MPROVING NATIONAL ENERGY EFFICIENCY STRATEGIES IN THE … · Improving National Energy Efficiency Strategies in the EU Framework 6 3. Energy Efficiency Potentials in the European

IMPROVING NATIONAL ENERGY EFFICIENCY STRATEGIES IN THE EU FRAMEWORK

FINDINGS FROM ENERGY EFFICIENCY WATCH ANALYSIS MARCH 2011

Ralf Schüle, Vera Höfele, Stefan Thomas (Wuppertal Institute)

Daniel Becker (Ecofys Germany)

with contributions by

Lena Tholen, Thorsten Kostka, Carolin Schäfer-Sparenberg (Wuppertal Institute), Anja Krechting, Doris Johnsen, Marc Marsidi (Ecofys Germany)

EEW-Publication Nr. 1/2011 Co-financed by*

Improving National Energy Efficiency Strategies in the EU Framework

Disclaimer*: The sole responsibility for the content of this publication lies with the authors. It does not necessarily reflect the opinion of the European Union. Neither the EACI nor the European Commission are responsible for any use that may be made of the information contained therein.


Preamble of the Energy Efficiency Watch Initiative

Opportunities and prospects offered by energy efficiency are not yet recognized to full extent among European decision makers. Energy efficiency, together with renewable energy, is addressing four key policy topics at a time: climate protection, energy security, energy costs, and technology leadership opportunities for European industry.

Knowledge, innovation and sustainability are core elements of the European strategy for the 21st century. In this respect, the EU is determined to build a resource-efficient Europe with the increased use of renewable energy sources, a modernized transport sector, energy-efficient buildings and products, and green technologies.

The EU had already formulated its goal to become “the most competitive and dynamic knowledge-based economy in the world” in the Lisbon Strategy. Additionally, the Europe 2020 flagship initiative for a resource-efficient Europe, the new Energy Efficiency Action Plan and the Roadmap 2050 process will further transform the European economies towards carbon reduction and resource efficiency.

Given that each year additional energy savings of around two percent compared to the baseline projections would yield net economic benefits in the EU, harnessing this potential would be a big boost to the EU’s competitiveness. In the strategy “Europe 2020: A European Strategy for Smart, Sustainable and Inclusive Growth”, the European Commission has assigned an explicit role to a sustainable energy sector. The Commission estimates that reaching the 20% target for renewable energy would create approximately 600,000 new jobs and together with a 20% target on energy efficiency over 1 million new jobs.

However, implementing these political goals requires adequate and ambitious legal frameworks. Their implementation and impact is examined under the Energy Efficiency Watch Initiative.

The first Energy Efficiency Watch project (EEW1, 2006 – 2009) revealed an impressive scope of existing and new measures in energy efficiency policy as drafted in the first round of National Energy Efficiency Action Plans (NEEAPs). It was a step towards coherent energy efficiency policy packages in EU Member States. However, the first set of NEEAPs was very heterogeneous in their details and ambitions. The Energy Services Directive itself has some obvious structural flaws such as the lack of a common methodology for energy savings calculation or a reporting template, and omission of an ambitious and well-defined energy savings target.

A positive common understanding in EU Member States about benefits of energy efficiency could spur the implementation of an ambitious overall energy efficiency policy in the EU. China, for instance, explicitly claims the position of being world technology leader in solar technologies, to which end a comprehensive political strategy was drafted. The EU would have an excellent starting position to claim a similar lead in the field of energy efficiency, but this requires a strong joint policy approach.

In this context, EEW2 is extremely significant as it will not only accompany the drafting process of National Energy Efficiency Action Plans, but also encourage the discussion among stakeholders, networks, industry, politicians on all levels, and independent scientific institutes. The expected outcome is a European and Member State energy efficiency policy of a better quality and an experience exchange with the aim of filling implementation gaps.

Via surveys, bottom-up analysis, awareness-raising and good practice exchange, EEW2 will contribute to the overall political discussion and help shape energy efficiency policies across Europe.


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Project Partners:

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Table of Contents

1. Introduction: Challenges for an Integrated European Energy Efficiency Policy ............................ 3

2. Multiple benefits of energy efficiency policies .............................................................................. 5

3. Energy efficiency potentials in the European Union ..................................................................... 6

4. Energy efficiency trends and market developments in the EU ..................................................... 7

5. Recent European legislation in energy efficiency policy ................................................................ 9

6. The Energy Services Directive: Strengths, weaknesses and prospects of the current policy framework ................................................................................................................................... 10

6.1 The ESD and the first round of NEEAPs – Experience and main findings .............................. 10

6.2 Requirements and Guidelines for the second NEEAP ............................................................ 11

7. Towards the development of integrated policy packages at Member State level ...................... 12

7.1 Barriers to energy efficiency .................................................................................................. 12

7.2 Process management of energy efficiency policy .................................................................. 13

7.3 The need for integrated policy packages at Member State level .......................................... 14

7.4 Cross-sectoral measures and overarching governance frameworks ..................................... 15

7.5 Policy Packages in Sectors ...................................................................................................... 17

7.5.1 The Public Sector............................................................................................................. 17

7.5.2 The Residential Sector .................................................................................................... 20

7.5.3 The Tertiary Sector and Industry .................................................................................... 28

7.5.4 The Transport Sector ...................................................................................................... 31

8. Conclusions .................................................................................................................................. 37

9. References ................................................................................................................................... 38


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List of Illustrations

Figure 1: Importance of energy end-use efficiency in achieving climate change

mitigation targets: IEA 450 ppm CO2eq scenario to achieve 2° target ............................... 5

Figure 2: Energy efficiency potentials in EU-27 in different scenarios (% compared to Autonomous Progress Scenario) ......................................................................................... 6

Figure 3: Progress in reducing energy intensity in the EU-27 (1996-2007) ....................................... 7

Figure 4: Energy consumption and GDP in the EU ............................................................................. 8

Figure 5: A prototypical process for policy development in energy efficiency ................................ 13

Figure 6: Ideal policy packages in energy efficiency policy .............................................................. 14

Figure 7: Numbers of energy efficient and low carbon emitting houses in the EU ......................... 20

Figure 8: Policy package for domestic appliances ............................................................................ 27


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1. Introduction: Challenges for an Integrated European Energy Efficiency Policy

After passing the energy efficiency strategy of the European Union in 2006/07 through the Action Plan on Energy Efficiency and the March 2007 Council conclusions, several EU Directives have been ratified to provide an appropriate policy framework for Member States’ energy efficiency policy. However, the intense debate about the implementation of the Directive on energy end-use efficiency and energy services (ESD) (EC 2006a) has revealed significant differences between ambitious energy efficiency policy targets pursued by the European Commission and the European Parliament, and some Member States being very reserved against a further ‘top-down regulation’. With the new Energy Efficiency Action Plan, announced for early 2011 (EC 2011a) and the Communication on the “Roadmap for moving to a low-carbon economy in 2050” (EC 2011b) the Commission aims at pushing the debate towards a further harmonisation of ambitions and timetables as well as a further integration of policies and measures at European, Member State and regional level. Through this plan e.g. White Certificates Schemes, and energy efficiency funds will most likely be set on the European agenda for the near future (EC 2011a).

In this regard, the present paper pursues the objective

to sum up the main arguments for an ambitious, harmonised and integrated energy efficiency policy at European, Member State and regional level,

to set the scene for the upcoming phase in which Member States will submit their second National Energy Efficiency Action Plans, according to the ESD,

to provide input for the development of coherent sector specific policy packages based on a summary of the main findings from the Energy Efficiency Watch I (EEW I) project.


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2. Multiple Benefits of Energy Efficiency Policies

Among the many arguments in favour of improving energy efficiency, climate change mitigation is most prominent. Indeed, improving energy efficiency is now seen as the most important strategy to achieve greenhouse gas (GHG) emission reductions, being particularly cost-effective and able to be achieved rapidly.

Figure 1: Importance of energy end-use efficiency in achieving climate change mitigation targets: IEA 450 ppm CO2eq scenario to achieve 2° target

Source: IEA World Energy Outlook 2009

There are numerous further strong arguments in favour of scaling up energy efficiency at national and EU level:

a) Energy efficiency (policy) improves security in energy supply, e.g. by reducing (national, regional) dependency on international energy imports,

b) Energy efficiency (policy) improves international competitiveness, resulting from lower energy costs and technology innovations,

c) Energy efficiency (policy) improves all national key indicators such as GDP, direct climate-related and induced investments, consumption and employment,

d) Energy efficiency (policy) reduces energy costs and in many cases also minimises life-cycle costs of end-use technologies for consumers.

Thus, increasing energy efficiency can achieve win-win situations for society as a whole. This is the basis for the ambitious policy goals in terms of energy efficiency improvement adopted on EU and Member State level.

The promotion of energy-efficient technologies and services can also help end-users to satisfy their energy-related needs at least cost and minimized environmental impact. As a consequence, it should be endeavoured to transform existing energy markets into markets for genuine energy services (which are the physical amenity derived from energy, such as comfortable temperature and light in homes and workplaces).


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3. Energy Efficiency Potentials in the European Union

Policy goals are set based on knowledge about existing energy efficiency potentials. Notwithstanding some differences in terms of assumptions made, data basis used and specific insights gained, numerous studies have identified substantial and economically viable potentials to increase end-use energy efficiency noticeably: around 30% of energy savings vs. conventional technologies are achievable in principle with net economic benefits over the next 20 years, taking account of the usual reinvestment cycles, with a good 20% achievable within 10 years.1 These savings can be realised with technologies and organisational approaches which are already available. One would only have to choose the most energy-efficient, cost-effective option whenever a building is refurbished or a car, an installation, or appliance is replaced anyway.

The following graph shows the results of scenario calculations performed in a recent study commissioned by the European Commission to inform the ESD implementation (FhG-ISI et al. 2009). On the one hand, the figure shows that some progress has already been made in Europe. On the other hand, it makes the fact clear that the unexploited energy end-use efficiency potentials in Europe are still very large.

Figure 2: Energy efficiency potentials in EU-27 in different scenarios (% compared to Autonomous Progress Scenario)

Source: FhG-ISI et al. 2009

On top of these energy end-use efficiency potentials, there are large energy saving potentials to be realised by improving power plant efficiency and especially by using combined heat and power (CHP).2

1 FhG-ISI et al. 2009, McKinsey 2007, Prognos 2006, FhG-ISI and FfE 2003, Lechtenböhmer et al. 2005,

Lechtenböhmer, Perrels et al. 2006, Wuppertal Institut 2006 2 e.g. Mc Kinsey 2007; Ziesing 2008


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4. Energy Efficiency Trends and Market Developments in the EU

The EU-funded ODYSSEE-MURE project, which has been monitoring energy efficiency progress in the EU-27 (plus Norway and Croatia) by way of collecting and analysing data on energy efficiency indicators and policy measures in Europe, has yielded the following results (Lapillonne/ Eichhammer/ Boonekamp 2009): On average, energy intensity in final consumption has improved by 13 % in the EU-27 between 1996 and 2007.3

Figure 3: Progress in reducing energy intensity in the EU-27 (1996-2007)

Source: Lapillonne / Eichhammer 2009

In most countries and sectors, energy intensity improvement has slowed down since the year 2000, which is partly explained by the slower economic growth (business cycle effect). The improvements achieved by the different countries range from 2% to 20%.

However, a clear tendency of decoupling between energy use and economic activity can be observed: Since 1990, energy consumption has been growing at only one third of the rate of the GDP. Between 2004-2007, this rate has further slowed down so that there is almost a full decoupling. Electricity use was still growing with three quarters of the GDP rate since 1990, slowing down to around 60% of GDP growth in 2004-2007 (cf. Figure 4 overleaf).

3 Energy intensity is a measure of the energy efficiency of a nation's economy. It is calculated as units of energy

per unit of GDP.


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Figure 4: Energy consumption and GDP in the EU

Source: Lapillonne / Eichhammer 2009

Structural changes in the economy only had a marginal influence on the energy intensity reduction of end-users and account for roughly 10% of this reduction from 1990 to 2007 in the EU as a whole.

In 2007, CO2 emissions of final consumers were 5% below their 1990 level. Almost 40% of this emission reduction is due to fuel substitution by fuels with lower emission factors, the remainder is due to a reduction in energy intensity. Good as this achievement is, chapter 3 has shown there is more at hand – much larger energy and cost savings in addition to autonomous market trends are possible.

In spite of the growing number of policies and measures implemented both on EU and Member State level, and also the success already achieved in some areas, such as, e.g. the significantly increased share of A-rated appliances due to the EU energy labelling scheme, there are still substantial energy efficiency potentials remaining to be realised by new or enhanced policies and measures. They would mostly bring net ecomonic benefits. As for regulatory instruments, better implementation control is also needed and essential for fully harnessing the energy saving.


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5. Recent European Legislation in Energy Efficiency Policy

Since the publication of the first NEEAPs in 2007/08, there have been several activities at EU-level either to recast existing Directives or to implement new framework regulations.

(1) Since 2008, the following Directives have been recast (Wesselink et al. 2010):

Ecodesign Directive (EuP/ErP) – The recast of the Ecodesign Directive (2009/125/EC) in October 2009 led to an extension of the scope of the Directive. Both energy-using products and energy-related products (e.g. windows, insulation etc.) now fall under the scope of the recast Directive.

Energy Performance of Buildings Directive (EPBD) – The recent recast (Directive 2010/31/EU) extended the scope of this Directive to include all existing and new buildings:

All Member States shall ensure that minimum energy performance requirements for buildings are set at cost-optimal levels. MS have to report their application of the methodology to the Commission (who can call for additional efforts) (Wesselink et al. 2010).

Upon ‘major renovation’, the energy performance of a building shall be upgraded to meet the minimum energy performance standards.

From 2019 on MS shall ensure that all new buildings occupied or owned by public bodies will be nearly zero-energy build. After 2021, all new buildings should be ‘nearly zero energy’.

Energy Labelling Directive – Due to the recent recast (Energy Labelling Directive), the scope of the Energy Labelling Directive was extended to include all energy-related products which have significant direct or in-direct impact on energy consumption (as opposed to only covering household appliances) excluding means of transport.

(2) Also new Regulations have been enacted:

CO2 emission standards for passenger cars – The Regulation setting CO2 standards for passenger cars (Regulation No 443/2009) is the main piece of EU legislation that affects the CO2 and energy performance in transport. The fleet average of all new passenger cars entering the market by 2015 will have to comply with the prescribed 130 g CO2/km standard. This reduction is to be achieved by improving motor and drive technology and other technical improvements to the cars. Also through improving tyres, fleet emissions are expected to be reduced further to 120 g CO2/km.

Labelling of Tyres Regulation – This Regulation (entered into force 25-11-2009) applies the labelling principle specifically to tyres, in which the labelling considers the effect of the tyres on fuel efficiency and various other parameters (Regulation (EC) No. 1222/2009).4

(3) For the near future, the following activities are planned by the EU Commission (or are expected to occur):

New EU Energy Efficiency Action Plan (First half of 2011)

(Expected) recast of Energy Services Directive (2011/2012)

EPBD recast related agenda points, such as developing a framework for harmonised methodology by the Commission (30 June 2011), a MS level clarification of terminology and the drafting of national plans for increasing the number of nearly zero energy buildings (communicated to and evaluated by the Commission) by MS.

4 Additional regulations have been implemented especially in the transport sector, such as a further liberalisation

of long-distance railway passenger transportation (Guideline 2007/58/EC, 2010), a regulation of bids in short-distance public transport (Regulation 1370/2007/EC). Regulation 71/2008 („Clean Sky“ Joint Technology Initiative) focuses on the efficiency improvement of airplanes. Additionally, aviation will be included in the European emission trading system.


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6. The Energy Services Directive: Strengths, Weaknesses and Prospects of the Current Policy ramework

6.1 The ESD and the first round of NEEAPs – Experiences and main findings

The Directive on Energy End-Use Efficiency and Energy Services (2006/32/EC), which became effective in May 2006, sets an indicative target for the EU Member States to achieve overall energy savings of 9% in the ninth year of application of the Directive (2016). Each Member State has to draw up programmes and measures to improve energy efficiency and report on these in three National Energy Efficiency Action Plans (NEEAPs). The first NEEAP had to be submitted by 30 June 2007, with the second and third one to follow in June 2011 and 2014 respectively. They shall outline strategies to achieve the targets and, from the second NEEAP onwards, include an evaluation of the implementation process to date. Progress with regard to energy end-use savings is to be measured from 1 January 2008.

The ESD lists examples of energy efficiency improvement measures which can be deployed to achieve the required energy savings. One approach envisaged by the Directive is that energy efficiency targets are to be realised in part by market actors in the energy supply industry.

The first round of National Energy Efficiency Action Plans (NEEAPs), published between June 2007 and June 2008 by Member States, showed an impressive scope of existing and new measures in energy efficiency policy.5 It was a first step towards coherent energy efficiency policy packages in EU Member States. However, these first NEEAPs were very heterogeneous in ambitions and levels of details provided, since neither the Directive itself nor the Commission had provided a common framework for reporting, evaluation and monitoring at that time6.

Moreover, the Energy Services Directive has some obvious structural flaws which influenced, and are still influencing, the implementation process at Member State level: Targets to be formulated in the NEEAPs are both indicative and in most cases very moderate against the background of existing energy efficiency potentials in Member States.

First, the ESD does not mention that energy savings counting towards the national 9 % (or higher) target must be in addition to energy savings from autonomous changes.7 If the 9 % are including energy savings from autonomous changes (which are estimated between 0.5 and 1 % per year, hence 4.5 to 9 % in 9 years), a 9 % target will for a good part be achieved without any energy efficiency policy.

Second, there is a paragraph in the ESD that has been interpreted by some Member States in a way that energy savings achieved before 2008 (‘early energy savings’) can be counted towards the target, watering it down even further.

A main observation of the NEEAP I analysis done by Wuppertal Institute and Ecofys (2009) was an obvious gap between energy saving potentials documented in the NEEAPs (if calculated), target setting according the ESD and energy improvement measures displayed. In most plans, for example, the calculation of the target was not, or not sufficiently, linked to the calculated ex ante effects of measures in 2010 or 2016. Therefore, only a few Member States were able to show that the energy efficiency improvement measures displayed in their plan would really be sufficient to achieve the target.

5 See the analysis of NEEAPs conducted by Wuppertal Institute and Ecofys 2008, 2009

6 The EMEEES project (Thomas et. al. , 2009), running between 2006 and 2009, provided suggestions for both a

template for reporting and a sophisticated methodology for monitoring and evaluation (www.evaluate-energy-savings.eu).

7 Nevertheless, the 2006 EU Action Plan for Energy Efficiency obviously expected a strong contribution from ESD

(and other Directives): „new policy“ leading to new and additional energy savings compared to autonomous changes and previous policy (EC 2006b).

http://www.evaluate-energy-savings.eu/

http://www.evaluate-energy-savings.eu/


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6.2 Requirements and guidelines for the second NEEAP

When looking to the upcoming second round of NEEAPs, which are due for submission in June 2011, the role, scope and focus of the plans are all likely to be somewhat different compared to the first round - provided that Member States follow the - non-binding - recommendations and guidelines of the NEEAP template provided by the European Commission (EC 2010)

While the focus of the first NEEAPs was mainly the setting and calculation of the overall and intermediate targets and the listing of the policies and measures (existing and planned) with which the targets were to be achieved, the second NEEAPs are supposed to centre much more upon the achieved and expected energy savings and also to report in detail on the methodologies used for calculating them, as required in the ESD (Art. 14).8

Nevertheless, the detailed description of the overall strategy as well as the individual measures remains at the heart of the plans, except that the extent of information to be provided for each measure has been enhanced considerably. In this context, the Commission’s guidelines also emphasise the need for narrative illustration and a level of detail of descriptions that allows for impact evaluation of all listed measures.

Member States are called to draw up separate chapters for each of the provisions the ESD contains regarding the following: role of the public sector, availability of advice and information, contributions from energy companies, and the market for energy services.

Member States are also encouraged to draft their plans more as a universal, strategic policy framework document in which the complete national strategy for improving energy efficiency is comprehensively outlined. Consequently, apart from its legal function in terms of complying with ESD reporting requirements, the new NEEAPs shall also demonstrate a Member State’s general level of ambition and bring together all efforts made, strategies pursued and targets set in terms of energy efficiency improvement and (final and primary) energy savings, not only those falling under the scope of ESD.

This widening of the scope entails that Member States may – and are encouraged to – also include the reporting required under the EPBD in their second NEEAP. Moreover, by requesting that primary energy saving targets and projections as well as energy saving measures on the supply side be included, it is intended to establish the important link between the ESD process and the EU target of 20% primary energy savings by 2020, which was reconfirmed by heads of state at the European Council meeting in June 2010.

With the intended change of NEEAPs from a document merely drafted to meet ESD requirements towards a far more comprehensive, strategic policy tool, the new NEEAPs may also help to better align and co-ordinate within each Member State the efforts made towards improved energy efficiency.

8 Member States are free to use either the calculation methodology recommended by the Commission or a

national one.


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7. Towards the Development of Ideal Policy Packages at Member State Level

Through the development of their NEEAPs to be submitted until 30 June 2011 Member States now have the chance to improve their national energy efficiency policy in two directions: On the one hand, the new NEEAPs will provide a synoptic overview of successes (and failures?) of recent energy efficiency policies by calculating the energy savings achieved since 2008. On the other hand, Member States have the chance to further improve their policies in order to tap existing national potentials, to address main barriers to energy efficiency and therefore to gain economic benefits from ambitious energy efficiency policies.

This section will sum up the main obstacles to energy efficiency and sketch ideal policy packages and an ideal learning process.

7.1 Barriers to energy efficiency

There are various structural, economic, and social psychological barriers to energy efficiency. They include the following E.g. Thomas 2007; Sorrell et al. 2004; Enquete 1995; IEA 2000; Nilsson/Wene 2002):

Lack of information and motivation - There is a lack of information about energy-efficient solutions and the associated opportunities to make energy and cost savings, not only on the demand side but also on the supply side of energy-efficiency markets (e.g. manufacturers, retailers, installers). Furthermore, numerous actors must make the ‘right’, i.e. the most energy-efficient choice in numerous every-day, planning and purchasing situations. However, energy efficiency is just one of many factors influencing these decisions.

Financial restrictions - Lack of access to capital also constitutes a barrier to investments in energy efficiency, mainly in the residential and public sector. In the industry and commercial sector on the other hand, firms usually prioritise investments in their core business over energy efficiency measures.

Split incentives - In many cases, an investor/user dilemma exists, i.e. the actor who has the opportunity to invest in energy efficiency improvement (e.g., a landlord or landlady) is not the one benefiting from the resulting energy cost savings (e.g., a tenant) and vice-versa.

Risk aversion - The sometimes lengthy payback periods for long-term investments in energy efficiency are a risk many end-users try to avoid. Potential suppliers of efficient solutions also face the risk whether the market will accept these solutions. Moreover, there is considerable uncertainty about the transaction costs involved with obtaining information and about the costs and benefits of improving energy efficiency. Consequently, risk aversion prevents economic actors from assessing the economic viability of energy efficiency measures over the whole lifetime of the equipment and thus reduces the perceived and realised cost-effective potential dramatically.

Ultimately, all these barriers are the reason why economic potentials exist at all. They therefore justify or rather call for policy intervention to make energy efficiency as easy and attractive as possible for all market actors, with a view to realising the large untapped potential for energy saving and CO2 emission reduction while at the same time creating benefits for end-users and society as a whole.


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7.2 Process management of energy efficiency policy

In most of the first NEEAPs, a gap became obvious between national target setting on the one hand, and development, implementation and evaluation of measures on the other. In most plans, targets were set according to ESD provisions (i.e. at 9%) and policies and measures were displayed without any direct or indirect relation to the target. This was also due to the fact that at that time, no guidelines or harmonised methodologies had been provided to support Member States in calculating the effects of their energy efficiency improvement measures.

The prototypical process described below provides procedural recommendations for Member States on how to better align the process of national target setting with the development, implementation and evaluation of measures. Starting with the assessment of the energy savings potential in each sector, energy efficiency improvement measures can be developed to tap the potentials and then compare the total anticipated effects of the savings achieved to the national ESD target.

A first feedback loop (arrow 1) makes a revision of the ESD target possible especially when ex ante calculations expect over-compliance of the target. If under-achievement of the target is impending, this feedback loop will trigger the analysis of additional potentials and development of further measures to tap them. A second feedback loop (arrow 2) provides the opportunity to revise policy packages especially when ex post evaluations of measures reveal a lower level of energy savings achieved than required by the target.

Figure 5: A prototypical process for policy development in energy efficiency

Source: Wuppertal Institute and Ecofys (2009)


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7.3 The need for integrated policy packages at Member State level

Experience has shown that ultimately a mix of several or even all types of policy instruments is likely to be most effective. Therefore, an adequate, harmonised and integrated policy framework is required on European, Member State and regional level. Price incentives, e.g. via energy taxes or emissions trading, are important but certainly not sufficient to realise the full potential. Legal provisions on minimum efficiency standards, in turn, only tap part of the savings potential; standards only apply for standardised products or components, not for system optimisations. An exception is the building sector, but even here, regulations only apply to new-builds and extensive renovation – assuming compliance with the regulations is monitored at all. Furthermore, due to high costs of a refurbishment, legal requirements for energy efficiency during renovation only take effect when a refurbishment is done anyway, but the requirements themselves do not trigger additional refurbishments. Finally, standards generally only exclude the most inefficient technologies and practices from the market, but do not promote the most efficient ones (best available technology – BAT). Hence it is essential to promote market penetration of BAT to ensure that standards have a dynamic impact.

Two types (and foci) of integrated policy packages can be distinguished: (1) Packages addressing final energy consumers or end-use technologies in the different sectors and (2) packages complementarily focussing the “supply side” of measures and services, such as energy companies, energy service companies (ESCOs), architects, installation contractors, manufacturers etc. In NEEAP I, all Member States have displayed strategies that belong to the former category. Packages addressing the “supply side” can, however, only be designed, when basic structures have already been established. In NEEAP I, this type of measure was rather underrepresented.

Figure 6: Ideal policy packages in energy efficiency policy

Source: Wuppertal Institute and Ecofys (2009)


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7.4 Cross-sectoral measures and overarching governance frameworks

Integrated packages should be complemented by consolidating efforts at Member State level targeting at the

institutional framework conditions for energy efficiency policy (e.g. energy agencies, also at regional or local level),

institutional and organisational framework conditions for energy efficiency programmes (energy efficiency mechanisms, see below)

a legal framework (e.g. for energy services) or

a participatory process involving stakeholders in national energy efficiency policy.

A few EU Member States already have substantial experience in setting up such supportive frameworks. For energy efficiency mechanisms, usually two approaches are distinguished: government can establish the requisite framework either via an energy efficiency obligation / mandatory savings target (with or without certificate trading), or via an energy saving trust or fund (including, if appropriate, an obligation for the energy industry to provide funding).9 In such systems (especially the obligation-based solutions), energy companies play a far greater role in supporting energy efficiency improvement compared to ‘conventional’ policy instruments. Some crucial cross-sectoral framework conditions are:

(1) Energy agencies and climate protection agencies

Energy agencies and climate protection agencies at national and regional level can play a major role as intermediaries that conduct diverse initiating and co-ordinating activities and services. These agencies are often fully or partly financed by the state and usually act as independent organisations. Many Member States have already established own agencies, e.g. Denmark, Sweden, Finland, Germany, Austria, France, Spain, Portugal, Greece, Slovenia, Poland, and Romania.

(2) Energy efficiency obligations and white certificate schemes

In an increasing number of countries, obligations for energy companies promote end-use energy efficiency and energy savings10. Under such schemes, parts of the energy supply industry are obligated by statute to achieve a set volume of energy savings by means of demand-side efficiency measures. In order to meet targets imposed, the companies concerned must motivate final consumers to carry out concrete energy efficiency measures. In most schemes this is done primarily by creating financial incentives, but some systems also deploy other kinds of measures (e.g. free or subsidised energy audits).

Systems that, in addition to setting a savings quota, also allow for market trading of certified savings among obligated actors and/or third parties are termed ‘white certificate’ schemes. Similar to the way in which emission trading functions, the purpose of the trade component is to ensure that a politically desired quantity of energy savings can be generated at least societal cost.

9 A third option, although not yet implemented in practice, is financial remuneration for feeding ‘negawatts’ into

the grid. Here, similar to feed-in laws for renewable energies, the implementation of energy efficiency programmes is promoted by paying a fixed amount per saved unit of energy.

10 UK, France, Italy and Belgium currently have systems in place, same as several US and Australian states. The

Netherlands, Poland, Bulgaria and Romania are considering their implementation.


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Examples of this type of cross-sectoral measures can be found in the

- Carbon Emission Reduction Target - CERT (UK)11 - White Certificate Systems in France and Italy (Eyre, Pavan, Bodineau 2009; Bertoldi and

Rezessy 2009) - Utilities Saving Obl)igation in Denmark

(3) Creating favourable framework conditions for energy services

Besides energy efficiency improvement directly stimulated by policies and measures there is also some energy efficiency development in the market. In many Member States, the market-based improvement has been enhanced with the help of energy efficiency service (EES) providers like energy consultants, providers of energy audits and energy service companies (ESCOs) offering, amongst others, energy performance contracting.

A recent analysis of the EES business in the 18 countries and regions participating in the European ‘ChangeBest’ project has revealed a significant heterogeneity among the various national EES markets in the European Union.12 Especially Energy Performance Contracting (EPC) is still rare in several countries. One problem with EPC concerns the guaranteed performance that should be provided by EES companies. This often requires reliable monitoring of the energy savings achieved, for which comprehensive and therefore costly and time-consuming measurement protocols need to be set up. Another typical problem that emerged with EPC are the risks that EES companies are running associated with accounts receivables. Since the payments to be received from EES customers have the risk of default, a special ‘guarantee fund’ raised by the government could typically be a way to reduce this risk.

In each Member State, the development of adequate framework policies is required to support the development of EPC. Examples for supporting measures would be the creation of guarantee funds or standardised contracts.

(4) Creating energy efficiency trusts or funds

An energy saving trust or fund is another potential mechanism for the organisation and financing of efforts to promote energy efficiency in Member States. Here, the government sets up a central body which tenders, provides funding for, and if appropriate, also implements integrated energy efficiency programmes.

The trust thus supports coordinated implementation of mixed schemes for the promotion of energy efficiency, comprising financial support (e.g. grant or rebate programmes, direct installation of energy-efficient technologies, low-interest loans) and information programmes (e.g. motivation, advice, energy audits, cooperation with and training for multipliers, labelling, bundling of demand, etc.). Different measures targeted at a specific energy end use (e.g. domestic appliances) can thus be coordinated within the framework of the trust, thereby creating synergies which would not be achieved if separate organisations implemented these measures on their own.

In terms of funding, various options are available: the trust may be financed from general tax revenue, from an energy tax, from revenues from emissions trading, or via a new ringfenced levy paid by end-users or the energy companies (for further information about possible funding schemes, cf. Irrek and Thomas (2006).

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See: http://www.decc.gov.uk/en/content/cms/what_we_do/consumers/saving_energy/cert/cert.aspx,

http://www.ofgem.gov.uk/Sustainability/Environment/EnergyEff/Pages/EnergyEff.aspx 12

see: www.changebest.eu

http://www.decc.gov.uk/en/content/cms/what_we_do/consumers/saving_energy/cert/cert.aspx

http://www.ofgem.gov.uk/Sustainability/Environment/EnergyEff/Pages/EnergyEff.aspx

http://www.changebest.eu/


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Good examples for national Energy Saving Trusts are

- The Danish Electricity Saving Trust (http://www.savingtrust.dk) - the Energy Saving Trust and Carbon Trust in the UK

(http://www.energysavingtrust.org.uk/ ; http://www.carbontrust.co.uk), - the Norwegian Energy Fund (http://www.enova.no)13

7.5 Policy Packages in Sectors

7.5.1 The public sector

Need for action

To comply with its function as role model, the public sector has to develop a systemic environmental vision, which takes the three fields into account and makes use of synergies between them: Public Buildings, Public Procurement, Mobility Management.

The public sector is mainly influenced by two Directives: the Energy Performance of Buildings Directive (EPBD), and the more cross-sectoral Directive on Energy End-Use Efficiency and Energy Services (ESD), which regards the public sector as a role model for energy efficiency and thus influencing activities on mobility management, appliances, public procurement and buildings. Whereas the role of the public sector in the EPBD is directly linked to the improvement of the energy performance of public buildings, in the ESD the public sector is expected to have an indirect impact on other buildings due to the imposed role as a market-driver for energy efficiency services and other measures (through a public sector obligation to take energy efficiency into account in public procurements related to the purchase of appliances, cars, or buildings). The role of the public sector has been enforced through the development of these legal instruments in recent years. From 2019 public buildings – due to the lead role of the public sector and in contrast to other new buildings for which the target is set from 2021 - have to fulfill high energy standards defined in the EPBD as near zero energy buildings. For further implications of the EPBD, see also the following chapter on the residential sector.

An ideal policy package

An ideal policy package for the public sector should contain the vision, the mission, clear goals and funding provisions, a realistic and binding timescale, ideas for monitoring and it should inspire emotions and confidence. Goals and measures have to be worked out for every administrative level. Requirements for subcontractors should also be specified.

The public relations activities by municipalities and other public bodies should aim to make energy efficiency actions transparent to the public, and act as role model encouraging citizens to follow. For instance municipalities could advertise and stimulate competition for energy efficient options especially for the public sector. They could create an online forum combined with public events and publicity to show their activities, to give space for discussion between citizens and administration and to launch ideas for citizens to adapt their own behaviour.

13

See also: http://www.iea.org/Textbase/pm/?mode=re&id=745&action=detail ;

http://www.savingtrust.dk/

http://www.carbontrust.co.uk/

http://www.enova.no/


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(1) Mobility management

An overall and sustainable mobility management is a core part of this role model function. It has to include all travel purposes, all travel or transport modes with their user groups and specific needs. The main goals should be:

Traffic reduction concerning transport of goods and services

Modal shift from less energy efficient transport modes that require high quantities of fossil energy to more energy efficient and environmental friendly modes (rail, public transport, cycling and walking)

Minimising emissions from the public vehicle fleet

Conversion of the public fleet first of all from less strict Euro Norms to higher levels, especially for light trucks and utility vehicles

Conversion of the public vehicle fleet generally from the dominating combustion engine with fossil fuel to more energy efficient vehicles (incl. energy efficient components and applications) and vehicles that use bio fuels, hybrid engines or fuel cells

Creation of transparency by using an ecological footprint for all services provided and goods consumed by the public sector, that contains all emissions caused by transport during the whole manufacturing and delivery process.

(2) Public procurement

Currently, public authorities are usually required to select the most economically advantageous offer when purchasing appliances, transport modes, facilities and related equipment. If interpreted in a way that the cheapest purchasing price is the key criterion, this often forms a barrier to energy efficiency. Therefore, the consideration of life cycle cost including a realistic assumption on energy consumption is essential, if necessary also in combination with sustainability requirements (e.g. for the purchase of green electricity). Public procurement is subject to national and often even regional legislation and needs to be implemented at this level under a common approach of an exemplary role of the public sector. This will require clear guidelines for lifecycle cost calculations, tools for tendering, assessment and award, and lists of equipment meeting the specifications (cf., e.g., Borg 2003)

(3) Public buildings

For public buildings, objectives should be defined as follows:

Setting consistent and ambitious regulatory frameworks and guidelines, e.g., setting targets for renovation to very low-energy levels of at least 5% of the public building stock per year, and requiring life-cycle cost calculations for at least two alternative levels of energy performance

A clear description and concrete guidance for Member States for definition and achievement of performance levels of the best available technology (BAT) (nearly-zero-energy buildings, appliances etc.)

Public investments: Public or private investment support for

o building retrofits

o research and development

o the integration of renewable energies


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o training and education of relevant experts

Enabling private leadership

Direct investments flows

Leverage of private investment

o Emphasis on Energy Performance Contracting and other public private partnerships to decrease investment costs

o Low interest loans offered from government funds to banks for lending to public authorities

Good practice examples

Good practice can be found especially in in the following Member States:

The United Kingdom and the Netherlands aim at reaching carbon neutral or climate neutral central government buildings by 2012.

Voluntary agreements and mandatory information measures for municipal buildings are currently in place in Finland. Finland plans to include other public sector buildings as well.

The Netherlands are a European front-runner regarding public procurement. According to the Dutch NEEAP; since 2010 it has been applied sustainable procurement criteria in national public procurement. For local and regional governments, a 50% target was set.


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7.5.2 The residential sector

(1) New and existing buildings

The need for action

Generally, energy efficiency policies for the residential sector are already well developed. The recast of the EPBD, making a nearly zero energy standard for new building mandatory as of 2020, is a big step forward. The obligation will give a further boost to the building industry, requiring the full accumulation of necessary knowledge, training of relevant experts, such as architects, constructors, providers of energy audits, and availability of construction products and technologies.

But still, there is need for action on a common understanding about implementation. The current definition of 'nearly zero energy' buildings is left vague in the Directive, allowing Member States to determine their own standards. To date, there are huge differences between Member States regarding the minimum energy performance requirements. With the consumer in mind, it is crucial for the European Commission to continue working on common definitions of what constitutes a 'nearly zero energy' building.

In addition, implementation of the new Directive requires appropriate funding. Investment costs for near zero energy housing are substantial.

To take this into account, an article on financial incentives was added to the updated Directive, aiming both at national and EU levels. It will require Member States to list incentives from technical assistance and subsidies to low-interest loans by mid-2011 for the transition to nearly zero-energy buildings. Another challenge is the currently difficult budgetary situation of many EU Member States.

Figure 7: Numbers of energy efficient and low carbon emitting houses in the EU

Source: Concerted Action 2008


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An ideal - comprehensive and coherent - policy package for the residential building sector should provide a sound balance between clear mandatory measures, incentives, information and capacity building, addressing both heating/cooling and domestic water heating in buildings, including electricity demand for these end uses.

From these four categories, the following measures are to be considered for playing a role in an ideal policy package:

Regulation

The most important - and also most widely implemented - regulatory policy in terms of energy efficiency in buildings are Minimum Energy Performance Standards (MEPS) for new buildings, which in the EU all Member States have to adopt pursuant to the EPBD.

In addition to such energy standards for buildings as a whole, minimum energy performance (or eco-design) requirements should be set for heating, ventilating and air conditioning (HVAC) and lighting equipment, energy-related building components and construction materials (e.g. heating systems, windows, insulation material, etc.).

To be effective, mandatory energy performance standards must be open ended, regularly revised and upgraded. The same applies to mandatory energy labelling.

A main condition for success of all kind of regulation is its effective enforcement and embedding in a political strategy, making parallel use of both financial incentives to make bearing the additional cost in renovation more attractive to investors and information elements to raise cooperation of target groups.

By setting stringent energy performance standards based on life-cycle cost, a minimum level of energy efficiency is ensured and at least the most inefficient buildings and technologies are excluded from the market. The requirements should include strong compliance mechanisms and be tightened step by step considering the technological progress, until very low energy levels (‘near zero energy buildings’) have been reached.

As a positive side effect, energy performance standards for new buildings can open the product market to efficient equipment and contribute substantially to the phasing-out of inefficient products. This effect occurred, for example, in Germany, the Netherlands, and Denmark, where single-glazed windows and non-condensing gas boilers have literally vanished from the market (IEA 2008).

Measures to implement this strategy

- Minimum energy performance standards (MEPS) for buildings and their components/ installed equipment

- TopRunner Approach (not implemented in the European Union so far)

- Mandatory energy certificates for buildings and energy labelling for components/ installed equipment


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Factoring-in energy efficiency considerations in spatial and urban district planning is an important means to take account of the energy performance impact of early design decisions such as building shape and orientation, integration of renewable energy supply, etc. Possible measures are:

- mandatory planning requirements concerning building form and orientation

- taking into account energy efficient construction and refurbishment when developing urban districts

- developing long-term heat plans along with guidelines for the future heat (and possibly cold) supply of municipalities and districts, so that activities related to building refurbishment, construction of new buildings and heat supply can be coordinated and energy saving measures will thus become more effective and efficient

- determining priority areas for local/district heating (and possibly local/district cooling).

Economic incentives and financing

Economic incentives are used to overcome barriers related to the incremental costs of low-energy buildings and appliances. They can reduce the first cost barrier and improve access to capital. This is particularly important, e.g., to trigger additional refurbishment of buildings, which can then be made energy-efficient with the help of the incentives. As a side effect, they also work as a quality signal and raise awareness about energy-efficient building solutions. Apart from the state budget, such financial incentive programmes can be provided via energy-saving obligations for energy companies or via energy effciency funds and trusts (cf. chapter 7.4). When introducing financial incentives it is recommended to organise complementary awareness, motivation, and information campaigns and work with market partners such as contractors in order to increase participation rates and thus the energy saving impact.

Public funding of research and development and demonstration activities in the field of very low or even zero energy buildings broadens the saving potential and improves cost-effectiveness of BAT. Pilot projects and demonstration buildings also raise awareness and increase confidence as they can demonstrate that low-energy buildings can be built cost-effectively and without comfort-losses for the occupants.

Financial incentives can be important to facilitate the introduction of new technologies and enable especially poor households to engage in energy efficiency investments (UNEP 2007). For suppliers financing mechanisms have the objective to help implement production or distribution activities in the field of energy efficient products (World Energy Council 2008).

Sometimes, building owners’ capital still is short even with financial incentives in place. In such cases and when the owner does not wish to implement energy efficiency actions him-/herself, financing offers, such as soft loans, and energy efficiency services like Energy Performance Contracting can be decisive to trigger action.

Exemplary measures are:

Tax rebates and other tax incentives for reducing energy end-use consumption

Loans (soft and/or subsidized)

Direct subsidies, grants, rebates (e.g. for very energy-efficient new buildings, refurbishments, and new appliances)

Promotion of Energy Performance Contracting

Innovative financing schemes such as Pay-As-You-Save (PAYS) financing

R&D grants

Funding, awards and competitions for demonstration projects


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Information, promotion and advice

One important barrier to energy efficiency is lack of knowledge about savings potentials. Information and promotion instruments aim at persuading consumers but also manufacturers to change their behaviour and to increase awareness about individual benefits of energy efficiency by providing information and examples of individual benefits. They enhance market transparency and help to increase demand for energy-efficient products. They are considered one of the most efficient and cost-effective policy tools with high potentials (UNEP 2007). The most important measures under this category are

Energy Performance Certificates (i.e. labelling for buildings) and Energy Labels for appliances

Energy audits and other advice / consultancy either via internet tools (benchmarks, calculators, interactive online advisors) or via - ideally on-site - personal advice, ideally including or linked with advice/information on financing opportunities

Information campaigns (for end-users, investors, retailers, sales persons, manufacturers, etc.) about best available technologies, performance levels, and other design options, existing financing options and qualified providers of energy-efficient building solutions or appliances

Demonstration projects which make the benefits tangible and build confidence in energy-efficient buildings

Super-efficient building component award competition

Information programmes can usually increase the effectiveness and the long-term impact of most other policy instruments, especially by reducing the rebound effect which can be a particular problem of refurbishment.

It is essential that campaigns and educational programmes are implemented under a qualified institutional infrastructure (e.g. energy agencies and educational institutions). The participation of relevant actors is essential to ensure continuous, independent, centrally-co-ordinated implementation of a variety of different energy efficiency activities.

Capacity building

Education and training of all relevant supply chain actors is a crucial element of any policy package aiming at energy efficiency in buildings. Because if architects, builders, component manufacturers and contractors – just to name the most important market actors – do not have the skills that are required to properly design and build state-of-the art low energy buildings, then other policies such as energy performance standards will not be able to achieve the expected energy efficiency improvements - even if they are fully implemented.

Concrete measures to create a sufficiently skilled workforce include for example:

integrating energy efficiency issues in college/university curricula for architects, (civil) engineers, etc. and making it a vital component of vocational training for contractors

developing standardised and certified training materials

fostering the provision of continuing professional education and training with a focus on energy efficient buildings

establishing a qualification and certification scheme for energy consultants

training programmes for retail and bank staff


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Many Member States have a number of interlinked policies and measures for energy efficiency in existing and new residential buildings in place. We chose two examples for presentation that have documented success and can serve as a source for inspiration, but this does not mean that others are necessarily ‚worse practice’.

United Kingdom

In general, the UK has shown great ambition in terms of its overall energy and climate policy goals, for instance the Government has committed to reduce national CO2 emissions by 80% until 2050 and aims to transform the UK into a low carbon economy.

In terms of concrete policies and measures for the residential building sector, the UK has implemented a policy package which combines legal requirements (MEPS and mandatory Energy Performance Certificates), information and motivation activities (e.g., the advice and support provided by the Energy Saving Trust), and economic incentives.

As regards new residential buildings, the MEPS in place have already succeeded in considerably improving the energy performance of new homes. These standards are regularly tightened so that a home built today will be at least 40 percent more energy efficient than one built before 2002. Nevertheless, the Government wants to go much further and has set the additional target that all new homes must be zero-carbon from 2016.

However, in light of the fact that it is estimated that 75% of the buildings that will exist in the UK in 2050 have already been built, and the building stock’s bad energy performance, the main efforts of UK energy efficiency policy targeting buildings are directed towards existing buildings.

The Carbon Emission Reduction Target (CERT) scheme, which is similar to a white certificate system, places an obligation on large electricity and gas suppliers to achieve certain amounts of energy savings by way of end-use energy efficiency measures. While the vast majority of the measures implemented under the schemes improves energy efficiency in existing buildings or of appliances (e.g. cavity wall or loft insulation, efficient cooling appliances, etc.), there are also a few measures that can also be used in new construction, such as innovative heating, efficient boilers, etc. The suppliers are also working with social housing providers and private housing corporations to implement energy efficiency measures in new properties.

Another programme seeking to improve the energy performance of existing homes is the Community Energy Saving Programme (CESP), which obliges energy suppliers and electricity generators to meet a CO2 reduction target by providing energy efficiency measures to residential consumers in areas with a high share of low-income households. The programme stipulates that a so-called ‚whole house approach’ be used to achieve the savings, i.e. packages of measures shall be offered to households in order to make use of the synergy effects created by an integrated refurbishment approach.

Further programmes targeting energy efficiency in existing dwellings are the Warm Front and Decent Homes schemes, both of which target low income households and aim to reduce fuel poverty by way of energy efficiency improvement.

Moreover, the Home Energy Conservation Act (HECA) requires all local authorities with housing responsibilities to publish energy conservation reports which shall specify practicable and cost-effective energy efficiency improvement measures which are capable of significantly improving the energy performance of all residential dwellings in the respective area. These documents must also report on the progress made towards the objective.

In addition, with the newly announced Green Deal scheme, the UK government is introducing an innovative financing mechanism, which will enable home owners and tenants (as well as


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owners/occupants of public and commercial buildings) to improve the energy efficiency of their dwellings at no upfront cost. The investment costs are then paid back via the energy bill and when consumers move out, the financial obligation is transferred to the next bill payer. This scheme is expected to be very effective as it overcomes some of the major barriers to energy efficiency improvement in buildings.

Upper Austria

Since 1993, the regional energy agency (O.Ö. Energiesparverband) has been implementing a multi-pillar strategy to transform the building sector and create an energy efficiency market in Upper Austria, the fourth largest Austrian federal state. The strategy focuses on actors and aims to change mind-sets, behaviour and investment strategies. In order to achieve this goal, it combines legal requirements with attractive financial incentives, professional training and information & advice measures. Since the task to implement mandatory building standards is assigned to the regional governments in Austria, regions there play an extraordinary role in improving also energy efficiency policy.

In Upper Austria, coherent sectoral policy packages have been established to specifically target residential, public and commercial buildings respectively.

Key measures for the residential sector include:

an overall energy saving target of 1% per year (1.5% per year for the public sector)

MEPS

energy performance rating & certificates

financial incentives (soft loans) dependent on the energy performance rating results (the requirements are tightened by about 5% every year)

mandatory on-site energy advice for programme participants (prerequisite for getting the financial support)

courses & training programmes for energy consultants and other building professionals

information, advice and financial incentives targeting installed systems (e.g., replacement of inefficient circulators, installation of condensing boilers)

RD&D support (technology programme „Building of Tomorrow – Haus der Zukunft“)

network of green energy businesses

events, campaigns and competitions

In the period 1993 – 2007, more than 74,000 buildings (new and refurbished) met the requirements, which led to energy savings of 350 million kWh/year. An evaluation showed that the implemented measures were very cost-effective, with every kWh saved costing only 1.8 Eurocent. Furthermore, several hundred passive houses have been built due to the programme in recent years.


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(2) Domestic appliances

According to international research and experience, a package of several or even all types of consistent and sector/technology-specific policy instruments is necessary to be most successful for increasing energy efficient appliances. In this way, multiple barriers can be overcome and transaction costs minimized. The goal is to make it as easy as possible for all market actors to include energy efficiency measures in the corporate strategy or rather the daily life (Thomas 2007).

Therefore, the ideal policy package consists of consumer-oriented instruments and instruments for manufacturers (to build up a “push and pull strategy” to push consumers and manufacturers away from energy intensive practices and to pull them towards energy efficient ones). E.g. appliance standards are often combined with labelling and rebates in order to give incentives for investments beyond the level required by the minimum energy efficiency standard. Labelling programmes cannot completely transform the market and, for this reason, are completed by MEPS in the great majority of countries (World Energy Council; ADEME 2004).

The following figure illustrates a policy package for appliances and describes the interactions between minimum energy performance standards, energy labels, rebate schemes, market procurement, information and training programmes, and technology procurement.

Figure 8: Policy package for domestic appliances

Source: Wuppertal Institute, partly adopted from DECADE (1997)


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The Netherlands

A good practice example for an effective policy package on appliances comes from The Netherlands. Besides European policies and measures like the EuP/ErP-(Ecodesign) Directive eliminating the worst products from the market and the Labelling Directive for TVs, refrigerators, washing machines and dishwashers and now more types of appliances, creating the EU energy label informing consumers on the most efficient products in the market, the Netherlands have national initiatives to improve the energy efficiency of appliances.

First of all, the Netherlands have long-term agreements with a large number of sectors for improving energy efficiency. Furthermore, they are a frontrunner in public procurement. They take sustainability (including energy efficiency) into account for the central government. The residential sector is covered with focused information campaigns, which offer consumers practical and reliable information about efficiency and information centres. A national label informs about the most environmentally friendly products in the country. In addition to these measures, subsidy schemes were established. An example is the TELI subsidy scheme that aims to remove barriers for low income households with respect to energy efficiency measures, e.g. technical measures, advices and information for the rational use of energy. Also green investments can be financed by special loans with lower interest rates (Energy Efficiency Action Plan 2007).

Concluding the energy policy for the residential sector can be characterized by a set of instruments targeted at various aspects of energy use. This package of instruments aims to increase the awareness, to provide insight in self-regulation and to stimulate different actors to take measures to improve the efficiency (ECN 2009).


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7.5.3 Industry and the Tertiary Sector

The need for action

Also in non-ETS sectors, industry provides large savings potentials which must be tapped in order to reach ESD savings requirements. On an aggregated level, cost-effectiveness is less favourable than, e.g., in the building sector, but in fact this can vary considerably between fields of application. In general, energy efficiency in industry is much more complex than in most other sectors, as savings often relate to restructuring production processes and mobilizing large scale investments in modern equipment. However, there are also standardised, cross-sectoral systems, such as heating, cooling, pumping, ventilation, lighting, and compressed air, which are not in the core business and focus of the companies, but often carry half of the energy savings potential and are easily accessible to policy and service provider support for energy efficiency. They are also often related to buildings the production is located in, and this is the same in the commercial sector. If restructuring coincides with regular (sometimes multi decade) investment cycles, additional cost for energy efficiency is often rather negligible. But if retrofitting is required, e.g., by raised standards, additional cost may be considerable, possibly affecting a company’s competitive position.

Due to these structural complexities, industrial stakeholders often show ambivalence on energy efficiency measures. On the one hand it is broadly accepted that the overall impact of energy efficiency is favourable due to saving on energy bills, reducing risks of energy price volatility and increasing long-term productivity and competitiveness. On the other hand, a general reluctance is to be observed against energy efficiency policies, specifically against mandatory measures and ambitious target setting. Economic incentives are not always easy to apply as they – if coinciding with regular replacement of production equipment – may be regarded as market distortions.

The main EU policy instrument for industrial energy efficiency is the European Emissions Trading System (ETS). ETS industries (installations with a net heat excess of 20 MW) are forced to yearly return an amount of emissions allowances (so-called emission credits) equivalent to their CO2 emissions of that year. During its first and second phase, the ETS only had a moderate impact, partly due to economic recession. For the third phase EU internal CO2 emission reduction are expected, but due to the fact that allowances from the second phase can be used for compliance in phase 3, the carbon prices are expected to show a structural drop thereby leading to less incentives for energy efficiency and low-carbon technologies (Wesselink et al. 2010).

Therefore, additional (national) policy also in non-ETS sectors is required to stimulate industrial energy efficiency and contribute to ESD target achievement. Aside from ETS, the currently most important policy framework is the EuP/ErP-(Eco-design) Directive, notably relevant for higher energy efficiency with boilers, motors and pumps. For buildings in the commercial and industrial sectors, the EBPD is of equal importance as for the residential sector, albeit with an additional important focus on electricity-consuming systems such as for ventilation, air conditioning, and lighting, which are often responsible for half of the energy bill in these sectors.

On national level, there is in many cases a lack of policy activity concerning industrial energy efficiency. Although a variety of policy instruments exists across the EU27 including financial incentives, information, and voluntary agreements, these must be considered inadequate as they are not part of coherent policy packages and in most cases are not effective in the sense of target achievement, if such exists at all (WWF and Ecofys 2010). The same holds for the tertiary sector.


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Especially for the industrial sector, policy packages are necessary to fully stimulate energy efficiency investments, as noted by the World Energy Council:

“Investment in energy efficiency entails a complex process due to many barriers and decision-makers. To achieve a greater impact, the implementation of several complementary measures (is needed) that will help address all steps towards efficient deployment. These packages of measures should combine information and communication actions, regulations, subsidies, soft loans, training and certification and should be implemented simultaneously and not one after another” (World Energy Council 2010).

In industry and the tertiary sector, the impact of a policy or policy package is determined by the influence it has on the investment decisions made by management of individual companies. These decisions are often driven by various aspects such as finances (pay back times, priority of investments), regulations, public opinion etc. To ensure that all barriers preventing energy efficiency investments are removed, ideally a policy package should stimulate all “drivers” of an industrial board room. Note that it is therefore important to question if a supplementary policy is needed to stimulate a certain driver, as some can already be sufficiently stimulated by current circumstances. As framework (regulation, awareness, etc.) varies per country, it is necessary to first evaluate a country’s current barriers, after which a suited policy can be chosen to remove them.

There are different types of policy instruments available to induce corporate management to invest in energy efficiency.

Regulatory:

Norms/standards (equipment, production process, products)

Mandatory energy savings and action targets for individual companies

Voluntary targets may be an alternative if consistently monitored

Obligations/ commitments (Energy auditing, energy management, technology implementation, technology phase-out)

Economic:

Taxes (Energy, CO2/ GHG emissions)

Incentives and subsidies (Subsidies and grants, preferential loans, early depreciation, third party financing, tax credits and exemptions)

Tradable permits (GHG emissions, white certificates)

Information

Grants for energy audits

Energy Labelling

Other (Education and outreach, education and outreach, data collection and audits, capacity building)


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Good practice example

So far, there are no countries that demonstrate good practice in the sense of a coherent policy package to stimulate industrial energy efficiency. There is in general either a lack of policies to stimulate all relevant aspects or policies in place are not strong enough to have sufficient impact. Information regarding energy efficiency technologies is sometimes amply provided by the voluntary agreement schemes, labeling schemes (EU Directive), or energy efficiency agencies. However, financial policy instruments (EU trading scheme and subsidies for energy efficiency equipment) have only moderate impact. Furthermore there is often no strong target set for industrial energy efficiency. (WWF and Ecofys 2010)

Information regarding energy efficiency technologies is in some countries provided by e.g. voluntary agreement schemes (for example in the Netherlands), labeling schemes (EU Directive), or energy efficiency agencies (for example in Germany). Furthermore many countries provide fiscal incentives (tax exemption, subsidies for EE technology etc.) to promote the implementation of industrial energy efficiency.

The closest to a coherent policy package can be regarded countries such as Finland, Denmark, and Sweden, which have created a combination of grants for energy audits to identify concrete actions for energy efficiency, their costs and benefits; negotiated agreements with the individual industrial companies for implementation of the actions identified in the energy audits; financial incentives (direct, or as a reduction of energy tax debt); and a monitoring tracking individual actions from the energy audits through the negotiated agreements to implementation.


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7.5.4 The transport sector

The need for Action

Energy-efficient transport can be described as „performing the necessary transport with the minimum of energy“ and is split up into three factors: travel efficiency (focuses on modal share, vehicle occupancy exploit of load capacity), system efficiency (where topics such as urban planning and supply chain organisation are addressed) and vehicle efficiency (focuses on the energy consumption of single vehicles).

The transport sector accounts for 19.5 % of the European greenhouse gas emissions (EU 27, 2007, EC 2010). Within the European efforts to achieve GHG reduction targets by energy efficiency, transport is outlined in the following overall regulations:

Energy Services Directive (ESD)

Renewable Energy Directive (RED)

Fuel Quality Directive (FQD).

Cars and Tyre Label Regulations?

The Directives mentioned above are mainly concerning private transport. Freight transport is outlined only marginally or more in general terms. This is problematic, as freight transport is constantly increasing (e.g. for Germany DLR forecasts that freight transport by trucks will double until 2030) 14.

Freight transport has three main spheres of activities which are based on the same main goals, but require different prioritizations or approaches:

International transport

Inner European transport

Urban transport/ inner- city logistic

The view on international and inner European freight transport requires an integrated examination of transport and other sectors such as industry, services and trade. For example, compared to other production costs, transport is an extremely cheap factor in the just-in-time-production. Transport is no longer a location deciding factor.

Urban freight transport mainly deals with light trucks, transit traffic of heavy trucks, and in smaller parts with railway and inland waterway transportation. In the focus are measures reducing the direct impact by pollution, vibration and noise. Congestion charge, environmental zone, traffic calming etc. are only partly realized. However, where business is affected, problems often remain unresolved. The conversion rate of the light truck fleets is much less than the one for heavy trucks, although the EU the development for heavy trucks is initiated to change the vehicle fleet towards the stricter Euro 3 to 6.

At this moment, electric vehicles dominate the discussion, which - with regard to the complexity of the problem - is not appropriate and focuses mostly on private cars, although interesting options for inner city logistics are around.

14

See also Ecofys (2010)

http://dict.leo.org/ende?lp=ende&p=Ci4HO3kMAA&search=sphere&trestr=0x8001

http://dict.leo.org/ende?lp=ende&p=Ci4HO3kMAA&search=of&trestr=0x8001

http://dict.leo.org/ende?lp=ende&p=Ci4HO3kMAA&search=activity&trestr=0x8001


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In order to increase the energy efficiency in the transport sector, three different levels of energy efficiency connected with three basic strategies have to be taken into account, based on the Avoid-Shift-Improve (ASI) approach (e.g. Schnipper and Marie-Liliu 1999, Dalkmann and Brannigan 2007, ADB 2009):

Avoid travel or reduce travel-length in order to improve the system efficiency which

concerns how transport is generated and how modes are chosen.

Shift travel to more energy-efficient modes in order to improve the travel efficiency which

covers the energy consumption of different transport modes.

Improve the energy efficiency of vehicles and fuels in order to improve the vehicle

efficiency which can be improved by reducing the vehicle’s fuel consumption per kilometre.

These strategies could be adopted for the private transport as well as for the freight transport.

For implementation, different instruments (planning, regulation, economic incentives, information and technology oriented measures) can be used.

Planning and infrastructures

Planning can reduce the need to travel through bringing people and activities they need to access or to bring supplier and customer closer together. Planning can also enable the implementation of new transport infrastructure (road, rail, other public transport, cycling and walking). Planning instruments include all measures that focus on „smarter“ planning of infrastructure.

Exemplary measures from the field of planning and infrastructure especially for private transport are:

Spatial planning: Land use has a substantial effect on travel demand and travel patterns. Smart

spatial planning takes into account the travel needs and can contribute to avoid travel or

reduce the travel-length.

Improvements of bicycle and pedestrian infrastructure: Paying attention to non-motorised

transport modes from the beginning makes implementation of transport infrastructure easier.

Improvements of public transport infrastructure: Ensuring a good public transport access, e.g.

in new residential and commercial areas, encourages people to switch transport modes.

Traffic calming: Whereas speed restriction is the regulatory approach, traffic calming is the

planning approach, as the design of a road can also influence the driving behaviour and speed.


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Regulation

Regulatory measures can be used to restrict the use of certain motorised vehicles, but also influences the types of vehicles used and standards that they should adhere to (both in terms of vehicle performance and road regulation). The regulatory instruments in the transport sector can be classified into four categories based on the purpose of the instruments: a) fuel economy standards, which aim at reducing fuel consumption and associated emissions, b) emission standards which are directly aimed at the reduction of specific emissions released after fuel consumption, c) fuel quality standards to reduce or eliminate emissions causing elements before the combustion of fuel and d) other regulatory measures either discouraging vehicle utilization or encouraging high occupancy of the vehicles (Timilsina and Dulal 2009: 82). Referring to increase the energy-efficiency in the transport sector, fuel economy standards and other regulatory measures are of importance.

Exemplary measures from the field of regulation are:15

Speed restrictions: Speed limits can increase the energy efficiency in two ways. First, at higher

speeds fuel consumption is often an increasing function of speed. Second, an increase in travel

time makes car use and freight road transport less attractive and thus, more energy-efficient

transport modes are more competitive. Furthermore, a lower speed often entails a constant

traffic flow that is beneficial for lower fuel consumption whereas stop and go traffic results in

higher energy consumption.

Environmental zones: Environmental zones are areas into which access is permitted only to

vehicles or classes of vehicles meeting a prescribed standard. The standard can be defined in a

way that only energy-efficient vehicles have access to a certain area.

Parking supply restrictions for private cars: In order to make car use less attractive by avoiding

free car parking or on-street parking, these restrictions can help to limit car use and make

more energy-efficient transport modes more competitive.

Rules for energy efficient public procurement: Purchase policy for vehicles for public services

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Remark on Networks/voluntary agreements: Voluntary agreements to achieve more energy efficiency in road transport turned out to be not very effective: In 1998, the European car manufacturers committed to reduce CO2 emissions from cars sold in the EU to an average 140 g / km by 2008 – the target was missed significantly. After that, the Commission decided to pursue the goal of reduced fleet emissions by regulation.


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Economic incentives

Economic instruments can be used to discourage the use of motorised vehicles, which will encourage the use of alternative modes, or reduce the need to travel (de Haan et al. 2007). Instruments can also improve accessibility and mobility for those without a private vehicle, through investment in public transport, cycling, and walking infrastructure.

Exemplary measures from the field of funding, financing and monetary incentives are:

CO2-related registration tax incentives for motorised vehicles are able to discourage

possible vehicle users from purchasing a very fuel intensive vehicle and have a big impact

on a vehicle´s life cycle energy consumption. A tax bonus disburdens the owners of low-

consuming vehicles, while those with high-consuming vehicles would have to pay higher

taxes. A well-known example is the French bonus-malus scheme.

With a CO2-related fuel tax, three effects can be achieved by increasing the running costs

for fuel intensive vehicles: The promotion of a less fuel intensive driving style, the reduction

of unnecessary motorised vehicle trips and an increasing attractiveness of energy-efficient

vehicles.

Reform of company car taxation: By reducing or even eliminating tax reliefs for company

cars with high fuel consumptions, the purchase of energy efficient vehicles in companies

will be promoted (such as in the UK) .

Congestion charges and road tolls: With the internalisation of external costs of road

transportation, for example by road taxation, the “real” price of road transport will lead to

a decreased attractiveness of inner-city private motorised transport, a modal shift towards

rail and public transport and increase the attractiveness of energy-efficient inner-city

freight logistic systems.

Complete abolition of the commuter allowance for private vehicles: By financially

promoting commuting, urban sprawl and traffic volume increase is accelerated – commuter

allowance in the calculation of income tax therefore should be eliminated.

Monetary incentives in order to promote alternative fuels and alternative technologies

such as particle filters, LPG and electrical vehicles and biofuels can help reducing

transportation emissions.

Research funding for sustainable transport is an effective way in the long run to promote

new, energy saving technologies. Funding should cover technological research as well as

research in the fields of trading/ logistic urban planning, social sciences and transport

policy.

Subsidising public transportation and sustainsable freight transport accelerates modal shift

towards more energy efficient modes and is legitimated by the lower external costs of

these transport modes.

To work with the “ecological food print” or “ecological fair trade” accelerates modal shift

toward more energy efficient modes in the freight transport and the regionalization of

markets.


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Information and advice

The provision of information can increase the awareness of alternative modes, leading to a modal shift to railway, public transport, walking or cycling. Information and training can help to improve car and truck driver behaviour, resulting in reduced fuel consumption. Finally, information on the energy efficiency of new vehicles can influence purchase decisions (UBA 2010).

Exemplary measures from the field of information and advice are:

Mobility management (for schools, business, municipal authorities), mobility

advice/mobility centres in city centres and public places: By advising and supporting public

transport users, the attractiveness of public transport can be increased.

Information and image campaigns for walking and cycling and for public transport with the

goal of a modal shift. Experience shows that a modal shift is possible for certain user

groups.

Improvements of information for public transport (e.g. IT: real-time information systems) to

increase public transport attractiveness by decreasing waiting times.

The visual labelling of vehicles according to their CO2 emissions supports consumer´s

choices for the purchase of less consuming vehicles

The visual labelling of good to their CO2 emissions supports consumer’s choices for the

purchase of less consuming goods

Training for eco-driving (also for carriers, commercial fleet owners public transport

operators): Up to 20% fuel reduction can be achieved with a fuel saving driving style.

Gear shift indicators: By visually indicating the optimal point for gear shift, 10-15% fuel

reduction can be achieved – most new vehicles however still do not have this device.

Regional differentiation

The policy strategies and exemplary measures mentioned above pursue also the same goal to improve the energy efficiency in the transport sector. Nevertheless, which packages of measures are the most suitable and most effective depends much on the national, regional and local initial situation.

For instance, in urban areas with an existing public transport system, strategies and measures aiming at shifting car trips to public transport (or even non-motorised transport modes) in combination with measures restricting private car use and a truck ban for specific urban areas are recommended. Whereas an effective public transport system which everyone is pleased with often does not exist in rural areas and thus, a fixation on car use has to be noted. Thus, in predominantly rural areas, image and information campaigns for public transport are less advisable, but firstly new mobility concepts (e.g. alternative flexible public transport systems) and logistics concepts have to be established and measures aiming at improving the vehicle efficiency are appropriate.


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To achieve the goal of higher energy efficiency in the transport sector, different policy instruments that address system, travel or vehicle efficiency, need to be combined in a reasonable way – while single measures are only of limited success. Policy packages can have synergetic effects, which are more than the sum of the effects of single instruments.

In the transport sector, positive incentives (“pull”-measures) should by combined by disincentives (“push”-measures). For example, the increase of the attractiveness of public transport (more and better transport connections, schedule information) can result in a higher modal shift towards morce efficient modes if negative incentives for private car use (road pricing, fuel taxation) are implemented at the same time.

Another category of policy packages applies for the combination of different types of measures for the same purpose. A regulation of fuel efficiency standards is more likely to be fit if incentives for the purchase fuel efficient vehicle are implemented and R&D on efficiency technology is funded.

Regarding the optimisation of the mobility and logisctic management in existing transport infrastructure, several types of measures have already been or will be implemented in Member States:

- Tightening mandatory speed restrictions (e.g. Austria, Bulgaria, Finland, Italy, Netherlands)

- Promoting information technology in transport through the use of telematics in order to increase capacity utilisation and reduce traffic (Austria, Finland)

- Promoting car sharing, car-pooling and freight pooling (e.g. Austria, Italy)

- Promoting mobility managements in public and private institutions (Austria, Spain, Poland) or travel centres (Finland)

- Road transport fleet renewal, especially for heavy trucks (Spain, Germany)

- Fuel-efficient driving courses for truck and bus drivers (Spain)

- Including freight transport into the Energy saving certificate scheme (ESC) (France)


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8. Conclusions

Since 2008, when the analysis of NEEAPs in EEW1 was finished, the European Union has continued to develop the overall political framework for energy efficiency by adopting new measures, addressing new sectors and strengthening existing measures. Most prominent examples are the recasts of the EPBD, the EcoDesign Directive, and the energy labelling framework Directive, and the new CO2 limitation for new vehicles. Many Member States have also considerably advanced their policies.

Despite these remarkable achievements, the overall picture for energy efficiency remains somewhat diffuse. An effective implementation of the measures induced by EU Directives will require a higher degree of harmonisation and integration. Up to now, measures addressing different sectors are often not well related or lack a clear design when it comes to their implementation at Member State level. Moreover, certain end-use areas are not addressed sufficiently (e.g. modal shift in transport, coherent policy packages for industry including carriage of goods, etc.).

A possible explanation for existing weaknesses of the European energy efficiency policy framework, especially the lack of vertical integration and harmonisation, are the heterogeneous positions among Member States. While some of them have exceeded EU requirements, others stay much less ambitious. Many countries have a general reservation against an ambitious top-down framework regulation. In addition, on the national level energy efficiency policy is often subordinate to other fields of policy. Enforcement of policy measures is often an even bigger problem.

What is still missing on EU level is a unanimous vision why an integrated, ambitious and harmonised energy efficiency strategy is of highest political importance for the European Union and all its Member States.

Improved national energy efficiency policy packages in all relevant sectors are needed to achieve additional energy savings of at least 1 % per year compared to autonomous energy efficiency improvements. The cost-effective potential is even 2 % per year of additional energy savings. It will, therefore, bring net economic benefits to businesses and consumers in the Member States, if these are more ambitious in the implementation of EU Directives but also with their own measures, and with measures at regional and local level, energy services, and other measures by energy companies and others. We hope that the policy packages presented in this paper can provide inspiration and guidance for a stronger energy efficiency policy in the Member States.

At Member States level, crucial steps towards an integrated and effective policy package are the establishment of institutions and infrastructures that promote energy efficiency, such as energy or climate protection agencies, the setting up of energy efficiency obligations, the creation of favourable framework conditions for energy services and the establishment of energy efficiency trusts or funds.

The second round of National Energy Efficiency Action Plans (NEEAP II) provides the chance to stimulate this discussion, together with the announced new EU Energy Efficiency Action Plan and a possible ESD recast. Based on lessons learned from the NEEAP I process, the European Commission has now drafted a non binding methodology and further guidelines for the NEEAPs II which will better regulate the process. The EEW II project will accompany and analyse the NEEAP II process, paying specific attention to the coherence of the measures described in the NEEAPs (coherent policy packages), the sector coverage and the effectiveness or level of detail of the proposed measures, in the sense of contributing to a higher overall level of ambition in European energy efficiency policy.


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