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This publication has been prepared in the framework of the Informed Cities Initiative and is one of the outcomes of the EU FP7 Research Project PRIMUS (Policies and Research for an Integrated Management of Urban Sustainability), May 2009 to April 2012.

This Quick Reference Guide was produced through the North East Improvement and Efficiency Partnership’s Climate Change Best Practice Programme. Its aim is to provide greater visibility of climate change related research being undertaken within the universities in the North East England. By doing so, we hope to encourage improved knowledge transfer between the academic and local government community. The information should also prove useful to private and third sector organisations. The project was commissioned through the Institute of Local Governance and compiled by the Sustainable Cities Research Institute, School of the Built and Natural Environment, Northumbria University, with further input being provided by ClimateNE.

This Quick Reference Guide was produced through the North East Improvement and Efficiency Partnership’s Climate Change Best Practice Programme. Its aim is to provide greater visibility of climate change related research being undertaken within the universities in the North East England. By doing so, we hope to encourage improved knowledge transfer between the academic and local government community. The information should also prove useful to private and third sector organisations. The project was commissioned through the Institute of Local Governance and compiled by the Sustainable Cities Research Institute, School of the Built and Natural Environment, Northumbria University, with further input being provided by ClimateNE.

Within the built environment sector, there is an increasing pressure on professionals to consider the impact of development upon the environment. These pressures are rooted in sustainability, and particularly climate change. But what is meant by sustainability? It is a term whose meaning is often discussed, the most common definition taken from the Bruntland report as “sustainable development is development that meets the needs of the present without compromising the ability of future generations to meet their own needs” (World Commission on Environment and Development, 1987). In the built environment, the sustainability issues within the environment, social and economic spheres are often expressed through design considerations of energy, water and waste. Given the Stern Report’s economic and political case for action with respect to climate change (Stern, 2006) and the IPCC’s Fourth Assessment Report’s confirmation of the urgency of the climate change issue and it’s root causes (IPCC, 2007), the need for action to mitigate the effects of climate change is currently high on the political agenda. Excess in carbon dioxide concentrations over the natural level have been attributed to anthropogenic sources, most particularly the burning of carbon-based fossil fuels. Over 40% of Europe’s energy and 40% of Europe’s carbon dioxide emissions arise from use of energy in buildings. Energy use in buildings is primarily for space heating, water heating, lighting and appliance use. Professionals in the built environment can therefore play a significant role in meeting targets for mitigating the effects of climate change. The UK Government recently published the Code for Sustainable Homes (DCLG, 2006). Within this is the objective of development of zero carbon domestic new build dwellings by 2016. It is the domestic zero carbon homes agenda which is the focus of this report. The report is the culmination of a research project, funded by Northumbria University, and conducted from February 2008 to July 2008, involving researchers from the Sustainable Cities Research Institute (within the School of the Built Environment) and academics, also from within the School. The aim of the project was to examine, in a systematic and holistic way, the critical issues, drivers and barriers to building and adapting houses to meet zero carbon targets. The project involved a wide range of subject specialisms within the built environment and took a multi-disciplinary approach. Practitioner contribution was enabled through a workshop. The focus of this work was to review the academic literature on the built environment sector and its capabilities to meet zero carbon housing targets. It was not possible to undertake a detailed review of energy efficiency or micro-generation technologies, the focus of the research was instead in four focussed areas: policy, behaviour, supply chain and technology.What follows is the key findings of the review work undertaken. Chapter One presents the findings of the policy and regulation review. In Chapter Two the review of behavioural aspects of energy use in buildings is presented. Chapter Three presents the findings of the review of supply chain issues. Chapter Four presents the findings of the technology review, which focuses on phase change materials. A summary of the key barriers and enablers, and areas for future research work, concludes this report in Chapter Five. Research is always a work in progress, and therefore comments on this document are most welcome, as are offers of collaboration towards solutions. The School of the Built Environment at Northumbria University strives to embed its research in practical applications and solutions to the need for a low carbon economy.

UK spatial planning guidance now recognises the importance of engaging stakeholders in appraisal processes at an early stage in the plan-making process. Regional Planning Authorities are required to consult proactively with a wide range of stakeholders on both the development of planning policy and the sustainability appraisal of that policy. However, there is no clear indication as to how they might go about this process, other than to confront the various stakeholders with a Sustainability Appraisal Report. Participation in Sustainability Appraisal therefore still relies on reaction to a technical appraisal of an existing plan – and in this situation stakeholders might lack the incentive to participate. More thoughtful ways need to be devised to involve people in the sustainability debate – so that spatial policy more accurately reflects their knowledge and aspirations. The focus of this paper is to investigate ways in which Sustainability Appraisal of spatial plans can be made more accessible and transparent within the context of wider governance mechanisms. Of particular interest is the Public Examination of a Regional Spatial Strategy. The following research questions attempt to address the gaps in knowledge: 1. How can the quality and extent of engagement of stakeholders be improved, so that policy approaches delivered via Sustainability Appraisal more effectively reflect their ambitions, whilst continuing to meet the objectives for sustainability ? 2. How can the sustainability issues that might form the basis of discussions in a proactive engagement of interests be identified, and how can these issues be framed within a contextual setting that is meaningful to a range of stakeholders ? 3. What mediatory techniques can be identified to accommodate the various frames of reference that arise in potentially conflict situations?

La 'modernización ecológica' como concepto y teoría ha versado sobre los cambios experimentados a escala nacional como consecuencia del desarrollo industrial y económico. Sin embargo, el papel de la gobernanza también se está configurando progresivamente como uno de los rasgos distintivos del proceso de modernización. La gobernanza local, en la que están implicados los ciudadanos, los grupos de partícipes y las más pequeñas unidades productivas tras un objetivo común de desarrollo sostenible, desempeña un papel crucial en la segunda fase de la modernización ecológica. Muchas de estas actividades se organizan en Europa al amparo de la Agenda 21 Local. Las administraciones locales europeas han sido las primeras en encarar el nuevo desafío y en responder activamente en muy distintos puntos de toda Europa. El material empírico procede de la explotación de la base de datos del proyecto de investigación DISCUS. Ecological modernisation as a theoretical construction has mainly dealt with changes on a national level and in connection with industrial and economic development. However, the role of local government has also increasingly become one feature of interest within the modernisation process. Local level governance plays a crucial role especially concerning the second phase of modernisation , that of involving inhabitants, stakeholder groups and smaller production units towards a common goal of sustainable development. Many of these activities in Europe are conducted under the organisational headline of Local Agenda 21. European local governments have been in the forefront of taking up the new challenge. In this paper we will show how local governments in different parts of Europe have responded to this task. The empirical material will be based on our large dataset collected within DISCUS research project.

L'Agenda 21 pot considerar-se com un dels resultats més durables i, possiblement, més efectius de la Cimera de la Terra de 1992 a Rio de Janeiro. Només a Europa, han estat aproximadament 4.000 les ciutats, les administracions regionals i locals i les autoritats regionals que han implantat algun tipus de procés de l'Agenda 21. Aquesta ponència dóna a conèixer les principals conclusions del recent projecte LASALA, que ha dut a terme un programa de recerca d'àmbit europeu sobre la iniciativa AL21. La recerca ha posat de relleu importants nivells de compromís en diversos governs locals europeus i elevats nivells de compliment dels seus objectius en molt poc temps. Malgrat que encara hi ha molt camí per fer, el projecte LASALA indica que les Agendes 21 són un eficaç vehicle polític per fomentar i donar suport a iniciatives de desenvolupament sostenible d'àmbit local a Europa., La Agenda 21 puede considerarse como uno de los resultados más duraderos y posiblemente más efectivos de la Cumbre de la Tierra de 1992 en Río de Janeiro. Sólo en Europa, aproximadamente 4.000 ciudades, administraciones regionales y locales y autoridades regionales han implantado algún tipo de proceso de la Agenda 21. Esta ponencia da a conocer las principales conclusiones del reciente proyecto LASALA, que ha llevado a cabo un programa de investigación de ámbito europeo sobre la iniciativa AL21. La investigación ha puesto de relieve importantes niveles de compromiso en distintos gobiernos locales europeos y elevados niveles de cumplimiento de sus objetivos en un breve plazo de tiempo. Aunque todavía queda mucho camino por recorrer, el proyecto LASALA indica que las Agendas 21 son un eficaz vehículo político para fomentar y apoyar iniciativas de desarrollo sostenible de ámbito local en Europa., Local Agenda 21 may be regarded as one of the most enduring and possibly most effective outcomes of the 1992 Rio de Janeiro Earth Summit, and in Europe alone, approximately 4.000 cities, municipalities at regional and local level, and regional authorities are now engaged in a Local Agenda 21 process of some kind. This paper reports on the main findings of the recent LASALA project which conducted a Europewide research programme into the European LA21 initiative. Th research demonstrates the significant levels of commitment to th LA21 process amongst European local government, and the high levels of achievement towards LA21 goals within a very short space of time. Although there is still a long way to go, the LASALA research indicates that LA21 is an effective policy vehicle for encouraging and supporting sustainable development initiatives at the local level in Europe.

This thesis was submitted for the degree of Doctor of Philosophy and awarded by Brunel University.

It is estimated that about one third of the UK’s total carbon emissions come from its housing stock: some 26 million existing homes. Therefore, the energy needs of domestic properties are clearly a significant issue in any overall attempts to ‘decarbonise’ the economy. Due to its share of UK housing stock and potential for impacting on CO2 emissions, the Social Housing sector represents a platform for more wide-spread and rapid penetration of low-carbon interventions. However, the more widespread application of energy saving technologies has not delivered expected savings, and behaviour is becoming more recognised as a crucial factor in yielding the highest energy savings. Strategies to tackle energy efficiency in social housing often centre only on technical interventions (such as installation of improved insulation, more efficient heating systems or renewable energy sources) and neglect the importance of the behavioural responses to them. It is thus advisable to consider technological and behavioural factors collectively to evaluate these approaches. This paper is based on initial findings of a project conducted with Gentoo Group (an organisation managing 30,000 rented housing units around Sunderland) which monitored the installation of new low-carbon energy solutions in a sample of 100 households. With a focus on energy consumption, the findings identify behavioural barriers and potential opportunities to achieving low-carbon homes in a social housing setting. Further exploration of these issues may direct future retrofit interventions, attempting to reduce carbon dioxide emissions from existing social housing stock.

In 2010, the Higher Education Funding Council for England (HEFCE) signalled universities to have a more demanding approach to carbon reduction in line with UK targets. HEFCE created targets for Scope 1 (direct emissions - fuel for heating etc.) and Scope 2 (emissions from purchased electrical consumption) emissions, and set a timetable for institutions to monitor and report Scope 3 emissions (indirect emissions such as staff and student travel). Based on these external policy drivers, and others, the development of strategies towards sustainable procurement and climate change mitigation is now a high priority for the HE sector.\ud \ud Work undertaken at the School of the Built and Natural Environment at Northumbria University will be presented as an example of strategy implementation. The School has undertaken a policy review, an assessment of curriculum content in respect of Education for Sustainable Development (ESD), a carbon footprint assessment and has recently made a commitment to reduce its environmental impact over an academic year. Research within the School is also investigating the electrical consumption of ICT equipment using data from a sample of buildings within the University estate. \ud \ud The case study shall discuss the process of data collection, as well as dissemination, to inform colleagues of the individual impacts of work-based practices.

Retrofit programmes for installing energy efficient technologies in social housing are a key part of efforts to reduce UK carbon emissions by 80 per cent by 2050. This requires a reduction in CO2 emissions by an average of 80%, from all housing, in order to assist the UK’s long term goals. The UK’s turnover of housing stock is relatively slow compared to most developed countries and approximately 87% of the current housing stock will still be standing in 2050. Therefore, to meet carbon emissions targets, existing buildings must be refurbished or ‘retrofitted’ with technologies which reduce carbon emissions on a huge scale. The Government intends to achieve this by driving energy efficiency in households and businesses predominantly through the proposed Green Deal framework. This represents a shift in policy approach since the 2010 elections, towards a private finance and private industry approach, as rather than the previous Labour Governments predominately state managed and grant-aided social retrofit approach. The influence of the economic recession at the time of this transition is also likely to be a key driver of the Governments changing approach to financing the retrofit of millions of UK homes. Other strategies such as the UK Fuel Poverty Strategy are also intended to dove-tail with this national push to retrofit housing stock, due to reduced energy costs and increased thermal comfort. There is great potential for the proposed national retrofit mobilisation to reduce carbon emissions from homes, contribute to economic growth and provide other benefits such as the reduction of Fuel Poverty. However, the amount of energy used in homes is largely dependent on the behaviours of the occupier(s) and occupant behaviour can determine the effectiveness of retrofit programmes and thus impact on the potential of this significant mobilisation to reduce energy consumption and carbon emissions from housing. Thus, occupant behaviour is increasingly recognised as a critical element to be acknowledged and addressed in order to meet carbon reduction targets, both within the literature (excluding the policy literature) by and those delivering retrofits on the ground. This research provides a unique insight into occupant energy use behaviour by evaluating a ‘live’ project to retrofit energy efficient being implemented by Gentoo Group which includes construction and social landlord roles. The literature review relevant to the research focuses on Psychological theories of behaviour and Practice Theory. This provides insights from both paradigms provide two viewpoints on behaviour: an insight into the nature of individual behaviour (Psychological theories of behaviour), and; a consideration of how the framework and structure of society (including aspects such as technology) interacts with the individual’s practices (Practice Theory). The research methodology utilised an inductive approach, underpinned by a qualitative research design. In-depth interviews were conducted before and after specific interventions (a technical intervention and informational interventions) took place, these interviews were recorded and transcriptions were thematically organised and analysed using the template analysis technique. This process first identified ‘patterns of behaviour related to energy use’ arising due the project interventions and secondly based on the frequency of these occurring, identified ‘key patterns’. The theoretical perspectives of the Psychology and Practice Theory literature were drawn on in order to contextualise the findings of the research, but it this thesis does not attempt to apply them in an empirical approach. The analysis process instead draws on specific elements from both of the disciplines to assist the interrogation of the ‘key patterns’ so they may be better explained or understood. Key findings of the research highlighted that energy use behaviour is impacted by the introduction of technology, and tenant behaviour can potentially impact on the energy saving effectiveness of retrofit projects. Significant impacts were identified specifically where tenants had an interaction with the technology being introduced and the informational intervention had no significant impact on behaviour. ‘Key patterns’ indicated several factors which influence tenant energy use behaviour and of these the barriers to retrofit effectiveness were identified as: limited access to knowledge and skills; habits preventing behaviour change to utilise introduced technologies; the quality of installation and function of the technical intervention; convenience of introduced technology potentially increasing energy use, and: the need or desire for thermal comfort. The thesis concludes that energy use behaviour is pivotal factor in determining retrofit effectiveness and that behaviour, and in particular behaviour-related barriers to retrofit effectiveness, should be acknowledged and addressed as part of the UK retrofit strategy, especially in the light emerging policies such as the Green Deal and Energy Company Obligation, which intend to drive retrofit on a huge scale. Recommendations are made inform retrofit practitioners and academic and policy debates on behaviour in the context social housing retrofit, and suggestions are made for future research to explore this research area further.