Hyderabad • Addis Ababa • Lima • Gauteng •
• Hefei • Ho Chi Minh City
Elke Pahl-Weber, Bernd Kochendörfer, Lukas Born, Carsten Zehner
The Book Series "Future Megacities" The global urban future The development of future megacities describes a new quality of urban growth as the pace and the dynamics of urbanisation today are historically unprecedented. At the beginning of the twentieth century, only 20% of the world’s population lived in cities. Since 2010, however the share of urban-dwellers has risen dramatically to above 50%. By 2050, the world population is predicted to have increased from 7.0 billion to 9.3 billion and by that time, 70% of people will be living in urban areas; many of them in urban corridors, city- or mega-regions (UN−DESA, 2012; UN−Habitat, 2012). Urban areas contribute disproportionately to national productivity and to national GDP. Globally they concentrate 80% of economic output (UN−Habitat, 2012; UNEP, 2011). Due to this, urban areas are also very relevant in terms of energy consumption. Although cities cover only a small percentage of the earth’s surface,1 they are responsible for around 60−80% of global energy consumption as well as for approximately 75% of global greenhouse gas emissions (UNEP, 2011). In the future, this will increasingly count for cities in so called ‘developing countries’ as they will be responsible for about 80% of the increases in the global annual energy consumption between 2006 and 2030 (UN−Habitat, 2011). Hence, cities are significantly contributing to climate change while, at the same time being the locations that have to deal with its devastating consequences, as many of them are located along the coast, close to rising sea levels or in arid areas. Therefore, cities must take action to increase energy and resource efficiency as well as climate change mitigation and adaptation. Megacities as a spreading phenomenon do have a special role in this context and illustrate the urban challenges of the future. These urban centres are not only reaching new levels in terms of size, but are also confronted with new dimensions of complexity. Hence, they are facing multifaceted problems directly affecting the quality of life of their inhabitants. In many cases, indispensable assets, such as social and technical infrastructure, delivery of basic services or access to affordable housing are lacking. Capacities for urban management and legal frameworks tend to be chronically weak and are often insufficient when dealing with rapid population and spatial growth. Moreover, excessive consumption of resources such as energy or water is further aggravating existing problems. In many countries, medium-sized cities especially, are experiencing extraordinary growth rates. These ‘Future Megacities’ are to be taken into consideration for sustainable urban development strategies as they still offer the opportunity for precautionary action and targeted urban development towards sustainability (UNEP, 2011).
The book series “Future Megacities” is sponsored by the German Federal Ministry of Education and Research (BMBF) through the funding priority “Research for the Sustainable Development of Megacities of Tomorrow”. The authors like to thank the ministry for this initiative, for the financial support and for the extraordinary opportunity to connect activity- and demand-oriented research with practical implementation in various pilot projects targeting the challenges of Future Megacities.
The book series “Future Megacities” is published by Elke Pahl-Weber, Bernd Kochendörfer, Carsten Zehner, Lukas Born and Ulrike Assmann, Technische Universität Berlin.
Institut für Energiewirtschaft und Rationelle Energieanwendung
BMBF’s funding priority on future megacities
Volume I “Energy and Sun” of the book series is edited by Ludger Eltrop, Ulrich Fahl and Thomas Telsnig, University of Stuttgart, Institute for Energy Economics and the Rational Use of Energy (IER).
With its funding priority ‘Research for the Sustainable Development of Megacities of Tomorrow’ the German Federal Ministry of Education and Research (BMBF) is focusing on energyand climate-efficient structures in large and fast-growing cities or megacities. The pro-
Preface Elke Pahl-Weber, Bernd Kochendörfer, Lukas Born, Carsten Zehner
Energy and Sun – Sustainable Energy Solutions for Future Megacities Ludger Eltrop, Ulrich Fahl
Solar And Sustainable Energy Technologies
Extra Low Energy Housing: Urumqi as a Model City for Central Asia Bernd Franke, Christian Hennecke, Xiaoyan Peng, Ming Liu, Cassandra Derreza-Greeven
Solar Energy, Empowerment, and Sustainable Housing: A South African Case Study D. Mothusi Guy, Harold J. Annegarn, Ludger Eltrop
Energy-Efficient Micro-Urban Prototypes – The Context of Iranian Cities Somaiyeh Falahat
System Analytical And Integration Approaches
Governance of Solar Photovoltaic Off-grid Technologies in Rural Andhra Pradesh: Some Implications from the Field Julian Sagebiel, Franziska Kohler, Jens Rommel, Vineet Kumar Goyal
Solar and Other Options to Reduce Greenhouse Gas Emissions: The Reduction Potential in the Residential Sector in Hyderabad, India Jakob Höhne
Peri-Urban Linkages: Improving Energy Efficiency in Irrigation to Enable Sustainable Urban Transition Christian Kimmich, Julian Sagebiel
Solar Energy Technologies – GHG Abatement Costs and Potentials for Gauteng, South Africa Thomas Telsnig, Enver Doruk Özdemir, Sheetal Dattatraya Marathe, Jan Tomaschek, Ludger Eltrop
The Role of Concentrated Solar Power (CSP) Plants for South Africa's Electricity Generation Thomas Telsnig, Enver Doruk Özdemir, Ludger Eltrop
Technological and Economic Challenges in Making Urumqi’s PVC Industry More Energy Efficient Bernd Franke, Niu Li, Jiarheng Ahati, Andreas Detzel, Chenxi Zhao, Mirjam Busch, Cassandra Derreza-Greeven
Driven by the Sun: The Joined Biogas, Charcoal and Erosion Prevention Project – An Option for Addis Ababa, Ethiopia Michael Porzig, Mike Speck, Frank Baur
Direct and Indirect Solar Energy Usage in Gauteng, South Africa: An Energy System Perspective Jan Tomaschek, Thomas Haasz, Audrey Dobbins, Ulrich Fahl
Potential of Photovoltaic Systems for Social and Economic Empowerment in Peri-Urban and Rural Areas in South Africa Bertine Stelzer, Nina Braun, Wolfgang Hofstaetter
Solar Powered Schools for Hyderabad, India – An Attempt for Decentralised Energy Production Phungmayo Horam, Angela Jain, Christine Werthmann
Solutions For Buildings And Settlements 87
Energy and Space – Housing Design in Urban Context in the MENA Region Philipp Wehage, Elke Pahl-Weber Assessment of the Energy Performance of Buildings – A Simplified Calculation Approach to Visualise Potentials and Benefits Simon Wössner, Johannes Schrade, Hans Erhorn
The Projects of the Programme on Future Megacities in Brief
Ludger Eltrop, Ulrich Fahl
Energy and Sun â€“ Sustainable Energy Solutions for Future Megacities Introduction: Sustainable development and sustainable energy for growing megacities Development requires energy. Growing cities imply growing energy needs. This seems to be a general rule. However, there are very different forms of energy and different technologies, cleaner ones and more polluting ones, cheaper ones and more expensive ones. Cities also have a large potential for energy savings, the opportunities and the potential for smart solutions is high. In any case, growing energy needs are associated with increasing risks of environmental and social threats, and eventually of higher greenhouse gas emissions, fossil resource exploitation and other hazards. Cities, future megacities and large urban agglomerations in transition, and in developing countries especially, are facing these challenges in many and particular ways.
Urbanisation and its implications on growth, development and energy supply Cities around the world are growing enormously. Fast-growing cities in Asia exhibit an annual population growth rate between 4 and 21%, whilst cities in Africa between 4 and 13% [UNSD, 2013]. The degree of urbanisation is also increasing continuously [Figure 1 â€˘]. Since 2007, half of the worldâ€™s population lives in cities [CIA, 2013]. In general, countries with a low degree of urban population, e.g., Ethiopia (17% of total population), have a relatively high rate of urbanisation (3,8% per year). On the other hand, there is also a large degree of urbanisation, e.g., in Nigeria (3,5% per year), where there is already a high urban population, at present (50%). Compared to the situation in Africa, countries in other regions, e.g., in Europe, have a very high urban population (between 70 and 90%) and very low rates of urbanisation. The urbanisation process brings people into the cities from their homes in the rural areas in countries with less developed economies, due to many reasons, primarily economic. Most people are in search of better jobs, better education and better opportunities for themselves and for their families. However, the population and economic activity are also increasing within the city limits. There is a strong move towards economic development. Many cities compete for economic performance, even on a worldwide level. This considerably increases economic activity, mobility and many other aspects of life. More offices, more factories and also more small-scale businesses are established. Thus, the middle-income group, particularly, is increasing rapidly (Kharas, 2010). This group are notable consumers and would like new homes, new cars, new appliances and new ways for spending their vacation and leisure time. As a result, transport needs are also increasing enormously. Many streets are congested, mini-taxis Rietsvlej, South Africa: energy and sun [authors]
The ecological footprint was also assessed for the City Region of Gauteng (Özdemir and Marathe, 2013). The calculation was done by assessing the built-up urban area, the fresh water and food consumption, the energy consumption and the wood material use. In summary, the ecological footprint for Gauteng for 2009 amounts to 51.16 million global hectares (gha) or 4.86 gha per capita [Özdemir and Marathe, 2013]. This is significantly higher than the South African average of 2.1 gha per capita and year [Figure 4 •]. The value for Cape Town from [Gasson, 2002] with 4.28 gha per capita is similar to Gauteng, however it should be noted that a slightly different methodology was used. Energy consumption and the related greenhouse gas emissions (GHG) constitute the largest share of this overall footprint with 34.7 million global hectares (67%) and around 3,3 gha per capita and year. Food consumption is the second-highest factor contributing to the global footprint with 11.6 Mio. gha per year and 1.1 gha per capita and year. The global footprint of the City Region of Gauteng has a land area demand with a radius of 378 km and gives a 24-fold territorial area compared to the original area of Gauteng. Figure 5 • illustrates this land area requirement and shows this overextension. The required area to sustain Gauteng’s energy consumption would stretch around the centre of Gauteng and would extend into the neighbouring countries of Botswana, Zimbabwe, Swaziland, Lesotho and Mozambique all the way down to Durban. The land area requirement of Gauteng is about 2.3 times higher than the acceptable land area demand and carrying capacity worldwide. This remains true, despite the fact that a large portion of the population still lives in hunger and poverty, often without even their basic needs being fulfilled. The energy sector and the related greenhouse gas emissions are the main contributor to this ecological footprint, thus interventions in this area promise the largest impact and improvement potential.
Economic and social viability – using adapted and integrated solutions Energy is an absolutely vital prerequisite for our lives and our economic activity. People need to eat, cook, heat, travel and work. All this activity needs energy. The economic situation and the cost of energy determine the options for people’s lives and economic development to a great extent. Low energy costs are crucial for poverty alleviation. Nevertheless, the price for energy has to tell the truth, be credible and has to reflect the expenses for supply as well as the environmental impacts caused by its use. The stark inequality of societies is the striking feature of urban agglomerations and megacities. The UN HABITAT report, State of the World’s Cities 2010/2011 [UN Habitat, 2010] shows this in the form of a striking difference in the Gini coefficient, which describes the income distribution from rich to poor in a given area, country or region, between the cities in the developing and in the developed world [Figure 6 •]. The thirty-seven African cities investigated exhibit a Gini coefficient that is almost double as high as in the eight Eastern Europe cities included in the study. All of the featured cities in Africa, Asia and Latin America (LAC) have considerably higher Gini coefficients than the cities in Eastern Europe and the CIS countries. A large portion of city populations live in slum areas [UNHABITAT, 2013]. In 2009, there were over 10 million people living in urban slum areas in Ethiopia alone, this is over 76% of Ethiopia’s population. In the more developed example of South Africa, this was still 23%, amounting to over seven million people. The Asian countries also have a high share: in Vietnam, the share amounts to nine million people, i.e., over 35%, in China it is 29%, amounting to 180 million people [UNHABITAT, 2013]. Thus, the technologies and options for sustainable energy solutions need to address this unequal income distribution. There are many partly contradictory questions that need to be answered simultaneously. From a systems point of view, these questions can only be answered for a given energy system, e.g., megacities, by establishing an integrated and structured approach. The introduction of new technologies needs the right incentives and the right drivers. A competitive price helps to create a convincing argument. However, many renewable and new energy technologies are not utilised even though they are cheaper and economically more competitive
Fig. 5 The spatial extent of the ecological footprint for the City Region of Gauteng (black circle) and the acceptable world carrying capacity (red dashed circle) [Goldfinger and Oursler, 2009] of 2,1 gha per capita and year [Özdemir and Marathe, 2013], [ESRI 2012. ArcGIS Desktop: Release 10. Redlands, CA: Environmental Systems Research Institute].
Fig. 6 Gini average values for income distribution in sample cities in various regions of the world (data from UN-ECLAC, UN-ESCAP, UNU and other sources), [UN Habitat, 2010] (LAC=Latin America and Caribbean; CIS = Commonwealth of Independent States)
Implementation means the realisation of the energy action plan through individual projects. The supervision phase should then be used to check the success of the implemented projects. Unfavourable developments detected during the supervision phase may lead to adjustments in the planning process and even a re-evaluation of the energy plan. After implementation, the performance of the system should be monitored regularly over several years. This helps to detect situations where a re-orientation or a completely new planning process needs to be undertaken. Besides the establishment of a consistent planning process, the combination with cooperative governance is necessary for the successful implementation of the energy action plan. Most importantly, a truly integrated planning process is needed, addressing all relevant key stakeholders, as well as all planning divisions of the government. An integrated planning approach such as this would need backing by capacity (skills and number of employees) in administration, adequate regulation and leadership. Planning is often not the problem, but rather factual implementation. Beyond government itself, it is clear that a broader shift in mindset and awareness is needed in society to be able to effectively implement a more environmentally and economically viable development of the energy system of the megacity.
Summary and conclusions
Megacities – mega challenges: towards a manageable system of systems In emerging markets particularly, megacities face enormous challenges, ranging from rampant growth and stretched budgets, to inefficient infrastructures. Nevertheless, sustainable development is achievable. What is needed is political leadership, a consistent and effective integrated planning approach, help from private investors and intelligent technological solutions. Decision-making is a complex process which usually involves multiple objectives, multiple alternatives and multiple social interests and preferences. A consistent and effective energy and project planning generally involves many people with different backgrounds and sometimes competing agendas. Therefore, the planning process must be supported by a well-structured planning approach [Figure 8 •]. To begin with, the planning process starts by collecting basic information on local problems connected to the existing energy system, and by identifying and inviting local interest groups who may participate in the project. In the next phase, the objectives and scope of the study are defined based on a first assessment of the present situation of the energy system. After completion of this phase, the tasks and scope of the project should be well defined. Thereafter, the objectives serve as guiding principles for the development of the energy system model and the necessary data acquisition. With the help of the model, different options for competing measures and strategies are analysed. The results of the study are discussed during the evaluation and decision phase. Generally, an ‘iteration’ phase within the study phase and during the evaluation phase are necessary to find an optimal solution, i.e., a solution that best meets the different goals of all interest groups. This iteration procedure is made easier by the use of a model. With the finalised strategy described in the final report, the planning process has reached its most important milestone, i.e., the Energy Action Plan (EAP). The process, however, continues with two additional tasks: the implementation phase and the supervision and monitoring phase.
Fig. 9 Johannesburg, South Africa, under power. The activity region of the EnerKey project (www.enerkey.info) [authors]
Fig. 8 Phases of structured energy planning [authors]
References CIA (2013): The world factbook. www.cia.gov/library/publications/the-world-factbook/index.html, 15.01.2013 City of Calgary (2007): Toward a Preferred Future. Understanding Calgary’s Ecological Footprint. Calgary DME (2003): White Paper on Renewable Energy. Department of Minerals and Energy, November 2003, RSA EU (2012): The European Strategic energy technology plan (SET-Plan). http://ec.europa.eu/research/energy/eu/ policy/set-plan/index_en.htm; 01.2013 Ewing, B.S./ Goldfinger, M./ Wackernagel, M./ Stechbart, S.M./ Rizk, A./ Reed, J./ Kitzes, J. (2008): The Ecological Footprint Atlas 2008. Global Footprint Network, Oakland, Future Megacity Program (2010): Aggregated mitigation and adaptation potentials of future megacities – an overview on intermediate projects results. Essen, 2010, http://future-megacities.org/index.php?id=31; 05.02.2013 Gasson, B. (2002): The Ecological Footprint of Cape Town: Unsustainable resource use and planning implementation. Presentation at SAPI International Conference Planning Africa Global Footprint Network (2009): Ecological Footprint Standards 2009. Oakland: Global Footprint Network. http:// www.footprintstandards.org Goldfinger, S./ Oursler, A. (2009): Footprint Factbook – Africa 2009. Global Footprint Network, Oakland, United States of America Holden, E./ Hoyer, K.G. (2005): “The ecological footprints of fuels”. In: Transportation Research part D- Transport and Environment, Volume 10, Issue 5, pp. 395−403 Kharas, H. (2010): “The emerging middle class in developing countries”. In: Working Paper No 285. OECD development centre, January 2010 Lenzen, M./ Murray, S. (2001): “A modified ecological footprint method and its application to Australia”. In: Ecological Economics. Issue 37, pp. 229−55 Loh, J./ Wackernagel, M. (2004): Living Planet Report 2004, WWF. http://assets.panda.org/downloads/lpr2004.pdf Lyndhurst, B. (2003): London’s Ecological Footprint. A review. London: Greater London Authority Özdemir, E.D./ Marathe, S.D. (2013): “Ecological footprint – the example of Gauteng region”. In: Glances at renewable and sustainable energy. Springer Verlag, Chapter 4, January 2013 Özdemir, D./ Marathe, S.D./ Tomaschek, J./ Dobbins, A./ Eltrop, L. (2012): “Economic and environmental analysis of solar water heater utilization in Gauteng Province, South Africa”. In: Journal of Energy in Southern Africa. Vol. 23, No. 2, May 2012. Rees, W. (1992): “Ecological footprints and appropriated carrying capacity: what urban economics leaves out”. In: Environment and Urbanisation, Volume 4, Issue 2: pp. 121–30 Rogner, H./ Langlois, L.M./ McDonald, A./ Weisser, D./ Howells, M. (2006): “The costs of energy supply security”. In: International Atomic Energy Agency, Planning and Economic Studies Section. 27.12. 2006 Tomaschek, J./ Dobbins, A./ Fahl, U. (2012): A Regional TIMES Model for Application in Gauteng, South Africa. International Energy Workshop 2012, University of Cape Town UN Habitat (2010): State of the World’s Cities 2010/2011, Bridging The Urban Divide. United Nations Human Settlements Programme (UN-HABITAT), P.O. Box 30030, Nairobi, Kenya, First published by Earthscan in the UK and USA in 2008 for and on behalf of the United Nations Human Settlements Programme, (UN-HABITAT) 2010 UN Statistics Division (2013): Demographic Yearbook, 2011. http://unstats.un.org/unsd/demographic/products/dyb/ dyb2011.htm; 05.02.2013 van den Bergh, J./ Verbruggen, H. (1999): “Spatial sustainability, trade and indicators: an evaluation of the ‘ecological footprint’”. In: Ecological Economics, Volume 29, pp. 61 – 72 Wackernagel, M. (1994): Ecological Footprint and Appropriated Carrying Capacity: A Tool for Planning Toward Sustainability. The University of British Columbia, Vancouver Wackernagel, M./ Rees, W. (1997): Unser ökologischer Fußabdruck. Wie der Mensch Einfluß auf die Umwelt nimmt, Birkhäuser Verlag Basel
Solar And Sustainable Energy Technologies
Julian Sagebiel, Franziska Kohler, Jens Rommel, Vineet Kumar Goyal
Governance of Solar Photovoltaic Off-grid Technologies in Rural Andhra Pradesh: Some Implications from the Field Introduction Background and problem statement In developing countries like India, uncontrolled urbanisation and rapid economic development has put extreme pressure on electricity infrastructure and generation [Khanna, 2009]. In the emerging megacity of Hyderabad, the capital of the Indian state of Andhra Pradesh (AP), households, commerce, and industry suffer from frequent power cuts and low power quality. Consumers use inefficient and environmentally-unfriendly back-up systems, such as diesel generators, to cope with the crisis [Hanisch et al., 2010]. Part of the problem in AP is the high consumption of electricity by farmers who receive electricity at a subsidised flat-rate tariff. About 30% of the installed capacity is utilised by electric irrigation pumps [Directorate of Economics and Statistics, 2011]. In South Asia, the introduction of electricity for groundwater irrigation has greatly contributed to rural poverty alleviation and a more equitable access to irrigation [Shah, 2009]. This often comes, though, at the cost of urban centres and industries. Nonetheless, villages also face major problems with their electricity supply. Most rural and agricultural consumers in AP experience power rationing, high voltage fluctuations, a lack of three-phase supply for domestic use,1 and deficient connected load. Electricity for irrigation is rationed, with farmers receiving power for about three to seven hours per day and with frequent, unannounced interruptions. Farmers rely increasingly on irrigation due to erratic monsoon rainfalls and enduring periods of extremely hot days [LĂźdeke et al., 2010]. Especially in rice cultivation, power cuts can cause crop failure with implications for food security in cities. These complex ruralâ€“urban linkages, corruption, inefficient utilities, and the political economy of agricultural support, impede simple top-down solutions to the power crisis [Kimmich, 2012]. Decentralised and bottom-up approaches can help to address these challenges. These approaches can be realised by building on renewable energy sources. Solar energy is well-suited to small-scale, rural supply when compared to other renewable energy sources, as the natural potential of solar radiation in India is large [Ramachandrah et al., 2011], the demand for cooling appliances moves in parallel with the supply curve, and the installation of PV modules is fairly flexible and scalable.
Co-operative Electric Supply Society Ltd. in Sircilla, India [Zehner, C.]
Assessing transaction costs by the properties of transactions Factor
SAS (individual owners)
Micro-grid (external investor)
Micro-grid (farmers coop)
Scale economies (Large systems allow load curve smoothing; subsidies only have to be applied once for many users; fixed costs in the initial phase)
Variable load curve, because exchange between households impossible; high costs for applying for subsidy, high fixed costs (high)
Smoother curve; experience with subsidy application process reduces cost (low)
Smoother curve; costs for subsidy application can be shared, but no experience (medium)
Predictability (risks of theft and damage; regulatory risks; risks of default; reduced power supply in overcast weather)
Theft is reduced with panel on private rooftop; weather risks are borne individually (medium)
Theft and damage more likely; high regulatory risks and default risks; weather risks can be hedged (high)
Theft and damage reduced through peer-monitoring/ ownership; weather risks are similar to SAS (medium)
Site specificity (transferability of panels and wiring)
Panels can be sold or taken to new house; wiring in the house is capitalised into the real estate and increases value (low)
Panels can be sold or used in other projects; wiring is site-specific and creates hold-up problems; long-term land lease or rent may have little alternative use (high)
Panels can be sold; wiring is site-specific but is capitalised into real estate; coop can have conflicts which causes hold-up problems between members (medium)
Physical asset specificity (for how many different purposes can the asset be used)
Can be used only for small-scale household use; of little value for investors or without complementary (site-specific) equipment (high)
Can also be used for street lighting, farm activities, and small commercial units (medium)
Can be used or sold for local agriculture or other electricity requirement in the village which may be more easily identified and organised (low)
Human asset specificity (what kind of special knowledge is needed to start and run the system)
Specific skills have to be acquired which are of little general use (high)
Developer can use skills in other contexts (low)
Not everybody has to acquire skills; hold-up problem may arise from the fact some people are more knowledgeable than others (medium)
In this study, we have shown how technical properties and the legal framework shape the properties of transactions and subsequently the transaction costs for organising rural, offgrid PV supply. Drawing on a theoretical framework which has identified scale economies, predictability, and three forms of asset specificity as important factors, we have compared different options of organising off-grid electricity supply. Our analysis shows that particular conditions on the ground are decisive for determining optimal governance. With regard to our pilot project, we can conclude that successfully established farmer committees may be a good entry point for further interventions in the field of renewable energy supply. This is especially true when the demand for uninterrupted supply is high. At first glance, the greenhouse gas saving potential of rural PV may appear small, as it mainly satisfies additional demand and does not reduce regular demand from the grid. However, if overcapacities are available, people may use freely available electricity they have generated to save on electricity otherwise bought from the DISCOM. With decreasing costs for panels and functional feed-in tariff schemes, on-grid solutions which generate additional income may become an option. The further development of adequate policies will be critical in this regard. Through this, urban consumers can also benefit a great deal, as the supply gap is reduced. Further reductions in grid demand from rural areas may be realised by considering an extension of applications to solar PV water pumps. Especially in summer, when the supply gap is particularly large, the generation capacity of PV coincides with this demand. Eventually, it has to be noted that anything that makes rural life easier can contribute to rural poverty alleviation and slow down migration processes. A detailed cost–benefit analysis would be necessary to assess the wider societal consequences of extended rural electrification through PV. Regarding transferability and up-scaling, the proposed collective model is especially relevant in contexts where electricity is scarce and the solar radiation potential is large. To satisfy the urban demand, in peri-urban areas of the global South, electric irrigation is often used for the intensive production of perishable high-value crops, which may create conflicts over the scare electricity supplies. Currently, only few farmer groups exist which could be used as entry points for the promotion of off-grid, rural PV technologies to reduce such conflicts. The up-scaling potential is great, as suggested by the success of our pilot project. Additional resources are required to kick-start such up-scaling. It is challenging to further motivate and train NGOs and other organisations for the much-needed transfer of technology-related knowledge.
process and that in the course of development some people may acquire specific knowledge to their advantage, also bears some uncertainty for the successful functioning. The fact that the process has to be organised in great detail and rules have to be drawn-up and enforced, for instance, how to refund losses or profits, or how to distribute repair costs, should not be underestimated. These rules have to be perceived as fair by the majority. Heterogeneous interests will make such rule-finding more difficult. A high degree of homogeneity, previously established knowledge on electricity, and established trust are critical to avoid high transaction costs. This model may work well in villages where farmer committees have been successfully established. Also, support by an NGO through awareness-raising, capacity building, and technical assistance might well be a necessary condition.
solar and sustainable energy technologies
Bonus, H. (1986): “The Cooperative Association as a Business Enterprise: A Study in the Economics of Transactions”. In: Journal of Institutional and Theoretical Economics, Vol. 142, pp. 310–39 CESS (2012): Working Note on CESS. Internal Report, Sircilla, Karimnagar, Andhra Pradesh Deshmukh, R./ Gambhir, A./ Sant, G. (2010): “Need to Realign India’s National Solar Mission”. In: Economic and Political Weekly, Vol. 45, No.12, pp. 41–50 Directorate of Economics and Statistics, Government of Andhra Pradesh (2011): Agricultural Statistics at a Glance Andhra Pradesh 2010–11, Hyderabad, Andhra Pradesh Hanisch, M./ Kimmich, C./ Rommel, J./ Sagebiel, J. (2010): “Coping with power scarcity in an emerging megacity: A consumers’ perspective from Hyderabad”. In: International Journal of Global Energy Issues, Vol. 33, No. 3-4, pp. 189–204 Harish, S. M./ Raghavan, S. V. (2011): “Redesigning the National Solar Mission for Rural India”. In: Economic and Political Weekly, Vol. 46, No. 23, pp. 51–8
Conclusions and implications
measure power factor improvements at the pump-set level. A training workshop was conducted with the staff of the local NGO SEWS. Together with the technological implementation, the formation of governance units of Distribution Transformer Committees, Feeder Level Committees, and a Project Level Committee was organised and the respective committees were established. These units are crucial to organise the installation, monitoring among the farmers, and the future arrangement to employ an electrician for installation and maintenance. 4. The evaluation phase comprises a social and a technical survey to analyse the improvements in power quality and energy efficiency. The social survey enables the analysis of outcomes in terms of reduced repair costs for the farmers and reduction in transformer burnouts due to improved power quality, from which the electricity utility profits. Through the social survey, improvements in the understanding of the electricity system, related interdependence, the knowledge of coordination requirements and strategies for concerted action can be measured. An independent energy audit company will conduct a technical survey. The aim is to investigate the incremental or marginal improvement of a capacitor at transformer level, as well as the improvement of water discharge. The former is relevant for the utility and policy makers as it shows the potential for energy savings and CO2-emission reductions. The latter reveals the increased water availability to the farmer, one of the primary means to increase food production. 5. The up-scaling phase is based on a three-level design: (A) Reporting and marketing the pilot project concept. The results provide information to further develop the project concept and to adapt the requirements to other conditions and environments. (B) The pre and post evaluation data, as well as the experience and learning gained on the project, help the development of a business plan to calculate the costs of training, technology installation, governance unit formation, and the profitability of the overall project. The business plan can then be utilised by Energy Service Companies (ESCO) and other contractors to conduct energy efficiency improvement projects. Counterparties to the contractors can be electricity utilities, as well as governments that ultimately pay the subsidised electric energy provided for irrigation. A share of the saved energy expenses can then be used as revenue to finance the contractor. (C) Policy briefs and consultations also enable direct communication with respective government units, including energy departments and regulatory commissions, to inform the design of more effective policies for DSM implementation. These policies can include the cooperation with contractors for grassroots implementation, due to their expertise in respective technologies and entrepreneurial skills. It remains to be seen, however, whether contractors or other organisations are able to create the institutional arrangements necessary at the transformer level to facilitate successful coordination of technology adoption. The project is currently in the Evaluation Phase. The direct outcome of technological improvements have been measured, but the impact on the power system and reductions in pump-set and transformer burnouts can only be measured after a fixed time interval, as equipment damages occur in most cases only once or twice a year. The measured power quality improvements and encouraging experiences reported by the farmers are a first indication that the impacts are highly positive. Improved power quality will enable the farmers to proceed with investments into other DSM, such as standardised and quality-approved ISI-marked pumpsets. The viability of agriculture can thus be increased to strengthen food security. The saved energy will be available for industrial and, primarily, urban commercial purposes, where the gap in electric energy provision can be closed to reduce power cuts.
solar and sustainable energy technologies
This analysis has highlighted some of the crucial connections between rural and urban economies, consisting of labour migration, water and energy utilisation, and food provision. Improving power quality and thereby increasing energy efficiency in agricultural irrigation is one of the most cost-effective options of climate change mitigation, simultaneously increasing adaptation to climate change through groundwater use. The review of agricultural electricity policies has shown that subsidised electricity provision has led to a vicious circle of deteriorating electricity infrastructure, poor quality irrigation equipment, and high repair costs to both farmers and electric utilities. The analysis reveals why existing policies to improve energy efficiency through demand-side measures has remained ineffective, neglecting the concrete investments necessary to overcome coordination failure and to improve power quality. A pilot project has been built upon these findings to develop a best practice model of community learning for technology adoption. The project partner composition and the phase descriptions indicate how such an intervention can be translated into practice. Measures of transferability and up-scaling enable a sustainable transition after the phasing out of the pilot project. The project thereby aims to contribute to agricultural viability and energy savings that can translate into the intensification of urban commercial power utilisation. The presented analysis and methodology also yield broader implications: as mentioned above, coordination failures can be frequently observed in a variety of infrastructures. Traffic management and mobility logistics, including road and railroad infrastructures, as well as drinking water provision and sewage infrastructure are relevant issues. This infrastructure is often strongly linked to energy utilisation and thereby carries potentials for climate change mitigation. However, the reliable provision and utilisation of the infrastructure is also crucial for adaptation strategies. The decentralised investment in renewable energies requires an electricity infrastructure that can feed into small-scale electricity generation and similarly requires coordination to counterbalance supply and demand. The higher the population density and the number of users of the infrastructure, the more crucial are coordination efforts with regard to infrastructure provision and utilisation. As mentioned in the beginning of this text, the connections between rural and urban population are crucial in cases where the infrastructure or resource use expands to rural areas. This is especially the case for electricity infrastructure and groundwater use, where rural uses interact with urban uses. The specific case of electricity utilisation for irrigation can be found in many other semi-arid, water-scarce regions in the world, like the Middle East, North Africa or Mexico [Scott and Shah, 2004], where several urban agglomerations can be found that are surrounded by energy- and water-intensive agriculture. The analysis and the best practice model outlined above also show that incremental investments and gradual approaches, based on the current challenges faced by utilities, offer transition paths to improve the viability of both the utilities and their users. These approaches may be facilitated by governance changes and structural reforms of utilities, but do not necessarily require such changes from the outset. A sustainable transition can then, rather be seen as the concerted effort to simultaneously solve coordination challenges on the ground and to create favourable conditions through changes in governance structures and appropriate policies on the government, urban planning, and administration levels.
Fluri, T.P. (2009): The potential of concentrating solar power in South Africa, Energy Policy 37 (2009) 5075-5080 IPCC (2012): Renewable energy sources and climate change mitigation. Special report of the Intergovernmental panel on climate change. eds. Edenhofer O./ Madruga, R.P./ Sokona, Y. Cambridge University Press, 2012 NERSA (2011): NERSA Consultation Paper Review of Renewable Energy Feed - In Tariffs. http://www.nersa.org.za/, 15.01.2012 Platts (2008): UDI World Electric Power Plants Database 2008, Washington Rindelhardt, U. (2001): Photovoltaische Stromversorgung. 1. Auflage 2001, Stuttgart,Leipzig, Wiesbaden Solarpaces (2013): Online International Project Database. http://www.solarpaces.org/News/Projects/projects.html, 22.01.2013 Standard Bank (2011): The IPPPP RFP − Debate: Renewable Energy in South Africa. http://green-cape.co.za/upload/ IRPStandardBankPresentationAugust2011.pdf, 15.08.2012. Stine, W./Geyer, M. (2001): Power from the Sun. http://www.powerfromthesun.net, 01.06.2011
Michael Porzig, Mike Speck, Frank Baur
Driven by the Sun: The Joined Biogas, Charcoal and Erosion Prevention Project – An Option for Addis Ababa, Ethiopia
Tamme, R. (2009): Thermal Energy Storage for Large Scale CSP Plants. http://cuens.soc.srcf.net/img/Academic_ Material/Tamme_Storage%20CSP.pdf, 10.12.2012 Telsnig, T./ Özdemir, E.D./ Tomaschek, J./ Eltrop, L. (2012): EnerKey Technology Handbook − A guide of technologies to mitigate greenhouse gases towards 2040 in South Africa. Stuttgart: Institute for Energy Economics and the Rational Use of Energy (IER), University of Stuttgart
Telsnig T./ Eltrop L./ Winkler H./ Fahl U. (2012b): “Efficiency and costs of different concentrated solar power plant configurations for sites in Gauteng and the Northern Cape, South Africa.” In: Journal of Energy in Southern Africa, 2012, South Africa
The BMBF funded emerging megacity program understands growing cities as “research labs” to investigate urban interactions and to derive appropriate solutions for sustainable grow as blueprint for other fast growing cities worldwide. The program’s main focus herby is the development of technological, social and economic sound energy efficient designs of such cities by addressing the key topics mobility, building/housing, waste and water management, agriculture, urban planning and energy supply/consumption. The following approach demonstrates the potentials of interlinking different topics such as urban agriculture, waste and (waste)water management as well as energy supply issues to generate additional benefits in favour of energy efficiency, economy and income generation. According to Assfa and Demissi, , cooking on household level in Addis Ababa is based on traditional fuels like firewood and charcoal and “modern” mineral oil-based fuels like kerosene. Firewood, at about 50%, represents the highest share of primary energy consumption. The high demand on firewood for fuel and wood for the production of charcoal result in a high deforestation rate, leaving cleared areas exposed to erosion of fertile soils, landslides and is finally contributing to desertification. The direct consequences are crop failures and thus economic problems further increasing the poverty rate and the migration pressure on the cities. Due to the high share of renewable energies in the Ethiopian electricity mix, consisting of approximately 97% hydropower and only 3% of diesel, used in stand-by units, the consumption of electricity would be more advantageous regarding climate protection with a grid emission factor in Ethiopia of approximately 0.01 kg CO2/kWh (Worldbank, 2009), but is restricted in its reliability due to temporary, but common black-outs. As a reliable energy supply can be seen as one precondition for development, the BMBF Future Megacities Project IGNIS1 does not solely focussing on the implementation of sustainable waste-management systems, but rather, by applying a multi-dimensional approach it also considers secondary effects and potential synergies to other sectors (energy supply, wastewater management, etc.). The pilot projects, which are representing the main basis of the application-oriented project, are analysed and evaluated according to the following criteria: · Material flow analysis · Profitability · Socioeconomic effects
Telsnig T./Tomaschek J./Özdemir E.D./Bruchof D./Fahl U./Eltrop L./ (2012c): “Carbon capture and storage as a cost-efficient option for CO2 mitigation in South Africa”. Submitted to Energy Policy Tomaschek, J./ Haasz, T./Dobbins, A./ Fahl, U.(2012): Energy related greenhouse gas inventory and energy balance Gauteng: 2007−2009, October 2012. Stuttgart: Institute for Energy Economics and the Rational Use of Energy (IER), University of Stuttgart Wagner, M.J./ Gilman, P. (2011): Technical Manual for the SAM Physical Trough Model. Golden: NREL Wehnert T./ Knoll M./ Rupp J. (2011): “Socio-Economic Framework for 2010 set of EnerKey Energy Scenarios – Summary of Key Figures. IZT”. In: Institute for Future Studies and Technology Assessment, May 2011, Berlin
solar and sustainable energy technologies
In this context IGNIS established a pilot project on improved charcoal production (pyrolysis) and on advanced charcoal-based fuels to improve the efficiency of the burning process [Figure 3 •]. For the charcoal project a cooperation with the non-governmental organisation ‘WISE – Women In Self Employment’ (www.wise.org.et) was established. The strategic objectives of WISE are to promote sustainable income generation and to create job opportunities for women. Beside other projects, currently a group of six women is working on the charcoal production project. Due to the inefficiency of the original pyrolysis process [Figure 4 •], the women collected charcoal residues and dust from the market and shops in order to recycle them to charcoal briquettes, so called “beehives”. Meanwhile, with the improved pyrolysis process introduced by IGNIS [Figure 4 •], the women have once started again to utilise wooden residues to produce charcoal. Pyrolysis is a thermo-chemical decomposition process with the absence of oxygen. Under high temperatures volatile components such as H2, CH4, CO plus charcoal, and ashes are produced. Within the IGNIS project the produced pyrolysis gases are burned to oxidise the volatile components and to minimise emissions and thus the environmental impact. The charcoal produced is ground and mixed with water and sand. The mixture is then filled into the beehive mould and pressed into its final shape (beehive). The dried beehives are sold for heating and cooking purposes together with suitable stoves.
Production centre and beehive production [own picture]
Jatropha erosion prevention and oil production
As many hills in, and around, Addis Ababa are suffering from heavy erosion due to the overexploitation of wood, the Jatropha plant (Jatropha Curcas), which additionally offers a high oil-content, was therefore identified as a valuable link between energy production, greenhouse gas (GHG) mitigation, income generation and erosion-prevention. Jatropha plants absorb nitrogen; this means that nitrogen is accumulated, making the soil also fertile for other plants. Jatropha plants lose their leaves twice a year and as the leaves decompose, the soil is continuously enriched with organic matter. This contributes to the retention of water in the soil, preventing the soil from being washed away and, therefore helping to prevent erosion.
Former pyrolysis kiln (left) [IGNIS] and modified system by the University of Stuttgart (right) [Claus 2012]
solar and sustainable energy technologies
Example for oil extraction mill (left) [R.K. Henning, http://jatropha.org] and Jatropha seeds with shell (right) [IGNIS]
Project planning and implementation
Analytical Framework for the “Solar Powered Schools” [own Figure, adopted from Hagedorn, 2002]
Achieving such objectives requires a project model which is financially viable and an organisational structure that is self-sustaining in the future. To this end, the following section describes the analytical framework of the project, which has been build on the basis of the existing local institutional environment, followed by the project planning and implementation process. Analytical framework used within the research project The analytical framework of the project is given in Figure 1 •. This framework is adopted from Hagedorn’s  IoS framework and provides an institutional analysis for interaction between social and physical systems. It provides an interdependent cycle of transaction between the various stakeholders involved, the organisational structure and the institutional environment of the project. The central focus of the framework is the adoption of solar energy by schools. The results of such adoption are reflected in the bottom left and right of the framework. Bottom left indicate a reduction in CO2 emissions, which in turn contributes to climate change mitigation objectives at the regional, central and international level. Secondly, the bottom right indicates that the adoption of such technology can lead to greater social awareness, which in turn increases the demand for renewable energy in the long run and influences the formulation of climate friendly policies. This framework illustrates a functional network between project coordinating partners, schools and governmental agencies that ensures vivid information flow and a quick reaction to up-coming challenges. It provides a project financing model and the project coordinating partners which oversees the entire project planning and implementation process. Fig. 2
Returnwith onand Investment with/without Feed-in-Tariff Return on Investment without Feed-in-Tariff (FIT) [own calculation]
Indian Rupees (INR2010) in one hundred thousand
5 0 -5 -10
13 15 Years
FIT/year with not FIT FIT/year if FIT=17.91INR
Financial aspects The initial project strategy was to develop a financial model based on deriving revenue from an FIT. The project partners estimated that an FIT rate of 9.99 INR20101/kWh (0.17 €2010/kWh) enabled a payback period of ten years for a school with a 3 kW solar system as shown in Figure 2 •. Accordingly, a FIT petition was filed at the state electricity regulatory commission, APERC (Andhra Pradesh Electricity Regulatory Commission). The FIT petition was, however, declined and the financing model for the project was re-evaluated to consider other financing schemes, such as a central government subsidy. Ultimately, after several rounds of stakeholder workshops and project planning, a financial model for the project was developed as reflected in the project analytical framework. Under this model, 30% of the capital costs are financed through the central government subsidy and the remaining 70% are raised through the financial contribution from the schools and fund raising at school level, as well as through other contributions like corporate social responsibility (CSR) programs of the industry. Fund-raising at the schools was carried through various school fêtes and donations from parents and school alumni. The funds from CSR were raised through networks established through two workshops held in 2010 and 2011.
solar and sustainable energy technologies
FIT/year if FIT= 9.99INR
MNRE (2008b): Guidelines for generation based incentives (GBI) — grid inter-active solar power PV generation projects. http://www.mnre.gov.in, 21.10. 2012 NAPCC (2008): National Action Plan for Climate Change: National Action Plan for Climate Change, Prime Ministers Council on Climate Change. http://pmindia.gov.in/climate_change_english.pdf, 23.07. 2009 National Electricity Policy (2005): National Electricity Policy. The Gazette of India. http://www.powermin.nic.in/ whats_new/national_electricity_policy.htm, 23.01. 2010 Nexus (2010a): “Participative Energy Management – socio technical experiments for low emission lifestyles”. In: Sustainable Hyderabad, WP6, paper 1B, Status Report, 08/2010 NREL (2011): National Renewable Energy Lab: India Solar Resource. http://environmental design.files.wordpress. com/2011/01/dni_annual.jpg, 10.12.2011 NREL (2012b): National Renewable Energy Lab: Solar Schools Assessment and Implementation Project: Financing Options for Solar Installations on K–12 Schools http://www.nrel.gov/docs/fy12osti/51815.pdf, 11.10. 2012 Perez, Y./ Ramos-Real, F. J. (2009): The public promotion of renewable energies sources in the electricity industry from the Transaction Costs perspective. The Spanish case. In:Renewable and Sustainable Energy Reviews, 13, pp. 1058–66, 2009 Purohit, P./ Michaelowa, A. (2008): “CDM potential of solar water heating systems in India”. In: Solar Energy, 82, pp. 799–811, 2008 Singh, R. / Sood, Y.R. (2011): “Current status and analysis of renewable promotional policies in Indian restructured power sector – a review”. In: Renew Sustain Energy Review, 15, pp. 657–64, 2011 Solangi, K.H./ Islam, M.R./ Saidur, R./ Rahim, N.A./ Fayaz, H. (2011): “A review on global solar energy policy”. In: Renewable and Sustainable Energy Reviews, 15,4, pp. 2149–63, 2011 Spreitzhofer, G. (2006): Megacities: Zwischen (Sub)urbanisierung und Globalisierung. (Megacities: Between (sub-) urbanization and globalization): Friedrich Ebert Stiftung, Online Akademie 2006. http://library.fes.de/pdf-files/ akademie/online/50340.pdf, 20.05.2010 Steg, L./ Vlek, C. (2008): “Encouraging pro-environmental behaviour: An integrative review and research agenda”. In: Journal of Environmental Psychology, 29,3, pp. 309–17, 2008 Tariff policy (2006): TARIFF POLICY, The Gazette of India. http://www.powermin. nic.in/whats_new/pdf/Tariff_ Policy.pdf, 23.01. 2010 The Electricity Act (2003): THE ELECTRICITY ACT, 2003.http://powermin.nic.in/acts_notification/electricity_ act2003/pdf/The%20Electricity%20Act_2003.pdf, 2003, 23.01. 2010 Unabhängiges Institut für Umweltfragen e.V. (2011): Zwischenbericht Solar Support 1-3. http://www.ufu.de/de/solarsupport/solarsupport-fuer-schulen.html, 14.07 2011 Note 1 INR: Unit Indian Rupee at 2010 baseline; €2010 = 60 INR2010
solar and sustainable energy technologies
Solutions For Buildings And Settlements
Design approaches out of upgrade
Design measures out of upgrade Earth tube register and heat exchange A strategy of combined urban and building-scaled measures was implemented in the design of the case study [Wehage et al., 2013b]. Currently, the Iranian Cooling System works with evaporation chillers during summer months. For an apartment of 120 m2 with a room height of 2.8 metres one requires an air-exchange rate of 25 l/h to retain temperatures within the comfort zone. This system demands the use of 2.920 kWh and 63.5 m3 water per cooling season [Nytsch-Geusen et al., 2012]. Considering the high air exchange rate and the fact that the exhaust air still is far cooler centralized fresh air intake for several housing units than the supply/outside air, it is obvious that the temperature difference between exhaust 13,70air should be used to precondition 15,00 6,00 9,00 air and supply the supply air. Preconditioning with exhaust Extraction of exhaust air decentralized Exhaust air is possible in both summer and winter. In summer, warm/hot incoming air is cooled down with cooler, exhaust air and in winter when exhaust air is far warmer than supply air, it can be used to preheat outside air to reduce additional heating requirements. This preconditioning of supply air can be achieved by installing a heat exchanger. A heat exchanger functions on the precept that energy strives to be in balance, meaning that heat energy automatically moves to cooler materials. A heat exchanger simply transfers heat heat-exchanger (energy) from one material to another. The use of a heat exchanger allows the recovery of otherwise ‘lost’ energy from the exhaust air. The described heat exchange on building/apartment scale can be adopted on an urban scale. Here, the earth temperature atfresh anairapproximate Preheated or precooled depth of 1,5 – 4 metres is used to precondition the supply/outside air. APreconditioning central supply air intake for several housing units can be installed. The fresh air is blown of supply air though soil temperature over a length of minimum 52m through earth tubes that run in loops and allow the air to be either warmed up or cooled down by geothermal energy through direct contact with the earth. Blowing the air over the length
The upgrading level represents measures based on the integration of efficient technologies in architectural design. Through the application of advanced technologies, efficiency can be enhanced on district and building level. These measures need to be considered and integrated in the energy supply system of the building and the neighbourhood. The combination of district and building scaled measures creates benefits for the community and the single customer. The suitable measures can be identified in two categories: the integration in the interior arrangement of the building design and the integration of additional design layers [Wehage et al., 2013b]. A strategy for reducing energy demand is characterised by the integration of technologies through the provision and the arrangement of built elements or spaces in the building design. An example of this is the heat recovery system. Advanced architectural design needs to consider air ventilation. Air exchange, with the help of thermal principles, is a regionally-rooted system in vernacular architecture. This is visible in the traditional courtyard houses and wind towers in hot, arid regions. Furthermore, with advanced technologies, great benefits in the reduction of energy demands are possible. A suitable system, with little technological effort, is the heat exchanger. In combination with a pre-tempered air supply, e.g., through an earth tube collector on a defined urban scale and the distribution in buildings through an air-channel, the heat exchanger recovers the heated air for the pre-tempering of fresh air from outside. The pre-tempering helps to reduce the energy demand from the cooling and heating supply. The second strategy is the integration of technologies as additive design layers. Shading devices help to regulate solar impact within the building. Especially in hot regions, shading through curtains or the covering of open areas benefits the microclimate. As an element from vernacular architecture, the covering of courtyards through mechanical or textile elements reduces direct solar impact and creates a tempered semi-open space. In advanced technologies, these elements can be combined with the effect of light guidance (e.g., for naturally-shaded spaces in winter) or energy benefits through high-tech fibres (e.g., photovoltaic fabric). Because of the advanced technological and quality standard, such elements and systems need to be considered with regard to the economic and technological standard in the region and for the specific project.
very warm or very cold outdoor air up to 5 degrees preheated or precooled outside air further preheated supply air through exhaust air via heat exchanger warm exhaust air is withdrawn
Schematic section − pre-tempering of outside air and its distribution in buildings [Wolpert, A.]
Exhaust air that already passed its energy to supply air
centralized fresh air intake for several housing units
13,70 Extraction of exhaust air
centralized fresh air intake for several housing units
Preheated or precooled fresh air
Preheated or precooled fresh air
Preconditioning of supply air though soil temperature over a length of 44 / 53m
Preconditioning of supply air though soil temperature over a length of minimum 52m
solutions for buildings and settlements very warm or very cold outdoor air
tehran Karaj region
support by providing the required parameters such as the U - Value by selecting a pre-defined construction or sometimes even start with typical buildings. It is crucial that the software engineer keeps its designed target group in mind. A decision support tool does not need to offer each and every parameter, as the focus is on the energy saving potential whereas simulation software wants to calculate the effects of all the parameters. The target groups usually have a different knowledge base. Many different tools are available and we describe in chapter 4 the EnerKey Adviser [EKA, 2012] as a good practise solution developed and employed for a developing country, although it could also be applied anywhere else in the world.
with an energy consumption that is 30% lower than a reference building [IBP, 2012]. Awareness
Bringing advanced technologies into the building sector might be fairly easy for new buildings as this is already required for the plan approval process. The existing buildings, nevertheless, already show a great potential for a reduction of the energy consumption as they have been built without any regards to the energy consumption. As more and more new buildings are being built with better standards, it gets even more obvious how big that potential is. It is not possible to enforce energy efficient retrofits in the existing building sector unless it is a major refurbishment where, again, approval from a trained inspector would be required. As there is no legal enforcement possible, other drivers need to kick in. The owner can decide to reduce his energy bill by implementing energy efficient technologies like replacing an old geyser with a heat pump, but some building owners are not aware of options or the need for them until they are incentivised, like with a financial subsidy. It is conceivable that a bank gives either a subsidy or a loan with a low interest rate if certain targets regarding the energy consumption of a building are met. The German Development Bank, KfW, has a success story offering such loans if one proves that its building energy
It is crucial that awareness is present in the public opinion that energy efficiency and energy consumption is an important issue. The national strategy on energy efficiency [DoE, 2012] cannot be successful unless people see a need for it. This must be supported with awareness campaigns to show why it is so important to reduce the energy demand. A very interesting instrument to show the significance of energy consumption in the built environment is energy performance certificates (EPC). They show a kind of labelling for the energy performance of a building. This labelling is known from white or brown goods - where every fridge and TV lists information on the energy consumption. The fuel consumption is an important factor when one is buying a car, but hardly anyone knows about the energy consumption of buildings. It is also not common that the consumption of a building can be rated in terms of a rather high or fairly low consumption. The European Union expected that energy performance certificates will have a major impact by increasing the awareness of building owners and users of the energy performance of their buildings It will probably play a key role in activating the improvement of existing buildings, which is a major challenge in reducing building CO2 emissions. Throughout the EU it is the law that Energy Performance Certificates have to be made available when buildings are sold or rented, thereby giving building owners the incentive to ensure that the building doesnâ€™t consume excessive amounts of energy as this would need to be reflected in the selling or rental price. In public buildings they have Fig. 4 The EnerKey Performance Certificate to be displayed in a clearly visible place. In for the Civic Centre of the City of Johannesburg, France, for example, 2 million certificates are South Africa [authors] issued every year. There is also a big potential for job creation. With the upcoming renewal of the European Directive on Energy Efficiency in Buildings [EU, 2012] the energy consumption of buildings must be stated even in advertisements for renting or selling houses. The need for energy performance certificates is also stated in the Gauteng Integrated Energy Strategy [DoE, 2010] and an assistance to create the EPC is incorporated in the EnerKey Advisor Tool. The EnerKey performance certificate, which was developed in the EnerKey project, is shown in Figure 4 â€˘. The depicted EPC, which is the first certificate issued in whole Africa, was handed over in March 2010 to officials from the City of Johannesburg [BuildUp, 2010]. The Certificate was created with the EnerKey Adviser [EKA, 2012].
solutions for buildings and settlements
Training The whole topic of energy efficiency in buildings is still relatively new in South Africa. Training is required on all levels, including architects, building owners, facility managers, politicians, local authorities and building control officers to mention a few. Building control officers ought to check compliance with the legal requirements. Architects need to know all options to fulfil the building standards. The options on energy efficiency in buildings are not only of a technical character, a lot of them are design issues employing passive solar design or north facing orientation. It helps to argue for those passive interventions if the benefits can be shown as numbers in terms of reduced energy consumption or maintenance cost savings. It is clear that there is already a great need for energy efficient buildings. When energy prices continue to increase, the need to reduce the maintenance costs for buildings also occurs for existing buildings. The energy balancing tools can be also used for existing buildings. The job creation potential for assessing the retrofitting possibilities of existing buildings with innovative measures is a great market. This also requires trained people. The assessment for a simple residential building does not require an engineer and it is sufficient to have a basic understanding of energy and some training regarding energy efficiency in buildings. A training course tailored for facility managers has been developed within the EnerKey project [WĂśssner et al. 2013]. Incentives
consumption is either 75%, 55% or 40% of the legally required energy consumption [KFW, 2013]. The national housing bank of India also gives loans at low interest rates for buildings
D. Mothusi Guy, Harold J. Annegarn, Ludger Eltrop
to the national electricity grid where this was available and this, only after 80% of homes in a development were completed and occupied. In some instances, this left early occupiers with no grid connected or mains power for up to four years. This created an enabling environment for informal, unsafe and in some cases illegal energy systems and usage patterns. To meet the basic energy needs of the poorest fifth of the population, in compliance with the political commitment to “a better life for all”, the government initiated a free basic electricity (FBE) scheme to provide a minimum quantity of energy per month to each household. Administered through local government, this subsidy comprised the provision, free of charge, of 50 kWh of electrical energy per month. Residents had to pay for any consumption over this limit. No, or only limited, municipal provision was made for the later Free Basic Alternative Energy (FBAE) Policy, intended for disconnected rural areas, dwellings not yet connected to the grid, and for occupants of informal settlements. The community awareness information made available to inform off-grid residents as to how to obtain optimal benefit from this small amount of subsidised energy was not very effective. Although these various policies led to programmes that were well intentioned and addressed the need for basic shelter, they failed to achieve the larger goal of ‘sustainable human settlements’. In parallel to these developments, South Africa had become active in the ‘developing global climate change’ negotiations. At the UNFCCC Conference of the Parties (COP 15) meeting in Copenhagen in 2009, President Zuma pledged that South Africa would reduce greenhouse gas emissions by 34% by the year 2020, incremented to a 42% reduction by 2025 [Presidency, 2009]. In May 2010, the President launched a National Green Economic Strategy [Presidency, 2010]. Despite public commitment, by 2013 these policies had not yet been translated into implementation plans to build passive energy efficiency features into the subsidised housing programme.
Solar Energy, Empowerment, and Sustainable Housing: A South African Case Study Introduction Social housing in South Africa post-1994 In common with many developing countries, South Africa faces the challenge of providing adequate shelter for a burgeoning urban population expanding in part from a migrating rural population of young high school matriculation graduates who reject the limited opportunities in the rural areas. This situation has been exacerbated since the collapse of the apartheid regime, which for decades controlled the migration of indigenous rural dwellers to urban areas through a set of discriminatory laws, with draconian police enforcement. The political transformation to a democratically-elected government in 1994 was accompanied by extensive migration from South Africa’s rural hinterland into urban centres, as well as an influx of documented and undocumented migrants seeking economic advancement or fleeing political instability elsewhere in Africa. In response to this challenge, the new democratic government under the ANC (African National Congress) commenced a vigorous programme of social housing. The Reconstruction and Development Programme (RDP), for example, promised to provide land and a simple masonry house to families that earn a household monthly income of below 5,000 South African Rand (ZAR), (€ 500) per month. Initially, the houses were built to a specification of 25 m2 floor area, which was incremented in stages up to an area of 44 m2 in 2010. By 2010, “Of the 2.8 million houses delivered by the government since 1994, only 17,000 have used alternative technologies.” [CASE, 2011]. In terms of the sheer number of houses, this programme is one of the most successful social housing projects globally. Nevertheless, by 2011 a backlog for families needing houses remained, with 13.6% of the population living in informal, makeshift houses [STATS SA, 2012]. Numerous historically excluded communities have been on waiting lists for housing for over a decade. Amenities, such as clinics, schools, community centres, and libraries were not included in the primary development plans – such facilities were left to the relevant governmental departments, such as Health and Education, to provide at a later stage. Sub-standard construction in the social housing sector is unfortunately common, leading to early structural failures of the dwelling. As the subsidy quantum (adjusted for inflation at intervals) allows for only a small profit-margin per unit, there is limited flexibility to provide additional features to the basic design, such as passive energy features. In some instances, the government’s self-help peoples housing process (PHP) for example allows prospective owners to contribute to funding for additional features of their choice. In general, houses contained the minimum features: indoor sanitation, cold running water and a kitchen sink, with a connection
solutions for buildings and settlements
Concepts for sustainable human settlements Against this backdrop, an alliance of non-governmental organisations, private companies, and academics undertook to develop and implement a participatory human settlement design and developmental concept. The aim was to demonstrate the viability of sustainability features in a housing and human settlement programme that addressed the needs of the informal migrant population and the local poor. This included live-in domestic workers who were not part of the migrant community but were also waiting for housing. Numerous small-scale pilot projects, undertaken in the preceding decade, have demonstrated that safer and healthier passive-energy features, water savings and energy-efficiency interventions can be incorporated successfully in low-cost housing. For example, the Wits Eco-village on the University of the Witwatersrand campus was demonstrated at the 2002 Johannesburg World Summit on Sustainable Development (WSSD). Nevertheless, it was understood that the complexities of running a project of a few thousand dwellings would create different challenges from building a small cluster of prototypical dwellings. Through a series of earlier projects, for example in the mining town, Kimberley, PEER Africa had worked with community partners Kutlwanong Civic Integrated Housing Trust (KCIHT) to co-construct guiding principles and best-practice methods for community-built sustainable human settlements (Abrons, 1997). Based on human dignity and respectful social engagement with intended beneficiaries, and incorporating features of sustainability, energy efficiency, water saving, environmental and household energy safety awareness, and
performance of a building, nevertheless, buildings should not be considered in isolation, neglecting their configurative contexts at the urban scale [Adolphe, 2009/ Ratti et al., 2005]. Furthermore, even though, improvements in the energy efficiency of buildings can be achieved in the short term by embedding more efficient modern building equipment, in the longer term, it becomes important to achieve “more efficient overall configurations for urban areas.” [Rickaby, 1987] The deviation of urban geometry on building energy consumption is only 10%, which is small in comparison to system efficiency or occupant behaviour, however it does have “a tremendous impact” on the overall energy-use of cities [Ratti et al., 2005]. Due to these facts, studies on the energy performance of urban patterns—in macro or micro levels— should be considered as crucial parts in any urban project or research project which aims at gaining energy efficiency—what implicates the importance of this research in the related Megacities projects. Thus, there is an essential need for more detailed analysis of the possibility of decreasing energy-use in the building sector by careful design and planning on an urban scale in the context of Iranian cities. To this end, basic studies are required to support further planning strategies. The following study is a contribution towards this goal. The research attempts to identify the formal urban prototypes that can act more efficiently in relation to the building energy consumption with a focus on direct impact of solar gain.
ence of studying the form of a city and it can be applied ‘as a means of identifying exemplars, types or elements of urban form’ which could be used as units of research or design [Marshall and Çalişkan, 2011/ Larkham, 2005/ Whitehand, 2005/ Kropf, 2005/ Urban Morphology Research Group, 1990]. By referring to this discipline, a distinct number of ‘character areas’ will be identified that can illustrate the urban form of Hashtgerd New Town representatively. Thereafter, in the second phase the identified character areas are assessed by applying energy consumption-measuring software. The following section gives the detailed description of these steps and the results of the simulations.
Identifying ‘character areas’ In the discipline of urban morphology, the arrangement of a building within its open space on a site is determined as the smallest cell of the urban form. By reducing the resolution, the definition of the urban cell changes and fits to the micro-urban scale. At this scale, the distinct combinations of the patterns of the streets, plots and buildings are shaped in a process of time that constitute urban grains, called plan units or urban tissues, which, as physical entities, form the basis of morphological analyses and cells of the city (Kropf, 2011/ Moudon, 1986]. In plan units or urban tissues the groups of buildings, open spaces, sites, and streets “form a cohesive whole either because they were all built at the same time or within the same constraints, or because they underwent a common process of transformation.” [Moudon, 1997]. The urban tissue lies at the mid-point in the hierarchy of scale since it is the element that is combined to form the larger scale structure of whole settlements and is composed of the smaller scale elements such as buildings [Kropf, 2011]. Consequently, the urban form at the micro-urban scale should be observed as the patchwork of different types of urban tissues, each of which behaves differently with regard to building energy consumption. Some of these typologies share common volumetric characteristics, thus they can be grouped in distinct categories. This classification helps to reduce the number of combinations of form/performance and simplify the complexity of the study. Each category can be represented by a distinct type of urban tissue as a foundation for the analyses which has been labelled in texts as the ‘character area’ [Kropf, 2011], ‘urban structural unit’ [Osmond, 2010], ‘reference units’, ‘built landscape type’ or ‘urban structure type’ [Banzhaf and Höfer, 2008]. These reference units can be investigated as samples and representatives of a larger number of urban tissues for assessing the environmental performance of different types of urban form at a micro-urban scale. In order to isolate those parameters which allow us to reduce the multiplicity of urban tissues, the existent patterns in Hashtgerd New Town are analysed and the variety of building, street and plot types—already existing in the city or are planned for the future of the city—are categorised. The results [Figure 1, 2 •] show that the street pattern in almost all areas follows a regular, ordered pattern, the plots and the buildings are rectangular, whilst in the volumetrically, the urban form consists of rows of buildings situated besides each other. This has been the conventional modern urban configuration of Iranian cities since the emergence of the ‘40-60% construction regulations’. The different textures seen in modern developments are, in fact, variants of a character area the characteristics of which can be summarised and its pattern-type illustrated in Figure 3 •.
Scope of the study This study focuses on the Iranian city, Hashtgerd New Town (population: approximately 60,000) as its case study. Hashtgerd New Town, located eighty kilometers west of Tehran and twenty-five kilometers east of Karaj, is planned as an overspill city for the fast-emerging megacities of Tehran and Karaj. The city was founded in 1993 after the approval of its development by the High Council of Architecture and Urban Planning of Iran. The concept of its foundation follows one of the strategic solutions to emerging Megacities by governments in countries that face fast population growth [FMER, n.a.; Shirazi, 2013]. Hashtgerd belongs to the climatic zone which overall has cold winters and hot summers [Kasmaee, 2002]. This study focuses on the micro-urban scale. By studying and characterising the relationship between urban form and energy consumption, the issue of ‘scale of observation’ constitutes an underlying dimension of any analysis and efficiency-improvement, since at every scale a number of specific elements and relationships are highlighted [Dempsey et al., 2010/ Adolphe, 2009]. The micro-urban scale is an intermediate scale between building and macro-urban scales where the urban form is considered as an ensemble of buildings and open spaces, “The building and its close environment” [Adolphe, 2001a]. Since the micro-urban scale connects the building scale to the urban scale and the context of buildings, it is an important aspect in gaining energy efficiency [Ratti et al., 2005].
Outlining the approach The aim of this study is to identify the local micro-urban geometric prototypes in Hashtgerd New Town which are more energy efficient. In order to analyse and make a comparison between the patterns, some representative samples need to be identified. For identifying the sample patterns, this research applies the discipline of ‘urban morphology’ which is the sci-
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Tehran karaj region
Urban Morphology Research Group (1990). Glossary. Available at http://www.urbanform.org/glossary.html. Accessed in April 2012. Whitehand, JWR. 2005: Urban morphology, urban landscape and fringe belts, Urban Design, Winter, Issue 93, 19-21. Williams, K., Burton, E., Jenks, M. (eds) 2000: Achieving sustainable urban form, E&FN Spon, London. In Farsi Kasmaee, M. 2002: Climate and Architecture, M. Ahmadinejad (ed), Tehran: Nashr Khak. Peykadeh 2008: Baznegarie tarhe jame shahre jadide Hashtgerd, Tehran. Sultanzade, H. 2006: Fazahaye shahri. Tehran: Sazman-i Chap va Intisharat-i Wizarat-i Farhang va Irshad-i Islami. Notes 1 By influencing the microclimate at urban scale, solar gain has an indirect impact on the building energy consumption too. This research focuses only on the direct impact which is related to the buildingsâ€™ direct solar gain. 2 Although thus far only a small part of the Hashtgerd New Town has been built, the designs for future constructions in the city help to create an overview of the overall urban form of the city. 3 In the closest climatic station (Karaj / Payam, IR) celsius-based 2-year-average (2011 to 2012) cooling degree days for a base temperature of 15,5C is 1657 and heating degree days is 1899 (Degreedays, 2013). 4 The local morphological heterogeneity and the complexity of the geometry make the exact characterisation of the link between the urban layout at this scale and building energy consumption controversial (Bonhomme et al. 2011/ Ratti et al., 2005/ Adolphe, 2009/ Adolphe, 2001a/ Adolphe, 2001b).
solutions for buildings and settlements
System Analytical And Integration Approaches
Solar and Other Options to Reduce Greenhouse Gas Emissions: The Reduction Potential in the Residential Sector in Hyderabad, India Introduction This chapter analyses various options of solar energy use and the implementation of other available measures for urban households to reduce the greenhouse gas (GHG) emissions of this sector. For this purpose, the emerging Indian megacity, Hyderabad was selected as this city has large energy-related GHG emissions due to the current mix and prospective expansion plans of power generation. Background Urbanisation is a global phenomenon, describing the trend of rapidly increasing populations in urban areas versus a decline in population in rural areas. The level of urbanisation in developing countries is rather low compared to Europe for example and significant is predicted in the near future. On-going urbanisation in developing countries will confront cities with abundant new challenges, for example insufficient infrastructure development or overburdened traffic systems. Furthermore, the growth in GHG emissions due to the increase of the consumption of energy is an important issue. According to the World Bank , urban areas currently comprise around 50% of global population, but are responsible for around 80% of total energy consumption. At the same time, the International Energy Agency (IEA) states that, in 2006, cities were responsible for as much as 71% of global energy-related CO2 emissions [IEA, 2008b]. In India energy-related emissions are most dominant, with around 58% of overall emissions. Furthermore, in 2007, around 38% of total Indian GHG emissions originated from electricity production, compared with only 28% in 1994 [Figure 1 •] [INCCA, 2010]. Compared with emissions of Indian cities, the energy sector is more significant as it has less heavy industry and agriculture-based emissions. In Indian cities, the domestic sector contributes the most to total energy consumption, and therefore represents the most significant sector in terms of energy use. For instance the domestic electricity consumption share in Hyderabad stands at around 44%, twice as high as the whole of Andhra Pradesh [APDES, 2012].
Electric installations in Hyderabad [Höhne, J.]
ated the annual power consumption of five-star rated, frost-free refrigerators with a capacity of 250 litres at approximately 400 kWh. This translates into approximately 64% lower power consumption rate compared with refrigerators that have a zero-star rating. Nevertheless, measured against western efficiency standards which have the lowest consumption of 132 kWh in the same class, there is still a large savings potential [Ecotopten, 2012]. The Indian five-star rating and the most efficient European model are used as a basis for calculating the GHG emission reduction potential. The average annual consumption of refrigerators in India varies between 705 kWh [World Bank, 2008] and up to 876 kWh [Murthy et al., 2001]. Referring to Tathagat , most refrigerators sold in India have a power consumption of around 100 watts. Hence, regarding the power supply situation in Hyderabad, it is assumed that the average refrigerator consumes about 825 kWh per year. A total substitution of current refrigerators with Indian five-star models leads to annual total power saving of 216,364 MWh and, according to European standards, of 352,801 MWh.
annual runtime in h*
No. per HH*
annual reduction potential in MWh
Bulb » CFL
Bulb » LED
T8 » T8new
T8 » T5
T8 » LED Tube
Cooling Cooling can be achieved by various different technologies: the three most common technologies being fans, (evaporation) coolers, and air conditioning. The simplest way of space cooling is the movement of air with the help of fans. Coolers are appliances that function with the help of evaporation and are very effective and energy-efficient in hot and dry regions. The final cooling technology considered is air-conditioning (A/C). In general, space cooling by fans is the cheapest option with regard to the initial input investment as well as operating and maintenance costs, but is the least effective. In contrast, air-conditioning systems are the most expensive of all three options analysed. The result of the survey has shown that the general public uses fans, while coolers and air-conditioners are less widely used. Since fans are appliances that have negligible power consumption and coolers work very efficiently, they will not be considered in this study. The electricity-saving potential for air-conditioners are based on the efficiency level corresponding to the BEE star rating and the labelling of air-conditioners. The input power of the highest rated air-conditioners is less than 1,677 W and will be compared with a one-star rated device with 2,261 W [BEE, 2010b]. Therefore, the overall saving potential for air-conditioners in households (often households with air-conditioners have more than one device) accounts for 149,376 MWh per year.
In urban regions, lighting represents between 8 and 14% of total power-demand [GoI, 2008]. Most frequently, lighting is provided by electricity, however in developing countries the use of other fuels for lighting is very common.4 During the last few years, significant improvements in design, luminosity, and comfort of efficient lighting equipment has been achieved, which has resulted in the broad availability of energy-efficient lighting solutions to substitute e.g., compact fluorescent lamps (CFL), light emitting diodes (LED), modern fluorescent, or even LED tubes. In addition to a lower power-demand, the new lighting options also have a better lifespan compared to older technologies. The conventional incandescent light bulb has an average operating time of around 1,000 hours and a lighting output performance of between 6 and 18 lumen per watt (lm/W). Most of the input energy is converted into heat rather than light. An alternative option would be CFLs, also known as ‘energy saving lamps’. Current CFLs reach efficiencies of 35 to 80 lm/W
system analytical and integration approaches
and operating times between 5,000 and 25,000 hours per lamp, whereas the initial input costs are higher. Another option is LEDs that have now been introduced into the market for domestic use and are characterised with 35 to 80 lm/W and lifespans over 25,000 hours [Osram, 2009, IEA, 2006]. Furthermore, modern fluorescent tube lamps have a lighting output performance of around 95 lm/W (T5 models with typical ballast) and a lifespan of about 20,000 hours [IEA, 2006]. Although these tubes are more efficient, they are not dimmable and are larger (between 600 up to 2,400 mm length) thus hindering a complete substitution of bulbs. The household survey reveals a wide range of the use of bulbs from so-called, ‘zero-watt’ up to 100 W bulbs. To calculate the power-saving amount, an average 60 W bulb is assumed, as they were recorded most frequently in the survey. In terms of the defined assumptions and the obtained data, total electricity savings accounts for between 20,401 MWh and 198,704 MWh per annum [Table 4 •].
* data from household survey
Stand-by Power saving in households can be achieved by reducing the stand-by losses of existing appliances. Raj et al.  identified a stand-by power saving potential in Indian households for different domestic appliances of between 15 and 50%. The World Bank  estimates that the stand-by power consumption is approximately 4% of total residential electricity use for India. To meet these savings, there is a technical option available, which implies power reduction due to more efficient appliances. Another option would be to raise the awareness of consumers and teach them about the stand-by power consumption of their appliances. From 2010 to 2011, the total annual residential power demand in Hyderabad accounted for 3,000 GWh [APDES, 2012]. With regard to the above-mentioned 4% stand-by power consumption, an overall annual power-saving potential of around 120,000 MWh is estimated. The arising costs are difficult to determine. The cheapest option would be to always pull the plug out after using appliances with stand-by functions, whereas new appliances with less standby demand or even the renunciation of stand-by power-use would be the expensive option. Within this study, the use of two power strips, including an ‘on-off’ switch is proposed, as it is easier to cut the stand-by consumption of the appliances jointly.
Comparison of different lighting opportunities and their emission reduction potential
The assessment of the energy generation potential
The waste oil potential was calculated at approximately 175,000 t per year, which is a 70% share of the 250,000 t of total vegetable oil sales in Gauteng [Snyman, 2011; FAOSTATT, 2012]. The energy potential and share of hydropower was estimated at 163 MW for Gauteng, although the ‘baseline study: hydropower in South Africa’ calculated an estimated potential of additional 5.1 GW in the shorter term and about 7.1 GW in the longer term [Barta, 2002; Holm et al., 2008]. Currently about 670 MW of hydro capacity are installed in the whole of South Africa [Platts, 2008]. However, in a more recent study, hydropower was estimated as having a clearly lower capacity of only 163 MW [Karanitsch, 2011], which was then taken as a conservative estimate for Gauteng. Table 4 • summarises the investigated technologies and the assumptions made to calculate their energy generation potential for Gauteng. In order to compare these technological options in one, single figure, it has to be guaranteed that the technologies do not compete against each other for the potentials and can be plotted as cumulated values. For the present calculation, this has become apparent when looking at the solar potential on the roof area, which is limited to the area. SWH and PV systems can be installed on the same roof area, thus it has to be decided how much space is to be reserved for the SWHs or for PV. This is achieved according to their characteristic abatement costs. The corresponding rooftop area is then used for the other technology. All other technologies do not compete against each other in terms of their potential.
The reduction of GHG emissions by solar energy generation technologies can be achieved by a wide variety of technologies in different energy sectors. In order to evaluate the role of different technologies within the energy system, it is important to know the potential capacity or potential amount of energy that can be generated. Different methods to calculate the energy potentials exist, i.e., the ‘theoretical’, ‘technical’, ‘economic’ or ‘viable’ energy potential [Voss, 2012]. In the present study only the ‘viable’ potential, taking into account the technical potential and political and social (acceptability) restrictions, has been considered. Assessment of the viable energy generation potential for Gauteng Energy generation technologies can be deployed both inside and beyond the borders of Gauteng. Especially for large-scale electricity generation from renewables, the location of the power plants is more likely to be outside Gauteng. Moreover, most of the suitable agricultural land to grow energy crops for fuel production is found outside Gauteng. Large electricity generating CSP or PV power plants have better solar radiation conditions outside of Gauteng, e.g., in the Northern Cape region. Furthermore, the highest wind speed for wind energy is to be found along the coastlines of South Africa. Therefore, for the potential assessment in our study, assumptions of the ‘energy revolution’ scenario for South Africa for 2040 [EREC, 2009] were taken into account. The potential for wind power plants, PV (open space) and CSP plants for South Africa was found to be 19 GW, 18 GW, and 17 GW respectively [EREC, 2009]. To estimate the shares of each technology attributable to Gauteng, the ratio of electricity consumption of Gauteng compared to the total consumption of South Africa was used, i.e., 29.8% in 2007 [Tomaschek et al., 2012a]. In the case of PV installations on the rooftops of households, the total roof area available in Gauteng, excluding preferred share for SWH installations, was calculated. This results in a total potential of 21 km2 of rooftop area, or 10.5 PJ per year of electricity that can be generated [Telsnig et al., 2012]. For SWHs and CFLs the potential was estimated as the potential market uptake. As the investment payback time of SWHs compared to electric geysers are between three and five years [Özdemir et al., 2012] and are thus economically viable, they are expected to be installed by almost all mid to high-income households in the near future. Similarly, CFLs have a short payback period compared to incandescent lights and almost all mid to high-income households are expected to change to CFLs. As sugarcane and rapeseed cannot be cultivated in Gauteng [Jewitt et al., 2009], biofuels are expected to be produced outside the province. The ratio of fuel consumption in Gauteng compared to the total consumption of South Africa is used in order to calculate the viable potential for Gauteng. It is assumed that a maximum of 20% (4.9 million hectares) of the available agricultural land in South Africa is used to produce energy crops. In order to generate electricity from waste to energy technologies, the available amount of waste is the limiting factor in calculating the potential. For Gauteng, 1.2 PJ of (raw) gas from landfill sites and 1.3 PJ of (raw) gas from sewage plants were calculated [Schon, 2012]. It should be mentioned that upgraded landfill and sewage gas can also be fed into a gas grid or can be used directly as fuel for transportation.
system analytical and integration approaches
Assessment of costs and emissions of the reference technologies New measures and implemented technologies need to be compared with the aid of a reference case. For this purpose, the technologies currently in use were assessed and their parameters were calculated for the situation at the time of the study i.e., in 2007 and at a future date (2040). Water heating electric geysers in the residential sector were taken as the reference. The cost of an electric geyser for mid-income households was calculated at 6,813 ZAR2010 per year and for high-income households at 9,335 ZAR2010 per year. The indirect GHG emissions considered arise from the electricity use and account for 8,081 kgCO2eq per year for mid- income and 11,271 kgCO2eq per year for high-income households. In 2040, costs are estimated to rise to 11,944 ZAR2010 and 16,490 ZAR2010 per year, and GHG emissions to decrease to 10,932 kgCO2eq and 11,271 kgCO2eq per year. The latter change is due to the likely change in GHG emissions from the South African electricity mix [Özdemir et al., 2012]. For CFLs, the reference technology is an incandescent light bulb. The average costs for mid- income households, using 11 bulbs, are estimated to be 507 ZAR2010 per year and for high- income households, using 42 bulbs, at 1,935 ZAR2010 per year. In 2040, costs are likely to rise to 937 ZAR2010 (mid-income groups) and 3,578 ZAR2010 per year for high-income groups. The GHG emissions for mid-income households were calculated as being 632 kgCO2eq per year and for high-income households to be 2,413 kgCO2eq per year. The emission reduction through CFLs is mainly due to the replacement of electricity from the grid. In 2040, the GHG emissions are calculated to decrease because of the changed South African electricity mix to 613 kgCO2eq and 2,340 kgCO2eq per household and year. For electricity-generating technologies, the actual and future South African electricity mix was determined as a reference. Due to the high share of coal-fired power plants, the
Model of the acetylene gas flow (an important intermediate in the PVC production) at the ZhongTai Midong plant using the software tool Umberto® [authors]
Tab. 10 Change of the main production indicators to achieve the clean production targets for ZhongTai’s Midong factory Parameter
months with similar production levels. The data allow a detailed analysis resulting in the identification of specific electricity-use patterns and options to improve processes. Figure 9 • illustrates the flow of acetylene gas at the plant. Losses mainly occur in the acetylene generator step-up machine and in the washing tower. Despite the fact that there is existing reuse of recovered acetylene from vinyl chloride monomer (VCM) reactors, the analysis revealed that about 4% of the production was lost in the acetylene generator. The suggested optimisation reduces the losses and costs and increases the overall energy efficiency of the process.
Mg/Mg of PVC
Fresh water consumption
m³/Mg of PVC
m³/Mg of PVC
Tab. 11 Random selection from a total of 68 recommended measures to improve energy and resource efficiency at ZhongTai’s Midong plant
Together with partners from the Xinjiang Academy of Environmental Protection Science (XJAEPS) and the Heidelberg-based Institute for Eco-Industrial Analyses (IUWA), IFEU scientists carried out a clean production evaluation for Zhong Tai’s factory in Midong, the Huatai Industrial Park of Xinjiang Zhong Tai Chemical Company. The audit took place between November 2010 and May 2011 and focused on the PVC resins production-line between 2008 and 2010. The site evaluation took approximately one month to complete. The evaluation team conducted a series of investigations of production-lines and assessed the complete production process and the associated pollution by means of investigation, informal meetings, inquiries, interviews, and analysis of written reports. The group collected comprehensive data for the production between 2008 and 2010, analysed the data, and then conducted the audit of the operation. Table 10 • provides a comparison of the main production indicators of ZhongTai’s process before, and after, implementation of the audit recommendations. Carbide and fresh water consumption per unit of product decreased. Specific carbide consumption per tonne of PVC decreased from 1,507 to 1,421 tonnes PVC in 2008 to 1,421 in 2010, or by 5.7%. Water consumption decreased from 10.9 to 9.9 tonnes per tonne of PVC, the equivalent of 8.8%.
system analytical and integration approaches
By means of the audit and the sustainable clean production plan, the company has achieved significant results in energy savings, reduction of production costs, economic-efficiency improvement and a substantial boost in entrepreneurial competitiveness. Previously established targets of clean production have been met to a large degree. As a result, a total of 68 improvements were identified, most of which were implemented [Table 11 •]. For example, acetylene losses were reduced and stricter temperature control was implemented. These interventions reduced the need for cooling or steam in many specific locations. The research collaboration provided detailed insights into the decision-making process on both a technical and financial level. Many improvements were implemented during the year of the audit; other investments require more time and will have a long-term pay-off. The adopted plans have generated an annual economic benefit of about 71 million RMB (8.6 million €). The annual savings are as follows: 52,000 t of steam, 7,700 t of coal, 11.5 TWh of electricity, 0.43 million m³ of water; 1.7 million m³ of VCM-emissions, 2.4 million m³ of acetylene emissions, 20 t of SO2, 460 t of particulate matter emissions; 810,000 m³ of waste-
Implementing the results in cleaner production audits
Strict control of cooling tower fan, and circulating water temperature during production
Electricity savings of ~1,400 kWh/a, overall savings of 525 RMB/a (63 €/a)
Acetylene condensing water reuse system: dissolved acetylene gas is recovered, discharge in wastewater reduced
~1.2 million (140,000 €)
Save water, reduce wastewater discharges, reduce acetylene gas emissions, overall savings of 130,000 RMB/a (16.000 €/a)
Hot water heat exchanger to complete the single tail-cold ice, change vinyl chloride gas condensing water into liquid
~40.000 RMB (4.800 €)
Reduce cooling needs, savings of 190,000 RMB/a (23.000 €/a)
No further use of water as a cooling medium in winter by circulating water in place of lithium bromide unit to ensure production
~40.000 RMB (4.800 €)
Reduce steam and electricity consumption, savings of 1.3 million RMB/a (150.000 €/a)
Using advanced flow boiling drying instead of the original cyclone drying technology
~20 million (2.4 million €)
Save steam and thus raw coal use (2,700 t/a), savings of SO2 emissions of 8.7 t/a, savings of 680,000 RMB/a (82,000 €/a)
In the LRS scenario, fossil FT fuels, which are used in the IPO scenario, are replaced with ethanol from sugarcane and sugar beet, and BTL from solid biomass. Additionally, crude oil products replace FT fuels. Ethanol from sugar beet in Gauteng provides about 6 PJ of fuel consumption whilst ethanol from sugarcane in South Africa provides about 29 PJ. BTL fuels add up to 35 PJ in 2040 in the LRS scenario. Increasing energy efficiency due to the application of hybrid vehicles for buses and trucks will reduce FEC by 18 PJ (3.5%) by 2040.
Tab. 10 Use and application of solar potential in the IPO and LRS scenario in 2040 Scenario
Conclusion This holistic energy system modelling approach has shown how to make the best use of available resources to ensure a cost-efficient, sustainable development of the energy system in a dynamic, emerging megacity. With a final energy consumption of 312.6 PJ in 2040 in the LRS scenario, solar-based technologies will contribute a share of 23.7% in the total final energy consumption. However, additional mitigation measures have to be applied which are not part of this analysis, e.g., energy savings can optimise the use of solar energy in the end-use sectors, e.g., higher vehicle efficiency, improved electric motors in industry or efficient water heaters in the residential or commercial sector and non-solar electricity provision, like coal CCS, will assist in complying with the defined GHG emission targets. Table 10 • summarises the solar energy use and application in Gauteng and in the rest of South Africa (applicable for Gauteng) in the LRS scenario in 2040. All potential considered for solar energy use are used entirely in the LRS scenario with the exception of the solar potential for SWHs in higher income households. Gauteng has abundant solar potential with ample opportunities to employ it across all sectors and the political will is in place to help guide its implementation. In order to become a truly solar province however, Gauteng should promote the application of solar technologies in all sectors, for example, the use of solar for cooling and heating processes in the industrial and the commercial sector. Reducing restrictions for importing solar electricity or increasing the available land for power plants on open spaces or energy crop cultivation will also result in additional possibilities for solar energy use.
Rest SA (utilisable for Gauteng)
Use in LRS [%]
Use in LRS [%]
136 a) 16.3
Roof Areas Residential (PV)
2.2 mio 20.4
Roof Areas Industry, Commerce (PV)
Sunflower (Gauteng), Sugarcane (RSA)
Solid Biomass (Wood)
Demand sectors (Gauteng), BTL (RSA)
Organic Biomass (Waste)
Waste cooking oil
a) it is assumed that 16.3 PJ of renewable energy from CSP, PV and wind can be imported into Gauteng. Land area is thus not seen as a limiting factor
References Eskom (2011): Eskom Factor Report 2011 http://www.eskomfactor.co.za/eskom-factor-environmental.php. 19.11.2012 EREC (2010): “European Renewable Energy Council (EREC): Energy [r]evolution”. In: A sustainable world energy outlook. Report 3rd edition,2010 IBP (2009): Status of work for Module 3 of EnerKey project. Research report. [pdf] IBP. http://www.enerkey.info/ images/stories/downloads/M3-EnerKey_StatusSeminar.pdf, 09. 2011 Jewitt, G.P.W/ Wen, H.W./ Kunz, R.P./ van Rooyen, A.M. (2009): “Scoping study on water use of crops/trees for biofuels in South Africa”. In: Report to the Water Research Commission, WRC Report No. 1772/1/09, University of KZN, Durban Kalogirou, S.A. (2009): Solar Energy Engineering: Processes and Systems. Academic Press, 2009 Meyer, J.P./ Tshimankinda, M. (1997): “Domestic hot-water consumption in South African houses for developed and developing communities”. In: International journal of energy research. Vol. 21, pp. 667−73. Naik, S.N./ Goud, V./ Rout, P., et al. (2010): “Production of first and second generation biofuels: A comprehensive review”. In: Renewable and Sustainable Energy Reviews 14..pp. 578–97, 2010
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concept that focuses on the economic and social empowerment of the poor and the low-income population in rural and peri-urban areas [Ndzana et al., 2008]. Empowerment, in the framework of the ASH-Code, follows a definition provided by Friedmann , to emphasise and support the socio-economic autonomy of individuals and communities for “(…) decision-making, local self-reliance, direct democracy and social learning.” [Friedmann, 1992]. In the South African context, this definition corresponds to the Black Economic Empowerment (BEE) movement. With the help of a variety of programmes and policies, introduced by the African National Congress since 1994, the BEE movement aims to overcome the socio-economic exclusion of the black population and other ethnic groups during Apartheid by providing support to fully and equally participate in economic and political activities [DTI, 2003]. Empowerment measures under the BEE programmes and legislations include access to cooperate ownership and control, the support of small- and medium-sized black-run companies and financial support for entrepreneurs, particularly women. Moreover, the BEE is located within the South African Reconstruction and Development Programme and is linked to the country’s settlement and housing policies [FDA, 1999]. The ASH-Code incorporates social empowerment strategies like education through stable access to electricity or improved health conditions through less harmful emissions and high sanitary standards [Ndzana et al. 2008]. Economic empowerment strategies include income generating options through the use of energy surpluses and side products. Figure 1 • shows a basic house concept which outlines the ASH-Code components and their empowerment goals more specifically.
example of income generation as an empowerment strategy, with the help of photovoltaic (PV) electricity. Even though photovoltaic systems have been used in rural and peri-urban electrification projects in developing countries for over 30 years, only little research has been done on their potential for income generation [Rolland, 2011, Sykes, 2009]. Opportunities presented in this paper include the use of excess electricity as a retail product, as a tool to enhance agricultural activities and as support for other commercial services such as media access or food storage [Hofstaetter, 2012].
Objective The paper aims to illustrate the possibility of renewable energy technologies to trigger social and economic empowerment. It focuses on the example of income generation with the help of PV-systems. The first part of the paper approaches the topic on a theoretical basis using the framework of a low-cost residential housing model based on the ASH-Code and outlining how and in which phases (planning, implementation, consolidation) PV-systems can economically support and empower private residents. Further, the application of the system is described upon the implementation example of a “community house” in Ilitha, a township in the Eastern Cape. Even though different from the ASH-Code’s residential focus, the case study highlights the empowerment potentials and constraints of the house in the different phases of its implementation. Finally, the theoretical discussions and case study results help to draw a conclusion about the transferability of the ASH-Code and its PV-empowerment strategies to peri-urban areas in different megacity regions in the world.
SHS: economic empowerment through business creation and access to investment There are different possibilities to generate income through solar electrification. Solar electricity can be used to power electric devices such as water pumps, coolers, radios, computers, phones or televisions that often form the basic equipment for small business activities such as vending activities for food, beverages or information and media services that can be sold (Rolland, 2011). The opportunity to store excess electricity in batteries can be used to provide charging services for mobile phones and portable in-house battery boxes [Hofstaetter, 2012]. These batteries are able to supply a household with enough energy to run basic electrical applications such as lights or mobile phones throughout the day. Also, solar electricity can support agricultural production, e.g. through the use of solar pumps for improved irrigation [Hofstaetter, 2012]. However, income generation activities on the basis of PV systems are only possible once a PV system is available. Since the ASH-Code addresses people with an income that classifies them as poor3 they often cannot afford to invest into a SHS. Business approaches that link income generation with access to investment could provide a solution to this problem. Figure 2 • illustrates two energy services based business models that build up on micro financing concepts. The One-Hand Business Model applies the Dealer Credit Model introduced by the Grameen Bank in Bangladesh in 1983 in which a micro financing institution (MFI) promotes a renewable energy solution together with its loans. The Two-Hand Business Model integrates a long-term partnership between at least two actors: the MFI and the energy supplier (e.g. a small business) who runs the system [Rolland, 2011]. A practical application of the Two-Hand Business Model is provided by the organization “KAITO”. KAITO offers grid-independent PV systems for private owners based on the develop-
The study uses a theoretical framework and an applied case study to highlight the empowerment potential of a grid-independent PV-installation on an individual house level. These so-called Solar Home Systems (SHS) are stand-alone PV systems that consist of one or more PV-panels, storage devices such as batteries, and basic electric appliances [Rolland, 2011]. SHS can either be installed as direct current (DC) systems with lower energy capacities or alternating current (AC) systems with higher energy capacities. An AC system is considered for both the theoretical basic house concept and the implemented community house in Ilitha. Represented business calculations and data on energy demand, system capacities and prices derive from literature research, market consultations, field studies and publications of the EnerKey consortium between 2008 and 2012. Most prices are in South African Rand and reflected in real terms. Also, interviews, workshops and personal consultations with local groups in Ilitha in 2010 and 2012 and with other relevant stakeholders serve as sources for data provision and discussion. Conceptual framework: the ASH-Code and its focus on empowerment The ASH-Code describes a planning and evaluation tool for economic, social and environmentally sustainable settlements in areas that have difficulties accessing energy and clean water resources. The code provides a technical concept for energy-efficient construction materials and interventions, including renewable energy applications like grid-independent SHS. These technical components are complemented and interlinked with a social development
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Documents/06_Publications/Position_papers/ARE_TECHNOLOGICAL_PUBLICATION.pdf, 18/01/13 Stelzer, B. (2012): Sustainable Low-Cost Housing and People Empowerment. Presentation at the workshop: Strengthening Empowerment to Make Energy Efficiency Solutions Successful. Johannesburg, October 2012. http://www. inep-international.de/en/downloads/INEP-Presentation-Workshop20121009.pdf, 08/02/13 Solsquare Solutions (2012): Quotation. SHS for Ilitha. Centurion. Sykes, J. (2009): Energy Efficiency in the Low Income Homes in South Africa. Climate Strategies, September 2009. http://www.eprg.group.cam.ac.uk/wp-content/uploads/2009/09/isda_south-africa-low-income-housing-study_ september-2009-report.pdf, 08/02/13 Tutiempo 2012: Climate East London from 1973 to 2012. Data reported by the weather station: 688580 (FAEL). http:// www.tutiempo.net/en/Climate/East_London/688580.htm, 20/12/12 Hector et al. (2009): Hector, S./ Knoll, M./ Wehnert, T.: Technical Report-Income Group Baseline. Institute for Future Studies and Technology Assessment (IZT), November 2009. http://www.enerkey.info/images/stories/intern/ module2/IZT_Technical%20Report%20Income%20Group%20Baseline_Nov09.pdf, 20/01/13 Winkler et al. (2002): Winkler, H./ Spalding-Fecher, R./ Tyani, L./ Matibe, K.: “Cost–benefit analysis of energy efficiency in urban low-cost housing”, in: Development Southern Africa Volume 19/5, pp. 593–614
Projects in Brief
On the following pages all nine participating cities of the research programme on Future Megacities are presented. Details are collected about the context and challenges for the projects, their objectives and approaches. A short overview of the most important outcomes and solutions is provided. More information on these solutions can be found at www.future-megacities.org.
Notes 1 The Application of the National Building Regulations Part X: Environmental sustainability Part XA: Energy usage in buildings was introduced in August 2011. 2 South African National Building Standard Energy efficiency and Energy Use in the Built Environment represent energy efficiency guidelines for new constructions, first drafted in 2008. 3 According to an income definition undertaken by Hector et al. (2009), households with an annual income of 9600 Rand and less are considered as “poor” in South Africa (Hector et al., 2009).
Hyderabad • Addis Ababa • Lima • Gauteng •
Featured in this volume: Energy and Climate Protection in Gauteng (South Africa) Solid Waste Management in Addis Ababa (Ethiopia) New Town Development in Tehran-Karaj Region (Iran) Resource Efficiency in Urumqi (China) Governance for Sustainability in Hyderabad (India) Featured in upcoming volumes: Urban Agriculture in Casablanca (Morocco) Transportation Management in Hefei (China) Adaptation Planning in Ho Chi Minh City (Vietnam) Water Management in Lima (Peru)
system analytical and integration approaches
• Hefei • Ho Chi Minh City
Solid Waste Management in Addis Ababa (Ethiopia) Context
Addis Ababa is one of the fastest growing cities in Africa and also the main commercial, financial, industrial, and service-provision centre in Ethiopia. The city is presently facing a plethora of problems, including an insufficient solid and liquid waste management. While an ever-increasing volume of waste is generated, the effectiveness of the solid waste collection and disposal systems is declining. In Addis Ababa, around 80% of the solid waste produced is collected. The remaining waste is dumped on open spaces or drains. The city has separate systems available that handle solid wastes. The formal system managed by the city administration collects the waste from collection points and transfers it to the landfill site (secondary collection). The second system assembles groups of organised pre-collectors who collect the waste from households and bring it to the collection points (primary collection). The collection of recyclables is performed by so-called ‘korales’, who collect only a small percentage of recyclables directly from the households. Both the pre-collectors and the korales are physically, socially and economically disadvantaged waste workers, whose work compensates for the lack of municipal services. Up to now, the recycling sector in Addis Ababa, particularly for organic waste, remains undeveloped. This means that organic waste, which makes up more than 60% of the municipal solid waste, is simply collected and dumped in the landfill. The landfill gas generated by the organic waste is not collected either, thus contributing significantly to the greenhouse gas emissions of the city.
The general objective of the IGNIS project is to demonstrate that waste, if it is understood and treated as a resource, can be a source for income-generation and can contribute to global
Projects in Brief
climate-protection, as well as to local environmental protection and sustainable development. Hence, the project aims to generate income from valorising municipal solid waste through establishing qualified, economically-workable, and sustainable waste treatment. Furthermore, the project seeks to contribute directly to poverty reduction and improved sanitation and, moreover, to reducing greenhouse gases from dumpsites, conserving raw materials, as well as improving energy and resource efficiency. In this context, the project aims to provide an instrument that includes methods, practical approaches, and simulation tools to be applied to other emerging megacities as well, in order to assess the effects when introducing similar waste management and treatment methods.
The approach comprises different strategies that correlate with one another. An essential aspect of the project’s approach is the generation of a reliable spatial, waste, and emission data base for the scientific work and the calculations of various scenarios. Additionally, pilot projects have been implemented and will be developed further. The majority of these pilot projects are small-scale projects on a decentralised level (e.g., composting, anaerobic digestion, recycling). These pilot projects are analysed with a focus on technical, greenhouse gas, and emission-related, socio-economic, and occupational safety and health (OSH) related aspects. Furthermore, the scientific staff, the city administration, and the groups working on the pilot projects are given the opportunity to build capacities and become familiar with the technologies as well as with the concept of using waste as a resource. The data collected and the results of the pilot project analyses are used for modelling, simulation or up-scaling of the businesses. Scenario simulation will provide the possibility of showing the effects, for
View on Addis Ababa [IGNIS]
example, on greenhouse gases and socio-economy. IGNIS is not conceived as a specific, isolated solution for Addis Ababa. Rather, several aspects of the project, e.g., methods, pilot projects, results, and lessons learnt, are transferred to other fast-growing cities in order to learn from the specific requirements of those cities. As a result, the IGNIS approach will be modified and adapted accordingly.
· Methodology for data collection on waste quantities and quality · Model-based strategic planning for sustainable solid waste management · Adapted occupational safety and health standards and solutions · Market studies and business guidelines for entrepreneurs and for recycling products · Business improvement options for a paper-recycling manufacturer
· Implementation projects for separate collection at source, biogas facility, charcoal briquettes from organic wastes, composting, school biogas-latrine · Training modules for WEEE collection and dismantling · Closing material cycles by means of using biogas sludge for erosion-prevention combined with energy crop production · Obstacle-based transfer analysis methodology for technologies or methods
Project: IGNIS – Income generation & climate protection by valorising municipal solid wastes in a sustainable way in emerging mega-cities Dieter Steinbach | AT-Verband Stuttgart Email: firstname.lastname@example.org Webpage: www.ignis.p-42.net
Adaptation Planning in Ho Chi Minh City (Vietnam) Context
The mega-urban region of Ho Chi Minh City (HCMC) in South Vietnam is one of the most dynamic examples of rapid urban development over the last two decades and therefore, one of the regions most affected by climate change and risks in Vietnam. The urbanisation of Ho Chi Minh City has been intrinsically related to the process of industrialisation following the Doi Moi reforms of market liberalisation in 1987. Between 1986 and 2010, the population of HCMC almost doubled from 3.78 million inhabitants to the current level of 7.4 million inhabitants. In response to this high urbanisation pressure, HCMC’s government was forced to repeatedly expand the urban boundary, leading to the establishment of six new urban districts. Due to HCMC’s geographical location in a low altitude, intra-tropical coastal zone, northeast of the Mekong Delta and fifty kilometres inland from the South China Sea, the city experiences significant annual variations of climatic and weather extremes. Together with its huge population, its economic assets and the dominant role it plays in the national economy, the city is considered to be highly vulnerable to the impacts of climate change.
The project aims to increase the resilience and adaptation capacities of HCMC in order to reduce the vulnerability of natural and human systems to the adverse effects of climate change. Hence, risks and vulnerabilities are assessed and sustainable adaptation measures are developed and incorporated into urban decision-making and planning processes. Consequently, the project seeks to establish a multi-layered, typological approach, which will be utilised to assess the sustainability of urban settlement developments. Furthermore, the project aims to develop adaptation strategies and measures which can be transferred to other affected regions.
Projects in Brief
The project follows an interdisciplinary approach by combining expertise in different fields related to the two overall topics which constitute the project structure: Action Field 1 focuses on environmental research; Action Field 2 focuses on urban development. The Urban Typology Framework provides important environmental and social information which, in turn, are referred to the vulnerability assessment, based on strategic environmental assessment (SEA) as a basis for transferring scientifically known and documented problems of climate change into adapted planning systems (Action Field 1). Furthermore, the project aims to bring sustainable urban development strategies, in the context of climate change, into the mainstream urban system of HCMC. Based on the knowledge gained from the research, small-scale projects will be conducted with the Vietnamese partners to promote best-practice methods for further appropriate action (Action Field 2). On the practical level, the instruments of zoning and building codes will be examined and recommendations will be made for their improvement with regard to sustainable urban development, energy-efficiency, and resiliency to adverse climate changes. Furthermore, as the project follows an applied research approach, results are requested in terms of both, implementation (practice) and research (theory). Both are complementary, thus, on the one hand, the implementation of measures will be an outcome of scientific research and, on the other hand, research will be undertaken on the basis of the implementation of measures.
Panorama of Ho Chi Minh City [Zehner, C.]
The following products are results of pilot projects implemented with different target groups: · Urban Climate Map as a basis for planning decisions within the general land-use plan · Urban Water Balance Modelling and Planning recommendations · Handbook for Decision-Makers: Land-use Planning Recommendations – Adaptation Strategies for a changing climate in Ho Chi Minh City · Urban Design Guidebook as a tool for integrating climate change adaptation into planning and design decisions · Handbook for Green Housing for disseminating good practice in urban design and architecture · Handbook for Community-Based Adaptation as a guide for building resilient communities through local action
Project: Megacity research project TP. Ho Chi Minh Michael Schmidt | Brandenburg University of Technology, Cottbus Email: email@example.com Webpage: www.megacity-hcmc.org
Authors Jiaerheng Ahati graduated from the Chemistry Department of Xinjiang University in 1984. He worked for twenty years in the area of environmental monitoring and industrial pollution control in Xinjiang Autonomous Region. Ahati joined the Xinjiang Environmental Protection Bureau where he became the director of the Pollution Control Division. He was nominated president of the Xinjiang Academy of Environmental Protection Sciences in 2010 and was instrumental in initiating the Sino-German research project RECAST Urumqi and is the project’s key coordinator in China. Xinjiang Academy of Environmental Protection Sciences, Urumqi | firstname.lastname@example.org Harold Annegarn has researched atmospheric pollution, environmental management, and energy -efficient housing in southern Africa for thirty years. Annegarn has supervised over thirty MSc and PhD students. His current research interests focus on energy and sustainable megacities, through the EnerKey Programme in partnership with the University of Stuttgart; and as well as the development and testing of improved domestic combustion stoves, and their contribution to air pollution reduction. SeTAR Centre, Department of Geography, Johannesburg | email@example.com Frank Baur has a degree (Dipl.-Ing.) in civil engineering from the University of Stuttgart, Germany, where he focused on wastewater and waste management. Over many years, Baur has accumulated experience in the private sector as technical director and manager of a science-oriented engineering consulting office, focusing on sustainable waste management and biological waste treatment. Since 1994, Baur is professor for waste management, circular economy, and material flow management at the University of Applied Sciences Saarland (HTW). Baur is head of the Department for Material Flow Management at the IZES gGmbH (Institute for Future Energy Systems) since 2000 and is member of the scientific board of the institute. IZES GmbH, Saarbruecken | firstname.lastname@example.org
Nina Braun has worked as a research fellow for INEP since 2011. Her research encompasses sustainable settlement concepts based on integrative technical supply systems in developing countries as well as health empowerment programmes for African women. Braun also coordinates sustainability projects in Brazil. She has a Masters in Sustainability Economics and Management. INEP Institut Oldenburg gGmbH, Uetze | email@example.com Mirjam Busch studied at the University of Applied Sciences Zittau in Goerlitz and completed her degree in environmental engineering. Busch has been a researcher at the Institute for Energy and Environmental Research (IFEU) in Heidelberg since 2011. She specialises in life-cycle assessment work and has contributed to the BMBF-funded RECAST Urumqi project in the area of industrial energy efficiency. ifeu — Institut fuer Energie- und Umweltforschung Heidelberg | firstname.lastname@example.org Cassandra Derreza-Greeven has a Masters of Science in Biological Sciences and has been a researcher at the Institute for Energy and Environmental Research (IFEU) in Heidelberg since 2010. In addition to waste avoidance projects in Germany and Mexico, Derreza-Greeven is currently working on the BMBF-funded RECAST Urumqi project, focusing on energy efficiency in the capital of Xinjiang, China. ifeu — Institut fuer Energie- und Umweltforschung Heidelberg | email@example.com Andreas Detzel holds a diploma in biology from the University of Mainz and has more than 18 years of experience in life-cycle assessment, emission reporting and environmental assessment. He has a broad experience in environmental consulting of national and international industry and its associations. He contributed to the BMBF-funded RECAST Urumqi project in the area of industrial energy efficiency. ifeu-Institut für Energie- und Umweltforschung Heidelberg | firstname.lastname@example.org
Audrey Dobbins works as a research associate at the Institute for Energy Economics and the Rational Use of Energy (IER) in the Department of Energy Economics and System Analysis (ESA) at the University of Stuttgart. She received a master’s degree in Energy Studies at the University of Cape Town in South Africa in 2006 and has been employed at the IER since 2008. Her research centres on energy demand in the residential and government sectors. Stuttgart University | email@example.com Ludger Eltrop is an energy systems scientist and head of the Department of Systems Analysis and Renewable Energies (SEE) at IER, University of Stuttgart. Eltrop studied Biology at the University of Bonn, the University of Toronto, and at the INRA in Montpellier, France. He qualified with a PhD at the University of Hohenheim. Eltrop worked as a project engineer in composting technology, before taking up his present position at the University of Stuttgart in 2003. He is project manager of the EnerKey-Project in the BMBF Megacity-Programme and guest professor at the University of Johannesburg, South Africa. Stuttgart University | firstname.lastname@example.org Hans Erhorn (Erh) is head of the Department of Heat Technology at the Fraunhofer Institute for Building Physics. Erh is a specialist in developing energy concepts for buildings and settlements. He has been a project coordinator of about 250 national and international research and demonstration projects during the last three decades. Erh is currently coordinating three research programmes for various German ministries (energy efficient schools, energy efficient settlements and energy surplus houses). He is chair of the coordinating panel for standardisation on energy efficiency in buildings in Germany. Erh has also been an assistant professor at the University of Stuttgart since 1990. Fraunhofer Institute for Building Physics IBP, Stuttgart | email@example.com
Ulrich Fahl heads the Department of Energy Economics and Systems Analysis (ESA) at IER, University of Stuttgart. Fahl is an economist, model expert, and coordinates numerous national and international projects. He is responsible for research activities in the fields of: energy and electricity demand, energy and electricity modelling, integrated resource planning, energy and transport and energy and climate issues. Stuttgart University | firstname.lastname@example.org Somaiyeh Falahat is a reseacher, with a background in architecture and urban planning, at the Chair of International Urbanism and Design and the Center for Technology and the Society, Berlin University of Technology. Falahat completed her PhD in 2010. From 2007 to 2010 she worked as a teaching and research assistant to the Chair of Theory of Architecture at the BTU. She carried out her postdoctoral research within the Young Cities Project from 20112013. Since March 2013, she is heading the DAAD programme of ‘Participatory Urban Regeneration’. Her main research interests are urban morphology, urban theory and community-based (re)developments with a focus on MENA cities. Technische Universität Berlin | somaiyeh.falahat@ tu-berlin.de Bernd Franke graduated from the University of Heidelberg and has more than thirty-five years of professional experience in environmental assessment projects in Europe, the USA and Asia. Franke is a co-founder of the Institute for Energy and Environmental Research (IFEU) in Heidelberg, where he holds the position of Scientific Director. He is currently IFEU’s project director for the BMBF-funded RECAST Urumqi project, which focuses on how to improve the energy efficiency in the building sector and industry in the capital of Xinjiang, PR China. ifeu — Institut fuer Energie- und Umweltforschung Heidelberg | email@example.com
Vineet Kumar Goyal has over twenty years of experience in working in the industrial area. Having a degree in Electrical Engineering and Ex. Masters in International Business, he has worked with reputable companies like Rockwell Automation, Crompton Greaves, Prudent Automation, the Confederation of Indian Industry and Thermopads for almost two decades. Currently, he is head of the Steinbeis Centre for Technology Transfer India – a Network Centre of Steinbeis GmbH & Co. KG for Technology Transfer, Germany. He has been successful in technology transfers in several areas including solar inverters, consulting and implementation of off-grid & mini-grid solar PV projects. He also has developed training and education models for solar PV technology. Steinbeis Centre for Technology Transfer India, Hyderabad | firstname.lastname@example.org D. Mothusi Guy has thirty years of international technical project management and business development experience. Guy served as the project pro-poor “implementing agent” and innovator of off-grid methodologies with government, EnerKey, Eskom and other business partners (Eland and Abron). He worked extensively with community organisations, educational institutions, SMMEs, NGOs, and the private sector since 2005 throughout South Africa and Haiti, creating a movement for integrated energy, environment, and empowerment cost optimised (iEEECO™) human settlement projects targeting the poor. PEER Africa WC CC, Johannesburg, South Africa | email@example.com Thomas Haasz works as a research associate at the Institute for Energy Economics and the Rational Use of Energy (IER) in the Department of Energy Economics and System Analysis (ESA) at the University of Stuttgart. He received a master’s degree in Business Engineering from the Karlsruhe Institute of Technology and joined IER in 2011. His research focuses on energy system analysis with a focus on industry and commerce in South Africa. Stuttgart University | firstname.lastname@example.org
Christian Hennecke studied architecture in Darmstadt and Tokyo. He worked for four years in Beijing at the China Architecture Design and Research Group (former design department of the Chinese Ministry of Construction). He is the general manager of Culturebridge Architects, an architectural design studio active in the Rhine-Neckar region in Germany and China which he established in 2009. Since 2007 Hennecke has supported the RECAST Urumqi project in the fields of sustainable urban development and energy-efficient architecture. Culturebridge Architects, Grünstadt | chennecke@ culturebridge-architects.com Jakob Hoehne is an economist and research fellow at the Division of Resource Economics at the Humboldt University, Berlin. His current focus is on energy and emission related topics, as well as on regulatory aspects of the energy market. Humboldt University Berlin | jakob.hoehne@ hu-berlin.de Wolfgang Hofstaetter is an engineer and the Chief Executive Officer of KAITO Energy Solutions for Africa. His work focuses on the facilitation of sustainable business models in Western Africa. This includes rural electrification and business projects based on renewable energy micro-grids. KAITO Energie Loesungen fuer Afrika, Munich | email@example.com Phungmayo Horam is an economist, researching as a doctoral fellow at the Division of Resource Economics, Humboldt-University Berlin. His work is on institutions and credibility of renewable energy policy instruments with focus on the development of solar energy in emerging economies. His research interest lies in the economics of renewable energy, energy regulation and the works of new institutional economics. Horam qualified with an MBA in infrastructure management from TERI School of Advance Studies, New Delhi, 2009 and has worked in Indian state infrastructure development agency. Humboldt University, Berlin | firstname.lastname@example.org
Angela Jain studied environmental and urban planning and wrote her PhD dissertation on sustainable mobility management at the Humboldt University, Berlin. In 2005, she joined the nexus Institute for Cooperation Management and Interdisciplinary Research as head of the division Mobility, Spatial Planning and Demographics. From 2006 to 2013, she worked in the international project ‘Climate and Energy in a Complex Transition Process towards Sustainable Hyderabad’, funded by the German Federal Ministry (BMBF). Her areas of expertise include: sustainable city development in emerging countries, citizens’ participation, climate change awareness and local governance. nexus Institute for Cooperation Management and Interdisciplinary Research, Berlin | jain@ nexusinstitut.de Christian Kimmich is an agricultural economist and researcher at the Division of Resource Economics at Humboldt University, Berlin. He has worked on the regional governance of energetic biomass utilisation, food-versus-fuel conflicts, as well as broader issues of ecological macroeconomics. Within the BMBF funded emerging megacity programme Kimmich has conducted his PhD research on the sustainable provision of electricity for irrigation in agriculture from the perspective of evolutionary and institutional economics. Humboldt University Berlin | christian.kimmich@ hu-berlin.de Franziska Kohler is enrolled in the Master's programme of Integrated Natural Resource Management at Humboldt University, Berlin. Currently she is working on her Masters' thesis, which focuses on the implementation of off-grid PV systems in rural India. Since July 2012 Franziska Kohler has also been employed as a student consultant at Eclareon, an international consulting agency in the field of renewable energy. Humboldt University Berlin | email@example.com
Ming Liu graduated from the Northwest Architecture and Engineering Institute in 1985. He has been engaged in HVAC system design and research for twenty-five years. Liu’s research covers the seasonal energy efficient air-conditioning technologies in arid regions and the practical application of innovative designs and contributed to the RECAST Urumqi project in the area of energy efficiency design of buildings. Xinjiang Architectural Design and Research Institute, Urumqi | firstname.lastname@example.org Sheetal D. Marathe works as a research associate at the Institute for Energy Economics and the Rational Use of Energy (IER) in the Department System Analysis and Renewable Energies (SEE) at the University of Stuttgart. Marathe received a Masters degree in Water Resources and Engineering Management in Germany in 2009. Her research focuses on the development of land-use change simulation models, energy use, and emissions in the residential and agriculture sector. Stuttgart University | Sheetal.Marathe@ier. uni-stuttgart.de Li Niu studied at Tianjin University and the Technical University of Karlsruhe and completed his degree in Chemical Engineering. Niu contributed to the BMBF-funded RECAST Urumqi project, among other things, by developing a mass and energy flow analysis of the ZhongTai PVC plant in Urumqi in the capital of Xinjiang, PR China. ifeu — Institut fuer Energie- und Umweltforschung Heidelberg | email@example.com Enver Doruk Oezdemir completed his Masters Degree in Mechanical Engineering in 2005 at Middle East Technical University (Ankara, Turkey). Between 2005 and 2012 Oezdemir was a PhD student and research assistant at the University of Stuttgart (Institute of Energy Economics and the Rational Use of Energy). He completed his PhD on the subject of ‘alternative powered trains and fuels’ in 2011. Oezdemir is currently employed at the German Aerospace Center (Institute of Vehicle Concepts) as a team leader for road vehicles. German Aerospace Center | firstname.lastname@example.org
Elke Pahl-Weber has been Professor for Urban Planning, Chair for Urban Renewal, at the Institute for Urban and Regional Planning of TU, Berlin since 2004. Pahl-Weber directed her Urban Planning office, BPW Hamburg, which was founded in 1989, until 2009. Between 2009 and 2011 she directed the Federal Institute for Building, Urban and Spatial Research (BBSR) in Bonn whilst keeping her professorship at TU Berlin. Elke Pahl-Weber is head of the strategic dimension "Urban Development and Design" in the Young Cities Research Project in the BMBF Future-Megacities Programme and the cross-project accompanying research programme. Technical University Berlin | pahl-weber@isr. tu-berlin.de Xiaoyan Peng has obtained degrees in landscape architecture, Chinese and law from various universities. Peng manages the policies for energy-efficient design of buildings, developing renewable energy supply, and science and technology management at the Science and Technology Department of the Urumqi Construction Committee. Science and Technology Department of Urumqi | email@example.com Michael Porzig has a degree (Dipl.-Ing.) in Environmental Engineering and Process Technology at Brandenburg University of Technology Cottbus, Germany, where he focused on environmental management and planning (EMAS, ISO 14000ff) as well as on waste and recycling. Since 2008, Porzig is scientific employee for IZES gGmbH (Institute for Future Energy Systems) as project manager in national, international, and European research projects in the fields of waste and recycling management as well as decentralised energy systems. IZES GmbH, Saarbruecken | firstname.lastname@example.org Jens Rommel is an agricultural economist and a junior research fellow at the Division of Resource Economics at Humboldt University, Berlin. His PhD research is on collective action in the field of water and sanitation. His methodical emphasis focuses on behavioural and institutional economics. Humboldt University Berlin | jens.rommel@ hu-berlin.de
Julian Sagebiel is an economist and specialises in international economics and research at the Division of Cooperative Sciences at the Humboldt University, Berlin. Currently Sagebiel is conducting his PhD research on consumer preferences in the electricity sector, focusing on India and Germany. Since 2011, he has been coordinating a pilot project on improving agricultural electricity provision in India within the BMBF-funded emerging megacity programme. Humboldt University Berlin | julian.sagebiel@ hu-berlin.de Johannes Schrade works as a research associate at the Fraunhofer Institute for Building Physics (IBP) in the Department of Heat Technologies. He has a diploma in civil engineering from the Karlsruher Institute for Technology (KIT). Schrade joined the Fraunhofer IBP in 2008. His research focuses on energy performance rating of buildings, transient building simulation, developing and evaluating energy concepts for buildings and residential areas and studying the development of road maps for local and provincial governments. Fraunhofer Institute for Building Physics IBP, Stuttgart | email@example.com Mike Speck has a degree (Dipl.-Ing. FH) in Civil Engineering from the University of Applied Sciences Saarbruecken, Germany and a Master in Environmental Engineering from the University of Newcastle upon Tyne, UK. Speck is deputy department head of the Department for Material Flow Management in the IZES gGmbH (Institute for Future Energy Systems) and is an authorised signatory. He is responsible for waste and resource management related projects within the Department for Material Flow Management. IZES GmbH, Saarbruecken | firstname.lastname@example.org
Bertine Stelzer (MA Sustainability Economics and Management) is a research fellow at the Institute for Sustainable Energy Management, Policy, Risk and Social Innovation (INEP). Since 2011 Stelzer has coordinated the research and implementation of guidelines for sustainable low-income housing in South Africa within the EnerKey Project. INEP Institut Oldenburg gGmbH, Uetze | bertine. email@example.com Thomas Telsnig works as a research associate at the Institute for Energy Economics and the Rational Use of Energy (IER) in the Department of System Analysis and Renewable Energies (SEE). Telsnig qualified with a Masters degree in Industrial Engineering from the Vienna University of Technology and joined IER in 2010. His research focuses on the technical, economic, and environmental assessment of concentrated solar power plants in the South African energy system. Stuttgart University | firstname.lastname@example.org Jan Tomaschek is employed as a research associate at the Institute for Energy Economics and the Rational Use of Energy (IER) in the Department of Energy Economics and System Analysis (ESA) at the University of Stuttgart. In 2008, he completed his master’s degree in Mechanical Engineering with Business Administration at the University of Siegen. His research focuses on furthering the development of energy system models and the model-based formulation of strategies for energy and climate change policy in regional, national and international contexts. Stuttgart University | email@example.com Philipp Wehage is an architect and an urban designer in the team Urban Development and Design in the Young Cities Project at TU Berlin where he has been from 2005 to 2013. Wehage was responsible for the architectural design of the case study. Beside these research activities, he established the Berlin-based, dmsw architects, where he is involved with the planning and realisation of urban and housing projects in Germany. Technical University Berlin | firstname.lastname@example.org
Christine Werthmann is an economist working as a ‘PostDoc’ at the Divison of Resource Economics at the Department of Agricultural Economics, Humboldt University, Berlin. After her studies in Business Administration, Werthmann conducted her post-graduate studies at the Seminar for Rural Development (SLE). Christine conducted her PhD research at the Philipps University of Marburg, investigating institutional factors in the Mekong Delta. Since 2010, Werthmann has lead the Workpackages Energy and Water in the Sustainable Hyderabad project (BMBF Megacity Programme). Humboldt University, Berlin | christine. email@example.com Simon Woessner is group manager of the planning instruments team. He studied Civil Engineering at the University of Stuttgart. Since 2002 Woessner has been a research associate in the Department of Heat Technology at the Fraunhofer Institute of Building Physics, Stuttgart. Woessner has experience in developing and implementing various software concepts. He has contributed to various IEA projects (e.g., Task31, Annex36, Annex 46) and is head of Module 3 of the EnerKey Project. Fraunhofer Institute for Building Physics IBP, Stuttgart | firstname.lastname@example.org Chenxi Zhao obtained a PhD degree in Environmental Engineering from Tsinghua University in 2010. Zhao worked at the Technical University of Denmark for a year and joined the Xinjiang Academy of Environmental Protection Sciences in 2010 as vice-president. He focuses on projects that collaborate internationally and that outreach from the Sino-German research project RECAST Urumqi. Xinjiang Academy of Environmental Protection Sciences, Urumqi | email@example.com