education has been a major field of application of gamification with a wide variety of
techniques utilised for this purpose; according the Kapp (2012) the research consensus is largely
that appropriately-designed games can be beneficial as learning tools for both games and adults.

Designing a Built Environment Game: Pilot Study

Huang and Soman (2013) have identified a five step process to applying gamification in an educational setting. The authors designed a game using this five step process. Specifically:
1. Understand the Target Audience and the Context
The game was targeted at undergraduate university students. The core target audience was firstor second-year students in Built Environment programmes, with a secondary audience of students at higher levels and, potentially, neighbouring disciplines.
2. Defining Learning Objectives
The aim was two-fold: firstly, to provide students with an introduction to concepts of POE, environmental design, and facilities management in an entertaining and engaging way.
Secondly, to compare the student engagement and performance when using a spreadsheet-based

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system (as typically employed by professionals engaged in POE) and when using a 4D based approach (the EnViz software).
3. Structuring the experience
Students were firstly introduced to fundamental POE concepts in a 30 seminar. This was followed
by a quick 10-15 demonstration of the EnViz software with a trial model (all students were familiar
with Excel). Then the rules of the game were explained. This was followed by the core gaming
activity. Finally, students were asked to complete a questionnaire providing feedback on the two
types of activities.
4. Identifying resources
It was decided that the game should require only a standard PC per student, either at a university
computer lab or with students using their own machines. The only additional resources required
were standard stationery.
5. Applying Gamification Elements
The game was point-based, devised around a hypothetical scenario, of a simplified real-life problem. Students were provided with sketches of floor plans of a real-world building (Figure 3). They
were also provided with POE data in two formats: in the first half of the game, they were given
Excel files with the source data. In the second half, they were provided with the EnViz software
with appropriate source files.

Figure 3: Visualisation of the building used in the game.

The scenario assumed that the given building was found to be problematic in a number of areas. A POE survey was commissioned, in all the areas that were supposed to fail in achieving

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the standard temperature and/or relative humidity criteria for thermal comfort identified by the
Chartered Institute of Building Services Engineers (CIBSE). The students were given the role of a
facilities manager whose aim is to fix different areas of the building in the best possible way,
within the costraints of an allocated budget.
The rules of the game were:
The budget was approximately a quarter of what would be required to fix the entire building,
and hence the students were required to prioritise the areas with the greatest percentage of
failure. The students were awarded points based on the percentage of actual failure of an area.
For example, if they decided to fix an area that failed to reach the required temperature 75% of
the time, they would be awarded 75 points.
The cost to fix each area was proportional to its surface (based on area categorisations), and
the points awarded were also similarly proportional (if an area was four times as large as the
base area category, and it failed 75% of the time, the student would be awarded 75 x 4 = 300
points). Effectively, the requirement of the game was for students to identify which areas performed worse, and prioritise them accordingly.
In the pilot study, areas were also given importance coefficients based on their use. So, corridors were awarded a multiplier of 0.1 (10% of points), secondary spaces a multiplier of 0.5 (50%
points) and office spaces and classrooms a multiplied of 0.5.
Penalty points were applied to students who went over budget that negated any benefit from
breaking the rule.

The total sum of the points followed the equation below:

P=ixaxF
where:

P is the points awarded

i is the importance of the area (0.0 to 1.0)
is the area factor (1 to 8)
F is the failure rate of the space (0 to 100)

The workshop was part of a taught module. As an incentive to commit to the game, the student
that won the most points would be given additional marks in a related summative assignment
for the module.

Pilot Workshop Results and Redesign

A pilot workshop was run at a UK University with 8 first-year students enrolled on a BA in Architectural Technology programme. The students executed both parts of the game and completed
a questionnaire with their views.
The results of the pilot workshop were inconclusive. When using EnViz, students performed generally better, however, in both cases most students were heavily penalised for going over budget.
Also, some students appeared to ignore completely the importance factor of a space and concentrated on circulation spaces. Thus it was difficult to gauge how effective each method was with
regard to response time.

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Qualitative feed provided via questionnaires and informal chats after the experiment generally
suggested that the students preferred to work with the 3D model than with spreadsheets (despite the students reporting a greater familiarity with Excel than 3D tools before the experiment).
Following the pilot study, a number of decisions were taken:
the game was simplified removing the coefficient of the importance of a space. All spaces
were given equal importance with regard to points.
an interactive system was built for logging the points (Figure 4). With this, the students could
see immediately the area factor of a space, and the cost effects the space had. Thus no student
would now be over budget.

Figure 4: Snapshot of the interactive game environment given to the students

Second and Third Workshops

Two workshops were run with the new design. The first took place with a cohort of 12 students
enrolled on an Environmental Design and Engineering Masters programme at a second UK University. As this group had already taken a semester-long module covering POE and while outside
the core target group, it was decided that it would be interesting to gauge if they performed
differently, as a benchmark exercise
As the voluntary workshop took place outside a taught module, the incentives for committing to
the game were therefore lower. The top three students would have their scores published on the
virtual learning environment of the related module. Potentially due to the low incentives to commit to the game, some students did not complete one of the components, did not engage fully, or
broke the core rules (e.g. collaborated on one or more activities). All students were nevertheless
allowed to remain for the entire duration as the educational component was considered more
important than strict enforcement of the rules.

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Among those who completed both components according to the rules, there was a marginally
better performance when using EnViz, of approximately 7.5% when comparing averages (Figure
5). Qualitatively, students rated EnViz as a preferred method of work in most categories (Figures 6
and 7). The students were asked to rate the two approaches in the following categories:

Easy to learn
Easy to use
Allows me to identify the required data easily
Allows me to combine different information easily
Allows me to evaluate the change over time easily
Helps me understand how the data is connected to the space
Helps me appreciate what is actually going on in the building

Finally there was a separate entry indicated as Satisfied Overall.

The scale was 1 to 5, with 1 being the most negative and 5 the most positive.

Figure 5: Points scored by each student group (Average with Standard Deviation)

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Figure 6: Ratings students gave on the two types of systems on different categories.

Figure 7: Overall rating the students gave to the two approaches.

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A third workshop was run with a cohort of 9 core target audience BA students (first year Architectural Technology) and the same brief as the second workshop. Issues of engagement with learning the software reflected on the results, with two students not completing one or both tasks,
while three more scored very low when using EnViz suggesting that they did not engage with
learning the software (something visible during the workshop). As a result the average scores of
the students when using EnViz were significantly lower (33%) (Figure 5). As before, all students
were more familiar with Excel than 3D modelling. However, when it came to evaluating the two
applications, all students rated EnViz more highly than the spreadsheet-based method, while
they found that it allowed them to work better in all aspects (Figures 6 and 7). It should be noted that these opinions were expressed anonymously, in order to allow students to express their
views candidly.
From a teaching perspective, while there were issues with engagement in learning the software,
which affected performance, as discussed above, it is important to note that most students appeared to enjoy the activity. The undergraduate students that completed these workshops as
part of a taught module appeared to have a better grasp of POE compared to students from
previous years, as evidenced in end-of-year assessments. They have also talked favourably about
the activity in informal discussions during the year. As the sample is very small, and the results
of the POE segment fall within a greater report, a quantitative study was judged to be of little
importance and benefit.

Conclusions
This paper presented a game devised to allow undergraduate students to understand better issues relating to building performance, POE surveys, and facilities management. The experiment
demonstrated both the advantages and challenges of gamification, in agreement with the experiences reported in the literature. The main advantage of the game approach appeared to be a
generally greater interest from the students in the topic. It is characteristic that most students engaged for a 90 period in a topic which, when delivered in seminar form in previous years, did not
appear to hold equal interest. The event also appeared to be more memorable to the students,
probably due to the difference in format from the more standardised learning and teaching activities they covered in the rest of the year.
At the same time, gamification is not a panacea. The game needs to be carefully structured to
avoid overloading the students with information (as in the pilot study), and be entertaining and
intuitive while still enabling students to achieve the learning objectives. Finally, while gamification did appear to lead to greater engagement, students still need appropriate incentives to commit fully and can be strategic in their choice of engagement with a topic.
The second aim of the experiment, to allow comparison between the spreadsheet-based and
the 3d visualisation methods, was only partially achieved. The small sample, the different student
profiles, and the different levels of engagement meant that the results were different and with
significant standard deviation. Thus, Workshops 1 and 2 seemed to largely follow the results of the
more rigorous surveys. Workshop 3, however, showed that most students did not engage with the
visualisation software sufficiently to enable direct comparison. This is to be expected to an extent;
despite the conversation of the so-called digital natives in recent years, software fatigue appears
to be a phenomenon across almost all age brackets.
It is interesting, however, that all students preferred working with the 3d visualisation method,

Using gamification to enhance understanding of building performance

679

irrespective of their degree of attainment, which also agrees with previous studies. This suggests
that there are potentially significant benefits in visualising large datasets from buildings in creative and innovative ways, enabling non-specialists to engage with them more easily. If the aspiration of POE studies becoming a standard part of the building process is going to be realised, its
outputs should be easily communicable and comprehensible by all stakeholders, and not just the
domain of specialist practitioners.
Our overarching objective is to examine whether 3d visualization improves the quality of decisions that influence environmental properties of buildings. In future work we aim to examine
the effects of gamification when some methodologies from behavioural disciplines such as experimental economics are introduced. In particular, offering financial incentives for good performance could increase cognitive effort and improve commitment to the game. Furthermore,
ensuring a sufficient power of the experimental design by increasing the sample sizes will allow
for formal statistical analysis.
Informing educated consumer choice with regard to sustainable housing should be a key component to policies aimed at promoting the mass consumption of affordable sustainable homes.
POE data capture environmental properties that can be used for informing the choice of decision-makers, including consumers.

References
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2004 Improving Energy Efficiency of Commercial Buildings Conference, Frankfurt, Germany.
BORDASS, B., and LEAMAN, A., 2005, Making feedback and post-occupancy evaluation routine 1: A portfolio of feedback techniques. Building Research & Information, 33(4), pp. 347-352.
BOURGEOIS, D., REINHART, C., and MACDONALD, I., 2006. Adding Advanced Behavioural Models in Whole Building
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COHEN, I., TURRIN, M., HEINZELMANN, F., and WELZNER, I., 2013, The Human FactorIntroducing Game Mechanics to
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GILL, Z.M., TIERNEY, M.J., PEGG, I.M., and ALLAN, N., 2010, Low-energy dwellings: the contribution of behaviours to
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GUSTAFSSON, A., KATZEFF, C., and BANG, M., 2009, Evaluation of a pervasive game for domestic energy engagement
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HAMARI, J., KOIVISTO, J., and SARSA, H., 2014, Does gamification work?--a literature review of empirical studies on
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HUANG, W., EADES, P. and HONG, S.H., 2009, Measuring effectiveness of graph visualisations: A cognitive load perspective, Information Visualisation 8(3), pp. 139152.
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KAPP, K. M., 2012, The gamification of learning and instruction: game-based methods and strategies for training and
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In: Climate Change 2014: Mitigation of Climate Change. Contribution of Working Group III to the Fifth Assessment
Report of the Intergovernmental Panel on Climate Change. Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA.

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MENEZES, A. C., CRIPPS, A., BOUCHLAGHEM, D., and BUSWELL, R., 2012, Predicted vs. actual energy performance of
non-domestic buildings: Using post-occupancy evaluation data to reduce the performance gap. Applied Energy,
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PATLAKAS, P., SANTACRUZ, H. B. and ALTAN, H., 2014, Visualising the environmental conditions of buildings Proceedings of the ICE-Civil Engineering, 167(5), pp. 56-64.
SANTOS SILVA,A and GHISI,E, 2014, Uncertainty analysis of user behaviour and physical parameters in residential
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SCHWARTZ, Y., and RASLAN, R., 2013, Variations in results of building energy simulation tools, and their impact on
BREEAM and LEED ratings: A case study. Energy and Buildings, 62, pp. 350-359.
SWAN, W., FITTON, R., and BROWN, P., 2015, A UK practitioner view of domestic energy performance measurement.
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TEENI, D., CAREY, J. and ZHANG, P., 2007, Human Computer Interaction: Developing
Effective Organisational Information Systems, Wiley, Hoboken, NJ, USA.
WARE, C., 2012, Information visualization: perception for design. Elsevier, Waltham, MA, USA.
ZIMMERMAN, A., and MARTIN, M., 2001, Post-occupancy evaluation: benefits and barriers. Building Research & Information, 29(2), pp. 168-174.

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International Conference | Bari - Lecce, Italy

Session IX

DYNAMIC SIMULATION OF A SOLAR COOLING

HVAC SYSTEM WITH NANOFLUID
Colangelo Gianpiero1, DAndrea Gerardo2, Franciosa Mariolina3, Milanese
Marco4, de Risi Arturo5
1 Dipartimento di Ingegneria dellInnovazione, Universit del Salento, Via per Arnesano, 73100 Lecce, Italy,
[email protected]
2 Dipartimento di Ingegneria dellInnovazione, Universit del Salento, Via per Arnesano, 73100 Lecce, Italy,
[email protected]
3 Dipartimento di Ingegneria dellInnovazione, Universit del Salento, Via per Arnesano, 73100 Lecce, Italy,
[email protected]
4 Dipartimento di Ingegneria dellInnovazione, Universit del Salento, Via per Arnesano, 73100 Lecce, Italy,
[email protected]
5 Dipartimento di Ingegneria dellInnovazione, Universit del Salento, Via per Arnesano, 73100 Lecce, Italy,
[email protected]

Abstract
Environmental and energy issues are, nowadays, the most debated subjects in science; for
this reason, both the proposal of new plant technologies and the increase of renewable energy resources exploitation, are essential. In the last few years, the spread of air conditioning
systems has caused overloading of the electricity network system, thus leading to a high risk
of power cuts and scientific studies have also shown that refrigerants used in the cooling cycles contribute to global warming. Consequently international scientific research has focused
on the development of air conditioning systems with high energy efficiency. The reduction
in summer of load peaks on the electricity grid can be obtained by employing thermal solar
collectors as heat source in absorption chillers. The cooling system proposed in this study
consists of a water-lithium bromide vapor absorption chiller, in which water is used as the
refrigerant, while lithium bromide is used as the absorbent. In the absorber, the lithium bromide absorbs the refrigerant, creating a solution of water and lithium bromide. This solution is
pumped to the generator where it is heated by solar energy and by an auxiliary boiler, which
comes into operation when the temperature of the fluid from the reservoir tank is less than
a fixed value. The process of evaporation and condensation of the saline solution produces
chilled water, which is sent to fan coil units (FCU). This study wants to investigate the difference between energy provided to the generator by a traditional water flat-plate collector and
that by a flat plate collector with nanofluid (colloidal dispersion of 3.0 vol% of Al2O3 nanoparticles in bidistilled water) as working fluid. For the simulation the model has been implemented
in TRNSYS environment. The great advantage of this program is that it allows detailed energy
analyses of all the components of the system.

Keywords
Solar cooling system, nanofluid solar collector, water-lithium bromide vapor absorption
chiller, TRNSYS.

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Solar based systems for cooling of buildings - Literature review

The optimal system configuration for a 11 kW lithium bromide-water absorption chiller installed in
Cyprus was found varying the collector array size, orientation and type, as well as the thermal storage capacity of the system, using the TRNSYS simulation software (Florides et al. 2002:1313-1325).
The performance of a solar absorption cooler modeled through the use of TRNSYS software, considering three building types in three climatic locations in Europe showed that the annual costs
were lower when compared to standard cooling systems, but only a 60% of solar fraction acted
for an annual saving of 35%-45%, due to the increase in maintenance costs (Mateus and Oliveira
2008:949-957). Wang et al. described various methods for solar cooling into small-scale residential
applications, highlighting advantages and disadvantages of each of the different systems (Wang
et al. 2009:638-659). Lafuenti et al. proposed some system innovations about the existing solutions of solar cooling, with the aim of their adaptation to hot and humid climates (Lafuenti et al.
2012:1-7). According to a study by The Centre for Renewable Energy Sources and Saving (CRES), the
solar driven systems can cover 10-60% of the combined space heating/cooling and DHW demand
at southern, northern and central European countries (CRES 2011). A life-cycle analysis made on a
LiBr absorption chiller, using evacuated tube collectors, showed that comparing this solar driven
system to one with a conventional vapor compression unit, the Global Energy Requirement (GER)
and Global Warming Potential (GWP) were reduced by 25% to 50% (Beccali et al. 2012). A research
carried out in 2012 (Shesho 2014:102) on a solar assisted air-conditioning system modeled in TRNSYS, defined with vacuum tube collectors, storage tank, auxiliary heater and absorption machine
for a building collocated in Macedonia, showed that the specific indicators for solar fraction, in
regards of the ratio between solar collector area and conditioned area are: 0.1 m2/m2 conditioned
can cover almost 30%; 0.2 m2/m2 conditioned covers 50%; 0.4 m2/m2 conditioned can cover 70%
of the total required heating energy for driving the absorption. The use of solar energy to produce the cooling energy becomes an advantageous opportunity, as evidenced by the numerous
pilot projects carried out in the European countries, especially in Germany and Spain. In Italy the
F-92 building of the ENEA Casaccias Research Centre can be mentioned because of the implementation of a solar heating and cooling system, combined with evacuated tube solar collectors.
The monitoring of the system conducted from 1stJune 2012 to 15st September 2012, showed that,
during summer operation, the sun covered the 66% of the thermal energy required to power the
refrigerator absorption unit (Calabrese et al. 2012).

Nanofluids as heat transfer fluids

The most important intrinsic limitation, in order to increase the heat transfer coefficient of the
working fluid in a solar system, consists in the relatively low thermal conductivity of conventional
fluids. For this reason, several studies have recently been made about the possibility to make a
composite fluid (nanofluid) obtained by adding appropriate solid particles (with a diameter of
less than 100 nm) to conventional heat transfer fluids (Lomascolo et al. 2014). The increase in conductivity has been studied according to variations in the nanoparticle volume concentration, in
the nanoparticle material, in its size, shape, base fluid and temperature. Experimental results generally show an increase in thermal conductivity, which is larger with the increase in nanoparticle
volume concentration (Masuda et al. 1993:227-233; Lee et al. 1999:280-289; Wang et al. 1999:474-480;
Xie et al. 2002:4568-4572; Das et al. 2003:567-574; Wen et al. 2005:265-274; Li et al. 2006:1-8; Barbes
et al. 2013:1615-1625) and with the increase in nanoparticle size, for the water-based Al2O3 nanofluid, which is one of the most investigated nanofluid. The general trend, observed in literature,
is that nanofluid thermal conductivity rises when temperature increases (Das et al. 2003:567-574;

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Li et al. 2006:1-8). It also rises with a cylindrical or elongated shape of the nanoparticles instead of
spherical particles (Murshed et al. 2005:367-373; Xie et al. 2002:571-580) and with a decrease of base
fluid thermal conductivity (Xie et al. 2002:1469-1471). Some studies show that the use of nanofluids
in solar collector can improve the outlet temperature and efficiency; one of these (Yousefi et al.
2012:293-298) investigated experimentally the effect of Al2O3water nanofluid as working fluid on
the efficiency of a flat-plate solar collector, showing an increasing of the efficiency up to 28.3%,
for a 0.2% volume fraction and an enhancement of 15.63% in heat transfer efficiency due to the
surfactant. They (Yousefi et al. 2012:207-212) also studied the efficiency of a flat-plate solar collector
with MWCNT nanofluid as working fluid, deducing an increasing of the efficiency only adding a
surfactant. Another study (Colangelo et al. 2013:80-93) reported the experimental results and the
potential performance of the investigation on flat solar thermal collectors using nanofluids and
it showed a thermal conductivity enhancement up to 6.7% at a concentration of 3.0vol% of Al2O3
nanoparticles. They also measured an increase of thermal efficiency up to 11.7% by using nanofluid instead of water as working fluid in a modified flat panel solar thermal collector (Colangelo et
al. 2015:874-881). More studies have been made about the effect of using different kinds of nanofluid on the efficiency of direct absorption (Parvin et al. 2014:386-395; Tyagi et al. 2009:1-7; Otanicar
et al. 2010:033102; Saidur et al. 2012: 5899-5907), evacuated tubes (Lu et al. 2011:379-387; Liu et al.
2013:135-143), transparent parabolic trough (de Risi et al. 2013:134-139) and concentrated parabolic
solar collectors (Lenert et al. 2012:253-265; Khullar et al. 2013:1003-1012).

Description of the case study

The case study analyses two different simulation models of solar cooling system designed to air
condition a hypothetical detached building located in Brindisi, Italy, in a time range starting on
the 1st June and ending on the September 30. The performance of the solar cooling system is
defined using TRNSYS 16, a transient systems simulation program with a modular structure. The
environment internal time step used was 1 hour. The chilled water system for TRNSYS simulation
is consisting of the following elements:
Single-family residential building (Type 660).
A volume of conditioned air of 1000 m3 has been chosen. Internal loads through persons depend
on four occupants from 8:00PM to 8:00AM, three occupants from 12 noon to 3:00PM and two occupants from 3:00PM to 8:00PM. Lighting loads are included from 6:00PM to Midnight.
Solar collector field (Type 1).
Solar collector field WATER:
Flat plate collector field has an area of 25 m2;
The flow rate per unit area at which the collector was tested in order to determine the collector
efficiency parameters = 0.02 kg/s*m2;
Intercept efficiency, in equation form, this parameter is a0 in the collector efficiency equation:
(1)

and it is equal to 0.517;

Efficiency slope, in equation form, this parameter is a1 in the equation and it is equal to 4.452
W/m2*K.

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Solar collector field _NANOFLUID:

Tested flow rate = 0.02 kg/s*m2;
Intercept efficiency = 0.553;
Efficiency slope = 2.053 W/m2*K.
Hot water buffer storage (Type 60).
Tank volume = 2.5 m3;
Tank loss coefficient = 2.5 kJ/hr*m3 *K.
External backup heater (Type 6).
The heater is designed to add heat to the flowstream at a user-designated rate (Qmax) whenever
the external control input is equal to one and the heater outlet temperature is less than a specified maximum (Tset).
Maximum heating rate = 25 kW, it will be the product of the maximum possible energy transfer
and the conversion efficiency;
The thermal conversion efficiency = 0.79 (natural gas);
Set temperature of heater internal thermostat, which ensures proper operation of the generator = 85 C.
Hot Water-Fired Single-Effect Absorption chiller (Type 107).
The amount of energy to remove from the chilled water stream in order to bring it to the set point
temperature is calculated by the following equation:
(2)
The required energy removal is then divided by the machines capacity to determine the fraction
of design load at which the machine is required to operate.
(3)

The capacity of the machine at any given time, therefore:

(4)
The energy delivered to the chiller by the hot water stream can be calculated using the following
equation:
(5)

The hot water stream outlet temperature is then:

(6)

The chilled water outlet temperature, which should be the set point temperature, but may be
greater if the machine capacity is limited, is then calculated as:
(7)

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In order for the energy balance, the energy rejection to the cooling water stream is given by:
(8)

The temperature of the exiting cooling water stream can be calculated using:
(9)

The COP is defined as shown below:

(10)

Main parameters are shown below:

Rated capacity = 18 kW;
Rated COP = 0.75.
Wet cooling tower (Type 51).
Fan power at maximum flow = 43 kW;
Maximum cell flow rate = 2.08 m3/s;
Minimum cell flow rate = 0.52 m3/s.
Circulation pumps (Type 3).
Cooling coil (Type 508).
Figure 3.1 shows the final model simulated in TRNSYS simulation studio with all required Types
and links.

Figure 3.1 TRNSYS Simulation Studio model

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Control strategy
The simulation model contains a number of differential controllers for temperature, modeled by
Type 2, which are used in order to control:
the flow to the solar collectors: the controller allows the fluid to circulate in the internal heat
exchanger of the tank only when the difference between the temperature of the outlet fluid
from the collectors and the average temperature of storage tank is contained between a T=
0.3C and a T= 5C;
the flow of the working fluid from collectors to an auxiliary cooling device, which has the purpose to reduce the temperature of the flow stream, removing energy from it at an user-designated rate (Qmax) whenever the temperature of the working fluid is higher than the user-designated one (Tset = 90C);
the operation of the auxiliary heater: this controller allows the gas heater to operate only when
the temperature of the fluid coming from the hot storage goes down 75C.
The previous operation and the absorption chillers running take into consideration the presence of cooling demand from building, in fact they depend on a signal coming from a thermostat, modeled by the Type 108. The cooling stage is commanded when the rooms temperature
rises above 24C.
Simulation results and discussion
With regard to the traditional water flat plate collectors system, temperature gets to a minimum
average value of 23C and doesnt overtake 100C, the storage tank temperature shows, as expected, a lower range of values going from about 47C to 79C. In the figure 4.2 we can notice a general
increasing working fluids temperature by using nanofluid as working fluid.

Figure 4.1 Traditional water solar collectors temperatures (T_Coll) and hot storage tank temperatures
(T_TANKout) TRNSYS Graph

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Figure 4.2 Nanofluid based solar collectors temperatures (T_Coll) and hot storage tank temperatures
(T_TANKout) TRNSYS Graph
In the figures 4.3 and 4.4 it is shown how the temperature of the fluid stream exiting the hot storage tank increases to the set point value of 85C, by the auxiliary heating, only when values lower
than 75C are measured and the controller is ON.

Figure 4.3 Water based solar collectors - Hot storage tank fluid stream temperatures (T_TANKout) and
auxiliary heater fluid stream temperatures (T_HXout) TRNSYS Graph

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Figure 4.4 Nanofluid based solar collectors - Hot storage tank fluid stream temperatures (T_TANKout)
and auxiliary heater fluid stream temperatures (T_HXout) TRNSYS Graph
According to the cooling stage temperature set by the thermostat, the absorption chiller runs
when a temperatures value above 24C is recorded in the building; in this case the cooling unit
provides a chilled fluid stream at the set temperature of about 6C, which removes heat from the
fancoil working fluid, generating a return flow to the absorption chiller in a temperature range
going from about 5.5C to 7C. The air stream derived from the conditioning device is at about 10C
and provides to cool the air building zone.

Figure 4.5 Water based solar collectors Building temperature (T_BUILD); fan coil outlet fluid temperatures (T_FLUIDFANout); fan coil air stream temperatures (T_AIRFANout) and thermostat conditioning
signal (CONDSignal) TRNSYS Graph
The following figures indicate the trend of the power provided by both the solar thermal system
and the auxiliary heater, compared with the one required by the absorption chiller unit, in order
to perform the conditioning function; it is evident that the auxiliary heater powers gain increases

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when the power deriving from the solar thermal system decreases, as shown in the figures 4.7
and 4.9.

Figure 4.6 Water based solar collectors Hot storage fluid stream supplied power (Tank_P_Out); Auxiliary heater supplied power (boil_P); Chillers generator required power (hot_P) TRNSYS Graph

Figure 4.7 Water based solar collectors Hot storage fluid stream supplied power (Tank_P_Out); Auxiliary heater supplied power (boil_P); Chillers generator required power (hot_P) [kJ/hr] TRNSYS Graph

Dynamic simulation of a solar cooling HVAC system with nanofluid

691

Figure 4.8 Nanofluid based solar collectors Hot storage fluid stream supplied power (Tank_P_Out);
Auxiliary heater supplied power (boil_P); Chillers generator required power (hot_P) TRNSYS Graph

Figure 4.9 Nanofluid based solar collectors Hot storage fluid stream supplied power (Tank_P_Out); Auxiliary heater supplied power (boil_P); Chillers generator required power (hot_P) [kJ/hr] TRNSYS Graph
In the following table (table 1), how the rate of useful energy gain by the nanofluid-based solar
collector increases is shown.
Table 1 Water and nanofluid based solar collectors Power gain

WATER

NANOFLUID

Coll_P

Coll_P

kW

kW

JUNE

19.93

31.09

56.00

JULY

297.99

465.85

56.33

AUGUST

222.39

352.44

58.48

SEPTEMBER

43.72

70.75

61.83

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Focusing on June, the simulation has shown instantaneous power gains deriving from the hot
storage tank (Tank_P), from the auxiliary heater (Boil_P) and those required by the chillers unit
(HOT_P), for each hour in which the conditioning signal is switched on.
Table 2 Water based solar collectors Instantaneous power gains on June

JUNE

WATER

Tank_P

BOIL_P

Tank_P+BOIL_P

HOT_P

Day

Hour

kW

kW

kW

kW

18

15:00:00

6.07

0.93

7.00

6.78

19

10:08:00

5.74

1.37

7.11

6.72

19

11:08:00

5.58

1.37

6.95

6.72

19

12:08:00

5.43

1.37

6.80

6.40

20

17:04:00

5.63

1.55

7.18

6.77

20

18:04:00

5.47

1.55

7.02

6.77

21

10:08:00

5.20

2.08

7.28

6.17

24

17:04:00

5.35

1.87

7.22

6.78

24

18:04:00

5.20

1.87

7.07

6.78

25

10:08:00

4.94

2.42

7.36

6.10

Table 3 Nanofluid based solar collectors Instantaneous power gains on June

NANOFLUID
Day

JUNE

Hour

Tank_P

BOIL_P

Tank_P+BOIL_P

HOT_P

kW

kW

kW

kW

18

15:00:00

6.22

0.76

6.97

6.78

19

10:08:00

5.88

1.19

7.07

6.72

19

11:08:00

5.72

1.19

6.90

6.72

19

12:08:00

5.56

1.19

6.75

6.40

20

17:04:00

6.11

0.90

7.01

6.77

20

18:04:00

5.93

0.90

6.83

6.77

21

10:08:00

5.71

1.53

7.25

6.17

24

17:04:00

5.94

1.12

7.05

6.78

24

18:04:00

5.77

1.12

6.88

6.78

25

10:08:00

5.47

1.73

7.20

6.10

Figures 4.10 and 4.11 show histograms about energy demand and supply in both cases:

Figures 4.10 Water based solar collectors Hot storage fluid stream supplied energy (TANK_En); Auxiliary heater supplied energy (BOIL_En); Chillers generator required energy (HOT_En)

Dynamic simulation of a solar cooling HVAC system with nanofluid

693

Figures 4.11 Nanofluid based solar collectors Hot storage fluid stream supplied energy (TANK_En);
Auxiliary heater supplied energy (BOIL_En); Chillers generator required energy (HOT_En)
Table 4 Water and Nanofluid based solar collectors Hot storage fluid stream supplied energy
(Tank_En); Auxiliary heater supplied energy (Boil_En); Chillers generator required energy (Hot_En)
WATER

NANOFLUID

ENERGY
GAIN

ENERGY
SAVING

Tank_En

Boil_En

Hot_En

Tank_En

Boil_En

Hot_En

kWh

kWh

kWh

kWh

kWh

kWh

JUNE

546.07

163.88

659.73

582.96

116.25

659.73

6.76

29.06

JULY

22414.06

7957.66

28007.32

23852.09

6199.24

28007.32

6.42

22.10

AUGUST

20721.70

8990.04

27341.26

22226.18

7443.09

27341.26

7.26

17.21

SEPTEMBER

1572.27

697.61

1907.56

1694.78

594.39

1907.56

7.79

14.80

Figure 4.12 JUNE_Water and Nanofluid based solar collectors Hot storage fluid stream supplied
energy (TANK_En); Auxiliary heater supplied energy (BOIL_En); Chillers generator required energy
(HOT_En)

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Figure 4.13 JULY_Water and Nanofluid based solar collectors Hot storage fluid stream supplied
energy (TANK_En); Auxiliary heater supplied energy (BOIL_En); Chillers generator required energy
(HOT_En)

Figure 4.14 AUGUST_Water and Nanofluid based solar collectors Hot storage fluid stream supplied
energy (TANK_En); Auxiliary heater supplied energy (BOIL_En); Chillers generator required energy
(HOT_En)

Figure 4.15 SEPTEMBER_Water and Nanofluid based solar collectors Hot storage fluid stream supplied energy (TANK_En); Auxiliary heater supplied energy (BOIL_En); Chillers generator required energy (HOT_En)

Dynamic simulation of a solar cooling HVAC system with nanofluid

695

Conclusions
This study has been focused on the dynamic simulation of an air conditioning system which employs thermal solar flat plate collectors as heat source in a water-lithium bromide vapor absorption chiller, showing an increment of the heating energy gained by using nanofluids (colloidal
dispersion of 3.0 volume% of Al2O3 nanoparticles in bi-distilled water) as working fluid in the solar
thermal field, compared with conventional water based one. It follows that the hot fluid stream
headed to the chillers generator needs a lower external auxiliary heating, to reach the hot inlet temperature of about 85C required by the absorption chiller, which means energy and cost
savings. In June the simulation presents an energy rate deriving from the solar collectors with
nanofluids and stored in the tank, increased by about 6.76%, with a saving of 29.06% on the auxiliary heating; in July 6.42% more stored energy is recorded, with a saving of about 22.10% on the
heaters energy consumption; in August 7.26% more stored energy is calculated, with a saving of
17.21% on the auxiliary heating and in September energy rate increased by 7.79% with a saving of
14.80% on the heaters energy consumption.
In conclusion, according to the need to increase the efficiency of renewable energy systems and
the general necessity to increase energy savings for a country like Italy which depends in large
part by third parties with regard to energy supplies, these results suggest the possibility to use
nanofluids in several systems characterized by closed loop working fluids, in order to improve
their energy efficiency.

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Nomenclature
[-]

Solar Collector Efficiency

[-]

Intercept (maximum) of the collector efficiency

[kJ/h*m*K]

Slope of the efficiency curve

[kJ/h*m*K]

Curvature of the efficiency curve

Radiation [kJ/h*m]

Global radiation incident on the solar collector

Tin [C]

Inlet temperature of fluid to collector

Tenv [C]

Ambient (air) temperature

[kJ/h]

The rate at which energy was removed from the chilled water flow stream

[kg/h]

Chilled water flow rate

[kJ/kg*K]

Specific heat of the chilled water stream fluid

[C]

Temperature of fluid entering the chilled water stream

[C]

Chilled water stream set point

[0..1]

Fraction of design load at which the machine is required to operate

[kJ/hr]

Rated cooling capacity of the device

[kJ/hr]

Mass flow rate of air entering the fresh air side of the device

[0..1]

Fraction of the devices full load capacity during operation under current conditions

[0..1]

Fraction of the devices nominal capacity during operation under current conditions

[kJ/hr]

Energy removed from the hot water stream

[-]

Rated Coefficient of Performance

[0..1]

Fraction of design energy Input currently required

[C]

Temperature of fluid exiting the hot water stream

[C]

Temperature of fluid entering the hot water stream

[kg/hr]

Mass flow rate of the hot water stream fluid

[kJ/kg*K]

Specific heat of the hot water stream fluid

[C]

Temperature of fluid exiting the chilled water stream

[C]

Temperature of fluid entering the chilled water stream

[kg/hr]

Mass flow rate of the chilled water stream fluid

[kJ/kg*K]

Specific heat of the chilled water stream fluid

[kJ/hr]

Energy draw of parasitics

[C]

Temperature of fluid exiting the cooling water stream

[C]

Temperature of fluid entering the cooling water stream

T_Coll [C]

Working fluid solar collector temperature

T_TANKout [C]

Hot storage tank temperature

T_HXout [C]

Temperature of the fluid stream exiting the auxiliary heater

T_FLUIDFANout [C]

Fan coil outlet fluid stream temperature

T_AIRFANout [C]

Fan coil outlet air stream temperature

T_BUILD [C]

Building temperature after conditioning

CONDSignal [-]

Conditioning signal

Hot_P [kW]

Chillers generator required power

Boil_P [kW]

Auxiliary heater supplied power

Tank_P [kW]

Hot storage fluid stream supplied power

Coll_P [kW]

Collector fluid stream supplied power

Tank_En [kWh]

Hot storage fluid stream supplied energy

Boil_En [kWh]

Auxiliary heater supplied energy

Hot_En [kWh]

Chillers generator required energy

Dynamic simulation of a solar cooling HVAC system with nanofluid

697

Acknowledgements
This work has been possible thanks to the financial support of the Innovasol project
(Pon02_00323_3588246), funded by the Italian Government.

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International Conference | Bari - Lecce, Italy

Session IX

ENERGY RETROFIT FOR ROME MUNICIPALITYS

RESIDENTIAL REAL ESTATE. ATER A CASE STUDY:
THE VIGNE NUOVE COMPLEX
Marina Pugnaletto1, Cesira Paolini2 & Carmen Spagnoli3
1 Associate Professor of Building Design, DICEA , Sapienza University of Rome, Italy, [email protected]
2 Research Assistant in Building Design, DICEA , Sapienza University of Rome, Italy, [email protected]
3 Master in Architectural Engineering, DICEA, Sapienza University of Rome, Italy, [email protected]

Abstract
Many large residential building complexes of Romes ATER were built between 1970 and 1980
in accordance with Italian Law 167/1962. These complexes were not designed and built with
energy standards complying with todays regulations (many were built before Law 373/1977,
which included the first regulations for the construction of high energy efficient buildings,
later replaced by Italian law 10/1991). These complexes, despite being examples of the best
architectural practices of those years, were constructed making use of prefabricated and/or
industrialized building systems which resulted in a lack of building flexibility and adaptability,
something that is now recognized as a culturally important requirement for those living in
these contexts.
The Vigne Nuove complex is an important example of 1970s design carried out by a group
of highly qualified architects/engineers (building section: F.L. Passarelli; structures section:
Feroldi V. De Rosa, E.F. Radogna, Samuelli A. Ferretti; plant section: B. Conti, M. Indiati), who
constructed a suburb of residences and numerous services, as required by the City of Rome,
creating a small city within a city. This complex, used by families seeking better and more
comfortable living conditions, is now marked by a state of widespread degradation, neglect
of services areas, a proliferation of additional illegal structures (verandas, enclosed balconies,
closed in parking spaces), and the occupation of the public spaces by homeless people. Complexes such as this, which still offer a great potential, can be recovered through energy retrofits and adapting housing and common areas to new living needs. The detailed analysis made
through gathering previous project designs and a survey of the status quo has led to identifying a total lack of any energy principals and a shortage in infrastructures as a critical point of
the complex while, at the same time showing that it can provide some important structural
and architectural opportunities.

Keywords
social housing, energy retrofit, construction, prefabrication.

701

The buildings constructed under the social housing programs from post-World War II up to the
1980s has today in Italy, as in the rest of Europe, become a widespread phenomenon of a loss
in efficiency and functionality resulting from a marked physical and technological deterioration.
Problems related to any possible redevelopment of these properties are extremely complicated and quite delicate as a series of different and, at times, contrasting factors come into play.
On the other hand, projects on these buildings have appeared for some time to be one of the
main means to achieve an actual reduction in energy consumption, to the extent that, already in
2002, the European Directive 2002/91/EC promoted the improvement of the energy performance
of buildings within the Community, taking into account outdoor climatic and local conditions, as well
as the indoor climate requirements and cost-effectiveness.
This focus was due to, among other factors, the fact that the energy used in the services and
residential sectors was estimated to be about 40% of the total energy consumption of the entire
Community and, consequently, the carbon dioxide emissions were also very high.
An undoubtedly interesting sector concerning energy consumption efficiency is obviously that
of social housing because of the number of dwellings and the building, urbanistic, social and
economic features involved.

Figure 1: The Vigne Nuove complex in 70s (taken from LUnit newspaper)

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Looking more specifically at the Italian situation, the post-World War II years were marked by an
enormous surge in the building sector due to the need for reconstruction, as well as the growing urbanization and, not least, the need to house and employ the people who, leaving their
former rural homes, were moving to the large urban centers. The experience of the INA public
housing, divided into two 7 year periods between 1979 and 1963, played a fundamental role in
social housing during the sensitive passage between the post-war reconstruction period and the
economic boom. In this scenario, for many reasons, the building methods, the site organization
and construction materials remained strongly rooted in national traditions and building quality
was based on referring to the established status quo and the drawing up of dossiers1. The latter
was assigned to the Architecture Department and included directives and proposals regarding
defining the housing and the building typologies and their aggregation in a broader urbanization
perspective.
However, from the mid-seventies the approach and design in constructing social housing complexes changed.
The new settlements were still mainly made up of groupings of diverse typologies, specifically
block and tower constructions, but the buildings themselves also became more complex and
larger in size in order to respond to the increasing housing demand. In short, they were designed
to accommodate the growing numbers of residents. At the same period, a progressive change
in the building sector was occurring, both in its organizational structure, due to changes in the
construction sector and Italian legislation and in construction methods. The increasingly larger
size of the works, on the one hand, and developments in the industrial production of building
technical elements and materials, on the other, resulted in the introduction and spread of industrially prefabricated components and the consequent transformation in building site organization. The changes in construction methods inevitably led to a shift of quality control from the
site to the factory. In fact, if, traditionally, the building quality had been entirely entrusted to the
knowledge of the builders and to the supervision and professionality of the project manager
and site manager, industrialized production now became the required factor for service quality
beyond the building site and, consequently, quality checks became essential in the production
plant. However, the general supervision of all elements contributing to a construction project was
fundamental and, unfortunately, at the beginning, the absence of quality checks on individual
elements and methods resulted in a decrease in construction quality, as can be seen in many
buildings constructed in the seventies.
Moreover, in the eighties, there followed the planning of large self-contained suburbs to house
thousands of new residents. From a construction perspective, at that time, the reference was the
European experience which was based on principles related to expediency and the simplification
of the building site work phases.
An example of this approach is the Vigne Nuove suburb, built during the seventies on the northern outskirts of Rome and presently part of Municipality III (fig.1). The selected area had been individuated in the Zone 7 Plan, a building development plan for areas designated for social housing
construction, where a sub-division of the area based on the zones to be developed was proposed,
and where a residential zone had been clearly specified for the construction of residential buildings, a mixed zone for residential and non-residential buildings, a service facilities zone with public
services and infrastructures, and a public green zone reserved exclusively for green areas, with a
clear prevalence in surface area for residential use.
In this plan, the construction of the residential buildings was directly managed by IACP (today
ATER) based on an initial preliminary project later modified by a group of highly qualified designers2, coordinated by Lucio Passarelli. The project proposed the construction of a unitary set-

Energy retrofit for Rome municipalitys residential real estate (ATER)

703

tlement able to create a balance with the heterogeneous range of surrounding buildings, and
foresaw a series of buildings exclusively for residential use and the different relevant facilities,
which, laid out along a single axis, delineated a series of walkways and passages and links between the different sized buildings. In particular, linear multi-storey residential buildings were
planned, with different level duplex dwellings, to be built on the valley edges, while large, mainly
two level, divided open spaces were planned descending towards the valley floor, equipped not
only to contribute to a pleasant community life, but also to serve the neighbouring suburbs. In
fact, the suburb was equipped with sporting facilities, such as a gym, football field, basketball and
volleyball courts, a bowls field and roller-skating rink (fig.2).
The whole project was designed and constructed, similar to others of the period, with energy features conforming to the regulations of time with no reference to any type of energy performance.
In fact, the law which included the first requirements to construct more energy efficient buildings
was Law 373/1977, later replaced by Law 10/1991, in force until the arrival of D.Lgs. 192/2005 and
its following amendments. The Vigne Nuove complex was equipped with a centralized heating
plant with one single heating system made up of five pressurized boilers with a total power output of 7 million kcal/h, fuelled by methane gas. As well, the project included the gas system, fire
protection system, electrical, telephone and intercom installations and the centralized television
antennae and lightning rods.
From a construction point of view, the buildings, while being an example of the best of Roman
architecture of those years, were constructed using prefabricated and industrialized systems,
adopted to reduce construction costs and times. This obviously resulted in a lack of flexibility.
Moreover, over time, the changing needs of the residents led to building alterations with the
construction of illegal additions, verandas, enclosed balconies, enclosed parking spaces and the
occupation of public spaces.
In general, social housing is one of the areas more adapt to eventual proposals for innovation and
experimentation in architectural, energy and environmental recovery. In particular, the residential buildings belonging to the Rome ATER real estate, which include the large complexes built
between 1960 and 1980 in accordance with Law 167/1962, appear to be a work of great interest.
The Vigne Nuove complex, which undoubtedly was potentially very important at the time of its
construction, could be redeveloped through energy retrofit projects and the adaptation of the
apartments and common space to new living needs. The detailed analysis made through gathering previous project designs and the survey of the status quo has led to identifying a total lack of
any energy principals and a shortage in infrastructures as a critical point of the complex, while, at
the same time, showing that it can provide some important structural and architectural opportunities.
From the analysis carried out based on the original project documentation and through different
inspections, it was possible to identify the location of the area for the facilities3 and for the four
residential buildings Building A, with simplex and duplex apartments, situated on the first two
levels; Building B, with simplex and duplex apartments, situated on the top two levels; Building C,
with only simplex apartments; and Building D, only duplex row apartments.
However, despite the buildings assigned for the facility plants having been actually constructed,
up to now, most of them have not been used for their originally designed purpose and appear
to be in a state of marked deterioration and neglect. The shopping centre, directly linked to the
balconied gallery of Building C, appears as an enormous concrete block, difficult to access. In addition, its position, secondary to the street side, has rendered it impossible to be used as originally
planned.
The building earmarked for the suburbs facilities presently hosts a National Health Agency on its
upper floor, in line with its forecasted role, while the lower floor is presently used for parking.

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Figure 2: The complex layout: original Passarellis project (above), new solution (below)

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The space destined for shops has been closed in and converted into apartments, as also for the
caretakers apartment, while the kindergarten area has been partly taken over by the areas centre
for the elderly. The social centre, in a not very evident position, is difficult to reach and, probably
for this reason, over time, has become neglected and is in a state of marked deterioration. The
building which in the project had been planned for the gym is today an empty unused area. The
only positive note is the primary school, given that it has maintained its institutional role and has
become a pole of attraction for the neighbouring areas.
With the idea of a project aimed at improving the energy performance of the whole complex,
one of the main problems appears to be linked to the architectural quality that marks the original
work and, consequently, the choice of the projects in keeping with the desire to maintain and not
destroy the buildings original image.
In the case of Vigne Nuove, the larger buildings were taken into consideration. The first phase
of the study was aimed at an analysis of Building A under a layout, construction, structural and
installation profile (fig.3). The main layout involves the positioning of eight stairwells that provide
access to two dwellings per floor in the case of the simplexes (96 in total) and four in the case of
the duplexes (28 in total).
Ground anchoring had been originally solved by introducing a first level a pilotis, which today,
unfortunately, has completely lost its meaning as the residents have, bit by bit, illegally closed off
a lot of the available space creating private garages.
From the pilotis level there is no free access to the stairs and to reach the balconied gallery an
external passage to the first floor must be used. The above two levels, the second and third, host
duplex apartments which are accessed from the balconied gallery, at a height of 48.17 m, which
is then connected to via Rodolfo Valentino by walkways. However, in these apartments, it was
found that the projection of the day zone over the underlying night zone resulted in a continual
lack of light.
The higher levels, from the fourth up, are made up of simplex apartments, larger than the duplexes. Independently from the apartment typology, the services remain the same the bathrooms
with a north-east exposure and the kitchens, south-west.
The study of the construction system resulted in identifying the materials used in the building.
The exterior shell is a layer of 8 cm perforated plaster board, with a 14 cm cavity and an exterior
prefabricated cement panel with an 8 cm grit-blasted finishing; the walls between apartments
are made of 16 cm thick concrete blocks, while the interior partitions are of 8 cm perforated plaster; and the windows are single glazed with aluminium frames; the stairwells are in-situ exposed
concrete surfaces.
The load-bearing reinforced cement skeleton structure was constructed based on a regular grid
system, with gaps between the columns longitudinally alternating between 7.80 m and 2.70 m,
while transversally the spacing is 4.58 m. The beams are all of the same height, the bordering ones
placed parallel to the longitudinal ones are 1.00 x 0.37 m, while the cross beams are 0.44 x 0.37m;
instead, the transversal beams are 0.29 x 0.38 m. The bordering support columns are all the same
size, 0.29 x 1.00 m, differently to the cross ones which taper off every two floors from 0.90 x 0.44
m on the ground level to 0.30 x 0.44 m on the top level; the flooring is made of hollow cement
bricks with a border to hold the poured concrete of the joists so the intrados surface appears as a
continuous tile surface.
In correspondence with the longer beams, at a distance of 40 m, we find the structures expansion
joints which allow for the subdivision of the very narrow and long floor plan, 180 x12.60 m, into
three smaller sections. The joint uses Gerber beams, which rest on top of 20 m sturdy brackets.
Therefore, during the construction phase, the main frames were set in place first, due to the lower
light element, and then the prefabricated

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Figure 3: Building A today: N-W view, h 48,17 plan and h 45,30 plan, S-E view
prestressed concrete beams were put into place, responding to the principles of the construction
elements of prefabrication and standardization.
From the checks carried out, while from a static perspective there emerged no problems with
the buildings, from an energy perspective, instead, many shortcomings were revealed. As well,
despite the designer having thought of a building system equipped with many facilities and linking passageways, there is a very scarse use of these and a widespread deterioration in the pilotis
levels, the balconied galleries and the connecting spaces. Therefore, the work of renovation, both
on a distributive-functional level and an energy one, was tackled.
Functionally, the pilotis level was redesigned to be used for garages, storage space and technical
cabins; the stairs had an entrance directly accessible to the garage level, thus, creating a direct link
between the different levels and, furthermore, the demolition of the exterior stairs was proposed.
The rethinking regarding the duplex apartments, but maintaining the original number of units,
led to a new and more modern distribution of the apartments with a clear internal subdivision4,
of the same size and perimeter. Some of the simplex apartments were redesigned creating balconied galleries near the stairwell between one apartment and another, and the interior space
was redesigned to accommodate a couple or a single person, also rendering them accessible for
disabled people.
Besides the changes in the use of the single apartments and the buildings, the problem regarding
the entire suburb was tackled, where the functional obsolescence of the construction was combined with a lack of use of the community spaces and the commercial and/or social facilities. In
fact, it was important that the renovation project had to take into account the whole context, also
planning for the redevelopment of the outside space and, particularly, focusing on the solution
for the ground anchoring of the building so as to restore the connection between the well-constructed and planned, but unused, exterior spaces and the private interior ones.

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Figure 4: Building A new solution: N-W view, h 48,17 plan and h 45,30 plan, S-E view
Starting from the premise that by relocating the services and commercial businesses to the main
levels of use, new opportunities could be created to give a new life to the suburbs and new urban
social economies of scale, it was proposed to locate, on the
pilotis level, private garages alternated with community facilities, such as the nursery school and
the centre for the elderly, which if directly included in the complex could simplify the daily management of many families. Its not random that the primary school is one of the better aspects of
the entire suburb.
Moreover, from the space recovered from the demolition of some of the structures5 an underground garage was proposed with a green roofing area to create a garden which, other than
being a water reserve for the complex, could also create a responsible community to entrust the
upkeep of the green areas to.
In the suburbs adjacent and empty lots, there is a proposal to build a new residential complex,
to accommodate the inhabitants presently residing in Building D, which, at the same time, could
render a social requalification of the whole area much easier. The new constructions would also
be an efficient tool to access funding for redevelopment projects.
However, the biggest problem to be tackled appears to be the energy performance of the complexs buildings as, similar to all construction of that era, building energy efficiency was hardly
ever taken into account.
The choice was to modify the buildings with the necessary alterations but, at the same time,
maintain the original character of the project which, as mentioned, is an example of one of the
better Roman public constructions of the seventies. Therefore, a solution that would be less invasive visually, but important from a construction perspective was chosen, adopting two project
lines. In the case of the simplex apartments, where no renovation of the vertical enclosures was
forecasted, the existing walls were reinforced, while for the duplexes, which in the project were to
be greatly modified, a new perimeter enclosure was proposed. As far as the windows were con-

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cerned, the original ones were to be replaced with new thermally insulated ones, respecting the
existing window sizes in keeping with the facades enclosed and empty space rapport. The plastered walls compared to the previous grit-blasted ones no longer result in a facade dominated by
horizontal stripes, which made the buildings seem much longer (fig.4). To lessen the complexs
compactness, terraces were introduced at different levels, which other than creating a landing to
access some apartments, break the linear aspect of the balconied gallery and become places for
people to relax or socialize.
To understand the energy performance of Building A, a study was carried out using STIMA software which resulted in drawing up a model where, for each environment, the elements of the
existing closures, walls and floors, and the relevant trasmittance value, were included to obtain
an energy performance assessment for the whole construction.

Figure 5: Building A today: duplex apartment and transmittance evaluation for external wall and windows
Furthermore, as it is a building with a centralized heating system, the simplex apartments were
considered as one single large environment while the duplexes were considered as two different
environments.
The transmittance values were compared with the ministerial decree of 26 November 2010 published in Official Gazette n.35, 12/02/20106 concerning building energy requalification, updated
from the ministerial decree of 11 March 2008 (amendment of legislative decree n.192, 19 August
2005). Instead, for the total building calculation and the relevant energy certificate, the UNITS11300
(the recommendation of the Comitato Termotecnico Italiano regarding building energy certification) was used.
The checks were carried out taking into account the present exterior walls, made of an 8 cm reinforced concrete panel, a 14 cm air cavity, a layer of 8 cm perforated plaster and of plaster board,
where, as can be seen in the Glaser diagram, no condensation occurs between the layers. The
calculation of the transmittance, instead, highlighted the problem of thermal dispersion being
u=0.518 w/m k more than the minimum values forecasted by law (0.29 w/m k).
In the covering floor, the Glaser diagram highlights the formation of condensation inside the
damp-proofing and this would require adding a vapour barrier before insulating to avoid the
damaging effects of condensation. In this case, the transmittance value (u=0.492 w/m k) is much
higher than the values forecasted by law (0.26 w/m k).

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No condensation problems exist for the single-glazed aluminium windows, while there is an
enormous problem of dispersion externally. The transmittance value (u=5.531 w/m k) is much
higher than the legal threshold of 0.2 w/m k and the building in its present state is classified as
Class G (fig.5).
Therefore, the solution proposed to increase energy efficiency was, in the case of the simplex
apartments where no makeover of the walls was foreseen, to apply an 8 cm insulating cladding
over the exterior part and then a 2 cm plaster coating on the existing layer. Instead, in the case
of the duplexes, the choice was to replace the existing perimeter walls with 25 cm poroton masonry with an exterior 5 cm insulating coating and plaster. Both the new solutions resolve the
serious problem of thermal bridges which had occurred in the construction evaluation phase of
the buildings. In the case of the simplex apartments, it was verified, using the Glaser diagram, that
the altered walls would not have any condensation problems and the relative transmittance value
would be u=0.234<0.29 w/m k. Similarly, for the duplex apartments, with the new exterior layer,
the transmittance would be below the regulation threshold of u=0.249<0.29 w/m k.
As far as the windows are concerned, it was proposed to replace the existing aluminium

Figure 6: Building A new solution: new apartments and transmittance evaluation for external wall and
windows
frames with insulated 4-6-6 double-glazed windows with an exterior of Saint Gobain climaplus,
with the glass being coated in a low-emission film providing an even higher level of insulation,
and a hermetically sealed space filled with an insulating gas or demoisturizing air. For the horizontal closing cover it was proposed to apply, to the top surface of the damp-proofing layer, a layer of closed cell insulation which would decrease the transmittance value to u=0.238<0.26 w/m k.
From the calculations, it was verified that with these simple modifications to reduce thermal dispersion, the buildings energy classification would increase to Class B (fig.6).
Instead, concerning domestic hot water production, often responsible for very high CO2 emissions, it was confirmed that, at the time of construction, the buildings were installed with a hot
water storage system with an electric boiler for each apartment, later replaced with an instant
heating hot water system with a gas boiler, which resulted in a marked increase in energy consumption and heating. The projects aim was to reduce the CO2 emissions by foreseeing the installation of a centralized storage system, where the unused still hot water, would remain in the
boiler (accumulators) at a sufficiently high temperature, not requiring further heating. This type

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of technology, reducing the water heating process, results in lower CO2 emissions and the use of
less energy-consuming generators.
Along with this project, a system for rainwater recovery was proposed, in keeping with the idea
that, in an increasingly difficult context of water resource supply and management, it is necessary
and a must to adopt, both for new constructions and in already existing ones, solutions aimed at
achieving acceptable levels of building sustainability. According to the present Italian legislation,
rainwater, once collected, can be used to irrigate public or condominium green areas, to wash
paved areas, for technological use, to fill WC flushing systems, for water distribution on underground levels and, finally, for air conditioning systems.
For the work proposed in the project to modify the system, regulation Uni en 12056-3:2001 and
din 1989-1:2000-12 were used as references. Therefore, during an initial phase, a study was carried
out to establish the required parameters to modify the system, such as, the total rainwater flow,
the catchment surface area and the runoff coefficient. Using the ex-Roma Urbe meteorological
station of the Municipality IV, data on yearly rainfall levels was gathered, information necessary to
calculate the total rainwater runoff in catchment surface areas7 and to evaluate the average annual rainfall. The water need was, instead, established depending on the type of use, the quality,
the number of users and the quantity and type of services required, then, later the maximum volume of rainwater collected was identified and, finally, the tank sizes were estimated. As far as the
positioning of the eight 10.000 litre cisterns was concerned, it was proposed to locate them in the
space available at the basement level, to avoid excessively increasing the load on the overhead
floors. Finally, once the monthly balance was calculated between the net volume of rainwater collected from the covered surface areas and the internal need, it was decided to use the collected
water only to irrigate the green areas. In fact, the recovered water is always equal to that collected
and is not sufficient to fully meet that required for other eventual uses.
The actual carrying out of the work planned in the redevelopment project, which would result
in a marked improvement in the whole complexs energy efficiency, would mean moving the
families presently living in the buildings marked for renovation. Therefore, it appears evident that
the management of the entire operation should forecast more phases, of which the first should
be to construct a new building and its accompanying services, so that in the second phase, that
concerning the work on the first two levels of Building A, the inhabitants of 32 duplex apartments
would find themselves temporarily accommodated in the newly completed building. Then, the
demolition of Building D could be forecasted and also the construction of the garage. The occupants of the 30 apartments in the building could be moved permanently to the new building. It
would be, in fact, enough to use the apartments in Building H, one of the two tower blocks, numbering 30 dwellings, or a more homogeneous allocation of the inhabitants could be considered
among the different new buildings. Also in the case of the changes foreseen for the 32 simplex
apartments in Building A to be allocated to single people and/or disabled and for the neighbouring apartments which should be then modified (for a total of 64 units), the inhabitants could be
transferred to the new homes on the first two levels of the same Building A (phase 1), where there
would have already been completed more apartments compared to the existing number.
Although quite synthetic, the project experience conducted on the Vigne Nuove settlement has
shown how, in the framework of the enormous patrimony of social housing existing in Italy, it is
possible to intervene8, to increase the energy efficiency of single buildings and of a whole complex through technical solutions which individuate a converging of prefabricated construction
systems, features of the public building of the seventies and the present new construction methods. Often, the work carried out on social housing buildings results in marked alterations and
increases in size, and, unfortunately, changes to the architectural language are all too frequent.
However, in the case of complexes which over the years have become examples of a specific
planning and design by groups of brilliant professionals, the approach should change, with it

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being understood that different interdisciplinary evaluations have allowed for introducing new
changes in construction and even in the possible demolition of existing structures.
What often distinguishes the energy retrofit projects, in this area, is a complete makeover which,
together with the increase in the buildings energy performance, presents new and different formal solutions. In the Vigne Nuove case, instead, it was necessary to follow a logic which allowed
for variations linked to improving energy sustainability, quality regarding well-being and, not
least, a social renewal of the whole suburb without, however, revolutionizing the original building
features, with modifications and reconstruction work respecting the original spirit of the initial
project. As seen in other cases similar to Vigne Nuove, where a complex has been recognized for
its undeniable quality, it must be hoped that also here, along with the already many parameters
and indicators required to formulate the project, the knowledge of the buildings will be considered, also from an architectural and historical point of view, so that their particular worth will be
able to be preserved over time.

Note
1

The first dossier was entitled Proposals, regulations and plans for drawing up and presenting projects. Calls for
tenders, the second Example proposals and regulations for town-planning. Standard plans.

2 The group of designers for the buildings was made up of V. Feroldi De Rosa, E.F. Radogna, A. Samuelli Ferretti and, for
the plants, B. Conti and M. Indiati.
3 The shopping centre, the suburbs facility plants, the kindergarten, the primary school, the social centre, the shops
and the caretakers apartment were located here.
4 The day zone made up of the living-room, kitchen and dining area was planned with apartment access, while on the
lower level there is the night zone with the two bedrooms and two bathrooms.
5 The demolition of Building D, the shopping centre, the building for the suburbs facilities, the building for the shops,
the caretakers apartment and the social centre were proposed.
6 The decree established the minimum transmittance value which had to be respected, particularly for 0.29 w/m
k opaque vertical structures, 0.34 w/m k opaque horizontal structures, 0.26 w/m k covered opaque horizontal
structures and 0.2 w/m k windows including fixtures.
7 The catchment surface is equal to the cover surface area of the buildings, flat with an inclination of 2% and a terrazzo
tile covering of 60x60cm.
8 The opportunity for the project must be considered after all evaluations have been done on the actual disposition of
the suburb to be redeveloped.

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International Conference | Bari - Lecce, Italy

Session IX

ANALYSIS OF THERMAL AND VISUAL COMFORT IN

RENOVATED SCHOOL CLASSROOMS
Hasim Altan1, Jitka Mohelnikova2 & Pavla Mocova2
1 Sustainable Design of the Built Environment, Faculty of Engineering & IT, British University in Dubai, Dubai, UAE,
[email protected]
2 Institute of Building Structures, Faculty of Civil Engineering, Brno University of Technology, Brno, Czech Republic,
[email protected]

Abstract
Nowadays, energy efficiency in buildings is a prime objective for energy policies at regional,
national, and international levels. Existing buildings have a massive potential for energy savings, and old school buildings have been a particular concern when aiming towards energy
renovations. Energy renovation of school buildings is therefore a vital task, which would not
only take into consideration the indoor climate comfort, but also to provide emphasis on the
energy saving potentials and guidelines for the future school designs. For an energy efficient
renovation of educational buildings, the International Energy Agency (IEA) has already provided sufficient knowledgebase and information on retrofit technologies, energy saving approaches, and ventilation strategies. In this paper, the study focuses on thermal performance
and daylight evaluation of classroom environments in an existing school building in central
Europe, by using computer simulation method to carry out analysis of the optimized renovation concept within its locality and again for the specified climatic conditions. The findings
of this study have shown potentials for optimized renovation concepts of school classrooms
for energy efficiency and indoor environments concerning both thermal and visual comfort.

Keywords
Thermal Evaluation, Daylighting, School Buildings, Energy Renovation, Central Europe.

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Introduction
Energy efficiency in buildings is a prime objective for energy policy at regional, national and international levels (Perez-Lombard et al. 2008). Buildings have a massive potential for energy savings.
Especially old school buildings have been objects of interests aimed towards energy renovations
(Butala and Novak 1999; IEA 1996).
Energy renovation of school buildings is very important task that requires consideration of both
the indoor climate comfort and the energy saving potential. An energy efficient renovation of
educational buildings collected by the United States (US)s International Energy Agency (IEA) provided information on retrofit technologies, energy saving approaches and ventilation strategies
(IEA 1996; Zimmermann, 2011; Erhorn-Kluttig and Mrck 2005). Many national programs for school
energy efficiency specify ways to improve their energy performance for low energy cost and sustainability, for example (US EPA 2011; TEC 2015; CASH 2009; ENSIGHT 2009), together with trends toward low energy and green school buildings (Eco-Schools 2015; Green-Schools, 2015). The recent
project has been conducted within the European Union (EU)s Seventh Framework Programme,
School of the Future, and focused on zero emission with high performance indoor environment
(SF 2013). The aim of this project was to design, realize and communicate good examples of future high performance buildings. Both, the energy and the indoor environment performance of
the demonstration buildings under different European climates will be greatly improved due to
the holistic retrofits of building envelopes, their services, and the integration of renewables and
management systems.
The guide to the sustainable design of schools (Gelfand 2010) presents design principles for modern elementary and secondary school buildings, and campuses including the complete resource
on performing sustainable renovations. They are in a good compliance with the main principles
for energy efficient architectural design (Gonzalo and Habermann 2002). Comprehensive research
studies aimed at helping to achieve thermal comfort, ventilation rates and CO2 levels for Indoor
Air Quality (IAQ) in school classrooms (Chatzidiakou et al. 2015), also giving importance of the
educational building design and renovation with respect to energy efficiency building design.
High performance thermal insulation solutions have become one of the promising approaches
to reducing energy consumption in buildings under a number of key research efforts related to
decision making tools in building refurbishment projects and selected energy efficiency efforts in
the built environment through a review completed on sustainable refurbishment by (Gohardani
and Bjrk 2012).

Methodology
This paper is presenting a study focusing on evaluation of thermal and daylight comfort in an
existing school building selected as a case study. In the study, three different software packages
are used for computer simulations and analyses of building physics. Software Teplo is dedicated
to evaluation of overall heat loss coefficient of the building construction compositions and condensation regions for interstitial condensation (Software Teplo 2011). Software Area is utilized for
simulation of temperature distributions in 2D cross sectional details (Software Area 2011). WDLS
(Windows Daylighting System) software package is used for daylight factor simulations (WDLS
2015). Computer simulations are presenting analysis of the optimized renovation concept in central European region locality and for the specified climatic conditions.

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Case Study School Building

Post occupancy evaluation of renovated school is presented. Primary school building Mirova in
city of Mimon, Czech Republic, altitude 280 m (PSM 2015). The school was built in 1894 and was
renovated in 2014. The case study school building characteristics follow; Built-up area: 1448.8 m2,
volume of the building: 17243.6 m3. It was constructed as a three-storey building (3 floors) with loft
space. Headroom height of occupied floors is 4.5 m. Pitched roof of wooden truss construction
with ceramic tiles roofing. Load bearing walls of solid brick masonry have thickness of 800 mm on
the ground floor, 600 mm on the first floor, and 450 mm on the second floor.
The building envelope was renovated. Thermal insulation of 80 mm polystyrene was placed in internal surfaces of peripheral walls. Internal thermal insulation was selected because the building
facade historical style is protected. Originally, the building windows were as wooden frame with
double casement windows. The old windows were retrofitted last year (2014) for the new ones
with plastic frames and double glass units.

Figure 1: Building of primary school in Mimon; a) photo of the building from 1894, b) photo of the
renovated building today, c) classroom interior photo, d) scheme of classroom dimensions

Analysis of thermal and visual comfort in renovated school classrooms

715

Thermal and Daylight Evaluation

One classroom on the third floor was evaluated; see the red rectangle on the building facade in
the state before and after the school renovation (Fig.1). The reason of the evaluation was for the
influence of internal thermal insulation layer on thermal balance and daylighting with classroom.
Thermal Analysis
Thermal analysis was completed for evaluation of the state before and after the energy renovation and window retrofitting. Evaluation was carried out for one characteristic classroom located
on the third floor. Solid brick masonry of 450 mm was insulated with 80 mm of foam polystyrene.
The external wall was evaluated for an assessment of the risk of interstitial condensation due to
water vapour diffusion (EN ISO 13788 2012; CSN 730540-2 2011). The evaluation was completed for
the state before and after renovation and for the extreme winter outdoor design conditions (in
December) and summer season average temperature (in June).

Figure 2: Partial pressures of water vapour and condensation regions within the wall construction
before the renovation: I- internal plaster, II brick masonry wall, III external plaster; after the renovation: I- internal plaster, Ia polystyrene layer 80 mm, II brick masonry wall, III external plaster; p
[Pa] pressure, sd [m] equivalent diffusive thickness; pv partial pressure, pv, sat saturated
partial pressure, pt theoretical pressure, i interior, e exterior; Winter January: outdoor design
temperature - 15C (winter extreme), relative humidity 84%; Summer June: outdoor temperature +
15.8C: (average), relative humidity 72.1%

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Thermal characteristics of the peripheral wall with windows were determined (CSN 730540-2 2011;
EN ISO 6946 2007) and shown in the following:
thermal resistance of the wall R [m2KW-1]
total thermal resistance Rt = Rsi + R + Rse [m2KW-1] , where internal (resp. external) surface
resistance Rsi = 0.13 m2KW-1 (resp.Rse = 0.04 m2KW-1
overall heat loss coefficient of the wall U = 1/ Rt [Wm-2K-1]
overall heat loss coefficient of the window Uw [Wm-2K-1]
Wall and windows before the renovation:

R = 0.57 m2KW-1, Rt = 0.742 m2KW-1, U = 1.348 Wm-2K-1, Uw = 3.0 Wm-2K-1
Wall and windows after the renovation:

R = 2.30 m2KW-1, Rt = 2,475 m2KW-1, U = 0.404 Wm-2K-1, Uw = 1.4 Wm-2K-1
The thermal insulation of the peripheral wall and better thermal insulation quality of the window
with low emissivity double glass unit had an influence on increased internal surface temperature
which is positive for reduction of the surface condensation risk. Two dimensional (2D) distribution
of temperature of the wall details in the corner and at the window jambs before and after the
renovation are presented in the following diagram (Fig.3).

Figure 3: 2D temperature distribution of the external wall details in the corner and at the window
jambs in the state before and after the renovation; I- internal plaster, Ia polystyrene layer 80 mm, II
brick masonry wall, III external plaster

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Daylight Analysis
Daylight levels in the selected classroom have been evaluated before and after the renovation.
Daylight Factor DF [%] calculated as a percentage ratio between indoor illuminance on a working
plane and external horizontal illuminance (BS 8206-2, 2008; CSN 730580-1 2007 and Z1 2011), which
was simulated in the daylight software WDLS (WDSL 2015).
The computer simulations were run for conditions of the CIE overcast sky model (BS 8206-2 2008)
and dark ground without shading external obstructions. The room surfaces reflectance are: walls
r=0.5, floor r=0.3, ceiling soffit r=0.7. Daylight factor distribution on the working plane, 0.85 m over
the floor level, is presented in Figure 4. Maximal DFmax, minimal DFmin and mean DFm values of
the daylight factors and daylight uniformity u=DFmin/DFmax were compared.

Figure 4: Daylight factor DF (%) on the working plane in the classroom

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Daylight factor DF 1.5% is recommended for school classrooms for adequate daylighting (CSN
730580-1 2007 and Z1 2011). This is shown in Figure 4 where after the renovation the classroom
daylight levels were reduced. This was because of the additional thermal insulation layer in the
window jambs and again because of the reduced light transmittance through insulated window
framing and special glazing.

Conclusions
Indoor comfort is a key parameter for school buildings. In the paper, the results from computer
simulations have shown that additional thermal insulation on the building facade (external envelope) and through window retrofitting could most certainly influence indoor daylighting levels.
Daylighting has high importance for occupants wellbeing and education, i.e. study concentration
of school children. For this reason, the school building renovation should be optimized with respect of energy efficiency and for daylighting levels for thermal and visual comfort indoors.

Acknowledgements
This paper has been put together under the project No. LO1408 AdMaS UP - Advanced Materials,
Structures and Technologies, supported by Ministry of Education, Youth and Sports (Czech Republic) under the National Sustainability Programme I and under the project TE02000077, Smart
RegionsBuildings and Settlements Information Modelling, Technology and Infrastructure for
Sustainable Development.

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ZIMMERMANN, M., 2011, School building renovation for sustainable second life, in IEA ECBCS Annex 50 Prefabricated
Systems for Low Energy Renovation of Residential Buildings. Building Renovation Case Studies, Empa, Switzerland.
ERHORN-KLUTTIG, H., AND MRCK, O., 2005, Energy-Efficient Renovation of Educational Buildings. PEB Exchange
Programme on Educational Buildings, 2005/09, OECD Publishing, CELE Exchange, Centre for Effective Learning
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US ENERGY PROTECTION AGENCY (EPA), 2011, Energy Efficiency Programs in K-12 Schools. A Guide to Developing and
Implementing Greenhouse Gas Reduction Programs, [online] Available at: http://www.epa.gov/statelocalclimate/
documents/pdf/k-12_guide.pdf, http://www.energystar.gov/ia/business/EPA_BUM_CH10_Schools.pdf.
TOUCHSTONE ENERGY COOPERATIVES (TEC), 2015, Schools A+ Energy Efficiency Program, [online] Available at: http://
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ECO-SCHOOLS, 2015, England, [online] Available at: http://www.eco-schools.org.uk/.
GREEN-SCHOOLS, 2015, Ireland, [online] Available at: http://www.greenschoolsireland.org/.
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Deliverable D6.1, Design Phase Report, EU 7th Framework Programme EeB-ENERGY, Project Number: 260102.
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International Conference | Bari - Lecce, Italy

Session X-XI

DESIGNING A PASSIVE AUTOMOBILE SHOWROOM

IN HOT CLIMATIC CONDITIONS
Iyad Abdaljawad1 & Hasim Altan1
1 Sustainable Design of the Built Environment, Faculty of Engineering & IT, British University of Dubai, UAE,
[email protected] / [email protected]

Abstract
Passive design contributes to environmentally responsive design of buildings that integrates
with the surrounding environment and at the same time meets the human comfort, also
helping to reduce consumptions of both cooling and heating energy. Using passive strategies depends on the project context which refers to the renewable sustainable resources and
the criteria available in each region, while they are adopted to reduce energy consistently and
to cut down the carbon footprint in order to also help enhancing the environment. Building
envelope impacts on energy performance and can influence in reducing amounts of artificial
lighting and mechanical ventilation remarkably in passive designs. This paper investigates energy performance of an automobile showroom and compares between the existing case and
the improved case in Dubai, UAE, considering the hot climatic conditions. IES Virtual Environment (VE) software was used to assess the overall building performance. Simulation results
were compared before and after the passive cooling strategies applied accordingly. Glazing,
insulation materials, and building envelope were the main elements examined in the study.
Daylight factors, CO2 emissions, thermal massing and building cooling loads were evaluated
before and after applying passive strategies. The simulation conducted has shown that the
passive performance reduced up to 36% of the total electrical consumption. Strategies were
applied on the building accordingly to improve the design form passively, to fulfil the needs
for the variety of functions of the building, to enhance the indoor spaces quality, and to reduce the annual amount of mechanical cooling loads to save energy.

Keywords
Passive Design, Sustainable Building, Energy Performance, IES VE, Building Envelope, Hot
Climates.

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1. Introduction
Understanding passive design and its applications leads to blending with nature and makes better solutions that sustains for longer time efficiently. It raises the sense of responsibility, and lets
the viewer appreciate the architecture of the space. Passive design considers site context as the
highest priority in design. Those factors from sun path, wind direction, topography, location and
other factors which are made by man like the surroundings, infrastructure, culture and user and
the sensory observations. Passive design contributes in designing a building that integrates with
the surrounding environment and it meets the human comfort zone, and helps reducing consumptions in either cooling or heating cases. Using the proper strategies according to the project
context is important; because the way of thinking in passive design refers to the natural resources and criteria. Such applications reduce energy usage consistently, and this automatically cuts
down the carbon footprint to help enhancing the environment.
Thinking passively can be tackled when applied on the elements of the building. To determine
the best methods, many factors should be taken into account such as follow:
-Orientation of the building decides the amount of incident solar radiation hitting the mass along
the day time. It depends on the region and the sun angle which varies from a cold country to
another.
-Openings -as windows- are the most important elements which provide lighting and ventilation
for the indoor space. Openings design size, location and shape- will effect dramatically on the
solar radiation penetration.
-Thermal mass helps to know what material will be chosen according to every project need. Layering material depends on the location of the project and the function of the certain building.
-Shading devices attached to the building mass is integrated with the building openings. It decreases the heat of the sun rays with a cooler indoor space.
-Selecting the proper insulating materials for the building is considered as one of the highest
priorities when attempting to lessen the heat exchange between indoor and outdoor. Insulation
materials can reduce the external noise, heat gain and heat loss, and it helps achieving good energy conservation.
-Shape of the building plays an important role where compactness is one of the solutions to reduce the heat loss, and the volume of the building exposed to the sun should reach the least S/V
ratio; to insure a minimum heat gain.

2. Methodology
This paper aims to explore the passive cooling strategies applied in architectural projects, either
inspired from laboratory experiments, or supported by a literature review. Integrated Environmental Solutions (IES) Virtual Environment (VE) software is used to simulate many factors and
constrains related to the design performance. For architects, the designed building model can be
simulated through the IES VE software.
Thus, the steps start by modeling the building, calculating the results as the base case, and after
that applying the passive cooling strategies in the building and calculating again; to check the
variations obtained and the changes occurred in the building after the passive status has been
applied. Therefore, the simulation outcomes will be compared before and after the passive cooling strategies accordingly. An imaginary model was created to assess the parameters desired in
this region. With reference to the climatic conditions of Dubai, the model was improved through

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many phases. Passive cooling strategies have been applied in the building separately to evaluate
every study, and check the variations occurred through simulations performed by the aid of the
IES VE software.

3. Analysis and Results

Self-shading
Improving the building envelope has always been a huge demand; to obtain better design quality from the external perspectives, and attempt to reach the comfort zone for the users in the
internal space. Principally, the south building facade is the most exposed part to the direct sun
exposure, for that, south side building walls can be tilted making a self-shaded building. Furthermore, some openings could be fitted with a shading device, or a sun breaker; to avoid a direct
solar radiation. Building provides shading to the adjacent building according to its height, and
the distance between them. This hints to thinking about the ratio of the mass, its density and the
volume of compactness it exposes to the sun; to define the best shading scenario along the day
time. Self-shading is a vital strategy to be used in the hot regions, and it reduces a good amount
of heat transfer, and designer should study the region which would determine the angle of inclination of the building surfaces to reach to the optimum self-shading results.
Natural Ventilation
Its a natural process that depends on the variation of the air pressure from high to low pressure
zones, or when there is temperature difference it will occur accordingly. Prevailing wind blows
most of the time from a certain single direction within the region. Natural ventilation as a strategy
drives air through building openings, and accordingly energy consumption for cooling will decrease. This depends on the orientation of the building, and the building elevation on the ground
as Allard (2002) mentioned, making a passage way between two masses promotes higher wind
pressure and enhances wind to speed up and cool down that path. Windows -whether operated
manually or motorized- are used widely to ventilate buildings. The numbers of openings and
distribution have major impact on the movement of air across the internal space. Alternating
natural ventilation instead of the mechanical one will be helpful in the long run; due to its free
of charge maintenance and fresh ventilation for the internal spaces, and according to David and
Jason (2006) this strategy can reduce the energy consumption up to 25% compared to the conventional systems.
Materials and Insulation
Building construction materials are important factors whether in hot or temperate climate; to
achieve a thermal comfort for the end-users. Diversity in materials is an advantage for designers;
to be able to choose the best combination of construction layers. As well as to structure the layers
depending on the building finishing faade skin, and in the building case, fiber cement cladding
was selected in the efficient case. In hot regions, the exposed layer to the solar radiation is the
finishing material which should be selected carefully. Thickness of the walls, air gaps, insulation
material and glazing type are elements effect on the cumulative thermal result of the building.
Balcomb (1992) describes the choice of the proper glazing as an important decision for an efficient
building. Glass with low-e values with argon gas can enhance insulation in the building and reduce the heat gain.

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Dubai Climate

Figure 1: Climatic Zones (Geography 2013)

The United Arab Emirates (UAE) is a developing country which is improving its infrastructure in a
fast pace. Its emirates are expanding their urban fabric depending on the needs of the end-users.
Dubai is the second emirate in its size and the number of population. Its climate is a dry arid, and
the majority of the land topography is desert. Dubai is considered one of the best destinations for
travel, commercial and cultural interaction. Many construction projects up-lifted the main shape
to a modern and young city. It will be hosting the international event EXPO 2020 which is a social,
commercial and a big financial gathering. Dubai prevailing wind flows from the northwest and
varies along the year from 5kts reaching up to 25kts. The average hours of wind frequency from
the northwest is around 210hrs. In the winter season, little amounts of wind flow from the south
and southeast, yet it can be operated in the design process. Dubai climate is sunny, hot and humid in summer and temperature reaches up to 41C, humidity average is over 90%.In the winter,
average temperature is 25C, and 12-15C in areas near the coast, meanwhile humidity average can
be 50- 60%. In reference to the values obtained from Ecotect weather tool, the minimum temperature is 12C and the maximum gained temperature is 40-45C (Autodesk Ecotect Analysis 2011).

Figure 2: Dubai map- Al-Mizhar Showing sun movement calculation (SunCalc 2009)

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This passive design study was selected specifically at Al-Mizhar area in Dubai. In the cooling
strategy phase, the city was under the study based on its climate nature, and designs a building
according to its function, and then prepares passive cooling strategies that would enhance the
building base case passively to work more efficiently and meet the indoor space quality and thermal comfort for the end-users.
Project Objectives
This project is a showroom for alternative fueled cars and its purpose is to promote awareness for
cars using diesel fuel which pollutes our atmosphere. This means of transportation vary from motorbikes, cars, airplanes and ships. However, the number of cars exceeds more than a one billion
units in the world. This massive amount of cars motivates a thoughtful decision for our present
conditions, simultaneously work for the future, and create solutions for the upcoming generations.
There are many fuel alternatives for the cars other than the diesel, solutions were found after many
years of experiments, trials and errors. Some cars work on electricity; others are fueled with gas,
hydrogen, propane, biofuels which are generated from food corps, liquid petroleum gas (LPG)
which is a propane and butane production, but with less CO2 emissions (Fuel Economy 2014).

Figure 3: Types of alternative fuels (bulletin solutions 2014)

Building Form
A showroom that combines between the site context to fit passively, and stands out with a design inspired by the car design process, and its form is dynamic which considers the vehicle aerodynamics as the main focus in manufacturing and improving the design form. In the world of
the automobiles wind tunnel tests are applied on the prototype of the car model to study the
smoothness and aero dynamicity to get the best shape performance. The building considered the
natural factors and aspects to apply a passive building. For example, the sun effects on the orientation of the building, materials chose also the massing and density. Similar applications were
decided after studying the wind frequency and the techniques to apply on the building envelope.

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Spaces and Functions

Figure 4: Basement floor (left) and ground floor (right) (Author)

Basement is lowered 1.5m under the grade, and its accessible by a ramp linking to the ground
floor. Showing the alternative fueled car models is the main function. Supporting facilities like
toilets, pantry, store and services and a hydraulic lifting the cars upwards are available to integrate
the workability of the space.
Ground floor is raised for 1.5m above the ground. Visitors reach the entrance through a ramp,
passing by a water feature to help cooling down the temperature and its aesthetic wise- then
passing by a grass trapezoidal roof mass which has 3 glazed sides that lets visitors have a glance
to the cars exhibited in the basement.
One car is exhibited in the ground floor, and its replaced every time the showroom receives a
new brand, or an innovative alternative prototype from a manufacturer. Its accessed from the left
mass of the building, north side from an operable glazed full height window system. Employees
work in an open flexible office system.
The right side is a display and screening system that provides shows and demonstrations for new
technologies and smart cars making related to the alternative and renewable fuels that help reduce the carbon emissions.

Figure 5: Building mezzanine floor plan, left- Section crossing the offices (Author)

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Section along the showroom building, showing the basement floor where cars are exhibited, and
the upper floor is a double volume including offices and other displays for other models of cars.
Mezzanine floor is connected to ground floor and reached by an open staircase.
Site Analysis

Figure 6: Site Layout with the building added within the surrounding (Author)
The plot is located at Al-Mizhar area. It is surrounded by private houses. From the north side, a
green land is adjacent to the plot planted with natural local trees that they can filter the air coming across the site. From the south, there a shopping center providing a close facility for the users
in the neighborhood. To the opposite side of the shopping mall a big lot for parking and people
coming to the area will be motivated to have a descent parking area available in the surrounding.
Project plot dimensions are 25m length x 25 m width and the maximum height is 8.5m with respect to the surroundings. All requirements, building construction materials, and setbacks meet
Dubai Municipality codes and regulations. The prevailing wind flows from the North West in most
of the days, other wind comes from the south in winter months, and the sun path hits the south
part of the building along the year. The overall environmental factors are described in the climate
region of Dubai.

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Design Form Progress

Figure 7: Building form phases (Author)

Form Design Progress Phases:
1- The main form of the building has taken the plot dimensions and extruded a pure cubic mass.
2- Considering the building orientation from the south, the exposed surface is tapered to decrease the incident solar radiation at least in the summer season, aiming to make the building to
be self-shading.
3- Slicing the mass to promote for the prevailing wind coming from the north-west; to refresh the
air.
4- Raising the left mass and lowering the right one will provide a shade afternoon for the right
mass.
5- Connecting the two masses with a box that enhances the functionality of the building.
6- Elevating the building on a platform which will be used as a function purpose and it will attract
the mass from a distance and emphasize the building envelope.

Figure 8: Building final design- efficient case perspective

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Simulation Study Analysis

Self- shading:
Below are generated images for the Suncast simulation showing the self-shading strategy applied in the building in both cases and measured in July 15th at 14:00. Values obtained for the
room surface 1 in the base case shows a total average of 70.2%, meanwhile in the efficient case it
reached up to 52.78%, and the variation is 24.8% indicates an improvement in the building shading property after inclining the south walls.

Figure 9: Suncast images produced for building masses; base case (left) and efficient case (right)

Figure 10: Tables of solar altitudes; charts for base case (up) and efficient case (down)
Simulations were carried out and the results are shown in the following table (Fig.11) for a selected
wall in the south part of the building to compare between them. In the base case, results show
that the wall is exposed to the sun in every month throughout the year, even in the summer
where the sun reaches the highest vertical angle, still the period from 11:00-14:00 in June and July
receiving a solar exposure. Meanwhile in the passive case (efficient case), the wall is totally shaded
from April to August.

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Figure 11: Suncast calculations for the surface experimented in both cases

Figure 12: Room cooling plant sensible load calculation- base case (blue) and efficient case (red)
The above graph (Fig.12) obtained from the simulation shows a comparison in the room cooling
plant sensible load before and after applying the self-shading strategy to the building masses.
The reading for the base case is 111 KW, meanwhile its 68 KW in the efficient case .This indicates a
substantial drop in the amount of cooling required for the whole building reaching up to 38.7%.

Figure 13: Mean and maximum cooling plant sensible loads for base case and efficient case
Natural Ventilation:
The building receives and extracts the natural ventilation though windows which are designed
for the visual and the ventilation purposes. Cross ventilation is the main category that works in
the certain building envelope, flowing from the two side of the building, and this is continues
as long as the windows open; because of the pressure differences in both sides of the building
(Wood and Salib 2012).

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Figure 14: Cross ventilation within 2 openings (Wood and Salib 2012)
Allard describes in his book (2002) the effect of the roof shape and how much it could effect on the
ventilation and the wind speed and direction. And this supports the idea of designing inclined
roofs which are directed according to the wind flow. The efficient case is inspired by the aerodynamics of the cars, and for that, roofs were inclined to decrease the amount of incident south solar
radiation, simultaneously, it facilitates the strategy for ventilation. When the wind is coming from
the North West pass smoothly, it makes a cross ventilation through windows and passes parallel
to the roof surface cooling down the temperatures outside, and refreshing the air inside.

Figure 15: Roof types and the characteristics of the building envelope that effect on the wind performance (Allard 2002)
Figures 15 illustrate the relation between the wind and the impact of the building roof shape on
the wind characteristics. When the building is elevated and the roof is sloped towards the wind
side- it facilitates an easy movement of the wind, and enhances wind speed that cross over the
roof; as it will move from the positive pressure to the suction zone, and after that create a vortices behind the building; to cool it down. This is matching the idea applied on the efficient case
where the building platform was elevated, and the roof was designed with an inclination on the
windward. These factors as an overall help the building work as Allard (2002) mentioned in his
predictions methods related to the natural ventilation performance.

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Figure 16: 3D Section- Cross ventilation direction passing through openings

In the efficient case of the building, the amount of glazing was decreased in the south part, for
the north it was determined to achieve the maximum day light that meets the visual comfort.
The concentration also was to benefit from the wind pressure coming towards the site, and assist
it to have a well-defined flow path. As the Royal Institute of British Architects (RIBA) mentioned,
the purposes for ventilating the building, we recognize that it removes the heat in the space (215 ac/h), and maintain the air-quality of the room with a minimum of 1-2 ac/h, and it will seek to
provide air-movement to improve thermal comfort status from 0.5-2 m/s.
Materials and Insulation:
The base case has followed the regulations and codes of Dubai municipality. And for the efficient
case, materials selected were chosen according to their insulation properties, U-values and thermal mass; to have a proper combination that work simultaneously to reach to the least thermal
heat gain or any heat loss. Building materials were chosen for the walls, floors and roofs as shown
below:

Figure 17: Wall sections- building codes- floor, wall and roof (Dubai Municipality circular 179)

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Figure 18: Aerial view- Base case (left) and the efficient case (right) visualization
The building as the base case considers the regulations of Dubai, yet the building reflects the
style and the form of modernity, and openness with glazing transparency, adding skylights to
give a disclosure to the showroom, with gray colored wall surfaces replicating the stiffness of the
building.
Efficient Case Materials:
Fiber cement cladding has a low embodied energy compared to glass, ceramic panels, terracotta
tiles and aluminum cladding panels. For this reason it was selected to replace the normal stucco
paint for the external walls.

Figure 19: Plan drawing and 3d construction isometric for the fiber cement cladding system layers
(Marley Eternit 2011)

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Building materials in the efficient case are as follows (IES VE 2013):

- Precast concrete walls finished with fiber-cement cladding, U-Value 0.1519 W/m2k
- Triple Glazing with argon air gap, U-Value 1.4554 W/m2k
- Precast concrete Roof system, U-Value 0.1404 W/m2k
- Insulated ground Floor, U-Value1.3479 W/m2k

Figure 20: Glazing system used for the efficient case (Eksalta Sustainable Retrofit 2013)

Figure 21: Cooling peak loads calculations for the building in both cases (IES VE 2013)

Readings here show a reduction in the total rooms sensible load for 34.67%, making a good
amount of energy saving in case of changing the materials to make the best insulation.

Figure 22: Air flow rates for the building in both cases (IES VE 2013)

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Also the simulation performed by IES VE shows the amount of room air flow in Figure 22 in above
table and demonstrates less flow rates in the efficient case as 5.9 l/s while it is a 9.4 l/s in the base
case, the change here keeps the building in a healthy performance and save 37.2%.

Figure 23: Room cooling plant sensible loads for base case (up) and efficient case (down)
Room cooling plant sensible loads are calculated for the months of the year, excluding 3 months
of winter season which do not require an air conditioning (AC) cooling from December to February. The graphs above (Fig.23) indicate the system load as 110 KW in the base case, and in the efficient case is 70 KW, meaning that there is an intense reduction in the cooling loads after replacing
the basic materials with the more efficient and well insulated materials. Variation is around 36%
which makes a good annual saving.

4. Discussion
It was an advantage to use self-shading strategy; to obtain a reduction in the hottest months of
the year up to 52.78% compared to the case, and avoid amounts of incident solar on the building
facade. Exposure in the winter was accepted; as the weather is cold, and the need of suns heat is
desirable to warm the internal spaces. While redesigning the building, the shape was refined to

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735

meet many factors simultaneously such as the wind, solar radiation, and the functions. Therefore,
the solar exposure of the building in the efficient case reduced 16% of the incident solar exposure,
making less cooling hours, and more energy saving.
For ventilation strategy, Allard (2002) argued that elevating the building and inclining the roof
windward would enhance the wind movement and this supports the idea employed in the design. Also in the thermal insulation materials, changing building construction layers from the
standard to a well assessed new system lead to better performance reaching up to 36% reduction
in the cooling loads.
In the natural daylight strategy, building proportions were redesigned, base-case wall were long,
and the building roof 9m high- was lowered down to 8m; to get a denser volume. Windows were
open widely and occupied a huge amount of the building facades in the base case, and it was
refined to smaller and narrower openings.
Other enhancements were added applied within the design progress to the project, like a water
pond right after the pedestrians ramp to make an evaporative cooling effect. A green roof in the
middle of the courtyard can be layered as greenery, soil, support and slab (from top to bottom)
as (Molina et al. 2006) mentioned, and this will keep thermal moisture and vapor liquidity within
the courtyard. Both techniques integrate with the natural ventilation factor to create a fresh, and
cooled down microclimate introducing the entrance in a balanced thermal capacity.

5. Conclusions
Designing passively deals pleasantly with nature and its conditions. The process in collecting data
about the climate of Dubai and site context was the first step towards critical passive thinking. In
this modeling experiment, many types of passive cooling strategies were discussed and tested
through readings and software simulations and the final strategies were selected accordingly to
improve the design form passively, fulfill the needs for the various functions, enhance the Indoor
Environmental Quality (IEQ), and reduce the annual amount of mechanical cooling loads which
leads to save energy and decrease CO2 emissions. Some viewpoints based on the passive system
opened a floor for discussion; to develop a building that merges all considerations derived from
other studies, or inspired by the design concept.
By the aid of simulation software (IES VE), each strategy was conducted on the building, and indicated the amount of saving and the variation occurred to improve the building. Results were
compared before and after each strategy, and the changes of the building performance. Sun cast
was tested, daylight factors, CO2 emissions, thermal massing and cooling loads for the building in
its base case and the efficient case. Analysis of the building efficiency was focusing on the amount
of energy saving, to be more environmentally adaptable, and how passive strategies can reform
the way of dealing with a building not only as a mass, but also as an envelope which will host
users who challenges us to find their needs in the space and let feel relaxed within the range of
the thermal comfort zones.

6. References
BALCOMB J., 1992, Passive Solar Buildings, MIT Press, England.
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DAVID, R., and JASON, F., 2006, The Ecological Engineer Volume One: KEEN Engineering, Ecotone Publishing, Canada.
DUBAI MUNICIPALITY, 2010, Circular 179. [online] retrieved from: https://login.dm.gov.ae/wps/wcm/connect/581bee0046cd68bb9ddcfd2ffb3a7d38/qua-localorder+179.pdf?MOD=AJPERES [Accessed: 1 Mar 2014].
EPA, 2013, Fuels and Fuels Additives, Environmental Protection Agency (EPA). [online] retrieved from: http://www.epa.
gov/otaq/fuels/alternative-renewablefuels/ [Accessed: 25 Feb 2014].
ALLARD, F., 2002, Natural Ventilation in Buildings: A Design Handbook, Cromwell, UK.
FUEL ECONOMY, 2014, Energy Efficiency and Renewable Energy. [online] retrieved from: http://www.fueleconomy.
gov/feg/current.shtml [Accessed: 25 Feb 2014].
GEOGRAPHY, 2008, Climate Zones. [online] retrieved from: http://www.geography.learnontheinternet.co.uk/topics/
climatezones.html [Accessed 2 Mar 2014].
MARLEY ETERNIT, 2014, Design Considerations. [online] retrieved from: http://www.marleyeternit.co.uk/~/media/Files/
Product%20Files/Facades/Brochures/Pure%20Cladding%202011%20Design%20Considerations%20Section.pdf
[Accessed 11 Mar 2014].
MOLINA, J., ERELL, E., and YANNAS, S., 2006, Roof Cooling Techniques: A Design Handbook, Earthscan, UK & USA.
RIBA, 2014, RIBA ventilation standards, Royal Institute of British Architects (RIBA). [online] retrieved from: http://www.
architecture.com/SustainabilityHub/Designstrategies/Air/1-2-1-3-naturalventilation-crossventilation.aspx [Accessed: 9 Mar 2014].
SMITH, P., 2010, Building for a Changing Climate: The Challenge for Construction, Planning and Energy, Earthscan, UK
& USA.
SUNCALC, 2009, Dubai Sun Movement. [online] retrieved from: http://www.suncalc.net/ [Accessed: 15 Feb 2014].
WORLD WEATHER ONLINE, 2014. Dubai Climate. [online] retrieved from: http://www.worldweatheronline.com/Dubai-weather-averages/Dubai/AE.aspx [Accessed: 2 Mar 2014].
WOOD, A., and SALIB, R., 2012, Guide to Natural Ventilation in High Rise Office Buildings, Routledge, USA & Canada.

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International Conference | Bari - Lecce, Italy

Session X-XI

PASSIVE DESIGN APPROACH FOR HIGH-RISE

BUILDINGS: FROM COURTYARDS TO SKYCOURTS
Saba Alnusairat 1, 2 & Heba Elsharkawy1
1 Welsh School of Architecture, Cardiff University, United Kingdom, [email protected]
2 Department of Architecture, Al-ahliyya Amman University, Jordan, [email protected]
1 Welsh School of Architecture, Cardiff University, United Kingdom, [email protected]

Abstract
Developing sustainable design approaches is becoming necessary worldwide especially with
the notion of high-rise buildings to meet the rapid growth of cities. Passive design strategies
could be considered as potential tools to achieve the environmental, social and economic
requirements of sustainability. Largely, new high-rise developments rely on active design approaches, while passive design solutions are barely exploited. It is timely to reconsider traditional/vernacular passive design approaches, as climate responsive strategies, to create a new
sustainable design framework for the high-rise building typology. Integrating passive design
strategies in high-rise buildings can improve the indoor environmental quality and significantly improve the energy performance. The purpose of this paper is to frame a new approach
of passive design strategies in high-rise buildings based on the principles of the traditional/
vernacular courtyard architecture in arid climates. The formulated approach contributes to
the area of sustainable innovation and provides potential directions for new approaches of
passive design, which can ensure the optimum performance of daylight, heating and cooling.
The study captures the concept of skycourts in high-rise buildings as a design element that
supports sustainable performance of high-rise buildings. Skycourts in high-rise buildings can
deliver energy efficiency and offer a diversity of functions and mixed-uses. As a result, significant reductions of energy consumption besides enhanced social interaction of users in such
buildings are achieved. In this paper, the authors will address the new paradigm of high-rise
buildings, the skycourt in high-rise buildings as a design element adapted from courtyards
and finally recommendation for sustainable design of contemporary high-rise buildings.

Keywords
Sustainability, Passive Design, High-rise Buildings, Courtyard, Skycourt.

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1. Introduction
The building industry has increasingly been recognized as a key player in our globalizing world;
it has become dominant in the current world economy, climate and global trends. For example;
40% of raw materials (by weight) are used in building construction globally yearly (Yeang 1999),
whilst around 30-40% of a nations energy input is used in buildings (UNEP SBCI 2009). Furthermore, construction work produced around 20-26% of landfill waste fifteen years ago (Yeang 1999)
and this in addition to carbon emissions have been increasing at an annual rate of 2% between
1971 and 2004 (Levine M. et al. 2007) cited in (Sev & Aslan 2014). This is particularly significant in
the developing countries in which the building industry plays a very important contributor to the
overall ecological footprint (Al-Masri & Abu-Hijleh 2012). One reason is probably related to the
increasing demand in buildings due to the continuous growth of urban population. However, one
of the growing trends in architecture to reduce the negative impacts of building construction and
cope with the increase demand for new buildings is the high-rise buildings, in which developers
increase the envelop height to satisfy the need for dense developments. Such structures can support residences, offices, and mixed-use functions (Hudgins 2009). This type of building could create a built environment that would be considered as sustainable, green, ecological, or bioclimatic
(Sev & Aslan 2014; Oldfield et al. 2009; Yeang 1999). Therefore, one of the important objectives for
developers and designers regarding high-rise buildings is how to conserve resources and control
costs in construction and ongoing building operations; including its scale and volume of consumption of energy and materials (Lotfabadi 2014; Pomeroy 2014; Thomas 2012; Ali & Armstrong
2008; Yeang 1999). Thus, the ecological design of high-rise buildings is crucial and much more
effective in those aspects than a green small building (Yeang 1999).
The old typology of houses represents a good response to the climate, culture and society. It
tackled the problems of daylight; solar rights; and energy saving issues by following an adaptive
design approach connected to the local environment. One of these approaches was the integration of the courtyard element (Edwards et al. 2005). Courtyard buildings are one of the oldest
forms of sustainable design approach. Aldawoud and Clark (2008) acknowledged that courtyard
building form is found to be energy efficient in all climates, specifically in the hot arid and hot humid climates (Aldawoud & Clark 2008; Aldawoud 2008). They suggested integrating the courtyard
into different buildings heights to be more energy efficient (Al-Masri & Abu-Hijleh 2012).
According to developers of high-rise buildings, the skycourt is considered a trusted element that
supports sustainability. There are various configurations of the skycourt according to the function of the building related to different climates. For example, skycourts can provide energy efficiency by acting as passive cooling elements that encourage stack effect and cross ventilation,
thus reducing cooling loads. In addition, it can offer a multiplicity of functions; it is conceived as
an area of public realm that acts as a transitional and recreational node (Pomeroy 2009).
So far, there are limited studies undertaken to frame new approaches for passive design strategies
in high-rise buildings based on the principles of the traditional/vernacular architecture in arid climates; although this can ensure the optimum performance of daylight, heating and cooling. In
addition, there are minor studies considering the effects of integrating and evaluating the various
forms of skycourts in high-rise buildings. Furthermore, there is a lack of specific guidelines for
the design of skycourts to achieve the comfort atmosphere in specific climates; as the available
information is general. (Ghazali et al. 2014; Modi 2014; Scheeren 2014; Lubin 2012; Goettsch 2012;
Pomeroy 2011; Pomeroy 2008). This paper investigates the potentials of the skycourt as a passive

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design element that could be effectively used in high-rise buildings, emphasizing two hypotheses; the first that the skycourt in high-rise buildings can provide a contemporary alternative to
the traditional/vernacular courtyard due to its potential to allow natural light and ventilation to
penetrate deeper into the interior of the high-rise building and avoid solar gain, which is the main
principle of the passive courtyard. The second hypothesis is that the skycourt can be considered
a passive cooling technique that is thermally beneficial in different climates regions; hot or cold.

2. The new paradigm of high-buildings

Le Corbusier defined the modern city as the new trend of cities; which is the city of tower (Pomeroy 2007). Per et al. (2011) added that: what was historically a dense network of streets and courtyards was transformed post 1980s into a city of monotonous high-rise objects that expressed
a greater verticality in the skyline ((Per et al. 2011) cited in (Pomeroy 2014)). Towers , High-rise
buildings, Skyscrapers, Tall buildings can all describe the new picture of cities; which can provide a solution for the growth of the demand for buildings as a result of the increase of urban
population. A high-rise building or tower can be defined as a tall building with a small footprint
and a small roof area with tall facades and has special engineering systems required by its height
such as structural, mechanical and electrical, vertical transportation and movement systems, fire
protection and other systems (Yeang 1999). However, the specific height of this building depends
on the context itself; it may range from a height of ten floors to more than 120 floors (Fig.1). Figure
1 illustrates how the term of high-rise building follows its context; it shows a number of high-rise
buildings which are located in different areas around the world; Asia, Middle East, Europe and
North America. One of these buildings is the Shanghai tower (the highest); it is 121storeys / 632
m height, while the Galaxy SOHO in Beijing is only 15 storeys / 67 m height. Both buildings are
located in China and both are high-rise buildings. Another example is the Marina Bay Sand, it is
57 storeys / 195 m height, while the Singapore National Library is 16 storeys / 102.8 m height. The
Acros Fukuoka Prefectural International Hall (the lowest) in Fukuoka, Japan is 15 storeys /60 m
height (Pomeroy 2014). In spite of the extreme variety in heights, all of the above buildings are
considered high-rise in their surrounding context and cities.

Figure 1: High-rise buildings in various countries worldwide (Pomeroy 2014)

Yeang (1999) identified the high-rise building as a green building that resolves the increase of urban population growth. He stated that the high-rise buildings are green buildings because they
have small footprints and can hold large number of population, in other words, intensification
of urban living, so they are the appropriate building type nowadays that deal with the current

Passive design approach for high-rise buildings: from courtyards to skycourts

741

worldwide problems in building construction and population growth (Yeang 1999). The potentials of high-rise buildings to achieve sustainable benefits are inevitable in our modern cities;
economically, although they are vast constructions, they need smaller footprints compared to
low-rise buildings. Moreover, they can offer greatest opportunity for recycling, reduction of infrastructure costs per-unit, conservation of land by building upwards (Sev & Aslan 2014; Taib et
al. 2010). Environmentally, as high-rise buildings reduce land surfaces, this could increase land
for vegetation and architecture, and this can lower the overall urban ambient temperature and
reduce the overall urban heat island (UHI) effect (Yeang 1999). Socially, they use multi-functional
spaces, shared spaces and managed spaces and this can strengthen social interactions (Yeang
1999). Therefore, the ecological design of high-rise buildings is in fact more crucial than those of
ordinary buildings (Sev & Aslan 2014; Oldfield et al. 2009; Ali & Armstrong 2008; Yeang 1999).
However, constructing this type of buildings is extremely critical due to their scale and huge
amounts of energy and materials consumed (Mahgoub & Abbara 2012). In addition, due to their
high operating energy requirements particularly when relying on artificial lighting and air conditioning, high embodied energy and increased maintenance costs result (Oldfield et al. 2009).In
a study in over 16 cities in the USA, it was found that the HVAC systems consume about one third
of the total energy consumption of these buildings ((Wood 2008) cited in (Sev & Aslan 2014)). This
drives the following question: What can the sky offer to the environment?
Lotfabadi (2014) argued that in order to achieve more energy efficient buildings, a new balance
should be applied between sustainability and function, motivated by both economic and environmental concerns. He added that the main environmental factors should be considered as a
way of reducing building energy demand instead of seeking for substitute energy sources (Lotfabadi 2014). Ali & Armstrong (2008) argued that one technique to meet the optimum performance in high-rise buildings could be reconsidering the renewable resources (Ali & Armstrong
2008). It would seem, therefore, that further investigations for design approaches are needed in
order to improve the environmental and economic impacts of high-rise buildings. One of these
approaches could be to reintroduce passive heating and cooling techniques which consumes
a large percentage of energy. This could be possible through adaptation of the concept of the
traditional/vernacular courtyard in high-rise buildings; this term is known as skycourt.

3. Methodology
The study is part of Doctor of Philosophy (PhD) research, which has just initiated; the aim of the
research is to develop a design approach for skycourts in high-rise buildings in arid regions; by
investigating its potentials as a passive design strategy. The investigation of the environmental
impact of skycourt in high-rise mixed-use buildings and its effect on energy efficiency for heating
and cooling will be studied by emphasizing the following parameters; the geometry, the spatial
morphology, the orientation and finally the configuration of the skycourt along the vertical section of the high-rise buildings.
The research is multi-dimensional; that considers both main approaches: quantitative and qualitative. Therefore, it adopts a mixed methods research design as a means of collecting and analysing data. These include fieldwork and first-hand research methods; including interviews, case
studies and simulations and modelling. This research will review diverse contemporary case studies of skycourts in high-rise buildings to provide an overview about the efficiency of these skycourts in terms of passive heating and cooling by comparing the above parameters. These terms
will be evaluated and analysed in the form of matrix to compare different criteria of design. Then,

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this evaluation will be checked through a simulation model technique - the proposed software is
Design Builder -, this can help the researcher to find the most affordable form of passive heating
and cooling skycourts in high-rise buildings. Finally, this approach will be translated into guidelines that can lead designers to different alternatives of skycourt design and performance that
can support passive heating and cooling in addition the social and economic benefits.

4. The skycourt in high-rise buildings as a sustainable design element adapted

from courtyards
The concept of passive design is based on enhancing occupants comfort level inside the building
through appropriate harvesting of natural light and ventilation, and thus reducing energy consumption and improving the quality of life (Fathy 1986). Courtyards in buildings have been recommended as passive design elements to maintain indoor thermal comfort through controlled
natural ventilation during day and night times (El-deeb et al. 2014). Furthermore, it has been acknowledged due to its function as a microclimate modifier that improves comfort conditions of
the indoor environment (Almhafdy et al. 2013b). Many studies (El-deeb et al. 2014; Taleghani et al.
2014; Almhafdy et al. 2013b; Almhafdy et al. 2013a; Al-Masri & Abu-Hijleh 2012; Edwards et al. 2005;
Safarzadeh & Bahadori 2005) discussed the different aspects that are related to the traditional
courtyards in different climate zones. Those aspects include; the shading effect of the courtyard
forms and proportions, the effect of plants and water pools in courtyards on the temperature and
energy consumption for heating and cooling, the energy performance of courtyard buildings
in different climatic conditions, the effect of orientation on thermal performance, the effect of
change in building depth (BD) surrounding the courtyard, the effect of courtyard height proportions and courtyard efficiency in mid-rise buildings (El-deeb et al. 2014). In addition, to their
social functions (Edwards et al. 2005). However, the efficiency of courtyard in high-rise buildings
is still not clear. One mechanism for creating social and less energy demanding high-rise buildings in terms of theme, function and design principles of courtyard could be the skycourts. The
Skycourt is not a new design element phenomenon; it was known from the 6th century B.C. as in
the ancient gardens of Babylon/ Iraq and in the design of Vignolas Villa Giulia in Rome (Lotfabadi
2014). Pomeroy (2007) defined skycourts as recreational social spaces often semi-public spaces
that allow the users a particular freedom of movement and social interaction at the pinnacle of
tall buildings, and can provide the opportunity to observe memorable skylines and panoramic
views as a viewing gallery (Pomeroy 2007:16-17). In addition, skycourt within a tower could create
a socio-environmental balance; it can form a hierarchical network of open spaces that replenish
and complement the existing open space designed on the ground level. Moreover, it was acknowledged that high-rise buildings will require skycourt as part of project program due to their
social, environmental and economic benefits (Pomeroy 2008; Pomeroy 2007; Yeang 1999).
Although considerable research has been devoted to the influence of traditional courtyards in
low and medium rise buildings, rather less attention has been paid to the significance of courtyards in high-rise buildings (Almasri 2010) and how to develop it based on the traditional/vernacular architecture. Moreover, few studies have discussed the efficiency of skycourt as a passive
design element in high-rise buildings (Mahgoub & Abbara 2012), and, little information is available regarding the skycourt geometry and its impacts in different climate regions (Taib et al. 2013).
4.1 New Approach for Passive Design Strategies in High-Rise Buildings: The Skycourt as a
Vital Design Element
This section discusses the diverse advantages of skycourts within high-rise buildings from social,
environmental, and economic perspectives.

Passive design approach for high-rise buildings: from courtyards to skycourts

743

4.1.1 Skycourts from the Social Perspective

This section demonstrates the effectiveness of the skycourt from an environmental perspective,
taking into consideration its impact on the urban settings starting from the city scale narrowing
down to the building scale. Thermal comfort, indoor environmental quality, air temperature, biodiversity, and the potential for it to be an effective passive design element in the high-rise building will be discussed.
Skycourts with its greenery can be defined as an environmental filter that can help daylight and
fresh air penetrate in to the interior of the high-rise building and avoid undesirable direct solar
gain (Pomeroy 2014). This potential of a skycourt influences the environment positively as a skycourt can play the role of a thermal, light and acoustic buffer / filter. There is evidence that the
building which incorporates skycourts can offer a more comfortable indoor environment in terms
of air temperature, relative humidity and air velocity (Ismail et al. 2011). This is not only for hot climates, but for cooler climates too, as in the case of green vertical walls (which could be a complementary part of the greenery of skycourt), which act like effective natural sunscreens (Alexandri
& Jones 2008). For example, the implementation of vertical greenery can lower the temperature
of its surroundings for up to 1 m away from the wall (Tan et al. 2014), which is due to the reduction
of the surface temperatures behind the green layer compared to the bare facades (Perini et al.
2011). Castleton et al. (2010) found that with a green roof, the summer indoor air temperature was
decreased by 2 C, and the annual energy demand was reduced by 6% (Castleton et al. 2010). Khan
et al (2005) reported that the plants could improve air quality, increase pleasantness, and help
improve performance (Khan et al. 2005). Moreover, Taib et al. (2013) stated that plants can enhance
the thermal comfort performance and air temperature variations at the different transitional
spaces such as skycourt garden, balcony garden (skyterraces) and rooftop garden (skygarden) in
the high-rise building (Taib et al. 2013). Furthermore, concerning the impact on temperature, skycourts may play a role as buffer that can reduce the impact of solar radiation and glare entering
from the western facades (Jahnkassim&Ip 2006)and thus reduces solar heat gain. Skycourts, can
also act as acoustic buffers between spaces and this directly improves occupants satisfaction and
show potential to separate spaces (Pomeroy 2014).
4.1.2 Skycourts from the Environmental Perspective
This section demonstrates the effectiveness of the skycourt from an environmental perspective,
taking into consideration its impact on the urban settings starting from the city scale narrowing
down to the building scale. Thermal comfort, indoor environmental quality, air temperature, biodiversity, and the potential for it to be an effective passive design element in the high-rise building will be discussed.
Skycourts with its greenery can be defined as an environmental filter that can help daylight and
fresh air penetrate in to the interior of the high-rise building and avoid undesirable direct solar
gain (Pomeroy 2014). This potential of a skycourt influences the environment positively as a skycourt can play the role of a thermal, light and acoustic buffer / filter. There is evidence that the
building which incorporates skycourts can offer a more comfortable indoor environment in terms
of air temperature, relative humidity and air velocity (Ismail et al. 2011). This is not only for hot climates, but for cooler climates too, as in the case of green vertical walls (which could be a complementary part of the greenery of skycourt), which act like effective natural sunscreens (Alexandri
& Jones 2008). For example, the implementation of vertical greenery can lower the temperature
of its surroundings for up to 1 m away from the wall (Tan et al. 2014), which is due to the reduction
of the surface temperatures behind the green layer compared to the bare facades (Perini et al.
2011). Castleton et al. (2010) found that with a green roof, the summer indoor air temperature was

744

ZEMCH 2015 | International Conference | Bari - Lecce, Italy

decreased by 2 C, and the annual energy demand was reduced by 6% (Castleton et al. 2010). Khan
et al (2005) reported that the plants could improve air quality, increase pleasantness, and help
improve performance (Khan et al. 2005). Moreover, Taib et al. (2013) stated that plants can enhance
the thermal comfort performance and air temperature variations at the different transitional
spaces such as skycourt garden, balcony garden (skyterraces) and rooftop garden (skygarden) in
the high-rise building (Taib et al. 2013). Furthermore, concerning the impact on temperature, skycourts may play a role as buffer that can reduce the impact of solar radiation and glare entering
from the western facades (Jahnkassim&Ip 2006)and thus reduces solar heat gain. Skycourts, can
also act as acoustic buffers between spaces and this directly improves occupants satisfaction and
show potential to separate spaces (Pomeroy 2014).
4.1.3 Skycourts from the Economic Perspective
This section defines the potentials of skycourts from the economical point of view. This is crucial
as it investigates the economic value of it, which can help to convince investors and developers
to incorporate this unique design element in high-rise buildings.
Transitional spaces such as skycourt, sky terraces and rooftop gardens have long been recognized for their potential to save energy without the mechanical requirement of air conditioning.
Skycourts can provide more spaces and clean energy with different approaches of design such
as the solar chimney, which helps to produce energy and allow a very high level of sunlight and
views (Thomas 2012). As well as, Skycourts and its vegetation can reduce energy consumption; it
can reduce the ambient temperature and thus absorb solar radiation and these directly reduce
the energy costs. For example it was found that the insulation properties of green roofs can reduce room temperatures beneath the structure by 10% , in addition the shading properties of
vertical planting (ETTV) can be reduced by 40% in comparison to a conventional wall (Wong et al.
2010b); Chiang & Tan 2009). Furthermore green walls can reduce temperatures to more comfortable levels and achieve reduced cooling loads from 32% to 100% (Alexandri& Jones 2008). With a
green roof, the indoor air temperature decreased by 2 _C, in the summer and the annual energy
demand was reduced by 6% (Castleton et al. 2010). The skycourts in the Commerzbank, Frankfurt
(Fig.2), for example, have achieved through natural ventilation a reduction of energy consumption up to 50% compared to an equivalent air conditioned building (Fosters + Partners n.d. 1997).
In addition, the skyroof can provide different functions to generate income, for example, it can
be used to increase the rentable space, function as an observation deck, and provide food and
beverage destinations. In addition, the skycourt can enhance the property value of the high rise
building and make it a more prestigious building, moreover, it can enrich the aesthetics of the
building (Pomeroy 2014).
The skycourt and its greenery can enhance productivity as it provides an alternative informal
working environment (Pomeroy 2007). It was found that there is a direct relation between productivity and indoor environment. Clements-Croome & Baizhan (2000) stated that the productivity
could be improved by 4 to 10% by improving the office environmental conditions such as indoor
air quality and pollution (Clements-Croome & Baizhan 2000). Raanaas et al. (2011) found that people in offices with plants and vegetation can improve their performance, whereas this was not
the case in the no-plant condition (Raanaas et al. 2011). Moreover, in a study on the effect of leafy
plants on peoples task performance and mood it has been found that the presence of the plants
might affect creative work positively (Shibata & Suzuki 2004). Healthier buildings reduce sick
leave and increase productivity. This is achieved by natural light, good ventilation, the absence of
organic compounds, appropriate temperature, which result in happier, healthier workers (Miller
et al. 2009). It has been stated that the contact with nature was the better predictor of effective

Passive design approach for high-rise buildings: from courtyards to skycourts

745

functioning (Herzog & Strevey 2008). Pilotti et al. (2014) have concluded that the exposure to an
natural environment at the end of a workday can be invigorating, improving ones ability to sustain attention and store information into long-term memory (Pilotti et al. 2014).

Figure 2: Sections showing the natural ventilation strategy adapted through the Skycourt in Commerzbank Headquarters Frankfurt, Germany (Fosters + Partners n.d. 1997)

5. Conclusion: Recommendation for Sustainable Design of High-rise Buildings:

Skycourt as a Trend of Passive Sustainable Design Element in High-Rise Building
Skycourts can positively contribute to the urban context from social, environmental and economic perspectives. It has potential of achieving significant reductions of energy consumption and
generating income, besides creating the sense of community, a safety place for recreation and
interaction, and creating more environmentally-friendly spaces. Skycourts could provide natural light and natural ventilation for heating and cooling In addition, it can provide more spaces
and clean energy with different approaches of design. These characteristics are shared between
courtyards at lower levels and skycourts at higher levels of the buildings.
The previous investigation illustrated some potential of skycourts to function as an effective passive design element in the high-rise building typology. Skycourts can be integrated into the architecturaldesign to use the natural energy sources such as sunlight and air flow to heat, cool or
light the building. This has a great potential for conserving energy and improving the health and

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ZEMCH 2015 | International Conference | Bari - Lecce, Italy

quality of life for the occupants. To conclude, there are two outcomes centred on this concept; the
first that the skycourt in high-rise buildings can function as the traditional courtyard .The second
is that the skycourt could be considered a passive cooling technique.

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International Conference | Bari - Lecce, Italy

Session X-XI

THE IMPACT OF PASSIVE DESIGN STRATEGIES ON

INDOOR COMFORT OF SCHOOL BUILDINGS IN
HOT-DRY CLIMATES
Sahar Zahiri1 & Hasim Altan2
1 School of Architecture, The University of Sheffield, Sheffield, UK, [email protected]
2 Sustainable Design of the Built Environment, Faculty of Engineering & IT, The British University in Dubai, Dubai, UAE,
[email protected]

Abstract
This research describes a series of field studies and thermal simulation analysis to improve the
thermal performance of the female secondary school buildings in the city of Tehran in Iran.
The field studies used field measurements and a questionnaire-based survey in the cold winter season in a typical female secondary school building. The on-site monitoring assessed the
indoor air temperature of classrooms while the occupants completed questionnaires covering their thermal sensations and thermal preferences. Moreover, thermal simulation analyses
were also carried out to evaluate and improve the thermal performance of the classrooms
based on the students requirements and passive design strategies using a building simulation tool, DesignBuilder. This starts from the basic school model, investigating the various
passive design strategies to predict the optimum conditions for the school building. The simulation results determined how to provide more comfortable classrooms for the students using
passive design strategies with the minimum energy loads. The results of the field studies indicated that the indoor thermal environment were comfortable based on the 7-point ASHRAE
scale. However, most of the occupants preferred their indoor environment to be changed.
Moreover, the simulation results showed that the building fabrics and the thermal properties,
as well as ventilation, had a significant influence on the indoor air temperature. Therefore, in
order to enhance the indoor environment and to increase the learning performance of the
students, it is necessary to use appropriate passive design strategies which can also reduce
the need for mechanical systems in the school buildings and hence save energy.

Keywords
Passive Design, Indoor Comfort, School Buildings, DesignBuilder, Hot-dry Climates.

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Introduction
Passive design means a low energy and energy efficient building. Passive design in buildings uses
building architecture to minimise the energy consumption of the building and improves the thermal comfort of the occupants. According to Mikler et al. (2009), the correlation of the local climate
with the shape and the thermal performance of the building is one of the main consideration of
the passive design approach to reduce the energy use of the building and increase the thermal
comfort of the occupants. In general, the foundation of passive design depends on natural sources of energy and reduces the need for mechanical systems for cooling, heating and lighting in
the building (Light House Sustainable Building Centre and Guido 2009). Using the surrounding
environment is one of the key factor in minimising the heating and cooling loads of the building
as well as having low operating and maintenance costs (Jaques and Mardon 2008).
In recent years the quality of school design in Iran has been improved significantly but most of
the existing schools have been constructed without any concern for the comfort of the occupants and the adaptation of the building to the local climate (Iravani 2010; Ghaffari 1998) because
of the lack of environmental design guidelines. The quality of indoor environment has a great
influence on the students learning performance in the classrooms (CABE 2010) which confirms
the importance of providing comfortable and healthy indoor environment for the occupants. To
develop environmental school design guidelines using passive design strategies, it is necessary
to assess the current design methods used by the educational authorities in Iran and to examine
the performance of existing schools which are one of the major energy consumers in non-domestic buildings (Gorji-Mahlabani 2002; CBI 2011). According to the annual report of Central Bank
of Iran (CBI 2011), there are more than 112,500 schools in Iran including around 13,234 thousand
students in 2011-12. This statistics show how important it is to improve the quality of the schools
in Iran to provide more comfortable and healthier indoor environment with the minimum energy
consumption using passive design strategies.
This paper studies the effect of passive design strategies on thermal performance of female secondary school building in the city of Tehran in the hot- dry climatic region of Iran. The aim of the
study is to enhance the thermal performance of the school building by using passive design strategies, and based on the female students thermal satisfaction.

Methodology
In this paper, a series of field studies were conducted for one week in February which represents
the coldest period of the academic year. The field studies included questionnaire-based survey
and field monitoring of indoor thermal comfort variables. The indoor air temperature was measured using HOBO data loggers in two classrooms while the students completed questionnaires
based on their thermal satisfaction. The classrooms are facing north (N) and south (S) and located
on the first (1st) and second (2nd) floors. The study also evaluated the thermal performance of
the classrooms using buildings environmental analysis tool, DesignBuilder (DesignBuilder 2013).
The actual data gathered from the field studies were incorporated into the thermal simulation
analysis tool in order to assess the indoor thermal condition in the typical school building. Later
various passive design strategies were applied to the simulation software such as orientation,
thermal mass, glazing and thermal insulation. This starts from the basic school model, investigating the various strategies to predict the optimum conditions for the school building based on the
students thermal requirements. The simulation results determined how to improve the thermal
performance of the school buildings in Tehran and provide more comfortable indoor environment using passive design strategies.

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Case Study Building

The original school building is a female secondary school building in the city of Tehran. The typical school building has four storey including a basement and a ground floor with a masonry
structure. The construction materials and thermal properties of the school building are the typical
building materials used for masonry buildings such as brick as the thermal mass material and
glass wool as the thermal insulation material (Table.1). It should be mentioned that, 90% of the
existing school buildings in Iran have a masonry structure (Mahdizadeh 2011).
Table 1: Materials, thickness and U-value of building components in case study school building
Components

Materials

Internal Walls

Gypsum plastering
Brick block
Gypsum plastering

2.5
10
2.5

1.831

Cement and render

Brick block
Gypsum plastering

3
30
2.52

1.582

Slate tiles
Mortar
Light weight cast concrete
Gypsum plastering

2
2.5
5
1

Asphalt
Mortar
Felt/Bitumen layers
Screed
Thermal insulation (Glass wool)
Cast concrete
Clay Tile
Gypsum plastering and render

3
2
5
10
5
5
25
1

Clear single glaze

External Walls

Internal Floor

Roof

External Windows

Thickness
(cm)

U-Value

1.342

0.575

5.778

In this study, two classrooms were selected for field studies experiment and simulation analysis
which represented all classrooms facing south (S) and all classrooms facing north (N) are located
on the 1st and 2nd floors (Fig.1). These classrooms had the largest number of students, 23 and 21,
close to the national average number of the students to the classrooms in Iran which is 22 (CBI
2011). It should be mentioned that the school opening hours was from 7:30am to 12:30pm and also
the heating system of the building was a hot water radiator system during the cold period which
were always on.

Figure 1: Measured classrooms, S and N, on the first and second floors

Passive design strategies on indoor comfort of school buildings in hot-dry climates

751

Field Measurement

24
19
14
9
4
-1
-6

02/02/2011 00:02
02/02/2011 04:02
02/02/2011 08:02
02/02/2011 12:02
02/02/2011 16:02
02/02/2011 20:02
02/03/2011 00:02
02/03/2011 04:02
02/03/2011 08:02
02/03/2011 12:02
02/03/2011 16:02
02/03/2011 20:02
02/04/2011 00:02
02/04/2011 04:02
02/04/2011 08:02
02/04/2011 12:02
02/04/2011 16:02
02/04/2011 20:02
02/05/2011 00:02
02/05/2011 04:02
02/05/2011 08:02
02/05/2011 12:02
02/05/2011 16:02
02/05/2011 20:02
02/06/2011 00:02
02/06/2011 04:02
02/06/2011 08:02
02/06/2011 12:02
02/06/2011 16:02
02/06/2011 20:02
02/07/2011 00:02
02/07/2011 04:02
02/07/2011 08:02
02/07/2011 12:02
02/07/2011 16:02
02/07/2011 20:02
02/08/2011 00:02
02/08/2011 04:02
02/08/2011 08:02
02/08/2011 12:02
02/08/2011 16:02
02/08/2011 20:02
02/09/2011 00:02
02/09/2011 04:02
02/09/2011 08:02
02/09/2011 12:02
02/09/2011 16:02
02/09/2011 20:02
02/10/2011 00:02

Temperature C

In this research the indoor air temperature was measured with HOBO data loggers in the cold
period of February 2011 for one week, which included a survey day. The measurements assessed
thermal conditions of the classrooms before the exam period and winter holiday (Fig.2).

Time
S

Outdoor

Minimum Comfort

Figure 2: Measured indoor air temperature in Classroom N and S for one week in February 2011
Based on the field measurement results, the mean indoor air temperature was less than 21C in
Classroom S and around 23C in Classroom N during the February field study experiment, which
slightly fell within Heidaris (2010) defined comfort zone (Eq.1). Heidaris defined comfort zone was
based on a decade of thermal comfort field studies on Iranian people in the residential and office
buildings in fifteen cities and in four different climatic regions of Iran (Heidari 2010). It showed that
the occupants were able to tolerate a wide range of temperatures, covering more than 14K in the
hot season and 7K in the cool season. He cited that, in the hot and dry climate of Iran, people can
make themselves comfortable between 16.5C and 22C in the cold season and between 28C and
34C in hot seasons, by adjusting their clothes, activity and air velocity (Heidari 2010). To identify
the indoor comfort temperature (T ) in the case study school building and to predict the initial
comfort temperature ranges, the following equation (eq.1) was used, based on Heidaris (2010)
predictions. T is the monthly mean outdoor temperature.
T =17.80+0.30 T

(Heidari, 2010)

(1)

Moreover, in this study, the mean radiant temperature was assumed to be equal to the indoor
air temperature in the measured classrooms. According to Fanger (1973) and Santamouris (2008),
when the occupants have sedentary activity less than 1.5 met and the air velocity is below 0.1 m/s,
or the air is still in the indoor environment, the mean radiant temperature can be assumed to be
equal to the indoor air temperature (Santamouris 2008; Fanger 1973) which was the condition in
this study.

Questionnaire Survey
The questionnaire-based survey was conducted in classrooms S and N, while the indoor air temperature was measured with HOBO data loggers. The questionnaire survey was carried out on the
9th Feb 2011. Around 45 questionnaires were distributed to the students in two classrooms and
the students were asked to fill in the questionnaires regarding their thermal sensations and based
on the 7-point ASHRAE scale (ASHRAE 2004) and 3-point Mc-Intyre scale (McIntyre and Gonzalez
1976). The results of the questionnaire survey indicated that more the majority of the students responses fell into the central three categories of the ASHRAE scale, slightly cool (-1), neutral (0), and

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ZEMCH 2015 | International Conference | Bari - Lecce, Italy

Preference votes (%)

slightly warm (+1) (see Figure 3). Based on ASHRAE 55 standards (2004), a response in the central
three categories of the ASHRAE scale expresses satisfaction and more than 80% acceptability in
the three central categories of ASHRAE scale is enough to consider the indoor environment to
be comfortable which in this case is based on the thermal sensation votes. In addition, around
60% of the students in classroom S wanted No change on their thermal environment and more
than 50% of them in Classroom N preferred a cooler environment (Fig.3). The average indoor air
temperature during the teaching hours on the survey day was less than 21C in Classroom S and
was more than 25C in Classroom N. Based on this study, most of the students in both classrooms
felt neutral but the significant number of students preferred cooler environment when the indoor
air temperature is around 25C and wanted No change when it was around 21C. It should be
mentioned that the heating systems were always on during the cold season and as a result most
of the students in classroom N wanted cooler environment although most of them felt in three
central categories of the ASHRAE scale. Also the airtightness of Classroom S was slightly low as
the windows were not sealed enough which caused air leakage and as a result the average indoor
air temperature was less than Classroom N. Based on the questionnaire studies in this research,
the initial minimum comfort temperature in February set to be 21C as the significant number of
students wanted no change and felt neutral at this temperature.
70.00%
60.00%
50.00%
40.00%
30.00%
20.00%
10.00%
0.00%

Cooler (-1) No change (0) Warmer (+1)

McIntyre scale
S
N

Figure 3: Thermal sensation votes and Preferences vote in classrooms S and N on 9th Feb 2011

Simulation Analysis
In order to assess and improve the indoor thermal performance of the classrooms based on the
passive design strategies and students thermal comfort satisfactions, thermal simulation analysis
was performed using DesignBuilder, buildings thermal simulation tool. The simulation analysis
was carried out for the field studies classrooms for one week in February 2011. The field studies
results were incorporated to the simulation model, DesignBuilder, to evaluate the current thermal
performance of the school buildings. Later various passive design strategies were applied to the
simulation model and the impact of these strategies including orientation, glazing, and thermal
mass as well as thermal insulation on indoor air temperature was analysed by revising the case
study model to identify the optimal solution.
Orientation
An appropriate building orientation can decrease the use of mechanical heating and cooling systems and, as a result, reduce the overall buildings energy consumption. It is important to consider
the connection between the geographical features of the site and the building itself in order to
create an accurate passive building (Light House Sustainable Building Centre and Guido 2009).
Building orientation has an impact on the heat gains of the building, as a result of the variety
of solar radiation at different angles (Givoni 1998). To analyse the impact of the orientation on
the indoor environment of this case study school building, a simulation analysis have been per-

Passive design strategies on indoor comfort of school buildings in hot-dry climates

753

formed on the various directions. The eight main directions (N, NW, W, SW, S, SE, E and NE) have
been considered for the prototype school building, from 0 to 315. The building was rotated anti-clockwise for eight primary directions, starting with 0 in the North. Figure 4 shows the hourly
variations in indoor air temperatures in classrooms S and N, based on the eight main geographic
directions. It can be seen that the indoor air temperature was in the highest range when the south
facade faced west and south-west respectively in Classroom S but when the facade faced north
and north-east, the indoor air temperature dropped, compared to the other side. However, the
indoor air temperature in Classroom N was increased in all directions. This is because the main
facade of the classroom faced north in the base case and it received the minimum solar radiation,
compared to the other directions.
27

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23
22
21

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20
19

Time

S (base case)
E
N
W

26.5

Temperature C

Temperature C

25

26
25.5
25
24.5
24
23.5
23

02/02/11 12:02:13 AM
02/02/11 10:02:13 AM
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02/03/11 06:02:13 AM
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02/06/11 02:02:13 PM
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02/08/11 06:17:13 AM
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26

Time
SE
NE
NW
SW

N (base case)
W
S
E

NW
SW
SE
NE

Figure 4: Indoor temperature profile for eight primary directions in classrooms S and N in February
2011
Based on Kasmai (2008), the southern walls gain direct solar radiation for 10 hours a day in winter
in the city of Tehran at 35 N latitude. However, the northern walls receive no solar radiation in the
winter season. The east and west walls gain at least 4 hours a day of sunshine in the winter season.
The comparison of indoor air temperature variations in all directions shows that the south and
south west directions caused the maximum indoor air temperature in winter. However, when it
faced north and north east, it had the minimum internal air temperature, compared to the other
directions.
Glazing
Improving the insulation of windows has a significant impact on heating in buildings. To reduce
the heating demands of a building, it is suggested to decrease the U-value of the glazing area
(Ford et al. 2007). The thermal characteristics of the glazing area are an important part of the window design, which has a considerable effect on thermal performance of indoor spaces. Thermal
characteristics include U-values and insulation of the windows, the framing type and the overall
area of the windows (Mikler et al. 2009). To improve the thermal insulation performance of the
glazing area, it is suggested that the number of panes should be increased, up to triple glazing,
which results in reducing the U-value of the windows (Ford et al. 2007). The effect of the windows
on the indoor air temperature was investigated by applying various glazing types to the windows,
such as double glazed and triple glazed windows. Figure 5 shows the impact of various glazing
type on indoor air temperature. The actual glazing type for the given building was a 6 mm sin-

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ZEMCH 2015 | International Conference | Bari - Lecce, Italy

gle glazing clear window. Two various double glazing windows were selected for the simulation
analysis. The first double glazing type was a window with 3 mm and 6 mm panes and the air as a
window gas material between two panes. The next double glazing window had 6 mm and 13 mm
panes with air as a gas between them. The last glazing type was triple glazing windows with 3 mm
and 13 mm panes with air as a gas material.

24.5
24
23.5
23
22.5
22
21

02/02/11 12:02:13 AM
02/02/11 09:02:13 AM
02/02/11 06:02:13 PM
02/03/11 03:02:13 AM
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21.5

6 mm single (base Case)

Double 6,13 mm

Time

Double 3,6 mm
Triple 3,13 mm

25
24.8
24.6
24.4
24.2
24
23.8
23.6
23.4
23.2
23

02/02/11 12:02:13 AM
02/02/11 10:02:13 AM
02/02/11 08:02:13 PM
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25

Temperature C

Temperature C

25.5

Time
6 mm single (base Case)
Double 6,13 mm

Double 3,6 mm
Triple 3,13 mm

Figure 5: Indoor temperature profile for various glazing types in classrooms 208 and 301 in Jan/Feb
2011
Figure 5 illustrate that during the winter season study, the indoor air temperature in both classrooms increased when double and triple glazing was installed but this increase is much more
significant in Classroom S. As the difference between windows to external wall ratios in Classroom
S and N were very minor, at around 0.06 and 0.05 respectively, a possible explanation for more
temperature increase in Classroom S can be the poor construction of this classroom. In general,
it is suggested to use double glazing windows instead of triple glazing windows as the effect of
both on indoor air temperature are nearly similar but the double glazing one is cheaper.
Thermal Insulation
Thermal insulation materials have an impact on the indoor air temperatures of the buildings.
A well-insulated building results in lower conductivity through the building envelope fabrics,
which decrease the heat flow rate and as a result, provide a comfortable indoor environment by
minimum energy use (Autodesk Ecotect Analysis 2013; Light House Sustainable Building Centre
and Guido 2009). The amount of heat loss from building components is measured by U-values
or thermal transmittance. A lower U-value means lower heat loss thorough the building fabrics
and better insulation of the buildings. In this study, different insulation types, with various thicknesses, were employed to the simulation model for the external walls and the roof, to examine
their effects on the indoor air temperature. The chosen thermal insulation materials were based
on Iranian national building regulation recommendations which are the most typical insulation
materials in Iran (Ministry of Housing and Urban Development 2009; IFCO 2012; Irima 2012).
Thermal Insulation in External Walls
The original school building does not include any thermal insulation materials on the external
walls. Three various type of insulation materials have been employed to the external walls including glass wool, extruded polystyrene (XPS) and expanded polystyrene (EPS).
They were applied to the outer and inner sides of the external walls separately with thicknesses

Passive design strategies on indoor comfort of school buildings in hot-dry climates

755

of 5 cm and 10 cm to investigate the effect of the positioning and the thickness on the indoor air
temperatures. Figure 6 illustrates the result of the simulation analysis using various insulation
materials in Feb 2011. It can be seen that the application of all types of thermal insulation with
5 cm and 10 cm thicknesses resulted in higher indoor air temperatures in both classrooms. The
application of thermal insulation materials reduced the heat transfer from the external walls and
as a result provided higher indoor air temperature because of the lower U-value compared to
the original external walls without any thermal insulation materials. Moreover, adding 10 cm of
insulation material resulted in a higher increase in temperature than the 5 cm thermal insulation.

Figure 6: Indoor temperature profile with different wall insulation in classrooms S and N in Feb 2011
Applying the insulation material on the outer side of the walls had almost the same effect on indoor air temperatures as when it was put on the inner side. For example, based on the result from
the simulation analysis, applying 10cm of XPS insulation material on the outer side of the wall
increased the indoor air temperature to 25.3C and applying the same material to the inner side
of the wall increased the indoor air temperature to 25.1C at 12pm. However, it is suggested to use
the thermal insulation material on the outer surfaces of walls with mass construction to give the
advantage of greater thermal mass in the winter period. In addition, thicker insulation material
results in lower U-values and as a result has more effect on increasing the indoor air temperature.
The U-value of the classrooms using 10 cm of the 3-type insulation materials decreased from 1.61
W/ K to 0.32, 0.28 and 0.32 W/ K when using glass wool, extruded polystyrene (XPS) and expanded polystyrene (EPS) (Table.2). In addition, XPS thermal insulation results in lower U-values
compared to other types of thermal insulation but the difference was very minimal.
Table 2: Effect of thickness of insulation materials on overall U-value of external wall

756

Thermal Insulation

Thickness (cm)

Base Case

1.614

Glass wool

0.535

Glass wool

10

0.321

U-value (w/

XPS

0.478

XPS

10

0.281

EPS

0.535

EPS

10

0.321

k)

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25
24.8
24.6
24.4
24.2
24
23.8
23.6
23.4
23.2
23

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Temperature C

Thermal Insulation in Roof

The base case building had 5 cm of glass wool installed in the roof layer as a thermal insulation
material. Three typical types of insulation materials were employed in the roof layer, in a similar
way to the external wall experiment. The applied insulation materials included glass wool, XPS
and EPS. They were applied to the outer and inner sides of roof separately, with 10 cm of thickness
to investigate the effect of the positioning and thickness of the insulation materials on the indoor
air temperature. Figure 7 presents the effects of various thermal insulation materials on outer side
and inner side of the roof, on indoor air temperatures in the north-facing classroom only as the
south-facing classrooms located on the first floor. It can be seen that the application of all types
of thermal insulation with 10cm of thickness caused slightly higher indoor air temperatures in Feb
2010 on the top floor. The indoor air temperatures increased by around 0.3K only in this classroom
which shows that 5 cm thickness of the thermal insulation is enough to keep the indoor air temperature in an acceptable range.

Glass wool 5cm outside(base Case)

Glass woll 10cm inside
EPS 10cm inside
XPS 10cm inside

Time

Glass wool 10cm Outside

EPS 10cm outside
XPS 10cm outside

Figure 7: Indoor temperature profile with different roof insulation materials in classrooms N in May
2010
Table 3 presents the impact of various insulation types with various thicknesses on the U-value
of the roof. The tested variations of thermal insulation materials including glass wool, XPS and
EPS, reduced the U-value of the base case building from 0.53 W/ K to 0.32, 0.28 and 0.32 W/ K
respectively. As can be seen, using 10 cm of XPS reduced the overall U-value of the roof more than
the other types of thermal insulations, with similar thickness.
Table 3: Effect of thermal insulation materials and their thicknesses on U-value of the roof
Insulation

Thickness
(cm)

U-value
(W/ K)

Base Case

0.527

Glass Wool

10

0.318

XPS

10

0.279

EPS

10

0.318

Thermal Mass in Walls

Thermal mass is the capability of fabrics to save heat. It can be integrated into a building as part
of the buildings components in the walls and floor. High thermal mass materials, such as concrete, brick, stone and earth, can absorb and hold heat and release it slowly later on when there
is a temperature difference between the material and the surroundings (Light House Sustainable

Passive design strategies on indoor comfort of school buildings in hot-dry climates

757

Building Centre and Guido 2009). It is suggested to use high thermal mass materials in building
components in hot regions, as this provides a comfortable indoor environment by reducing indoor air temperatures and avoiding overheating in summer (Kasmai 2008). Based on Givoni and
Kruger (2008), using high thermal mass materials in external walls keep the indoor air temperatures in the acceptable condition in winter period as it absorb heat of the surrounding in the
day time and release it slowly at night. In this study various thermal mass materials with different
thicknesses were applied to the simulation model (Table 4).
Table 4: Thermal mass materials using different thicknesses in external wall components
Thermal Mass

Thickness (cm)

Brick (base case)

30

Brick

20

Heavy concrete

25

Heavy concrete

40

Medium concrete

25

Medium concrete

40

Light concrete

25

Light concrete

40

Figure 8 shows that the application of thicker high thermal mass resulted in lower reduction in
indoor air temperatures in both classrooms. Based on the literature, the impact of thermal mass
is increased by increasing thermal density and decreasing the thickness of the material which
causes more constant heat capacity. A thinner density of mass material responds faster to surface
temperature fluctuations and consequently will store excess heat gains and dampen interior air
temperatures more effectively (Byrne and Ritschard 1985; Autodesk Sustainability Workshop 2011;
Fehr 2009). It is also essential to locate thermal mass in direct solar radiation, for it to have more
impact on indoor air temperatures (Autodesk Sustainability Workshop 2011; Nasrollahi 2009).
In addition, it can be seen that using light-weight and med-weight concrete increases indoor air
temperatures in both classrooms. Based on Rise and Holm (2004), using lightweight concrete in
a buildings envelope cause longer time lags. In addition, Vangeem et al (2013) reported that reducing the density of the concrete masonry walls results in increasing thermal lag. They cited that
for external uninsulated concrete walls, the beneficial effects of thermal mass are increased as
density is reduced from 2400 kg/m to 800 kg/m, which might be a possible reason for the higher
temperatures seen when using light-weight concrete masonry walls compared to heavyweight
concrete. However, it is suggested to use heavy-weight thermal mass material with thicker thickness in order to reduce the indoor air temperature in warm season to avoid overheating.

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25.5

28

25

26

Temperature C

Temperature C

27
25
24
23
22
20

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21

Time

Brick 30cm (base Case)

Brick 20cm
Concrete heavy-weight 25cm
Concrete heavy-weight 40cm
Concrete light-weight 25cm
Concrete light-weight 40cm
Concrete med-weight 25cm
Concrete med-weight 40cm

24.5
24
23.5
23
22.5

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29

Time

Brick 30cm (base Case)

Brick 20cm
Concrete heavy-weight 25cm
Concrete heavy-weight 40cm
Concrete light-weight 25cm
Concrete light-weight 40cm
Concrete med-weight 25cm
Concrete med-weight 40cm

Figure 8: Indoor temperature profile with different thermal mass materials in classrooms 208 and 301
in Jan/Feb 2011

Discussion
In this study, the result of the field study experiment were compared to the thermal simulation
analysis result, and an optimum design solution for the base case building was defined based on
the optimal solution for each parameter of passive design strategy. The optimum factors were
taken from the analysed passive design strategies, including orientation, glazing, and thermal
mass and thermal insulation and with respect to the occupants thermal satisfaction. The optimum passive design strategies were selected based on the effect of them on the indoor air temperature. Based on the simulation results which were discussed in section 6.1 to 6.4, the suggested
optimum design solutions included south and south-east orientation similar to the Iranian building regulations suggestion, external thermal insulation material with the U-value between 0.28
and 0.32w/ k for the external walls and inner side of roof, 25 cm high density concrete blocks
as a thermal mass material for the exterior faade as well as double glazing windows (Optimum
Solution 1). In addition, 30 cm outer brick is considered as an alternative option as thermal mass
material (Optimum Solution 2).
Figure 9 illustrates the indoor air temperature of the real base case and the optimum solutions in
classrooms S and N with respect to outdoor temperature and the minimum comfort temperature.
It should be mentioned that the heating system is set to be off for the calculation of the optimum
design solutions to estimate the energy consumption of these design solutions.

Passive design strategies on indoor comfort of school buildings in hot-dry climates

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26

25
24

Temperature C

23
22
21
20

22
20
18
16

19

14
02/02/11 12:02:13 AM
02/02/11 09:02:13 AM
02/02/11 06:02:13 PM
02/03/11 03:02:13 AM
02/03/11 12:02:13 PM
02/03/11 09:02:13 PM
02/04/11 06:02:13 AM
02/04/11 03:02:13 PM
02/05/11 12:02:13 AM
02/05/11 09:02:13 AM
02/05/11 06:02:13 PM
02/06/11 03:02:13 AM
02/06/11 12:02:13 PM
02/06/11 09:02:13 PM
02/07/11 06:02:13 AM
02/07/11 03:02:13 PM
02/08/11 12:02:13 AM
02/08/11 09:02:13 AM
02/08/11 06:02:13 PM
02/09/11 03:02:13 AM
02/09/11 12:02:13 PM
02/09/11 09:02:13 PM

18

24

02/02/11 12:02:13 AM
02/02/11 10:02:13 AM
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02/03/11 06:02:13 AM
02/03/11 04:02:13 PM
02/04/11 02:02:13 AM
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02/04/11 10:02:13 PM
02/05/11 08:02:13 AM
02/05/11 06:02:13 PM
02/06/11 04:02:13 AM
02/06/11 02:02:13 PM
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02/07/11 10:02:13 AM
02/07/11 08:02:13 PM
02/08/11 06:17:13 AM
02/08/11 04:02:13 PM
02/09/11 02:02:13 AM
02/09/11 12:02:13 PM
02/09/11 10:02:13 PM

Temperature C

26

Time
Base case (heating on)
Optimum 1 (heating off)
Optimum 2 (heating off)
Min Comfort

Time
Base case (heating on)
Optimum 1 (heating off)
Optimum 2 (heating off)
Min Comfort

Figure 9: Optimum design solutions in Classrooms S and N

It can be seen that the indoor air temperature is decreased by maximum 3K by the applications
of optimum solutions in Classroom S. However, the indoor air temperature is still more than the
minimum comfort band with no heating system in operation which significantly helps to reduce
the energy consumption of the school building. In addition, the reduction of the indoor air temperature during the occupied period in Classroom N was more than Classroom S. The possible
reason is the orientation of the classroom. As the classroom faced north, the effect of thermal
mass is much less than the south facing classroom because it get no solar radiation in winter
period. However, the minimum temperature during the teaching hours is more than 17C, with no
heating system in operation, which can be tolerated by wearing suitable clothes.
Table 5: Proposed passive design strategies for the female secondary school building in Tehran
Passive Strategies

Solution

Current Practice in a base case

Orientation

South-South East

South

Glazing

Double, with air in between

6 mm Single glazing

Wall Insulation

10 cm common thermal insulation material on

external side of external walls layers

No wall insulation

Roof Insulation

5 cm common thermal insulation materials on

internal side of roof layers

5 cm insulation on the external layers of roof

Thermal Mass

25 cm high-density concrete blocks or 30 cm outer 30 cm brick in external walls

bricks in external walls

The aim of the optimum solution was to keep the indoor air temperature in an acceptable condition in winter using passive design strategies and with no heating system in operation which
is the case in this study and as a result the energy demands of the building can be reduced while
indoor air temperature is kept in an acceptable condition. Table 5 shows the suggested optimum
solution for the female secondary school building with respect to the thermal satisfaction of the
occupants and passive design strategies for climatic condition of the city of Tehran.

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Conclusions
This study presented the field studies including the questionnaire-based survey on the students
thermal satisfaction and field monitoring of indoor air temperature as well as thermal simulation analysis for the female secondary school building in the city of Tehran, using passive design
strategies in cold season. The base case building was modelled on a building thermal simulation
tool, which in this case was DesignBuilder. Based on the passive design strategies and the students thermal preferences, the optimum design solutions were defined for the secondary school
buildings to improve the indoor thermal conditions. The suggested optimum solution includes
buildings orientation, the use of thermal mass and thermal insulation in external walls and roof as
well as appropriate double glazing. The primary simulation study was performed during a typical
coldest week in February before school closure. The results of the questionnaire-based survey indicated that the indoor environment were considered comfortable based on the 7-point ASHRAE
scale as more than 80% of the votes were inside three central categories of ASHRAE scale while
the heating system was in operation. However, the occupants preferred their indoor environment
to be changed in cold seasons. In addition, the simulation results indicate that both the building
fabric and the thermal properties had a significant influence on keeping the indoor temperature
in an acceptable condition while the heating system is off, which also significantly help to reduce
the energy consumption of the school building. Therefore, in order to create a high quality indoor
environment and to increase the learning performance of the students, it is necessary to use the
appropriate passive design strategies, which also reduce the need for mechanical systems in the
school buildings and therefore save energy.

References
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FORD, B., SCHIANO-PHAN, R., and ZHONGCHENG, D., 2007, the Passivhaus Standard in European Warm Climate: Design Guildlines for Comfortable Low Energy Homes- Part 3. Comfort, Climate and Passive Strategies. Nottingham:
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GHAFFARI, A., 1998, Architectural design principles of educational spaces Tehran: State Organisation of Schools Renovation, development and mobilisation.
GIVONI, B., 1998, Climate considerations in building and urban design, New York, Van Nostrand Reinhold.
GORJI-MAHLABANI, Y., 2002, Climatic effects on school buildings. PhD Thesis, the University of Sheffield.
HEIDARI, S., 2010, Coping with Nature: Ten Years Thermal Comfort Studies in Iran. Adapting to Change: New Thinking

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International Conference | Bari - Lecce, Italy

Session X-XI

SUSTAINABILITY AND OFFICE TO RESIDENTIAL

CONVERSION ADAPTATION IN SYDNEY
Sara Wilkinson1 & Hilde Remoy2
1 School of the Built Environment, Faculty of Design, Architecture and Building, University of Technology Sydney,
Australia, [email protected]
2 TU Delft/ Faculty of Architecture, Department of Real Estate & Housing, Delft, The Netherlands, [email protected]

Abstract
The built environment contributes 40% to total global greenhouse gas emissions and 87% of
the buildings we will have in 2050 are already built. It follows, if predicted climate changes are
correct, we need to adapt existing stock sustainably. In city centres outside Australia there is
a history of office to residential conversions. These types of conversions are few in number in
Sydney although evidence suggests a trend is emerging in conversion adaptations. In 2014
102,000m2 of office space was earmarked for residential conversion in Sydney as demand for
central residential property grows and low interest rates create good conditions. Linked to
this, the Central Business District (CBD) population is projected to increase by 4% to 2031 requiring 45000 new homes and, this increase coincides with a stock of ageing offices. A further
factor is the Sydney office market is set to be flooded with the Barangaroo development office
supply in 2017; thus conditions for residential conversion are better than ever. However; what
is the level of sustainability in these projects? And, are stakeholders cognisant of the sustainability issues in these projects? Through a series of interviews with key stakeholders, this
paper investigates the nature and extent of the phenomena in Sydney, as well as the political,
economic, social, environmental and technological drivers and barriers to successful conversion. To date no major study exists on conversion adaptation in Sydney and most residential
development is new build. There is substantial potential to change the nature of the CBD
and enhance sustainability with the residential conversion adaptation of office space and this
paper explores this potential. The findings show that opportunities are being overlooked to
appreciate and acknowledge the sustainability of this type of adaptation and that there is a
need for a rating tool to encourage greater levels of sustainability; and to acknowledge existing levels of sustainability achieved in these projects.

Keywords
residential conversion adaptation, sustainability, Sydney,

763

Introduction
In total, the built environment contributes 40% to global greenhouse gas (GHG) emissions and
in order to achieve international agreed aims of sustainable development, building related GHG
emissions must be reduced (UNEP, 2009). Construction of new, sustainable buildings is most commonly perceived as the best way of achieving these aims, however as 87% of the buildings we
will need in 2050 are already built, adaptive reuse is essential (Kelly, 2008). Adaptive reuse is an
intrinsically sustainable option, which reduces the amount of waste going to landfill, and focuses
development in the existing built environment, thereby reducing land take for new buildings and
infrastructure. Furthermore with population growth and increasing rates of urbanisation, reusing
existing buildings is pragmatic and allows a faster build time compared to demolition and new
build (Bullen 2007).
Globally, demographic and economic changes drive alterations in urban settlements, where land
uses become obsolete and buildings vacant. In some regions demographic and economic decline causes obsolescence and vacancy, whereas in other regions a spatial shift occurs, with high
demands in specific markets and changes of land use resulting. At this stage the possibilities for
managing existing real estate are demolition or conversion to another use. In city centres outside
of Australia there is a long history of office to residential conversion, for example in the UK and
the Netherlands. In the Sydney central business district (CBD), to date very few residential conversions have taken place, but this situation may be set to change. Office supply is increasing and
an increasing demand for housing in Sydney has led to withdrawals of non-CBD office stock for
residential conversion (CBRE, 2015). In 2014 102,000m2 of Sydney office space was earmarked for
residential conversion as demand for central residential property grows (City of Sydney, 2010) and
low interest rates create good conditions. In addition, the CBD population is projected to increase
by 4% to 2031 requiring 45000 new homes and, this increase coincides with a stock of ageing
offices (City of Sydney, 2010). A further factor is that the Sydney office market is set to be flooded with Barangaroo office supply in 2016 and 2017; thus conditions for residential conversion are
better than ever. This paper investigates sustainability in the context of conversion adaptation
in Sydney, based on literature, initial interviews with Sydney real estate experts and developers,
using case study examples.

Research Question, aims and objectives

Former studies show the potential of delivering sustainability in urban areas by building adaptation, upgrading the environmental performance of existing office buildings (Wilkinson, 2014),
and the potential of adaptive reuse to enhance social sustainability in urban areas blighted by
vacancy by introducing new functions (Heath, 2001; Remy, Schalekamp & Hobma, 2008). This
paper explores the potential of conversion in Sydney, based on the political, economic, social,
environmental and technological drivers and barriers to successful conversion. This research aims
to answer the following questions (a) what is the level of sustainability in these office conversion
adaptation projects? And (b), are developers cognisant of the sustainability issues in these projects?

Factors which impact on sustainability in conversion adaptation

The literature focuses on the factors which impact on sustainability in conversion adaptation. At
the political level, Federal, State and Local Governments are able to enact policies and legislation
to impact on the level of sustainability. In Sydney the Building Code of Australia mandates from
minimum standards of energy efficiency and water conservation in the Building Code of Austral-

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ia (Wilkinson, 2013). This legislation affects all new build and many adaptations; conversions are
required to comply with latest minimum standards. However the Australian minimum standards
are low and do not cover the operational phase, thereby buildings may comply with legislation
but still use excessive energy and water resources.
NSW (New South Wales) Residential stock is required to comply with the Building Sustainability Index (BASIX), which is administered through the National Australian Building Energy Rating
Scheme (NABERS). BASIX aims to deliver water and greenhouse gas reductions across NSW, and
is one of the strongest sustainable planning measures to be undertaken in Australia (BASIX, 2015).
Integrated into the planning system, BASIX is implemented under the Environmental Planning
and Assessment Act 2000 (EP&A Regulation) and State Environmental Planning Policy (Building
Sustainability Index: BASIX) 2004 (the BASIX SEPP). BASIX applies to all residential dwelling types
and is part of the development application process in NSW. Targets are calculated based on NSW
average benchmarks. The targets are; up to a 40% reduction in potable water consumption and;
up to a 40% reduction in greenhouse gas emissions. BASIX establishes minimum performance
levels for thermal comfort of dwellings. The BASIX benchmarks for water are based on the average
NSW annual potable water consumption from the residential sector,measured on a per capita basis; and for energy: on the average NSW annual GHG emissions from the residential sector on a per
capita basis. The benchmarks are determined from NSW average residential water, electricity and
gasconsumption data collected from state-wide energy utilities by government departments.
For example, the NSW water benchmark is expressed in terms of potable water consumption and
is 90,340 litres of water per person per annum. Whilst the NSW energy benchmark is 3,292 kg of CO2
per person per year. Australian per capita emissions are amongst the highest in the world (ref). No
legislation exists in NSW in respect of landfill waste minimisation or other sustainability attributes.
Economic factors are very important, where economic lifespan covers the period in which the
property generates more income than cost, or when the present value of all future income is
higher than the present value of all future costs. A property has to have economic viability to be
considered sustainable. The income a property can generate depends on the price, quality and
competition in the market; whilst costs are related to maintenance needs (Remy, in Wilkinson
et al, 2014). Thus the economy has a very profound effect on the economic lifespan of property,
shortening or lengthening it considerably. Obsolescence that can occur when a buildings operational costs, technical or functional characteristics exceed the benefits of occupation is termed
economic, technical, or functional obsolescence. At this stage, the building is adapted or demolished (Blakstad 2001). Technical lifespan is the length of time during which the property can meet
the technical and physical demands needed to use the building and protect the health and safety
of users. Functional lifespan is the period of time during which a property complies with the users
functional demands. The three types of lifespan are interrelated. For example, if the functional
lifespan ends, this usually implies that the economic lifespan also ends. If the functional lifespan
ends, it is not possible to find a tenant for the building that means the building can no longer
generate income to cover the costs. The ending of the technical lifespan may cause the ending
of the functional lifespan; however it is often the case that a building is still in a technically good
condition when the end of the functional lifespan is reached.
Social sustainability attributes within a property can include the provision of amenities to enhance the wellbeing and health of occupants. For example, physical building embodiments of
social sustainability could be provision of a childcare facility in an office building or, a green roof
where staff can relax during breaks from work. Social attributes are often found in the Corporate
Social Responsibility (CSR) policies and reports of building tenants and may include charitable
donations given, in cash or kind, to less advantaged groups. Also social aspects may be embodied
in an organisations workplace terms and conditions.

Sustainability and office to residential conversion adaptation in Sydney

765

Environmental attributes are considered in respect of eight key categories specified in the Green
Star rating tool, which is the main Green Building tool used in the Australian market. There are
many similarities with the attributes considered in other international rating tools (Reed et al,
2009). Building management covers engaging the services of suitably qualified professionals,
setting performance targets, having adequate means of metering and measuring consumption
of attributes and so on. Within the building six Indoor Environment Quality (IEQ) sustainability
attributes are taken into account, these are: Indoor Air Quality (IAQ), acoustic, lighting, visual and
thermal comfort, and indoor pollutants. Other categories are energy, water, transport, materials, land use and ecology and finally innovation. Innovation includes adoption of an innovative
technology or process or improving on Green Star Benchmarks for example. The sustainability
attributes that could be embraced by the market in conversion adaptations are illustrated in Table
1 below. In Europe, the rating tool BREEAM is most commonly used. The sustainability attributes
comprised in BREEAM are added in the table to give a comparison, and shows that although the
categories are different, most attributes measured are similar.
Table 1: Sustainability characteristics in conversion adaptation
Sustainability criteria Green Star

Sustainability criteria BREEAM

Management

Green Star Accredited Professional

Commissioning and Tuning
Adaptation and Resilience
Building Information
Commitment to Performance
Metering and Monitoring
Construction Environmental Management
Operational Waste

Performance assurance
Building site and surroundings
Environmental impact building site
User manual
Consultation
Safety
Knowledge transfer
Maintenance / serviceability
Life cycle costing analysis

IEQ in Green
Star, Health and
Wellbeing in
BREEAM

Indoor Air Quality

Acoustic Comfort
Lighting Comfort
Visual Comfort
Indoor Pollutants
Thermal Comfort

Daylight admittance
View / vista
Daylight control
High frequency lighting
Indoor and outdoor artificial lighting
Lighting control
Purge ventilation
Internal air quality
Volatile organic compounds
Thermal comfort
Temperature control
Acoustics
Private outdoor space
Accessibility

ENERGY

Greenhouse Gas Emissions

Peak Electricity Demand Reduction

Energy efficiency
Sub-metering energy use
Energy efficient outdoor lighting
Renewable energy sources
Energy efficient cooling / freezer space
Energy efficient elevators
Energy efficient escalators and ribbons
Guarantee thermal quality facade

TRANSPORT

Sustainable transport

Availability public transportation

Distance to facilities
Alternative transportation
Pedestrian and bike safety
Traffic plan and parking policy
Traffic information point

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WATER

Potable water

Water usage
Water meter
Leak detection main water supply
Self closing water supply sanitary functions
Water recycling
Irrigation system
Car cleaning service

MATERIALS

Lifecycle impacts
Responsible building materials
Sustainable products
Construction and demolition waste

Building materials
Sustainable products
Robust design
Building flexibility

WASTE

LAND USE &

ECOLOGY

Waste management building site

Use of recycled material
Storage for reusable material
Compost
Interior
Ecological value
Sustainable sites
Urban heat island effect
Stormwater
Light pollution
Microbial control
Refrigerant impacts

POLLUTION

INNOVATION

Reuse of land
Polluted land
Plants and animals on building site
Plants and animals as users of the site
Long term sustainable co-use with plants and
animals
Efficient land use
GWP (global warming potential) of refrigerants for
climate control
Prevent leakage of refrigerants for climate control
GWP of refrigerants for cool and freeze storage
Heating related Nox-emissions
Minimize light pollution
Noise pollution

Innovative technology or process

Market transformation
Improving on Green Star Benchmarks
Innovation challenge
Global sustainability

(Source: Authors)
The technological aspects considered in sustainable conversion are a combination of the physical
building aspects noted in Table 2, and using less materials and resources, less transport energy
and pollution during construction. Considering embodied energy and retaining structure and
fabric is done where possible. In addition, reduction of operational energy & water consumption
belongs to the technological aspects. Societal aspects include increase of amenities and wellbeing for residents and building users where possible. Environmental assessment tools such as
Green Star in Australia or BREEAM in UK and elsewhere could be adopted to evaluate re-use of
existing buildings. However, where excessive amounts of deleterious materials, such as asbestos
exist, or Sick Building Syndrome is prevalent, conversion adaptation might not be desirable or
viable.
The potential of offices to residential conversion is well recorded (Geraedts and van der Voordt,
2007, Remy, 2010, Remy and van der Voordt, 2014, Wilkinson et al, 2014) and described by market, location and building (functional, technical, financial, aesthetic and legal) characteristics.
The Sydney office market
Sydney accommodates Australias biggest office market with the CBD having the biggest share,
with 4,961,728 m2 (m3property, 2015). Office space is categorised using the Property Council of

Sustainability and office to residential conversion adaptation in Sydney

767

Australias (PCA) office matrix. Demand for Sydney office space is high, especially in the CBD. Following the Great Financial Crisis in 2008, the market grew slightly with vacancy diminishing from
10% vacancy in 2011 to 9% by 2015 (CBRE, 2015). Demand for premium sustainable office buildings is high, with this Green Star rated stock commanding higher values and lower vacancy rates
(Newell et al, 2011). Given the Sydney office market is performing well with decreasing vacancy,
good yields, increasing absorption and values, the office market supply is also increasing.
The CBD supply pipeline was 460 000 m2 in 2014 which represents 9.27% of current total stock. A
proportion, approximately 250 000m2, is Barangaroo, the redevelopment of a container dock area
immediately adjoining the CBD. It is very unusual to get such a large amount of stock coming to
market in a relatively short space of time. It is due to come onto the CBD office market in 2016 and
2017. As such, the Barangaroo supply is predicted to cause movement of existing CBD tenants in
Premium and A Grade stock into the new Barangaroo stock (CBRE, 2015). In turn, tenants in existing mid-grade CBD office properties are predicted to backfill the vacated premium stock; and a
replacement market develops. The result will be increased vacancies in mid and lower grade stock
(Investa, 2014. Savills, 2015) and a form of relative obsolescence is predicted.
The housing market
Australias 2015 housing market is very heated and some forecasting the bubble will burst. Overall
prevailing conditions are low interest rates and low unemployment. In Melbourne, Sydney and
Brisbane there has been high demand by foreign investors for apartments in the CBDs (EC Harris,
2014. CBRE, 2015). Many of whom are Chinese, seeking to invest money in markets, perceived as
stable and safe. Many investment apartments purchased by Chinese buyers remain un-let as it is
considered unlucky for Chinese people to occupy buildings, which have been already occupied.
Having these properties un-let, further exacerbates housing affordability problems for many Australians. The superannuation system in Australia also encourages citizens to buy investment properties for a retirement income; and this too drives up prices and excludes first time buyers.
Recently residential supply in the CBDs has been very low and stock has been restricted to office
use predominantly (JLL, 2015). However in the last decade, urban planners seek to reintroduce
vitality and mixed use into CBDs, by allowing more residential land use. New unit with amenities
such as gyms and pools, easy access to work, retail facilities and entertainment, are attractive
to some buyers and investors. The migration of office tenants into newer stock and increasing
vacancy rates in lower grade stock, combined with low interest rates, demand from foreign investors, wealthy immigrants, and increasing urbanisation; housing prices escalate and this creates
the economic viability to convert older, vacant or partially vacant office stock into residential land
use.
Location
Numerous variables influence the conversion adaptation potential of buildings (Wilkinson et al,
2014, Remy and van der Voordt, 2014). One is the prevailing property market, described above.
The location of the property is significant in terms of accessibility and public transport, access to
amenities such as food and other retailing and entertainment. Access to services such as healthcare, childcare and education is also important for residential stock (Wilkinson et al, 2015).
Building
Opportunities and risks of conversion adaptation are related closely to the physical characteristics
of the existing buildings (Remy & van der Voordt, 2014). To use information from ex-post cases to
scan the possibilities for conversion, Remy and de Jonge (2007) defined the building type char-

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acteristics that influence the conversion potential, e.g. structure and floors, facade, floor lay-out
and the length and depth of the building, and the number and situation of stairs and lifts.
The main load bearing structure in standard office buildings typically has a high conversion potential characterised by a wide span or bay width, few columns, high floors and high load bearing
capacity. Low acoustic insulation, high beams and (in older properties) a dense structural grid
reduce conversion capacity. Interventions in the facade represent substantial costs and reduce
the conversion potential. Cantilevering floors with curtain walls reduces the possibility to add
balconies and subdivide the facade to fit interior walls. Well maintained facades in good technical
condition, and with a dense grid, increase the conversion potential. Also large floor plates and
building depth increase the conversion potential of office buildings. The location of elevators and
staircases has a high impact on the lay-out, as relocating stairs and elevators adds significantly to
building costs. A high number of lifts in offices adds to a high conversion potential and elevator
shafts can be reused as shafts for HVAC, water supplies and sewer. Table 2 summarises the characteristics affecting office to residential conversion adaptations.
Table 2: Physical building characteristics affecting conversion potential.
Positive

Negative

Structure and floors

Large floor spans

Columns; free plans
Constructed for heavy carriage

Dense grids
Low ceilings under existing beams
Thin floors: acoustic insulation insufficient

Facade

Small grid
Good technical state

Inadequate technical state, no attachmentpoints for interior walls

Cantilevering floors: complicates adding
balconies

Floor lay-out, length

and depth

Deep buildings

Location of elevators and staircases

Stairs and elevators

Excess number of elevators

Insufficient number of escape routes

Excessive space occupied by cores

(Source: Remy and Wilkinson, 2015)

Research method
This is qualitative research, which shares the three basic assumptions of being naturalistic, holistic
and inductive (Patton, 2002). Naturalism involves seeing the phenomenon in its naturally occurring state, in this case; by interviewing stakeholders and visiting sites to observe what has taken
place. The holistic aspect involves looking at the whole problem to develop a more complete understanding of the influencing factors and variables which determine what the most important
drivers and barriers for conversion adaptation in Sydney are; how these impact on sustainability,
and the level of cognisance of sustainability by developers. The inductive approach is derived
from the literature review whereby a picture of the problems and issues emerge as the researchers become more familiar with the topic area. The literature review identified which areas needed
to be addressed and enabled the researchers to compare whether theory and practice are closely
matched.
A literature review ascertained the political, economic, social, technological and environmental
aspects of office to residential conversion. Data was collected via semi-structured interviews as it
allowed the researchers to collect identical data from each interviewee, in a reasonably relaxed
atmosphere (Moser and Kalton, 1979. Bell, 1995). A formal structured interview was too restrictive
and would not allow the interviewers to investigate interesting areas, which arose during the in-

Sustainability and office to residential conversion adaptation in Sydney

769

terview. The unstructured interview was rejected as they can generate data, which is unrelated to
the research and is impossible to analyse (Robson, 2011). The interviewers commenced with factual questions to put the participants at ease. The questions became increasingly complex as the interview progressed and finished with some questions, which allowed the interviewee to express
personal ideas to generate richer deeper information (Moser and Kalton, 1979). Each interview
took an hour, the optimum time for useful data collection without over tiring the interviewees.
Following Moser and Kalton (1979) long multi part confusing questions were avoided and jargon
was eliminated. There were no leading or biased questions in the interview and the interviewers
expressed no views during the interviews to lead or encourage interviewees in any way.

Data collection and interpretation

Sydney interviews were conducted in February 2015 with experienced developers, consultants
and agents with respect to residential conversion adaptation. The interviewees had experience
of working in Europe and Australia, with each having over 15 years work experience, they were
knowledgeable and experienced. The attributes found in the literature regarding the technical,
physical, legal, social, economic and environmental attributes of conversion adaptation were confirmed as considerations to greater or lesser extents.
With regards to sustainability, from the developers perspective everything is market driven and
the potential economic risks or gains influence their decisions most. Developers determine what
the market is after and look for suitable sites, which may, or may not, have existing buildings. The
developers and the valuer agreed that the level of amenities on or surrounding a site is important,
such as retail and transport facilities. These attributes are part of the Green Star environmental
rating tool and impact on sustainability by reducing the need for private car use for work, shopping and recreation. When a potentially suitable site is found, developers undertake a physical
and economic appraisal regarding the potential gains or costs of retaining some, or all, of the
buildings. The primary drivers are physical and economic, with sustainability being a secondary
consideration. Furthermore the economic cycle is crucial, and can impact greatly on profitability. For example the GFC had a very significant impact on the viability of projects commenced
in 2007, where the values and demand changed greatly during project lifecycles. In most cases
developments are developed and sold rather than held, with existing buildings retained only in
high value areas, such as the CBD, where you have to. Financially, development risks are greater
in adaptation projects than new build.
The Valuer /Agents concurred that economic variables were most important in Sydneys conversion adaptation market, which is experiencing increasing activity especially with secondary
commercial buildings in Sydney or, certainly its proposed. With many valuations the agent saw,
buildings have been bought on a proposed redevelopment basis. Significantly investment flows
are coming from Asia with drivers outside of the real estate for that; for example; Sydney is perceived as a safe market to park money. It is encouraged, as Australia offers residential visas to
people with $5M cash to bring into the country. Looking at people who are looking to invest
outside of Asia, they seek security for their cash flow and it doesnt really matter to them whether
the building yields 5%, 6%, 7% plus. Sydney agents advertise the buildings in China to a very high
profile and much investment money comes from China, which is heating the property market
here. Furthermore there is an enthusiasm in Asia to convert and take a little more risk than Australians might. The current Greenland development in the CBD is a prime example. The agent
noted the imminent supply in Barangaroo lead to oversupply in lower Grade B and C office stock
in 2016 and 2017. He concurred with the developers that Highest and Best Use is what determines

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the use noting that, currently hotels are popular office conversion projects in the CBD. Sydney has
high visitor numbers and the major tourist destinations of the Harbour Bridge and Opera House
are within walking distance. The biggest risk perceived by the valuer / agent is timing the market
cycle, so that your project is ready at a time when demand is high and gave example of buildings
which hit the market during the GFC and had to accept much lower rents and purchase prices
than estimated 2 to 3 years earlier.
With regulatory issues such as planning and heritage, the developers felt there is considerable variation in approach and context from council to council, which can be hard to account for. Changes
to the procedures and more uniformity would help to encourage more conversion adaptation.
Shortening planning procedures, would help as heritage building projects are very protracted
currently. Overall heritage was perceived as an emotional area to deal with which could be positive or negative for developers with potentially higher exposure to risk. One interesting debate
was whether heritage is a societal responsibility or an individual one? Developers perceived that
businesses want to maximise their returns so if that means demolition then a building will be
demolished, whereas if society values the building, and there was a fund to offset the lower profit
resulting from retention, that might work. Again the sustainability attributes such as retention of
known and appreciated buildings and landmarks, retention of embodied energy were not considerations or important.
Both developers and the valuer felt that social and environmental variables are not as important
in this market as economic and legal ones. As the developers stated although people feel good
about sustainability, but they are not prepared to pay extra for it. As embodied carbon in Sydney
is not factored into environmental assessments such as Green Star, the argument regarding retention of existing buildings is not so strong as it could be. The agent agreed embodied carbon
is not discussed. There is a perception that every developer green washes their developments
which implies a superficial weak sustainability is achieved at best, and that ironically the argument for retained embodied carbon within the existing structure is being missed in this market.
Significantly the developers we spoke to acknowledged that inter-generational equity is important. However the current Australian government does not regard sustainability as important,
and the developers felt there has to be a push from the population for sustainability to be valued.
The valuer also noted sustainability is not high on buyers agendas in the CBD residential market.
Technically, plan shape, and the location and number of columns affects ability to accommodate
residential units in office conversion projects. The agent noted high construction costs currently
due to under supply and high demand in the market. He also noted that older buildings typically pre 1980 have asbestos in them, which adds further to risk, cost and time delays. The valuer
thought the location of the service core was important as it can affect the number and size of
apartments in a conversion project which again comes back to economics and profits. Again, all
attributes raised by interviewees were not considered in the context of sustainability and are very
limited given the potential range of attributes identified in Table 2 above.

Conclusions
This paper sought to address the following questions: (a) what is the level of sustainability in Sydney office conversion adaptation projects? And (b), are stakeholders cognisant of the sustainability issues in these projects? This paper has investigated the nature and extent of residential conversion in Sydney, as well as sustainability and other attributes considered in conversion. Through
interviews held with developers, a consultant and a valuer in the Sydney market, residential con-

Sustainability and office to residential conversion adaptation in Sydney

771

version in the Sydney CBD importance and awareness of sustainability was investigated.
Various physical, economic, environmental, legal / regulatory, social and political factors influence
and impact on conversion adaptation. In answer to the question; what is the level of sustainability
in Sydney office conversion adaptation projects? It is shown that, that the level of sustainability achieved is derived from compliance with planning and building legislation and regulation
and not from demand from buyers or investors. The results show that financial considerations
and risks are the biggest attribute influencing decision-making. If tenants or buyers would demand and be willing to pay for sustainability, developers would increase the level of sustainability. Where deleterious materials such as asbestos or other contamination exists, remediation is
undertaken but in terms of compliance with regulation rather than for sustainability reasons per
se. Furthermore, the biggest contribution to sustainability, which comes from the embodied energy resting in the original structure, is ignored both in rating tools and by the stakeholders. The
rationale is primarily economic in the Sydney market. The second question asked, are stakeholders
cognisant of the sustainability issues in these projects? Here the findings are that the interviewees
were knowledgeable and aware of some of the sustainability issues that affected conversion adaptation, given the predominance of economic attributes, sustainability was at best a secondary
or tertiary consideration. The development of a conversion adaptation sustainability rating tool
may pave the way for increasing awareness of and recognition of sustainability in the office to
residential conversion adaptation. Given the increasing amount of the stock earmarked for conversion, this is a timely opportunity.

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International Conference | Bari - Lecce, Italy

Session X-XI

APPLICATION OF STEEL FIBRES DERIVED FROM

SCRAP TIRES AS REINFORCEMENT IN CONCRETE
Giuseppe Centonze1, Marianovella Leone2,
Francesco Micelli3 & Maria Antonietta Aiello4
1

Department of Innovation Engineering, University of Salento, Italy, [email protected]

Department of Innovation Engineering, University of Salento, Italy, [email protected]

Department of Innovation Engineering, University of Salento, Italy, [email protected]

Department of Innovation Engineering, University of Salento, Italy, [email protected]

Abstract
The management of large amounts of End of Life Tires (ELTs) is one of the main political-environmental issues and its mismanagement represents a major problem which needs to be
solved. In the last years the disposal of large amounts of ELTs into landfills caused serious environmental problems in many EU states because they are not biodegradable. Almost all the EU
Governments transposed the European directive into national laws and codes, allowing the
development of sustainable options for the disposal, recovery, and reuse of tires. Over the last
years, the use of raw materials derived from scrap tires has found several applications, which
have allowed a gradual waste reduction through its reuse in different production sectors.
Moreover, the current legislation provides the possibility to pursue environmental protection
optimizing the recovery of used tires even through research and development. The positive
effect of short fibres as reinforcement in concrete matrix is widely recognized and supported in literature. Concrete is generally considered a brittle material because of a low tensile
strength and a slight ultimate strain. Therefore, steel fibres may be used as discontinuous
reinforcement in the concrete matrix in order to bridge the cracks that develop when a load
is applied. The concrete obtained by adding these fibres is characterised by an improvement
of the brittle behaviour, mostly in terms of toughness and post-cracking behaviour. In this
context, the present paper deals with the mechanical characterization of reinforced concrete
with steel fibres recycled from scrap tires. The experimental work is part of a wider scientific
investigation aimed at developing the introduction of this type of recycled fibres in production sectors related to civil engineering. The main goal of the paper is to discuss the mechanical behaviour of the concrete reinforced with recycled fibres, comparing the results with the
corresponding ordinary concrete.

Keywords
Steel fibres, reinforced concrete, waste tires.

775

Introduction
The proposed studies on concrete reinforced with recycled steel fibres (RSF) represents an additional way to enhance a sustainable development in concrete constructions, which in the last
years became one of the most important aims of the concrete users and producers. This fundamental concept, introduced in 1987 by the Brundtland Commission, deals with the development
which meets the needs of current generations without compromising the ability of future generations to meet their own need. An innovative approach to the concrete technology can reduce the
amount of raw materials, reusing other by-products, such as crushed aggregates, recycled fibres,
etc. Furthermore, the introduction of RSF can reduce the use of traditional steel fibres, with the
related amount of energy needed for their production. Using scrap tires (ST) also means to reuse
and recycle a hazardous waste with all the required special treatments and land disposal. In this
context, this manuscript concerns with the application of waste steel as discontinuous reinforcement of concrete matrix.
It has been widely deepened that the use of concrete reinforced with steel fibres is particularly
suitable in hyperstatic structures, among which the industrial pavements on ballast are a significant example, because the residual strength in the post-cracking phase offered by the fibrous
reinforcement increases the overall load bearing capacity of the structure. It is well recognized
that the introduction of fibre reinforcement into a concrete matrix modifies the typical brittleness
of the plain concrete into a more ductile behaviour, improving its toughness and its post-cracking
residual strength (Olivito et al. 2010; Shah et al. 2004; Colombo et al 2009; Ding 2011; Buratti et al.
2011).
The experimental work is a part of a research project, based on the development and the characterization of fibre reinforced concrete with RSF (Fig.1).

Figure 1: Recycled steel fibres from scrap tires

The research project is focused on the assessment of construction technologies with the recycling of materials from ST in concrete. Its final aim is to obtain environmental and ecological benefits as well as a significant reduction in landfilling of the waste tires obtained without losing the
properties of the traditional concrete. Based on the results already obtained by the authors (Aiello
et al. 2009; Centonze et al. 2012), the main issue is to use the steel as reinforcement in concrete
matrix obtaining a new material with physical and mechanical properties that can be compared
to those of the reference concrete.

Experimental investigation
The mix-design was performed taking into account the results obtained in previous experimental
investigations, carried out by the authors, with different types of RSF. It was also considered the
need of suitable solutions to improve the final properties of the concrete in the perspective of an
industrial application of the proposed material. In this context is well recognized that the worka-

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bility is strongly influenced by the particular type of fibre used. Using fibres derived from ST, the
characteristic high dimensional variability is the main cause of their balling tendency within the
mixture that consequently, reduces the workability of the mix.
As can be noted in Fig.1, RSF are characterized by different geometrical dimensions and they also
present many irregular wrinkles. Thus, a geometrical characterization analysis of the fibres was
performed on a sample of 1.000 specimens, randomly extracted after the shredding process of
the tires. The analysis is essential to evaluate the scatter of the lengths and diameters of the fibres,
which affects the tendency of a fibre reinforced mixture to produce balling of fibres in the freshly
mixed state. The fibre diameters varied between 0.11 mm and 1.71 mm and the class with the higher frequency was 0.20-0.25 mm (21.8%), as shown in Fig. 2.

Figure 2: Diameters frequency

The average value of the diameter was 0.33 mm with a C.O.V. equal to 41.34%. The length of the
reinforcement is referred to the distance between the outer ends of the fibres (Fig. 3). The class
including the major number of fibre length was 5-15 mm (65.3%), as shown in Fig. 4. The average
value of the fibre length was 12.63 mm with a C.O.V. of 61.36%.

Figure 3: Equivalent length definition

Application of steel fibres derived from scrap tires as reinforcement in concrete

777

Figure 4: Lengths frequency

The designed minimum characteristics required for the reinforced mixtures were a workability
class at least S4 (fluid concrete) according to (UNI EN 206-1 2006) and a compressive strength after
28 days, Rcm(28)=30 MPa. The variable parameters of the experimental work were the type of mixture (Plain or Fibre Reinforced) and the type of steel fibres (Industrial or Recycled), The ordinary
concrete was used as a reference to compare the obtained results, in terms of fresh and hardened
properties.

Materials
Ordinary Portland cement, according to the requirements of the adopted standard (UNI EN 197-1
2006), was used for the mixtures. A high-range water-reducing admixture was added to improve
the fresh concrete workability. Water, limestone aggregates and locally available sand were also
used. Three different grain sizes were used for all the mixtures and the sieve analysis (UNI EN 933
1999) is illustrated in Fig. 5.
100
Sand

Cumulative passing [%]

90

Aggregate I

80

Aggregate II

70
60
50
40
30
20
10
0
0,01

0,1

10

100

log (d)

Figure 5: Introduction of the fibres into the mixer

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The concrete reinforced with industrial steel fibres (ISF) was realized with hooked end fibres
(length/diameter=50) while the recycled steel fibres (RSF) are characterized by an average equivalent length Leq=12.63 mm, average diameter av=0.33 mm with an equivalent aspect ratio Leq/
av=41.21 (C.O.V.=13.23%).
Mix-design
As discussed by the authors in previous papers (Aiello et al. 2009; Centonze et al. 2012), the workability represents a main issue during the optimization of the mix because of the tendency of the
recycled steel fibres to bundle within the fresh concrete. Furthermore, this rheological property is
negatively affected as the quantity of fibres increases (ACI 544.1R 1996; Mohammadi et al. 2008; Yazici et al. 2007). In order to limit this tendency, it was used a forced mixing because the generated
friction can allow a better distribution of fibres into the mixture. Moreover, the use of this mixer in
the laboratory scale is advantageous in view of the transfer to larger scale applications.
The mixing stages of the materials were carried out by introducing the aggregates and then,
gradually, water and cement. Then the admixture was introduced and at the end, when the mixture reached a sufficient workability the fibres were added (Fig. 6).
The reinforced mixture was developed on the basis of the optimal rheological and mechanical
properties obtained for the plain concrete (PC). Two reinforced mixtures were realized for comparison purposes: the first one with recycled steel fibres (RSFC) and the other with industrial steel
fibres (ISFC). The mix design applied for each one is summarized in the following Table 1.
The cement content (CEM II A-LL 42.5R), the water content and the w/c ratio were always constant
for each mix, equal to 300 kg/m3, 180 l/m3 and 0.58 respectively. It was also used a water reducing admixture (Creactive No.W.A. 135), which allowed higher fluidity avoiding segregation. For a
better comparison of the reinforced concrete mixtures, the content of steel fibres was constant in
terms of %v (volume of concrete), taking into account the different densities of the two utilized
types of fibres: 6.9 kg/dm3 for RSF and 7.82 kg/dm3 for ISF.

Figure 6: Introduction of the fibres into the mixer

Table 1: Mix-design
PC

ISFC

RSFC

Sand (0-4)

[kg/m3]

1160

1150

1168

Aggregate I (4-8)

[kg/m3]

219

200

205

Aggregate II (8-16)

[kg/m3]

457

486

482

Fly ash

[kg/m3]

60

65

65

Water reducing admixture

[kg/m3]

3.0

3.7

3.7

a/c ratio
Steel Fibres

0.58

0.58

0.58

[kg/m3]

---

20.3

19.8

[%v]

---

0.3

0.3

Application of steel fibres derived from scrap tires as reinforcement in concrete

779

Experimental results
For each realized mixture fresh and hardened tests were performed. In particular, workability
tests and entrapped air as well as density measurements were carried out in the fresh state. Compressive tests were also executed on the hardened concrete.
Fresh properties
Workability is generally described as the amount of internal work required to fully compact the
wet concrete without reducing its quality. The most common test for the measurement of this
property is the slump test (UNI EN 12350 2003). However, considering steel fibre reinforced concrete, this test is not considered the most appropriate for quantitative measures of workability
(ACI 544.2R 1989). For that reason slump measurement has been used as a quality control test to
monitor the concrete consistency from batch to batch. Although the slump test does not directly
measure the work required to compact the concrete, it gives good indications on the workability
in terms of comparison between concrete mixes and, above all, is simple to perform. A minimum
of two slump tests were performed on the fresh concrete for each mixture. According to (UNI EN
206-1 2006), the class of consistency for each average slump values (mean value of two data) was
identified. The percentage of entrapped air in the concrete sample was measured according to
(UNI EN 12350 2003) as well as the fresh concrete density. The fresh properties of each concrete are
resumed in Tab.2.

Table 2: Fresh properties

Slump

Fluidity

Air

Density

[mm]

grade

[%]

[kg/m3]

PC

190

S4

3.2

2387

ISFC

170

S4

3.0

2399

RSFC

200

S4

2.7

2416

Hardened properties
As reported in (ACI 544.2R 1989), the presence of fibres alters the mode of failure of the specimens by making the concrete less brittle. Fibres usually have only a minor effect on compressive
strength. After a minimum curing period of 28 days, all the tests were performed according to the
(UNI EN 12390 2003). The experimental compression strength (Rc) and corresponding coefficient
of variation (C.O.V.) of the realized concrete are summarized in Table 3,
Table 3: Hardened properties
Rc

Density

[MPa]

[kg/m3]

PC

43.6 (0.2)

2408

ISFC

48.8 (0.8)

2400

RSFC

47.8 (0.3)

2393

It can be observed that compressive strength for reinforced concrete specimens is slightly higher
than that found for the control mix, while closer values were found for both recycled and industrial steel fibres. However, as found in (ACI 544.2R 1989; CNR-DT 204/2006 2007; Model Code 2010)
and in the available literature (Olivito et al. 2010; Buratti et al. 2011), it can be concluded that the
presence of fibres have only a minor effect on compressive strength of the reinforced concrete.

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Toughness properties
There is a general consensus that introducing fibre reinforcement the typical brittleness of the
plain concrete can be overcame. Discrete fibres into a concrete matrix improve its mechanical
characteristics and, above all, supply a good resistance to crack opening and propagation because of their crack arrestor role. In fact, steel fibres modify the brittle concrete into a ductile material, able to hold up large deformations before losing its bearing capacity. Toughness is well recognized as the characteristic that most clearly distinguishes fibre reinforced concrete from plain
concrete. Basically flexural toughness can be defined as the area under the complete load-deflection curve.
The standard test for the evaluation of toughness properties is usually done on a notched beam,
because the presence of the notch (as crack inducer) helps to control the crack position and ensures the failure in a well-known section. All the flexural tests were executed on prismatic specimens (150 mm x 150 mm x 600 mm) according to the Italian standard (UNI 11039 2003) with the
set-up showed in Fig. 7.
Three full-bridge resistive clip gauges were used for experimental measurements: one clip gauge
was applied at the notch mouth and the others on the two opposite faces of the beam at the
height of notch tip, (Fig. 7). The former gauge monitored the CMOD (Crack Mouth Opening Displacement), while the others recorded the CTOD (Crack Tip Opening Displacement). The specimens were tested with a 300 kN servo-hydraulic machine under CMOD control at a constant
speed of 50 m/min.

Figure 7: Flexural test set-up

As can be observed from Fig. 8, plain concrete has no residual strength, the specimens with industrial steel fibres are characterized by an average residual load of 3 kN, while the average residual
load with recycled fibres is equal to 4 kN.

Application of steel fibres derived from scrap tires as reinforcement in concrete

781

20

20

PC_1
PC_2
PC_3

18

16

14

14

12

12

LOAD (kN)

LOAD (kN)

16

10
8

10
8

0
0

500

1000

1500

2000

2500

ISFC_1
ISFC_2
ISFC_3

18

3000

CTOD (mm)

a)

500

1000

1500

CTOD (mm)

2000

2500

3000

b)

20

RSFC_1
RSFC_2
RSFC_3

18
16

LOAD (kN)

14
12
10
8
6
4
2
0

500

1000

1500

2000

2500

3000

c)

CTOD (mm)

Figure 8: Applied Load vs. CTOD for: a) Plain concrete; b) ISFC; c) RSFC
The main difference between plain concrete and reinforced concrete flexural behaviour is generally characterized by a residual strength in the post-cracking stage with a significant improvement of the material toughness. Thus, confirming the outcome of several studies on the same
topic (Holschemacher et al. 2010; Buratti et al. 2011; Olivito et al. 2010; Uygunolu 2011).

Conclusions
The experimental tests herein discussed are part of a larger experimental campaign, addressed to
evaluate the effectiveness of recycled steel fibres from waste tires in concrete. On the basis of the
experimental results discussed in this paper, the following remarks can be made:
Although there is only a slight increase in compressive strength, the principal effect of the fibres is to bridge the cracks developing into the matrix, increasing the ductility of the concrete
element;
The post-cracking behaviour of RSFC is comparable with that of ISFRC. Both types of reinforced concrete exhibit better properties than the unreinforced concrete. As expected, considering reinforced concrete, the softening branch of the curve was significantly modified, both
in terms of ultimate strain, residual stress and stress gradient;
The reinforced specimens have shown good energy absorption and good residual strength
after cracking. This is the main effect of the presence of the fibres across the cracks, which
contribute in delaying the complete collapse of the specimens or avoiding premature failure
caused by possible not homogeneity of materials;
RSFC evidenced a significant scatter in the post-cracking stage under flexural tests: probably,
the different distribution of the fibres at the broken section governs the behaviour of the specimens.
The results confirmed that recycled steel fibres from scrap tires could be an alternative as reinforcement of concrete matrix. However, there is still the need of further research work to
widen the experimental database and to better characterize the proposed material.

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Acknowledgements
The authors wish to acknowledge Regione Puglia for co-funding the research project ECONCRETE
(Sviluppo e caratterizzazione meccanica di manufatti realizzati con calcestruzzi fibrorinforzati
eco-compatibili). The authors wish to express their gratitude to Fices s.r.l. for supporting the performed experimental work and they are also grateful to Tyres Recycling Sud s.r.l. (Balvano, PZ,
Italy) for supplying the steel fibres recovered from waste tires.

References
ACI 544.1R, 1996, State of the art report on Fiber Reinforced Concrete;
ACI 544.2R, 1989, Measurement of Properties of Fiber Reinforced Concrete;
AIELLO M.A., LEUZZI F., CENTONZE G., MAFFEZZOLI A., 2009, Use of steel fibres recovered from waste tyres as reinforcement in concrete: pull-out behavior, compressive and flexural strength, Waste Management, 29, 1960-1970;
BURATTI N., MAZZOTTI C., SAVOIA M., 2011, Post-cracking behaviour of steel and macro-synthetic fibre-reinforced
concretes, Construction and building materials 25, 2713-2722;
CEB-FIP, Model Code 2010;
CENTONZE G., LEONE M., AIELLO M.A., 2012, Steel fibers from waste tires as reinforcement in concrete: A mechanical
characterization, Construction and Building Materials, 36, 46-57;
CNR-DT 204/2006, 2007, Guide for the design and construction of fiber-reinforced concrete structures, Italian National Research Council, Italy;
COLOMBO M., DI PRISCO M., MAZZOLENI L., 2009, Sprayed tunnel linings: a comparison between several reinforcement solutions, Materials and Structures, 42, 1295-1311;
DING Y., 2011, Investigations into the relationship between deflection and crack mouth opening displacement of SFRC
beam, Construction and Building Materials, 25, 2432-2440;
HOLSCHEMACHER K., MUELLER T., RIBAKOV Y., 2010, Effect of steel fibres on mechanical properties of high-strength
concrete, Materials and Design, 31, 2604-2615;
MOHAMMADI Y., SINGH S. P., KAUSHIK S.K., 2008, Properties of steel fibrous concrete containing mixed fibres in fresh
and hardened state, Construction and Building Materials, 22 Issue 5, 956-965;
OLIVITO R.S., ZUCCARELLO F.A., 2010, An experimental study on the tensile strength of steel fiber reinforced concrete,
Composites Part B: Engineering, 41, Issue 3, 246-255;
SHAH S.P., KUDER K.G., MU B., 2004, Fiber-reinforced cement based composites: a forty year odyssey, Fiber reinforced
concrete from theory to practice, International workshop on advances in fiber reinforced concrete, Bergamo, Italy,
September 24-25, 2004;
UNI 11039, 2003, Steel Fibre Reinforced Concrete, Italy.
UNI EN 12350, 2003, Testing fresh concrete, Italy;
UNI EN 12390, 2003, Testing hardened concrete, Italy;
UNI EN 197-1, 2006, Cement part 1: Composition, specifications and conformity criteria for common cements, Italy;
UNI EN 206-1, 2006, Concrete part 1: Specification, performance, production and conformity, Italy;
UNI EN 933, 1999, Determination of particle size distribution sieving method, Italy;
UYGUNOLU T., 2011, Effect of fiber type and content on bleeding of steel fiber reinforced concrete, Construction and
Building Materials, 25, 766-772;
YAZICI S., INAN G., TABAK V., 2007, Effects of aspect ratio and volume fraction of steel fiber on the mechanical properties of SFRC, Construction and Building Materials 21, 1250-1253.

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International Conference | Bari - Lecce, Italy

Session XII

MAINTAINING A HEALTHY LIFE INDOORS:

AIR QUALITY AND SOURCES OF NOISE IN
RESIDENTIAL BUILDINGS IN THE UAE
Ehab Kamaleh1 & Hasim Altan1
1 Sustainable Design of the Built Environment, Faculty of Engineering & IT, British University in Dubai, UAE,
[email protected] / [email protected]

Abstract
In hot and arid landscapes similar to the United Arab Emirates (UAE), many people spend a
lot of their time in controlled climates, i.e. indoor environments, which depend primarily on
air conditioning where this may lead to poor indoor environments. Indoor air quality is a major factor in public health, safety, and environmental control, and is considered to be one of
the top concerns of global health. Air conditioning can alter ones environment and result in
negative affects toward human health; the circulated air can carry germs, dust and microbes
which end up in the air conditioning ducts. In addition, the noise which is produced by the air
conditioning unit can affect the level of comfort and quality of life. The paper discusses the
factors that can affect the indoor environmental quality of residential buildings in the UAE
in particular. This review study brought to realization that there are many factors which can
affect healthy indoor environments with good air quality, such as the indoor environment
of the building spaces, ventilation, and humidity filtration, all which will be addressed and
discussed in great details in this paper. The main focus of this study is to suggest solutions for
healthy indoor environments in this region by emphasizing on air quality and noise related
with building services for controlled indoor climates and environments that can affect life
quality drastically and have diverse effect on people including their wellbeing.

Keywords
Indoor Air Quality Controlled Environments, Noise, Health and Wellbeing, Hot and Arid
Climates, UAE.

785

Introduction
The research paper discusses the factors which affect the Indoor Environmental Quality (IEQ) generally for residential buildings and especially in the United Arab Emirates (UAE). This geographical
location which hosts a climate that is usually very hot; forcing people to be largely dependent on
Air Conditioning (AC) who try to escape from the outdoor environment; all this leads to a poor
indoor environment. Therefore, what is Healthy Good Air? In definition, it is the air that is free
of harmful concentrates and contaminates which can have a health impact on people who are
prone or influenced to illnesses through inhaling or being exposed to such harmful substances.
According to Nationmaster.com, in the UAE, 85% of the population lives in urban areas. Urban areas is where people spend a noticeable part of their time in environments that depends heavily on
air conditioning; hence the wellbeing and health of an individual will be affected by the air quality
and air pollution were noise effects are considered as a major contributor to noise. Such effects
can be tangible (i.e. can be touched and/or measured), such as the loss of the hearing sense, or it
can be intangible (i.e. cannot be touched and/or measured), such as behavioral and psychological
effects. This review brought to realization that there are many factors which can affect a healthy
air quality; things like the environment of the building itself, ventilation and humidity filtration, all
which will be addressed in details in the discussion part of the review.
The reason for this review about air quality and noise environment is that air quality and noise can
affect life quality directly which is on the other hand defined as the fulfillment of human needs
and an inevitable part towards their wellbeing.

Methodology
The methodology used to conduct this research is a qualitative literature review; studying and reviewing research papers and scholars which focuses on the subject of how to improve the indoor
environment under all aspects towards the goal to achieve a sustainable healthy environment.
The paper focuses on providing extra knowledge in the domain of the selected topic.

Analysis and Discussion

A health air is one free of harmful contaminates that can have a health impact on people who
are susceptible to illnesses. Many people in the UAE spend a good part of their time in climate
controlled environment; with air conditioning the effects of time spend in climate control environment on human well-being is not a clear cut one. Researchers in this field focused on built
methods, air quality in the buildings, air conditioning and noise.
Sick Building Syndrome
The relationship between the visible and non-visible conditions of a building (i.e. its heating,
lighting and humidity) and inhabitants health is complex; these variables are the cause were
occupants of any building may feel discomfort (Sahlberg et al. 2009). The experience of such discomfort, distress or maybe anxiety when physically being inside the building is known as the Sick
Building Syndrome (SBS) but the causes of this is yet unknown. Studies have found that the Sick
Building Syndrome is due to factors such as psychological, physical, age-related, gender, social
stats and many more other related mechanisms (Bass et al. 2003).
In the UAE where the average temperature is high it is hard for the nature do its ventilation prop-

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erly. In addition, the excessive use of air conditioning, a lot which are not regularly maintained,
can cause air conditioning system failure which in return causes a significant accumulation of various air contaminants in the air conditioning duct System. Those contaminants are of two sources,
(A) Chemical and (B) Biological; such as paint carpet adhesive and germs. What exactly takes place
is that mildew spores thrive in damp and poor ventilation areas without much significant natural
light in building and/or houses which can lead the cause of many symptoms such as, cough, dry
skin, itching, sore throat, naves, dizziness, breathing difficulty, headaches, runny nose and many
much more of such similar symptoms.
Furthermore, the disproportionate noise that is produced due to the over use of air conditioning
and refrigerators, wash send dryers, dishwashers, etc. can negatively influence humans health
both physically, such as causing some hear loss, and psychologically, such as becoming easily
irritated, angry or distressed which is an intangible consequence. All these can increase the possibility to affect the comfort level and health of inhabitants who live in a climate controlled environment (Ioan and Ursu 2012:880).

Figure 1: Source of indoor pollutants (Urbaneer.com)

Ventilation
Ventilation is required in residential buildings in order to control the pollution which is caused by
indoor factors. Surprisingly and as easy as it may be, controlling such factors to prevent the issue
of pollution is the solution for a better ventilated environment for all inhabitants. How does the
ventilation work? The ventilation system consists of a supply and exhaust structure which is done
either naturally, through building opening of windows, doors or any other, or mechanically by
HVAC systems. However, mechanical systems allow us the ability to control the rate of ventilation
but it may fail if it is not implemented mechanically in an efficient and effective manner, or not
maintained regularly (Zhou et al. 2007; Yamamoto et al. 2010). Low rates of ventilation can lead to
catastrophic issues to the building or house occupants, and the structures envelope caused by
the high level of humidity and moisture which causes molds and mites to destroy the building
finishes and envelope causing several diseases and illnesses (Seppanen and Fisk 2004:108).

Air quality and sources of noise in residential buildings in the UAE

787

Figure 2: Controlling ventilation in residential buildings (Blogspot.ae)

Indoor Air Quality
Work environment, business or at home, all often require people to spend a majority of their time
indoors. As an outcome, inhabitants (of indoor area) health and comfort are largely reliant on
establishing and sustaining good levels of Indoor Air Quality (IAQ). Quality of the air inhabitant
breathe is connected to many factors; for example humans beings get rid of 4kg (approx.) of skin
every year and a lot of this shredded skin transport through indoor air and could either transfer
to other inhabitants lungs or it would fluster as household dust. This can be increased further
through other variables, such as carpets, cleaning chemicals, pets, paints, air fresheners and much
more, all which can create more indoor pollution and reduces the air quality.
In hot countries, such as the UAE, the concern of preventing heat to enter the building and saving
the air conditioning efficiency in indoor spaces has resulted in poor indoor air quality and has
also caused the collection of pollution related factors to dust, germs, bacteria, chemicals used for
cleaning and others. Sickness symptoms like breathing problems, headache, and skin irritations is
a result of poor air quality that contributes in an uncomfortable environment which gives a negative effect on the productivity and health of occupants. Elements that results in a poor indoor air
quality is related to the design of the space, indoor finishing, level of activity in the building and
the air supply to the building through HVAC system (Chiang 2008:140).
The indoor air quality is a major contributor to Building Related Illness (BRI) and Sick Building
Syndrome (SBS) affecting occupants. Thus, what should be monitored, neutralized or kept under
control? Gaseous pollutants: Total Volatile Organic Compounds (VOCs), Formaldehyde, Carbon
Monoxide, Oxygen, Pentane and others. Particulate pollutants: These come from different type
of sources and can come in Fine particles (2.5 micrometer in diameter or even smaller) which can
come from power plants, vehicle tailpipes, industrial processes and woodstoves, or can be coarse
particles (anything between the 2.5 and 10 micrometer in diameter), which is a result of grinding
and crushing operations, agricultural operations or road dust (EPA 2013; Hedge 2009).
Many types of mitigation strategies have been identified, developed and implemented over the
years when it comes to solving IAQ problems. Mitigation of indoor air quality issues sometimes
may require involving staff or facility management which represents areas such as (1) Facility Op-

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eration and Maintenance, (2) Shipping and Receiving, (3) Procurement, (4) Policy Makers, (5) Staff
Training and (6) House Keeping.
Furthermore, successful mitigation process of the IAQ issues and complications may also require
the cooperation of other building inhabitants which will include employees of building tenants.
A process that follows a basic checklist for correction and preventable contingencies followed by
education and awareness of occupants about the causes of IAQ problems and what actions must
be implemented or to avoid preventing the relapse (Dasgupta et al. 2009).
Developing IAQ is easy and more about the process in general and how this is implemented has
been illustrated in the following process flow (Table 1):
Table 1: IAQ process flow (EPA 1991; Kuo 2008)
Step 1: Collect and Review Existing Records
Description

Outcome

Review record of complaint

Review operating documents, construction and design
Check HVAC maintenance records counter to equipment list

HVAC system description in regards of design and operation;

operating instructions and manual sets
Set of calibration and Maintenance records
Complaint Inventory
List of changed equipment, occupancy or building locations

Step 2: Conduct an inspection tour in the building

Description

Outcome

Search for Indoor Air Quality Problems

Communicate with occupants and staff

Gather list of locations which will require monitoring or

rectification
Sketch Plan; identifying location where negative or even
positive pressures should be maintained

Step 3: Collection of Detailed Information

Description

Outcome

About the pollutant Sources and pathways

The condition and regular operation of the HVAC system
The satisfaction and health risk of occupants

List the HVAC system components which will require fixing,

replacement or just simple adjustments
Comprehensive Airflow direction and pressure differential plans
in significant areas
Location and sources of pollutants
List of Safety Materials data sheet for hazardous substances and
supplies which are stored in the building

The process is followed by one simple question; did you find any IAQ problems? If YES, then mitigation must be taken but if NO then go directly into developing an IAQ Management Plan as
shown in Figure 3 below.

Air quality and sources of noise in residential buildings in the UAE

789

Figure 3: Developing IAQ management plan (EPA 1991)

Living in a country such as the UAE, there are several critical consistent problems and/or equipment that should be disclosed and regularly monitored in ever building, home and indoor location on a 24/7 basis.
HVAC Systems; an equipment that ranges in its complexity from standalone unites serving individual rooms to large centrally controlled systems in multiple areas in a building. The aim of
HVAC is to have tightly sealed efficient indoor that are better for the environment but a lot are not
properly maintained or equipped to purify and filter constantly re-circulated air; this leads accumulation of high concentrates of pollutants exhibiting other indoor air quality problems such as
dryness, stuffiness, fumes or dampness.
Almost every part of an indoor lifestyle area can generate air pollution; furniture, cleaning, cooking, paint, pets and many more are all culprits of airborne pollutants trapped in a re-circulated air
flow. Such pollutants will directly affect children, elderly and also adults; no one is able to escape.
This can cause allergies, asthma any many more respiratory diseases or other mild reactions such
as headaches, nausea, scratchy throat, dry and red watering eyes and coaching.
Mold; can possibly be found almost anywhere as they are able to grow on almost any organic
substance as long as oxygen and moisture exist; some can grow on carpets, foods, paper, wood
and AC insulation.

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Mold growth will often occur when excessive moisture gathers in building materials or in the entire building, specifically when the moisture is either not discovered or not resolved immediately.
It is very hard to eradicate mold or mold spores completely in indoor environment but surely
can be controlled by simply controlling moisture in those environments. Health problems and
odors vary when mold growth due to moisture problems happens. Issues as breathing difficulties,
headaches, skin irritation, worsening asthma symptoms and allergic reactions, all which could be
associated with mold exposure; potentially.
Every single form of molds has a possible cause of a health effect; they produce irritants, allergies
and toxins in some cases which can lead to severe reactions in humans whether a child, elderly,
adults and even pets. Even the severity and types of the symptoms may depend on the type of
mold present, exposure, which the individual has been, directly or indirectly to the mold, individuals age and individuals existing allergies and sensitivities (EPA 2014).
Humidification and Dehumidification Equipment; some structures, houses, buildings or even
areas within these indoor location there is a special need that deserve strict control of humidity,
such as the computer rooms or operating rooms. The control over humidity is often done by
using dehumidification equipment and controls or through humidification. The UAE is a country
filled with offices and compact work locations in an environment which is known for its high humidity, this raises the risks of many indoor air quality factors. In office and/or work facilities, it is
usually preferable to maintain relative humidity above 20 or sometimes 30% during the heated
season. In cooled season, it is more of below 60%. Using air conditioning system which has been
properly designed and operated will normally keep relative humidity below the 60% RH mark in
offices with a normal density and load (EPA 1991). Offices in buildings of indoor cool climates and
exterior hot climates should be in a thermally efficient envelope (e.g. insulation) and the economizer, a person who limits and controls spending and avoids waste, may need humidification to
sustain comparative humidity within the effected or concerned areas. When required, humidification must be added in a way which stops the growth of microbiological organisms within the
air handlers and duct work.
To prevent the exposure of occupants to chemicals, steam humidifiers should make use of clean
steam rather than simply just treated boiler water. Systems which use mediums other than clean
steam strictly must be regularly and consistently maintained according to the manufacturers recommendation in regards of the producers and methods to reduce the possibility of micro-biological growth occurs. Going back to the topic of molds are more likely to grow if the humidistat
set point in the occupied area is beyond 45%. In addition, to avoid condensation (with a possibility for increasing and growing mold growth) the high limit humidistat which is located usually in
the duck work down-stream of the point where water vaporizes is set at 70%. To add water vapor
to a structure, villa or building or any indoor area which has not been designed for humidification
can develop a chance to have a negative impact on the buildings structure and correlating directly to occupants health if any condensation follow in walls, roof cavities or cold surfaces (EPA 1991).
Ending this discussion would not be possible without mentioning some of the main devices used
in detecting and collecting the data for indoor air quality current situations and risks; the most
important steps of all are as follow:
Vacuum Pump; well-recognized airflow rates, which draws air through collection devices such as
sorbent tube, which entices certain chemical vapors to a powder such as carbon, filter that catches
airborne particles or impinge which is more of bubbles that impurities through a solution in a test

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tube. Usually it is required some adjustment to a lower detection limit for Indoor Air Quality work.
Direct Reading Meter (DRM); this device estimates air concentration through several detection
values. Some go through chemicals (e.g. CO2 levels), chemical groups or broad pollutant categories (e.g. all respiratory particles which are done using scattered light). Detecting the above will
bounds and lessens the time developed for improved IAQ.
Detector tube kit; this device usually includes a hand pump which draws an identified volume of
air through a chemically treated tube planned to react with specific air pollutants. The length and
depth of the color stain within the tube relates to chemical concentration (e.g. Acidity).
Personal Monitoring Devices (PMD); also referred to as dosimeters are worn or carried by individuals and are usually used to measure individuals contact to specific chemicals. There are two
types of PMDs; one which do not carry pumps and they are called passive monitors and other
which does include pumps and are called active monitors; such devices are used in research currently. There is a big possibility that such devices may be useful in IAQ examination for public and
commercial areas ad buildings (Jacobs et al. 2007).
Many more devices can and will be found in the market which will help to detect IAQ very much
effectively and efficiently. What makes people have access for such devices more than others or
selectively choose Device A over Device B? The following criteria are the main by which professionals and people choose.
Table 2: Criteria for choosing IAQ measurements (EPA 1991; Hood 2005)
Ease of use

Output

Time required for to measure

Analysis required vs. Direct-reading
Portability

Instantaneous readings vs. Time-averaged

Available accessories
Data logging compatibility with computer
Sensitivity

Quality assurance

Cost

Customer Support availability at supplier

Maintenance
Calibration requirements

Re-Usable or just one

Purchased or Rented
Affordability

Indoor Noise
Noise pollution is not less in its affect than other kinds which affect the indoor environment
comfort. Noise can be really harmful when it exceeds a certain level; causing physical (especially when it reflects to hearing which is negatively affected and directly correlated to noise and
heavy volume disturbances caused by many factors) and physiological health problems. Factors
contributing and causing noisy indoor environments usually is a result of residential buildings,
surrounding neighborhoods, roads and rails system if any and most importantly it is from HVAC
system and mechanical systems (if not installed or maintained probably) in buildings which frame
inhabitants every time and anywhere (Sherman 2004; Sherman and Walker 2009).
Thus, what is environmental noise? It is that noise which comes from any source other than an
industrial workplace; it is also called community, domestic, or residential noise. This type of noise
mostly comes from traffic, includes road and air traffic, and construction sites and equipment
operations and all other types of similar work. Environmental noise is also an outcome of neighborhoods, diners, events, car parks and many much more.

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The presence of such environmental noise in bigger areas and countries impose a bigger risk and
negative effect on the population; this includes health effects such as hearing loss (due to the
noise and disturbed sleep) and social behavior effects which are caused by such noises directly or
indirectly. Nevertheless, just as many other negative effects, there have been assured ways that
has been developed to challenge and reduce the effect.
Firstly, measure the noise level; the way to monitor or measure noises is through decibels. For
example, talking with a normal tone would have a level of 45 to 65 decibels. It is not always the
measurement of decibels that we must note, but also the frequency of a noise. It has been examined numerously and shown that the frequency of a noise, precisely background noise such as
ventilations or air conditioning, can have an effect on the productivity of a person.
Secondly, we can see that the effects of such noises are numerous and different and may ultimately affect health in many ways. Such ways include sleeping problems, hearing issues, and coronary heart disease which in turn may cause diabetes, high blood pressure, and even obesity. At
first, we might not see major negative effects but when we dig deeper, it is obvious that one issue
leads to another and the overall effect is unhealthy and catastrophic (Damian and Fosalau 2011).
Lastly, taking control of noise literally, this can be controlled at the source of generation itself by
using techniques like the following:
Dropping Noise Levels from Domestic Areas: domestic noise impending from television
sets, mixers, cooking operations, tape recorders, radio and washing machines can be minimized judicious and selective operation. In addition, using carpets or any sound absorbing
material will lead to reduction in generated noise.
Selection of Machinery: Selecting optimum machinery equipment and/or tools reduces surplus noise levels. For example, selecting a category of machinery or equipment which generates less sound due to its superior technology.
Machinery Maintenance: Appropriate maintenance and lubrication of machinery - vehicles
and all other equipment which may exert loud noise if not regularly taken care off - will reduce
noise levels. For example, it is a common understanding that vehicle parts will loosen up while
on an uneven path on a journey, if those parts are not correctly fitted back they will generate
noise immediately. As a result, this will cause annoyance to the driver and/or passenger. Equally, machines will cause un-delightful noises if not properly handled and maintained making it
essential not only for noise control but also to improve the product life cycle of the machine.
Vibration Control: Materials vibrate in different forms, some which may be gentle like the
massage chair but many go viral like the demolishing trucks. This can be controlled using various forms of appropriate foundations, rubber padding and other vibration prevention methods and tools; in a way to reduce noise levels caused.
Low Voice Speaking and Prohibiting Loud Speakers: Speaking with low voice and also not
permitting the use of loud speakers in selected inhabitant locations can lead to a great reduction in noise in the environment. For example, India metro cities became very much stringent
on using loud speakers and this is totally controlled by specialist in the Urban Administration
(Ababsa 2014).
Thermal Comfort
Indoor environmental quality and its effect on people in terms of productivity and/or comfort can
be studied thoroughly using data and resources from building occupants. Throughout the last
few decades, much research has been conducted to analyze and understand the whole picture in
terms of comfort; specifically on the well-being and health at the workplace. These studies have

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used two types of tests; laboratory tests and field tests.

Laboratory tests were conducted in climate chambers; a chamber which is enclosed used to test
the effects of detailed environmental conditions such as biological items, materials, industrial
products and electronic components and devices. On the other hand, field tests (i.e. testing the
indoor products, devices or materials in the environment in which it is to be used) were conducted in running buildings. Both methods have certain advantages as well as disadvantages however both are useful for researching more in depth on environmental comfort.
It is important to understand what exactly a comfortable thermal environment is in relation to
the conditions of an indoor climate, thus we need to consider a number of aspects to understand
and analyze the issue in the best way possible. One of the most important aspects taken into consideration is the one on health; aspects related to illnesses due to building environment (Mitchell
et al. 2007). Furthermore, the measurement of comfort has been made in such a way to consider
the subjective votes of people as well as the parameters of the measured climate which tend to
get transferred from simple laboratory tests to more inclusive field studies. It is also significant
to note the difference between indoor climates and out-door climate as well as the role which
air conditioning plays in analyzing the results of environmental tests. Thus, the topic of comfort
alongside productivity and air quality is something to consider when developing further more
research models. On another scale, the benefits of field tests have been noticed considerably as
part of thermal comfort analysis. And, the main issue here is to consider deficiencies which may
present during the evaluation; all which lead many professionals to understand the importance
of post-occupancy evaluation (e.g. where conditioning and lighting are adjusted depending on
what the occupants need).
This ultimately plays a critical role on fully understanding the thermal comfort as it is seen in
workplaces. It has been backed up by adaptive comfort models which are an important part of
energy efficiency as it uses strategies for passive cooling. These models are different from the
comfort standards that we are familiar with due to laboratory experiments, they are a result of
field studies which shows the importance of external climate conditions on buildings which are
not air conditioned. Another part of field studies is also that the indoor environment itself can
be shifted due to a number of aspects. Nevertheless, with appropriate tools and surveys we can
properly analyze the results associated with these test (Gossauer and Wagner 2007).
Energy-Efficient Air-Conditioning Technologies
The quality of indoor air has been numerously considered as high importance along-side the
ventilation negatively and positively affecting workforce productivity in different buildings. The
two types of buildings mostly considered in this are buildings used for offices and buildings used
commercially. Ventilation is one of the vital aspects which help making a built environment of
good quality yet we are faced with a major issue, the issue that climate conditions and this is because they do impose a challenge when working on an air conditioning system especially when
the climate is humid or hot. Thus, there are two ways to help reduce such challenges and negative
effects; to either use cooling coils which have dehumidifying aspects or to properly use air distribution strategies. In addition, technological advancements have made a step towards improving
air conditioning and sir distribution. One example as such is the personalized ventilation systems
that have been developed in Singapore.
Furthermore, many studies have been conducted on the matter; one specific study was conducted in the United States which uses indoor environmental data already available to show that
working on improving the environments of buildings ultimately results in major health benefits

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and the results of those studies showed that these benefits were also offering economic benefits per year. Nevertheless, there are some issues linked to variables such as contamination and
therefore it is a must that the right strategy is to be used in designing proper ventilating systems
all which will improve indoor air quality in different methods such as choosing building materials which do not emit or emit a low level. This will help prevent contamination from reaching
the air by stopping at its source. This source control is crucial as it is a method to reduce indoor
contamination. However, we still need to use proper strategies for the right ventilation in order to
eliminate the negative aspects largely (Itron 2008; EREC 1999).

Conclusions
The key objective of this study was to encapsulate the present collected literature related to the
effects of indoor environmental factors on health, productivity and comfort of building users.
Referred studies in this detailed research found clear impact of IEQ parameters on building inhabitants. The information and data collected in this review conveys communicative evidence
that poor indoor environmental conditions can have serious consequences on performance and
wellbeing of inhabitants especially children and elderly. Briefing the methodology studying the
correlation between indoor environmental factors and satisfaction, we have realized that the
quantitative models provide more information over qualitative because they indicate precisely
to which extent the environmental conditions have and/or should be changed in order to develop comfort. As for qualitative surveys, it only provided information of environmental parameters
considered to be important mainly by inhabitants.
To guide the building industry towards intelligent buildings, energy efficient, environmentally
green, dominant on the user health and most importantly sustainable is a substantial, significant
and critical environmental friendly approach. To support occupants health indoors is acute to
prevent illness and protect and prevent the health of the community. The necessity to for energy
efficiency in building or indoor air quality is not the major factor but, to enhance the current behavior toward sustainable buildings in order to avoid subsidizing health vulnerability from indoor
agents. Therefore, the need to achieve a good scheme or project scope is by bearing in mind the
integrated view of its multiple elements which must be stressed and should not favor individually
an explicit aspect of the environmental comfort but rather should systemically encourage and
inspire a healthy environment.

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ENVIRONMENTAL PROTECTION AGENCY (EPA), 1991, Building Air Quality (BAQ), US Environmental Protection Agency.
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International Conference | Bari - Lecce, Italy

Session XII

IMPACT OF RETAIL INDOOR ENVIRONMENT ON

CONSUMER WELLBEING AND PERFORMANCE
Fathima Reaz1 & Hasim Altan1
1 Sustainable Design of the Built Environment, Faculty of Engineering & IT, British University in Dubai, UAE,
[email protected] / [email protected]

Abstract
There are concerns regarding the retail indoor environments nowadays as most people tend to visit
and spend more hours indoors in such spaces, especially supermarkets and hypermarkets. This paper

presents the effect of ambient factors such as lighting effects and indoor air quality effect on
people in retail store indoor environments. Indoor air has a considerable impact on public
health and productivity as these are contaminated with particulate and gaseous matters such
as VOCs, formaldehyde, carbonyls, etc. A comprehensive literature review was conducted on
the subject to identify the main domain issues. Hence, to localize the research, surveys were
conducted in supermarkets and hypermarkets in the UAE. Analysis from the primary and secondary data draw the inference that most VOCs were seen in supermarket areas concerning
food and cleaning products and secondly fine particulate matter especially PM 2.5 have shown
to produce adverse effects on customers and people working in retail indoor environments.
The findings regarding the daylighting effects show that daylighting in the stores made the
customers feel that the stores were cleaner and more spacious. The paper suggests that this
study would help in improving the health, productivity, comfort and performance of the general public as retail stores are considered public indoor environments. This study would also
be beneficial for retailers by improving wellbeing and satisfaction of customers, which can at
the same time help leading a sustainable business culture.

Keywords
Retail Stores, Indoor Environmental Quality, Human Health, Performance, Indoor Air
Quality, Daylighting.

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Introduction
Throughout the ages, indoor environment is considered to be an important domain, especially
since the first century B.C. (Aicher et al. 2001). Yildirim et al. (2007) points out that the indoor environment of a space consists of the human factor, ambient factor and the design factor. Bluyssen
(2009) states that the main aspects that govern the quality of the indoor environment are as follow:
1. Indoor air quality which comprises of odour, air pollution, air supply and exchange.
2. Thermal comfort which comprises of the moisture content, air velocities, temperature, etc.
3. Acoustical comfort which comprises of internal or external vibrations and noise.
4. Visual quality that consists of lighting effects, intensities, luminance, etc.
Considering above aspects, indoor environment creates a positive consequence on our health,
wellbeing, productivity and comfort.
This study concentrates on the ambient constituents such as lighting effects and indoor air quality effect on humans in retail stores indoor environment .In this paper, the characteristic or type of
retail store considered and studied upon are supermarkets and hypermarkets. It has shown that
increased number of visitors in retail areas and the number of hours spend in this environment
has given rise in concerns on the quality of air in these areas (Amodio et al. 2014). Indoor air has a
considerable impression on public health and productivity as these are contaminated with particulate and gaseous matter such as VOCs, formaldehyde, carbonyls, etc. (Wolkoff 1995).
Nowadays, people tend to while away a lot of time in shopping malls and departmental stores
as one has an opportunity to buy ones daily goods as well as enjoy a meal afterwards due to
the huge number or cafes and restaurants incorporated in these stores. However, the more time
people spend in these areas, the more they are prone to many indoor pollutants and other indoor environmental factors that may adversely affect a persons health and wellbeing. Thus, it
is of utmost importance to have good knowledge in this domain so as to promote a better and
healthier environment for all. The United Arab Emirates (UAE) is a country that is keen on a sustainable future. Although not many studies are completed regarding the retail indoor environment in this region, thus this comprehensive study would help create guidelines and knowledge
in this domain. This study is aiming to analyze how the indoor environment quality can affect the
consumer wellbeing and performance in a retail store environment and how it can be enhanced
to promote productivity and health.

Methodology
This study conducts a literature review to understand the domain parameters first and then to
relate with the primary data collected through survey in retail environments in the UAE. This is
part of an ongoing research on retail environments in the country and due to limitations of time
only a few number of surveys could be conducted.
A comprehensive review was conducted and main parameters were highlighted for the study.
The literature review established a solid base for the domain of study. Moreover, field observations was conducted in order to understand the parameters affecting the consumers in four retail stores in the UAE, mainly in Dubai and Sharjah. Furthermore, a survey was conducted on 48
consumers (equal number of males and females) to find how the parameters affect the wellbeing

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and comfort of the consumers. This paper only reports on the initial survey conducted as a more
voluminous survey would need much more time and would be reported on the next stage of the
research. The retail environments were selected according to the popularity of the retail stores
and locations were limited to Sharjah and Dubai based on accessibility.

Discussion and Analysis

Retail is a very important aspect in todays world as they are one of the leading revenue generators. Thus, consumer response to retail environments is of predominance and is mainly due to
the key in store components (Kotler 1974). The literature reviewed was potentially covering areas
such as impacts of poor indoor air quality in retail stores and visual effects and comfort in retail
stores. However, these gave a basic idea on the indoor environment was also looked upon to have
a deeper understanding of the subject area.
In the past few decades, public disquiet about the indoor environment just as the outdoor environments as one tends to have more awareness of the potential risks of exposure to indoor
pollutants is just as inimical as exposure to outdoor pollutants (Godish 2001). The ambient factor
which consists of the thermal, visual, acoustical and air quality (Yildirim et al. 2007) is of most
importance while looking at the indoor environmental quality of a building. However, Bluyssen
(2009) also points out that spatial ergonomics as well as ambience play a role in maintaining the
indoor environmental quality. Whereas Godish (2001) clearly defines the characteristics of nonresidential buildings that effect the indoor environmental quality as its form, function, population it
serves, maintenance and operation characteristics, density of occupants, activities involved and
health concerned exposures (Fig. 1).

Figure 1: Indoor environmental factors, parameters, control and issues of concern (Bluyssen 2009)
Through the existing theoretical and empirical data, it can be seen that (Fig. 2) the characteristics
of the building and its indoor environment lead to health impacts such as allergies, sick building syndrome, respiratory diseases and poor worker performance (Fisk and Rosenfeld 1997) thus
bringing a high level of importance to gain knowledge in this domain.

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Figure 2: Diseases and disorders due to indoor environmental factors (Bluyssen 2009)
While considering a holistic approach, Engstrm et al. (2007) proclaim that it would result in the
clear understanding of each component or parameter. Bluyssen (2009) keenly agrees with this
concept and considers the changing demographics and climate change as the main driver to the
quality of indoor environments and the latter would be more influential as it will induce the outer
environment to have effect on the indoor environment.
A broad definition of a retail store would be a place where a retailer would sell their items to
the user or customer. In this study, the retail store is defined to a space where an individual gets
their daily needs, more specifically a supermarket or a hypermarket where there are perishable
and nonperishable goods. In todays world, most of the population would visit a supermarket or
hypermarket once in a while to get ones daily needs. It is considered a requirement or a part of
how the generation lives nowadays. Amodio et al.(2014) argues that through their research, it is
understood that most of the public while away a lot of their time in retail stores and this would
make these subjects have prolonged exposure to the indoor environment in that area. The two
main areas that have impacts on the health and performance of customers are the indoor air
quality and the visual comfort, which have been considered in this study.
Indoor Air Quality (IAQ)
Burroughs and Hansen (2011) describe building as a habitat that is created by human which includes conditioned air and adequate space to respire and work. Thus, this habitat is a complex
indoor air quality system that consists of the occupants, activities, conditioning systems, outdoor
elements, pollutants, etc. That needs to be properly maintained and operated to give a healthy
and productive life to its occupants. The American Society of Heating, Refrigerating, and Air-Conditioning Engineers (ASHRAE), one of the predominant bodies governing indoor air quality states
that a buildings functionality and economics is dependent on indoor air quality, in the ASHRAE
indoor air quality guide (2000). The guide clearly mentions that indoor air quality greatly influences the health, productivity and comfort of the occupants. The US Environment Protection Agency
(EPA) (1989); Fisk (2000) and Mendell et al. (2002) pointed out that tens of billions of dollars was
saved in the United States (US) by improving the Indoor Air Quality (IAQ) in offices as it reduced
absenteeism and health costs and an increased rate of productivity was seen in the occupants.
Retail stores are one of the top revenue collectors in a country. In the field observation conducted
through this study in supermarkets and hypermarkets in the UAE, it was noticed that most visitors
tend to spend a minimum of two hour at the hypermarkets or supermarkets in a monthly basis.

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This is due to the fact that the prices tend to be less in these retail stores as well as ease for the
costumer to get all general goods at a single space. It was also observed that all these retail stores
had cafeterias and food outlets so that customers could have their dinner, lunch or snacks after a
tiresome shopping session. Retail store environments are prone to have many pollutants due to
the fact that it has a lot of products that tend to emit one or another indoor pollutant (Xu et al.
2014). The main pollutants in the indoor air environment are Volatile Organic Compounds (VOCs)
and Particulate Matter (PM) (Chan et al. 2014).
Amodio et al. (2014) has concluded through their field study that most VOCs were seen in supermarket food areas and by further VOC analyses and it was seen that it was due to the excessive
cleaning in the food area that increased the VOCs concentration in that space. Many field studies
have been carried out to find out the type of particulate matter or its characteristics and effects on
humans in indoor environments. Particulate matter especially PM 2.5 (Chan et al. 2015) have shown
to produce adverse effect on customers and people working in retail environments (Zaatari and
Siegel 2014). Chan et al. (2014) and Nirlo et al. (2014) argued that the best way to improve indoor
air quality is through ventilation.
Bluyssen (2009) divides pollutants in the air as chemical and biological pollutants, where the former consist of gaseous and particulate matter and the latter consist of micro biological organisms
or matter. Two main contaminants of concern in a retail store are discussed below.
Volatile Organic Compounds (VOCs)
Molhave (1991) reports that volatile organic compounds found in the indoor air can lead to health
issues and lower comfort levels. EPA has pointed out that VOCs vaporize at room temperatures
and they include all organic compounds with 17 carbon molecules in their molecular structure
and which has a boiling point of 250 degree Celsius. Abundance of volatile organic compounds
are seen in indoor air and it mainly due to the reason that the indoor air do not get diluted easily
as the chemicals are trapped within the enclosed space (Hess-Kosa 2011).

Figure 3: Contaminants in indoor air (Bluyssen 2009)

Most common VOCs that can be found in a retail store are formaldehyde, benzene, Carbon tetra
chloride, Tetrachloroethylene, chloroform, Dichlorobenzene, Ethyl benzene, Toluene and Xylene
(Fig. 3). Health effects due to VOCs would vary from chemical to chemical but the usual symptoms
involved are headache, irritation in eyes, nose irritation, throat irritation, light-headedness and
nausea. Severe symptoms include cognitive impairment, lethargy and personality change which
would be due to high exposure to a certain VOC (HessKosa 2011). Amodio et al. (2014) has shown
through his study that most VOCs are generated through cleaning agents in retail environments.

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Particulate Matter (PM)

Particulate matter may be solid or liquid or a mixture of both found in the indoor air. Aerosols are
particulate matter that are between the size 0.01m and 200m and these can be inhaled and
can reach till the alveoli in the lungs, whereas particulates which are smaller than 10m (PM 10)
can reach till the thorax and cause irritations (Bluyssen 2009). Particulate matter enters the indoor
environment through many sources such as the occupants, ventilation, and can cause serious
respiratory effects in the occupants of the indoor space. In the retail shops in the UAE, particulate
matter may be an issue as its hot arid climate with frequent sandstorms may lead to the introduction of dust from the outside environment to the indoor conditioned space.
Strategies and Control Measures
Burroughs and Hansen (2011) argued that there are only three methods by which indoor pollutants can be controlled. The methods are elimination or removal of the source, dilution by ventilation and extraction by methods of filtration and cleaning of air. The EPA firmly states that source
control is the most efficient way of controlling pollutants in an indoor environment.
The Chartered Institution of Building Services Engineers (CIBSE) Guide (2001) for ventilation and
air conditioning gives a set of design requirements and strategies for shops and retail premises.
The most important strategy being ventilation, selecting the type of HVAC to be used, maintenance and operations, and positive pressurization of the building are also important. For food
store areas, particular strategies in ventilation are to be followed to control the humidity and
temperature of the space.
The ASHRAE Indoor Air Quality Guide (2009) has clear strategies and objectives for designing,
constructing and commissioning for indoor air quality. The guide has noted many objectives to
achieve good IAQ by using an integrated approach. The objectives include; managing primary
design and construction processes, controlling moisture in the structure, controlling entry of contaminants from the outdoor environment, limiting the contaminants and moisture in HVAC systems, indoor source control, contaminants eradication by capture and exhaust, use of ventilation,
filtration and air cleaning and other improved ventilation approaches.
Through the survey conducted in this study, most of the customers in retail shops felt discomfort
at the frozen foods area, spices area and the fish and poultry section. The frozen foods area is said
to be too cold and dry for the customers this is also known as the frozen aisle effect and this can
be diminished by using a ventilation system to split the cold air from the display cases and used to
ventilate to other areas (CIBSE 2001).The spices area where the spices are kept open is found to be
causing irritation to the customers eyes and nose. This is due to the increased particulate count in
this area and this can be reduced by the used of closed glass boxes to display and store the spices
rather than keeping it open or the retail store can use packaged products only. This area should
have adequate exhausts and air filtering to capture these contaminants and stop the recycling of
these particulates. The odour in the poultry and fish section is due to decreased ventilation and
capture and exhaust of these contaminants should be done.
Visual / Lighting Quality
Built environments are human made shelters to protect them from the climatic conditions of a
region. These built environments, usually built from steel and concrete tends to block out the
needful sunlight which leads to the introduction of artificial lights. Lighting is an important part
of the interior environment as it is said to effect a persons mood, performance and visual comfort or in short a basic human need. Bellia et al. (2011) points out that the from the 1990 onwards

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lighting of good quality was taken as an aspect that would balance productivity, human needs,
economic issues and environmental issues with favorable outcomes.
Daylighting and Artificial Lighting
Lighting is of two types considering the source; daylighting and artificial lighting. The source of
daylighting is the sun, therefore the amount of light would vary depending on the weather conditions whereas for artificial lighting there is a constant amount of light received and it can be
controlled by the occupants. Nonetheless, the artificial light does not take into account of the
non-visual characteristics of light such as its effect on mood, productivity and comfort (Webb
2006). Van Bommel (2006) states that lighting affects the body rhythms for biological process and
artificial lights disrupts these rhythms which will cause bad health effects if it takes place over
a long period of time. Many studies that materialize the fact that daylighting would induce less
stress on occupants compared to artificial lighting has been conducted throughout the decades
(Van Bommel 2006). Brand identity is also an aspect of marketing in retail stores. Schielke (2010)
points out that there is a distinct relation between brand identity and architectural lighting; that
the lighting would create a certain imagery of the space to customers and make them want to
visit the space again which is a good marketing strategy for retailers. The California Energy Commission (2003) has provided evidence through its technical report that a chain retailer has had
higher sales due to the fact that his store was daylit. Seventy three stores were studied and it was
seen that over 90% of the shoppers who did not even notice that there was daylighting in the
store felt that the stores were cleaner and more spacious.
Color of Light and Performance
Colour of the light has a great impact on the mood and cognitive performance on individuals of
different age, sex and gender (Kenz 2001). Studies by Kenz and Kerr (2000) prove that the younger
females and male adults (about 23 years old) show better performance than older adults (around
65 years old) in White lighting. Babin et al. (2003) pointed out that various colour and light has
an effect on the customers on price fairness. It has also been studied by Yildirim et al. (2007) that
males are more evaluative in their environments than females and younger generation has a positive tendency to indoor color attributes. Lighting plays an important role in building environments which then further leads to different types of lighting to be used to maximize effect but
Veitch (1997) argues that even if the lighting does have psychological effects, no different effect
would be observed if the fluorescent lamp types were different, which are mainly used nowadays
in retail stores. Wang et al. (2013) states that dynamic LED light has an effect on the atmospheric
perception; which is a great factor for retail outlets as it might increase the customers mood for
shopping. It is also seen that greenery in a store indoor environment can bring feelings of relaxation to the customer and reduce stress (Brengman et al. 2012).
In the survey, in terms of daylighting effect on customer perception on the environment, it was
seen that most people did not realize if the retail store was daylit but on the contrary the customers enjoyed food courts in retail stores where good view and daylight was provided. Through field
observation, it was noted that in some spaces daylighting led to glare and unwanted heat gain
due to poor design implementations. More survey needs to be conducted to understand the level
of interference lighting would have on the customers in retail store located in the UAE.
In summary, visual comfort and lighting can help in increasing business in a retail store and give
customers a relaxing and comfortable experience, eventually giving gain to both the retailer and
the customer if practiced in an integrated manner considering other design factors involved. The
UAE has a vast number of retail stores. It is seen that no particular guidelines are provided for an

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integrated construction process in this region regarding retail environments. A study in this area
would be fruitful for the wellbeing and comfort of the people in this hot arid climatic region.

Conclusion
As retail areas are considered public indoor environments, this study would help in improving the
health, productivity, comfort and performance of the general public. The indoor air quality and
visual/lighting comfort play a major role in customer satisfaction, performance and health. This
study would also help retailers to have increased profit to their organisation in a sustainable way
by improving their wellbeing and satisfaction of the customers. Adequate information regarding
indoor air quality and visual/lighting comfort in retail stores has been studied to understand the
major impacts on the occupants and to formulate strategies to avoid unnecessary indoor contaminants and improve customer satisfaction both physically and psychologically.
Recommendations for improving indoor air quality would generally cover areas such as managing moisture in retail store, limiting entry of contaminants from outside, maintenance of HVAC
systems, limiting indoor contaminant sources, ventilation, air filtering, air cleaning etc. (ASHRAE
2000). Daylighting can be improved by introducing light tubes, light wells and light shelves in
retail environments.
In the UAE, retail environments are very abundant and are seen as parts of large shopping malls.
People spend a lot of time in theses spaces due to the fact that the outdoor climatic conditions
are very hostile during most of the year (8 months) for any other activity. These retail spaces also
provide food courts thus increasing the duration of visit of most customers. Thus these retail indoor environments need good guidelines to improve the indoor environment as it will help in
improving the comfort and prosperity of the customers and other occupants of the space.

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International Conference | Bari - Lecce, Italy

Session XII

A POST OCCUPANCY EVALUATION OF THE UAE

MUSEUM INDOOR ENVIRONMENTS
Hawra Sharif Askari1 & Hasim Altan1
1 Sustainable Design of the Built Environment, Faculty of Engineering & IT, British University in Dubai, UAE, hawra.
[email protected] / [email protected]

Abstract
Museums are the main link between past, present and future. They are a reliable source of information for researchers, and a good entertainer for teaching children history and other topics. In addition, they allow people to see different but original ancient artworks and artifact
by visiting them. This paper discusses the UAE museum indoor environments and their effect
on human health, comfort, performance and productivity. The aim of this study is to help providing comprehensive guidelines for the United Arab Emirates (UAE) museums with regard to
enhancing their indoor environmental quality. The study investigated three main controlling
factors in museum environments considering artifacts, visitors and personnel, and conducted
site visits and questionnaire-based surveys as well as interviews at existing museums in Dubai
and Sharjah in order to evaluate their indoor environmental quality. The paper is discussing
the results gathered from the museums personnel/staff surveys as a continuation of the study
started over in 2014 in which the focus was mainly on the visitor satisfaction levels toward the
museum indoor environment. Since the museum personnel spend relatively long time inside
the museums as their working environments, depending on their position and duty, they
may be in contact with artifacts directly or indirectly for long periods of time. Evaluating the
conditions of the environment they work in and how it affects them is very important point
to be considered in the studies related to museum indoor environments. Dubai is hosting
Expo 2020, which will lead in setting up many cultural projects and museums in the region.
Having clear guidelines for these projects will certainly increase the efficiency and the professional level of the future projects. Thus, providing these guidelines and recommendations in
advance will help significantly in considering the quality of the indoor environments in the
projects at the early stages of design.

Keywords
Indoor Environments, Museums, Human Health and Comfort, Performance and
Productivity, UAE.

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Introduction
Museums are a reliable source of information for researchers, and a good entertainer for teaching
children history and other topics. They are the main link for past, present and future (ICOM 2007).
As defined by the International Community of Museums (ICOM) (2007): A museum is a non-profit,
permanent institution in the service of society and its development, open to the public, which
acquires, conserves, researches, communicates and exhibits the tangible and intangible heritage
of humanity and its environment for the purposes of education, study and enjoyment.
This study is discussing the United Arab Emirates (UAE) museums indoor environments and their
effect on human health, comfort, performance and productivity by investigating three main controlling factors in the museum environments; artifacts, visitors, and personnel. An earlier stage
of this study was published in 2014, discussing the UAE Museums Indoor Environmental Quality
(IEQ) from the visitors perception, and the satisfaction level of visitors toward some of the museums in the UAE (Askari and Altan 2014).
The main aspect that makes the museum environments different from any other environment
is the presence of historical and original ancient items in them. These items should be kept in
specific conditions with special care in order to stop their degradation process as well as preserving them. Museum personnel spend relatively long time inside the museum, depending on their
position and duty, they may be in direct/indirect contact with artifacts. Evaluating the conditions
of the environment they work in and how it affects them is essential point to be considered in the
studies related to museum indoor environments.
This research paper is aiming to provide a comprehensive study that can be used as a reference
guide for setting up new museums as well as for enhancing the IEQ in existing museums in the
UAE, due to the growing interest in such cultural projects, specifically for Expo 2020.

Methodology
The earlier stage of this study included site visits to existing museums in Sharjah and Dubai for establishing a general overview of the museum environments. Based on the site visits and the literature review, a questionnaire-based survey was conducted in three museums of Sharjah (Sharjah
Islamic Civilization, Sharjah Archaeology and the Heritage House in Sharjah). The feedback from
the visitors was gathered during the summer period of 2014. The second stage of the research
focused more on the museum personnel/staff. Interviews with different sections of Sharjah Museums departments, particularly the personnel who are more likely to be exposed to the artifacts;
maintenance department, security staff, tour guides were included. In Dubai, the Architectural
Heritage Department (AHD) from Dubai Municipality was included in the study in order to evaluate the working conditions in the laboratories as well. This stage of the study has been completed
in 2015.

Literature Review
The original and historical artifacts make the museum environment different from other environments (Saraga et al. 2011). Certain standards are followed to setup suitable environmental conditions for preserving these artifacts. The exhibition halls and display cases are controlled and
monitored continuously in the museums. These conditions sometimes may not be ideal for the

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visitors and the working personnel, however they should not be harmful to them and instead
avoid causing any hazards to people as well as the cultural heritage items.
Artifacts
Organic, inorganic and mixed materials are the three groups dividing the different artifacts from
each other, resulting different requirements for each, also based on its original content in terms
of conservation (Gennusa et al. 2005). These requirements include the microclimate as well as
the illuminance levels. These conditions also depend on the status of each object and the level
of attention they require once they have been found. Organic materials are very sensitive objects
that are affected by their surroundings in a much faster way. From the inorganic materials, metals
and coins are very challenging, as they rust and as a result, affected by humidity quickly. Pottery
and stones are more durable objects; their main problem is the creation of different layers of salt
as well as the cracks they have. The main damage caused to the object is during the time it was
found and when it was first removed from the archaeological site. The sudden changes of the
environment that it was kept for over thousands of years will cause rapid changes in temperature,
humidity and lighting levels. It will cause cracks and chemical reactions (Hindawi 2014).
Overall, stable and uniformed microclimate parameters are required in the museum environments
for preservation (Gennusa et al. 2005) and the different parameters along with the conditions of
Sharjah Museums were published in the earlier stage of this study by Askari and Altan (2014).
Visitors
Visitors are the true content of a museum (Bataille 1930). They visit the museums individually or in
groups. During their visit, they can affect the historical items or even be affected by them, if conditions were not to be controlled. Different studies have been conducted in different museums
all over the world in order to evaluate the satisfaction levels of the visitors toward those environments. Based on the evaluations made by these studies, the visitors satisfaction was related to
the exhibition environment, ambient environment and the size of the museum directly and indirectly (Jeong and Lee 2006). Same factors were considered in evaluating the visitors satisfaction
in Sharjah Museums with below points:
Exhibition Environments in the UAE Museums
Indoor Environments and Technology Use
Visual Locomotors and Signage Availability
Circulation Complexity
Ambient Environment
Density of the Visitors
Noise Levels
Thermal Comfort
Temperature
Humidity
Size of the Museum
Overall, the results showed that the satisfaction levels among all visitors and some possibilities
in further enhancements. Moreover, the satisfaction level with regard to the different mentioned
parameters was higher compared to the other studies. This result might be related to the number
of survey participants as well as the season that the survey was conducted. As known, in the summer period, the visitors are much less around. Satisfaction level is an important factor and should
be considered. However, a crucial point to be studied is the impact of the perceived environment
on peoples health, and how it affects them over short and long periods of time.

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Museum Personnel
Artifacts can affect their surroundings as well as the people involved within the same environment (Corgnati and Filippi 2010). The museum personnel are more likely to be exposed to longer
periods of time to the artifacts and can be affected by them. Depending on their position and
role, this risk can get more serious as they spend average of 8 hours in their working environment.
1-Conservation Department
The highest risk for the museum personnel can be considered for those who work in the conservation
department, as the nature of their work requires them to deal with the historical objects constantly,
almost all the time. This continues and direct contact may cause serious hazards if the conditions
are not controlled properly and each individual employee did not follow the safety instructions. The
lighting parameters should be carefully set to provide clear vision for the restorer, at the same time
not harming the artifacts (Corgnati and Filippi 2010). On the other hand, ventilation systems should
be removing the particles and contaminants of concern, during the working process, and from the
laboratories in general. These particulates should not be directed to other environments within the
museum (Bellia et al. 2007). Materials with different origins require different conditions and environments, and dealing with them should be carefully conducted in separate environments. The conservator should be aware of the needed actions and the safety instructions when dealing with each
category to avoid health risks to him/herself as well as causing damages to the artifacts.
2-Tour Guides
Tour guides may not be in direct contact with the artifacts constantly, thus they may not be exposed to serious health risks like the conservation department. However, they are still linked with
the object indirectly for longer periods than the visitors. Also, their continues movement between
different exhibition halls and due to having different objects may be harmful to them. For this
research, the head of tour guides from Sharjah Islamic Museums (SIM) has been interviewed and
questionnaires were distributed among other guides in the same museum as well.
3-Security Staff
Similarly, to the tour guides, security staff moves around between different exhibitions most of
the time. They should make sure visitors are not causing any problems in addition to the security
system installed in the museums. They are less exposed to artifacts, and they are not interacting
as much as the tour guides with the visitors.
The second stage of the research is covering interviews with four different departments in which
the personnel are regularly exposed to and dealt with some original items. These interviews were
carried out in order to review the conditions of the environments and how the occupants are reacting to them as well as the practices undertaken within the specified position.

Interview Results
Based on the mentioned points above, site visits to the Archaeology Museum in Sharjah (AMS),
Sharjah Museum of Islamic Civilization (SMIC), Heritage House in Sharjah (HHS), as well as the
Womens Museum in Dubai (WMD) have been conducted while considering earlier site visits and
experiences throughout the overall research. On the basis of the results gathered from the visitors questionnaire-based surveys in three separate museums of Sharjah, different checklists and
questionnaires were prepared for different departments for the museums personnel. The questions were focusing on their duties and job activities while asking different questions to relate the
environmental status with the nature of each individuals work.

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Table 1: Museum personnel and the associated departments interviewed

Position

Department / Firm

Information (gathered through)

Head of Conservation Team / Chief

Conservator

Architectural Heritage Department /

Dubai Municipality

Interview

Maintenance Department

Sharjah Museums Department

Interview

Head of Tour Guides

Sharjah Museums Department

Interview

Tour Guides

Sharjah Museum of Islamic Civilization

Email/Survey

Security Guards

Sharjah Museum of Islamic Civilization

Personal/Survey

The table above (Table 1) shows the details of the personnel included from different museums
with their departments, and how the information was obtained from each data source. During
the interviews among the museum personnel in different museums, the maintenance departments have been added in the study due to the nature of their works and their relations with the
historical items in terms of maintaining the environmental conditions of them.
Conservation Department
As mentioned earlier, the conservation department personnel are always exposed to relatively higher risks than other departments, as the nature of their work requires them to deal with
the ancient items and to treat them continuously. With this study, it was aimed to evaluate the
working conditions within Sharjah Museums departments and the AHD of Dubai Municipality.
However, conducting interviews and obtaining feedback in Sharjah Museums were challenging
and time consuming, and therefore the results of the interview with the head of conservation
team in the AHD at Dubai Municipality have been presented in the study. In this department, 5
people are working in the same laboratories and their working hours are from 7:30am to 2:30pm.
The conservators are exposed to the artifacts all day long except for the short breaks during their
work. There is no time limit in dealing with artifacts; they are required to take breaks once they
feel tired. The following sections are showing the conditions in the conservation department at
Dubai Municipality.
The Conservation Methods Adopted in the Department:
In conservation, the origin of each item (organic or inorganic) plays important role on how the
object will be treated. Even if the objects are categorized and having the same nature, treating
each piece will be different from other due to its conditions. Based on the found objects at the
archaeological sites, the materials used in each conservation project may vary. However, most of
the items are inorganic materials and they are metal items.
There are two different ways in conserving the historical items; (1) using chemicals or (2) mechanical tools. Nowadays mostly agreed that the conservators should be kept each historical piece at
their original conditions with minimum changes without introducing a new chemical or a material substance to them. In Dubai Municipality, the conservators are usually treating the items
mechanically and avoiding any chemical usage as much as possible.
Different Stages of Object Conservation:
As the conservator receives an object from archaeological sites, each item should be documented. Documentation should always be done in three stages: (1) before, (2) while, and (3) after conservation. After documentation, a conditional report should be prepared for each item; this includes the status of the received pieces and specifies their conditions, whether in good condition,
bad, endangered or else. The report should also include photos from the objects, dimensions,
description, and sketches to show the areas of concern.

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Based on the evaluation, the conservator along with the museum conservator will decide which
action should be taken; conserving the object, only cleaning, treating, or stabilizing the object
and stopping the deterioration process for storing the object. The objects that are in very bad
conditions are the priority and should be treated urgently. If the object is specified for display,
the conservator should add some touches and project the details of the item. Additionally, they
should make sure all the corrosion and concessions are removed. Usually, the conservation of the
historical objects starts with the simplest methods and tools, and based on the conditions and
the deposits on the materials, the tools can differ. In Dubai Municipality, only in worst cases the
chemical liquids are introduced with the minimum amount.
The first stage, i.e. the simplest stage, is cleaning of the object with brushes to gently remove the
different layers of deposits from the item. This stage might take up to a month or more depending
on the status of the object. A later stage is using cutters with attention under microscopes carefully in order to avoid any damages or scratches from the blades to the object. This stage might take
several months to be completed. In addition, special drilling machines are used for removing the
contaminated layers on the object if needed.
In chemical treatments; cotton swap with little ethanol or methanol will help in softening the deposit layers formed on the objects over thousands of years under the sand. According to the chief
conservator at Dubai Municipality, chemicals are avoided as much as possible; however, there are
some conditions that require a touch of chemical. Bronze items are more likely to get the bronze
diseases. Weak acids are used for these cases such as formic acids and citric acid. These acids are
mixed with water with the amount of 0.5%, and maximum used amount in the water in worst
cases should not get more than 3% acid mixed with distilled water.
After preparing these solutions, the conservators in Dubai Municipality usually examine them by
going through some side objects that are not important or they are the unknown broken pieces
found at the same archaeological site in order to check the effectiveness of the liquid on the object. Additionally, not every object needs treatments as some objects are already stable and does
not need any further actions. They only require documentation and preparation for storage that
should be done with checking of the surrounding environment.
For stabilizing the object and stopping the deterioration process, Benzotriazole (BTA) solution is
used. After adding the solution, a coating layer is added in order to protect the item B72 mixed
with Acetone. This layer is created to prevent any reactions with the surrounding environment.
For cleaning the pottery items usually they are soaked in distilled water for removing the salt
deposit layers; then the amount of the salt in the water is measured. This process is repeated for
several times with changing the water every time, until the amount of salt decreases significantly.
For attaching the different broken pieces, reversible materials should be used, such as Polyvinyl
Acetate. These reversible materials give the opportunity of enhancements in the future when
better materials are suggested for historical objects. Also the possibility of change gives the opportunity in completing some missing parts of an item in the future.
Organic materials are the most complicated materials in conservation. Fabrics, textiles and papers,
they all each require special attention, highly specialized and experienced people in each type are
needed for dealing with them. Materials working environment and all stages are different from
the inorganic materials. In fabrics and textiles, the origin of colors should be considered if they
are natural base. The acids are the common problem for papers. Soaking tables or vacuum tables

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are specifically designed for paper conservation. These tables have special net and the paper is
soaked in the water above these nets, then water is sucked from the paper. Paper conservation is
not within the scope of the AHD at Dubai Municipality. There is a special governmental party in
charge of dealing with the historical papers and restoring them.
Machines and Measuring Devices Used:
For measuring the amount of acid in the materials, the normal PH meters and papers are used. In
the mechanical conservation process; brushes, cutters and drills are used. For the chemical conservation process, fume cabinet is essential. It has special machines and filters as well as exhausts
for removing the smoke and air particles and gases released during chemical reactions while
preparing chemicals and mixing acid solutions. Other used devices include microscopes and the
laboratory items, which are used in different fields.
Environmental Conditions:
In laboratories while working on the objects, the environment is the same as the laboratory conditions. However, for storing and displaying the conditions are specified and customized for each
object. The following table (Table 2) shows the environmental conditions set for each category in
Dubai Municipality; however, as mentioned earlier, each object should be studied and examined,
and based on the evaluation; the specific conditions are specified for each object.
Table 2: The environmental conditions set for each category in Dubai Municipality
Material

Temperature
(C)

RH
(%)

Light level
(Lux)

Metal

20 (2)

below 30

300

Organic Paper

20 (2)

45 - 55

Max 50

Artwork

20 (2)

50 - 55

Depends on the material

used

UV level controlled, LED

light

Overall, since the organic material is affected quickly, they should be in more controlled environment. Inorganic materials resist conditions but the metals should be away from humidity as
much as possible to avoid corrosion. Papers and textiles need higher humidity level. In general,
almost all have same temperature levels, lighting levels and RH levels which vary among different
materials. With regard to rubber and plastic materials, they require the least amount of humidity
(RH 15%).
In Dubai Municipality, usually when storing the items for checking the change in humidity, silica
gel is used. The gel is placed next to the item and in case of change in humidity level, the gel color
changes as well.
Safety Instructions Adopted and Followed:
While working with the items, the conservators are required to follow all the safety rules related
to each object and material. They are required to wear gloves, lab coats, goggles and masks with
filters. Working with different materials requires special filters for; chemicals, dust and some filters
are specified for working with both chemicals and dust. Guides and standards are available for
the staff on how to use each material and the required conditions. Guidelines for dangerous tools
and machines should be referred to continuously as well. The laboratories are equipped with all
related safety systems and firefighting, such as emergency shower, fire extinguisher and so on.

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Most Common Health Hazards:

Chemical reaction of mixing non-matching items might cause serious problems. Holding the
cutter for long time is tiring for the new conservators. Also, working continuously on the microscopes is more tiring for the eyes for the new staff. A common expected health hazard over long
periods of time is neck disks. Table height, chair and sitting position should be appropriate, and
based on individual body needs to prevent it.
Maintenance Department
The following part is a review of the nature of the work of the personnel in maintenance department in Sharjah Museums departments. The maintenance department works closely with the
collections department. Their role is to maintain the conditions set by the collections department
for the historical items as well as the exhibition halls. Daily checkups are done to ensure that the
lighting levels are set and did not change. Maintenance work carried out for the museums are
completely different from the regular ones due to the collections and the artifacts available. The
temperature, humidity and lighting levels are considered carefully to provide perfect conditions
for the artifact in their showcases.
In Sharjah, the museums are equipped with BMS (Building Management Systems) that can control every room and gallery by the required conditions. Maintenance and collections department
provides the set points, and the operator undertakes continuous monitoring and checking. Additionally, every three months reports are generated with graphs from the environmental conditions and comparisons are done to check if there are any changes over time or there are any
mechanical problems. This period depends on the nature of the exhibitions if it is temporary the
graph is generated for every month.
Ventilation:
There is no special Heating, Ventilation and Air Conditioning (HVAC) system for the museums; the
only important aspect is the ability in controlling different environmental factors in them. The
HVAC system in each museum is different from each other, depending on the age of the building.
The maintenance team has regular services for them to prevent any water leakage and damages.
The collection department usually sets the temperature usually between 24-25C. Humidity levels
are set at maximum 50% and minimum between 40-45% in the permanent galleries. However,
each room and each gallery, depending on the items they have on display, may require different
conditions.
The maintenance team is available daily and any small water leakage or so are resolved on the
same day. They deal with the maintenance works related to the museums and exhibition areas.
Sharjah government is providing the service for the building maintenance from outside. However, the service is provided by the government is undertaking under the supervision of the maintenance department at Sharjah Museums. The technicians and the maintenance teams always
get different trainings with the collection departments in order to enhance their skills as well as
to update the required information. On rainy days, the heritage buildings face more challenges
in terms of water gatherings. To remove the water, water pump are used to avoid damages to the
buildings.
Pest Control:
The main policy is to prevent pest from entering the environment from the first place. It is mainly
conducted by controlling the indoor temperature and controlling the entrances and exit areas.
This is mainly to avoid the usage of insecticides in the museums. Usually, the type of insects and

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pests are checked and determined, and based on their type, the treatments are prepared which
all should be biological components to avoid chemical usage. Main challenge in terms of pests
faced at museums is the Termite requiring special treatment.
Lighting:
One of the challenges faced is that sometimes the lighting requirements cannot be set by the
lighting dimming controlling systems. This system helps to reduce the lighting level up to specific
degree. The color and temperature of the light is important. Normal quality lightings will result in
light color change after some time.
Tour Guides
In SMIC, the tour guides work as three groups in different shifts. Their working hours is 6 hours
and every three days they get one day off. The survey guides all had more than 5 years of experience in working in the museums. Each tour they provide for the groups may vary from 1 hour to
maximum 2 hours. The number of people in each group may vary from 20 up to 50 people. They
spend average of 3 to 4 hours in the exhibition halls every day. They all evaluated their work environment as being a comfortable environment with regard to the change in conditions from one
place to another; they also agreed that the temperature in the exhibition hall with older items is
different. However, it was normal and comfortable for them, and they all follow the safety regulations and rules set by the Sharjah Museums departments for insuring safety and security for
themselves as well as for the visitors.
As for the health hazards, none of them experienced any of serious health hazards, however,
they all mentioned that they may have some simple skin allergies sometimes, and sneezing and
coughing if they access the storage areas. In addition, from the interviews conducted, the head
of tour guides in SMIC, it is suggested that the tour guides should attend regular trainings and
sessions for developing their skills. They are assigned to different duties along with guiding the
visitors. They also help the collections department in preparing the ancient items for cleaning and
dust removal under the supervision of the collection department, followed by all the safety and
guidelines provided to them.
Security Guards
In Sharjah Museums departments, the security department is divided into two separate groups.
The security staff outside the exhibition areas who are mainly assigned for the entrance, wearing
security forms. Additionally, there are guards who move around between the different exhibitions
and their duty is to watch the visitors with keeping some distance but close enough in order to
prevent any damages to the artworks as well as the exhibition areas. They do not have the same
security forms and they are trained to observe and move around without causing any disturbance
to the visitors. They get the information from the personnel in the control room based on the security cameras installed around different parts of the museum, and they move around the areas
specified from the control room to prevent any harming actions by the visitors.
Their availability around visitors was beneficial in terms of preventing any damage or breaks to
the glass and the exhibition environment in general. According to different museum personnel;
the policy adopted in Sharjah Museums is preventing the cause of any damages. Based on this
policy, none of the personnel have experienced any damages to the exhibition areas during their
work experiences, such as breaking of glasses, display box damages or other types of damages.
A questionnaire-based survey was carried out with the security guards in SMIC. They were asked

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if they have experienced any of the health hazards during the time they worked in the museums.
Moreover, they were asked the following; if they sense any changes in their environments while
they move from one exhibition area to another. If there is any time limits that they should not
exceed in staying at specific areas. How long is their working hours and if they are required to be
standing all the time.
The security staff agreed that they could sense change in temperature in the exhibition areas,
specially the hall containing pottery and ceramic works. However, they stated that it was not discomforting for them. All of them did not face any serious health hazards, even though some experienced skin dryness and very simple symptoms at the beginning of their working experience.

Discussion
Based on the above information gathered and the analysis carried out, it was expected that the
museum personnel be exposed to very high risks and serious health hazards in their working environment due to the nature of their work as well as their contact with the historical items. Chemical reactions and materials used were expected to have strong negative impact. It was aimed that
after gathering the exact chemicals used by the conservators, a comparison will be made to show
the impact of each chemical on human health.
However, based on the results from interviews with the personnel and especially from the information provided by the conservation department in Dubai Municipality and the working method
adopted, they mostly depend on mechanical conservation and avoid any type of chemical usage
as much as possible to ensure longer life for the artifacts. Even when chemicals are used in the
conservation, they are very weak chemicals with minimum amounts. The table below (Table 3) is
showing a summary of chemicals needed in very advanced level of conservation, when mechanical tools were not as effective. Moreover, further information on how and where these chemicals
are used regularly in daily life activities is provided as well.
Table 3: A summary of chemicals needed in very advanced level of conservation
Chemicals

Amount

Daily life Usage

Metals and bronze

weak acids (citric acid, 0.5%- 0.3%

formic acid)

Found in citrus fruits

Pottery

weak acids (citric acid, Not experienced so far

formic acid)

Found in citrus fruits

Softening the deposit

layers

Ethanol Methanol

Alcoholic drinks made from them / used

regularly for different function directly

Attaching broken pieces

of pottery

Polyvinyl Acetate

Stabilization

BTA solution with

acetone
B72

One drop

Reversible material can be removed in future

One drop

Acetone is used for removing nail polishes

directly on the hands on a regular basis

The only concerned part is the availability of all different chemicals in the laboratory environments in Dubai Municipality. Even though they are not used, people should be very careful in
working in such environments and not to cause any damages and chemical reactions. Moreover,
the storage and the containers of these chemicals should be sealed properly and separated to
avoid any reaction.
Working with mechanical tools does not ensure 100% of safety. However, the danger levels of the

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mentioned tools are considered low. The table below (Table 4) is summarizing the used items,
such as the cutters used by different people, where they should be careful and cautious while
using such tools as they may cause some serious problems.
Table 4: Mechanical tools used in the museums in the UAE
Tools

Danger Level

Cause

Brushes

Safe

Eyes to get tired

Cutter

Medium

Hand cuts / eyes to get tired from continues usage

Drill

Safe

Noisy / eyes to get tired from continues usage

Fume Cabinet

Dangerous

Noisy / if dangerous chemicals used under it

Conclusions
Overall, the study is aimed at providing such comparisons for different museum environments
of the UAE. In the next stage of this study, it is aimed to cover museums in Abu Dhabi as well as
the other emirates in order to provide a more comprehensive study reviewing all the museums
and their indoor environmental conditions across the UAE. Moreover, it is also aimed to provide
another study evaluating the visitors satisfaction levels in the UAE museums during different seasons as the crowd of people is much less over summer than that in winter periods.
From the findings of this study, it can be concluded that the UAE museums indoor environments
and their effect on human health, comfort, performance and productivity require further research
and investigation. Although there has been a limited sample of museums in this study, this research has provided more insight to the UAE museums indoor environmental conditions and also
to the related guidelines in place to achieve or enforce such good standards (best practices) of
indoor environmental quality. With the Expo 2020 fast approaching, a wave of new developments
getting the greenlight, Dubai and the UAE are now keener than ever to set the necessary guidelines for establishing many cultural projects and museums in the region that would be exemplar
to the rest of the region. Having clear guidelines for these projects will therefore increase the
efficiency of the future projects, and most importantly, any recommendations that can help in
considering the quality of the indoor environments for these projects would most certainly help
and maintain the sustainable development in the country.

Acknowledgments
The authors would like to thank all participants participated in the surveys and the interviews,
and different departments of Sharjah Museums for approval in conducting interviews and surveys in 2014. Besides special thanks to Dubai Municipality for their input in the research.

References
ASKARI, H., and ALTAN, H., 2014, Museum Indoor Environments and their Effect on Human Health, Comfort, Performance and Productivity, In SEEP 2014 Conference, Dubai, UAE.
AL HADRAMI, S.K., 2014, Head of Museums Maintenance, Sharjah Museums Department, Interviewed by Hawra Askari
[in person], UAE, Sharjah, 25 August 2014.
BATAILLE, G., 1930, Musee, Documents, Paris, pp. 239-240.
BELLIA, L., CAPOZZOLI, A., MAZZEI, P., and MINICHIELLO, F., 2007, A Comparison of HVAC Systems for Artwork Conservation. International Journal of Refrigeration, 30, pp. 1439-1451.
CORGNATI, S., and FILIPPI, M., 2010, Assessment of Thermo-hygrometric Quality in Museums: Method and In-field

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application to the Duccio di Buoninsegna Exhibition at Santa Maria della Scala (Siena, Italy), Journal of Cultural
Heritage, 11, pp. 345-349.
GENNUSA, M., RIZZO, G., SCACCIANOCE, G., and NICOLETTI, F., 2005, Control of Indoor Environments in Heritage Buildings: Experimental Measurements in an Old Italian Museum and Proposal of a Methodology. Journal of Cultural
Heritage, 6, pp. 147-155.
HINDAWI, N., 2014, Chief Conservator, Architectural Heritage Department, Dubai Municipality, Interviewed by Hawra
Askari [in person], UAE, Dubai, 25 August 2014.
INTERNATIONAL COMMUNITY OF MUSEUMS (ICOM), 2007, in 21st General Conference in Vienna, Austria.
JEONG, J., and LEE, K., 2006, The Physical Environment in Museums and its Effects on Visitors Satisfaction, Journal of
Building and Environment, 41, pp. 963-969.
SARAGA, D., PATERAKI, S., PAPADOPOULOS, A., VASILAKOS, C., and MAGGOS, T., 2011, Studying the Indoor Air Quality
in Three Non-residential Environments of Different Use: A Museum, a Printery Industry and an Office, Journal of
Building and Environment, 46, pp. 2333-2341.

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International Conference | Bari - Lecce, Italy

Session XII

THE IMPACT OF SMOKING ON INDOOR AIR

QUALITY IN HOSPITALITY VENUES
Parmis Nadali1 & Hasim Altan1
1 Sustainable Design of the Built Environment, Faculty of Engineering & IT, British University in Dubai, UAE,
[email protected], [email protected]

Abstract
Over the past decade, a ban on indoor smoking has been implemented in many countries
to eliminate the health issues that people encounter and to provide them with a healthy atmosphere. This concern has been very strict especially in hospitality venues where people
gather; cafes, bars, restaurants, food courts and casinos. The aim of this study is to analyze the
impact that the different smoking types have on the indoor air quality, for the mainstream
smokers and the second-hand smokers, and on a larger scale, the effect of implementing laws
to ban smoking in dining areas, on the indoor air quality and profitability of the businesses.
In this study, after a comprehensive literature review, the findings are divided into two main
categories; smoking types, and the effects that smoking has on the indoor air quality. Under
the category of smoking types, three main means of smoking are discussed and compared;
cigarettes, e-cigarettes, and waterpipes (also referred to as hookah or narghile). Cigarettes
have been the first that gained popularity for use, in addition to the epidemic growing trend
of the waterpipes/hookah/narghile, which is now used worldwide. A later invention of the
e-cigarettes was first intended to act as an aid for cigarette smokers to quit their addiction,
which very soon brought forward other set of health related problems. Smoking in hospitality
venues has been one of the main concerns of the ministries of health worldwide, however,
the resistance to accept the comprehensive or partial smoking bans by the owners is mainly
because of the impact it can have on their profitability of their businesses. The findings of this
study suggest that implementing these laws will have very minimal effects on profitability,
and promotes a cleaner indoor air quality for the diners.

Keywords
Sustainable Indoor Environments, Indoor Air Quality, Indoor Smoking, Hospitality Dining,
Smoking Ban.

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Introduction
Over the past decade, a ban on indoor smoking has been implemented in many countries to eliminate the health issues that people encounter and to provide them with a healthy atmosphere.
This concern has been very strict especially in areas where people gather to dine; whether it is a
caf, a bar, a restaurant or a food court. In certain areas, e-cigarettes are permitted, however, research proves that electronic substitutes for smoking have its own set of health problems. Since
2005, there has been a rise in the demand of e-cigarettes in the European market which form a
platform of interest for research to investigate the indoor environmental effects during the vaping activities. The e-cigarettes too, affect both the active and the passive smoker. Not all of the
refills are nicotine based; some are nicotine-free yet harmful for the smokers. Particulates such
as propylene glycol, nicotine, carbonyls and glycerol have been found when the indoor air was
tested (Geiss et al. 2014). E-cigarettes are also considered as a gateway or a transitional point from
soft-drugs and hard-drugs. Primarily, e-cigarettes are advertised to be free from nicotine and a
harmless substitute for smoking, or conversely, a less harmful alternative (Bell and Keane 2014).

Methodology
As a result of an interest regarding this particular subject of health effects of indoor smoking in
hospitality venues, a substantive amount of papers have been reviewed in order to cover an array
of methodologies to produce a summary of findings. The research looks at this subject from a
broad perspective by evaluating the different types of smoking, which includes the cigarettes,
e-cigarettes and waterpipes/hookahs. The aim of this paper is to evaluate the effects of three
kinds of smoking, in an indoor hospitality venue. The evaluations are divided into two main categories; smoking types and the effects that smoking has on the indoor air quality. Three main
means of smoking are discussed and compared; cigarettes, e-cigarettes and waterpipes (also
referred to as hookah or narghile). Other studies demonstrated how the ban on smoking has
affected hospitality businesses in terms of its profitability. As a matter of fact, this particular topic
has become controversial in many countries, as each have a different view point.

Smoking Types Literature Review

In this part, the smoking types that are discussed are the three most universally recognized and
used; cigarettes, e-cigarettes and waterpipes/hookahs/narghile.
Cigarettes
Cigarettes, being one of the oldest types of smoking objects, have been tested for its harmful
chemical contents. Moreover, the advantage in researching this particular smoking type is that
since it has been used for over a century, information and data for analyzing the health and environmental effects is greater in numbers and, to an extent, quite reliable.
A research conducted by Schramm et al. (2014) demonstrates the flow of cigarette smoke emitted
into what they refer to as Environmental Tobacco Smoke in two ways; through the smoke rising
from the cigarette itself and through the smoke exhaled by the smoker. In their work, the active
and the passive smokers are referred to as the MSS, (main stream smoke), and the SSS (side stream
smoke). Both the active and the passive smokers have been analyzed to compare the ratio of the
chemicals in their individuals lungs. It is claimed that the passive smokers not only inhale the

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smoke exhaled by the actual smoker, but also inhale the smoke emitted from the lit cigarette. It
is claimed that the passive smokers are exposed to a higher and worse degree of contaminants
compared to the active smoker.
A more specific research conducted by Edwards et al. (2014) is an experiment carried out on rats
to test the effect of nicotine doses on males and females. The study is a reaction to the rising issue
of smoking for boys and girls aged between 12 and 14. The study concludes that the effects of
nicotine, especially that of depression and anxiety is great in females compared to males. Due to
the scarce amount of research in highly specific tobacco related contaminants in an indoor environment, Bhlandt et al. (2012) conducted a field study over a period of one year, testing indoor
residential and hospitality venues where a number of smokers and non-smokers occupy the spaces. The three types of contaminants that were tested for quantifying are lanthanum, cerium and
cadmium. The results showed that the two contaminants, which have been causing severe health
damages for people in a space, are cerium and lanthanum. Their research is served as a base map
for further studies to be developed on this matter.
Liu et al. (2014) discussed the process of banning indoor public smoking in China through The
World Health Organization (WHO) Framework Convention on Tobacco Control (FCTC) in 2006,
which became controversial, as it never was strictly implemented. Around the same time, there
came the invention of the e-cigarettes in the European market, which soon had spread through
other international markets as well (Geiss et al. 2014).
E-cigarettes
It is worthwhile to trace the beginning of the e-cigarettes. Hon Lik, a Chinese pharmacist, invented the e-cigarettes in 2003 and this product was first sold by a Chinese electronic dealer in 2007.
Since then, the use of e-cigarettes grew rapidly worldwide as a healthier alternative to tobacco
cigarettes (Bell and Keane 2012). A rise in the use of e-cigarettes in indoor environments has become a subject of interest for researchers. Ballb et al. (2014) identified the lack of detailed research in comparing the health effects of cigarettes and e-cigarettes. Through an experiment, of
testing indoor spaces of cigarette smokers and e-cigarette smokers, two factors have been tested
for degrees of contamination due to smoking; airborne nicotine levels and biomarkers (nicotine
contaminations found in saliva and in urine). The results proved that the cigarette smokers are
exposed to airborne contaminants five times more than the e-cigarette smokers are. However,
both smokers are equal in the biomarkers. During the years that e-cigarettes have been commercialized, one of their winning factors was that the refills come in two types; nicotine based and
non-nicotine based.
According to a study conducted by Charlotta Pisinger and Martin Dssing (2014), after analyzing
76 previous studies compiled by different researchers, electronic cigarettes is still not considered
as a safe mean of smoking. Amongst the findings, 34% of errors in the methodologies have been
found which argue otherwise. It is known, through examination and analysis, that the vapor emitted from the electronic cigarettes contains ultrafine particles, such as VOCs, carcinogenic carbonyls, hazardous metals, and most of what is present in conventional cigarettes. However, there is
a substance which is unique to the electronic cigarettes that is propylene glycol. It is concluded
that the electronic cigarettes cannot be considered harmless by any means, but nevertheless,
for a smoker to transition between smoking and quitting, the electronic cigarettes are known to
be the safest. On the other hand, for non-smokers, the electronic cigarettes can be considered
harmful.

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One should keep in mind, that the most advertised aspect of the e-cigarettes was the fact that it
is closest to being not harmful, or it can contain the least amount of harmful substances. E-cigarettes have been used mostly by the population of smokers who wish to quit and need an intermediary step. Moreover, the audiences that are a target for the producers of e-cigarettes are the
tobacco smokers who are severely addicted. A study conducted over a period of one year, testing
958 hospitalized patients who consume tobacco cigarettes, through a survey, test the smokers
expectancies for conventional cigarettes and the electronic cigarettes. In accordance to several
factors including the health risks, satisfying the craving for nicotine, the flavor and the relieve
effect on anxiety, the patients marked the electronic cigarettes significantly weaker compared to
conventional cigarettes (Hendricks et al. 2014). Figure 1 indicates the scores in a summary table
below, which have been given by the participants who have filled the survey, regarding to the
questions they have been asked. In all the areas, it is clear that the expectancies for e-cigarettes
have been marked as weaker.

Figure 1: Comparisons of e-cigarettes-specific and tobacco-specific brief smoking consequences

questionnaire Adult (BSCQ-A) scale scores (Hendricks et al. 2014:108)
On the subject of institutions that offer help for smokers who are interested to quit, known as Stop
Smoking Services, and in the UK, there has been such rehabilitation centers since 1999, which has
set standards for rehab centers in other countries. There has been an increase in the demand
for electronic cigarettes as a tool to facilitate the patients to quit smoking. However, the e-cigarettes have not been proven medically to be used across the rehabilitation centers. A group of
researchers designed a survey which had been sent to several Stop Smoking Services across the
UK, directing the questionnaires to the managers and the practitioners. According to the results
attained, the e-cigarettes are considered a helpful tool for a smoker to quite as it contains doses
of nicotine, in lesser amounts, which enter the blood stream similarly to the tobacco cigarettes,
but less harmful. Results have proven that a large number of the practitioners are currently using
the electronic cigarettes as a tool to quit their addiction, however, it has not been licensed as a
medicine, which is the reason it has raised concerns (Beard et al. 2014). There is no doubt that the
effect of the electronic cigarettes on the human health is significantly lower, however, there is an
area of uncertainty on the other harmful chemical ingredients.

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Another paper highlights the ambiguity of the e-cigarettes, trying to prove that it is rather difficult to have a certain opinion to whether or not e-cigarettes can be consumed for medicinal
purposes. During the last 7 years, the increase in the demand of e-cigarettes has left researchers
to test the harmful aspects of this new alternative to tobacco smoking. Bell and Keane (2012) conduct a rather interesting study that tries to pay attention to the two diverse points of view on the
e-cigarettes: one as a remedy to cure and one as an addictive product. The difficulty in proving/
verifying right one of these arguments lies in the reality that both are valid, depending on what
condition is it being compared to. Moreover, the United States (US)s Food and Drug Administration (FDA) has been having difficulties in classifying the e-cigarettes due to the ambiguity of
whether this product is for medicinal purposes or solely nicotine based smoking object, which is
addictive and harmful. Schober et al. (2014) carried out an experiment testing the health safety
factors for e-cigarettes for indoor environments. Similar to the previously discussed experiments,
airborne and biomarkers were tested for smokers of the two types of refills. Results showed that
the e-cigarettes with nicotine-free refills is as dangerous as the nicotine refills in terms of the
biomarkers, however, nicotine-free refills is less threatening in terms of airborne contaminants
compared to the nicotine refills. This however does not mean that it is free from any other types
of contaminants. This research served as a proof for policies for banning the use of e-cigarettes
indoor.
Fromme et al. (2009), previously having had conducted a research comparing the indoor air contaminants comparing waterpipes to cigarettes, later conduct a similar study drawing a bridge between e-cigarettes and waterpipes in their research, which is the other type of smoking practiced
globally, as it is another alternative to cigarettes, similar to the e-cigarettes. The research has not
only proven wrong the fact that waterpipe smokers believe that smoking this type is less dangerous than cigarettes, but has also proven that e-cigarettes are not as ineffective as it is promoted
to be. Waterpipes have extremely high levels of carbon monoxide and nicotine that risks a high
chance of the smoker being diagnosed with pulmonary or cardiovascular complications, which
could lead to cancer. In this case, the second hand smokers are highly affected as well, similar to
cigarette passive smokers. On the other hand, e-cigarettes are believed to be the safest amongst
the smoking aids and are effective to the human health as well. Waterpipe smokers exhale smoke
whereas e-cigarette smokers exhale vapor, which is more complicated to measure, as there are ultrafine particles emitted into the space. Nevertheless, the health factors are as serious as the other
smoking aids, as it can cause asthma for the active and passive smokers (Fromme and Schober
2014).
Waterpipes/Hookah/Narghile
Stemming from the Middle East and Northern African countries, the waterpipes have gained a
worldwide interest. Primarily, waterpipes were used by the older generation whenever they gathered to socialize, however nowadays its use has become epidemic among the youth generation
across the world. Waterpipes produces thirty times more carbon monoxide than that of cigarettes. An epidemic increase of waterpipe users amongst the youth has been an issue since the
past decade; 6% - 34% amongst the Middle Eastern youth and 5% - 17% amongst the American
youth. Similarly, there has been a demand for allowing for smoking inside the dining areas (Maziak 2011). A group of researchers from the American University of Beirut (AUB) conducted a study to
compare the indoor pollution factors of waterpipes with cigarettes. Their findings showed that an
hour of smoking the waterpipe is equivalent to 2 - 10 cigarettes depending on the intensity of the
waterpipe tobacco. As a result, the waterpipe produces thirty times more carbon monoxide than
that of a cigarette, and therefore, it is justified that there should be a ban on smoking waterpipes
indoors (Daher et al. 2009).

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In 2011, a group of researchers conducted a study using the sampling method to test the carbon
monoxide levels in hookah bars. The comparison is made between participants of 173 hookah
bars and 198 participants of traditional bars where conventional smoking is consumed. A false
perception exists regarding the consumption of hookah, or waterpipes that is safer than tobacco
cigarettes in terms of nicotine. However, the reality is that hookahs CO levels is significantly great
than that of the tobacco cigarettes. Certain parameters have been set as a ground for comparison.
Hookah users are 3.46 times more susceptible to CO levels than the ones in traditional bars. For
those customers who have no smoked cigarettes for the past one month, suffer 3.2 times more
from the CO levels when they enter the hookah bar in comparison to entering a traditional bar.
Upon exiting, the current smokers produce 2.7 times more CO coming out of a hookah bar compared to the ones coming out from a traditional bar. These figures have been tested and analyzed
consistently disregarding the users perception of the health risks of hookah compared to cigarettes (Barnett et al. 2011). The smoking of hookah, waterpipes or narghile has gained worldwide
recognition and is consumed quite widely across Asia and the Middle East, the main reason is that
it has integrated with the culture. However, because of the widespread aspect of this particular
smoking tool, there is not much of a standard in terms of its production. The special tobacco for
the hookah is called the moassel. Moassel consists of sugarcane molasses, spices, dehydrated
fruits and certain flavors or essences. The high health risk factor of the hookah is due to the high
concentrations of natural radionuclides, which are present in the tobacco mix. Khater et al. (2008)
called for an urgent need for further and detailed studies on the levels of radionuclides and to
standardize the production of the moassel, which can reduce the toxicity levels.
Another study conducted by a group of researchers from the American University of Beirut emphasized on the importance of carrying further research and analysis for understanding the high
and destructive levels of carcinogenic chemicals that are more fatal than simply the carbon monoxide. Due to the heightened demand of the hookahs or waterpipes, especially in public areas
including the indoor and outdoor, there is an urgent demand to restrict the number of people
being exposed to the mainstream smoke. Health effects beyond respiratory difficulties have been
found present in the groups of people who are constantly exposed to such smokes, such as the
hematological, effects on the reproductive system, and the cardiovascular (Fakhreddine et al.
2014). In Figure 2, the list below shows different health factors that are in great risk due to the
waterpipe mainstream smoke.

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Figure 2: Potential adverse health-related outcome of waterpipes (Fakhreddine et al. 2014:1247)

Effects on Indoor Air Quality - Discussion

Dinning and recreational venues have the highest demands for indoor smoking from their customers. However, there is a controversy in whether to deal with this issue from a health point of
view or from an economical point of view which is closely tied to the generation of revenue within that particular location. Some of the papers reviewed in this part discuss the health factors and
argue in favor of a ban for smoking in public areas, considering the smoker and the second hand
smoker. In terms of the economy, two studies are reported for having different effects on their
revenue after the comprehensive or partial ban.
In the previous section the health related effects of the three smoking aids have been discussed.
It is worthwhile to study how smoking indoor had an effect on the policy makers. A research
conducted by Bohac et al. (2010) tested three dining venue types for analyzing the PM (Particulate Matter) and the rate of SHS (Second Hand Smoker) drop before and after a ban of smoking
on such areas. The researchers tested 255 social dining spots before and after the ban, which has
resulted in a drop of 87.6% in the PM levels on average. A similar study conducted, in a bar/restaurant in Athens, by Konstantopoulou and Behrakis (2014) where they tested the amount of indoor
air contaminants pre-ban and post-ban for two types of spaces; smoking zones and non-smoking
zones. Overall, there had been a drastic drop in indoor air contaminants after the banning of indoor smoking, however, prior to the ban, 50% of the smoking contaminants were seen present in
the non-smoking zones. Liu et al. (2014) conducted a field observation in Beijing over a period of
4 years; from 2006 to 2010 to identify the percentage of bars and restaurants have implemented
the smoking ban policy after the topic of a ban in smoking became an area of interest in the WHO
FCTC in 2006, in China. The following year, there was a voluntary rule for banning indoor smoking,

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but it was not until 2008 that the policies got stricter. Nicotine sampling was carried out to test
the drop in the PM levels in the air. In Portugal, a similar study had been conducted by Madureira
et al. (2012) where their goal was to quantify the effects in the indoor air quality after the ban on
smoking in restaurants was regulated. Ten restaurants were monitored to evaluate the drop in
the levels of the smoke pollutants including the CO2 and CO comparing pre-ban and post-ban of
smoking policies. It was concluded that a drop of 75% on average in Respirable Suspended Particulate (RSP) matter has been proven to justify any further proof for the government to ban indoor
smoking for all the restaurants in Portugal.
Smoking has become an issue in public areas since the turn of the century. Governments have
been imposing policies on certain venue types to ban smoking, which has become a topic of
debate due to other dependent variables such as the users and the revenue generation. In the
US, data had been collected over a period of four years from 2003 to 2007, reported quarterly, analyzing the effects on the revenue generation in bars and restaurants in Minnesota cities. 677 bars
and restaurants were sampled to test against the effect of the comprehensive ban and the partial
ban for smoking, on their yearly income. Surprisingly, because the importance of maintaining a
clean indoor air had been advertised, customers over the years preferred to dine in areas, which
they knew had a controlled and monitored indoor air quality. On average, there was an increase
of 0.026% on total revenue for venues with a comprehensive ban on smoking and 0.09% increase
on total revenue for venues with a partial ban on smoking (Collins et al. 2010).
On the other hand, a study has proven the positive effect on total revenue due to banning smoking, otherwise. A study conducted by a group of economists and health specialist (Pieroni et al.
2013) decided to assess the effect of the Smoking ban in Italian cafes and bars testing factors such
as sales, earnings, number of employees, and the amount of profit, in Europes hospitality sector.
Being the first study that the findings are based on official administrative data, is accurate compared to surveys that are self-reported that has a high chance for the owners to inflate the amount
of drop in sales, which is prone to be bias. The implementation of the ban on smoking in Italian
dining venues caused a change in the smoking habits of the population, and further changed
their habits of going to bars and cafes therefore causing a slight drop in the sales of such venues.
Aside from the fact that smoking ban policies may or may not have an impact on the sales, which
is purely from an economic point of view, it is rather important to understand the effects, of not
implementing the ban on smoking, on the health of the workers. Through a random selection
of 46 restaurant owners, 284 clients and 242 staff, face-to-face questionnaires were conducted
to test each groups attitude towards the ban of smoking for indoor dinning venues. 91% of the
restaurant staff have reported health issues, such as irritated eyes and dyspnea, due to the over
exposure to second hand smoke. 74% of the clients have supported the idea of implementing a
ban on indoor smoking for such venues. Amongst the restaurant owners, there is almost an equal
opinion on whether banning smoking will increase or decrease their revenues and profitability.
However, the important data that has been extracted is what concerns the restaurant staff and
the clients, which holds a high percentage for those who are supportive of the ban. The study was
intended to be submitted to the ministry of Health in Shanghai to implement the smoking ban
policy (Zheng et al. 2009).

Conclusions
The results on the toxicities of the smoke emitted from each smoking aid have concluded that all
types of smoke was hazardous to the human health, but on different levels. Some smoke, such
as the one from cigarettes and partially from the waterpipes, are recognizable by smell as well as

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it is globally recognized to have hazardous effects. The smoke emitted from the e-cigarettes are
the suspicious type only because it has recently been used and the health effects are not very
widely and accurately known, however, the fumes are categorized as chemical smoke because of
the liquid content of the e-cigarettes. Literature review discussed the effect of indoor smoking in
hospitality venues, which are categorized into the health aspects of the indoor air quality and the
profitability of the venues. Results vary based on the culture of that particular country and the
peoples view on smoking in general.
On a larger scale, a study was conducted by testing the PM levels in hospitality venues, across
seven Asian countries. The results showed that due to the statistics that the number of smokers in
Asian countries, is most compared to other continents, the indoor PM levels are also higher compared to other countries by an average of 3.6 times from the standard expected PM levels (Lee et
al. 2010). One reason that the population of smokers are much higher numbers in the Asian countries could be because of the price of cigarettes and its production factories within each of these
countries. Due to the nature of this topic, the research carried out are primarily experimental,
and are conducted by a group rather than an individual, as the scope of work is large and again
different disciplines are required to gather for the experiments. Literature review on the topic of
e-cigarettes are majorly published in the year 2014, since it took some years, after the e-cigarettes
were widely consumed, to test its health effects. Smoking dates back to centuries, and what has
changed since then is the smoking aid and the forms and mixtures of the tobaccos. After cigarettes, there has been other smoking aid, some of which has been commercialized and claimed
to be the safest with no side effects, which have been proven false through several extensive research. In conclusion, all smoking aids are hazardous for the active and passive smokers; however,
the risks vary in type and intensity.

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International Conference | Bari - Lecce, Italy

Session XII

INDOOR PLANTS IMPACT ON INDOOR

ENVIRONMENTAL QUALITY
Rasha Gafar1 & Hasim Altan1
1 Sustainable Design of the Built Environment, Faculty of Engineering & IT, British University in Dubai, UAE, rasha.
[email protected] / [email protected]

Abstract
As life evolves human needs and requirements, and the need to make the indoors comfortable and healthy at the same time, supporting the individuals performance and productivity
becomes crucial. Yet, there are many obstacles due to modern human behaviour and emerging lifestyles. In this paper, finding solutions for the indoor environmental quality has been
suggested and evaluated by looking into indoor plants as well as studying whether their
presence would help indoors and adding greenery elements may enhance environmental
factors inside building spaces. In order to achieve the desired approach, the paper is focusing on indoor pollution; its causes and negative impact on occupants health and comfort. It
also debates the plants as mechanisms for clearing the air and presents examples of using
this approach for creating positive impact not only on indoor air quality, but also on both
acoustics and aesthetics. Thus, the study is conducting a survey to investigate the impact of
greenery in both situations, i.e. during presence and absence of the potted plants. The scope
of the questionnaire conducted is to investigate how vegetation exposure inside spaces can
affect building occupancy. Moreover, this survey will include an indicator of how the quality
and quantity could apply difference on the level of comfort and productivity. Furthermore,
looking into the subjective impact of plantation on the occupants behaviour, the paper discusses several proven theories and reviews other relevant research work for benefiting building users and developing sustainable building environments by using indoor plantation and
applying green pots that may well be ideal solutions for providing positive impact. With this
research, some recommendations have been presented to enhance building indoor spaces
through certain arrangements and by specifying various indoor plants which can also provide
some guidelines for people to improve their indoors.

Keywords
Indoor Environmental Quality, Indoor Plants, Air Treatment, Subjective Impact, Acoustical
Impact, Plantation Aesthetics.

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1. Introduction
Since the dawn of history, humankind is trying to provide a suitable indoor environment for
themselves and their family or tribe, creating appropriate spaces to practice their daily activities
within the same environments are considered a major concern for the means of existence. As life
evolves human needs and requirements do evolve as well., Also, the need to make the inside medium comfortable and healthy enough to support the individuals performance and to enhancing
productivity becomes crucial., However, due to modern human behavior and changing lifestyles,
a lot of obstacles are faced. This research paper is as an attempt to suggest solutions, while architects prepare the occupants environment in the mean of this profession. Buildings are those
shields that preserve vitality in a vacuum, which is the main purpose of any structure, regardless
of its size or function, whether it is an industrial processer, educational facility, commercial center
or residential building (Godish 2011).
Buildings endeavor on keeping the occupants safe from the vagaries of weather and maintaining
the thermal situation, with providing a healthy environment, which would lead to a better-built
habitat that can also help the human being contributing in their highest performance and capabilities for the creations good. In this study, the attention is drawn to such an easy, reachable and
suitable solution for any space to function effectively with its occupants. In addition, it could be
an aesthetic touch for the architectural design and at the same time, sustainable like the houseplant. The study is looking into the indoor plants observing how their impact within indoor spaces are enhancing the human venue of health, performance, and productivity, by also taking into
account the fulfilment of the environmental factor, which is essential for humankind.

2. Methodology
The paper mainly presents the inner vegetation strength to alter interior environment, i.e. atmosphere, as a sustainable solution, discussing how a plant could remove toxics and at the same time
enhance air quality, vocal and emotional effects. Explaining the mechanism of a plant to abstract
CO2 and toxic emission were further covered in the study through literature review.
Beside the literature review, a survey has been prepared and conducted to create a strong foundation to defend the purpose of the study to encourage green expansion into space, with clarification of the plant as a tool to fight the indoor pollution. This survey gathered the feedback of,
people. In order to reach wider audience it was online based.

3. Indoor Pollution and its Impact on Health and Comfort

A group of scientist in Taiwan identified the prime source of indoor pollution into four elements;
combustion, building materials emissions, household products, chemicals, and bio-effluents. Experiencing various detrimental like carbon dioxide, formaldehyde, tobacco and smoking, which
are released from the calcinations process inside building spaces. Using dangerous products with
uttering dangerous gasses during manufacturing building materials makes it a serious health
risk, and as a physical being, which functions on a daily basis and require a metabolic operation,
leads to a bioeffluent emission from humans and animals (Kobayashi et al 2009).
According to the World Health Organization (WHO) (2014), indoor air pollution has been rated the
reason for serious diseases commonly spread in the third world. American lung association claims
that indoor quality is five times worse than the outside air and sometimes it reaches a level 100%
worse, which can cause lung diseases and tumors.

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4. Plants Objective and Impact

4.1. Air Cleaning Characters
The National Aeronautics and Space Administration (NASA) believe that plants could spur the
indoor air. This organization had discovered that house ferns may lower the Volatile Organic Compounds (VOCs) level inside a space effectively, while the Clean Air Council (CAC) and Wolverton
Environmental Services (WES) run an experiment and examine those elements, which can prove
that they eliminate toxics (NASA, 2011).
Mechanism
This creature can utilize a portion of harmful partials in the medium (Kobayashi et al 2009). As
shown in Figure 1, the previous process outcome is the plant energy source, while particles are
determent by biological operation, to feed the plant some hydrous settlement will happen, and
the plant root as well plays a role in transaction, which will produce clear air.

Figure 1: VOCs treatments in the plant

Photosynthesis is the main transformation method in the plant nurturing, while the leaves absorb
the CO2 gases, the oxygen is released as a by-product during nighttime. Although all the capabilities of the plant, it may have some limitations (Kobayashi et al. 2009), such as that the plant cannot
be fully relied upon cleaning the air totally, whereas some ventilation and filters are needed to
proceed towards the desired level, and using such solutions may lead to a rise in the humidity
levels, which may be considered as both positive and negative according to the situation.
NASAs Experiment
The existence of human beings relies on their complex relationship with the planet they live in,
and particularly, with the regenerative qualities of the earths ecosystem. In 1973, during the observation of the air quality in the sky labs, NASA experts found that it contains about 107 VOCs
due to the usage of artificial substances in building these units, when the gasses are cornered in
a closed spot without refreshing the air, they cause sickness for the dwellers due to the unhealthy
environment and the lack of the earths supportive ecosystem
(NASA 2011). Furthermore, the need to achieve high competence and better work efficiency, demands the tightness of the facility and this can lead to a short air circulation, which can increase
the negative effect on the building users. Therefore, Wolverton introduced the use of plants as a
natural life support system to enhance personal environment and to eliminate gasses while using
the same materials and maintaining the energy efficiency (NASA 2011). BioHome was a test conducted by NASA, which demonstrated the state of controlled (or closed) ecological life support
system (CELSS), where the design was well sealed using the same materials but the addition of

Indoor plants impact on indoor environmental quality

833

houseplants led to better outcomes like less eye irritation and less breathing issues.
Using Advanced Container for the House Plants
Wolverton had written a successful book (2010), which explains how plants exhale water vapor
and the process of drawing of materials into the root to eliminate contamination or to transfer
food to plant. Wolverton collaborated with a Japanese association that has found an advanced
technique to make the plants more dynamic and that is by using a sophisticated pot with high
efficiency carbon fillers and a root level circulation system which boosts its adequacy into 200
times more efficient than the conventional pots as shown in Figure 2.

Figure 2: Indoor air purifier with activated carbon (Wolverton 2010)

Plants Contributes Are Improvement to A Healthy Lifestyle
Nowadays we witness an increase of Sick Building Syndrome (SBS), which has become both a critical and a costly issue, since it causes health problems. Researchers have found that this problem
can be majorly reduced by simply including indoor plants in the workplace environments, and
this will help improving the workers health condition and boosting up their energy. A research
was conducted by Professor Tove Fjeld of the Agricultural University in Oslo, Norway, about SBS
and how it affects employees. The study included 51 workplaces where all of them at one particular amount of time had flowers and plants installed, and at another time had no plants installed
(GPGB 2014). All offices where exactly similar to each other, with the same characteristics, each
worker worked in a separate single office with an area of 10m and with a great amount of the
external wall covered by a window. During the period where plants were involved, all the employees were subjected to 13 widely used foliage plants located in 3 containers on a window bench,
and terracotta container with plants places at the back of the office. After installing the plants, 12
of the symptoms that were associated with SBS were observed, and the results concluded that
the plants installed in the offices reduced complaint of these symptoms by 23%. When the signs
and symptoms were looked overall, there was a distinguishable decrease in the neuro-psychological symptoms and in the mucous membrane symptoms, whereas plants did not lead to any
change in the skin symptoms (GPGB 2014).
The Indian Implication
Kamal Meattle from TED conference (2009) the environmental activist gave a speech on the conversance establishing by telling his story about how his lung ability has gone down to 70% as a
result of the air quality in New Delhi in India, which is fatal. After collaborating with researchers,
they discovered a 3 kinds of plants that can generate fresh air to enhance our health and comfort,
as the plants are illustrated in figure below (Fig.3):

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Figure 3: House plant (Meattle 2009)

The plants that were under examination for 15 years in a 2 deceits office building, the area of the
facility is 500,000 ft. square and 1,200 herbs where placed; the outcome as shown in Figure 4.

Figure 4: Outcome of using the plants (Meattle 2009)

Those numbers goes constantly down which leads to increasing productivity more than 20% and
helping minimize energy costs by more than 15% accordingly.
Misunderstanding of Indoor Plants for Air Clearness
The experiment of Kamal Meattle which was presented in a TED conference explained about how
the indoor plants is air clarifying, however it did not provide a full picture about the supporters
that helped in giving the desired outcome, yet it was the plant room that played an important
role in an integral system containing the air washer and the duct filtration (Greenscaper 2009).
Most importantly, are the green elements that were gathered within a treatment space that created a purifying zone, which acted as the center of the cleaning process and distributed fresh air
to the whole building evenly, not scattered randomly. Combining a large number of pots (up to
1,200 pots in one place) is an excellent way to induce indoor air cleaning since they can efficiently
eliminate VOCs (Greenscaper 2009).

Indoor plants impact on indoor environmental quality

835

4.2. Acoustic Impact

plants got another got other characters that make it affective that can provide importance along
with aesthetics and air clearance techniques is the impact on the acoustical status to reach the
relieving level. The greenery presents while reflecting and deflecting the sound by sucking it as
reported by prospectors from Southbank University in London. This equation is different in frequencies of the space specifications during the production of sound (Freeman 2008). The properties of the plants affect the ability of absorption like the size, shape, volume, the holder, top
dressing, and compost. The table shown below displays the plants absorption frequencies (Fig.5).

Figure 5: Plants hesitation (Freeman 2008)

Some tests were performed in Texas, North America, and again in the United Kingdom, have proven that the existence of a little vegetation portion may minimize 5dB (Perry 2014).

5. Plants Subjective Impact

Interaction with natural substance would strongly benefit our feelings and emissions within our
oneself, yet would deeply influence on the persons performance and productivity (Han 2009).
5.1. Theories
Han (2009) stated that mainly there are two notions debated on how individuals dealing with
nature as shown below:
Kaplan Attention Restoration
In the first theory, Kaplan suggested that an active productive entity that reacts to modern life in
a daily basis loses his focus as for the concentration level in the brain is bounded. Therefore, restoration is required, which needs the atmosphere that contains greenness. Generally, distant and
enchantment environment are the perfect attributes that provide (going into) a deep focusing
level, which is so beneficial for our inner peace and help leading for a better-satisfied commune.

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Ulrichs Psychological Evolutionary

In the second theory, Ulrich took this concept from other perspective, which is decreasing the
stress as any incident may result in an unpleasant feeling that will lead to tension, and in such
case, the body processing will drop consuming power. The prosiest thinks that vegetation could
send pleasant feelings and develop pleasure by dismissing unfavorable, which is what the theory
is discussing.
5.2. Physical Impact
In this section, human subjective comfort level is going to be discussed, that will be revolving
around two perceptions; Emotional and Cognition.
Emotional
Swedish analyzers outcomes after applying surveys with any kind of visual/physical nature communication in the office or accommodation would lower remarkably stress, regardless of respondents age, gender or background. Stiles (1995) was testing the patients in a hospital waiting area
using two methods; (1) with plants and (2) without plants, which took him to appositive results of
the green reception but a lower cheering feedback from the second situation (Han 2009).
Cognition
I north America experiments proved that indoor vegetation will reduce the Attention Deficit Hyperactivity Disorder (ADHD) symptoms , this disease is well spread among young generation in
the US. While going to the other part of the world Japan, they noticed the difference in a test they
have conducted for undergraduate pupil where they performed better with plantation presence.
The researcher Lohr studied the mental process for a school boy and found that his cognition
could be enhanced 12% times using indoor plants in the students computer lap (Han 2009).
5.3. Aesthetic
In Nashville, Tennessee in the United States (US), an interesting model stand for an indoor plant
effect is apparent in the Opryland Hotel. The remarkable indoor landscaping within the 12 acres
inside the building forms an appealing factor to increase the investment of over 1 million US dollars. Tenancy rate is 85% higher than the national average over the local norm (Perry 2014).

Figure 6: Opryland hotel (Meattle 2009)

Caring about aesthetics, it is known that visiting the hospital for sick people who needs special
care from any gender or age is not considered a pleasant experience; mostly negative emotions
arise during being inside the hospital, such as stress and anxiety, which can lead for a psycho-

Indoor plants impact on indoor environmental quality

837

logical affect that could delay the healing process. Moreover, for the sake of providing occupant
comfort and achieving a secure environment that could enhance the performance of such vital
building, adding an aesthetic aspect like a natural element is important to diminish the stress
level with bad influence (Camiel et al. 2012).
A test in a German hospital took place where the study conducted in 3 statues; three waiting
rooms in the radiology department, one with a printed plant, and the other with a real elements
while the last one was empty of any greenscaping where the participants were waiting for their
turn, they had to fill-in a questionnaire. The findings are summarized in below figure (Fig.7), showing the audiences responses.

Figure 7: Plants hesitation (Camiel et al. 2012)

As can be seen in Figure 7 (in above table), the positive effect of plants existence (exposure to
nature) in the waiting room during their test study has been recorded, and in both cases; whether
it is a genuine green implement or a picture of it, there is a noticeable change.
5.4. Creativity
According to Green Plants Green Buildings (GPGB), the relationship between the workplace productivity and the flowers/plants existing in the work place was observed by the research team
of Texas A&M University along a period of eight months of study and research. The research was
based on observing three types of work place environments and comparing the ability of handling innovative problem-solving tasks in each. The research involved an office with plants and
flowers, another workplace with a sculpture and the last one was an environment with no decorations whatsoever (GPGB 2014). It was clearly remarked that in the work place environment, where
flowers and plants were present, men and women have produced a higher number of ideas and
they have improved their method of thinking and finding solutions that are both modern and efficient. In this environment, both genders have improved their problem solving methods; though
there was a slight difference between them, males produced a higher number of ideas while
females have created more innovative, dynamic solutions (GPGB 2014).

6. Experimental Study and Results

Based on the reviewed literature and the mentioned case studies, an online survey has been conducted to evaluate indoor plantation effect on human satisfaction level. As expressed earlier the
indoor environment quality has strong influence on human heath, performance and productiv-

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ity. Enhancing the indoor environment will result enhancements on the mentioned factors. The
survey was launched online and shared randomly in order to get more feedback on this matter.
There was a variety among participants as students and employees, such as architects, engineers,
designers, administrators, project managers and academics, who participated in the survey. The
total number of responses was 76, age range was wide, between 14 and 62 years, though 63% of
the participants were between the age of 21 and 40. 90% of the survey contributors were residents of the UAE while the rest were from the gulf region.
The objective of conducting this survey was to recognize the perspectives of the building users
regarding their surrounding environment, and the ability of indoor plants to affect the comfort
and wellbeing of those users. In this survey, a link between occupants health and the surrounding
has been established so that the results become more relevant to the body health and comfort,
comfort and interaction between them and the environment around them; 95% of them were in
good health while 5% have gotten different types of chronic diseases like diabetes, asthma, and
other allergies. The following section is showing the survey questions and the gathered results
along with the discussion on them (Table 1) shows the gender proportion.
Table 1: Participant gender percentage
All Data

Male

Female

Standard Deviation

Responses

24
(31.58%)

52
(68.42%)

14

76

The place where an individual spend most of the daily hours, where preparing this certain space
will be more effective in human comfort and there for contentment level, in Table 2, it shows that
57.89% of participant spend over 8 hours a day at office while residential comes in the second
place.
Question 1: Where do you spend most of your time during the day? (Table 2)
Table 2: Most stayed venue for survey users

All Data

Home

School
University

Office

Other

(Please
Specify)

Responses

27
(35.53%)

19
(25%)

44
(57.89%)

4
(5.26%)

6
(7.89%)

76

In an attempt to be conversant with the participant, indoor environment where they interact and
accomplish their duties are studied.
Question 2: How do you describe the level of plantation inside your indoor environment
(home-school-office)? (Table 3)
Table 3: Plantation levels

All Data

0%

25%

50%

75%

100%

Other

(Please
Specify)

Responses

27
(35.53%)

32
(42.11%)

11
(14.47%)

4
(5.26%)

1
(1.32%)

2
(2.63%)

5
(6.58%)

76

Entrant point of view toward their environment is essential to build an assumption of the comfort
level perspective.
Question 3: How do you describe the relationship between you and your environment? (Table 4)

Indoor plants impact on indoor environmental quality

839

Table 4: Participant connection to their surroundings

Feel connected No specific feeling I feel disconnect- Any comment to
and satisfied
ed and uncomadd further
fortable
All Data

26
(34.21%)

33
(43.42%)

19
(25%)

3
(3.95%)

Responses

76

In the following question, answers will paint a picture of the audience opinion toward indoor
presence.
Question 4: Do you think adding more greenery elements may affect you? (Table 5)
Table 5: Participant perception about adding indoor plants

All Data

Yes,
Positively

Yes,
negatively

No

Standard
Deviation

Responses

63
(96.92%)

1
(1.54%)

1
(1.54%)

29.23

65

As mentioned before, indoor pollution could be one of the reasons of lung diseases and sick
building syndrome because of less ventilation and poor air quality. Therefore, participants were
asked the two following questions:
Question 5: Do you feel any symptoms during being in the place you chose in earlier question?
(Table 6)
Table 6: Participant feeling of symptoms
All Data

Yes

No

Standard Deviation

Responses

30
(39.47%)

46
(60.53%)

76

Question 6:If yes, can you specify one of the following symptoms that you suffer from? (Table 7)
Table 7: More specific symptoms

All Data

Headache

Dizziness

Eye pain

Coughing

Sneezing

18
(48.65%)

12
(32.43%)

5
(13.51%)

6
(16.22%)

8
(21.62%)

Other symp- Responses

toms please
specify
5
(13.51%)

37

In this section, there is a small experiment to be conducted; the purpose of this is to observe the
level of psychological satisfaction for building users when plants are present or absent. Participants rated their level of satisfaction for each photo they were shown, and the results are shown
in the following tables below (Table 8, 9 and 10).
In the study, the working indoor environment has been taken into consideration where putting
greenery plants into an office space and also allowing the audience to choose which conditions
are better in terms of before or after adding those plants/pots as shown below (Fig.8).

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Figure 8: Office space with (right) and without (left) plantation

Table 8: The data of the cell growth and substrate loss
1

Standard Responses Weighted

Deviation
Average

Before adding
indoor plants

26
(34.21%)

22
(28.95%)

23
(30.26%)

4
(5.26%)

1
(1.32%)

10.5

76

2.11 / 5

After adding
indoor plants

0
(0%)

2
(2.63%)

15
(19.74%)

37
(48.68%)

22
(28.95%)

13.61

76

4.04 / 5
3.07 / 5

Residential indoor environment was also included in the before and after study as shown below
(Fig.9).

Figure 9: Residential space with (right) and without (left) plantation

Table 9: The data of the cell growth and substrate loss
1

Standard Responses Weighted

Deviation
Average

Before adding
indoor plants

23
(30.26%)

29
(38.16%)

13
(17.11%)

7
(9.21%)

4
(5.26%)

9.47

76

2.21 / 5

After adding
indoor plants

0
(0%)

1
(1.32%)

13
(17.11%)

27
(35.53%)

35
(46.05%)

13.92

76

4.26 / 5
3.24 / 5

In the following three settings (shown with photos; Fig.10), different level of plantation has been

Indoor plants impact on indoor environmental quality

841

adopted in the design of each building space where the A is a normal office with zero level of
plantation, and B is a hallway with medium plant coverage, and finally the C shows the maximum
green percentage.
Rate the following photos considered as comfortable environment (Fig.10).
-A

-B

-C

Figure 10: Level of plantation; A (zero level), B (medium level), and C (maximum level)
Table 10: The data of the cell growth and substrate loss
1

Standard
Deviation

Responses

Weighted
Average

27
(35.53%)

31
(40.79%)

14
(18.42%)

4
(5.26%)

0
(0%)

12.22

76

1.93 / 5

0
(0%)

7
(9.21%)

21
(27.63%)

29
(38.16%)

19
(25%)

10.36

76

3.79 / 5

1
(1.32%)

1
(1.32%)

7
(9.21%)

25
(32.89%)

42
(55.26%)

16.03

76

4.39 / 5
3.37 / 5

7. How to Utilize Indoor Plants

7.1. To Improve Indoor Air Quality
This part of the paper will be advising on how to apply the greenery method and how to use the
plants in indoor spaces, and that is by answering the following two questions; how can a designer
or a normal person choose a plant for their residences? and how many pots they can use?
How to Choose a Plant?
It is important to refresh the indoor environment by natural elements as they have the power to
remove chemicals within a space (Kobayashi et al. 2007). The table below (Fig.11) lists evaluations
recorded for some plants from 1 to 10 scales, for its capability, to reduce hazardous chemicals. In
addition, further information on each plant is provided that can help the designer to pick out the
suitable plant for their designs as shown in Figure 11.

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Figure 11: Plants properties (Kobayashi et al. 2007)

Indoor plants impact on indoor environmental quality

843

How Many Pots to Use?

The quantity of plants within a space could help to determine by the plants foliate cover surface,
whereas this area affects the average of the plants purification ability. Generally, the wider a foil is
the more perspiration is allowed to happen while presenting bigger exposed portion of the leaf
to remove chemical toxic out in the air (Wolverton 2013).
The USs Environmental Protection Agency (EPA) had set a range of the pollution amount for public buildings after going through a lot of research and tests. For decades, they examined big facilities like health, nursing and commercial buildings, and the outcomes of those experiments were
released for public in 1998 (Wolverton 2013). The table below extracts the organizations findings.
Table 11: Plants properties (Wolverton 2013)
Chemicals

Hospitals

Nursing Homes

Office Buildings

Chemicals

Chloroform

---

.004

.002

Chloroform

Trichloroethylene

.002

.001

.005

Trichloroethylene

Benzene

.003

.003

.005

Benzene

Xylene

.013

.005

.022

Xylene

Formaldehyde

.106

.081

.173

Formaldehyde

7.2. Improve Acoustics

To take advantage of the sound reduction for a plant; firstly, a major plant vessel or pot is required,
which would allow for sufficient compost and top dressing exposures that could highly affect.
Secondly, a collection of various species should be introduced and sized, which could perform
more efficiently while smaller and well-distributed groups may work better than one large area
covered. Accordingly, less focusing for better result, showing green elements in corner rather
than the center; the reason of this settlement is to put the absorber element right on the face of
the reflective wall to block the way of the sound waves of scattering over the room, as shown in
Figure 12.

Figure 12: Sound sorb array (Freeman 2008)

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7.3. Subjective
Aesthetically creating an indoor space (based on individuals taste and preference) can give a
more sophisticated neat appearance while choosing wisely those suitable plants, which can take
care of the indoor environment for its occupants and users through good nurturing and cleaning
more often (Hall 2014).

8. Conclusions
As Freeman (2008) stated interior plants cannot longer reconsidered luxury. According to the
previous studies completed and the online questionnaire carried out, it can be concluded that
indoor plants have positive impact, both objectively and subjectively, on different cases, as studies shown and proven, such as the cases of hospitals, schools, offices and residences, and that by
rising scales of repose and verdure can lead for preferable attitude and fecundity with positive
impact on Indoor Environmental Quality (IEQ).
While being sustainable, the core target to provide ecofriendly settlements, addressing issues
related to IEQ by using plants to clean and enrich the indoor spaces, and to conceive the natural
recourses, are always ideal solutions for architects and/or designers. Setting some guidelines that
can help the occupants and the users of such indoor spaces for choosing kinds of indoor plants
have been discussed in this paper with brief specifications including convenient amounts and
advisable layout status, which have also been supported by previously completed studies. Finally,
the importance of indoor plantation was emphasized by this research with the main purpose in
building the perfect inhabitants to advance the act and production by accomplishing high level
of repose and strength for humankinds general good.

Acknowledgements
The authors would like to express gratitude to all participants participated in the online survey to
support this research and special thanks to Maha AbdelGhaffar, Ayman ElSadiq and Hawra Askri
who were so helpful and supportive with editing and reviewing of this paper.

Reference
AMERICAN LUNG ASSOCIATION, 2014, 11 Facts About Indoor Air Pollution. [online] Available at: http://www.dosomething.org/tipsandtools/11-facts-about-indoor-air-pollution [Accessed: 25 February 2014].
CAMIEL, J., LANGEVELD, D., and TANJA-DIJKSTRA, K., 2012, Stress-Reducing Effects of Real and Articial Nature in a
Hospital Waiting Room. The Journal of Alternative and Complementary Medicine, 18. pp. 329-333.
FREEMAN, K., 2008, Plants in Green Building. [online] Available at: http://www.bordbia.ie/aboutgardening/GardeningArticles/Documents/Plants%20in%20Green%20Buildings.pdf [Accessed: 20 march 2014].
GREEN PLANTS FOR GREEN BUILDINGS (GPGB), 2014, Benefits of Green Plants [online] Available at: http://greenplantsforgreenbuildings.org/resources/benefits-of-green-plants/ [Accessed: 23 March 2014].
GREENSCAPER,2009, Inside Urban Green: Air Cleaning Indoor Plants. [online] Available at: http://www.insideurbangreen.org/2009/02/how-to-grow-your-own-fresh-air---ted-2009-talkview-more-presentations-from-jaymeattletags-plants-greenhouse.html [Accessed: 1 March 2014].
HAN, K., 2009, Influence of limitedly visible leafy indoor plants on psychology, behaviour, and health of students at a
junior high school in Taiwan. Environments and Behaviour, 41(5), pp. 1-9.
KOBAYASHI, K., KAUFMAN, A.J., GRIFFIS, J., and MCCONNELL, J., 2009,Using houseplant to clean indoor air, Ornamentals and Flower, collage of agriculture and human resources, University of Hawaii at Manoa.
MEATTLE, K., 2009, How To Grow Your Own Fresh Air.[online] Available at http://www.slideshare.net/jaymeattle/how-

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to-grow-your-own-fresh-air-ted-2009-talk-presentation?type=presentation[Accessed: 1 March 2014].

NATIONAL AERONAUTICS AND SPACE ADMINISTRATION (NASA), 2011, Plants Clean Air and Water for Indoor Environment. [online] Available at: http://spinoff.nasa.gov/Spinoff2007/ps_3.html [Accessed: 5 March 2014].
PERRY, L., 2014, Plants at Work, Indoors. [online] Available at: http://www.uvm.edu/pss/ppp/articles/plantswork.html
[Accessed: 20 march 2014].
HALL, K., 2014, Seeing Green [online] Available at: http://buckinghamgreenery.com/images/stories/Scans/Seeing_
Green.pdf [Accessed: 14 March 2014].
WHO, 2014, World Health Organisation, Air quality and health [online] Available at: http://www.who.int/mediacentre/
factsheets/fs313/en/ [Accessed: 2 February 2014].
WOLVERTON, B., 2010, Plant-Based Air Filters for Formaldehyde Remediation in Fema Trailers. [online] Available at:
https://www.plantairpurifier.com/sites/default/files/docs/Plant%20Based%20Air%20Filters%20For%20Formaldehyde%20Remediation%20in%20FEMA%20Trailers-Revised-9-2010.pdf/ [Accessed: 2 February 2014].
WOLVERTON ENVIRONMENTAL SERVICES (WES), 2013, Frequently Asked Questions about Indoor Air Pollution. [online]
Available at: http://www.wolvertonenvironmental.com/airFAQ.htm [Accessed: 29 March 2014].

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International Conference | Bari - Lecce, Italy

Session XII

A REVIEW OF INDOOR ENVIRONMENTAL QUALITY

IN OFFICE ENVIRONMENTS
Reeny M. Thomas1 & Hasim Altan1
1 Sustainable Design of the Built Environment, Faculty of Engineering & IT, British University in Dubai, UAE, reenymt@
gmail.com, [email protected]

Abstract
As people spend increasing amounts of time within their work environments, it is essential to
ensure that office environments are not detrimental towards the health and well-being of the
employees. Creating healthy work environments not only reduces health risks, but also has
improved levels of work performance and productivity, thereby resulting in economic savings for all parties involved. Although there is an extensive body of research on the effects of
indoor environmental quality within office environments, they are often specific to particular
aspects. This paper aims to provide a comprehensive overview of three such aspects within
the work environment; indoor air quality, thermal comfort and acoustics. By conducting an
extensive literature review, it is aimed to provide a basic understanding of effectively facilitating these three aspects in creating healthy work environments. A study of indoor air quality in
office buildings shows that only 26% of the buildings tested achieved the minimal occupant
satisfaction levels, while merely 11% of the buildings exceeded it (Huizenga et al. 2006). Occupant control of thermal environments leads to greater satisfaction levels of 76% compared to
56% for those without (C. Huizenga et al. 2006). Ambient speech in office environments can
result in reduced work efficiency in over 50% of the occupants (Jensen & Arens 2005). Thus,
a clear understanding of these elements of unhealthy indoor environments is a crucial preventive measure for designers. The paper will also consider research of indoor environmental
quality of green buildings in order to determine a framework of effective strategies that will
enable designers to create efficient office environments right from the initial stages of design.
Moreover, this would help to bridge the gap which is often apparent between the research
and the practical realm of design and construction.

Keywords
Sustainable Indoor Environments, Offices, Indoor Environmental Quality, Indoor Air
Quality, Acoustic Quality.

847

Introduction
As people spend increasing amounts of time within their work environments, it is essential to
ensure that office environments are not detrimental towards the health and well-being of the employees. Sustainable and socially active spaces are often overlooked due to resource constraints.
The returns on investment in such spaces often require a longer timeframe thereby making it
potentially less viable for investors. However, creating healthy work environments reduces health
risks and improves levels of work performance and productivity, thereby resulting in economic savings for all parties involved (Feige et al. 2013). There is a growing body of research on the
adverse effects of indoor environments on the inhabitants. A clear understanding of unhealthy
indoor environments is an important preventive measure for designers. Thermal comfort, natural ventilation, spatial organisation and segregation of noisy environments, material selection
and acoustic design of spaces are some of the design strategies that allow efficient interior environments. Building maintenance is crucial in sustaining healthy interior environments, especially
in mechanically ventilated spaces. Integrating a cross disciplinary approach at the initial design
stages, will improve the future operation and maintenance of the building and enable healthier
indoor environments for the inhabitants.
This paper aims to understand the effects of indoor air quality, thermal comfort, and acoustic
quality within office environments and the consequent impact on the health, comfort, performance and productivity of employees. Potential improvements and solutions in achieving sustainable work environments are then discussed. The objective of this research is to highlight the
main problems within office environments. While most of the research is focused in Europe and
America, and some studies in Asian countries such as China and Hong King, common trends of
unhealthy work environments supersede geographical contexts. Considerations of these commonalities could facilitate improved strategic approaches of designers and construction professionals in achieving comfortable and healthy work environments.

Methodology
By conducting an extensive literature review, a study is conducted on issues related to the air
quality, thermal comfort, and acoustics within office environments and the consequent effects on
occupant health and performance. Research reviewed is primarily over the past decade in order
to attain recent studies in the field. Studies are mainly based within the US or European contexts.
Once this basic framework of issues related to office environments is established, possible solutions on incorporating technological advancements and efficient design practices are discussed.

Indoor Environmental Quality (IEQ)

A survey conducted by the Centre of the Built Environment (CBE) at the University of California,
Berkeley, included 34000 participants in 215 office buildings across USA, Canada and Finland. As
per the ASHRAE Standard 62.1-2004 acceptable indoor air quality (IAQ) is described as conditions
in which 80% of the occupants are satisfied. However, as per the data acquired in this survey,
only 26% of the buildings achieved this classification, and merely 11% of the tested buildings had
occupant satisfaction levels of 80% or above. The study shows a strong correlation between the
occupant satisfaction and their self-assessed productivity. The main issues identified in this category were stuffy/ stale air (74%), polluted air (67%), and odours (51%) in the air quality. The three
main reasons for odours were food, carpet or furniture, and other people (Huizenga et al. 2006).

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Similar findings are apparent in the study by Kim and Dear (2012), also based on the CBE database, which used the Kano model to determine the factors that affect occupants workplace satisfaction. Factors were divided into two categories; basic and proportional. Basic factors, such as
thermal and acoustics, have a higher significance when the building does not perform as per the
occupants expectations and vice versa. If the thermal environment of the building is adequate,
the occupants do not consider this element to be very important (ranked 11th out of the 15 factors
considered) in achieving occupant satisfaction. However, in buildings where the thermal environment was inadequate, it was ranked 7th. Thus the authors conclude that if the basic factors of
the building are performing adequately, further optimisation of these factors will not drastically
change occupant satisfaction. In such cases, spending resources to improve the proportional factors (such as air quality and lighting) will have a notable effect in achieving occupant satisfaction
within the workplace.
Sick building syndrome is often defined as health issues that are prevalent during an occupants
inhabitation of a building. Often, the symptoms disappear when the occupant moves away from
the building, although in more chronic cases, the impacts of unhealthy building environments
can be long term (Brightman et al. 2008; Roulet et al. 2006; Pejtersen et al. 2006). Brightman et
al. (2008) identify four categories of symptoms that are commonly associated with SBS; tiredness, mucosal irritation, neuropsychological and lower respiratory (Table 1). These symptoms are
prevalent in occupants of both the healthy and the unhealthy buildings. Findings of the Building Assessment Survey Evaluation (BASE) survey conducted by the US Environmental Protection
Agency (EPA) show that 45% of the respondents had at least one symptom while 20% had at least
three symptoms. Eye symptoms were most common while wheezing and shortness of breath
were least reported.
Table 1: Common SBS symptoms (Adapted from Brightman et al. 2008)
Tiredness

Mucosal irritation

Neuropsychological

Lower respiratory

Tired or strained eyes

Irritation to the nose, throat

or skin

Tension

Shortness of breath

Dry, itching or irritated eyes

Nervousness

Chest tightness

Unusual tiredness, fatigue or

drowsiness

Concentration difficulties

Wheezing symptoms

Pain or stiffness in back,

shoulders or neck

Dizziness

Headache

Nausea

Roulet et al. (2006) conducts a survey of 5800 respondents in 64 office buildings. Among other criteria evaluated, a building symptom index (BSI) is generated based on prevalence of SBS
symptoms among the occupants. The surveyed buildings were then classified as satisfactory
or unsatisfactory. The average occurrence of symptoms is within the range of 14% and 40%. Although some of the offices had three or more reported symptoms, there were some buildings in
which symptoms were almost non-existent. This shows that healthy building environments can
be created which facilitate occupant health and comfort. According to Brightman et al. (2008),
the extensive research and understanding of indoor air quality often allows identification of SBS
symptoms and causes, thereby making redundant the overarching terminology of SBS and the
classification of buildings as healthy or healthy buildings, as their effects become evident over
a span of time. Another study shows a positive connection between environmental factors, resultant comfort factors and the performance factors of occupants within the building. It further
states that although there is no direct effect of comfort on the employees performance levels,

A review of indoor environmental quality in office environments

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improving comfort levels has a positive effect on the work engagement of the employees, with
an increase of almost 4%. In this study, the work engagement is assessed as the level of comfort of
employees within their job. Higher work engagement levels imply that employees are less likely
to change their jobs, therefore reduced employee turnover rates (due to an unsatisfactory indoor
environment) (Feige et al. 2013). Increased concentrations of chemical pollution are present in
todays interior spaces due to the high VOC and formaldehyde emissions of building materials, interior fittings, furnishings and fabrics. These can cause allergic reactions, headaches, nausea itchy
skin, etc., many of the symptoms that are commonly related to SBS (Singh et al. 2010). As buildings
become more airtight, effective ventilation of interior spaces is essential as is proper flush out of
buildings prior to occupancy (new construction, renovation etc.), to reduce toxic fumes and particulate matter within the indoor environments. Using low VOC emitting products and finishes
will reduce their concentration in the indoor environment. The highest sources of VOC emissions
in offices were due to the off- gassing of building materials such as paints, carpets, adhesives,
treated timbers and wood products. Emissions include benzene and formaldehyde, which, at low
levels of exposure, can cause symptoms like allergic skin reactions and dry throats. However, at
higher concentrations, or with prolonged exposure, this could lead to cancer. Other factors such
as the degradation of building materials and the functions of the spaces itself can increase the
VOC concentration causing derogatory health effects on the occupants (Singh et al. 2010; Salonen
et al. 2009). A study of VOC concentrations in 176 office buildings, with formaldehyde readings
taken for 23 of these building, revealed formaldehyde concentrations far exceeded the recommended indoor levels. This was a main factor for sensory irritation among occupants, compared
to other non-reactive VOCs commonly found in the indoor environment (provided there were no
other abnormal sources of VOCs) (Salonen et al. 2009).
Thermal standards as stated in the ISO Standard 7730:1994 defines acceptable thermal conditions
as those which achieve at least 90% of satisfied occupants, similar to the ASHRAE standards. In
the study by Huizenga et al. (2006), a prominent reason for occupant dissatisfaction was a lack
of control over their indoor environment. Those that had control to thermostat settings had a
satisfaction level of 76% compared to 56% for those without thermostat access. Occupants with
operable windows had a 67% satisfaction rating compared to 57% for those without operable
windows. The equal number of hot and cold complaints during summer shows the potential to
improve the thermal quality of office spaces (C. Huizenga et al. 2006). Brightman et al. (2008)
compares results from the BASE survey with a study from the National Institute for Occupational
Safety and Health (NIOSH). While the BASE study selected random offices across 201 US cities,
the NIOSH survey specifically targeted sick buildings. 30% of the BASE survey respondents and
55% of the NIOSH respondents were unhappy with their thermal environment. In a study that
compared buildings with natural ventilation, mixed mode ventilation and air conditioning, the
thermal factor was more critical in air conditioned buildings than in naturally ventilated ones
(Kim & de Dear 2012). If the thermal environment in air conditioned buildings did not perform
as per occupant expectations, there was a significant increase in the dissatisfaction levels, while
at optimum performance; the thermal environment was almost unnoticed by the occupants. In
comparison, since occupants of naturally ventilated buildings did not have high expectations of
their thermal environment, if the thermal environment performed better than occupant expectations, it had a significant impact on the overall IEQ within the environment, and conversely less of
a negative impact with a poor thermal environment (Kim & de Dear, 2012).
Similarly, Wagner et al. (2007) shows that occupants in naturally ventilated buildings are satisfied
with the indoor thermal comfort, even though the temperatures are higher than the comfort
range in air conditioned buildings. This shows that efficient buildings that are passively cooled

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can attain good indoor environments as the occupants adapt to a temperature band that is relative to the ambient thermal conditions outside. These studies show that occupants in air conditioned buildings can be more critical of the indoor thermal environment as their expectations are
higher, compared to those in naturally ventilated spaces (Wagner et al. 2007; Kim & de Dear 2012;).
A number of studies list the adverse effects of background noise on work performance and efficiency (Pejtersen et al. 2006; Haapakangas 2014; Jahncke et al. 2013, Li Huang et al. 2012; Schlittmeier and Liebl 2015; Jensen & Arens 2005). Noise is often defined as levels of undesirable sound
experienced by occupants within a space (Huang et al. 2012). Depending on the tasks at hand and
the levels of noise this could result in reduced job satisfaction, health and performance. According to C. Huizenga et al (2006), among the indoor environmental factors, the acoustic quality of
the office spaces scored the lowest at -0.2. Ringing telephones and background conversations
are the most disruptive noises in open plan offices. Occupants disturbed by noise within close
proximity are less affected by external noise sources. 60% of the occupants in this study complained about the noise disturbance in open plan offices compared to only 6% in cellular offices
(Pejtersen et al. 2006). Jahncke (2013) looks at the effects of background speech on cognitive performance. Based on the STI (Speech Transmission Index), the study showed that tasks requiring
short-term memory were more susceptible to speech disturbance than tasks requiring mathematical input. Greater legibility of background speech resulted in increased levels of disruption
in short-term memory tasks. Similarly, Schlittmeier and Liebl (2015) talks about the contradictory
nature of work environments: the need for easy communication among employees, and the need
for silence to accomplish tasks involving focus and concentration. As per standards such as the
ISO 3382-3:2012-2015 (2012) that define acoustical requirements in work environments, designers
are faced with the prospect of improving speech legibility within the immediate proximity of the
occupant workspace, while drastically reducing it beyond the radius of the immediate workspace
so as to allow concentrated work. This requires attention to two specific factors; a spatial layout
that facilitates the nature of work within the organisation and a good acoustic balance between
communication and concentration.
Jensen & Arens (2005) states that more than 50% of occupants surveyed express a lack of work
efficiency due to ambient speech. 80% of the respondents were also affected more by the lack of
speech privacy and with the information content in background speech, as supported by findings
in similar studies (Jensen & Arens 2005). Results show that there is a tendency for respondents
to get (unintentionally) involved with background conversations thereby causing distraction in
their work. Distraction levels were higher with greater task loads for the same noise levels, resulting in elevated stress levels. Smith- Jackson and Klein (2009) discusses the impacts of irrelevant
speech on the level of work performance, tension, anxiety and exhaustion of the employees. 79%
of respondents in cubicles with high partitions expressed dissatisfaction compared to 77% in cubicles with low height partitions (Jensen & Arens 2005). This shows that increasing cubicle heights
will not drastically improve acoustic comfort.

Discussion
Research shows that better ventilation rate can substantially improve the indoor air quality and
subsequently the occupant health and comfort. A study of the US commercial building stock
shows that approximately 6.2% of end use energy is used to mechanically heat or cool outdoor air
(this includes the conditioning of infiltration air) (Griffith et al., 2009). Thus, it may seem viable to
reduce the ventilation rates in buildings so as to reduce costs and energy consumption. However,
studies also showed that an increase in ventilation rates helps reduce sick building syndrome

A review of indoor environmental quality in office environments

851

(SBS) symptoms, increase occupant satisfaction of IAQ, and improve the work performance and
productivity (Fisk, 2012; Seppanen et al. 2006; Fisk et al. 2009). A reduction in ventilation rate from
10 to 5 l/s per person results in a significant increase of SBS symptoms by approximately 23% (12%
to 32%) (Fisk et al. 2009). Increasing the rate from 10 to 25 l/s per person showed a reduction in SBS
symptoms of approximately 29% (15% to 42%). On average, increasing the rate beyond 25 l/s per
person does not lead to substantial reductions in the SBS symptoms. Thus, although increasing
the ventilation rate improves occupant satisfaction, there should be a balance with the consequent economic aspect.
Fisk (2012) analyses the economic and health outcomes of varying ventilation rates within an office based on the ASHRAE standard of 8.5 l/s for the default occupant density of 5 persons per
100 m2 of floor area. After statistical analysis of various scenarios, the most feasible option was
to add economisers to half the sample offices that did not have this facility. An economiser is
a mechanical control system that allows the increase of ventilation rates above the minimum
requirement when the additional ventilation will allow a reduction in air conditioning required
thereby achieving energy efficiency. According to this study, although there is an installation cost
of $0.42 billion, this option is expected to improve the work performance by 1.6% in 20.7 million
employees, avert SBS symptoms in 1.2 million employees thereby preventing 28 million days of
short term absence, which results in economic benefits of $32.9 billion. The use of economisers
in this scenario also results in savings of $0.32 billion in a year. Although these numbers may not
seem substantial at an individual level, it cannot be overlooked when considering the overall office employee population. In the various scenarios tested, the economic benefits ranged from $13
billion to $38 billion per year. In comparison to the savings that can be generated, the potential
costs of implementing these strategies are quite minimal (Fisk 2012).
Feige et al. (2013) noted that occupants of green buildings have greater control over their immediate surroundings compared to those in conventional buildings. Most of the windows in the
former are operable, thereby providing greater control of ventilation options to the occupants.
Fully automated buildings without occupant control of operating systems, showed higher levels
of occupant dissatisfaction. The flexibility to change the workspace to respond to the nature of
the tasks, allow a greater perception of individual, and sometimes group, control over the work
environment. The study also showed that buildings which incorporated occupants comfort and
energy efficiency within the early stages of the building design and development were more successful in creating efficient and flexible indoor environments (Feige et al. 2013).
According to Roulet et al. (2006) employee productivity is greater in green buildings. 95% of occupants of green buildings did not have any absenteeism related to the indoor environment, compared to 87% in conventional buildings. Occupants in LEED certified buildings are significantly
more satisfied than those in traditional office buildings. The optimum guidelines for good indoor
spaces are often integrated with the energy rating standards such as BREEAM, LEED and so forth
(Kim & de Dear 2012). Using these rating systems as a guideline can enable designers to create
viable workspaces. A study conducted by Leaman and Bordass (2007) showed that the occupants
of green buildings tend to more tolerant of the indoor environment, although this could also be
due to the fact that such buildings often accommodate optimum levels of indoor environmental
quality factors. However, problems that arise in green buildings are often repeated in future construction as the implementation of changes and improvements are very slow.
The typology of the offices also has an impact on the indoor environment, with occupants in
open offices reporting more SBS symptoms (Pejtersen et al. 2006). Open plan offices are those

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where the employee workspaces are not separated by definitive structural features such as walls.
Compared to traditional cellular offices, open plan offices provide opportunities to adapt to various configurations within the given space thereby allowing the means to accommodate more
people in the area (Schlittmeier & Liebl 2015). In a study comparing occupants in open plan offices
and cellular offices, common sources of dissatisfaction in the former was air quality and thermal
comfort (Pejtersen et al. 2006). Mucous membrane symptoms, headaches and fatigue were 2-3
times more prevalent in occupants of open plan offices, with almost 8 times more occupants having concentration difficulties.Post occupancy surveys are an important means of understanding
the problems faced by occupants of indoor environments (C. Huizenga et. al 2006). Such information is a vital tool in optimising the existing buildings to achieve better occupant comfort and
satisfaction. Secondly, it can provide information for future design and construction of buildings
and indoor environments. Since occupant satisfaction has a positive relation to their perceived
productivity (Leaman et al. 2007), optimising the indoor environment would have economic benefits for the employers.
Occupants expressed satisfaction of noise levels at an approximate level of 45dB (Huang et al.
2012). Performance of cognitive tasks is reduced at the normal sound levels of 51dB (LAeq) prevalent in offices while there was significantly less distraction at lower levels of 39 dB (LAeq). Although the ideal scenario for acoustic efficiency would be to create individual rooms for each
employee, limited space makes this economically and functionally impractical. In such situations,
efficient planning and development of the acoustic quality of spaces should be considered so as
to create a more acoustically viable environment (Jensen & Arens 2005). Spatial organisation is an
effective means of reducing background sound within the work environment (Jahncke et al. 2013;
Schlittmeier and Liebl 2015; Jensen & Arens 2005). Designating separate zones for employees with
concentration intensive tasks can ensure less distraction due to ambient speech. Employees with
speech intensive jobs (such as sales personnel) could be spatially segregated from employees
who require greater silence and concentration in their tasks. This could enable greater efficiency
and job satisfaction. Another spatial tactic would be to designate quiet zones or think tanks to
conduct concentrated work and communication rooms to conduct phone calls. Encouraging an
office culture of acoustic etiquette, or having a timeframe for silence during the day, are some
measures that can be adopted by the employers to achieve an acoustic friendly environment for
all (Schlittmeier and Liebl 2015).
Although optimised spatial arrangement and office culture are initial measures in improving
workplace acoustics, it cannot in itself block ambient speech and noise. Thus, it is imperative to
employ methods that will reduce the disturbance caused by ambient noise. To achieve this, the
sound signal from the emitter would have to be modified such that it has minimal impact on
the cognitive function as well as the subjective understanding of the recipients. Laboratory and
field findings demonstrate that is possible to create a STI below 0.5(LAeq), which is an approximate threshold level beyond which task performance gets affected by sound disturbance, within
a 2.5 5 m radius of the workstation (Jahncke et al. 2013). Using sound absorbent interior finishes
(flooring, wall coverings, ceiling panels, soft furnishing, etc.) will help absorb the sound energy.
Partition screens can be covered on both sides to moderately create a sound barrier between
workstations. Although these measures reduce the distraction impact of background speech on
the listener, often the speech is still distantly intelligible. By using sound masking techniques, the
ambient speech can be superimposed with a masking sound signal so as to considerably reduce
the disturbance effect of the background speech (Schlittmeier and Liebl 2015; Huang et al. 2012;
Jahncke et al. 2013; Jensen & Arens 2005). Proposed masking levels for open plan offices are in the
range of 40 and 45dB (LAeq).

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853

Indoor environmental quality is a wide context that covers various specialised elements and is
not limited to the aspects of air quality, thermal comfort, and acoustics that are discussed in this
paper. Lighting configurations are also an integral aspect of creating efficient work environments.

Conclusion
Indoor environmental quality is highly complex as it considers a wide range of interlinked aspects. This paper considers some of these elements such as indoor air quality, thermal comfort
and acoustics within workplaces. Through an extensive literature review, a range of papers have
been studied to understand the impact of these elements on occupant health, comfort, performance and productivity. A series of solutions are then studied which can be easily integrated
within the indoor environment, especially if it was carried out from the early design stages in the
project. Understanding the health and economic benefits associated with creating such viable
environments is crucial in implementing such practices as an industry standard.
While there is a large body of evidence for the indoor environmental quality of work spaces in
American and European cities, similar research within the context of the Middle East is quite limited. Since occupants in air conditioned buildings express greater dissatisfaction with their indoor
environment, it would be interesting to see occupant responses to IEQ in offices in the Middle
East, as almost all the buildings are mechanically ventilated. Similarly, most of the strategies in
this study are selected based on ease of integration and cost efficiency, and it does not consider
some of the psychosocial strategies such as indoor landscaping. The effects of adopting such alternatives within the indoor environment to improve health and well-being can also be studied.

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Comfort and Productivity, Journal of Corporate Real Estate, 15(1), pp. 7-34.
GRIFFITH, B., LONG, N., TORCELLINI, P., CRAWLEY, D., & LOGEE, T., 2009, Assessment of the Energy Impacts of Outside
Air in the Commercial Sector, National Renewable Energy Laboratory.
HUANG, L., ZHU, Y., OUYANG, Q., & CAO, B., 2012, A Study on the Effects of Thermal, Luminous, and Acoustic Environments on Indoor Environmental Comfort in Offices, Building and Environment, 49, pp. 304-309.
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LEAMAN, A., & BORDASS, B., 2007, Are Users More Tolerant of Green Buildings?, Building Research & Information,
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ROULET, C.A., FLOURENTZOU, F., FORADINI, F., BLUYSSEN, P., COX, C. & AIZLEWOOD, C., 2006, Multicriteria Analysis of
Health, Comfort and Energy Efficiency in Buildings, Building Research and Information, 34(5), pp. 475-482.
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International Conference | Bari - Lecce, Italy

Session XII

GREEN WALLS FOR A SUSTAINABLE CONTROL OF

BUILDING MICROCLIMATE
Evelia Schettini1, Ileana Blanco1, Silvana Fuina1, Giacomo Scarascia Mugnozza1,
Carlo Alberto Campiotti2 & Giuliano Vox1
1 Department of Agricultural and Environmental Science DISAAT, University of Bari, Bari, Italy, [email protected]
2 ENEA - Italian National Agency for New Technologies, Energy and Sustainable Economic Development - Technical
Unit Energy Efficiency - Agriculture Unit, Rome, Italy.

Abstract
The Urban Heat Island (UHI) phenomenon induces harmful outdoor comfort conditions, an
increase in pollutants concentration, an excessive energy consumption related to the greater use of air conditioning systems and a raise of the frequency and magnitude of electricity demand peaks. In the Mediterranean area the urban warming and the solar heat gain in
buildings need to be controlled in a sustainable way for keeping the indoor temperature at
comfortable values. Green roofs and green walls can mitigate the heat events related to UHI,
lower the indoor temperatures, cut energy loads on buildings, enhance human thermal comfort conditions and increase the buildings thermal insulation in winter. Experimental tests
were carried out at the University of Bari (Italy) starting from summer 2014, aiming to analyze the influences of different climbing plants, as main components of green systems, applied on building walls. Three vertical walls, made of perforated bricks, were built. They were
equipped with a sealed structure, on their backside, in order to realize prototypes of buildings
in scale. The first wall was covered with Pandorea jasminoides variegated, the second with
Rhyncospermum jasminoides, the third wall was kept uncovered and used as control. Several
climatic parameters concerning the walls and the ambient conditions were collected during
the experimental test by means of a data logger and sensors. High definition infra-red images for each wall were recorded using a Thermal Imaging Camera for analyzing the surface
temperature of the plants and of the walls. The daylight temperatures observed on the walls
protected with plants during warm days were lower than the respective temperatures of the
control wall up to 5 C; the nighttime temperatures observed during cold days were higher
than the respective temperatures of the control wall up to 3C.

Keywords
Energy savings, passive systems, urban heat island, surface temperature, infrared images.

857

Introduction
In cities or metropolitan areas the presence of Urban Green Infrastructures (UGI), such as urban
forests, street trees, parks, turf-grass, private gardens, green roofs and green walls, play an important role in contributing to a broad range of ecosystem services. UGI also contribute to the mitigation of the urban heat island (UHI) effect, reduce the ambient temperatures, improve human
thermal comfort and decrease energy loads on building (Prez et al. 2014; Kohler and Poll 2010;
Rowe 2011; Fernandez-Caero et al. 2013; Cameron et al. 2014; Norton et al. 2015). The UHI refers
to the relative warmth of a urban area compared with surrounding rural areas with differences
of air temperature of about 5-6 C (Rowe 2011; Kanechi et al. 2014; Karlessi et al. 2011; Berdahl and
Bretz 1997; Bretz and Akbari 1997; Bretz et al. 1998; Gentle et al. 2011; Gladis and Schumann 2011; Jo
et al. 2010; Joudi et al. 2013; Li et al. 2013; Prado and Ferreira 2005; Synnefa et al. 2006; Uemoto et
al. 2010; Zinzi et al. 2012). The UHI causes raises in air conditioning systems use and consequently
an excessive energy consumption, raises in air pollution and greenhouse gases concentration in
atmosphere, negative outdoor comfort conditions and possible threats to human health (Karlessi
et al. 2011; Jaffal et al. 2012; Kalkstein and Davis 1989; Petralli et al. 2006). The main factors contributing to the UHI phenomenon are: the use of non-reflective and water-resistant materials for the
building external surfaces; dense urbanization geometry characterized by wide surfaces that can
absorb incident and reflected solar radiation and that contribute to the radiation trapping and to
the wind speed reduction in the emerging urban canyons; the anthropogenic heat emitted from
activities such as from industrial processes, heating and cooling systems, motorized vehicular
traffic (Santamouris 2012; Ryu and Baik 2012).
Green roofs and green walls, as UGI, are living vegetated horizontal and vertical layers on the
external envelope of the buildings with a focus on energy consumption reduction for air conditioning in summer and on thermal insulation increasing in winter (Berardi et al. 2014; Fernandez-Caero et al. 2013; Santamouris 2012). Green roofs and green vertical systems can be therefore
employed as a passive sustainable technology for mitigating the UHI effect and also for enhancing the energy efficiency of buildings, in particular in dense urban areas where buildings with a
high wall to roof ratio offer large surface areas available for retrofitting (Raji et al. 2015; Cheng et
al. 2010). The cooling effect of greenery systems is obtained by intercepting and absorbing the
solar radiation and the resulting reduction of the buildings solar heat gain implies less energy
consumption for air cooling in summer all around the world; moreover the evapo-transpirative
effect, generated from the plants and the substrate on their surroundings, leads to a cooler ambient temperature and consequently to reduce the cooling load of the buildings (Wong et al. 2010;
Sunakorn and Yimprayoon 2011; Raji et al. 2015).The vegetation and substrate layer can influence
the thermal performance of the buildings in winter acting as an insulation against wind, depending on the climate of the region and on the characteristics of the greenery system used (Berardi et
al. 2014; Fernandez-Canero et al. 2013; Perez et al. 2011; Jim and He 2011; Perini et al. 2011; Cheng et
al. 2010; Khler and Poll 2010; Vox et al. 2015).
Regions characterized by hot and dry climates, as the Mediterranean region, are reported as areas
where greenery systems can produce more benefits, due to the highest amount of shading and
evapo-transpiration needed (Raji et al. 2015; Castleton et al. 2010); nevertheless, vegetation must
have low irrigation requirements, be suitable for the exposure conditions of the application, and
for the specific weather conditions, in order to fulfill sustainability aims. Europe and North America are reported as the regions where green roofs can be profitably applied requiring low maintenance (Castleton et al. 2010; Refahi and Talkhabi 2015). The evaluation of the effect of greenery systems on energy savings requires further study for defining suitable plant species and options for
the green roofs and green walls to be used in regions characterized by the Mediterranean climate.

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This paper aims to examine the effects of two different climbing evergreen plants used as green
vertical passive systems on a building wall. Experimental tests were carried out at the University
of Bari (Italy), and several climatic parameters concerning the walls and the ambient conditions
were analysed for estimating the variations of the walls surface temperature equipped with the
greenery systems during several months.

Materials and methods

The tests were carried out from June 2014 to June 2015 at the experimental farm of the University of
Bari in Valenzano (Bari, Italy), having latitude 41 05 N, longitude 16 53 E, altitude 85 m ASL. Three
identical prototype of a commonly used vertical building closure in Mediterranean civil construction was built, made with perforated bricks joined with mortar. The walls face south and have a
width of 1.00 m, a height of 1.55 m, and a thickness of 0.22 m. The bricks have a thickness of 0.20 m, an
height of 0.25 m and a length of 0.25 m, a thermal conductivity (following UNI EN 1745:2012) equal to
0.282 W m-1 K-1, an average weight of the masonry work (including plaster) equal to
695 kg m-3, a specific heat capacity C equal to 840 J kg-1 K-1.
The walls have been insulated on the backside setting up a sealed structure in order to better
evaluate the influence of the vegetation layer on the wall; the insulating structure was made of
sheets of expanded polystyrene, having a thickness of 30 mm and a thermal conductivity of 0.037
Wm-2K-1. Moreover, in order to reduce the effect of the incident solar radiation on the sealed structure, a blue shading net has been positioned onto the structure.
The tests have taken into account the application of two different evergreen climbing plants as
greenery vertical systems components (Fig. 1): one wall was covered with Pandorea jasminoides
variegated, the second with Rhyncospermum jasminoides; a third wall was kept uncovered for
control. A supporting structure made of an iron net was placed at a distance of 15 cm from the
vertical wall. The plants were transplanted on June 18, 2014. The plants were irrigated with the drip
method; the fertilization was performed with N: P: K 12:12:12.

Figure 1: The three walls at the experimental field of the University of Bari; the wall covered with Rhyncospermum jasminoides on the right, the wall with Pandorea jasminoides variegated on the mid and
the uncovered control wall on the left.

Green walls for a sustainable control of building microclimate

859

The experimental data were collected by means of a meteorological station consisting of a data
logger (CR10X, Campbell, Logan, USA) and several sensors for measuring different climatic parameters. The data were measured with a frequency of 60 s, averaged every 15 min and stored in
the data logger. The solar radiation falling on the wall was measured using a pyranometer (model 8-48, Eppley Laboratory, Newport, RI, USA) in the wavelength range 0.3-3 mm. The external
air temperature was measured by an Hygroclip-S3 sensor (Rotronic, Zurich, Switzerland); it was
adequately shielded from solar radiation. The air temperature inside the sealed volume, the temperature of the inner surface of the walls and the temperature of the external plaster exposed to
the solar radiation were measured using thermistors (Tecno.el s.r.l. Formello, Rome, Italy) placed
as in Figure 2.

Figure 2: Location of the temperature sensors: sensor for the indoor temperature inside the volume
behind each wall (A), sensor for the surface temperature of the wall on the inner side (B), sensor for
the surface temperature of the external plaster exposed to the solar radiation (C).

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High definition infra-red images are used as tool for collecting complete data on the wall and on
the leaf surface temperatures (Cameron et al. 2014; Khler 2008; Theodosiou 2009). Thermal images were recorded for each wall using a thermal infrared camera (mod. B660, FLIR Systems, Burlington, ON, Canada) in order to analyze the surface temperature of the plants and to validate the
surface temperature of the walls measured using the above mentioned thermistors. The camera
was calibrated to an average value of emissivity of 0.95 for both Pandorea jasminoides variegated
and Rhyncospermum jasminoides; the emissivity value set for the white plaster covering the walls
was of 0.96. The average temperature of the leaf surface and of the external plaster of the green
walls were determined by considering the arithmetic mean of a random sample constituted by 20
temperature data points corresponding respectively to the leaves and to the rear back wall (Fig.
3). The average temperature of the external plaster exposed to the solar radiation for the control
wall was determined considering the arithmetic mean of a selected area of points in the thermographic image (Fig. 4).

Figure 3 - Infrared temperature measurement done on the green facade with Pandorea jasminoides
in the mid morning hours in April 2015.

Green walls for a sustainable control of building microclimate

861

Figure 4 - Infrared temperature measurement done on the control wall in the mid morning hours in
April 2015.

Results and Discussion

The two green walls were sufficiently covered by vegetation from mid August 2014, even if at the
beginning Rhyncospermum jasminoides was less developed than Pandorea jasminoides variegated (Fig. 1). Data were shown from August 2014 to February 2015. Figure 5 shows the daily maximum
surface temperature of the external plaster exposed to solar radiation measured during September 2014, i.e. the warmest month of the examined period. The maximum surface temperature of
the control wall, i.e. the wall not covered with plants, was always higher during the hottest hours
of the day than the temperatures recorded in the same hours for the two green walls. The differ-

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ences between the highest temperatures recorded for the control and for the wall covered with
plants ranged from 3.3 to 5.2 C (Fig. 5).
38

Rhyncospermum jasminoides external wall temperature (C)

Pandorea jasminoides external wall temperature (C)

36

Maximum daily temperature, C

control external wall temperature (C)

external air temperature (C)

34
32
30
28
26
24

30/09/2014

29/09/2014

28/09/2014

27/09/2014

26/09/2014

25/09/2014

24/09/2014

23/09/2014

22/09/2014

21/09/2014

20/09/2014

19/09/2014

18/09/2014

17/09/2014

16/09/2014

15/09/2014

14/09/2014

13/09/2014

12/09/2014

11/09/2014

10/09/2014

09/09/2014

08/09/2014

07/09/2014

06/09/2014

05/09/2014

04/09/2014

03/09/2014

02/09/2014

20

01/09/2014

22

Day

Figure 5 - Daily maximum surface temperature of the external plaster of the three walls exposed to
solar radiation measured during the period 01-30 September 2014.

14

Rhyncospermum jasminoides external wall temperature (C)

Pandorea jasminoides external wall temperature (C)

Minimum daily temperature, C

12

control external wall temperature (C)

external air temperature (C)

10

28/02/2015

27/02/2015

26/02/2015

25/02/2015

24/02/2015

23/02/2015

22/02/2015

21/02/2015

20/02/2015

19/02/2015

18/02/2015

17/02/2015

16/02/2015

15/02/2015

14/02/2015

13/02/2015

12/02/2015

11/02/2015

10/02/2015

09/02/2015

08/02/2015

07/02/2015

06/02/2015

05/02/2015

04/02/2015

03/02/2015

02/02/2015

01/02/2015

Day

Figure 6 - Daily minimum surface temperature of the external plaster of the three walls exposed to
solar radiation measured during the period 01-28 February 2014.
Figure 6 shows the daily minimum surface temperature of the external plaster exposed to solar radiation measured during February 2015, i.e. the coldest month of the examined period. The
minimum surface temperature of the control wall was always lower during the coldest hours of

Green walls for a sustainable control of building microclimate

863

the day than the temperatures recorded in the same hours for the two walls covered with plants.
The differences between the lowest temperatures recorded for the control and for the green wall
ranged from 2.4 to 2.8 C (Fig. 6).
Collected thermal images of wall surface temperatures (Fig. 3-4) confirmed the surface temperature values of the walls measured using the thermistors and the cooling effect of the vegetation
layer during warm hours.
During hot months in the test period, the presence of the vegetation layer has mitigated the temperature of the external plaster of the walls, in comparison with the control wall. In wintertime
the vegetation layer has increased the insulation performance of the walls. Globally the presence
of the green layer provides the benefit of decreasing the exposure of building envelope to large
temperature fluctuations that can cause its early deterioration.

Conclusions
The experimental tests carried out from August 2014 to February 2015 on vertical greenery systems in a Mediterranean area took into consideration warm and cold periods. The application
of the green vertical walls in order to mitigate the solar radiation effects on the buildings envelopes during warm periods led to lower the external surface daylight temperatures up to 5 C in
comparison with a wall not covered with plants. During cold periods it kept the external surface
nighttime temperatures up to about 3 C in nighttime above the surface temperature of the control wall.
Research is continuing with the aim of analyzing the green wall effects during a whole year in
order to evaluate if the positive effect of insulation provided by the green wall is higher than the
negative effect of shading.
Green walls can represent a sustainable solution for new buildings construction and for existing
buildings retrofitting, in order to reduce the energy demands of buildings cooling systems, to
mitigate the urban heat island, and to improve the thermal-energy performance of buildings.
Additionally, the green roofs and walls offer several benefits such as the improvement of the
outdoor thermal comfort and outdoor air quality, improved health and well-being, reduction of
greenhouse gases in atmosphere and noise, improved aesthetical impact and commercial value
of buildings, an increase of urban biodiversity, storm water management.

Acknowledgements
The present work has been carried out under the Piano triennale 2012-2014 per la Ricerca di Sistema Elettrico Nazionale, progetto C.2 Sviluppo di modelli per la realizzazione di interventi di
efficienza energetica sul patrimonio immobiliare pubblico, Piano Annuale di Realizzazione (PAR)
2013, funded by the Italian Ministry of Economic Development.
The data processing and the editorial work must be shared, within the competencies of the research groups, equivalently among the Authors.

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