Energy Policy 38 (2010) 7898–7910

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Energy Policy
journal homepage: www.elsevier.com/locate/enpol

Energy efficiency in social housing: Opportunities and barriers from

a case study in Brazil
Susanne Bodach a,b,n, J. Hamhaber b
a
Centre for International Migration and Development (CIM), Mendelssohnstraße 75-77, 60325 Frankfurt am Main, Germany
b
Institute for Technology and Resources Management in the Tropics and Subtropics, Cologne University of Applied Sciences, Betzdorfer Straße 2, 50679 Cologne, Germany

a r t i c l e in f o a b s t r a c t

Article history: This paper investigates the energy efficiency in a segment of the building sector in emerging countries
Received 9 June 2010 by analyzing and evaluating the energy efficiency of a social housing project in Brazil. Energy efficiency
Accepted 7 September 2010 measures and bioclimatic design strategies are developed in order to improve thermal comfort in this
social housing project and to reduce the energy consumption and expenses of their residents. The
Keywords: institutional barriers and constraints toward higher efficiency are described. The results of this study
Energy efficiency show that there is a high potential to increase energy efficiency in social housing in emerging countries
Social housing like Brazil. The implementation and consideration of the energy efficiency measures and policy
Brazil recommendations would contribute substantially to the goal to dampen the fast growth of energy
demand in these countries. Moreover the improvement of energy efficiency in the social housing sector
could be a driver for market transformation towards more sustainability in the whole building sector.
& 2010 Elsevier Ltd. All rights reserved.

1. Introduction public sector could be a major driver towards more energy

The awareness for energy efficiency in the Brazilian commer-
cial and public building sector has risen during the last years as a
result of governmental actions and research projects. However,
building design in the housing sector has not been pushed
towards energy efficiency, because of low interest from the public
and private sector as well as lack of investment (Lamberts and
Westphal, 2000). The social housing sector, as a solution to cope
with the growing problem of high deficit of housing units in Brazil
(FTD, 2010), is severely affected: a maximum number of housing
units should be constructed with a limited amount of investment.
Thus, an investment cost per housing unit is very low resulting in
poor construction quality and renders it difficult to include an
energy efficiency measure.
In Brazil 44% of the electricity consumption is consumed in
buildings: 22% of that in the residential sector, 14% in the
commercial and 8% in the public buildings (EPE and MME, 2005).
Due to population growth, urbanization and higher income,
electricity consumption in the residential sector is growing
steadily from 4.7% in 2003 up to 6.2% in 2009 yearly (EPE,
2009). The social housing sector is dominated by public agents
and investment. By considering aspects of building efficiency, the
n
Corresponding author at: Institute for Technology and Resources Management
in the Tropics and Subtropics, Cologne University of Applied Sciences, Betzdorfer
Straße 2, 50679 Cologne, Germany.
E-mail addresses: susanne.bodach@gmail.com (S. Bodach),
johannes.hamhaber@fh-koeln.de (J. Hamhaber).
efficiency in the housing sector. This in its turn could contribute to
dampen electricity demand growth and, thus, lower investment
needs in the electricity generation sector. Geller et al. (2004) has
shown that policy choices toward more energy efficiency have a
significant impact on energy trends, social progress, and environ-
mental quality in emerging countries like Brazil.
Furthermore, the target group of social housing, the poorest
strata of the population suffers eminently under increasing
energy costs; paying a high portion of their income for energy
services. For that reason, there is an urgent need for research in
the field of energy efficiency in social housing to improve the
sustainability of the people’s livelihood.
The overall objective of this study is to develop technical design
guidelines and present policy recommendation for the institutional
framework that contribute to the improvement of an energy
efficiency in the social housing sector in Brazil and Rio de Janeiro.
2. Methodology
This study first examines the social housing sector in Brazil
and Rio de Janeiro, including the challenges of social housing
policy and the involved stakeholders. Secondly, the context of
energy efficiency is analyzed by focusing on policies and
standards in Brazil and identifying barriers for implementation
in the social housing sector. Thirdly, at project level a case study
of a real social housing project in Rio de Janeiro (Mangueira
housing project) is analyzed in order to examine the technological
dimension as well as the institutional and socio-economic

0301-4215/$ - see front matter & 2010 Elsevier Ltd. All rights reserved.
doi:10.1016/j.enpol.2010.09.009
 S. Bodach, J. Hamhaber / Energy Policy 38 (2010) 7898–7910
framework. For the project design analysis and evaluation of this
case study, an analysis matrix is defined.
The first and second methodological steps are done by means
of the literature review and expert interviews. The institutional
conditions are surveyed by means of structured interviews with
the stakeholders. In total, 16 structured interviews each of about
1.5 h were conducted, the sample consisted of experts in the field
of energy efficiency and building efficiency from relevant
governmental institutions and from universities and of the
stakeholders of the social housing case study like the municipality
of Rio de Janeiro, the financing institutions, the contractor and
project developer as well as engineers and architects. The result of
the qualitative analysis is a comprehensive image of constraints of
energy efficiency and opportunities for energy conservation in the
sector, and leads to recommendations and guidelines for a more
energy-efficient social housing in Rio de Janeiro and Brazil.
For the project design analysis of the case study, further
instruments are used. The ECOTECT software, a building design
and environmental analysis tool, is applied to calculate the solar
exposure of the building facades, to estimate the solar gains through
the windows and to simulate the thermal performance of the
buildings. Due to the simplicity of calculation algorithm for
ventilation gains of the ECOTECT software, the accuracy of the
results of the thermal performance is limited. Also, a simplified
qualitative approach was adopted to estimate the potential for
natural ventilation in the case study.
3. Situation of social housing in Brazil
3.1. The housing deficit
In Brazil, millions of families are excluded from the access to
dignified housing. In 2006, the Brazilian housing deficit reached
the number of 7.96 million housing units, 76% in the cities and
24% in rural areas (Salles, 2007).
The Brazilian housing deficit has major regional disparities,
reflecting the general regional socio-economic inequalities (IBGE,
2008). The federal states Sa~ o Paulo and Rio de Janeiro have the
highest deficit in absolute terms, with 1.5 and 0.8 million lacking
housing units, respectively. In relative terms, the largest deficits are
in Maranhao (38.1%), Amazonas (33.7%) and Pará (33.5%). The lowest
housing deficit was recorded in Santa Catarina (8.8%), Paraná (8.9%)
and Espirito Santo (9.8%) (Salles, 2007). The highest concentration
can be found in the urban areas of the metropolitan regions in the
North- and South-east. Related to the income, the poorest share of
the population (up to three minimum wages, a total of 1.1 million) is
highly affected by the housing deficit, compared to only 200,000
missing housing units in the income share above three up to five
minimum wages (IBGE, 2008; Larchner, 2005).
The Brazilian housing deficit surfaces in precarious housing,
cohabitation of families and the excessive financial burden
through renting (Fundac- a~ o Joa~ o Pinheiro, 2006). The cohabitation
is the largest component in urban areas, independently from the
region, and corresponds to 60.8% of the total housing deficit in the
Brazilian cities. In contrast, precarious housing is more present in
rural areas, especially in the North-east and North region. The
component of the excessive burden through rent payments is
examined only in urban areas and has its highest share with 37.3%
and 28.9% in the South-east and Centre-west regions of Brazil.
3.2. Federal housing policy
In 2000, the Brazilian national housing policy started to be
reformulated by the ‘‘Ministério de Cidades’’ (Ministry of Cities)
7899
and is now known as ‘‘Sistema Nacional de Habitac- a~ o’’ (National
System for Housing). The main strategy of the new housing policy
is to extend the private housing construction sector that, until
now, was limited to the luxury market in the middle class. Federal
financial resources focus now on the low-income classes up to 5
minimum wages,1 where the highest housing deficit at no less
than 92% is concentrated (Maricato, 2005).
The National System for Housing, established by the law N1
11.124 in 2005, has a subsystem for social housing called
‘‘Subsistema de Habitac-ao de Interesse Social’’. The involved
entities of this subsystem for social housing are governments and
housing councils on federal, state and municipal level, promoters,
funding agents and technical agents.
Several funds are provided by the government for the
implementation of social housing programmes that are mostly
administrated by the Caixa Econômica Federal (CAIXA), the most
important financing agency in the housing sector in Brazil. In
2005, the CAIXA was responsible for financing 86% of new housing
units. In 2006, 408,325 new housing units were constructed by
different public housing programmes, whose funds are admini-
strated by the CAIXA (CAIXA, 2008). Until today, only the CAIXA is
participating in large scale credits programs for low-cost housing,
as private or investor-owned banks shy the risk of underfunded
credit lines (FTD, 2010).
The social housing system of Brazil consists of 12 different
social housing programmes that differentiate between individual
or collective initiator, public or private person, new or existing
housing, income bracket and funding conditions (Ministério das
Cidades, 2008). The PAR programme (Programa de Arrendamento
Residencial) is one of those social housing programmes, desig-
nated for the population with currently a maximum family
income of four minimum wages and has been responsible for the
production of 259,898 housing units since 1999 (Ministério das
Cidades, 2008). In 2006, the PAR programme was responsible for
the construction of 10% of the new housing units (CAIXA, 2008).
3.3. Social housing in Rio de Janeiro
The Secretaria Municipal do Habitat (SMH) or Municipal
Secretariat of Housing is the institution that coordinates the
housing policy at municipality level in Rio de Janeiro. Created in
1994, the SMH focuses on the upgrading and regularization of the
shanty towns (called ‘‘favelas’’) and site development as well as
on the promotion of new housing construction for the low-
income population in areas with existing infrastructure. The
mission of an SMH is to ensure the access to legal housing and
urban infrastructure as a basic social right, using an integrated
participatory process of urban planning. In contrast to the CAIXA
as national public bank, the SMH is a small institution on
municipal level with relatively low budget. The SMH has mainly
a coordinating function within the implementation process of
social housing projects.2
For the new construction of social housing estates in Rio de
Janeiro, four principal players are identified: the municipality
with the SMH, the promoter, the funding institution (e.g. CAIXA)
and the beneficiaries (Fig. 1). With the identification of possible
plots for social housing, the SMH is in most cases the initiator
of a project contacting the promoters. These may be the public
housing company (in Rio de Janeiro: Cehab-RJ) or a private
constructor which is contacted by the SMH and elaborates the
1
1 minimum wage¼R$ 510 (Ministerio do Trabalho e Emprego, 2010).
2
Personal interview with Heloui, N., Programme manager ‘‘Novas Alternati-
vas’’, Secretaria Municipal de Habitat de Rio de Janeiro (SMH), Rio de Janeiro, 8
May 2008.
7900 S. Bodach, J. Hamhaber / Energy Policy 38 (2010) 7898–7910
The selected
beneficiaries are
approved by the
funding institution.
Beneficiaries
Beneficiaries are
selected by the
municipality.
Fig. 1. Players and functioning of the social housing production in Rio de Janeiro.
housing project according to the framework defined by the
Ministry of Cities, the municipality and the funding institution.
The beneficiaries are pre-selected by the SMH and approved by
the funding institution (see footnote 2).
The main building type, currently used for a new construction
of social housing in Rio de Janeiro, is either the single-family
house in the suburban context or the housing block of three to
five storeys in more dense urban areas. Few social housing units,
for example in the city centre, are the result of rehabilitation and,
thus, are types of small multi-family houses. Another, however,
rarely used type is the terraced house. Social housing is mostly
based on modularized architecture, i.e. the architect develops a
basic housing module, which is repeated according to the desired
building type, density and site conditions.3
The main construction system used for social housing in Rio de
Janeiro is structural masonry of bricks with mixed ceilings. The
roofs are either span roofs of wood structure and ceramic tiles or
flat roof of joists of reinforced concrete and ceramic blocks. The
finishing depends strongly on the financial framework of
the project. While for the upgrading of shanty town houses, the
masonry is only coated with a transparent paint, new housing
units of the public housing programme PAR are plastered and
coated with an acrylic paint.4
The construction quality largely depends on the knowledge
and experiences of the constructor. Due to these quality deficits
the Ministry of Cities initiated the ‘‘Programa brasileira da
qualidade e produtividade do habitat’’ (Brazilian programme for
the quality and productivity of housing) in 1998. Targeting on
both manufacturers of building materials and construction
companies, this programme aims at the quality improvement of
building materials and the modernization of the construction
sector. First results of this programme are about 3,000 quality
certified construction companies and 25 sub-sector programmes
3 5
Personal interview with Gouveia, M., Architect, Invento Espac- os Anastassa-
kis e Associador s/c Ltda, Rio de Janeiro, 3 June 2008.
4 6
Personal interview with Cruz, A., Engineer for installation, Invento Espac- os
Anastassakis e Associador s/c Ltda, Rio de Janeiro, 2 April 2008.
Funding institution The promotor elaborate
Caixa
housing project and
applies for funding.
Social
Promotor
Housing Public / private housing
in Rio estate company
de Janeiro
The municipality
identifies plots for social
housing and looks for
promotors.
Municipality
Secretaria Municipal
do Habitat
focusing on different building components and construction
materials (PBQP-H, 2008).
The building quality in social housing improved considerably
during the last years. However, it is still generally evaluated as
very low and simple in comparison to the construction quality in
the private housing sector. It depends highly on the building
company and its experience. Due to the low budget and the tight
profit margin, the social housing sector is not as profitable as the
private housing sector, especially for large experienced companies
(see footnote 3). Therefore, in general smaller building firms with
less experience are involved in the construction of social housing
units which may also result in lower quality (see footnote 3).
Moreover the building quality suffered due to rationalization in
the sector, which started in the 1960s.5 At that time, building
design began to use modularization, i.e. the same housing unit
design was applied for the whole social housing dwelling. Hereby,
the construction process could be optimized resulting in mono-
tonous social housing areas with a high number of same buildings
with very simple design. Regarding installations, the quantity, e.g.
number of sockets or lights, is reduced in order to fit into the tight
cost limit. Furthermore, the quality of finishing in social housing
generally is lower than in private housing.6
4. Energy efficiency in Brazil
4.1. Energy efficiency policy
The beginning of energy efficiency activities in Brazil was
marked by the establishment of the National Institute of
Meteorology, Standardization and Industrial Quality (INMETRO)
in 1984. INMETRO started debate on energy efficiency, informing
consumers of energy-efficient products, and encouraging con-
sumers to purchase such products. Today INMETRO is responsible
Personal interview with Barroso-Krause, C., Professor, Universidade Federal
de Rio de Janeiro/Faculdade de Arquitetura/PROARQ, Rio de Janeiro, 10 June 2008.
Personal interview with Brito, M., Director, BR4 Empreendimentos e
Participac- oes
~ Ltda, Rio de Janeiro, 2 April 2008, 12 June 2008.
 S. Bodach, J. Hamhaber / Energy Policy 38 (2010) 7898–7910
for the Brazilian Energy Efficiency Labeling Programme for electric
appliances, fossil fuel consuming advices and consumer products
(INMETRO, 2008).
The National Electricity Conservation programme PROCEL was
founded in 1985 by the Brazilian government. It is aiming at the
promotion of electricity conservation on the supply and demand
side, in order to reduce investment costs in the electricity
generation sector. PROCEL, housed at the public utility Eletrobrás,
funds energy efficiency projects carried out by the federal states
and local utilities, state agencies, private companies, universities
and research institutes. PROCEL also helps utilities to obtain low-
interest financing for major energy efficiency projects from a
revolving loan fund within the electric sector. Since 2001, PROCEL
is divided in eleven sub-programmes which target different
sectors. PROCEL-Edifica, responsible for energy efficiency in
buildings, aims at the involvement of all sector agents, in order
to improve energy efficiency in the building sector.7
The CONPET programme, located at the semi-public Brazilian
energy company Petrobrás, was established in 1991 with the
objective to encourage the efficient use of oil and natural gas
derivatives in transportation, the residential and commercial
sector, agriculture and industry.
Although some initiatives started in the 1980s and 1990s, the
first consistent energy efficiency policy was established after an
energy crisis in 2001: the Energy Conservation Act, law N1 10295.
This Act aims at the elaboration of consumption limits, or
minimum energy efficiency requirements for energy consuming
machines or appliances. A steering committee, called Comitê
Gestor de Indicadores e Nivéis de Eficiência Energética (Manage-
ment Committee for Energy Efficiency Indicators), consisting of all
relevant institutions (PROCEL, CONPET, Regulatory Agencies,
Ministry of Science and Technology, Ministry of Development,
Industry and Foreign Trade) was established as the new
collaborative framework in order to define the indicators and
levels of energy efficiency in different sectors (Ministério de
Minas e Energia, 2008; Leonelli, 2007).
Concerning building efficiency, the Energy Conservation Act
states in Article 4 that the executive power has to develop
mechanisms for promoting energy efficiency in the building
sector. Therefore, also in 2001, the decree 4059 was published
that announces the elaboration of maximum levels of energy
consumption, or minimum energy efficiency of buildings based on
technical indicators and specific regulations (LabEEE, 2003).
Furthermore, at the same time the law N1 9991 came into force
which obligates the concessionaires and utilities of the public
electricity service to invest in research and development, and in
energy efficiency programmes. One of these obligations is to
invest annually at least 0.5% of its net operating revenue in
projects that are designed to combat the waste of electricity. The
Brazilian Electricity Regulatory Agency ANEEL is responsible for
the selection and evaluation of these projects that can be
conducted in the areas of education, energy management,
commerce and services, communities with low purchasing power,
public bodies, residential sector, rural areas or public services
(ANEEL, 2008). Projects targeted at communities with low
purchasing power include the replacement of inefficient equip-
ment, e.g. refrigerators, light bulbs, electric showers, educational
activities, such as lectures for promoting energy conservation in
households, regularization of illegal consumers through connec-
tion to the supply grid (ANEEL, 2008).
Summarizing, energy efficiency starts to become a major issue
on political level in Brazil. However, the enforcement and
7
Personal interview with Perrone, F., Head of the department, ‘‘Desenvolvi-
mento de Eficiência Energética’’, Eletrobrás/PROCEL, Rio de Janeiro, 2 June 2008.
7901
implementation is still in the early age of development.
Particularly, in the building sector energy efficiency does not
play an important role yet.
4.2. Brazilian building standards and codes related to energy
efficiency
Due to the short history of building efficiency in Brazil, there
exist only few and controversial standards for the residential
sector.8 Those standards are still very low and most are not
mandatory.9
There are some Brazilian voluntary standards related to
thermal performance of buildings published by the Brazilian
Association for Technical Norms ABNT: the NBR 15,220, published
in 2005, is the first standard that established the bioclimatic
zoning of Brazil and that defines for the first time thermal
performance standards for single-family houses of social housing
programmes (ABNT, 2005). The NBR 15,575, published in May
2008, has the intention to normalize housing projects of one to
five stores and will be mandatory in 2010 (ABNT, 2008).
Another approach of standardization is energy efficiency
labeling of buildings which classifies the buildings in ranges A,
B, C, D and E according to their energy consumption. In 2007, the
voluntary energy efficiency labeling for commercial, service and
public buildings (Regulamentac- a~ o para etiquetagem voluntária de
nı́vel de eficiência energética de edifı́cios comerciais, de servic- os e
públicos) became legally effective. In future, a voluntary labeling
scheme for residential buildings will be published called ‘‘Etique-
tagem Voluntária de Nı́vel de Eficiência Energética de Edificac- oes ~
Residenciais’’. This label will assess the housing according to the
energy efficiency of the building envelope, the air conditioning,
the water heating system and the lighting system. Bonus points
are given for the implementation of water saving measures and in
social housing for the provision of energy-efficient refrigerators or
ceiling fans. The voluntary approach aims at the stimulation of the
building sector with the objective of a market transformation
towards more energy efficiency and sustainability. The obligation
of building labeling within five years will assure necessary
adaptation time for the construction sector (see footnote 9).
Compared to buildings, the energy efficiency labeling of
household appliances and other equipment plays a more
important role already. INMETRO, the National Institute of
Meteorology, Standardization and Industrial Quality, labels about
23 product categories, e.g. refrigerators, electric showers and
freezers, which are annually updated and listed. Every year,
PROCEL honors the most energy-efficient appliances of the market
with its seal of quality.
Regarding solar water heating, which can considerably reduce
the energy consumption in buildings, the technical norms for the
performance of system components, project planning and in-
stallation are defined by the ABNT (Table 1). In order to assure
high quality of the installation of solar water heating, INMETRO
developed the QUALISOL seal that certifies specialized installation
companies. INMETRO also voluntarily certifies the energy effi-
ciency performance of solar collectors and their storage tanks.
The Brazilian building codes do not consider energy efficiency
aspects yet. Due to the fact that they are elaborated and issued on
municipality level, the implementation of such standards faces
large difficulties. Merely since 2007, initiated by the activities of
8
Personal interview with Bastos, L., Professor, Universidade do Estado do Rio
de Janeiro/Centro de Estudos e Pesquisas em Energias Renováveis (CEPER), Rio de
Janeiro, 14 May 2008.
9
Personal interview with Lamberts, R., Professor, Universidade Federal de
Santa Catarina/Centro Tecnológico, Departamento de Engenharia Civil/Laboratório
de Eficiência Energética em Edificac- oes
~ (LabEEE), Rio de Janeiro, 28 April 2008.
7902 S. Bodach, J. Hamhaber / Energy Policy 38 (2010) 7898–7910
Table 1
Standards related to solar water heating in Brazil.
Standard Purpose
ABNT NBR- Planning and implementation of hot water installation in
7198 buildings
ABNT NB-128 Hot water installation in buildings
ABNT NBR- Heat tank of fluids for solar water heating systems
10,185
ABNT NBR- Installation of solar water systems with planar collectors
12,269
ABNT NBR- Planar solar collectors—determination of efficiency
10,184
the NGO Cidades Solares, the obligation or promotion of solar
water heating has been included in some building codes, e.g. in
Sa~ o Paulo.10
4.3. Barriers to energy efficiency in social housing
The barriers to more energy efficiency in social housing are
derived from a combination of typical deficits of the building
sector with the specifics of a low-cost situation: beyond the
investments costs, low awareness and capacities and a fragmen-
ted industry play major roles in obstructing progress toward
higher building efficiency (WBCSD, 2008). Finally, inconsistent
regulation and standards contribute to the slow advances.
4.3.1. Investment and lifecycle cost
The high initial costs are considered to be the major barrier to
energy efficiency in social housing by most interviewed experts.
The initial capital in housing for the poorest strata of the
population is very limited. Consequently, additional investment
necessary for the implementation of energy efficiency measures is
rarely available—despite a short pay-back period due to the
reduction of energy costs. The prioritization of lower investment cost
in contrast to reduced life-cycle costs is still a current practice and
hinders the enhancement of building efficiency in Brazil. Moreover
there exist almost no financing strategies for implementing energy
efficiency measures in housing (see footnote 10).11 According to the
common practice in Brazil, individual electricity meters are not
provided in social housing units (see footnote 6). As a consequence,
consumers ignore individual electricity consumption. With a fixed
share in the common energy bill dwellers lack any incentives for
saving energy.
With a high housing deficit in the low-income section of the
population, the agenda for the initiating and financing institutions
is to provide large numbers of housing units per investment (see
footnotes 3, 9, 13). Consequently, the investment cost per housing
unit is limited and regularly excludes energy efficiency measures.
4.3.2. Awareness and capacity
Furthermore, there is limited awareness of energy conserva-
tion opportunities among the stakeholders of social housing
(see footnote 9). The contractor’s interest is reduced to the
construction phase, and is not considering life-cycle costs. The
energy consumption and, thus, the energy bill is the concern of
the dweller of the social housing unit. However, they lack
awareness and knowledge about energy consumption and related
energy saving potentials (see footnotes 3, 6, 7, 9, 10).
10
Personal interview with Faria, C., Executive director of Departamento
Nacional de Aquecimento Solar (DASOL), Associac- a~ o Brasileira de Refrigerac- a~ o, Ar
Condicionado, Ventilac- a~ o e Aquecimento (ABRAVA), Rio de Janeiro, 10 June 2008.
11
Personal interview with Rodriguez, D., Personal interview. Coordinator of
the Initiative Cidades Solares, Vitae Civilis NGO, Rio de Janeiro, 5 May 2008.
The construction sector is aware neither of energy conservation
potentials nor of environmental impacts (see footnote 6). Many
construction companies have no knowledge about energy efficiency
technologies and their benefits. So they do not offer the implemen-
tation of these measures to their clients (see footnote 11).
Among the other agencies of social housing like the financing
institution, the awareness for energy efficiency opportunities is
quite low.12 The CAIXA as one of the strongest agents in the sector
until now does hardly consider any energy efficiency strategies in
their social housing projects (see footnote 5). On the other side,
the municipal planning agency of Rio de Janeiro is already aware
about the energy saving potentials in the public buildings. The
refurbishment of all public buildings according to the energy
efficiency labeling for public building will be conducted in the
near future.13
Beside awareness education and capacity also play an
important role to enhance energy efficiency. The professionals
of the construction sector such as project planners have little
knowledge about climatic adaptation strategies and energy
efficiency (see footnotes 2, 3, 6, 7). Investigation in building
efficiency and bioclimatic architecture has about 20 years of
experience in Brazil (see footnote 5). However, only in 2000,
bioclimatic principles started to enter in the curriculum of the
architecture faculties and until today they do not play, in most
cases, any important role (see footnotes 5, 8, 9, 13). Bioclimatic
architecture and energy efficiency strategies are generally taught
as an optional and theoretical subject at Brazilian universities (see
footnote 9). In general, the knowledge about energy efficiency
among the architects is still very low. The bioclimatic zoning of
Brazil and its recommended strategies are mostly not known by
the professionals (see footnote 2). Even when studied at
university, those principles are regularly not applied in the design
in the later practice (see footnote 2). However, few of them
started to consider some of those aspects (see footnote 13).
4.3.3. Policy and standardization
The lack of consistent policy action and legislation constitutes
another major constraint, according to various interviewed experts.
Among others, there is the need of a national policy for enhancing
the use of solar water heating as standard technology. The building
codes, located on municipality level, do not include any criteria for
improving the energy efficiency in buildings (see footnote 5).
Moreover existing standards are still very low and some legislation
even hinders energy efficiency (see footnotes 5, 8, 9, 11).
There is a need for energy efficiency regulations and standards
(see footnote 9). Beyond this, implementation of existing and
future regulations seems to pose a major challenge. The high
informality of the Brazilian construction sector, about 60% (Scheer
et al., 2007; Capp et al., 2005), reduces compliance with energy
efficiency standards or legislation, even if they exist (see footnote 9)
and contribute to low construction quality (see footnotes 2, 8). As
a consequence, awareness raising and dissemination of appro-
priate information about energy-saving opportunities is needed in
the construction sector.
In general, the enforcement of legislation and the provision of
information, the formation of professionals and incentives to
builders and dwellers are necessary to ensure the progress in the
sector towards more building efficiency (see footnote 11). Since
many years, the government’s actions in this field has been
retarded (see footnote 9), as until now this issue has not been
12
Personal Interview with Martins, H., Personal Interview. Service manager of
GIDUR department. Caixa Econômica Federal. Rio de Janeiro. 9 June 2008.
13
Personal Interview with Castro, C., Manager for Climate Change and
Environment, Instituto Municipal de Urbanismo Pereira Passos, Rio de Janeiro,
30 April 2008.
 S. Bodach, J. Hamhaber / Energy Policy 38 (2010) 7898–7910
Fig. 2. Housing unit (left) and constructive block (right) of Mangueira project (Invento Espac- os, 2006).
reached on the top of the political agenda (see footnote 7). As an
example, there is no national policy and incentive programmes for
solar water heating today. This makes the dissemination of those
new technologies very difficult and slow (see footnote 10).
4.3.4. Fragmentation of building sector
The fragmentation of responsibilities in current project devel-
opment practices also has been identified to be a barrier for more
energy efficiency in social housing in Brazil. For example, the
budget of such projects is elaborated by the architect; however,
the contractor economized by cutting it. Consequently, seemingly
supplemental measures like shadow devices for windows cannot
be provided (see footnote 2). During the design process of social
housing, there is no time and no possibility for applying energy
efficiency principles. Other aspects, e.g. budget, maximize number
of units and ample parking space obtain higher priority by the
initiators and investors (see footnote 3). For some energy
efficiency technologies, the current construction practice is
unfavourable and even hinders their implementation: the lack
of hot water pipe installation, for example, constitutes a
constructive obstacle for retrofitting solar water heating systems
(see footnotes 8, 10).
5. Mangueira social housing project
5.1. Project context
The Mangueira social housing project is located in Rio de
Janeiro city, the capital of Rio de Janeiro state. Rio de Janeiro has a
hot humid climate and is classified in the Brazilian bioclimatic
zone 8. In this context, the Mangueira housing project was
initiated to improve the housing situation in city district of Sa~ o
Cristova~ o. The construction site is a brownfield of an abandoned
ceramic factory located in direct neighbourhood to the shanty
town of Mangueira.
The Mangueira project is a social housing project of the
Residential Rentals Programme (Programa Arrendamento Resi-
dencial, PAR), a social housing programme funded by the CAIXA.
The beneficiaries of the project are families with a total monthly
income of maximum R$ 1800,14 preferentially from the direct
neighbouring shanty town Mangueira (see footnote 2).
It consists of 22 buildings with 496 housing units; each equipped
with a living room, two sleeping rooms, a kitchen and a bathroom
14
Brazilian Real: R$ 1800¼ 978 US$, average exchange rate in 2008: 1
US$ ¼ 0.54 R$ (IRS, 2010).
7903
that amount to a total area of 37 m2. Four housing units composed
in vertical direction are a constructive block which is added in
horizontal direction to two building types: eighteen buildings of the
first type consist of six constructive blocks, i.e. six apartments per
floor and four floors. Four buildings of the second type consist of four
constructive blocks, i.e. four apartments per floor and four floors. The
access to the apartments is provided by an exterior staircase and an
exterior circulation corridor (see Fig. 2).
5.2. Assessment matrix for energy efficiency analysis
In order to evaluate the energy efficiency of a housing project,
an assessment matrix is required that defines adequate criteria
and indicators. These criteria or indicators are established by
energy efficiency standards or green building certification
systems. Due to differences in local building practices, climate
and standards in the residential sector, many countries have
developed their own green building certification systems, e.g. the
Leadership in Energy and Environmental Design (LEED) in the
USA, the Australian GREEN STAR or the Haute qualité environne-
mentale des bâtiments (HQE) in France (Lamberts and Triana,
2007). Brazil does not have a universal green building certification
system for the residential sector yet. Besides energy efficiency,
those certification systems include criteria and indicators of eco-
efficiency like water management or environmental impact.
Due to strong relation between energy efficiency, local climate
and local building practices, it is difficult to apply criteria defined by
other countries to social housing in Brazil. Therefore, an assessment
matrix with own criteria was created based on the study of
international and national references, considering bioclimatic
strategies for the local climate of Rio de Janeiro (Table 2).
The criteria of energy efficiency are divided in three main
areas: site planning, thermal and visual comfort and installation.
Due to the strong relation of energy efficiency and eco-efficiency,
a fourth area called eco-efficiency is added to consider other kinds
of resource consumption.
The proposed criteria of the assessment matrix for the energy
efficiency analysis of the Mangueira housing project do not stand
alone, and are not independent from each other as there are
significant interactions among them (Table 3).
The quantity and location of the vegetation provided in the site
planning of a housing project can reduce strongly the urban heat
island effect due to the shadowing of buildings and pavement.
Vegetation influences both the urban ventilation and the natural
ventilation within the building. Dense vegetation, in front of
windows, orientated to the prevailing wind direction, will reduce
the air flow entering in the building. Trees in a line as wings of a
7904 S. Bodach, J. Hamhaber / Energy Policy 38 (2010) 7898–7910

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

Area Criterion Indicator

Site planning Heat island effect Characteristics of the paved areas: shadowing, clear colours with
high albedo, open pavement
Vegetation for shadowing Direct solar gains of the fac-ades
Shadowing through the surrounding buildings and vegetation
Urban ventilation Flow of local winds in summer

Thermal and visual comfort Compactness Compactness of building volume

Efficiency of the building envelope Thermal characteristic of exterior walls, roof and windows
Internal temperature during summer and winter
Natural ventilation Window area to room area
Location and orientation of windows
Day-lighting Illumination level within the housing unit
Shading devices Existence of shading devices
Solar gains through windows

Equipments Water heating Energy source and efficiency of water heating

Refrigerator Electrical consumption for cooling
Lighting Electrical consumption for lighting

Eco-efficiency Land use Type of land used for urbanization: Brownfield revitalization, etc.
Water use Sanitary water installations
Green area to closed pavements to open pavement
Building materials Embodied energy of building materials
Use of recycled materials
Transportation Existence or incentives for public and alternative transport

building could enhance natural ventilation. Shading the building
fac- ade and, thus, the windows by vegetation reduces direct solar
gains, and thereby the need of technical shading devices.
Urban ventilation can influence the natural ventilation positively
or negatively within the housing unit. A site planning that favours
the local winds and enhances the air movement improves the
natural ventilation within the building, while urban planning that
stops local winds and reduces the urban ventilation also decrease
the natural ventilation inside the housing. A further strong relation-
ship exists between shading devices and day-lighting. The use of
shading devices will reduce the day-lighting inside the building.
Depending on the type of the shading device, disturbing over
lighting or direct solar radiation, can be reduced which leads to the
improvement of visual comfort. In contrast, fixed blinds will strongly
reduce day-lighting and even increase the need for artificial lighting.
Furthermore, vertical shading devices reduce considerably the
natural ventilation of the housing unit which led to less thermal
comfort in hot humid climate.
5.3. Energy efficiency analysis
Table 4 summarizes the results of the energy efficiency
analysis of the Mangueira project according to the previously
defined assessment matrix and gives an overview of the
performance in each area applying a performance scheme of
POOR, AVERAGE and GOOD.
From the fifteen criteria, the Mangueira housing project per-
forms in seven criteria POOR, in three AVERAGE and in five GOOD
(Table 4). This result shows that the social housing project
Mangueira has high potentials for improving the energy efficiency.
6. Recommendations and implementation
6.1. Project design recommendations
6.1.1. Design guidelines
Based on the energy efficiency analysis and evaluation of
Mangueira social housing project, 14 building design strategies
were elaborated for the improvement of energy efficiency of
social housing in Rio de Janeiro. They are summarized in Table 5
with a short description of their measures. Those measures should
be incorporated in the social housing programmes, in order to
enhance energy efficiency and, thus, limit increasing energy
demand. Due to the large climatic variety in Brazil, not all
proposed energy efficiency measures are applicable in other
climate regions of the countries.
Seven specific measures in Mangueira housing project have
potential to improve the thermal comfort and, thus, to reduce the
need for mechanical cooling. They are summarized at this point
and listed in Table 6 with their effects and benefits.
6.1.2. Economic evaluation and affordability
Generally, the measures for improving the energy efficiency
imply an additional initial cost that is paid back within the first
years of occupying the building due to reduced energy expenses.
The economic analysis is conducted exemplary for the Mangueira
social housing project for those measures which can be evaluated
economically, and where price information was available.
In order to improve the site planning of Mangueira housing
project for more energy efficiency, a total additional investment of
9346.14 R$ is necessary that corresponds, distributed across 496
housing units, to 18.84 R$ per housing unit (see Table 7). The
improvement of thermal comfort of the housing units is estimated
at 1574.47 R$ (see Table 8). A further investments cost of 2977.00
R$ is needed to improve the energy efficiency of equipments (see
Table 9). In summary, 4570.31 R$ more investment per social
housing unit is necessary in order to implement the most
important energy efficiency measures in the Mangueira housing
project.
The economic analysis shows that the introduction of energy
efficiency measures could be realized through the increase of the
initial cost per housing unit of 48,000 R$ to around 53,000 R$.
Thereby, the costs for the adaptation of the site planning are
marginal, while installations contribute strongly to the initial cost
of energy efficiency measures.
The proposed measures for the improvement of energy
efficiency lead to an increase of the initial costs. However, the
Table 3
Relations between the energy efficiency criteria of the assessment matrixa.

Criteria of the Influenced factors

energy efficiency
analysis
Site planning Thermal and visual comfort Equipments Eco-efficiency

Influencing factors Heat Vegetation Urban Compactness Efficiency of the Natural Day- Shading Water Refrigerator Lighting Land Water Building Transportation
island for ventilation building envelope ventilation lighting devices heating use use materials
effect shadowing

Site planning Heat island X X X X X

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

effect
Vegetation for R B B R
shadowing
Urban R B
ventilation

Thermal and visual Compactness X E B B B X

comfort
Building X X X
envelope
efficiency
Natural X X
ventilation
Day-lighting X X X X R
Shading R X R E
devices

Equipment Water heating X X

Refrigerator
Lighting X X

Eco-efficiency Land use X B X X B

Water use X X X
Building X
materials
Transportation X

X¼ existing relation
E ¼enhancing relation
R¼ reducing relation
B ¼both: enhancing or reducing
a
Table has to be read from left to right, i.e. the first ‘‘R’’ in row ‘‘vegetation for shadowing’’ means that vegetation for shadowing reduces the heat island effect; the first ‘‘X’’ in ‘‘heat island’’-row means that the heat island
effect is somehow related with the vegetation for shadowing.

7905
7906 S. Bodach, J. Hamhaber / Energy Policy 38 (2010) 7898–7910

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

Area Criterion Analysis result Performance

Site planning Heat island effect Fulfils LEED criteria of heat island effect Good
Vegetation for shadowing The location of trees is conducted without any regard to shadowing building fac-ades. Poor
Urban ventilation Six expected areas of low ventilation, which affect 10 of 22 buildings Poor

Thermal and visual Compactness Acceptable compactness Good

comfort Efficiency of the building Sufficient thermal performance of the walls, insufficient performance of roofs; Average
envelope according to the simulation, the thermal indoor comfort is low during the summer
months
Natural ventilation Insufficient windows area Poor
Crossing ventilation partly assured
Daylighting Sufficient daylighting in all areas of the housing unit Good
Shading devices No shading devices provided Poor

Equipment Water heating Use of gas tankless individual water heaters Average
Refrigerator No provision or incentives of the use of efficient refrigerator Poor
Lighting No provision or incentives of the use of efficient lighting Poor

Eco-efficiency Land use Used plot is a degraded industrial urban area; availability of urban infrastructure Good
Water use Low efficiency of water installation Poor
No individual water billing; no raining water use
Building materials Sub-criteria partly fulfilled Average
Transportation Public transport available
Several urban functions in proximity Good

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

Strategy Measures

Site planning Reduce heat island effect Use of light coloured materials for at least 50% of the sealed area
Use of open pavers for the parking area
Planting of trees for shadowing the pathway
Shadow the building fac-ade Planting of trees in front of the south-west, west, south-east and east fac-ade
having regard to the prevailing winds for enhancing natural ventilation
Enhance urban ventilation Site planning for encouraging air movements in the housing estate
Orientation of the long building fac-ade of building in the direction of prevailing
wind
Orientation of openings in the prevailing wind direction

Thermal and visual Improve thermal efficiency of building Use walls with high thermal inertia, e.g. structural ceramic blocks
comfort Use external surface with light colours
Envelope Improve thermal transmittance of roofs through reflective insulation
Enhance natural ventilation Openings orientated to the prevailing wind direction
Increase area of windows
Use window type that maximize air flow (e.g. casement or pivot windows)
Allow crossing ventilation
Install ceiling fans in rooms of long permanence
Assure natural illumination Assure natural illumination in long permanence zones
Reduce direct solar gains Avoid windows in the east and west fac-ades
Install shading devices for windows orientated east and west, prioritizing the west
fac- ades

Equipment Use of solar water heating Install solar water heating

Reduce electricity demand for household
appliances
Reduce electricity demand for artificial lighting
Use energy-efficient refrigerators
Inform new habitants about saving potentials
Involve local electricity supplies in the replacement of inefficient refrigerators
Use energy-efficient lighting
Inform new habitants about saving potentials
Provide energy-efficient lighting in the whole housing unit

Eco-efficiency Reduce environmental Utilization of unused urban or periurban land with access to basic infrastructures
Impact through land use Enhance brownfield redevelopment
Reduce water consumption Installation of water-efficient equipment
Use of collected raining water
Provide individual water meters
Reduce environmental impact through building Use of locally produced material with low maintenance need
materials Use of recycled materials and reuse of demolished materials
Use legal or certified wood
Reuse auxiliary construction materials
Assure waste management
Reduce need for transportation Assure accessibility to community and public transport
Enhance functional mix in social housing areas
 S. Bodach, J. Hamhaber / Energy Policy 38 (2010) 7898–7910 7907

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

Measure Direct physical effect Benefit

Planting 40 large trees along the pathways Reduction of solar penetration of the pavement Reduction of outdoor air temperature
Planting 70 trees for shadowing the west Reduction of solar penetration of the western building Reduction of indoor air temperature
fac- ades of the buildings fac- ades
Adaptation of site planning for enhancing Increase of air movements within the residential area Reduction of apparent air temperature
urban ventilation
Use of reflective insulation for the roof Reduction of heat transfer through the roof Reduction of indoor air temperature
Increase of window size Enhancement of natural ventilation of housing unit Reduction of apparent air temperature
Use of casement or pivot windows Enhancement of natural ventilation of housing unit Reduction of apparent air temperature
Installation of shading devices for the east and Reduction of direct solar gains through windows Reduction of indoor air temperature
west orientated windows

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

Quantity Cost per unit Total costs Substituted cost Difference

Reduce heat island effect

Open pavers for parking areas 1221 m2 25.95 R$ 31,696.44 R$ 25,650.30 R$ 6046.14 R$
Planting trees along the side-walk 40 30.00 R$ 1200.00 R$ 0.00 R$ 1200.00 R$
Shadowing of building fac-ade
Planting of trees in front of the west fac-ades 70 30.00 R$ 2100.00 R$ 0.00 R$ 2100.00 R$
Total cost 9346.14 R$
Total cost per housing unit 18.84 R$

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

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

Quantity Cost per unit Total costs Substituted cost Difference

Improve thermal efficiency of building envelope

Use reflective insulation for the roof 12 m2a 15.00 R$ 179.45 R$ 0.00 R$ 179.45 R$
Enhance natural ventilation
Increase window openings from 1.2  1.2 m2 to 1.2  1.8 m2 4 a
517.58 R$ 2070.32 R$ 1156.61 R$ 913.72 R$
Install ceiling fans in three rooms 3a 150.00 R$ 450.00 R$ 0.00 R$ 450.00 R$
Reduce direct solar gains
Install shading devices for windows orientated east and west 208b 74.63 R$ 15,525.12 R$ 0.00 R$ 15,525.12 R$
Total costs 780,936.78 R$
Total cost per housing unit 1574.47 R$

All prices obtained through offer from construction companies or market study in June 2008.
a
For one housing unit.
b
For the entire residential area.

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

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

Use solar water heating

Install collective solar water heating within one building block (4 units) 1 1809.00 R$ 1809.00 R$ 0.00 R$ 1809.00 R$ 5 years
Reduce electricity demand for household appliances
Use energy-efficient refrigerators 1 1128.00 R$ 1128.00 R$ 0.00 R$ 1128.00 R$ 3 years
Reduce electricity demand for artificial lighting
Provide energy-efficient lighting in the whole housing unit 5 10.00 R$ 50.00 R$ 10.00 R$ 40.00 R$ 3 months
Total cost per housing unit 2977.00 R$

All prices obtained through market study in June 2008.

population with low-income does not dispose of this capital. Thus,
the additional initial cost has to be assumed by the social housing
programmes. Those cost can be reallocated to the new inhabi-
tants, e.g. in the case of the PAR programme through the increase
of the monthly leasing rate. The installation of the solar water
heating in the Mangueira housing project, for example, would
cause an increase of the leasing rate per family by 14.47 R$ per
month, while the savings for the reduced gas consumption
amounts to 22.55 R$ per month (Table 10). The monetary benefit
per month and household remain at 8.08 R$. Even higher benefits
are estimated for the application of efficient refrigerators or
energy-efficient lighting in social housing. The provision of
energy-efficient equipment in social housing would increase the
available monthly household income by 35.83 R$. That means the
implementation of energy efficiency measures in social housing
can contribute to alleviate poverty.
7908 S. Bodach, J. Hamhaber / Energy Policy 38 (2010) 7898–7910

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

Solar water heating Refrigerator Lighting

Energy costs for energy-efficient equipment 15.03 R$/moa 11.90 R$/mob 17.85 R$/moc
Energy costs for inefficient equipment 37.58 R$/mod 35.69 R$/moe 4.46 R$/mof
Savings due to reduced energy consumption 22.55 R$/mo 23.80 R$/mo 13.38 R$/mo
Investment cost of energy-efficient equipmentg 1809.00 R$ 1128.00 R$ 50.00 R$
Increase of monthly leasing rateh 14.47 R$/mo 9.02 R$/mo 0.40 R$/mo
Monetary benefit for low-income household per month 8.08 R$/mo 14.77 R$/mo 12.98 R$/mo

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

Although the affordability of energy efficiency measures in the Table 11

areas of site planning and thermal comfort is not analyzed in Constraints of energy efficiency in social housing.
detail here, a similar effect like in the case of equipments is
expected due to the fact that these measures implicate low initial Setting Constraints of energy efficiency in social housing

investment and reduce electricity costs for air conditioning

Overall
substantially. setting
If the initial capital for energy efficiency improvement could
not be provided by the programme, the measures could be
implemented through energy performance contracting. This
agreement with an energy service company (ESCO) or with the Political
setting
power utility can be also used as tool for demand side manage-
ment. It will identify and evaluate energy-saving opportunities in
the dwelling, and then recommend a package of improvements to
be paid for through energy savings. The ESCO will guarantee that Project
savings meet or exceed annual payments to cover all project costs, setting
usually over a contract term of up to ten years. Energy
performance contracting is particularly recommended for the
refurbishment of existing social housing dwellings.
 Initial cost limit per housing unit is very low
 Lack of standardized building material on the Brazilian
construction market, e.g. elements for natural ventilation and
radiant barrier for roof insulation with performance label
 No obligation for thermal performance or energy efficiency in
the building code
 No national policy for implementation of energy efficiency
measures like solar water heating
 Project planners have little knowledge about energy efficiency
and bioclimatic architecture
 Beneficiaries have little information about energy saving
potentials

6.2. Constraints and opportunities of energy efficiency Table 12

As a result of the study, several aspects were found that are
hindering energy efficiency in the social housing sector in Brazil
and in Rio de Janeiro. For example, the initial cost limit per social
housing unit or the lack of a consistent national policy restrains
the implementation of energy efficiency measures. Further
constraints are of insufficient knowledge among project planners
and scarce information about energy saving potentials among the
beneficiaries. All identified constraints are summarized in Table 11
according to their setting.
On the other hand, there exist a number of opportunities for
enhancing energy efficiency in social housing in Brazil, e.g. the
long history and ongoing research in this field or the short pay-
back period of energy efficiency investments. A complete list of
the identified opportunities is presented in Table 12.
6.3. Institutional framework recommendations
Government policies indicate that energy conservation be-
comes an important issue in Brazil. One target of the National
Energy Conservation Act is to decrease the energy demand in
buildings. Energy efficiency in social housing can contribute to
this goal and also contribute to the poverty alleviation among the
residents of social housing.
The large housing deficit in Brazil will lead to the construc-
tion of a huge amount of new social housing in the future, mainly
with public funds. In order to avoid unnecessary high energy
Opportunities for energy efficiency in social housing.
Setting Opportunities for energy efficiency in social housing
Overall  Existing funds for energy efficiency improvements (ANEEL)
setting  Ongoing research about bioclimatic strategies and energy
efficiency
 Existing programme for assuring quality and productivity of the
construction sector
Political  Energy efficiency is important on national level
setting  Existing programme for energy efficiency in buildings like
PROCEL-Edifica
 Discussion about climate change on municipality level opens
doors for a debate about energy efficiency in social housing
 Starting discussion about energy efficiency standards in the
main funding institution CAIXA
Project  Short pack-back time of investment in energy efficiency
setting measure
 Financial benefit of energy efficiency measure for the residents
of social housing enhance their economical sustainability
consumption in those new dwellings and to improve the
sustainability of the people’s livelihood, it is highly recommended
to integrate energy efficiency issues in all social housing
programmes. Thus, the main funding institution CAIXA should
incorporate energy efficiency standards in their technical manuals
 S. Bodach, J. Hamhaber / Energy Policy 38 (2010) 7898–7910 7909

for the elaboration of new social housing projects. Since the public
body is the main investor in social housing, the incorporation of
energy efficiency standards in these projects would contribute to
significant savings in electricity consumption that could simulta-
neously be a driver for more energy efficiency in the whole
building sector.
Therefore, it is necessary to increase the initial capital provided
per social housing unit. The results of this study show an increase of
about 10% would be enough to introduce the most important energy
efficiency measure in projects of the CAIXA’s PAR programme.
The introduction of energy efficiency standards in the local
building codes would not only enhance energy conservation in
the social housing, but also in the whole construction sector.
Those minimum criteria should be harmonized with existing
voluntary standards or the energy efficiency labeling for the
residential sector. Due to the low level of these standards, it is
recommended to strengthen them periodically.
With the establishment of a national policy for solar water
heating, this technology would rapidly become the standard for
water heating in housing. The implementation of more pilot
projects in social housing with public funds could contribute to
gain experiences in this field.
To improve access to capital the development and introduction
of new financing instruments for the implementation of energy
efficiency measures in existing dwellings is highly recommended.
For that, one possibility could be enhancing the entrance of the
Energy Service Companies (ESCOs) in the social housing sector.
For example, ESCOs could participate in the refurbishment of
large existing social housing estates by implementing energy
efficiency measures. The provision of financing mechanisms for
the acquisition of energy-efficient equipments like refrigerators or
solar collectors is also necessary, especially for the population
with low-income. All these mechanisms should be introduced by
a comprehensive campaign that raises awareness among all
relevant stakeholders.
The implementation of pilot projects in the form of energy-
efficient social housing is recommendable in order to disseminate
these new ideas. The development of a manual for energy-efficient
housing in Rio de Janeiro and its distribution among the
stakeholders of social housing would increase the awareness for
energy conservation potentials and enhance project developers to
consider energy efficiency aspects in their dwelling projects.
For the PAR programme, it is recommended to incorporate a
comprehensive energy efficiency campaign for the new residents
into the social component of the projects (Trabalho Técnico Social
no PAR). This could include the provision of a small manual about
‘‘How to save energy in my new home?’’ and the offer of financing
or subsidies for purchasing energy-efficient equipment like
refrigerators or lighting.
In Rio de Janeiro, the SMH should start to cooperate with the
local energy providers in order to identify potential actions in the
field of energy efficiency improvement in social housing aiming at
the development of projects financed by the ANEEL fund.
The engagement of professionals, especially project planners,
who have adequate and good knowledge about bioclimatic
strategies and energy efficiency measures, plays a key role in
the energy efficiency improvement of social housing. Therefore,
universities and vocational schools should include energy effi-
ciency as an important subject in their curricula.
The construction companies could contribute by developing
alternative solutions for social housing, which integrate energy
efficiency measures and strategies for reducing the ecological
impact of the construction.
Related to building materials, the construction sector sup-
ported by research institutes should work on the development of
adequate building elements for permanent and controlled natural
ventilation and introduce them into the market, if necessary with
the public support. For the quality improvement of reflective
insulation, applicable to enhance the thermal performance of the
roofs, standards for this material should be established by an
INMETRO. The Brazilian Programme for the Quality and Produc-
tivity of Housing (PBQP-H) is recommended to encourage the
construction market to provide more building materials with low
ecological impact by developing and introducing an Eco-label.
This would contribute to more sustainable construction in the
Brazilian housing market.

Table 13
Institutional framework recommendations.

Area Recommendation

Policies and regulations  Integration of energy efficiency aspects in social housing programmes
 Introduce energy efficiency measures in the building code on municipality level
 Provide national policy for enhancing the use of solar water heating
 Strengthen existing and new energy efficiency standards periodically

Financing  Increase the cost limit per social housing unit, e.g. for the PAR programme from 48,000 R$ to at least 53,000 R$
 Develop and introduce financing instruments for the implementation of energy efficiency measure in existing dwellings
 Provide financing for the acquisition of energy-efficient equipment in social housing

Dissemination and awareness  Implement pilot projects of energy-efficient social housing

raising  Incorporate energy efficiency campaign for new residents into the social component of the social housing programmes
 Develop manual for energy-efficient social housing in Rio de Janeiro and distribute it among the stakeholders
 Awareness raising among the professionals of the social housing sector for energy efficiency
 Formation of project planners in bioclimatic architecture and energy efficiency

Implementation  Include energy efficiency measures in the technical manual for social housing project of the CAIXA
 Enhance collaboration between the municipality (e.g. SMH of Rio de Janeiro) and the local electricity provider, in order to develop
project in the field of energy efficiency in social housing financed by the ANEEL fund.
 Enhance the entrance of the ESCOs in the social housing sector, especially for existing dwellings
 Develop alternative energy-efficient solutions (‘‘green housing’’) for social housing

Building materials  Develop and produce adequate element for (permanent) natural ventilation and better materials for reflective insulation
 Establish standards and test methodologies for reflective insulation
 Develop and introduce eco-labeling for building material
7910 S. Bodach, J. Hamhaber / Energy Policy 38 (2010) 7898–7910
In general, these measures should consider the fragmentation of
construction along the life-cycle and among the stakeholders, as
many of the named deficits are related to an uneven distribution of
competences, awareness, interests and benefits in different steps
from planning to construction to use of the building.
The institutional framework recommendations for enhancing
energy efficiency in social housing in Brazil and Rio de Janeiro are
summarized in Table 13.
7. Conclusion
There is a high potential to increase energy efficiency in social
housing in Brazil. The analysis and assessment of the case study in
Rio de Janeiro have shown which energy efficiency measures are
necessary to improve the thermal comfort and to reduce the
energy consumption. The implementation of the proposed energy
efficiency measures listed in Table 6 would contribute substan-
tially to the Brazilian goal to dampen the fast growth of energy
consumption and, thus, reduce investment needs in the electricity
generation sector. The economic analysis of this study has shown
that more energy efficiency in social housing would improve the
income situation of the poorest strata of the population due to the
reduction of their energy expenses. Adapting recommendations
for the institutional framework represented in Table 13, the
inertia in advancing energy efficiency in the social housing sector
may be overcome.
The building sector in emerging economies like Brazil
today is already responsible for a huge share of primary energy
consumption—and will be even more so in the future. Thus,
the enhancement of energy efficiency in the social housing
sector in these countries could be a driver for market trans-
formation towards more sustainability in the whole building
sector.
Acknowledgements
The author feels grateful to all who made this study possible,
especially, the great assistance given by the GTZ office in Rio de
Janeiro and its staff in providing space and support. The research
stay in Rio de Janeiro was financially supported by the German
Academic Exchange Service (DAAD).
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