PANERU, S. 2019. Appraisal of energy efficiency retrofit: government incentives and social housing organizations’ perspective. Robert Gordon University [online], PhD thesis. Available from: https://openair.rgu.ac.uk Appraisal of energy efficiency retrofit: government incentives and social housing organizations’ perspective. PANERU, S. 2019 The author of this thesis retains the right to be identified as such on any occasion in which content from this thesis is referenced or re-used. The licence under which this thesis is distributed applies to the text and any original images only – re-use of any third-party content must still be cleared with the original copyright holder. This document was downloaded from https://openair.rgu.ac.uk APPRAISAL OF ENERGY EFFICIENCY RETROFIT Government Incentives and Social Housing Organizations’ Perspective SURAJ PANERU PhD 2019 FEBRUARY 1, 2019 SCOTT SUTHERLAND SCHOOL OF ARCHITECTURE AND BUILT ENVIRONMENT. ROBERT GORDON UNIVERSITY Aberdeen, UK APPRAISAL OF ENERGY EFFICIENCY RETROFIT: Government Incentives and Social Housing Organizations’ Perspective SURAJ PANERU A thesis submitted in partial fulfilment of the requirements of the Robert Gordon University for the degree of Doctor of Philosophy This research was carried out in the Scott Sutherland School of Architecture and Built Environment Aberdeen, UK 2019 i CERTIFICATE OF ORIGINALITY This is to certify that I am solely responsible for the work, which has been submitted within this thesis. Apart from where identified, by means of referencing, I confirm that the thesis has not been submitted to any other institution or body in consideration for any other degree or qualification. Signed: __________________________________________ Date: _____________________________________________ Suraj Paneru ii ACKNOWLEDGEMENT Firstly, I would like to convey my sincere gratitude to my Supervisors Dr Amar Bennadji and Dr David Moore for their continuous support of my Ph.D. study, motivation, and extensive knowledge. Their guidance helped me in all the time of the research and writing of this thesis. I could not have imagined having a better supervisor for my Ph.D. study. I am really thankful to the research participants for their contribution which has been crucial in shaping this research. Besides my supervisors, I would like to thank the rest of my examiners Dr Huda Salman and Professor Rohinton Emmanuel for their insightful comments and encouragement. My sincere thanks also go to Bruce Taylor and Professor Richard Laing who guided me in the early stages of PhD; their precious support made my PhD journey much easier. Last but not the least, I am most grateful to my loving wife Namuna for her encouragement, immense support and friendship. Special thanks to my parents and sisters Kalpana, Samjhana, Gita, Sovita and Binita. I am indebted to my cousins Sirjana, Deepak, Nirmala and Binod for their immense support during difficult times, without their precious support, the journey wouldn’t have been the same. Thank you! iii ABSTRACT From the Scottish Social Housing Organizations (SHO) perspective there is a major challenge to be addressed; retrofitting their dwelling stock to meet the energy efficiency objectives of the UK and Scottish governments along with their own priorities such as tenant health and wellbeing and doing so when there are limited resource and a lack of tailored funding mechanisms that help SHO deliver them. The scope of the research is to determine problems and benefit criteria of social housing retrofit and then identify and assess potential solutions. This research looked at the range of social housing retrofit incentives, the different levels of related policies, and archival data regarding the nature of social housing retrofit activity. The research inquired from the key stakeholder social housing organization (SHO) perspective the extent and nature of the problems using interview and questionnaire methods. These methods made use of a sample comprising academics, policymakers, directors, and professionals directly involved in social housing retrofit issues. Regarding analysis, Inductive Thematic Analysis (ITA) was used to analyze the data from the semi-structured interviews, while the questionnaire was designed and analyzed using the Analytical Hierarchy Process (AHP) method. Finally, based on the current research, the three major problems of the social housing retrofit were determined; i) There is contrast in Government's policy focus and SHO's priority for housing retrofit; ii) The ownership and control of energy efficiency retrofit is located in different places, and iii) There is not sufficient participation of the tenants, communities and potential private construction companies in the design and delivery of the retrofit measures. The research suggested that the way forward would be to address these problems through three approaches. Firstly, by focusing on the SHO priorities through localized retrofit incentives, giving the SHO or the local (not the UK or Scottish national governments) government outright control and ownership of the social housing retrofit. Secondly, by exploring areas of collaboration with innovative private sector construction companies. Thirdly, assuring the participation of tenants and communities at the design, delivery and post-retrofit project stages. iv LIST OF RESEARCHER’S PUBLICATIONS UK government’s household energy efficiency incentives and social housing organizations’ perspective on energy efficiency retrofit. Authors: Suraj Paneru, Amar Bennadji, David Moore, Robert Gordon University, Aberdeen. Published at https://plea2017.net/ Passive and Low Energy Architecture conference 2017, PLEA 2017 proceedings, volume ii, ISBN: 978-0-9928957-5-4, July 2017 Fuel poverty, UK’s dilemma on climate change and Scotland’s struggle for housing energy efficiency. Authors: Suraj Paneru, Amar Bennadji, Bruce Taylor, Robert Gordon University, Aberdeen. Published at http://www.plea- arch.org/index.php/plea-proceedings/ Passive and Low Energy Architecture (PLEA) conference 2015, PLEA 2015 proceedings, ISBN: (eBook, Proceedings) 978-88-941163-1-1, September 2015 v LIST OF CONFERENCES 25 – 26 June 2015: (Poster and presentation) FUTURE 2015 CONNECTIONS, Sustainability Research in Action, An inter-disciplinary conference for PhD, Post Doc, and early career researchers, University of Edinburgh, Scotland 9 - 11 September 2015: (Paper and presentation) PLEA (Passive and Low Energy Architecture), 2015 - ARCHITECTURE IN (R)EVOLUTION, The 31th International PLEA Conference, Bologna Italy 1-2 March 2016: (Attended) CIH (Chartered Institute of Housing) Scotland Conference 2016 Scotland's Housing Festival 2016, Edinburgh, Scotland 31 May – 1 June 2016: (Poster and presentation) Facing the Future 2016 (Realising Resilience) Conference, University of Aberdeen, Scotland 14 - 15 March 2017: (Attended) CIH Scotland Conference 2017, Scotland's Housing Festival 2017, Glasgow, Scotland 3 - 5 July 2017: (Paper and presentation) PLEA 2017 Edinburgh, PASSIVE AND LOW ENERGY ARCHITECTURE, DESIGN TO THRIVE, the 33rd International PLEA Conference, Edinburgh, Scotland vi LIST OF ABBREVIATIONS AHP Analytic Hierarchy Process BRE Building Research Establishment CCF Climate Challenge Fund CERO Carbon Emission Reduction Obligation CERT Carbon Emissions Reduction Target CESP Community Energy Saving Programme CHP Combined Heat and Power CI Consistency Index CIH Chartered Institute of Housing CPI Consumer Price Index CR Consistency Ratio CRC Carbon Reduction Commitment CSIC Construction Scotland Innovation Centre DBEIS Department for Business, Energy and Industrial Strategies DCLG Department for Communities and Local Government DECC Department for Energy and Climate Change DHW Domestic Hot Water E=0 Net Zero Energy EAS Energy Action Scotland ECO Energy Company Obligation EESSH Energy Efficiency Standard for Social Housing EPBD Energy Performance of Buildings Directive EPC Energy Performance Certificate vii EPC Energy Performance Contract ERGF European Regional Growth Fund ESCO Energy Services Company EST Energy Saving Trust EU European Union EVPA European Venture Philanthropy Association FIT Feed in Tariff FPEER Fuel Poverty Energy Efficiency Rating FRESH Financing Energy Retrofit for Social Housing GHG Greenhouse gases GOV.SCOT Scottish Government GOV.UK UK government HA Housing Association HEEPS Home Energy Efficiency Programme for Scotland HEEPS-ABS HEEPS Area Based Scheme HHCRO Home Heating Cost Reduction Obligation HVAC Heating, Ventilation, Air Conditioning ITA Inductive Thematic Analysis LA Local Authorities LIHC Low income high cost Ofgem Office of Gas and Electricity Market ONS Office for National Statistics PV Photovoltaic RdSAP Reduced data Standard Assessment Procedure RHI Renewable Heat Initiative RI Random consistency Ratio viii RSL Registered Social Landlord SAP Standard Assessment Procedure SFHA Scottish Federation of Housing Association SHO Social Housing Organization ix LIST OF FIGURES Figure 1: Research phases ..................................................................... 5 Figure 2: Research Methodology ............................................................. 6 Figure 3: Estimated Stock of Dwellings in Scotland by Tenure (2015), Source: GOV.SCOT, 2017b ............................................................................... 11 Figure 4: Dwelling Stock by Tenure in the UK (2014), Source: GOV.UK 2017 ........................................................................................................ 12 Figure 5: