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Climate protection and compact urban structures in spatial planning and local construction plans in Germany
Land Use Policy 27 (2010) 864–868
Contents lists available at ScienceDirect
Land Use Policy journal homepage: www.elsevier.com/locate/landusepol
Climate protection and compact urban structures in spatial planning and local construction plans in Germany Wolfgang Wende a , Wulf Huelsmann a , Michael Marty a , Gertrude Penn-Bressel a , Nikolai Bobylev b a b
Federal Environment Agency Germany, Wörlitzer Platz 1, 06844 Dessau, Germany Research Centre for Interdisciplinary Environmental Cooperation, Russian Academy of Sciences, POB 45, 195267, St. Petersburg, Russia
a r t i c l e
i n f o
Article history: Received 23 June 2009 Received in revised form 12 November 2009 Accepted 15 November 2009 Keywords: Spatial planning Urban land-use policy Climate change Climate protection Climate change mitigation
a b s t r a c t The paper discusses opportunities for integration of the climate protection strategy declared by the German government into spatial and urban land-use plans in Germany. The paper gives a brief overview of German climate protection related legislation, gives some statistics on energy demand in the housing sector in Germany, and identifies opportunities for climate change mitigation in urban areas through enhanced spatial planning and energy-efficient homes. Drawing on statistical analysis the paper identifies discrepancies between trends in population densities and actual housing floor space. The paper further identifies opportunities for increasing heating efficiency of houses by managing the spatial arrangement of apartments and buildings. The overall conclusion of the paper is that adjustments in the spatial planning legal base in Germany are necessary to integrate specific climate protection tools that will allow an increase in energy efficiency in housing. © 2009 Elsevier Ltd. All rights reserved.
Introduction and basic definitions on climate protection The paper discusses opportunities for integration of the climate protection strategy declared by the German government into spatial and urban land-use plans in Germany. At present, a large number of research and development projects are being initiated in Germany which address the questions of climate protection (mitigation) and adjustment to climate change (adaptation) in spatial planning, environmental planning and residential development. The challenges of climate protection (mitigation) are the main focus of the present paper. Climate change mitigation means implementing policies to reduce greenhouse gas emissions and enhance sinks (Pachauri and Reisinger, 2007). In spatial planning practice there are three main opportunities to reduce greenhouse gas emissions: • potential energy savings through favourable location of new residential and commercial developments; • energy-efficient design of buildings; • production of energy using renewable resources. Energy-saving and energy-efficient spatial and residential development is the main focus, e.g. in local development plan-
E-mail address: [email protected] (N. Bobylev). 0264-8377/$ – see front matter © 2009 Elsevier Ltd. All rights reserved. doi:10.1016/j.landusepol.2009.11.005
ning, through the creation of sufficiently great structural density and emissions reducing traffic solutions; and in spatial planning, through the achievement of greater CO2 binding by reforestation; and reduction of greenhouse gas emissions by modification of land-use (Bulkeley and Kern, 2006; Dawson et al., 2009). Thus, such questions as building spatial orientation for maximum heat capture, the development of energy-efficient urban–suburban relationships, as well as possibilities for the minimisation of infrastructural systems for individual motorised traffic, are to be addressed with the objective of maximising energy efficiency.
Overview of contemporary German legislative base on climate protection and spatial planning Comprehensive planning practice in the German spatial plans (Raumordnungsplanung) and urban land-use planning system (Bauleitplanung), which includes zoning, or preparatory land-use plans (Flaechennutzungsplaene), and local construction development plans, or legally binding land-use plans (Bebauungsplaene), faces the challenge of contributing its share towards global climate protection. The legal foundations for spatial planning in Germany demand the inclusion of the interests of general climate protection at the regional level. Particularly the Spatial Planning Law (ROG) as amended as of June 30, 2009, requires, under Art. 2, Sect. 2, No. 6, the application of the following spatial planning principle: “. . .the spa-
W. Wende et al. / Land Use Policy 27 (2010) 864–868
tial requirements of climate protection must be taken into account, both by measures to counteract climatic change and by those which serve the purpose of adaptation to climatic change. In this context, the spatial prerequisites for the expansion of renewable energies and for thrifty energy use are to be created.” The Federal Building Code (BauGB), e.g., mentions requirements for general climate protection in Art. 1, Sect. 5, Clause 2 at the local level: the municipal zoning plan and the local construction development plan “are to contribute to securing an environment consistent with human dignity and to protect and develop the natural basic living conditions, which shall also be carried out in such a manner as to meet the responsibility for general climate protection”. However, there is a controversy in the legal-scientific literature as to whether this interest in general climate protection authorises municipalities to incorporate stipulations in favour of the global climate in construction development plans; or whether the BauGB only allows stipulations to reduce local or regional air pollutants in those plans (Mitschang, 2008). The German Federal Environment Agency (UBA) has a clear view that a municipality which establishes a new local plan for urban development may include urban development measures which promote the interests of global climate protection in this plan (BUND, 2008). Thus, municipalities are encouraged to take not only local interests into consideration when drafting a development plan; they may provide stipulations which stem from global considerations as well. Since climate protection is controversial in local construction development planning, at least from a legal point of view, the UBA has conducted a legal study to examine the position of climate protection (Janssen and Albrecht, 2008). The legislation has created the planning category “local construction development planning” exclusively for the purpose of fulfilling urban development projects; thus municipalities are banned from using this type of planning instrument for purposes other than those of urban development. Undoubtedly, local construction development planning may address stipulations to improve the local climate, e.g. reducing air pollutants. But the question arises whether global climate protection can be considered as an urban development driver—which seems to be at the core of this legal discussion. In this connection however, the following applies: the objectives of urban land-use planning stated in BauGB in Art. 1, Sect. 5, Clause 2, to wit: the contribution of urban land-use planning towards ensuring an environment consistent with human dignity, as well as for the protection and the development of the natural basic conditions of life, include responsibility for general climate protection, and thus, constitute a consolidation of the central concept of sustainable urban development. It is important that the new BauGB Art. 9, Sect. 1, No. 23 b, explicitly makes possible stipulations in a local construction development plan for the use of renewable energies, e.g. solar and wind. Thus, the above-mentioned urban development and climate issues are duly reflected in legislation, and further efforts should be directed towards concretisation of the particularities that would facilitate protection of global climate. Protection of global climate is not the main task of urban development, but this issue may, and should be addressed within the context of urban development planning practice.
Statistics on land-use, housing development, and energy efficiency in Germany A study by the German Federal Statistical Office shows that past efforts to save heating energy in the area of housing have been nullified by the increase in heated living space (cf. hereinafter: UBA, 2007, 31f). Thus, the heating energy consumption of private homes increased by 2.8% from 1995 through 2004, even though the
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required heating energy per square metre of living space decreased by about 9% during the same period. The reason for this is that heated living space grew by 13% during this period. The number of households, and hence the number of flats used, has increased by approximately 5% – along with an increase in the population of only approximately 1% – the increase in heated living space by a total of 13% can be explained for the most part by an increase in the consumption of residential space per household, and especially the consumption per capita of the population. A closer analysis of the data of the Federal Agency of Building and Regional Planning (BBR) shows that it is primarily consumption of residential space by older people in one- or two-person households, who have remained in detached houses or large family flats after their familyraising period, which contributed to a major degree to the societal per capita increase in consumption of residential space. Particularly in the years since 1995, many detached houses have been built, although the housing stock in many regions, considered purely arithmetically, would have sufficed to provide even families with children with sufficiently large flats. However, that would have required motivating older people to move into smaller flats after the end of their family-raising years. In the course of the demographic change in Germany, there is the danger that additional single-family houses will be built in regions which are already stagnating today, while flats and detached houses which are today inhabited by older people might become vacant in large numbers within a few years. Suggestions for mainstreaming climate protection into spatial and local development planning norms Spatial planning The plans of the state and regional planning system provide additional initial possibilities for residentially related energy savings and efficiency through spatial planning (e.g. via the centrallocation system and the axial system in Germany (Janssen and Albrecht, 2008). In compact and dense spatial or urban development structures, the actual requirement for residential buildings must be met in the context of the central-location system. Existing capacities for construction are to be exhausted primarily along development axes. In future, the requirement for home or flat ownership should preferably be met using available and suitable building stocks. The protection of open space should be more strictly and more forcefully applied in regional planning, since consistent open space protection can prevent the continued energy-inefficient increase of residential and traffic areas. Consistent spatial planning protection of open space can thus prevent CO2 emissions as a follow-up result of residential development. We can gain extra open and green space by conducting dismantling programmes in cities and towns where demographic transformation has resulted in the reduction of the demand for new housing. The above-mentioned spatial planning aspects are implementable by using categories of the German spatial planning act; for instance by defining spatial priority areas for open space protection, or priority areas for the development of dense settlement. If these stipulations are once formulated in a regional plan (and/or in an urban land-use plan) the stipulation becomes mandatory for further regional and local development practice. Urban land-use planning The general climate protection and energy efficiency strategies of urban development in Germany are oriented towards the fol-
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Fig. 1. Heat loss due to the effect of wind and of the position of buildings in the terrain (DIFU et al., 1997).
lowing models: • upgrading the residential stock energy supply and utilisation systems; • low-shade positioning of structures during the winter, and active-constructive shading during the summer; • energy-saving arrangement of housing blocks and flats; • site selection of buildings (e.g. optimisation of infrastructure connections to the district-heating network); • avoidance of individual motorised traffic. For development planning in Germany, this means a furtherreaching consolidation of these general principles, and their application to local climate protection strategies (Janssen and Albrecht, 2008): • steering and concentration of spatial urban growth, priority for internal development and maximum possible avoidance of external development, preservation of the carrying capacity of the natural space (CO2 sinks; cf. Brown and Southworth, 2008); • concentrated expansion of residential areas at efficient traffic and infrastructural locations and routes, local public transport in residential cores (UBA, 2005); • appropriate positioning for new residential building areas (see Fig. 1 and the explanations below); • reduced spatial demand for stationary and mobile traffic, support for car-pooling; • greater mixed-use structuring, diversified economic structures, utilisation diversity; • site preparation for use of solar energy and other regenerative energy sources (e.g. geothermal energy), sustainable use of local resources and power systems; • preservation and development of the municipal and regional green and open space. Fig. 1 shows several examples for different amounts of heat loss dependent on location and exposure of buildings to the wind. Hilltops are less appropriate sites for new residential areas from the heating energy-saving point of view. Wind shaded positions can save about 50% of average heat energy needs. The climate protection strategies presented here can be reflected in land-use and municipal zoning (in Germany in the preparatory land-use plan) (BauGB Art. 5, Sect. 2): • general and/or special types of structural use, for mixed spatial structures and mixed use (BauGB Art. 5, Sect. 2, No. 1); • specifications of the urban development density (minimum objective value); • identification of residential cores; • space for non-local traffic under the public transport concept; • location, size and accessibility of infrastructural facilities;
Fig. 2. Controlling wind direction by planting and positioning of the buildings (DIFU et al., 1997).
• areas and sites for energy supply systems, e.g. facilities for cogeneration or wind parks. The following climate protection relevant categories can be established and stipulated on a mandatory basis in municipal construction development plans (in Germany legally binding land-use plans) (Janssen and Albrecht, 2008; Schröter, 2009; Scholz et al., 1998; DIFU et al., 1997). Art. 9, Sect. 1, several nos. apply: • types and dimensions of structural utilisation (no. 1); • height of structural facilities (no. 2; heat energy savings of up to 18% possible; cf. Schröter, 2009); • style, positioning and roof orientation (no. 2; savings up to 10% possible); • land areas to be built on/not built on (no. 2); • size, depth and width of plots of land for building (no. 3; savings up to 5 kW h/m2 per year heat energy); • facilities for the use of renewable energies, in particular the use of solar energy (no. 23 b); • planting (no. 25; savings up to 3–6% of heat energy; see Fig. 2). Tree plantations can have a positive effect on the heat balance sheet of buildings. Deciduous plants are appropriate for shading buildings in summer and are diaphanous to solar rays in winter. Protection from wind exposure can be provided by dense evergreen plantations. Planting measures can be stipulated in legally binding land-use plans with reference to Art. 9, Sect. 1, No. 25 of the German Federal Building Code (BauGB). Fig. 3 illustrates the effect of urban density on surface-to-volume ratios, and the effects on heat demand. Compact and high-volume building shapes are much more energy-efficient than low volume buildings. For example, the heat demand of eight 2-storey ribbons of row houses is only around 56% of that of 64 single-family homes, whose heat consumption is given as 100%. For four 4-storey ribbons, the figure is 40%, and for a 4-storey block-edge building, around 36%. This shows the importance of promoting high urban density to prevent heat losses and indirect CO2 and greenhouse gas emissions. The type of urban structuring can be stipulated in legally binding land-use plans under Art. 9, Sect. 1, Nos. 1 and 2 of the German Federal Building Code.
W. Wende et al. / Land Use Policy 27 (2010) 864–868
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Fig. 3. Surface-to-volume ratios of different building shapes at equal building masses (64 flats) (DIFU et al., 1997).
Conclusions Climate protection, energy efficiency, and use of renewable energy resources play an increasingly important role in spatial and urban planning. Density of an urban settlement and its spatial organisation play an important role in the amount of energy consumed by the community. Creating compact urban structures is one of the key factors for climate change mitigation. New, strategically oriented policy tools for management of residential space are necessary. These tools should enable housing provision while avoiding creation of low-density urban settlements. Municipalities, regions and the German states should allocate land for new housing construction in regional, spatial, and urban land-use plans only where actual immigration causes housing space deficiency. In the latter case construction permits should be available only for projects that are optimized spatially to ensure their energy efficiency. Important issues to consider are building stock density and transport links; availability and proximity of supply infrastructures (e.g. heating); maximisation of opportunities to use natural lighting, heating, and cooling; and reservation of space for energy generation from renewable sources (e.g. wind and solar parks). Socio-demographic factors are also worth consideration. Financial and social incentives should be available to elderly residents that would allow them to move into smaller flats after the end of their family-raising period. Young families should be encouraged to rent or acquire existing houses rather than building new ones. Incentives should be given to upgrading and modernisation of old residential stock to fit requirements of young families. Obviously this would open another opportunity to increase energy efficiency of homes during renovation. Such socio-energy efficiency integrated projects should be given priority in obtaining planning and building permits, as well as further assistance from the state. Existing planning tools should be improved to allow climate mitigation. As shown in part 4 of the article, specific planning categories of planning law can be implemented more effectively to
increase energy efficiency of houses, and reduction of greenhouse gas emissions. The authors have developed a few ideas and suggested how they can be integrated into existing codes and norms. Of course, these can serve just as a starting point in meeting the enormous challenge of mainstreaming climate change concerns into land-use planning at a variety of levels (e.g. country, regional, municipal). The authors recognise the current lack of knowledge on new and more comprehensive approaches and measures in spatial and urban planning. Moreover, climate protection and adaptation measures should be coordinated to achieve synergies. The formulated ideas and suggested solutions show a significant potential in integrating planning measures into climate change mitigation task. Currently the German Federal Environment Agency is carrying out some research projects in this area with a focus on concrete measures on how urban environments should be designed to reduce greenhouse gas emissions. However, comprehensive applied planning guidelines for climate protection still need to be developed. References Brown, M., Southworth, F., 2008. Mitigating climate change through green buildings and smart growth. Environ. Plan. 40 (3), 653–675. Bulkeley, H., Kern, K., 2006. Local government and the governing of climate change in Germany and the UK. Urban Studies 43 (12), 2237–2259. BUND (Organisation for Environment and Nature Conservation Germany [NGO]), 2008. Klimaschutz in der kommunalen Planung [Climate protection in municipality planning]. BUND Stuttgart. Dawson, R., Hall, J., Barr, S., Batty, M., Bristow, A., Carney, S., Dagoumas, A., Evans, S., Ford, A., Kohler, J., Tight, M., Walsh, C., Watters, H., Zanni, A., 2009. City-scale integrated assessment of climate impacts, adaptation and mitigation. IOP Conf. Series: Earth Environ. Sci. 6, 332008, doi:10.1088/1755-1307/6/3/332008. DIFU (German Institute for Urban Studies), UBA (Federal Environment Agency) and BMU (Federal Ministry for the Environment, Nature Conservation and Nuclear Safety), 1997. Klimaschutz in Kommunen [Climate protection in municipalities]. DIFU Berlin. Janssen, G.; Albrecht, J., 2008. Umweltschutz im Planungsrecht—Die Verankerung des Klimaschutzes und des Schutzes der biologischen Vielfalt im raumbezogenen Planungsrecht. [Environmental protection in planning law: anchoring climate protection and the protection of biological diversity in spatial plan-
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ning law]. Federal Environment Agency, Dessau (UBA texts, vol. 10). Download: http://www.umweltdaten.de/publikationen/fpdf-l/3443.pdf. Mitschang, S., 2008. Die Belange von Klima und Energie in der Bauleitplanung [The interests of climate and energy in local development planning]. Natur und Recht 30, 601–612. Pachauri, R.K., Reisinger, A. (Eds.), 2007. Contribution of Working Groups I, II and III to the Fourth Assessment Report of the Intergovernmental Panel on Climate Change. IPCC, Geneva, Switzerland, 104pp. Scholz, S., Schröter, F., Wermuth, M., 1998. Reduktion der CO2 -Emissionen mittels planungsrechtlicher Festsetzungen in Bebauungsplänen [Reduction in CO2 emissions by planning-law stipulations in local construction plans]. UVP-Report 1, 26–29.
Schröter, F., 2009. Planungsrechtliche Möglichkeiten zur Reduktion der CO2 Emissionen [legal planning solutions for the reduction of CO2 emissions]. Download (January 14th 2009): http://www-public.tu-bs.de:8080/∼schroete/ CO2.htm. UBA (Federal Environment Agency), 2005. The Future in Our Hands—21 Climate Policy Statements for the 21st Century. Federal Environment Agency Dessau (Climate Change, vol. 11). UBA (Federal Environment Agency), 2007. Klimaschutz in Deutschland—40% Senkung der CO2 -Emissionen bis 2020 gegenüber 1990 [Climate protection in Germany: 40% reduction in CO2 emissions by 2020 as compared with 1990], Federal Environment Agency (Climate Change, vol. 05).
Contents lists available at ScienceDirect
Land Use Policy journal homepage: www.elsevier.com/locate/landusepol
Climate protection and compact urban structures in spatial planning and local construction plans in Germany Wolfgang Wende a , Wulf Huelsmann a , Michael Marty a , Gertrude Penn-Bressel a , Nikolai Bobylev b a b
Federal Environment Agency Germany, Wörlitzer Platz 1, 06844 Dessau, Germany Research Centre for Interdisciplinary Environmental Cooperation, Russian Academy of Sciences, POB 45, 195267, St. Petersburg, Russia
a r t i c l e
i n f o
Article history: Received 23 June 2009 Received in revised form 12 November 2009 Accepted 15 November 2009 Keywords: Spatial planning Urban land-use policy Climate change Climate protection Climate change mitigation
a b s t r a c t The paper discusses opportunities for integration of the climate protection strategy declared by the German government into spatial and urban land-use plans in Germany. The paper gives a brief overview of German climate protection related legislation, gives some statistics on energy demand in the housing sector in Germany, and identifies opportunities for climate change mitigation in urban areas through enhanced spatial planning and energy-efficient homes. Drawing on statistical analysis the paper identifies discrepancies between trends in population densities and actual housing floor space. The paper further identifies opportunities for increasing heating efficiency of houses by managing the spatial arrangement of apartments and buildings. The overall conclusion of the paper is that adjustments in the spatial planning legal base in Germany are necessary to integrate specific climate protection tools that will allow an increase in energy efficiency in housing. © 2009 Elsevier Ltd. All rights reserved.
Introduction and basic definitions on climate protection The paper discusses opportunities for integration of the climate protection strategy declared by the German government into spatial and urban land-use plans in Germany. At present, a large number of research and development projects are being initiated in Germany which address the questions of climate protection (mitigation) and adjustment to climate change (adaptation) in spatial planning, environmental planning and residential development. The challenges of climate protection (mitigation) are the main focus of the present paper. Climate change mitigation means implementing policies to reduce greenhouse gas emissions and enhance sinks (Pachauri and Reisinger, 2007). In spatial planning practice there are three main opportunities to reduce greenhouse gas emissions: • potential energy savings through favourable location of new residential and commercial developments; • energy-efficient design of buildings; • production of energy using renewable resources. Energy-saving and energy-efficient spatial and residential development is the main focus, e.g. in local development plan-
E-mail address: [email protected] (N. Bobylev). 0264-8377/$ – see front matter © 2009 Elsevier Ltd. All rights reserved. doi:10.1016/j.landusepol.2009.11.005
ning, through the creation of sufficiently great structural density and emissions reducing traffic solutions; and in spatial planning, through the achievement of greater CO2 binding by reforestation; and reduction of greenhouse gas emissions by modification of land-use (Bulkeley and Kern, 2006; Dawson et al., 2009). Thus, such questions as building spatial orientation for maximum heat capture, the development of energy-efficient urban–suburban relationships, as well as possibilities for the minimisation of infrastructural systems for individual motorised traffic, are to be addressed with the objective of maximising energy efficiency.
Overview of contemporary German legislative base on climate protection and spatial planning Comprehensive planning practice in the German spatial plans (Raumordnungsplanung) and urban land-use planning system (Bauleitplanung), which includes zoning, or preparatory land-use plans (Flaechennutzungsplaene), and local construction development plans, or legally binding land-use plans (Bebauungsplaene), faces the challenge of contributing its share towards global climate protection. The legal foundations for spatial planning in Germany demand the inclusion of the interests of general climate protection at the regional level. Particularly the Spatial Planning Law (ROG) as amended as of June 30, 2009, requires, under Art. 2, Sect. 2, No. 6, the application of the following spatial planning principle: “. . .the spa-
W. Wende et al. / Land Use Policy 27 (2010) 864–868
tial requirements of climate protection must be taken into account, both by measures to counteract climatic change and by those which serve the purpose of adaptation to climatic change. In this context, the spatial prerequisites for the expansion of renewable energies and for thrifty energy use are to be created.” The Federal Building Code (BauGB), e.g., mentions requirements for general climate protection in Art. 1, Sect. 5, Clause 2 at the local level: the municipal zoning plan and the local construction development plan “are to contribute to securing an environment consistent with human dignity and to protect and develop the natural basic living conditions, which shall also be carried out in such a manner as to meet the responsibility for general climate protection”. However, there is a controversy in the legal-scientific literature as to whether this interest in general climate protection authorises municipalities to incorporate stipulations in favour of the global climate in construction development plans; or whether the BauGB only allows stipulations to reduce local or regional air pollutants in those plans (Mitschang, 2008). The German Federal Environment Agency (UBA) has a clear view that a municipality which establishes a new local plan for urban development may include urban development measures which promote the interests of global climate protection in this plan (BUND, 2008). Thus, municipalities are encouraged to take not only local interests into consideration when drafting a development plan; they may provide stipulations which stem from global considerations as well. Since climate protection is controversial in local construction development planning, at least from a legal point of view, the UBA has conducted a legal study to examine the position of climate protection (Janssen and Albrecht, 2008). The legislation has created the planning category “local construction development planning” exclusively for the purpose of fulfilling urban development projects; thus municipalities are banned from using this type of planning instrument for purposes other than those of urban development. Undoubtedly, local construction development planning may address stipulations to improve the local climate, e.g. reducing air pollutants. But the question arises whether global climate protection can be considered as an urban development driver—which seems to be at the core of this legal discussion. In this connection however, the following applies: the objectives of urban land-use planning stated in BauGB in Art. 1, Sect. 5, Clause 2, to wit: the contribution of urban land-use planning towards ensuring an environment consistent with human dignity, as well as for the protection and the development of the natural basic conditions of life, include responsibility for general climate protection, and thus, constitute a consolidation of the central concept of sustainable urban development. It is important that the new BauGB Art. 9, Sect. 1, No. 23 b, explicitly makes possible stipulations in a local construction development plan for the use of renewable energies, e.g. solar and wind. Thus, the above-mentioned urban development and climate issues are duly reflected in legislation, and further efforts should be directed towards concretisation of the particularities that would facilitate protection of global climate. Protection of global climate is not the main task of urban development, but this issue may, and should be addressed within the context of urban development planning practice.
Statistics on land-use, housing development, and energy efficiency in Germany A study by the German Federal Statistical Office shows that past efforts to save heating energy in the area of housing have been nullified by the increase in heated living space (cf. hereinafter: UBA, 2007, 31f). Thus, the heating energy consumption of private homes increased by 2.8% from 1995 through 2004, even though the
865
required heating energy per square metre of living space decreased by about 9% during the same period. The reason for this is that heated living space grew by 13% during this period. The number of households, and hence the number of flats used, has increased by approximately 5% – along with an increase in the population of only approximately 1% – the increase in heated living space by a total of 13% can be explained for the most part by an increase in the consumption of residential space per household, and especially the consumption per capita of the population. A closer analysis of the data of the Federal Agency of Building and Regional Planning (BBR) shows that it is primarily consumption of residential space by older people in one- or two-person households, who have remained in detached houses or large family flats after their familyraising period, which contributed to a major degree to the societal per capita increase in consumption of residential space. Particularly in the years since 1995, many detached houses have been built, although the housing stock in many regions, considered purely arithmetically, would have sufficed to provide even families with children with sufficiently large flats. However, that would have required motivating older people to move into smaller flats after the end of their family-raising years. In the course of the demographic change in Germany, there is the danger that additional single-family houses will be built in regions which are already stagnating today, while flats and detached houses which are today inhabited by older people might become vacant in large numbers within a few years. Suggestions for mainstreaming climate protection into spatial and local development planning norms Spatial planning The plans of the state and regional planning system provide additional initial possibilities for residentially related energy savings and efficiency through spatial planning (e.g. via the centrallocation system and the axial system in Germany (Janssen and Albrecht, 2008). In compact and dense spatial or urban development structures, the actual requirement for residential buildings must be met in the context of the central-location system. Existing capacities for construction are to be exhausted primarily along development axes. In future, the requirement for home or flat ownership should preferably be met using available and suitable building stocks. The protection of open space should be more strictly and more forcefully applied in regional planning, since consistent open space protection can prevent the continued energy-inefficient increase of residential and traffic areas. Consistent spatial planning protection of open space can thus prevent CO2 emissions as a follow-up result of residential development. We can gain extra open and green space by conducting dismantling programmes in cities and towns where demographic transformation has resulted in the reduction of the demand for new housing. The above-mentioned spatial planning aspects are implementable by using categories of the German spatial planning act; for instance by defining spatial priority areas for open space protection, or priority areas for the development of dense settlement. If these stipulations are once formulated in a regional plan (and/or in an urban land-use plan) the stipulation becomes mandatory for further regional and local development practice. Urban land-use planning The general climate protection and energy efficiency strategies of urban development in Germany are oriented towards the fol-
866
W. Wende et al. / Land Use Policy 27 (2010) 864–868
Fig. 1. Heat loss due to the effect of wind and of the position of buildings in the terrain (DIFU et al., 1997).
lowing models: • upgrading the residential stock energy supply and utilisation systems; • low-shade positioning of structures during the winter, and active-constructive shading during the summer; • energy-saving arrangement of housing blocks and flats; • site selection of buildings (e.g. optimisation of infrastructure connections to the district-heating network); • avoidance of individual motorised traffic. For development planning in Germany, this means a furtherreaching consolidation of these general principles, and their application to local climate protection strategies (Janssen and Albrecht, 2008): • steering and concentration of spatial urban growth, priority for internal development and maximum possible avoidance of external development, preservation of the carrying capacity of the natural space (CO2 sinks; cf. Brown and Southworth, 2008); • concentrated expansion of residential areas at efficient traffic and infrastructural locations and routes, local public transport in residential cores (UBA, 2005); • appropriate positioning for new residential building areas (see Fig. 1 and the explanations below); • reduced spatial demand for stationary and mobile traffic, support for car-pooling; • greater mixed-use structuring, diversified economic structures, utilisation diversity; • site preparation for use of solar energy and other regenerative energy sources (e.g. geothermal energy), sustainable use of local resources and power systems; • preservation and development of the municipal and regional green and open space. Fig. 1 shows several examples for different amounts of heat loss dependent on location and exposure of buildings to the wind. Hilltops are less appropriate sites for new residential areas from the heating energy-saving point of view. Wind shaded positions can save about 50% of average heat energy needs. The climate protection strategies presented here can be reflected in land-use and municipal zoning (in Germany in the preparatory land-use plan) (BauGB Art. 5, Sect. 2): • general and/or special types of structural use, for mixed spatial structures and mixed use (BauGB Art. 5, Sect. 2, No. 1); • specifications of the urban development density (minimum objective value); • identification of residential cores; • space for non-local traffic under the public transport concept; • location, size and accessibility of infrastructural facilities;
Fig. 2. Controlling wind direction by planting and positioning of the buildings (DIFU et al., 1997).
• areas and sites for energy supply systems, e.g. facilities for cogeneration or wind parks. The following climate protection relevant categories can be established and stipulated on a mandatory basis in municipal construction development plans (in Germany legally binding land-use plans) (Janssen and Albrecht, 2008; Schröter, 2009; Scholz et al., 1998; DIFU et al., 1997). Art. 9, Sect. 1, several nos. apply: • types and dimensions of structural utilisation (no. 1); • height of structural facilities (no. 2; heat energy savings of up to 18% possible; cf. Schröter, 2009); • style, positioning and roof orientation (no. 2; savings up to 10% possible); • land areas to be built on/not built on (no. 2); • size, depth and width of plots of land for building (no. 3; savings up to 5 kW h/m2 per year heat energy); • facilities for the use of renewable energies, in particular the use of solar energy (no. 23 b); • planting (no. 25; savings up to 3–6% of heat energy; see Fig. 2). Tree plantations can have a positive effect on the heat balance sheet of buildings. Deciduous plants are appropriate for shading buildings in summer and are diaphanous to solar rays in winter. Protection from wind exposure can be provided by dense evergreen plantations. Planting measures can be stipulated in legally binding land-use plans with reference to Art. 9, Sect. 1, No. 25 of the German Federal Building Code (BauGB). Fig. 3 illustrates the effect of urban density on surface-to-volume ratios, and the effects on heat demand. Compact and high-volume building shapes are much more energy-efficient than low volume buildings. For example, the heat demand of eight 2-storey ribbons of row houses is only around 56% of that of 64 single-family homes, whose heat consumption is given as 100%. For four 4-storey ribbons, the figure is 40%, and for a 4-storey block-edge building, around 36%. This shows the importance of promoting high urban density to prevent heat losses and indirect CO2 and greenhouse gas emissions. The type of urban structuring can be stipulated in legally binding land-use plans under Art. 9, Sect. 1, Nos. 1 and 2 of the German Federal Building Code.
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Fig. 3. Surface-to-volume ratios of different building shapes at equal building masses (64 flats) (DIFU et al., 1997).
Conclusions Climate protection, energy efficiency, and use of renewable energy resources play an increasingly important role in spatial and urban planning. Density of an urban settlement and its spatial organisation play an important role in the amount of energy consumed by the community. Creating compact urban structures is one of the key factors for climate change mitigation. New, strategically oriented policy tools for management of residential space are necessary. These tools should enable housing provision while avoiding creation of low-density urban settlements. Municipalities, regions and the German states should allocate land for new housing construction in regional, spatial, and urban land-use plans only where actual immigration causes housing space deficiency. In the latter case construction permits should be available only for projects that are optimized spatially to ensure their energy efficiency. Important issues to consider are building stock density and transport links; availability and proximity of supply infrastructures (e.g. heating); maximisation of opportunities to use natural lighting, heating, and cooling; and reservation of space for energy generation from renewable sources (e.g. wind and solar parks). Socio-demographic factors are also worth consideration. Financial and social incentives should be available to elderly residents that would allow them to move into smaller flats after the end of their family-raising period. Young families should be encouraged to rent or acquire existing houses rather than building new ones. Incentives should be given to upgrading and modernisation of old residential stock to fit requirements of young families. Obviously this would open another opportunity to increase energy efficiency of homes during renovation. Such socio-energy efficiency integrated projects should be given priority in obtaining planning and building permits, as well as further assistance from the state. Existing planning tools should be improved to allow climate mitigation. As shown in part 4 of the article, specific planning categories of planning law can be implemented more effectively to
increase energy efficiency of houses, and reduction of greenhouse gas emissions. The authors have developed a few ideas and suggested how they can be integrated into existing codes and norms. Of course, these can serve just as a starting point in meeting the enormous challenge of mainstreaming climate change concerns into land-use planning at a variety of levels (e.g. country, regional, municipal). The authors recognise the current lack of knowledge on new and more comprehensive approaches and measures in spatial and urban planning. Moreover, climate protection and adaptation measures should be coordinated to achieve synergies. The formulated ideas and suggested solutions show a significant potential in integrating planning measures into climate change mitigation task. Currently the German Federal Environment Agency is carrying out some research projects in this area with a focus on concrete measures on how urban environments should be designed to reduce greenhouse gas emissions. However, comprehensive applied planning guidelines for climate protection still need to be developed. References Brown, M., Southworth, F., 2008. Mitigating climate change through green buildings and smart growth. Environ. Plan. 40 (3), 653–675. Bulkeley, H., Kern, K., 2006. Local government and the governing of climate change in Germany and the UK. Urban Studies 43 (12), 2237–2259. BUND (Organisation for Environment and Nature Conservation Germany [NGO]), 2008. Klimaschutz in der kommunalen Planung [Climate protection in municipality planning]. BUND Stuttgart. Dawson, R., Hall, J., Barr, S., Batty, M., Bristow, A., Carney, S., Dagoumas, A., Evans, S., Ford, A., Kohler, J., Tight, M., Walsh, C., Watters, H., Zanni, A., 2009. City-scale integrated assessment of climate impacts, adaptation and mitigation. IOP Conf. Series: Earth Environ. Sci. 6, 332008, doi:10.1088/1755-1307/6/3/332008. DIFU (German Institute for Urban Studies), UBA (Federal Environment Agency) and BMU (Federal Ministry for the Environment, Nature Conservation and Nuclear Safety), 1997. Klimaschutz in Kommunen [Climate protection in municipalities]. DIFU Berlin. Janssen, G.; Albrecht, J., 2008. Umweltschutz im Planungsrecht—Die Verankerung des Klimaschutzes und des Schutzes der biologischen Vielfalt im raumbezogenen Planungsrecht. [Environmental protection in planning law: anchoring climate protection and the protection of biological diversity in spatial plan-
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Schröter, F., 2009. Planungsrechtliche Möglichkeiten zur Reduktion der CO2 Emissionen [legal planning solutions for the reduction of CO2 emissions]. Download (January 14th 2009): http://www-public.tu-bs.de:8080/∼schroete/ CO2.htm. UBA (Federal Environment Agency), 2005. The Future in Our Hands—21 Climate Policy Statements for the 21st Century. Federal Environment Agency Dessau (Climate Change, vol. 11). UBA (Federal Environment Agency), 2007. Klimaschutz in Deutschland—40% Senkung der CO2 -Emissionen bis 2020 gegenüber 1990 [Climate protection in Germany: 40% reduction in CO2 emissions by 2020 as compared with 1990], Federal Environment Agency (Climate Change, vol. 05).